**Meet the editor**

Dr Sime Curkovic is a Professor of Supply Chain Management at Western Michigan University. He received his undergraduate degree in Management Systems from Kettering University and his Ph.D. degree from Michigan State University. His research interests include environmentally responsible manufacturing, green purchasing, total quality management, supply chain

management, supply chain risk management, and integrated global strategic sourcing. Dr Curkovic's publications have appeared in the Journal of Supply Chain Management, the IEEE Transactions on Engineering Management, the Decision Sciences Journal, the International Journal of Operations and Production Management, the International Journal of Production Research, the Journal of Quality Management, the Journal of Operations Management, and the International Journal of Production Economics. His dissertation on the relationship between Total Quality Management and Environmentally Responsible Manufacturing has been given the following awards: 1) The APICS Educational Foundation Edward & Marion Plossl Fellowship; 2) The Richard J. Lewis Quality of Excellence Award; and 3) The National Decision Sciences Institute Buffa Doctoral Dissertation.

Contents

**Preface IX** 

Chapter 1 **Oil Exploration and Climate Change:** 

H. Uthman and J.O. Odigure

and Jesús San-Miguel-Ayanz

**Marine Environmental Law 29** 

Chapter 4 **GIS for Environmental Problem Solving 83** 

Chapter 5 **Environmental Management in Businesses:** 

Chapter 6 **A Bottom Up Approach to Modeling Habitat** 

Paulo Morgado, Marina Toger, Patricia Abrantes and Jérémy Fiegel

Chapter 7 **Electronic Waste Management in Ghana – Issues and Practices 149** 

Chapter 8 **Remote Sensing Based Crop Coefficients** 

Jorge Rocha, António Perdigão, Raquel Melo and Cristina Henriques

**for Water Management in Agriculture 167** 

Martin Oteng-Ababio

Maria J. Masanet-Llodra

Chapter 2 **Oil Pollution and International** 

Ekaterina Anyanova

**A Case Study of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 1**  A.S. Abdulkareem, A.S. Afolabi, J. Abdulfatai,

Chapter 3 **Use of Remote Sensing in Wildfire Management 55**  Brigitte Leblon, Laura Bourgeau-Chavez

Koushen Douglas Loh and Sasathorn Tapaneeyakul

**Does It Make Money? An Accounting Perspective 105** 

**Connectivity Dynamics Through Networks Analysis 131** 

## Contents

#### **Preface XIII**


X Contents


Contents VII

Chapter 19 **Evaluation of Soil Quality Parameters**

Chapter 20 **The Compost of Olive Mill Pomace:** 

Danica Fazekašová

Chapter 21 **Social-Ecological Resilience**

**Development in Terms of Sustainable Land Use 435**

**From a Waste to a Resource – Environmental Benefits of Its Application in Olive Oil Groves 459** 

**and Maize Farming in Chiapas, Mexico 485**  Nils Max McCune, Francisco Guevara-Hernández,

Benigno Ruiz-Sesma and Leopoldo Medina-Sanson

Chapter 22 **Methodology for the Regional Landfill Site Selection 513** 

**Environmental Management Implications in the Drylands of Central Tanzania 539**

Jose Nahed-Toral, Paula Mendoza-Nazar, Jesus Ovando-Cruz,

Stella Kyvelou, Maria Sinou, Isabelle Baer and Toni Papadopoulos

Beatriz Gómez-Muñoz, David J. Hatch, Roland Bol and Roberto García-Ruiz

Boško Josimović and Igor Marić

Richard Y.M. Kangalawe

Chapter 23 **Land Degradation, Community Perceptions and** 

Chapter 24 **Developing a South-European Eco-Quarter Design and Assessment Tool Based on** 

**the Concept of Territorial Capital 561** 

Chapter 19 **Evaluation of Soil Quality Parameters Development in Terms of Sustainable Land Use 435**  Danica Fazekašová

VI Contents

Chapter 9 **Certification and Integration of Environment with** 

Chapter 10 **Uncovering the Relation Between Environmental Damage and the Rate of Rainfall Received Through a Life Cycle Assessment (LCA) Study on Potable Water Production in Malaysia 219**  Amir Hamzah Sharaai, Noor Zalina Mahmood

**Around a Large Chemical Platform 237** 

Chapter 12 **Knowledge-Based Development in Small Communities –** 

Cristian Teodorescu, Lucian Constantin,

and Abdul Halim Sulaiman

Chapter 11 **Integrated Water Management** 

**Quality and Safety – A Path to Sustained Success 193**  Gilberto Santos, Manuel Rebelo, Síria Barros and Martinha Pereira

Cristian Teodorescu, Margareta Nicolau, Adriana Cuciureanu, Marinela Petrescu, Doina Guta, Ciprian Tetiu and Rodica Baciu

**Efficient Management Based on Local Expertize 263**

**with the Environmental Management at Cluster Level 311** Francesco Testa, Tiberio Daddi, Fabio Iraldo and Marco Frey

Ray-Yeng Yang, Ying-Chih Wu and Hwung-Hweng Hwung

**A Sound Alternative for Reducing the Environmental** 

Margareta Nicolau, Aurelia Ballo and Cristiana Cosma

Chapter 13 **Industrial Clusters and Environmental Management 291**  Massimo Battaglia, Tiberio Daddi and Francesco Testa

Chapter 14 **Overview of Past and Ongoing Experiences Dealing** 

Chapter 15 **Beach Erosion Management with the Application of Soft Countermeasure in Taiwan 349** 

> **Impact of Swine Production 371**  Antonio Zanin and Fabiano Marcos Bagatini

Chapter 17 **Overview of Environmental Management** 

and Seyed Reza Shadizadeh

Chapter 16 **The Economic and Financial Feasibility of a Biodigester:** 

**by Drill Cutting Re-Injection Through Hydraulic Fracturing in Upstream Oil and Gas Industry 389** 

Chapter 18 **A Geologic and Geomorphologic Analysis of the Zacatecas** 

Jorge Bluhm-Gutiérrez and Alicia Esparza-Martínez

**Zones Associated with the Erosion Processes 411** Felipe de Jesús Escalona-Alcázar, Bianney Escobedo-Arellano, Brenda Castillo-Félix, Perla García-Sandoval, Luz Leticia Gurrola-Menchaca, Carlos Carrillo-Castillo, Ernesto-Patricio Núñez-Peña,

**and Guadalupe Quadrangles in Order to Define Hazardous** 

Mansoor Zoveidavianpoor, Ariffin Samsuri


Preface

Welcome to the Authoritative and Leading Edge Content for Sustainable Development. The practice of sustainable development is becoming widespread in all industries around the globe today, and both small and large firms are realizing the benefits provided by sustainability. The World Commission on Environment and Development defines sustainable development as "development that meets the needs of the present without compromising the ability of future generations to meet their own needs." Sustainability implies efforts directed towards preserving the environment, doing more with less (cost savings, profit increasing), reducing dependence on foreign resources such as oil, using alternate forms of energy, etc. The critical issues in sustainable development are energy consumption, air pollution, and climate change to name just a few. Confronted with the prospect of non-availability of fossil fuels within the foreseeable future, scarcity of natural resources, an increasing frequency of natural calamities and the worst economic downturn in nearly a century,

the sustainability landscape has changed drastically in the last five years.

students, administrators, communities, and industries).

described throughout the book.

Researchers are trying to meet the challenge posed by the rapidly evolving landscape of sustainability. All in all, a lot has been done but a lot more needs to be done on the part of researchers to meet the pace of the sustainability movement. In order to address the sustainability deficit in education and research*, InTech* has invited submissions of manuscripts for publication in its focused issue on sustainability. All chapters are high-quality, high-impact manuscripts addressing integration of sustainability efforts with clear lessons and insights for the stake holders (faculty,

We think this book is unique in that it uses a novel and logical approach to present discussions of this topic from three general perspectives: scientific, social, and economic, and the integration within these important areas. We think this book is somewhat different than other environmental management books since we offer a more balanced view of the topic – many of the books available today concentrate primarily on just one of these three perspectives. A primary objective of this book is to help readers think about how sustainable development impacts all areas and processes of the firm and the society that it functions within, and to show how managers, researchers, and policy makers can improve their position by employing the practices

## Preface

Welcome to the Authoritative and Leading Edge Content for Sustainable Development. The practice of sustainable development is becoming widespread in all industries around the globe today, and both small and large firms are realizing the benefits provided by sustainability. The World Commission on Environment and Development defines sustainable development as "development that meets the needs of the present without compromising the ability of future generations to meet their own needs." Sustainability implies efforts directed towards preserving the environment, doing more with less (cost savings, profit increasing), reducing dependence on foreign resources such as oil, using alternate forms of energy, etc. The critical issues in sustainable development are energy consumption, air pollution, and climate change to name just a few. Confronted with the prospect of non-availability of fossil fuels within the foreseeable future, scarcity of natural resources, an increasing frequency of natural calamities and the worst economic downturn in nearly a century, the sustainability landscape has changed drastically in the last five years.

Researchers are trying to meet the challenge posed by the rapidly evolving landscape of sustainability. All in all, a lot has been done but a lot more needs to be done on the part of researchers to meet the pace of the sustainability movement. In order to address the sustainability deficit in education and research*, InTech* has invited submissions of manuscripts for publication in its focused issue on sustainability. All chapters are high-quality, high-impact manuscripts addressing integration of sustainability efforts with clear lessons and insights for the stake holders (faculty, students, administrators, communities, and industries).

We think this book is unique in that it uses a novel and logical approach to present discussions of this topic from three general perspectives: scientific, social, and economic, and the integration within these important areas. We think this book is somewhat different than other environmental management books since we offer a more balanced view of the topic – many of the books available today concentrate primarily on just one of these three perspectives. A primary objective of this book is to help readers think about how sustainable development impacts all areas and processes of the firm and the society that it functions within, and to show how managers, researchers, and policy makers can improve their position by employing the practices described throughout the book.

#### XIV Preface

This book addresses the strongly related environmental issues (e.g., energy production, pollution, climate change, etc.) by considering them in an integrated manner and linking them to economic, social, and technical issues and environmental policies. These chapters collectively can help transform the values and principles that will directly influence the development of future sustainability strategies and our lifestyle. Likewise, this book will help decision makers consider both the economic, social, and technical issues with environmental concerns, at which point sustainable development becomes more logical and ultimately sustainable.

> **Sime Curkovic** Western Michigan University, Haworth College of Business, Department of Management, Kalamazoo, Michigan, USA

## **Oil Exploration and Climate Change: A Case Study of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria**

A.S. Abdulkareem, A.S. Afolabi, J. Abdulfatai, H. Uthman and J.O. Odigure

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/47730

## **1. Introduction**

Nigeria like most other developing countries in the early part of the 70s was engaged in intensive natural resource exploitation as a way of stimulating economic growth (Ajayi, 1999; Abdulkareem et al, 2009). As at 1976, about 10 years from the start of oil exploration in the Niger-Delta area of Nigeria, figures available from the office of federal statistics stated that the oil has come to account for about 14% of the nation's gross domestic product (GDP) of Nigeria, 95% of the total export and over 80% of government's annual revenue (Olukoga, 2002; Tolulope, 2004; Abdulkareem and Odigure, 2006). Also total export peaked at 2 millions barrels per day of crude oil with price range of 18-22US dollars per barrel (Odigure and Abdulkareem, 2006). It is worth of mentioning that the current price per barrel of oil is now in the range of 80-110 US dollars (Ufarana, 2004; Akpan, 2009). This has created more opportunities for the development of new fields and increase granting of mining licenses and intensive exploration of oil mineral resources in the country (Ajayi, 1999; Abenege, 2004). The crude oil comes from reservoir containing gas, which is produced along with the oil. This associated natural gas is separated from the oil at a flow station. However in Nigeria, about 75% of the associated gas is flared due to the underdeveloped local market for gas in the country. The gas currently flared is estimated at two billion cubic feet per day (scf/d) or 56,600 m3, the highest in any member nation of OPEC (Ageh et al, 2009; Ajayi, 2009). The quantity of gas flared in Nigeria is equivalent to the total annual power generation in the sub-Saharan Africa 'according to World Bank'(Odigure, 2001; UNDP/World bank report, 2004; Akpan, 2009). Nigeria is said to have natural gas reserves of 100 trillion standard cubic feet (about 2.832 trillion cubic meters), with about 45 trillion standard cubic reserves in the Niger-Delta Area of Nigeria (Ufarana, 2004; Tolulope, 2004). In energy terms, the quantity of natural gas in Nigeria is said to be more than twice the

© 2012 Abdulkareem et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Abdulkareem et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

Oil Exploration and Climate Change: A Case Study

of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 3

into the air (FEPA Report, 1998; UNDP/World Bank report, 2004). Flared gas also releases hazardous substances into the environment that heighten the problem of the depletion of the ozone layer (Chimaroke, 2004). The attendant "green house effect" is one of the most frightening environmental problems of our time. Ozone layers that serve as blanket for regulating the earth's temperature are stripped as a resulting of gas flaring thereby causing global warming (Ikelegbe, 1993). In spite of advances in technology and the potential to convert the flared gas into a source of enormous nation revenue, the practices has continued in Nigeria, ostensibly underscoring the problems of our national development (Oyekunle, 1999; Akpan, 2009). Combustion of associated gas during gas flaring also releases heat into the environment. The heat radiation from gas flaring greatly affects the surrounding environment and particular crops planted within the vicinity of gas flare stations (Abdulkareem and Odigure, 2002). It also has a devastating effect on microorganisms and aquatic life. Heat radiation from gas flaring also causes an increase in heat waves hence there is the possibility that habitants of Niger-Delta Area, where the gas flaring stations are located will suffer heart stroke, heart attacks and other ailments aggravated by the heat (Odigure et al., 2003). For instance, it has been reported that heat wave killed more than 700 people in Chicago area alone and if this is happening already from heat, what would occur in the future with global warming (Aduku, 1997; Olukoga, 2002; Abenege, 2004) . Heat radiation from gas flaring also contributed to the increment in the soil temperature, which destroys the plant thereby affecting the ecosystem since plants absorb CO2 in the atmosphere (Kearns et al., 2000; Tolulope, 2004; Tzimas et al., 2007). The world health organisation advised the Nigerian government to address the problem of gas flaring by paying close attention to the activities of companies engaged in gas flaring and the environmental problems associated with their exploratory methods and to invite experts from developed countries to work with Nigerian professionals and environmentalists to proffer remedy (Global gas reduction initiative, 2002; UNDP/World bank report, 2004; Ufarana, 2004). Critics of the flares in the Niger-Delta have said that the Nigerian government puts profit ahead of the environmental safety and the welfare of its citizens. The harmful effects of gas flaring and inability of the oil companies and government to quantify the resultants effects of gas flaring on the environment has led to strain relationship between the oil producing companies and the people of Niger-Delta Area of Nigeria. To control the activities of oil companies in the Niger-Delta area of Nigeria, there is the need to concentrate on environment management as a tool of liberation in improving the quality of life and to make the environment friendly for human beings. This however brings about models and simulation, which is now applied generally to look into the inter-relationship between the parameters and its resultant effects on the environments (Abdulkareem et al., 2011). In this work, mathematical modelling that can be used to predict the quantity of heat radiation from gas flaring station will be developed. The developed model will be simulated and find interaction between various parameters such as distance, volume of gas flared, flared stack efficiency that influence the rate of heat radiation from gas flaring station. Mathematical modeling is a simplified image of processes taking place in a system. These could include heat propagation, concentration of dispersion of gases from combustion and generation of heat and propagation e.t.c. Models retain the most essential properties of the

quantity of crude oil (Agbalino and Eyinal, 1997; Ajayi, 1999; Abdulkareem and Odigure, 2006) .It is estimated that the country's reserve-production ratio is about 125 years compared to that of crude oil of less than 30 years (Akpan, 2009). Consequently, petroleum experts often describe Nigeria as a natural gas province with some oil in it; this put the country in the ten top nations in the world in terms of natural gas reserves (Abowei et al., 1997, Abdulkareem, 1999; Oni, 2011). Though, there is no proper record of natural gas production per year in Nigeria, however the total Nigeria natural gas production is put in the range of 22-25 billion cubic meters per year (Abdulkareem and Odigure, 2006). Around 18 billion cubic meters of the total gas produced is associated gas, most of which is flared , with small amount re-injected into the sandstone sponge while the remaining is sold to electricity generating stations and industries (Abdulkareem and Odigure, 2010). It has been reported that about 3 billion cubic meters per year of non associated gas is currently trapped for industrial consumptions, this is an indication that the level of gas utilization on Nigeria is very low (Akpan, 2009; Abdulkareem et al., 2010). Gas utilization is for now limited to some small quantities being used as fuel for petroleum operations for enhancement of oil recovery project, for pressure maintenance in some industrial processes on a relatively modest scale and for power generation (Reymond, 2007; Udetal et al., 2007). Gas flaring is therefore not only wastes valuable resources, but is also a major cause of environment pollution in the Niger-Delta, where most of Nigeria's oil output is produced (Abdulkareem and Odigure, 2002; Odigure et al., 2003; Ufarana, 2004).

The Niger-Delta oil fields of Nigeria covers about 70,000 square kilometer and is one of the world's largest wetlands, which houses Nigeria's proven gas reserves, estimated to be 120 trillion cubic feet (Abdulkareem, 1999; Uyigue and Agho, 2005; Onyiah, 2005). However, while the exploitation and exploration of oil has created some fortunes and contributed positively to the economic and technological advancement of Nigeria as a whole, the accompanying socio-economic and ecological fallout remain problematic (Alakpodia, 1980; Akpan, 2009). The public considers the oil-producing companies operating in the Niger-Delta oil fields responsible for polluting the environment by way or relentless flaring and venting of gas in to the environment, heat radiation, noise radiation, oil spillage, water pollution, site clearing, deforestation and destruction of the flora and fauna and consequences disturbances of the ecosystem in the 70,000 square kilometers Niger-Delta wetland (Ifeanyichukwu, 2002; Odigure and Abdulkareem, 2002; Abdulkareem et al., 2011). The situation that led to growing anger among the local peoples on the damages caused to their health and ecosystem by oil exploration activities, especially gas flaring and crude oil spillage (Oyekunle, 1995; Onosode, 1996; Abdulkareem et al., 2011). It has also been noted that there are currently 100 gas flaring sites, some of which have been burning ceaselessly for 40 years. Each one of these bonfires as shown in Fig 1 has an adverse effect on the inhabitants and the natural environment (Ifeanyichukwu, 2002; Oyekunle, 1995). The extent of human damage attributable to gas flaring is unclear, but doctors have found an unusual high incidence of asthma, bronchitis, skin and breathing problems in communities in oil producing areas (Abdulkareem and Odigure, 2006). Moreover, flaring is a global source of green house gas emissions, contributing to global warming. The World Bank estimates that gas flaring in the Niger-Delta releases some 35 million tonnes of carbon dioxide annually into the air (FEPA Report, 1998; UNDP/World Bank report, 2004). Flared gas also releases hazardous substances into the environment that heighten the problem of the depletion of the ozone layer (Chimaroke, 2004). The attendant "green house effect" is one of the most frightening environmental problems of our time. Ozone layers that serve as blanket for regulating the earth's temperature are stripped as a resulting of gas flaring thereby causing global warming (Ikelegbe, 1993). In spite of advances in technology and the potential to convert the flared gas into a source of enormous nation revenue, the practices has continued in Nigeria, ostensibly underscoring the problems of our national development (Oyekunle, 1999; Akpan, 2009). Combustion of associated gas during gas flaring also releases heat into the environment. The heat radiation from gas flaring greatly affects the surrounding environment and particular crops planted within the vicinity of gas flare stations (Abdulkareem and Odigure, 2002). It also has a devastating effect on microorganisms and aquatic life. Heat radiation from gas flaring also causes an increase in heat waves hence there is the possibility that habitants of Niger-Delta Area, where the gas flaring stations are located will suffer heart stroke, heart attacks and other ailments aggravated by the heat (Odigure et al., 2003). For instance, it has been reported that heat wave killed more than 700 people in Chicago area alone and if this is happening already from heat, what would occur in the future with global warming (Aduku, 1997; Olukoga, 2002; Abenege, 2004) . Heat radiation from gas flaring also contributed to the increment in the soil temperature, which destroys the plant thereby affecting the ecosystem since plants absorb CO2 in the atmosphere (Kearns et al., 2000; Tolulope, 2004; Tzimas et al., 2007). The world health organisation advised the Nigerian government to address the problem of gas flaring by paying close attention to the activities of companies engaged in gas flaring and the environmental problems associated with their exploratory methods and to invite experts from developed countries to work with Nigerian professionals and environmentalists to proffer remedy (Global gas reduction initiative, 2002; UNDP/World bank report, 2004; Ufarana, 2004). Critics of the flares in the Niger-Delta have said that the Nigerian government puts profit ahead of the environmental safety and the welfare of its citizens. The harmful effects of gas flaring and inability of the oil companies and government to quantify the resultants effects of gas flaring on the environment has led to strain relationship between the oil producing companies and the people of Niger-Delta Area of Nigeria. To control the activities of oil companies in the Niger-Delta area of Nigeria, there is the need to concentrate on environment management as a tool of liberation in improving the quality of life and to make the environment friendly for human beings. This however brings about models and simulation, which is now applied generally to look into the inter-relationship between the parameters and its resultant effects on the environments (Abdulkareem et al., 2011). In this work, mathematical modelling that can be used to predict the quantity of heat radiation from gas flaring station will be developed. The developed model will be simulated and find interaction between various parameters such as distance, volume of gas flared, flared stack efficiency that influence the rate of heat radiation from gas flaring station. Mathematical modeling is a simplified image of processes taking place in a system. These could include heat propagation, concentration of dispersion of gases from combustion and generation of heat and propagation e.t.c. Models retain the most essential properties of the

2 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

2002; Odigure et al., 2003; Ufarana, 2004).

quantity of crude oil (Agbalino and Eyinal, 1997; Ajayi, 1999; Abdulkareem and Odigure, 2006) .It is estimated that the country's reserve-production ratio is about 125 years compared to that of crude oil of less than 30 years (Akpan, 2009). Consequently, petroleum experts often describe Nigeria as a natural gas province with some oil in it; this put the country in the ten top nations in the world in terms of natural gas reserves (Abowei et al., 1997, Abdulkareem, 1999; Oni, 2011). Though, there is no proper record of natural gas production per year in Nigeria, however the total Nigeria natural gas production is put in the range of 22-25 billion cubic meters per year (Abdulkareem and Odigure, 2006). Around 18 billion cubic meters of the total gas produced is associated gas, most of which is flared , with small amount re-injected into the sandstone sponge while the remaining is sold to electricity generating stations and industries (Abdulkareem and Odigure, 2010). It has been reported that about 3 billion cubic meters per year of non associated gas is currently trapped for industrial consumptions, this is an indication that the level of gas utilization on Nigeria is very low (Akpan, 2009; Abdulkareem et al., 2010). Gas utilization is for now limited to some small quantities being used as fuel for petroleum operations for enhancement of oil recovery project, for pressure maintenance in some industrial processes on a relatively modest scale and for power generation (Reymond, 2007; Udetal et al., 2007). Gas flaring is therefore not only wastes valuable resources, but is also a major cause of environment pollution in the Niger-Delta, where most of Nigeria's oil output is produced (Abdulkareem and Odigure,

The Niger-Delta oil fields of Nigeria covers about 70,000 square kilometer and is one of the world's largest wetlands, which houses Nigeria's proven gas reserves, estimated to be 120 trillion cubic feet (Abdulkareem, 1999; Uyigue and Agho, 2005; Onyiah, 2005). However, while the exploitation and exploration of oil has created some fortunes and contributed positively to the economic and technological advancement of Nigeria as a whole, the accompanying socio-economic and ecological fallout remain problematic (Alakpodia, 1980; Akpan, 2009). The public considers the oil-producing companies operating in the Niger-Delta oil fields responsible for polluting the environment by way or relentless flaring and venting of gas in to the environment, heat radiation, noise radiation, oil spillage, water pollution, site clearing, deforestation and destruction of the flora and fauna and consequences disturbances of the ecosystem in the 70,000 square kilometers Niger-Delta wetland (Ifeanyichukwu, 2002; Odigure and Abdulkareem, 2002; Abdulkareem et al., 2011). The situation that led to growing anger among the local peoples on the damages caused to their health and ecosystem by oil exploration activities, especially gas flaring and crude oil spillage (Oyekunle, 1995; Onosode, 1996; Abdulkareem et al., 2011). It has also been noted that there are currently 100 gas flaring sites, some of which have been burning ceaselessly for 40 years. Each one of these bonfires as shown in Fig 1 has an adverse effect on the inhabitants and the natural environment (Ifeanyichukwu, 2002; Oyekunle, 1995). The extent of human damage attributable to gas flaring is unclear, but doctors have found an unusual high incidence of asthma, bronchitis, skin and breathing problems in communities in oil producing areas (Abdulkareem and Odigure, 2006). Moreover, flaring is a global source of green house gas emissions, contributing to global warming. The World Bank estimates that gas flaring in the Niger-Delta releases some 35 million tonnes of carbon dioxide annually

actual process but presents them in mathematical forms. According to Luyben (1995)." Mathematical modeling is very much an art. It takes experience, practice and brain power to be good mathematical modelers". Mathematical model of a system must be sufficiently simple, easy to grasp and give a clear idea about all the qualitative aspects of the phenomenon of interest. On the other hand, it must be sufficiently accurate in bringing the quantitative aspects of the process. Simulation represent the application of modelling techniques to real system, thus enabling information on plant characteristics to be gained without either constructing or operating the full scale plant or system under consideration. Simulation methods come in two type viz. Digital simulation and Analogue simulation of these two types, Digital simulation which involve the use of codes and programme are more in use since they can be implemented on modern computer with exceptional speed (William, 1995)

Oil Exploration and Climate Change: A Case Study

of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 5

mass of unclear gases and other airborne particles produced as by- products in process industries (Odigure, 1998). The degree of the increase of process industries is increasing drastically, this improvement has changed man's way of life remarkably, however the advantages derived have not being without a price which is basically the effect of pollution on the environment (Carvalho et al., 2005; Baroutian, 2006). Pollutants are emitted into the atmosphere as either gases or particles, and are eventually removed by natural self cleansing processes (Ajayi, 1999; Alameddine and El-Fadel, 2005). The waste mostly originates from the burning of fossil fuels and the processing of materials by industries (Abdulkareem et al., 2011). Other sources include waste from burning engines in cars, fuel use in domestic sectors, oil boom, gas flaring, agricultural processes, but of all these the process industries have been recognized as the major source of air pollutants. The self-cleansing ability of the atmosphere which involves dispersion and dilution, is used as a grant channel, is presently too small and cannot match up to the rate of introduction of pollutants into the atmosphere, this is due to meteorological influences (Held et al., 2005; Potocnik et al, 2007; Soylu, 2007). During the 20th century contamination of the environment as a result of human activities has risen drastically (Hussain et al., 2005; Abdulkareem et al, 2009). Pollution problem have risen in all industrialized areas as well as in various inland, coastal water and stretches of ocean (Appleby, 1992; Kinnee et al., 2004). The capacity of the biosphere to disperse, degrade and assimilate human waste is in serious question, waste due to human activities now overweigh natural forces of putting toxic elements into the atmosphere (Ufarana, 2004). From colloid chemistry atmospheric air belongs to the group of incoherent, coarse dispersal system. More specifically, it is a system of colloid particles dispersed in gas in which solid and liquid component can be found in a mixture of gases, with this knowledge the term "pure air" cannot be defined because that will depend on the content of the air expected. Stern (1962 – 1968) said the composition of the air found near the soil level (homosphere) composes of various amount of substances additional to its constant component, this additional component are the air pollutants, thereby making pure air never to be in existence (Ufarana, 2004, Onyiah, 2005). The activities of the oil companies in the Niger Delta area of Nigeria are the major sources of the environmental pollution in the country. The situation that makes the public to consider the oil producing companies operating in the Niger-Delta oil fields responsible for polluting the environment by way of relentless flaring and venting of gas in the environment. Gas flaring in Nigeria today has posses an environmental hazard to the nation at large. So much damage is being done to the environment through gas flaring, that if nothing is done in a few years from now, serious environmental and health problems such as premature death and diseases will emerge. With respect to gas flaring, its effect on vegetation, health and the micro-climate are equal searing. Apart from the noise produced from the fire at the flare sites, the thick smoke that bellows into the sky contains poisonous gases which give rise to acid rain and eventually poison streams, lakes, lagoons and rivers thereby destroying aquatic organism and making the water unhealthy for drinking. It has been proven that gas flaring generates heat which is felt over an average radius of 0.5 kilometres thereby causing thermal pollution (Ikelegbe, 1993). Gas flaring cause green house effect, thereby producing global warming and green house gases which include: water vapour, carbon dioxide, Methane, Nitrous oxide; Ozone, Carbon

monoxide and Nitrogen oxide (Indriani, 2005; Nwaichi and Uzabona, 2011).

**Figure 1.** Gas flaring station in the Niger-Delta area of Nigeria

### **1.1. Oil exploitation and climate change**

Pollution is a term that defines any environmental state or manifestation which is harmful or unpleasant to life, it can also be defined as the introduction of natural and artificial particulate contaminants into the atmosphere (Cemak, 1985; Odigure, 1998). This can be caused due to man's failure to achieve control over the chemical, physical or biological consequence or side effects of his scientific industrial and social habit (Drake and Hubacek, 2007). Industrial source of pollution is as a result of release of hazardous waste and huge mass of unclear gases and other airborne particles produced as by- products in process industries (Odigure, 1998). The degree of the increase of process industries is increasing drastically, this improvement has changed man's way of life remarkably, however the advantages derived have not being without a price which is basically the effect of pollution on the environment (Carvalho et al., 2005; Baroutian, 2006). Pollutants are emitted into the atmosphere as either gases or particles, and are eventually removed by natural self cleansing processes (Ajayi, 1999; Alameddine and El-Fadel, 2005). The waste mostly originates from the burning of fossil fuels and the processing of materials by industries (Abdulkareem et al., 2011). Other sources include waste from burning engines in cars, fuel use in domestic sectors, oil boom, gas flaring, agricultural processes, but of all these the process industries have been recognized as the major source of air pollutants. The self-cleansing ability of the atmosphere which involves dispersion and dilution, is used as a grant channel, is presently too small and cannot match up to the rate of introduction of pollutants into the atmosphere, this is due to meteorological influences (Held et al., 2005; Potocnik et al, 2007; Soylu, 2007). During the 20th century contamination of the environment as a result of human activities has risen drastically (Hussain et al., 2005; Abdulkareem et al, 2009). Pollution problem have risen in all industrialized areas as well as in various inland, coastal water and stretches of ocean (Appleby, 1992; Kinnee et al., 2004). The capacity of the biosphere to disperse, degrade and assimilate human waste is in serious question, waste due to human activities now overweigh natural forces of putting toxic elements into the atmosphere (Ufarana, 2004). From colloid chemistry atmospheric air belongs to the group of incoherent, coarse dispersal system. More specifically, it is a system of colloid particles dispersed in gas in which solid and liquid component can be found in a mixture of gases, with this knowledge the term "pure air" cannot be defined because that will depend on the content of the air expected. Stern (1962 – 1968) said the composition of the air found near the soil level (homosphere) composes of various amount of substances additional to its constant component, this additional component are the air pollutants, thereby making pure air never to be in existence (Ufarana, 2004, Onyiah, 2005). The activities of the oil companies in the Niger Delta area of Nigeria are the major sources of the environmental pollution in the country. The situation that makes the public to consider the oil producing companies operating in the Niger-Delta oil fields responsible for polluting the environment by way of relentless flaring and venting of gas in the environment. Gas flaring in Nigeria today has posses an environmental hazard to the nation at large. So much damage is being done to the environment through gas flaring, that if nothing is done in a few years from now, serious environmental and health problems such as premature death and diseases will emerge. With respect to gas flaring, its effect on vegetation, health and the micro-climate are equal searing. Apart from the noise produced from the fire at the flare sites, the thick smoke that bellows into the sky contains poisonous gases which give rise to acid rain and eventually poison streams, lakes, lagoons and rivers thereby destroying aquatic organism and making the water unhealthy for drinking. It has been proven that gas flaring generates heat which is felt over an average radius of 0.5 kilometres thereby causing thermal pollution (Ikelegbe, 1993). Gas flaring cause green house effect, thereby producing global warming and green house gases which include: water vapour, carbon dioxide, Methane, Nitrous oxide; Ozone, Carbon monoxide and Nitrogen oxide (Indriani, 2005; Nwaichi and Uzabona, 2011).

4 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

(William, 1995)

**Figure 1.** Gas flaring station in the Niger-Delta area of Nigeria

Pollution is a term that defines any environmental state or manifestation which is harmful or unpleasant to life, it can also be defined as the introduction of natural and artificial particulate contaminants into the atmosphere (Cemak, 1985; Odigure, 1998). This can be caused due to man's failure to achieve control over the chemical, physical or biological consequence or side effects of his scientific industrial and social habit (Drake and Hubacek, 2007). Industrial source of pollution is as a result of release of hazardous waste and huge

**1.1. Oil exploitation and climate change** 

actual process but presents them in mathematical forms. According to Luyben (1995)." Mathematical modeling is very much an art. It takes experience, practice and brain power to be good mathematical modelers". Mathematical model of a system must be sufficiently simple, easy to grasp and give a clear idea about all the qualitative aspects of the phenomenon of interest. On the other hand, it must be sufficiently accurate in bringing the quantitative aspects of the process. Simulation represent the application of modelling techniques to real system, thus enabling information on plant characteristics to be gained without either constructing or operating the full scale plant or system under consideration. Simulation methods come in two type viz. Digital simulation and Analogue simulation of these two types, Digital simulation which involve the use of codes and programme are more in use since they can be implemented on modern computer with exceptional speed

Oil Exploration and Climate Change: A Case Study

of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 7

CO g H O l H CO aq 2 2 2 3 (1)

SO g H O l H SO aq 3 2 2 4 (2)

and realized that the amount of carbon dioxide being released into the atmosphere was increasing. He further believed that carbon dioxide concentrations will continue to increase as the world's consumption of fossil fuel particularly coal and fossil fuel increased even more rapidly. His understanding of the role of carbon dioxide in heating the earth led him to predict that if the atmospheric carbon dioxide is doubled, earth would become several

Acid rain is commonly used to describe the deposition of acidic components in rain, snow, fog, dew or dry particles .(Ufarana, 2004). The primary sources are sulphur dioxide, carbon dioxide and oxide of oxides of nitrogen (Uyigue and Agho, 2007). A variety of industrial processes, such as the production of iron and steel, utility factories, oil producing companies are responsible for the emissions of obnoxious gases that resulted into acid rain. This report focused on the contribution of oil exploration and exploitation in the Niger-Delta area of Nigeria to the formation of acid rain. It has been reported that acid rain is one of the most discussed modes of environmental pollution in recent years (Odigure and Abdulkareem, 2001). This is caused by the considerable quantities of Sulphur dioxide and Nitrogen oxide released into the atmosphere as fossil fuel is burnt (SPDC Report, 1981). These pollutants combine with water vapour contained in the air to form dilute solution of sulphuric acid, which are subsequently washed out of the atmosphere by rain or other type of precipitation such as fog and snow (Thompson, 1991). The carbon (iv) oxide (CO2) gas released during gas flaring also dissolves in water to form carbonic acid (H2CO3), the concentration of the gas in water depends on the extent of dissolution of gas in water (Abenege, 2004). Although, acid rain usually consists of relatively mild acids, they are sufficiently caustic to do great harm over time to certain natural ecosystems. Already there is much evidence that deposition of acid leads to lakes and stream acidification, stunted growth of flora while acid sensitive crops will die in affected areas (Abdulkareem, 2000). In cities, the corrosions of buildings and monuments are both exacerbated and accelerated (Odigure and Abdulkareem, 2001). To some extent acid rain has always been present in certain humid environment, originating from natural events as volcanic eruption, forest fires and even the bacterial decomposition of dead organism (Odigure and Abdulkareem, 2001). However, as the worldwide industrial revolution spread globally, the destructive capabilities of natural acid rain have been enhanced by human actions. The phenomenon of acid rain due to the dissolution of these acid gases in the atmospheric water in the sky so that it becomes acidic thereby leading to formation of rain with pH below 5.0 as shown in Equations 1-3 (Abdulkareem, 2000). Its effect is usually by its corrosion of rooftops, discoloration of paints on building, premature rusting of metallic object, damage to flora and fauna (Plant

degrees warmer (Ufarana, 2004).

*1.1.2. Acid rain formation* 

productive parts).

#### *1.1.1. Global warming and green house effect*

Man's expanding activity has reached a level at which their effects are global in nature. The natural system i.e. the atmosphere, land and sea as well as life's and plants therein are clearly being disturbed (Cermak, 1985; Odigure, 1998) .It is obvious that some trace of CO2, N2O, CH4 and O3 gases have increased during the last century (Nigeria natural gas stategy, 2002; Nwaichi and Uzabona, 2011). In addition, other gases are being emitted that are not naturally part of the global eco-system, notably Chloro Fluoro Carbons (CFCS) (Odjugo, 2010; Abdulkareem and Odigure, 2010). These trace gases absorb and emit radiation and are thus able to influence the earth's climate. They are refereed to collectively as green house gases. The green house effect is described as a warming of the earth's surface and lower atmosphere that tends to intensify with an increase in atmospheric carbon dioxide. The atmosphere allows a large percentage of the rays of visible light from the sun to reach the earth's surface and heat it (Nyong, 2004; Odjugo, 2010). A part of this energy is radiated by the earth's surface in the form of long wave infrared radiation, much of which is absorbed by molecules of carbon dioxide and water vapour in the atmosphere and which is reflected back to the surface as heat (Abdulkareem and Odigure, 2002). This is roughly analogous to the effect produced by glass panes of a green house, which transmit sunlight in the visible range but hold heat. The trapping of this infrared radiation causes earth's surface and lower atmospheric layers to warm to a higher temperature than would otherwise be the case. Without this green house heating, the earth's average temperature would be only -73oC, even the ocean would be frozen under such conditions (Odjugo, 2010). Owing to the rise in atmospheric carbon dioxide caused by the modern industrial societies, widespread combustion of fossil fuels (coal, oil and natural gas), the green house effect on earth may be intensified. An increase in concentration of the atmospheric concentrations of other trace gases such as Chlorofluorocarbons (freons), nitrous oxide and methane due human activity may also aggravated greenhouse condition (Nwaichi and Uzabona, 2011).

The realization that climate might change, as a result of emission of CO2 into the atmosphere is not new. Arrhenius (1896) pointed out that burning of fossil fuel might cause an increase of atmospheric CO2 and thereby changing the heat balance of the earth. Calendar (1938) convincingly showed that the atmospheric CO2 concentration was increasing. The observation which began in 1958 has clearly shown that the concentration of CO2 in the atmosphere has increased from about 315ppm to about343ppm in 1984 (Nyong, 2007). We know today that approximately, the amounts of CO2 that have been emitted into the atmosphere by fossil fuel combustion and changing land use (deforestation and expanding agriculture) can related to the observed increase of atmospheric CO2 to these human activities. Since a continued increase of atmospheric CO2 concentration might lead to changes of global climate, it is essential to be able to project the likely future concentration that may occur due to various possible rate of CO2 emissions .As far as the expected climatic change is concerned, it can be prognoses that a doubling of the CO2 concentration would lead to an increase of the globally averaged temperature by 1.5-4.5 oC (Ufarana, 2004). The prediction that climate change due to human activities began with a prediction made by the Swedish Chemist, Svant Arrhenius, in 1896. Arrhenius took note of the industrial revolution and realized that the amount of carbon dioxide being released into the atmosphere was increasing. He further believed that carbon dioxide concentrations will continue to increase as the world's consumption of fossil fuel particularly coal and fossil fuel increased even more rapidly. His understanding of the role of carbon dioxide in heating the earth led him to predict that if the atmospheric carbon dioxide is doubled, earth would become several degrees warmer (Ufarana, 2004).

#### *1.1.2. Acid rain formation*

6 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

may also aggravated greenhouse condition (Nwaichi and Uzabona, 2011).

The realization that climate might change, as a result of emission of CO2 into the atmosphere is not new. Arrhenius (1896) pointed out that burning of fossil fuel might cause an increase of atmospheric CO2 and thereby changing the heat balance of the earth. Calendar (1938) convincingly showed that the atmospheric CO2 concentration was increasing. The observation which began in 1958 has clearly shown that the concentration of CO2 in the atmosphere has increased from about 315ppm to about343ppm in 1984 (Nyong, 2007). We know today that approximately, the amounts of CO2 that have been emitted into the atmosphere by fossil fuel combustion and changing land use (deforestation and expanding agriculture) can related to the observed increase of atmospheric CO2 to these human activities. Since a continued increase of atmospheric CO2 concentration might lead to changes of global climate, it is essential to be able to project the likely future concentration that may occur due to various possible rate of CO2 emissions .As far as the expected climatic change is concerned, it can be prognoses that a doubling of the CO2 concentration would lead to an increase of the globally averaged temperature by 1.5-4.5 oC (Ufarana, 2004). The prediction that climate change due to human activities began with a prediction made by the Swedish Chemist, Svant Arrhenius, in 1896. Arrhenius took note of the industrial revolution

Man's expanding activity has reached a level at which their effects are global in nature. The natural system i.e. the atmosphere, land and sea as well as life's and plants therein are clearly being disturbed (Cermak, 1985; Odigure, 1998) .It is obvious that some trace of CO2, N2O, CH4 and O3 gases have increased during the last century (Nigeria natural gas stategy, 2002; Nwaichi and Uzabona, 2011). In addition, other gases are being emitted that are not naturally part of the global eco-system, notably Chloro Fluoro Carbons (CFCS) (Odjugo, 2010; Abdulkareem and Odigure, 2010). These trace gases absorb and emit radiation and are thus able to influence the earth's climate. They are refereed to collectively as green house gases. The green house effect is described as a warming of the earth's surface and lower atmosphere that tends to intensify with an increase in atmospheric carbon dioxide. The atmosphere allows a large percentage of the rays of visible light from the sun to reach the earth's surface and heat it (Nyong, 2004; Odjugo, 2010). A part of this energy is radiated by the earth's surface in the form of long wave infrared radiation, much of which is absorbed by molecules of carbon dioxide and water vapour in the atmosphere and which is reflected back to the surface as heat (Abdulkareem and Odigure, 2002). This is roughly analogous to the effect produced by glass panes of a green house, which transmit sunlight in the visible range but hold heat. The trapping of this infrared radiation causes earth's surface and lower atmospheric layers to warm to a higher temperature than would otherwise be the case. Without this green house heating, the earth's average temperature would be only -73oC, even the ocean would be frozen under such conditions (Odjugo, 2010). Owing to the rise in atmospheric carbon dioxide caused by the modern industrial societies, widespread combustion of fossil fuels (coal, oil and natural gas), the green house effect on earth may be intensified. An increase in concentration of the atmospheric concentrations of other trace gases such as Chlorofluorocarbons (freons), nitrous oxide and methane due human activity

*1.1.1. Global warming and green house effect* 

Acid rain is commonly used to describe the deposition of acidic components in rain, snow, fog, dew or dry particles .(Ufarana, 2004). The primary sources are sulphur dioxide, carbon dioxide and oxide of oxides of nitrogen (Uyigue and Agho, 2007). A variety of industrial processes, such as the production of iron and steel, utility factories, oil producing companies are responsible for the emissions of obnoxious gases that resulted into acid rain. This report focused on the contribution of oil exploration and exploitation in the Niger-Delta area of Nigeria to the formation of acid rain. It has been reported that acid rain is one of the most discussed modes of environmental pollution in recent years (Odigure and Abdulkareem, 2001). This is caused by the considerable quantities of Sulphur dioxide and Nitrogen oxide released into the atmosphere as fossil fuel is burnt (SPDC Report, 1981). These pollutants combine with water vapour contained in the air to form dilute solution of sulphuric acid, which are subsequently washed out of the atmosphere by rain or other type of precipitation such as fog and snow (Thompson, 1991). The carbon (iv) oxide (CO2) gas released during gas flaring also dissolves in water to form carbonic acid (H2CO3), the concentration of the gas in water depends on the extent of dissolution of gas in water (Abenege, 2004). Although, acid rain usually consists of relatively mild acids, they are sufficiently caustic to do great harm over time to certain natural ecosystems. Already there is much evidence that deposition of acid leads to lakes and stream acidification, stunted growth of flora while acid sensitive crops will die in affected areas (Abdulkareem, 2000). In cities, the corrosions of buildings and monuments are both exacerbated and accelerated (Odigure and Abdulkareem, 2001). To some extent acid rain has always been present in certain humid environment, originating from natural events as volcanic eruption, forest fires and even the bacterial decomposition of dead organism (Odigure and Abdulkareem, 2001). However, as the worldwide industrial revolution spread globally, the destructive capabilities of natural acid rain have been enhanced by human actions. The phenomenon of acid rain due to the dissolution of these acid gases in the atmospheric water in the sky so that it becomes acidic thereby leading to formation of rain with pH below 5.0 as shown in Equations 1-3 (Abdulkareem, 2000). Its effect is usually by its corrosion of rooftops, discoloration of paints on building, premature rusting of metallic object, damage to flora and fauna (Plant productive parts).

$$\text{CO}\_2\text{(g)} + \text{H}\_2\text{O} \text{(l)} \xrightarrow{\text{--}} \text{H}\_2\text{CO}\_3\text{(aq)}\tag{1}$$

$$\text{SO}\_3\text{(g)} + \text{H}\_2\text{O} \text{(l)} \xrightarrow{\text{e}} \text{H}\_2\text{SO}\_4\text{(aq)}\tag{2}$$

$$\text{HNO}\_2\text{(g)} + \text{H}\_2\text{O} \text{(l)} \xrightarrow{\text{HNO}\_2\text{(aq)}} \text{HNO}\_2\text{(aq)}\tag{3}$$

Oil Exploration and Climate Change: A Case Study

of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 9

suffering the negative environment consequences of oil development, these negative impacts precipitated by the introduction of its own unwanted by-products into the environment may be catastrophic if allowed to build-up and unattended to (Nyong et al., 2007). The growth of the country's oil industry, combined with a population explosion and a lack of environmental regulation has led to substantial damage to Nigeria's environment predominantly the Niger-Delta region, the centre of the country's oil industry (Odjugo, 2010). For example, the rampant flaring of natural gas in the Niger Delta during oil production is the main culprit making natural gas the main source of carbon emissions in Nigeria (Abdulkareem et al., 2009). The people in most oil communities have to live with gas stacks that flare gas 24 hours a day at a temperature of 13 – 14,000oC. In 1994, these gases flared according to World Bank Report produced 35 million tons of CO2 and 12 million tons of methane more than the rest of the world (UNDP/World Bank, 2004). This makes the oil industry in Nigeria the single biggest source of global warming in the world. Therefore the impact of gas flaring in Nigeria is of local and global concern (Uyigue and Agho, 2007). Even in the immediate environment of these flares; amidst conflicting claims, field evidence seems to support the widespread postulation that flaring apart from human impacts has a direct relationship with heat radiation and elevation of temperature (Odigure et al, 2003). Typical gas flare in the Nigerian oil field are located at the ground level as shown in Fig 1 and surrounded by thick vegetation, farmland and villages huts 20-30m from the flare station (Odigure et al., 2003). The heat radiation from the flare station is a function of the flare temperature, gas flow rate and the geometrical design of flare stack (Odigure et al.,

The combustion of gaseous hydrocarbons contained in the natural gas is an exothermic process, which result in the evolution of heat to the atmosphere (Abdulkareem et al., 2009). This endangers both the plant and animal life around the vicinity gas flaring stations. Although the mechanism of radiant energy transfer is not completely understood, however the associated phenomenon is explained in terms of dualistic theory (Abdulkareem and Odigure, 2002). This theory deals separately with the emission and reception of radiation and with its transmission, radiation is emitted and received in discrete particle called photon. The geometric relationships between emitting and receiving surfaces have been kept very simple by arranging that emitting surface sees only the receiving surfaces. In practice it is not possible for heat radiated to strike the receiver completely. This necessitated the introduction of geometrical factor to relate the radiant energy striking a surface to the total radiant energy emitted (Abdulkareem and Odigure, 2002). While the concept of heat as a pollutant may seem impossible on a cold winter day, it is important to note that at any time of the year, an increase in water temperature has effect on aquatic life (Odigure et al., 2003). Heat pollution is a consequence of the rising in energy demand by man's activities. For instance the power plants burns fossil fuel or nuclei fuel to provide the energy needed for industrial consumptions, they released considerable amounts of heat (Abdulkareem, 2000). The power plants that release these huge amounts of energy are located near bodies of water, which the plant used for heat dissipation purposes. Living things especially cold blooded animal i.e. fish are very sensitive to small change in the average temperature. It has

2003).

#### *1.1.3. Ozone layer depletion*

Increasing concentration of the synthetic chemicals known as Hallon (Bromine fluoro carbons) and Chlorine Fluoro Carbons (CFC'S) are known to enhance the breaking down of the ozone layer, allowing more of the ultraviolet rays to penetrate to the earth surface (Ifeanyichukwu, 2002, Abenege, 2004; Ufarana, 2004). Ultraviolet rays can break apart important biological molecules including Deoxyribonuclectic acid (DNA). Increased ultraviolet radiation can lead to greater incidence of skin cancer and immune deficiencies as well as decreased crop yield and reduced population of certain fish larvae Pluto Plankton and Zooplankton that are vital to the food chain. Increased ultraviolet radiation can also lead to smog and reduced the useful life of paints and plastics. Stratospheric ozone protects oxygen at lower altitude from being broken up by ultraviolet light and keeps most of those harmful rays from penetrating to the earth's surface (Abdulkareem, 2000) . Hallons are an industrial group of chemical that contains bromine, which reacts in a manner similar to chlorine by catalytically destroying ozone. Halons are used primarily in fire extinguishing foam. Chloro Fluoro Carbons (CFC'S) are compounds that consist of chlorine, fluorine and carbon, first introduced in the late 1920s, these gases have been used as coolant for refrigeration and air conditioners, propellant for aerosol sprays, agents for producing plastic foam and cleaners for electrical parts (Abdulkareem, 2000; Odjugo, 2011). CFC'S do not degrade easily in the troposphere as a result they raise into the stratosphere where they are broken down by ultraviolet light. The chlorine when liberated reacts with ozone to produce two molecules of oxygen. In the upper atmosphere, ultraviolet light breaks off a chlorine atom from a CFC'S molecule. The chlorine radicals attack ozone molecules and breaking it into an ordinary oxygen molecule and a molecule of chlorine monoxide, while the free oxygen radicals breaks up the chlorine monoxide as shown in Equations 4-7 (Abdulkareem, 2000). The freed chlorine radical is again available to repeat the process. Chlorine acts as catalyst and is unchanged during the process. Each chlorine atom can destroy as many as 10,000-ozone molecules before it returned to the troposphere.

$$\text{CFCl} \rightarrow \text{FCl} + \text{Cl} + \text{C} \tag{4}$$

$$\text{Cl} + \text{O}\_2 \rightarrow \text{ClO} + \text{O}\_2 \tag{5}$$

$$\text{Or} \to \text{2O} \tag{6}$$

$$\text{ClO} + \text{O} \rightarrow \text{Cl} \downarrow + \text{O} \downarrow \tag{7}$$

#### **1.2. Effect of heat radiation from gas flaring**

There is no doubt that the Nigerian oil industry has affected the country in a variety of ways at the same time. It has fashioned a remarkable economic landscape for the country but on the other hand, ever since the discovery of oil in Nigeria in the 1950s, the country has been suffering the negative environment consequences of oil development, these negative impacts precipitated by the introduction of its own unwanted by-products into the environment may be catastrophic if allowed to build-up and unattended to (Nyong et al., 2007). The growth of the country's oil industry, combined with a population explosion and a lack of environmental regulation has led to substantial damage to Nigeria's environment predominantly the Niger-Delta region, the centre of the country's oil industry (Odjugo, 2010). For example, the rampant flaring of natural gas in the Niger Delta during oil production is the main culprit making natural gas the main source of carbon emissions in Nigeria (Abdulkareem et al., 2009). The people in most oil communities have to live with gas stacks that flare gas 24 hours a day at a temperature of 13 – 14,000oC. In 1994, these gases flared according to World Bank Report produced 35 million tons of CO2 and 12 million tons of methane more than the rest of the world (UNDP/World Bank, 2004). This makes the oil industry in Nigeria the single biggest source of global warming in the world. Therefore the impact of gas flaring in Nigeria is of local and global concern (Uyigue and Agho, 2007). Even in the immediate environment of these flares; amidst conflicting claims, field evidence seems to support the widespread postulation that flaring apart from human impacts has a direct relationship with heat radiation and elevation of temperature (Odigure et al, 2003). Typical gas flare in the Nigerian oil field are located at the ground level as shown in Fig 1 and surrounded by thick vegetation, farmland and villages huts 20-30m from the flare station (Odigure et al., 2003). The heat radiation from the flare station is a function of the flare temperature, gas flow rate and the geometrical design of flare stack (Odigure et al., 2003).

8 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

10,000-ozone molecules before it returned to the troposphere.

**1.2. Effect of heat radiation from gas flaring** 

CFCl3 FCl2 + Cl + C (4)

O2 2O (6)

There is no doubt that the Nigerian oil industry has affected the country in a variety of ways at the same time. It has fashioned a remarkable economic landscape for the country but on the other hand, ever since the discovery of oil in Nigeria in the 1950s, the country has been

Cl + O3 ClO + O2 (5)

ClO + O Cl2 + O2 (7)

Increasing concentration of the synthetic chemicals known as Hallon (Bromine fluoro carbons) and Chlorine Fluoro Carbons (CFC'S) are known to enhance the breaking down of the ozone layer, allowing more of the ultraviolet rays to penetrate to the earth surface (Ifeanyichukwu, 2002, Abenege, 2004; Ufarana, 2004). Ultraviolet rays can break apart important biological molecules including Deoxyribonuclectic acid (DNA). Increased ultraviolet radiation can lead to greater incidence of skin cancer and immune deficiencies as well as decreased crop yield and reduced population of certain fish larvae Pluto Plankton and Zooplankton that are vital to the food chain. Increased ultraviolet radiation can also lead to smog and reduced the useful life of paints and plastics. Stratospheric ozone protects oxygen at lower altitude from being broken up by ultraviolet light and keeps most of those harmful rays from penetrating to the earth's surface (Abdulkareem, 2000) . Hallons are an industrial group of chemical that contains bromine, which reacts in a manner similar to chlorine by catalytically destroying ozone. Halons are used primarily in fire extinguishing foam. Chloro Fluoro Carbons (CFC'S) are compounds that consist of chlorine, fluorine and carbon, first introduced in the late 1920s, these gases have been used as coolant for refrigeration and air conditioners, propellant for aerosol sprays, agents for producing plastic foam and cleaners for electrical parts (Abdulkareem, 2000; Odjugo, 2011). CFC'S do not degrade easily in the troposphere as a result they raise into the stratosphere where they are broken down by ultraviolet light. The chlorine when liberated reacts with ozone to produce two molecules of oxygen. In the upper atmosphere, ultraviolet light breaks off a chlorine atom from a CFC'S molecule. The chlorine radicals attack ozone molecules and breaking it into an ordinary oxygen molecule and a molecule of chlorine monoxide, while the free oxygen radicals breaks up the chlorine monoxide as shown in Equations 4-7 (Abdulkareem, 2000). The freed chlorine radical is again available to repeat the process. Chlorine acts as catalyst and is unchanged during the process. Each chlorine atom can destroy as many as

*1.1.3. Ozone layer depletion* 

NO g H O l HNO aq HNO aq 2 2 2 3 (3)

The combustion of gaseous hydrocarbons contained in the natural gas is an exothermic process, which result in the evolution of heat to the atmosphere (Abdulkareem et al., 2009). This endangers both the plant and animal life around the vicinity gas flaring stations. Although the mechanism of radiant energy transfer is not completely understood, however the associated phenomenon is explained in terms of dualistic theory (Abdulkareem and Odigure, 2002). This theory deals separately with the emission and reception of radiation and with its transmission, radiation is emitted and received in discrete particle called photon. The geometric relationships between emitting and receiving surfaces have been kept very simple by arranging that emitting surface sees only the receiving surfaces. In practice it is not possible for heat radiated to strike the receiver completely. This necessitated the introduction of geometrical factor to relate the radiant energy striking a surface to the total radiant energy emitted (Abdulkareem and Odigure, 2002). While the concept of heat as a pollutant may seem impossible on a cold winter day, it is important to note that at any time of the year, an increase in water temperature has effect on aquatic life (Odigure et al., 2003). Heat pollution is a consequence of the rising in energy demand by man's activities. For instance the power plants burns fossil fuel or nuclei fuel to provide the energy needed for industrial consumptions, they released considerable amounts of heat (Abdulkareem, 2000). The power plants that release these huge amounts of energy are located near bodies of water, which the plant used for heat dissipation purposes. Living things especially cold blooded animal i.e. fish are very sensitive to small change in the average temperature. It has

Oil Exploration and Climate Change: A Case Study

Qfd

of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 11

Qfa

Qf = Qfd + Qfa (8)

From assumption (iii) i.e. heat from flares are used in vaporizing water, retained by the soil

Qfa = Qs + Qv (9)

Qf = Qfd + Qs + Qv (10)

Qfd = Qf – Qs – Qv (11)

s ss

s

Q M C dT (12)

T

soil

T

Rearranging the variables to make Qfd the subject of the formula gives

Qf

**Figure 2.** Schematic of heat radiation from gas flared station


Heat balance

Where

Where

Where

Taking heat balance from Fig 2



and the remaining reflected i.e.



been reported that fish hatch its eggs before the hatching period due to change in water temperature. It may also prevent fish eggs from hatching at all (Abdulkareem, 2009; Odigure et al., 2003). In addition, a small rise in average temperature could produce a profound climatic change. Some experts' belief a small rise in temperature would cause the Greenland and Antarctic ice to melts, raising ocean levels and inundating large areas of land (Abdulkareem., 2009). The average worldwide temperature can be affected when the products of combustion such as carbon monoxide, water vapour and carbon dioxide are emitted in large quantities into the atmosphere (Tzimas et al., 2007). Although, solar energy on its way to the earth surface easily pass through the layers of carbon dioxide, some of the heat escaping through the earth will be absorbed by the increase amount of carbon emitted to the atmosphere by the process industries and releases back to the earth with negative impact on the soil (Abdulkareem and Odigure, 2002). For instace, the heat from gas flared falls on the soil thereby heating it up, increases in heat deposition on soil reduces diseases generally, it may not be suitable for some plants and crops to survive hence rendering such land unsuitable for cultivation (Aduku, 1997). There is therefore, a great physiological impact on crops planted in the vicinity of the gas flares station. It has been reported that there could be about 100% loss in yield of crops cultivated 200m away from the flares stations, 45% loss in yield of crops at 600m away and 10% loss in yield of crops cultivated 1000m away (Oyekunle, 199).

## **2. Development of mathematical modelling**

The burning process of natural gas also referred to as combustion is described as a rapid oxidation or burning of substances with simultaneous evolution of heat. In the case of common fuels, the process is one of the chemical combinations with atmospheric oxygen to produce as the principal product. Gas flaring of produced gas i.e the process of burning-off surplus combustible vapours from a well, either as a means of disposal or as a safety measure to relieve well pressure - is the most significant source of air emissions from offshore oil and gas installations. Hence gas flaring activity in the Niger- Delta area, and the pollutants released to the atmosphere is causing a lot of damage to the area. It is on this basis that a mathematical model that can quantify the quantity of heat discharged from gas flaring stations into the environment will be developed. The following assumptions were made in order to develop the mathematical model for the heat radiation from gas flaring:


Below is the schematic diagram of heat radiation in a flare station.

Oil Exploration and Climate Change: A Case Study of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 11

Heat balance

Taking heat balance from Fig 2

$$\mathbf{Q} \mathbf{i} = \mathbf{Q}\mathbf{i}\mathbf{i} + \mathbf{Q}\mathbf{j} \tag{8}$$

Where

10 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

1000m away (Oyekunle, 199).

radiation from gas flaring:

reflected back

iv. Combustion is incomplete in air v. The area is a tropical forest

**2. Development of mathematical modelling** 

i. The area is assumed to be a bed of soil i.e. of constant heat capacity. ii. The intensity of the sun is uniform for a given area at a given time

Below is the schematic diagram of heat radiation in a flare station.

been reported that fish hatch its eggs before the hatching period due to change in water temperature. It may also prevent fish eggs from hatching at all (Abdulkareem, 2009; Odigure et al., 2003). In addition, a small rise in average temperature could produce a profound climatic change. Some experts' belief a small rise in temperature would cause the Greenland and Antarctic ice to melts, raising ocean levels and inundating large areas of land (Abdulkareem., 2009). The average worldwide temperature can be affected when the products of combustion such as carbon monoxide, water vapour and carbon dioxide are emitted in large quantities into the atmosphere (Tzimas et al., 2007). Although, solar energy on its way to the earth surface easily pass through the layers of carbon dioxide, some of the heat escaping through the earth will be absorbed by the increase amount of carbon emitted to the atmosphere by the process industries and releases back to the earth with negative impact on the soil (Abdulkareem and Odigure, 2002). For instace, the heat from gas flared falls on the soil thereby heating it up, increases in heat deposition on soil reduces diseases generally, it may not be suitable for some plants and crops to survive hence rendering such land unsuitable for cultivation (Aduku, 1997). There is therefore, a great physiological impact on crops planted in the vicinity of the gas flares station. It has been reported that there could be about 100% loss in yield of crops cultivated 200m away from the flares stations, 45% loss in yield of crops at 600m away and 10% loss in yield of crops cultivated

The burning process of natural gas also referred to as combustion is described as a rapid oxidation or burning of substances with simultaneous evolution of heat. In the case of common fuels, the process is one of the chemical combinations with atmospheric oxygen to produce as the principal product. Gas flaring of produced gas i.e the process of burning-off surplus combustible vapours from a well, either as a means of disposal or as a safety measure to relieve well pressure - is the most significant source of air emissions from offshore oil and gas installations. Hence gas flaring activity in the Niger- Delta area, and the pollutants released to the atmosphere is causing a lot of damage to the area. It is on this basis that a mathematical model that can quantify the quantity of heat discharged from gas flaring stations into the environment will be developed. The following assumptions were made in order to develop the mathematical model for the heat

iii. Heats from flares are used in vapourising water, retained by the soil and the remaining


From assumption (iii) i.e. heat from flares are used in vaporizing water, retained by the soil and the remaining reflected i.e.

$$\mathbf{Q}\mathbf{\dot{u}} = \mathbf{Q}\_{\mathbf{i}} + \mathbf{Q}\_{\mathbf{i}} \tag{9}$$

Where


Substituting equation (9) into (8) gives

$$\mathbf{Q} \coloneqq \mathbf{Q}\boldsymbol{\omega} + \mathbf{Q}\_i + \mathbf{Q}\_i \tag{10}$$

Rearranging the variables to make Qfd the subject of the formula gives

$$\mathbf{Q}\_{\rm id} = \mathbf{Q}\_{\rm l} - \mathbf{Q}\_{\rm l} - \mathbf{Q}\_{\rm l} \tag{11}$$

Where

$$\mathbf{Q}\_s = \mathbf{M}\_s \mathbf{C}\_s \prod\_{\mathbf{r}\_{sd}}^{\mathbf{r}\_s} \mathbf{d}\mathbf{T} \tag{12}$$

From equation (12)

$$\mathbf{Q}\_{i} = \mathbf{M}\_{i}\mathbf{C}\_{i}\mathbf{U}\_{i} - \mathbf{T}\_{\text{soil}}\mathbf{l} \tag{13}$$

Oil Exploration and Climate Change: A Case Study

of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 13

*fv <sup>h</sup>* (22)

0.0042 L Q 0.478 0.707 (24)

L = 0.00594Qf 0.478 (25)

L = 0.8632Qf 0.4N' (26)

*r w a*

*rC T p a rC T NHV p a*

(27)

*NHV w*

0.4

hfv = L(sin 45o) = 0.707L (21)

0.707

The vertical height vector of the flare stack (hfv) can also be calculated from (Ufarana, 2004)

hfv = 0.0042Qf 0.478 (23)

f

0.4 N' a combustion parameter [( ) (1 )]

w combustion parameter ( )

r = stiochiometric air fuel ratio of flared gas, Ta = air temperature, a = ambient air density

0.00594Qf 0.478 = 0.8632Qf 0.4 N' (28)

Qf 0.078 = 145.32N' (29)

L

Where hfv is the vertical height vector of a flare stack

From Steward's correlating equation (Ufarana, 2004)

NHV = flared gas net heating value, Btu/lb

And L is the flame length

From Equations 22 and 23;

Where,

Where

= fuel density

From Equation (28)

Equating (25) and (26) gives

From Equation 21

Where


$$\mathbf{Q}\_{\rm v} = \mathbf{M}\_{\rm w} \mathbf{C}\_{\rm w} \iint\_{\rm sol} \mathbf{d} \mathbf{T} + \mathbf{M}\_{\rm w} \boldsymbol{\lambda}\_{\rm v} \tag{14}$$

From equation (14)

$$\mathbf{Q}\_{\text{V}} = \mathbf{M}\_{\text{lv}} \mathbf{C}\_{\text{v}} \mathbf{[T}\_{\text{s}} - \mathbf{T}\_{\text{soil}}] + \mathbf{M}\_{\text{RV}} \lambda\_{\text{lv}} \tag{15}$$

Where

Mw = mass of water, Cw = specific heat capacity of water, λv = latent heat of vapourisation of water

According to Albedo, a fraction of the heat radiated from the source strikes the receiving surface. (Andy, 2003). Therefore,

$$\mathbf{Q}\_{\ell} = \alpha \mathbf{Q} \mathbf{Q} (\mathbf{l} - \mathbf{a}) \tag{16}$$

Where

α = absorptive factor which varies with distance, a = Alhedo constant, Qc = fraction of the heat which strikes the receiving surface

Hence,

$$\alpha \mathbf{Q} \mathbf{\hat{q}} (\mathbf{l} - \mathbf{a}) = \mathbf{M}\_{\text{W}} \mathbf{C}\_{\text{w}} (\mathbf{T}\_{\text{s}} - \mathbf{T}\_{\text{soil}}) + \mathbf{M}\_{\text{W}} \boldsymbol{\lambda}\_{\text{V}} + \mathbf{M}\_{\text{S}} \mathbf{C}\_{\text{s}} [\mathbf{T}\_{\text{s}} - \mathbf{T}\_{\text{soil}}] \tag{17}$$

Substituting equations (13), (15) and (17) into equation (11) gives

$$\mathbf{Q}\_{\rm il} = \mathbf{Q} - \left[ \mathbf{M}\_{\rm l} \mathbf{C}\_{\rm l} \mathbf{T}\_{\rm s} - \mathbf{T}\_{\rm sol} \right] + \mathbf{M}\_{\rm lv} \mathbf{C}\_{\rm w} \left[ \mathbf{T}\_{\rm s} - \mathbf{T}\_{\rm sol} \right] + \mathbf{M}\_{\rm w} \lambda\_{\rm v} \tag{18}$$

Similarly, from Equations 11 and 16;

$$\mathbf{Q}\mathbf{\iota} = \mathbf{Q}\mathbf{\iota} - \alpha \mathbf{Q}\mathbf{\iota}(\mathbf{l} - \mathbf{a})\tag{19}$$

Rearrange Equation 19 to obtain

$$\mathbf{Q}\mathbf{\iota} = \mathbf{Q}(1 - \alpha(1 - \mathbf{a})) \tag{20}$$

Evaluation of Qf

Ufarana (2004) suggest that that the flame from is titled at 45o, hence

Oil Exploration and Climate Change: A Case Study of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 13

$$\mathbf{h}\_{\rm hf} = \mathbf{L} \text{(sin 45°)} = 0.707 \mathbf{L} \tag{21}$$

Where hfv is the vertical height vector of a flare stack

And L is the flame length

From Equation 21

12 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Qs = MsCs[Ts – Tsoil] (13)

s

Q M C dT M (14)

T v ww w v T

soil

Qv = MwCw[Ts – Tsoil] + Mwλv (15)

Mw = mass of water, Cw = specific heat capacity of water, λv = latent heat of vapourisation of

According to Albedo, a fraction of the heat radiated from the source strikes the receiving

Qc = αQf(l – a) (16)

α = absorptive factor which varies with distance, a = Alhedo constant, Qc = fraction of the

Qfd = Qf – [MsCs[Ts – Tsoil] + MwCw[Ts – Tsoil] + Mwλv] (18)

Qfd = Qf – αQf(l – a) (19)

Qfd = Qf(1 - α(l – a)) (20)

αQf(l – a) = MwCw(Ts – Tsoil) + Mwλv + MsCs[Ts – Tsoil] (17)

From equation (12)


From equation (14)


surface. (Andy, 2003). Therefore,

heat which strikes the receiving surface

Similarly, from Equations 11 and 16;

Rearrange Equation 19 to obtain

Evaluation of Qf

Substituting equations (13), (15) and (17) into equation (11) gives

Ufarana (2004) suggest that that the flame from is titled at 45o, hence

Where

Where

water

Where

Hence,

$$\text{L. } = \frac{h\_{fv}}{0.707} \tag{22}$$

The vertical height vector of the flare stack (hfv) can also be calculated from (Ufarana, 2004)

$$\text{hv} = 0.0042 \text{QV}^{0.478} \tag{23}$$

From Equations 22 and 23;

$$\mathbf{L}\_{\circ} = \frac{0.0042}{0.707} \mathbf{Q}\_{t} \mathbf{0}.478 \tag{24}$$

$$\text{i.: L = 0.00594Qq}^{0.478} \tag{25}$$

From Steward's correlating equation (Ufarana, 2004)

$$\mathbf{L} = 0.8632 \mathbf{Q} \mathbf{\hat{r}}^{04} \mathbf{N}' \tag{26}$$

Where,

$$\mathbf{N'} = \text{a combustion parameter} = \frac{\left(\frac{r + w\rho\_a}{\rho}\right)^{0.4}}{\left[\left(NHV\right)^{0.4}\left(1 - w\right)\right]}\tag{27}$$

Where

$$\text{raw} = \text{combustion parameter} = \frac{r \text{C}\_p T\_a}{(r \text{C}\_p T\_a + NHV)}$$

NHV = flared gas net heating value, Btu/lb

r = stiochiometric air fuel ratio of flared gas, Ta = air temperature, a = ambient air density = fuel density

Equating (25) and (26) gives

$$0.00594 \text{Qf}^{0.478} = 0.8632 \text{Qf}^{0.4} \text{N}^\* \tag{28}$$

From Equation (28)

$$\mathbf{Q}^{\cdot \cdot 0.078} = 145.32 \mathbf{N}' \tag{29}$$

From Equation 27

$$NN = \frac{\left(r + \left(\frac{r\mathbf{C}\_p T\_a \mathbf{p}\_a}{r\mathbf{C}\_p T\_a + NHV}\right)\right)^{0.4}}{\rho}$$

$$NN = \frac{(NHV)^{0.4} \left(1 - \frac{r\mathbf{C}\_p T\_a}{r\mathbf{C}\_p T\_a + NHV}\right)}{(N\mathbf{C}\_p T\_a + NHV)}\tag{30}$$

Oil Exploration and Climate Change: A Case Study

0.6 0.4

(36)

of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 15

*rC T mc x*

m = TVT (37)

*p a*

0.4

*mc*

145.32 ( ) ( )

( )


compositions of associated gas in crude oil at the flare stations (Table 1).

The volume of obnoxious gases produced such as CO, CO2, NO2, SO2 and THC when Vm3 of gas is flared was estimated on the assumption that combustion of the associated gas is incomplete in air as shown in Equations 38-44. The calculation was also based on the

> **Component of gas flared Percentage of Composition**  CH4 47 C2H4 18 C3H8 20 C4H10 5 C5H12 9 H2S 0.03 N2 0.022 Others 0.068

Evaluation of volume of gas flared was estimated on the assumption that combustion is incomplete in air with the following reactions take place during the process of combustion.

> 42 2 2 <sup>7</sup> 2CH O CO CO 4H O

5 12 2 2 2 <sup>13</sup> C H O 2CO 3CO 6H O

(38)

C H 3O CO CO 3H O 26 2 2 <sup>2</sup> (39)

C H 4O CO 2CO 4H O 38 2 2 <sup>2</sup> (40)

C H 5O CO 3CO 5H O 4 10 2 2 <sup>2</sup> (41)

(42)

2

2

*rC T x r mc*

*pa a*

0.078 0.4 1.4

Qfd


But

(1 ( ))


**Table 1.** Component of gas flared (Abdulkareem, 2000)

*l a*

Rearrange Equation 30 to obtain;

$$N' = \left(\frac{\left(r\mathbb{C}\_p T\_a \{r\mathfrak{p} + \mathfrak{p}\_a\} + r\mathfrak{p}NHV\right)^{0.4}}{\rho^{0.4} \{NHV\}^{1.4}}\right) \left(r\mathbb{C}\_p T\_a + NHV\right)^{0.6} \tag{31}$$

Substituting Equation 31 into Equation 29 gives

$$\mathbf{Q}\_{i}^{0.078} = 145.32 \left( \frac{\{r \mathbf{C}\_{p} T\_{a} (r\rho + \rho\_{a}) + r\eta NHV\}^{0.4}}{\rho^{0.4} \{NHV\}^{1.4}} \right) \{r \mathbf{C}\_{p} T\_{a} + NHV\}^{0.6} \tag{32}$$

From Equation (32)

$$\mathbf{Q}\_{\mathbf{f}} = \alpha rrs \sqrt{145.32} \left( \frac{(r\mathbf{C}\_p T\_a (r\mathbf{p} + \mathbf{p}\_a) + r\mathbf{p} NHV)^{0.4}}{\rho^{0.4} \text{(NHV)}^{1.4}} \right) \left(r\mathbf{C}\_p T\_a + NHV\right)^{0.6} \tag{33}$$

Substituting Equation 33 into Equation 20 gives

$$\mathbf{Q}\_{\rm fid} = \sqrt{\frac{\alpha \sigma \eta \sqrt{145.32 \left( \frac{(r\mathbf{C}\_p T\_a (r\mathbf{p} + \rho\_a) + r\eta NHVV)^{0.4}}{\rho^{0.4} \{NHV\}^{1.4}} \right) \left(r\mathbf{C}\_p T\_a + NHV\right)^{0.6}}} \times \tag{34}$$

Relationship between net heating value and distance from flare point is given as (Ufarana, 2004)

$$\text{NHV} = \frac{\text{mc}\,\theta}{\text{x}}\tag{35}$$

Wherem= mass of flared gas, c = heat capacity of flared gas, = temperature of flared gas, x = distance

Substituting Equation 35 into Equation 34 to obtain

Oil Exploration and Climate Change: A Case Study of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 15

$$\mathbf{Q}\_{\rm fid} = \left( \sqrt{\mathbf{1}45.32 \left( \frac{\left( r \mathbf{C}\_p T\_a \mathbf{x} (r\mathbf{p} + \rho\_a) + \rho m c \Theta \right)^{0.4}}{\rho^{0.4} (m c \Theta)^{1.4}} \right) \left( r \mathbf{C}\_p T\_a + m c \Theta \right)^{0.6} \mathbf{x}^{0.4}} \right) \tag{36}$$
 
$$(1 - a(l - a))$$

But

(30)

(31)

(32)

(33)

(34)

14 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

0.4

( )1

0.4 1.4 (( ) ) '

*pa a*

*pa a*

*pa a*

*rC T r r NHV*

*NHV*

Relationship between net heating value and distance from flare point is given as (Ufarana,

mc NHV

Wherem= mass of flared gas, c = heat capacity of flared gas, = temperature of flared gas,

x

*rC T r r NHV*

( ) ( )

0.078 0.6

(( ) ) Q 145.32 ( ) ( )

*NHV* 

0.6 0.078 <sup>f</sup> 0.4 1.4 (( ) ) Q 145.32 ( ) ( )

0.6 0.078 0.4 1.4 (( ) ) 145.32 ( ) ( )

*NHV* 

*rC T r r NHV*

*rC T r r NHV*

*N rC T NHV NHV* 

*NHV*

*pa a*

f 0.4 1.4

*r*

'

*N*

0.4

*p a*

*p a*

0.4

0.4

0.4

*p a*

*p a*

*p a*

*rC T NHV*

(35)

*rC T NHV*

*rC T NHV*

0.6

*rC T*

*rC T NHV*

*p a*

0.4

*paa*

*rC T NHV*

*p a*

*rC T*

 

From Equation 27

Rearrange Equation 30 to obtain;

From Equation (32)

Qfd

2004)

x = distance

Substituting Equation 31 into Equation 29 gives

Substituting Equation 33 into Equation 20 gives

(1 ( ))

*l a*

Substituting Equation 35 into Equation 34 to obtain

$$\mathbf{m} = \mathbf{pr}\mathbf{V}\mathbf{r} \tag{37}$$


The volume of obnoxious gases produced such as CO, CO2, NO2, SO2 and THC when Vm3 of gas is flared was estimated on the assumption that combustion of the associated gas is incomplete in air as shown in Equations 38-44. The calculation was also based on the compositions of associated gas in crude oil at the flare stations (Table 1).


**Table 1.** Component of gas flared (Abdulkareem, 2000)

Evaluation of volume of gas flared was estimated on the assumption that combustion is incomplete in air with the following reactions take place during the process of combustion.

$$2\text{CH}\_4 + \frac{7}{2}\text{O}\_2 \rightarrow \text{CO}\_2 + \text{CO} + 4\text{H}\_2\text{O} \tag{38}$$

$$\rm C\_2H\_6 + 3O\_2 \rightarrow CO\_2 + CO + 3H\_2O \tag{39}$$

$$\rm C\_3H\_8 + 4O\_2 \rightarrow CO\_2 + 2CO + 4H\_2O \tag{40}$$

$$\rm C\_4H\_{10} + 5O\_2 \rightarrow CO\_2 + 3CO + 5H\_2O \tag{41}$$

$$\rm C\_5H\_{12} + \frac{13}{2}O\_2 \to 2CO\_2 + 3CO + 6H\_2O \tag{42}$$

$$\rm H\_2S + O\_2 \rightarrow SO\_2 + H\_2 \tag{43}$$

Oil Exploration and Climate Change: A Case Study

of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 17

country can easily cross political boundaries. People are beginning to recognize that pollutants can affect not just a region but the entire planets. Modern industrial society creates far more carbon (IV) oxide (CO2) that what the planet vegetation can consume (Odigure and Abdulkareem, 2001). As the excess CO2 rises into the atmosphere, it acts as absorptive body, which trap heat reflected from the earth surface. Scientists accept that green house effect from increased level of CO2 and other heat trapping gases eventually will cause an increase in global temperature. Some predicted that the temperature will rise significantly within the next century and that global pattern could be drastically disrupted. Air pollution is not restricted to outdoor air, although relatively little attention is given to the hazards of many substances found in indoor air most especially in the developing nations where there is no proper regulation in place to combat air pollution. But it is however well established that people may spend as much as 80-90% of their time indoor. The sources of indoor pollution are different for developing and industrialized country (Odigure and Abdulkareem, 2001). In developing countries, indoor pollution comes mainly from using biomass fuels (Wood, agricultural waste, dung etc.) for cooking and heating. The majority of the world's population depends on biomass for most of their energy supply. It is estimated that as many as 400-500 million people mainly in the rural area of developing countries and primarily women and children may be adversely affected by indoor pollution (FEPA Report, 1998). The fuel is burnt inefficiently in rooms that poorly ventilated. Biomass smoke contains numerous substances, the most hazardous of which include suspended particulate matter, nitrogen dioxide, carbon dioxide and sulphur dioxide (Gwendolyn et al, 1993). It also releases a number of aldehyde. While the key indoor pollutants in an industrialized countries are nitrogen dioxide, carbon monoxide, radon (from building material), formaldehyde (from insulator, asbestos, mercury, manmade fibers etc. Also polluting the environment is the heat radiated as result of these indoor activities and process industries. The released may be harmful to plant and animal. In Nigerian context, gas flaring from the oil exploitation and exploration in the Niger-Delta area of the country has been considered as the major sources of environmental pollution. Every day in southern Nigeria, almost 2million cubic feet of natural gas is burnt (flared) during crude oil production, more than is flared anywhere else in the world (Oni and Oyewo, 2011). Hence, gas flaring is not only wastes of valuable resources, but is also a major cause of environment pollution in the Niger-Delta, where most of Nigeria's oil output is produced. Nigeria has a population of over 170million people and an abundance of natural resources especially hydrocarbons. The Nigerian economy is largely dependent on its oil sector which supplies 95% of its foreign earnings. While the exploitation and exploration of oil has created some fortunes and contributed positively to the economic and technological advancement of Nigeria as a country, the accompanying socio-economic and ecological fallouts remain problematic. The public considers the oil producing companies operating in the Niger-Delta oil fields responsible as major environmental pollutants by way of relentless flaring and venting of gas in the environment, oil spillages, site clearing, deforestation and destruction of flora and fauna, and disturbances of the ecosystem in the 70,000 square kilometres Niger-Delta wetland (Oguejifor, 1993). Gas flaring in Nigeria today has posses an environmental hazard to the nation at large. So much damage is being done to the environment through gas flaring, that if nothing is done

$$\text{N}\_2 + \text{2O}\_2 \rightarrow \text{2NO}\_2\tag{44}$$

Basis: 1m3 of flared gas

Let SE = stack energy

The total volume of gas produced by flaring 1m3 of gas = volume of CO2 + volume of CO + volume of NO2 + volume of SO2 + volume of THC

$$\begin{aligned} &= 0.00845 \text{S\"s} + 0.1235 \text{S\"s} + 0.000003 \text{S\"s} + 0.00004 \text{S\"s} + 0.99 - 0.00990 \text{S\"s} = \\ &= (0.99 + 0.0109074 \text{S\"s}) \text{m}^3 = \text{Vr} \end{aligned} \tag{45}$$

Equation (45) represents the total volume of gas produced by flaring 1m3 of gas. But when Vm3 of gas is flared equation (45) becomes

$$(0.99 + 0.0109074 \text{S} \mathbb{A}) \text{V} \text{m}^3 = \text{V} \tau \tag{46}$$

From Equation 37 i.e. m = TVT

Substituting Equation (46) into Equation (37) gives

$$\mathbf{m} = \text{pr}(0.99 + 0.0109074 \mathbf{S} \mathbf{e}) \mathbf{V} \tag{47}$$

Substituting Equation 47 into Equation 36 gives

$$\mathbf{Q}\_{\rm id} = 0.078 \begin{pmatrix} \left( \mathbf{r} \mathbf{C}\_p T\_a \mathbf{x} (r \mathbf{p} + \mathbf{p}\_a) + \mathbf{p} \mathbf{p}\_T (0.99 + 0.0109074 \mathbf{S}\_E) \mathbf{V} \mathbf{C} \mathbf{f} \right)^{0.4} \\ \mathbf{p}^{0.4} \left( \boldsymbol{\rho}\_T (0.99 + 0.0109074 \mathbf{S}\_E) \mathbf{V} \mathbf{C} \right)^{1.4} \\\\ \left( \mathbf{r} \mathbf{C}\_p T\_a + \boldsymbol{\rho}\_T (0.99 + 0.0109074 \mathbf{S}\_E) \mathbf{V} \mathbf{C} \mathbf{f} \right)^{0.6} \mathbf{x}^{0.4} \\\\ \left( 1 - \mathbf{a} (1 - \mathbf{a}) \right) \end{pmatrix} \tag{48}$$

Where = Ts – Ta

$$\rho = \frac{\rho\_\text{a} \mathbf{T}\_\text{a}}{\mathbf{T}\_\text{s}}$$

Equation (48) is the model equation for the heat reflected due to gas flaring.

#### **3. Results and discussion of results**

Environmental pollution has transcended natural boundaries; stratospheric ozone depletion, global warming, the green house effect, deforestation, acid train and mega disaster are some of the various environmental problems attributed to pollution. The potential effects of global pollution have necessitated global cooperation in other to secure and maintain a live able global environment (Odjugo, 2010). It has been reported that pollutants emitted from one country can easily cross political boundaries. People are beginning to recognize that pollutants can affect not just a region but the entire planets. Modern industrial society creates far more carbon (IV) oxide (CO2) that what the planet vegetation can consume (Odigure and Abdulkareem, 2001). As the excess CO2 rises into the atmosphere, it acts as absorptive body, which trap heat reflected from the earth surface. Scientists accept that green house effect from increased level of CO2 and other heat trapping gases eventually will cause an increase in global temperature. Some predicted that the temperature will rise significantly within the next century and that global pattern could be drastically disrupted. Air pollution is not restricted to outdoor air, although relatively little attention is given to the hazards of many substances found in indoor air most especially in the developing nations where there is no proper regulation in place to combat air pollution. But it is however well established that people may spend as much as 80-90% of their time indoor. The sources of indoor pollution are different for developing and industrialized country (Odigure and Abdulkareem, 2001). In developing countries, indoor pollution comes mainly from using biomass fuels (Wood, agricultural waste, dung etc.) for cooking and heating. The majority of the world's population depends on biomass for most of their energy supply. It is estimated that as many as 400-500 million people mainly in the rural area of developing countries and primarily women and children may be adversely affected by indoor pollution (FEPA Report, 1998). The fuel is burnt inefficiently in rooms that poorly ventilated. Biomass smoke contains numerous substances, the most hazardous of which include suspended particulate matter, nitrogen dioxide, carbon dioxide and sulphur dioxide (Gwendolyn et al, 1993). It also releases a number of aldehyde. While the key indoor pollutants in an industrialized countries are nitrogen dioxide, carbon monoxide, radon (from building material), formaldehyde (from insulator, asbestos, mercury, manmade fibers etc. Also polluting the environment is the heat radiated as result of these indoor activities and process industries. The released may be harmful to plant and animal. In Nigerian context, gas flaring from the oil exploitation and exploration in the Niger-Delta area of the country has been considered as the major sources of environmental pollution. Every day in southern Nigeria, almost 2million cubic feet of natural gas is burnt (flared) during crude oil production, more than is flared anywhere else in the world (Oni and Oyewo, 2011). Hence, gas flaring is not only wastes of valuable resources, but is also a major cause of environment pollution in the Niger-Delta, where most of Nigeria's oil output is produced. Nigeria has a population of over 170million people and an abundance of natural resources especially hydrocarbons. The Nigerian economy is largely dependent on its oil sector which supplies 95% of its foreign earnings. While the exploitation and exploration of oil has created some fortunes and contributed positively to the economic and technological advancement of Nigeria as a country, the accompanying socio-economic and ecological fallouts remain problematic. The public considers the oil producing companies operating in the Niger-Delta oil fields responsible as major environmental pollutants by way of relentless flaring and venting of gas in the environment, oil spillages, site clearing, deforestation and destruction of flora and fauna, and disturbances of the ecosystem in the 70,000 square kilometres Niger-Delta wetland (Oguejifor, 1993). Gas flaring in Nigeria today has posses an environmental hazard to the nation at large. So much damage is being done to the environment through gas flaring, that if nothing is done

16 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

= 0.00845SE + 0.1235SE + 0.000003SE + 0.00004SE + 0.99 – 0.00990SE =

The total volume of gas produced by flaring 1m3 of gas = volume of CO2 + volume of CO +

Equation (45) represents the total volume of gas produced by flaring 1m3 of gas. But when

Basis: 1m3 of flared gas Let SE = stack energy

volume of NO2 + volume of SO2 + volume of THC

Substituting Equation (46) into Equation (37) gives

Substituting Equation 47 into Equation 36 gives

0.078 fd

**3. Results and discussion of results** 

Where = Ts – Ta

Vm3 of gas is flared equation (45) becomes

From Equation 37 i.e. m = TVT

H S O SO H 2 2 22 (43)

N 2O 2NO 22 2 (44)

= (0.99 + 0.0109074SE)m3 = VT (45)

(0.99 + 0.0109074SE)Vm3 = VT (46)

m = T(0.99 + 0.0109074SE)V (47)

*S VC*

0.4

0.6 0.4

(1 (l a)) (48)

1.4 0.4

 

[ ( ) (0.99 0.0109074 ) ]

*rC T x r S VC*

*T E*

*pa a T E*

(0.99 0.0109074 )

*rxC T S VC x*

a a s T T 

Environmental pollution has transcended natural boundaries; stratospheric ozone depletion, global warming, the green house effect, deforestation, acid train and mega disaster are some of the various environmental problems attributed to pollution. The potential effects of global pollution have necessitated global cooperation in other to secure and maintain a live able global environment (Odjugo, 2010). It has been reported that pollutants emitted from one

*pa T E*

Q 145.32 (0.99 0.0109074 )

Equation (48) is the model equation for the heat reflected due to gas flaring.

in a few years from now, serious environmental and health problems such as premature death and diseases will emerge. It is therefore, on this ground that a mathematical model that can quantify the amount of heat radiation from a flare stack is developed in this work. The model will assist in estimating the quantity of heat migration from gas flaring as a function of flare temperature, gas flow rate and geometric design (Efficiency) of the flare stack. Data gathered on the rate of flaring of gas and the measured quantities of heat radiation are presented in Tables 1 and 2. While the simulated results at different conditions for a period of one year for gas flare stations 1 and 2 are presented in Figs. 2-7

Oil Exploration and Climate Change: A Case Study

of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 19

point and wind speed. However, the measured heat radiation to large extent conforms to

Months Jan Feb Mar April May June Sept Dec

Simulation of the model is the use of computer code to show the operation and behavior of the system. The model equation developed for the heat radiation from gas flaring was simulated using Q-basic programme. The results obtained are presented in Figs 3-8. The simulated results values are obtained at various distances ranging from 25m to 1500m for different volume of gas flared and at different stack efficiencies of 65%, 75% and 85%. The choice of these 3 stack is as favoured by the world bank report that flare stack efficiency in the flare station of Niger-Delta area of Nigeria is 75%. It can be seen from the simulation results presented that the heat radiation from gas flaring for different stations increases with increase in volume of gas flared and stack efficiency, while the quantity of heat radiated reduces with increase in distance from the flare point. For instance in the month of May at a distance of 100m the quantity of heat radiated is 0.00262287 kW/m2 while at a distance of 200m the quantity of heat radiated is 0.0023729 kW/m2 for station 1. Results as presented also indicate that at a stack efficiency of 64% in the month of May, the quantity of heat radiated at a distance of 100m is 0.00262287 kW/m2, while for that same month at the same distance in the same station when the stack efficiency is 74%, the quantity of heat radiated is 0.00279044 kW/m2. Simulation results presented also indicates that the highest quantities of heat is radiated in the month of June for station1 and this as a result of the fact that highest amount of gas flared in this station during this month. Results as presented in Figs for station2 indicates same pattern of results as obtained in station1. It could be observed from the experimental and simulated results that the habitants of the Niger-Delta area of Nigeria are exposed to serious environmental risk based on the quantities of heat released into the environment from the gas flare stations. Results obtained support the claims by the researchers that the fire form gas flaring stations generate constant heat, which in turn evaporate water produced around the flare point, thus increasing the salinity of the pool water. There is also an evidence including the observation by the local farmers that the flare is considerably diminishes the value of agriculture productivity. Other observation made in the Niger-Delta area as a negative consequence of heat radiation from gas flaring is that the

100 0.805 0.553 0.050 3.016 2.672 2.735 1.527 0.837 150 0.716 0.514 0.076 2.465 2.429 1.994 1.668 0.725 200 0.620 0.440 0.075 1.010 3.034 1.697 2.708 0.620 250 0.330 0.332 0.075 3.916 2.175 1.682 2.262 0.522 300 0.319 0373 0.094 0.312 1.675 1.520 1.929 0.457 500 0.558 0.237 0.091 0.979 1.262 1.519 1.849 0.305

Heat Radiation (kW/m2) ×10-3

the physical law of pollutant dispersion from the generating sources.

Distances (m)

**Table 3.** Heat radiation from gas flaring station 1

game animals were scared away by the fire.

Table 2 present the average volume of gas flared from two flare stations per month for a period of one year. Results as presented indicate non uniformity in the volume of gas flared by the flare station per months. For instance, the volume of gas flared in station 1 for the month of May was 2.03m3/sec while the volume of gas flared in the same station in the month of June was 1.65m3/sec. Results also reveal variation in the rate of gas flaring by the two stations investigated, with average rate of gas flaring by station 2 higher than that of station 1. The variation in the rate of gas flaring as presented can be attributing to the variation in the rate of production of crude by the two stations. The crude oil obtained from wells is a mixture of crude oil itself, water and natural gas. At the flow stations, the components are separated and the gas that not be contained is flared. Hence when the rate of crude oil produced increases, the quantity of gas flared will also increases.



Presesnted in Table 3 are the measured values of heat radiation per month by station 1 for a period of eight months. The measured values showed that 0.805×10-3 kW/m2 of heat was radiated at a distance of 100m for the month January, while 0.050×10-3kW/m2 of heat was radiated at the same distance for the month of February. Values of heat radiation presented in Table 3 do not show any distribution pattern with seasons. The un-pattern nature of heat radiation per season could be attributed to the volume of gas flared, distances from flared


point and wind speed. However, the measured heat radiation to large extent conforms to the physical law of pollutant dispersion from the generating sources.

**Table 3.** Heat radiation from gas flaring station 1

18 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

gas flare stations 1 and 2 are presented in Figs. 2-7

**Table 2.** Flow rate of gas flared per month

in a few years from now, serious environmental and health problems such as premature death and diseases will emerge. It is therefore, on this ground that a mathematical model that can quantify the amount of heat radiation from a flare stack is developed in this work. The model will assist in estimating the quantity of heat migration from gas flaring as a function of flare temperature, gas flow rate and geometric design (Efficiency) of the flare stack. Data gathered on the rate of flaring of gas and the measured quantities of heat radiation are presented in Tables 1 and 2. While the simulated results at different conditions for a period of one year for

Table 2 present the average volume of gas flared from two flare stations per month for a period of one year. Results as presented indicate non uniformity in the volume of gas flared by the flare station per months. For instance, the volume of gas flared in station 1 for the month of May was 2.03m3/sec while the volume of gas flared in the same station in the month of June was 1.65m3/sec. Results also reveal variation in the rate of gas flaring by the two stations investigated, with average rate of gas flaring by station 2 higher than that of station 1. The variation in the rate of gas flaring as presented can be attributing to the variation in the rate of production of crude by the two stations. The crude oil obtained from wells is a mixture of crude oil itself, water and natural gas. At the flow stations, the components are separated and the gas that not be contained is flared. Hence when the rate

> Volume of gas flare (m3/s) Months Station 1 Station 2 Jan 1.78 2.79 Feb 2.10 3.16 Mar 1.52 2.78 April 1.56 3.21 May 2.03 2.91 June 1.65 2.66 July 1.74 2.64 Aug 1.39 2.87 Sept 1.92 3.01 Oct 1.30 2.56 Nov 0.99 2.81 Dec 1.75 2.97

Presesnted in Table 3 are the measured values of heat radiation per month by station 1 for a period of eight months. The measured values showed that 0.805×10-3 kW/m2 of heat was radiated at a distance of 100m for the month January, while 0.050×10-3kW/m2 of heat was radiated at the same distance for the month of February. Values of heat radiation presented in Table 3 do not show any distribution pattern with seasons. The un-pattern nature of heat radiation per season could be attributed to the volume of gas flared, distances from flared

of crude oil produced increases, the quantity of gas flared will also increases.

Simulation of the model is the use of computer code to show the operation and behavior of the system. The model equation developed for the heat radiation from gas flaring was simulated using Q-basic programme. The results obtained are presented in Figs 3-8. The simulated results values are obtained at various distances ranging from 25m to 1500m for different volume of gas flared and at different stack efficiencies of 65%, 75% and 85%. The choice of these 3 stack is as favoured by the world bank report that flare stack efficiency in the flare station of Niger-Delta area of Nigeria is 75%. It can be seen from the simulation results presented that the heat radiation from gas flaring for different stations increases with increase in volume of gas flared and stack efficiency, while the quantity of heat radiated reduces with increase in distance from the flare point. For instance in the month of May at a distance of 100m the quantity of heat radiated is 0.00262287 kW/m2 while at a distance of 200m the quantity of heat radiated is 0.0023729 kW/m2 for station 1. Results as presented also indicate that at a stack efficiency of 64% in the month of May, the quantity of heat radiated at a distance of 100m is 0.00262287 kW/m2, while for that same month at the same distance in the same station when the stack efficiency is 74%, the quantity of heat radiated is 0.00279044 kW/m2. Simulation results presented also indicates that the highest quantities of heat is radiated in the month of June for station1 and this as a result of the fact that highest amount of gas flared in this station during this month. Results as presented in Figs for station2 indicates same pattern of results as obtained in station1. It could be observed from the experimental and simulated results that the habitants of the Niger-Delta area of Nigeria are exposed to serious environmental risk based on the quantities of heat released into the environment from the gas flare stations. Results obtained support the claims by the researchers that the fire form gas flaring stations generate constant heat, which in turn evaporate water produced around the flare point, thus increasing the salinity of the pool water. There is also an evidence including the observation by the local farmers that the flare is considerably diminishes the value of agriculture productivity. Other observation made in the Niger-Delta area as a negative consequence of heat radiation from gas flaring is that the game animals were scared away by the fire.

Comparison of experimental results with simulated results showed that there is variation between them. The variation between experimental and modeling simulation results could be attributed to the following factors.

Oil Exploration and Climate Change: A Case Study

of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 21

**Figure 4.** Heat radiation from gas flaring (Station 1) with a stack efficiency of 75%

0 200 400 600 800 1000 1200 1400 1600

Heat raditaion (Jan) Heat radiation (Feb) Heat radiation (March) Heat radiation (April) Heat radiation (May) Heat radiation (June) Heat radiation (July) Heat radiation (Aug) Heat radiation (Sept) Heat radiation (Oct) Heat radiation (Nov) Heat radiation (Dec)

Heat radiation (Jan) Heat radiation (Feb) Heat radiation (March) Heat radiation (April) Heat radiation (May) Heat radiation (June) Heat radiation (July) Heat radiation (Aug) Heat radiation (Sept) Heat radiation (Oct) Heat raditation (Nov) Heat radiation (Dec)

Distance (m)

0 200 400 600 800 1000 1200 1400 1600

Distance (m)

0

0

0.005

0.01

0.015

Heat radiation (kW/m2)

0.02

0.025

0.005

0.01

0.015

Heat radiation (kW/m2)

0.02

0.025

**Figure 5.** Heat radiation from gas flaring (Station 1) with a stack efficiency of 85%


Despite the variation between the experimental and simulated results, the dispersion pattern of the obtained values from experimental and simulation showed that the model and experimental results to a large extent conforms to the modified physical law proposed by (Gwendolyn, 1993).

**Figure 3.** Heat radiation from gas flaring (Station 1) with a stack efficiency of 65%

#### Oil Exploration and Climate Change: A Case Study

0 200 400 600 800 1000 1200 1400 1600

Distance (m)

**Figure 4.** Heat radiation from gas flaring (Station 1) with a stack efficiency of 75%

20 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

rains part of the accumulated heat pollutant will be washed away

**Figure 3.** Heat radiation from gas flaring (Station 1) with a stack efficiency of 65%

0 200 400 600 800 1000 1200 1400 1600

Distance (m)

be attributed to the following factors.

during flaring at a given time.

atmospheric condition.

by (Gwendolyn, 1993).

0 0.002 0.004 0.006 0.008 0.01 0.012 0.014 0.016 0.018 0.02

Heat radiation (kW/m2)

Comparison of experimental results with simulated results showed that there is variation between them. The variation between experimental and modeling simulation results could

1. The un-patterned nature of the experimental data, which could be attributed to the fact that the weather conditions and rate of rainfall are not constant throughout the season. As a result, the heat will accumulate in the air during no rain period. However, when it

2. Experimental values are a measure of the extent of atmospheric pollution because of possibility of accumulation as stated above. While the simulation results are an instantaneous value i.e. it measured the possible amount of heat that could be released

3. Atmospheric conditions such as wind speed, humidity, temperature e.t.c affect the dispersion and dilution of heat radiation from flare stack as a function distance. 4. The variation in experimental and simulations values could also be attributed to some assumption made at the initial stage of the modeling, such as wind speed, weather condition, volume of gas flared e.t.c. These assumptions may not conform to prevailing

Despite the variation between the experimental and simulated results, the dispersion pattern of the obtained values from experimental and simulation showed that the model and experimental results to a large extent conforms to the modified physical law proposed

> Heat radiation (jan) Heat radiation (Feb) Heat radiation (March) Heat radiation (April) Heat radiation (May) Heat radiation (June) Heat radiation (July) Heat radiation (Aug) Heat radiation (Sept) Heat radiation (Oct) Heat radiation (Nov) Heat radiation (Dec)

**Figure 5.** Heat radiation from gas flaring (Station 1) with a stack efficiency of 85%

Oil Exploration and Climate Change: A Case Study

of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 23

Heat ra diation (Jan) Heat radiation (Feb) Heat radiation (March) Heat radiation (April) Heat radiation (May) Heat radiation (june) Heat radiation (July) Heat radiation (Aug) Heat radiation (Sept) Heat radiation (Oct) Heat radiation (Nov) Heat radiation (Dec)

**Figure 8.** Heat radiation from gas flaring (Station 2) with a stack efficiency of 85%

Environmental pollution due to heat radiation from gas flaring stations in the Niger-Delta area of Nigeria has been identified as one of the major causes of strives, demonstration and sometimes-violent protest between the oil exploration companies and habitants of Niger-Delta area of Nigeria. Experimental analysis of heat radiation from gas flaring has been conducted. Attempt at modeling heat radiation from flare station using q basic program is hereby presented. It can be inferred from the simulation results of the developed model that volume of gas flared considerably affects the quantity of heat radiation from gas flaring in a direct proportionate manner. Also influence the heat radiation from gas is the distances of measurement from the point of flare, as the distance increases the quantity of heat radiated decreases. It can be inferred from the results that the effect of heat radiated will be felt mostly felt at distances of 25-100m within the point if flare. The result also clearly show that show that continuous gas flaring irrespective of the quality deposited in the immediate environment will in the long run lead to change in the physicochemical properties of environment due to the quantity of heat radiated. From this research, the following

0 200 400 600 800 1000 1200 1400 1600

Distance (m)

**4. Conclusion** 

0

0.1

0.2

0.3

0.4

Heat radiation (kW/m2)

0.5

0.6

0.7

0.8

conclusions can be deduced:

**Figure 6.** Heat radiation from gas flaring (Station 2) with a stack efficiency of 65%

**Figure 7.** Heat radiation from gas flaring (Station 2) with a stack efficiency of 75%

Oil Exploration and Climate Change: A Case Study of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 23

**Figure 8.** Heat radiation from gas flaring (Station 2) with a stack efficiency of 85%

## **4. Conclusion**

22 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Heat radiation (Jan) Heat radiation (Feb) Heat radiation (March) Heat radiation (April) Heat radiation (May) Heat radiation (June) Heat radiation (July) Heat radiation (Aug) Heat radiation (Sept) Heat radiation (Oct) Heat radiation (Nov) Heat radiation (Dec)

**Figure 6.** Heat radiation from gas flaring (Station 2) with a stack efficiency of 65%

0 200 400 600 800 1000 1200 1400 1600

Heat radiation (Jan) Heat radiation (feb) Heat radiation (March) Heat radiation (April) Heat radiation (May) Heat radiation (June) Heat radiation (July) Heat radiation (Aug) Heat radiation (Sept) Heat radiation (Oct) Heat radiation (Nov) Heat radiation (Dec)

Distance (m)

0

0

0.1

0.2

0.3

0.4

**Heat radiation (kw/m2)**

0.5

0.6

0.7

0.1

0.2

0.3

Heat radiation (kW/m2)

0.4

0.5

0.6

0.7

**Figure 7.** Heat radiation from gas flaring (Station 2) with a stack efficiency of 75%

0 200 400 600 800 1000 1200 1400 1600

**Distance (m)**

Environmental pollution due to heat radiation from gas flaring stations in the Niger-Delta area of Nigeria has been identified as one of the major causes of strives, demonstration and sometimes-violent protest between the oil exploration companies and habitants of Niger-Delta area of Nigeria. Experimental analysis of heat radiation from gas flaring has been conducted. Attempt at modeling heat radiation from flare station using q basic program is hereby presented. It can be inferred from the simulation results of the developed model that volume of gas flared considerably affects the quantity of heat radiation from gas flaring in a direct proportionate manner. Also influence the heat radiation from gas is the distances of measurement from the point of flare, as the distance increases the quantity of heat radiated decreases. It can be inferred from the results that the effect of heat radiated will be felt mostly felt at distances of 25-100m within the point if flare. The result also clearly show that show that continuous gas flaring irrespective of the quality deposited in the immediate environment will in the long run lead to change in the physicochemical properties of environment due to the quantity of heat radiated. From this research, the following conclusions can be deduced:

1. It was observed that the result of simulation of model developed based on the modified principles of pollutants dispersion agreed with the experimental results.

Oil Exploration and Climate Change: A Case Study

of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 25

Abdulakreem, A. S. & Odigure, J.O. (2002). Radiative Heat Evaluation from Gas Flaring By Computer Simulation. Journal of Association for the advancement of Modelling and simulation in enterprises, Lyon France. Vol.71, No 2, pp 19 – 35, ISSN 0761 – 2516. Abdulkareem A.S. (2000). Mathematical modelling of pollutant migration from gas flaring in the Niger Delta Area. MsC thesis, Department of Chemical Engineering, Federal

Abdulkareem, A. S. (2005). Evaluation of ground level concentration of pollutant due to gas flaring by computer simulation: A case study of Niger – Delta area of Nigeria. Leonardo Electronic Journal of Practices and Technologies, Technical University of Cluj - Napoca

Abdulkareem, A. S.(2005). Urban Air Pollution Evaluation by Computer Simulation: A Case study of Petroleum Refining Company, Nigeria. Leonardo Journal of Science Technical

Abdulkareem, A.S & Odigure, J.O. (2006). Deterministic Model for Noise Dispersion from gas Flaring: A case study of Niger – Delta area of Nigeria. Journal of Chemical and

Abdulkareem, A.S. & Odigure. J.O. (2010): Economic Benefit of Natural Gas Utilization in Nigeria: A case study of Food Processing Industry. Journal of Energy Source Part B, Vol

Abdulkareem, A.S.; Idibie, C.A.; Afolabi, A.S.; Pienaar, H.C.vZ. & Iyuke S.E. (2010): Kinetics of sulphonation of polystyrene butadiene rubber in sulphuric acid medium. Journal of International Review of Chemical Engineering, vol. 2, No7, pp 832-839, ISSN 2035-1755 Abowei, M.F.N.; Susu, A.A & Onyeme, J.O (1997). Oil spill in marine enviroment. CJC press

Adeniyi, O.D.; Kovo, A.S.; Abdulkareem. A.S & Chukwudozie. C. (2007): Ethanol Fuel Production from Cassava as a Substitute for Gasoline. Journal of Dispersion and

Aghalino, S.O & Eyinal, B (2009). Oil exploitation and marine pollution: Evidence from

Ajayi, O.M (1999): Impact of gas flaring on the Niger-Delta Area: A case study of Port-Harcourt. B.Eng degree project, department of Chemical Enginnering, Federal

Akpan, S (2009). The production and utilisation of natural gas resources in Nigeria: A review. Proceedings of annual international conference and exhibition of the Nigerian

Alakpodia, I.J (1980): The effect of gas flaring on the microclimate and adjacent vegetation in Isoko area. Master of Science thesis, University of Lagos, Nigeria (unpublished), 1-50.

University of Cluj - Napoca Romania. Issue 6, pp 17 – 28, ISSN: 1583 - 0233.

Biochemical Engineering, Croatia Q 20, No 2, pp 139 – 146, ISSN 0352 – 9568. Abdulkareem, A.S,; Odigure, J.O & Abenege, S (2010): Predictive model for pollutant dispersion from gas flaring: A case study of oil producing area in Nigeria. Journal of

University of Technology, Minna. Nigeria (unpublished), 1-85.

Romania. Issue 6, pp 29 – 42, ISSN 1583 - 1078.

energy sources, Part A, 1004-1015. ISSN 1556-7036.

Technology, vol. 28, No4, pp 501-504, ISSN 0193-2691.

Society of Petroleum Engineers, Abuja, Nigeria.

Niger-Delta, Nigeria. Journal of human ecology, vol.28(3), 177-182.

University of Technology, Minn. Nigeria (unpublished) 10-26.

**6. References** 

5 Pp 106-114.

(Nigeria) ltd, Lagos, Nigeria.1-50.


$$\mathbf{Q}\_{\rm fd} = \left\{ \sqrt{\mathbf{1}45.32 \left( \frac{\left( r \mathbf{C}\_p T\_a \mathbf{x} (r\rho + \rho\_a) + \rho m c \Theta \right)^{0.4}}{\rho^{0.4} (m c \Theta)^{1.4}} \right) (r \mathbf{C}\_p T\_a + m c \Theta)^{0.6} \mathbf{x}^{0.4}} \right\} \times \mathbf{1}$$

## **Author details**

Abdulkareem A.S.

*Department of Chemical Engneering, School of Engineering and Engineering Technology, Federal University of Technology, Minna, Niger State Nigeria* 

*Department of Civil and Chemical Engineering, College of Science, Engineering and Technology, University of South Africa, Private Bag X6, Florida, Johannesburg, South Africa* 

## Afolabi A.S.

*Department of Civil and Chemical Engineering, College of Science, Engineering and Technology, University of South Africa, Private Bag X6, Florida, Johannesburg, South Africa* 

Abdulfatai J.

*Department of Chemical Engneering, School of Engineering and Engineering Technology, Federal University of Technology, Minna, Niger State Nigeria* 

Uthman H. *Department of Chemical Engneering, School of Engineering and Engineering Technology, Federal University of Technology, Minna, Niger State Nigeria* 

*Membrane Research Unit (MRU), Block L-01, Universiti Teknologi Malaysia (UTM), International Campus, Jalan Semarak, WP, Kuala Lampur Malaysia*

Odigure J.O. *Department of Chemical Engneering, School of Engineering and Engineering Technology, Federal University of Technology, Minna, Niger State Nigeria* 

## **5. Acknowledgement**

We wish to acknowledge the support received from Federal University of Technology Minna, for successful completion of this research. National research foundation (NRF), South Africa and Faculty of Science, Engineering and Technology University of South Africa are also appreciated for their support.

### **6. References**

24 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

principles of pollutants dispersion agreed with the experimental results.

3. Model equation that best represents pollutant dispersion pattern is:

0.078 0.4 1.4

volume of gas flared and stacks efficiency.

(1 ( ))

*l a*

*Federal University of Technology, Minna, Niger State Nigeria* 

*Federal University of Technology, Minna, Niger State Nigeria* 

*Federal University of Technology, Minna, Niger State Nigeria* 

*Federal University of Technology, Minna, Niger State Nigeria* 

*International Campus, Jalan Semarak, WP, Kuala Lampur Malaysia*

Qfd

**Author details** 

Abdulkareem A.S.

Afolabi A.S.

Abdulfatai J.

Uthman H.

Odigure J.O.

**5. Acknowledgement** 

are also appreciated for their support.

1. It was observed that the result of simulation of model developed based on the modified

2. The dispersion pattern of heat radiation based on the simulation results showed that the extent of spread heat from the flare point is dependent on nearness to source of flaring,

0.4

*mc*

145.32 ( ) ( )

( )

*Department of Chemical Engneering, School of Engineering and Engineering Technology,* 

*University of South Africa, Private Bag X6, Florida, Johannesburg, South Africa* 

*University of South Africa, Private Bag X6, Florida, Johannesburg, South Africa* 

*Department of Civil and Chemical Engineering, College of Science, Engineering and Technology,* 

*Department of Civil and Chemical Engineering, College of Science, Engineering and Technology,* 

*Department of Chemical Engneering, School of Engineering and Engineering Technology,* 

*Department of Chemical Engneering, School of Engineering and Engineering Technology,* 

*Department of Chemical Engneering, School of Engineering and Engineering Technology,* 

We wish to acknowledge the support received from Federal University of Technology Minna, for successful completion of this research. National research foundation (NRF), South Africa and Faculty of Science, Engineering and Technology University of South Africa

*Membrane Research Unit (MRU), Block L-01, Universiti Teknologi Malaysia (UTM),* 

*rC T x r mc*

*pa a*

0.6 0.4

*p a*

*rC T mc x*


	- Alameddine, I & El-Fadel, M (2005). Stack emission from desalination plant: A parametric senstivity analysis for exposure assessment. Journal of desalination, vol. 177, 15-29.

Oil Exploration and Climate Change: A Case Study

of Heat Radiation from Gas Flaring in the Niger Delta Area of Nigeria 27

Luyben, W.L (1999). Process modeling, simulation and control for chemical engineers. 2nd

Nigerian natural gas stratergy under supervison of teh world bank (2002). IPA Energy

Nwaichi, E.O & Uzazobona, M.A (2011). Estimation of CO2 level due to gas flaring in the Niger-Delta. Research journal of enviromental sciences, vol. 5(6), 565-572. ISSN 1819-

Nyelong, P.N (2004). Global warming and global water. Journal of energy and enviroment,

Nyong, A.; Adesina, F & Osman Elasha, B (2007). The value of indigeneous knowledge in climate change mitigation and adaptation strategies in the African Sahel. Journal of

Odigure, J. O & Abdulkareem, A. S. (2001). Modelling of Pollutant's migration from gas flaring: A case study of Niger – Delta area of Nigeria. Journal of Association for the advancement of Modelling and simulation in enterprises, Lyon France. Vol.62, No 3, p

Odigure, J. O.; Abdulkareem, A.S. & O.D Adeniyi, O.D (2003). Computer simulation of soil temperature due to heat radiation from gas flaring. Association for the advancement of Modelling and simulation in enterprises, Lyon France. Vol. 72, No 6, pp 1 – 10, ISSN

Odigure, J.O.; Abdulkareem, A.S& Adeniyi, O.D (2004): Mathematical modelling and computer simulation of noise radiation by generator. Assumption university journal of

Odjugo, A.O.P (2009). Quantfying the cost of climate change impact in Nigeria: Emphsis on

Odjugo, A.O.P (2010). Regional evidence of climate change in Nigeria. Journal of geography

Odjugo, A.O.P (2011). Climate change and global warming. The Nigeria perspective. Journal

Olukoga, E.A (2002). Natural gas as a vehicular fuel. Proceedings of Nigeria gas association,

Oni, I.S & Oyewo, A.M (2011). Gas flaring, transportation and susitanable energy development in the Niger-Delta, Nigeria. Journal of human ecology, vol. 33(1), 21-28. Onyiah, I.M (2005): Modificcation and verification of Milton equation for measuring gaseous pollutant concentration. Post graduate diploma thesis, Department of Chemical Engineering , Federal University of Technology, Minna, Nigeria (unpublished), 1-63. Oyekunle, L.O (1999): Effect of gas flaring in Niger-Delta area. Proceddings of Nigerian

Potocnik, P.; Thaler, M.; Gavekar, E.; Grabec, I & Puredoz, A (2007). Forecasting risks of natural gas consumption in Slovenia. Journal of energy policy, vol.35, 4271-4282. Reymond, M (2007). European key issues concerning natural gas: Development and

vulnerability. Journal of energy policy, vol. 35, 4169-4176, ISSN 0301-4215

mitigation, adaptation and startegtic global change, vol.12, 787-789.

wind and rainstorms. Journal of humna ecology, vol.28 (2), 93-101.

of suistainable development and enviromental protection, vol.1(1), 1-12.

and regional planning, vol. 3(6), 142-150. ISSN 2070-1845.

international gas conference exhibition, Abuja, Nigeria. 6.

Society of Chemical Engineers, Port-Harcourt, Nigeria. 13.

edition, McGraw-Hill, Singapore. 15-91.

consulting and Co. 12-25.

57 – 68, ISSN 0761 – 2524.

technology, vol 7(3), 111-119., ISSN 1513-0886.

1259 – 5969.

3412.

vol. 17 (1), 79-90.


Luyben, W.L (1999). Process modeling, simulation and control for chemical engineers. 2nd edition, McGraw-Hill, Singapore. 15-91.

26 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

A36, 468-474.

(unpublished) 1-56.

no:2.79/288, 1-18.

Victoria Falls. Zimbabwe.

world bank, Washigton, DC.

Technology, Minn. Nigeria (unpublished), 1-51.

of Technology, Minn. Nigeria (unpublished) 1-60.

Strategic gas plan for Nigeria, February, 2004.

industrial aerodynamics, vol.59, 51-67.

6288.

Alameddine, I & El-Fadel, M (2005). Stack emission from desalination plant: A parametric senstivity analysis for exposure assessment. Journal of desalination, vol. 177, 15-29. Baroutian, S.; Mohebbi, A & Goharrizi, S.A (2006). Measuring and modelling particulate dispersion: A case study of Kerman cement plant. Journal of hazrdous materials, vol.

Carvalho, J.C& De Vihema, T.M.B (2005): Pollutant dispersion simulation fro low wind speed condition by the ILS method. Journal of atmospheric enviroment, vol.39, 6182-

Cermark, J.E (1985): Physical modeling of urban air pollutant transport. Journal of wind and

Chimaroke, A.C (2004): Urban air pollution by computer simulation. B.Eng degree project, department of Chemical Enginnering, Federal University of Technology, Minn. Nigeria

Davidson, O.R (1998). The climate convetion and Kyoto agreements: Opprotunities for Africa. Proceedings of an international conference on enviroment, Elephant Hills,

Davies, S & Ebbe, K (1995). Traditional knowledge and sustainable development. Proceedings of international conference on enviromentally suistainable development,

Drake, B & Hubacek, K (2007). What to expect from greater geographic dispersion of wind farms?-A risk portfolio approach. Journal of energy policy, vol.35, 3999-4008. Eludinni, O.I (2004): A review of eceonomic benefits of natural gas utilization in Nigeria. B.Eng degree project, department of Chemical Enginnering, Federal University of

Global gas flaring reduction initiative (2002). Report on consultaion with stakeholders,

Ifeayichukwu, G. P (2001). Modelin of air pollution in industrial cities: Case study of Lagos, Nigeria, B.Eng degree project, department of Chemical Enginnering, Federal University

Ikelegbe, O.O (1999). Pollution in Nigeria: Cause effect and control. Proceddings of Nigerian

Indriani, G (2005). Gas flaring reduction in the indonesian oil and gas sector –Technical and economic potential of clean development mechanism (CDM) projects. Hamburg

Janes, J.; Armstrong, K,; Shirvill, L,; Emannuel, G & Monoplis, J(2000). Flaring & venting in the oil & gas exploration & production industry: An overview of purpose, quantities, issues, practices and trends. International association of oil & gas producers, report

Joint UNDP/World bank energy programme sector management programme (ESMAP).

Kinee, E.J.; Touma, J.S.; Mason, R.; Therman, J.; Belder, A.; Bailey, C & Cook, R (2004). Allocation of on road mobile emissions to road segments for air toxics modelling in an

world bank group on collaboration with goverment of Norway. 27-30.

Geographical Association conference, Minna, Niger State, Nigeria. 18-22.

instituite of international economics, report 253, 1-141. ISSN 0179-2253.

urban area. Journal of transportation research, partB9, 139-150.

	- Soylu, S (2007). Estimation of Turkish road transport emssions. Journal of energy policy, vol.35, 4088-4094, ISSN 0301-4215

**Chapter 2** 

© 2012 Anyanova, licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Anyanova, licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

After the Second World War not only the public interest in the environment increased in general. Concerns of coastal states about increasing ship-source marine pollution and oil spills started to grow as well. Some of the occurred incidents with tankers clearly demonstrated that oil spills in an environmentally or economically sensitive area could

Oil pollution of the ocean comes from shipping activity and offshore oil production. Sea-bed activities on oil exploration and production constitute a relatively small part in the general amount of the pollution of marine environment with oil. The principal cause of marine pollution with oil is shipping. Traditionally shipping is considered to be "a polluting industry". The world's tanker fleet counts approximately 7 000 vessels with cargo capacities between 76 000 and 175 000 tons (Gennaro, 2004). Usual shipping operations, especially transportation of oil by tankers and accidents, result in the dumping of around 600 000 –

Due to the use of pipelines for petroleum products, oil transportation with tankers decreased significantly (Gennaro, 2004). However, the incidents with this type of vessels and the occurred oil spills occur constantly. The last oil pollution incident, which gained publicity and attention of the mass media, happened in October 2011 off the New Zealand's coast. The grounding off of the tanker "Rena" and the followed oil leaking caused the environmental disaster. This oil spill seriously damaged wildlife, including penguins, seals, dolphins, whales and rare sea birds (New Zealand oil spill ship captain charged, 2011).

It must be stressed here that the oil spills and individual catastrophes are very spectacular, but the scientific research demonstrates that pollution from other sources damages the marine environment more. Furthermore, it should be noted that a small amount of oil is constantly seeping in the seas being assimilated into the ocean environment (Brubaker,

**Oil Pollution and International** 

**Marine Environmental Law** 

Additional information is available at the end of the chapter

Ekaterina Anyanova

http://dx.doi.org/10.5772/37399

cause irreparable damage (Gold, 1998).

1 750 000 tons of oil into the ocean per year (Brubaker, 1993).

**1. Introduction** 


**Chapter 2** 

## **Oil Pollution and International Marine Environmental Law**

Ekaterina Anyanova

28 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Journal of enviromental informatics archive, vol.2, 387-393.

of energy policy, vol.35. 3991-3997, ISSN 0301-4215

vol.35, 4088-4094, ISSN 0301-4215

vol.35, 4095-4106, ISSN 0301-4215

Minn. Nigeria (unpublished), 1-85.

center (CREDC), Lagos, Nigeria, 1-31.

Soylu, S (2007). Estimation of Turkish road transport emssions. Journal of energy policy,

Tolulope, O.A (2004). Exploration and enviromental degredation: The Nigerian experience.

Tsimas, E.; Mercier, A.; Cormos, C.C & Peteves, S.D (2007). Trade-off emissions of acid gas pollutants and of carbon dioxide in fossil fuel power plant with carbon captive. Journal

Udeta, M.E.M.; Burani, G.E.; Maure, J.O.A & Oliva, R.C (2007). Economics of secondary energy from GTL regarding natural gas reserviors of Bolivia. Journal of energy policy,

Ufarana, O.R (2004). Dispersion of heat radiation from gas flaring in Niger-Delta. B.Eng degree project, department of Chemical Enginnering, Federal University of Technology,

Uyigue, E & Agu, M (2007). Coping with climate change and enviromental degradation in the Niger Delta of Southern Nigeria. Report of community research and development

Yassin, M.F.; Kato, S.; Ooka, R.; Takahashi, T & Kouno, R (2005). Field and wind tunnel study of pollutant dispersion in a built area under various meterological conditions.

Journal of wind engineering and industrial aerodynamic, vol. 93: 361-382.

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/37399

## **1. Introduction**

After the Second World War not only the public interest in the environment increased in general. Concerns of coastal states about increasing ship-source marine pollution and oil spills started to grow as well. Some of the occurred incidents with tankers clearly demonstrated that oil spills in an environmentally or economically sensitive area could cause irreparable damage (Gold, 1998).

Oil pollution of the ocean comes from shipping activity and offshore oil production. Sea-bed activities on oil exploration and production constitute a relatively small part in the general amount of the pollution of marine environment with oil. The principal cause of marine pollution with oil is shipping. Traditionally shipping is considered to be "a polluting industry". The world's tanker fleet counts approximately 7 000 vessels with cargo capacities between 76 000 and 175 000 tons (Gennaro, 2004). Usual shipping operations, especially transportation of oil by tankers and accidents, result in the dumping of around 600 000 – 1 750 000 tons of oil into the ocean per year (Brubaker, 1993).

Due to the use of pipelines for petroleum products, oil transportation with tankers decreased significantly (Gennaro, 2004). However, the incidents with this type of vessels and the occurred oil spills occur constantly. The last oil pollution incident, which gained publicity and attention of the mass media, happened in October 2011 off the New Zealand's coast. The grounding off of the tanker "Rena" and the followed oil leaking caused the environmental disaster. This oil spill seriously damaged wildlife, including penguins, seals, dolphins, whales and rare sea birds (New Zealand oil spill ship captain charged, 2011).

It must be stressed here that the oil spills and individual catastrophes are very spectacular, but the scientific research demonstrates that pollution from other sources damages the marine environment more. Furthermore, it should be noted that a small amount of oil is constantly seeping in the seas being assimilated into the ocean environment (Brubaker,

© 2012 Anyanova, licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Anyanova, licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

1993). Many chemicals carried at sea are intrinsically far more harmful to the marine environment. Although the impact of the oil pollution constitutes only a small part of a general pollution to the maritime environment, the consequences of oil spills and oil wastes are extremely damaging for marine landscape and ocean's inhabitants.

Oil Pollution and International Marine Environmental Law 31

In the international law in the course of time a comprehensive regulatory regime on prevention of marine oil pollution (particularly oil spills) was developed. Special attention was paid to the regulation of marine oil pollution by shipping (Salter & Ford, 2001), so the existing rules cover mostly vessel-source pollution. The most effective instruments in the marine environment protection are regional treaties. Almost all regional treaties include a general obligation for signatory states to prevent, reduce and control all forms of maritime pollution. In the Helsinki convention1 and the Convention for the Protection of the Marine Environment of the North-East Atlantic (OSPAR Convention)2 one can find more concrete clauses like the precautionary concept, polluter pays concept, best available technology, and

However, the elaborated rules need to be enforced and complied with. A closer co-operation and sharing of informational resources within the international community is urgently

This chapter is devoted to the existing rules of international law and certain unilateral legislation on the issue of marine environment pollution with oil as well as their development in the XX-XXI centuries. The liability and compensation schemes in cases of occurred oil pollution are also analyzed. The chapter also deals with the existing regional conventions on marine oil pollution and makes certain proposals on the improvement of the

The first international convention on oil pollution was adopted in 1926 by the International

Because of the significant pollution especially of the Atlantic Ocean during the World War II (military operations with submarines, torpedoes etc.), since 1945 the issue of oil pollution

Marine pollution particularly with oil is not clearly regulated in any particular global environmental convention. This form of pollution is considered in some of the international legal documents. The provisions of the international conventions on this issue are, however,

The Declaration on the Human Environment (Stockholm Declaration)3 and Action Plan4 were adopted at the United Nations Conference on the Human Environment (UNCHE),

1 Convention on the Protection of the Marine Environment of the Baltic Sea Area, 1992.

3 Declaration of the United Nations Conference on the Human Environment, 1972. http://www.unep.org/Documents.Multilingual/Default.asp?documentid=97&articleid=1503

2 Convention for the Protection of the Marine Environment of the North-East Atlantic, 1992. http://www.ospar.org/html\_documents/ospar/html/OSPAR\_Convention\_e\_updated\_text\_2007.pdf

required, especially in the cases of conventions and their amendments ratification.

**2. International law documents on marine environment pollution** 

Maritime Conference in Washington. This document however was not ratified.

best environmental practice.

existing at present legislation.

relatively limited.

**2.1. Stockholm declaration** 

http://www.helcom.fi/Convention/en\_GB/text/

became very acute and more and more important.

Spilled oil is very toxic. It can be lethal to adult animals even in relatively low concentrations. It may also cause physiological or behavioral disruptions of species. Oil spills also cause death through the prevention of normal feeding, respiration and movement functions not only of ocean wildlife, but also of marine life at the sea shore. Particularly dangerous oil spills are for birds. Oil spill can lead sometime to the tainting of fish and shellfish. Sometimes one can feel the consequences of the oil spills through the oily taste or smell to the seafood. An oil spill directly damages not only animals, plants and corals, fisheries, but also affects human activity in the area of fisheries through damaging of fishing boats, fishing gear, floating fishing equipment.

Oil spills affect not only the ocean space around them, but also shorelines, open waters and the seabed; wetlands; corals. They also damage fisheries and coastal amenities. Especially vulnerable for the potential damage is the area of shorelines. The caused damage is unpredictable and does not depend on the size of the oil spill. It depends rather on the closeness to the shoreline and vulnerability of the area. For example, a 9 000-ton diesel fuel spill from the "Tampico Maru", in the Baja California in 1957, damaged over 10 km of coastline. On the other hand, 10 000 tons of crude oil discharged by the "Argea Prima", in Puerto Rico in 1962, caused very little actual damage. The oil spill of 476 000 tonnes of crude oil, caused by the Ixtoc I oil platform blowout in the Gulf of Mexico, had caused relatively little damage. The damage from the "Argo Merchant" grounding in 1976 and oil spill of 50 000 tons were very serious. The oil spill of 40 000 tons by the VLCC "Exxon Valdez" in especially vulnerable area of Prince William Sound in Alaska, in 1989, resulted in an ecological disaster and very long and costly clean-up operations. The same phenomena were observed during the Iran-Iraq and Iraq-Kuwait military actions and resulted oil spills. The oil spill with "Atlantic Empress" with loss of almost 300 000 tons of crude oil in 1978 in the Atlantic Ocean did not cause any significant impact on economy, but seriously damaged an offshore ecosystem around the site of the catastrophe.

Under the right conditions the marine environment recovery natural process is incredibly quick and "painless", however, the internal mechanisms of the nature are not endless and marine environment needs proper treatment and protection. The new oil and gas development projects also raise more and more serious concerns of the environmentalists. For example, the recent decision to start the drilling in the Arctic seriously worried the environmentalists especially in light of the climate change issue, which have been widely discussed in the mass media. On 29 August 2011 Exxon Mobil Corp and Rosneft signed an agreement on the development of oil and gas in the Russian sector of the Arctic (Korsunskaya & Reddall, 2011). The region presumably obtains around 13% of the undiscovered oil resources and 30% of its natural gas. Although this project is considered to be highly beneficial for both sides, it is stressed by both sides that environmental safety is very important in this area (Howard, 2011), since this area is considered to be ecologically fragile. Partly the concerns address the transportation of oil and possible oil incidents.

In the international law in the course of time a comprehensive regulatory regime on prevention of marine oil pollution (particularly oil spills) was developed. Special attention was paid to the regulation of marine oil pollution by shipping (Salter & Ford, 2001), so the existing rules cover mostly vessel-source pollution. The most effective instruments in the marine environment protection are regional treaties. Almost all regional treaties include a general obligation for signatory states to prevent, reduce and control all forms of maritime pollution. In the Helsinki convention1 and the Convention for the Protection of the Marine Environment of the North-East Atlantic (OSPAR Convention)2 one can find more concrete clauses like the precautionary concept, polluter pays concept, best available technology, and best environmental practice.

However, the elaborated rules need to be enforced and complied with. A closer co-operation and sharing of informational resources within the international community is urgently required, especially in the cases of conventions and their amendments ratification.

This chapter is devoted to the existing rules of international law and certain unilateral legislation on the issue of marine environment pollution with oil as well as their development in the XX-XXI centuries. The liability and compensation schemes in cases of occurred oil pollution are also analyzed. The chapter also deals with the existing regional conventions on marine oil pollution and makes certain proposals on the improvement of the existing at present legislation.

## **2. International law documents on marine environment pollution**

The first international convention on oil pollution was adopted in 1926 by the International Maritime Conference in Washington. This document however was not ratified.

Because of the significant pollution especially of the Atlantic Ocean during the World War II (military operations with submarines, torpedoes etc.), since 1945 the issue of oil pollution became very acute and more and more important.

Marine pollution particularly with oil is not clearly regulated in any particular global environmental convention. This form of pollution is considered in some of the international legal documents. The provisions of the international conventions on this issue are, however, relatively limited.

## **2.1. Stockholm declaration**

30 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

are extremely damaging for marine landscape and ocean's inhabitants.

boats, fishing gear, floating fishing equipment.

offshore ecosystem around the site of the catastrophe.

1993). Many chemicals carried at sea are intrinsically far more harmful to the marine environment. Although the impact of the oil pollution constitutes only a small part of a general pollution to the maritime environment, the consequences of oil spills and oil wastes

Spilled oil is very toxic. It can be lethal to adult animals even in relatively low concentrations. It may also cause physiological or behavioral disruptions of species. Oil spills also cause death through the prevention of normal feeding, respiration and movement functions not only of ocean wildlife, but also of marine life at the sea shore. Particularly dangerous oil spills are for birds. Oil spill can lead sometime to the tainting of fish and shellfish. Sometimes one can feel the consequences of the oil spills through the oily taste or smell to the seafood. An oil spill directly damages not only animals, plants and corals, fisheries, but also affects human activity in the area of fisheries through damaging of fishing

Oil spills affect not only the ocean space around them, but also shorelines, open waters and the seabed; wetlands; corals. They also damage fisheries and coastal amenities. Especially vulnerable for the potential damage is the area of shorelines. The caused damage is unpredictable and does not depend on the size of the oil spill. It depends rather on the closeness to the shoreline and vulnerability of the area. For example, a 9 000-ton diesel fuel spill from the "Tampico Maru", in the Baja California in 1957, damaged over 10 km of coastline. On the other hand, 10 000 tons of crude oil discharged by the "Argea Prima", in Puerto Rico in 1962, caused very little actual damage. The oil spill of 476 000 tonnes of crude oil, caused by the Ixtoc I oil platform blowout in the Gulf of Mexico, had caused relatively little damage. The damage from the "Argo Merchant" grounding in 1976 and oil spill of 50 000 tons were very serious. The oil spill of 40 000 tons by the VLCC "Exxon Valdez" in especially vulnerable area of Prince William Sound in Alaska, in 1989, resulted in an ecological disaster and very long and costly clean-up operations. The same phenomena were observed during the Iran-Iraq and Iraq-Kuwait military actions and resulted oil spills. The oil spill with "Atlantic Empress" with loss of almost 300 000 tons of crude oil in 1978 in the Atlantic Ocean did not cause any significant impact on economy, but seriously damaged an

Under the right conditions the marine environment recovery natural process is incredibly quick and "painless", however, the internal mechanisms of the nature are not endless and marine environment needs proper treatment and protection. The new oil and gas development projects also raise more and more serious concerns of the environmentalists. For example, the recent decision to start the drilling in the Arctic seriously worried the environmentalists especially in light of the climate change issue, which have been widely discussed in the mass media. On 29 August 2011 Exxon Mobil Corp and Rosneft signed an agreement on the development of oil and gas in the Russian sector of the Arctic (Korsunskaya & Reddall, 2011). The region presumably obtains around 13% of the undiscovered oil resources and 30% of its natural gas. Although this project is considered to be highly beneficial for both sides, it is stressed by both sides that environmental safety is very important in this area (Howard, 2011), since this area is considered to be ecologically fragile. Partly the concerns address the transportation of oil and possible oil incidents.

The Declaration on the Human Environment (Stockholm Declaration)3 and Action Plan4 were adopted at the United Nations Conference on the Human Environment (UNCHE),

http://www.helcom.fi/Convention/en\_GB/text/

<sup>1</sup> Convention on the Protection of the Marine Environment of the Baltic Sea Area, 1992.

<sup>2</sup> Convention for the Protection of the Marine Environment of the North-East Atlantic, 1992.

http://www.ospar.org/html\_documents/ospar/html/OSPAR\_Convention\_e\_updated\_text\_2007.pdf

<sup>3</sup> Declaration of the United Nations Conference on the Human Environment, 1972.

http://www.unep.org/Documents.Multilingual/Default.asp?documentid=97&articleid=1503

held in Stockholm in June 1972. Both documents have special sections on marine pollution. This conference was one of the first attempts of the integrated approach to the global environmental issues.

Oil Pollution and International Marine Environmental Law 33

(UNCLOS)7 adopted on 10 December 1982 at Montego Bay (came into force on 16 November 1994). This document became global. This "umbrella convention" does not contain detailed rules for the protection of the marine environment, only general provisions. These rules shall be implemented by means of the further regulations of the international law (Zhu,

The provisions of UNCLOS on maritime protection are of great importance world-wide. They are contained in Part XII of the Convention. These regulations are general. The convention proclaims general obligation of states to protect the marine and coastal environment and its resources (Art. 192). Art. 193 grants to the states the right to develop their natural resources under the consideration of their natural environmental policy. Art. 193 stresses as well the duty of states to protect and preserve the marine environment.

The general provisions of the mentioned Art. 192 and Art. 194 on measures to prevent, reduce and control pollution of the marine environment are considered to be a part of the

Art. 195 and 197 require from state not to transfer damage or hazards or transform one form of pollution into another and to cooperate with each other on global or regional basis (Dahm

The convention also contains the enforcement procedure for the rules on marine pollution prevention by the flag state (Art. 217) and by the coastal states over the vessels in its ports or

The protection of marine environment during the offshore development of oil is reflected in Art. 207, regulating the protection of marine environment against pollution from land-based sources. Art. 208 regulates protection of the marine environment from sea-bed activities under their jurisdiction. Art. 208 (4) stresses the need to reach a compromise in this respect on a regional level, what should be considered as a recognition of necessity to solve this problem on the regional level. Art. 213-214 contain the enforcement rules for the mentioned

Art. 235 proclaims liability of the states for their international obligations concerning the preservation and protection of marine environment. Art. 235 (2) requires the states to ensure the possibility to obtain compensation or other relief in case of the damage caused by the

Another international conference – The Earth Summit, which took place in Rio de Janeiro, Brazil from 3-14 June 1992 – was also very important for the environmental and development issues. This meeting was prepared by the United Nations Conference on

**2.3. Agenda 21 – Programme of action for sustainable development** 

2006).

international customary law.

off-shore terminals (Art. 220).

Environment and Development (UNCED).

7 United Nations Convention on the Law of the Sea, 1982.

http://www.un.org/depts/los/convention\_agreements/texts/unclos/unclos\_e.pdf

et al., 2002).

provisions.

pollution.

It was stressed in the Principle 7 of the Stockholm Declaration on the Human Environment, 1972 that states shall take all possible steps to prevent pollution of the seas by substances that create hazards to human health, harm living resources and marine life, damage amenities or interfere with other legitimate uses of the sea (Sokolova, 2005).

Principle 22 addresses the issue of liability and compensation for marine pollution damage requiring from states further cooperation in order to develop rules of international law regarding this issue.

Action Plan consisting of 109 recommendations proposes to address pollution by means of the environmental assessment, environmental management and supporting measures.

One of the most important achievements during the UNCHE was the establishment of a new United Nations institution - the United Nations Environment Programme (UNEP). As for the issues of marine environment protection, the UNEP adopted "regional seas action plans". The organization also monitors pollution in some of the regional seas areas. This shift to the regional perspective was caused by the idea that the transboundary problems of the oceans or environmental protection of any particular sea could be better managed from a regional basis. The first covered region was the Mediterranean (Suarez, 2006).

## **2.2. Global conventions on the law of the sea**

As a separate issue oil pollution is not regulated in the global conventions on the law of the sea. However, the Geneva Conventions of 1958 contain the provisions on environmental protection of the ocean against oil pollution through oil pipelines or continental shelf development (Art. 5(1) and 5(7) of the Geneva Convention on the Continental Shelf5 and Art. 24 of the Geneva Convention on the High Seas6) (Gennaro, 2004). These provisions are, however, rather superficial. Geneva Convention on the High Seas in its Art. 24 proclaims the obligation of states to draft national legislation on pollution prevention from ships or pipelines or sea-bed activities. Art. 5(1) and 5(7) of the Geneva Convention on the Continental Shelf concern the exploration and exploitation of the continental shelf and its natural resources. The coastal state has to ensure that there is no unjustifiable interference with navigation, fishing or the conservation of the living resources of the sea, oceanographic or other scientific research. The coastal states shall also establish safety zones around the offshore installations and take measures for the protection of the living resources of the sea from harmful agents.

Another comprehensive document for the different aspects of ocean matters including marine environment protection is the United Nations Convention on the Law of the Sea

<sup>4</sup> Action Plan for the Human Environment, 1972.

http://www.unep.org/Documents.Multilingual/Default.asp?DocumentID=97&ArticleID=1492&l=en 5 Convention on the Continental Shelf, 1958. United Nations, Treaty Series. Vol. 499. P. 311. 6 Convention on the High Seas, 1958. United Nations, Treaty Series. Vol. 450. P. 11, p. 82.

(UNCLOS)7 adopted on 10 December 1982 at Montego Bay (came into force on 16 November 1994). This document became global. This "umbrella convention" does not contain detailed rules for the protection of the marine environment, only general provisions. These rules shall be implemented by means of the further regulations of the international law (Zhu, 2006).

32 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

amenities or interfere with other legitimate uses of the sea (Sokolova, 2005).

a regional basis. The first covered region was the Mediterranean (Suarez, 2006).

measures for the protection of the living resources of the sea from harmful agents.

http://www.unep.org/Documents.Multilingual/Default.asp?DocumentID=97&ArticleID=1492&l=en 5 Convention on the Continental Shelf, 1958. United Nations, Treaty Series. Vol. 499. P. 311. 6 Convention on the High Seas, 1958. United Nations, Treaty Series. Vol. 450. P. 11, p. 82.

Another comprehensive document for the different aspects of ocean matters including marine environment protection is the United Nations Convention on the Law of the Sea

**2.2. Global conventions on the law of the sea** 

4 Action Plan for the Human Environment, 1972.

environmental issues.

regarding this issue.

held in Stockholm in June 1972. Both documents have special sections on marine pollution. This conference was one of the first attempts of the integrated approach to the global

It was stressed in the Principle 7 of the Stockholm Declaration on the Human Environment, 1972 that states shall take all possible steps to prevent pollution of the seas by substances that create hazards to human health, harm living resources and marine life, damage

Principle 22 addresses the issue of liability and compensation for marine pollution damage requiring from states further cooperation in order to develop rules of international law

Action Plan consisting of 109 recommendations proposes to address pollution by means of the environmental assessment, environmental management and supporting measures.

One of the most important achievements during the UNCHE was the establishment of a new United Nations institution - the United Nations Environment Programme (UNEP). As for the issues of marine environment protection, the UNEP adopted "regional seas action plans". The organization also monitors pollution in some of the regional seas areas. This shift to the regional perspective was caused by the idea that the transboundary problems of the oceans or environmental protection of any particular sea could be better managed from

As a separate issue oil pollution is not regulated in the global conventions on the law of the sea. However, the Geneva Conventions of 1958 contain the provisions on environmental protection of the ocean against oil pollution through oil pipelines or continental shelf development (Art. 5(1) and 5(7) of the Geneva Convention on the Continental Shelf5 and Art. 24 of the Geneva Convention on the High Seas6) (Gennaro, 2004). These provisions are, however, rather superficial. Geneva Convention on the High Seas in its Art. 24 proclaims the obligation of states to draft national legislation on pollution prevention from ships or pipelines or sea-bed activities. Art. 5(1) and 5(7) of the Geneva Convention on the Continental Shelf concern the exploration and exploitation of the continental shelf and its natural resources. The coastal state has to ensure that there is no unjustifiable interference with navigation, fishing or the conservation of the living resources of the sea, oceanographic or other scientific research. The coastal states shall also establish safety zones around the offshore installations and take The provisions of UNCLOS on maritime protection are of great importance world-wide. They are contained in Part XII of the Convention. These regulations are general. The convention proclaims general obligation of states to protect the marine and coastal environment and its resources (Art. 192). Art. 193 grants to the states the right to develop their natural resources under the consideration of their natural environmental policy. Art. 193 stresses as well the duty of states to protect and preserve the marine environment.

The general provisions of the mentioned Art. 192 and Art. 194 on measures to prevent, reduce and control pollution of the marine environment are considered to be a part of the international customary law.

Art. 195 and 197 require from state not to transfer damage or hazards or transform one form of pollution into another and to cooperate with each other on global or regional basis (Dahm et al., 2002).

The convention also contains the enforcement procedure for the rules on marine pollution prevention by the flag state (Art. 217) and by the coastal states over the vessels in its ports or off-shore terminals (Art. 220).

The protection of marine environment during the offshore development of oil is reflected in Art. 207, regulating the protection of marine environment against pollution from land-based sources. Art. 208 regulates protection of the marine environment from sea-bed activities under their jurisdiction. Art. 208 (4) stresses the need to reach a compromise in this respect on a regional level, what should be considered as a recognition of necessity to solve this problem on the regional level. Art. 213-214 contain the enforcement rules for the mentioned provisions.

Art. 235 proclaims liability of the states for their international obligations concerning the preservation and protection of marine environment. Art. 235 (2) requires the states to ensure the possibility to obtain compensation or other relief in case of the damage caused by the pollution.

## **2.3. Agenda 21 – Programme of action for sustainable development**

Another international conference – The Earth Summit, which took place in Rio de Janeiro, Brazil from 3-14 June 1992 – was also very important for the environmental and development issues. This meeting was prepared by the United Nations Conference on Environment and Development (UNCED).

<sup>7</sup> United Nations Convention on the Law of the Sea, 1982.

http://www.un.org/depts/los/convention\_agreements/texts/unclos/unclos\_e.pdf

The outcome of this conference was the adoption of several non-binding legal instruments, including Agenda 218. Agenda 21 is a programme of action for sustainable action world-wide.

Oil Pollution and International Marine Environmental Law 35

**3.2. "Torrey Canyon" disaster and intervention convention** 

occurring incidents at sea.

garbage (Özçayir, 2004).

pollution (Özçayir, 2004).

Nations, Treaty Series. Vol. 970. P. 211.

do not affect the principle of freedom of the high seas.

case, if the measures exceeded those reasonably necessary.

environmental issues (Özçayir, 2004).

France. States quickly recognized the danger of a major oil spill to the coastlines.

compensation to be paid also did not exist on the international level (Özçayir, 2004).

On 18 March 1967 in the English Channel the accident with the oil supertanker "Torrey Canyon" occurred. The grounding of the vessel was caused by human error. The entire cargo of the vessel - 120 000 tonnes of crude oil – was spilt. Around 15 000 sea birds died because of the spill. Damage claims in Great Britain amounted to GBP 6 million and to FRF 40 million in

The "Torrey Canyon" incident demonstrated that there was no internationally agreed means of responding to accidents that had environmental implications. The regulation of

This incident was the first major oil pollution incident. Due to its strong impact on the development of the international law it became historical. This oil spill clearly demonstrated that the development of the marine environmental legislation is closely connected with the

The International Maritime Organization established a Legal Committee to deal with the deficiencies in the international system for assessing liability and compensation for oil-spill damage, and a new subcommittee of the Maritime Safety Committee (MSC) to deal with

The occurred incident accelerated the formation of MARPOL convention and in 1973 the *International Convention for the Prevention of Pollution from Ships (MARPOL)* was adopted to cover pollution by oil, chemicals, harmful substances in packaged form, sewage and

As another consequence of this incident the International Maritime Organization adopted the *International convention relating to intervention on the high seas in cases of oil pollution casualties* done at Brussels on 29 November 1969 (Intervention Convention)11, enabling a government to take action, if an accident in international waters threatened its coastline with

In its preamble it stresses the need to protect the interest of people against the consequences of a maritime casualties resulting in oil pollution. Measures of an exceptional character taken in order to protect the environment on the high seas are admissible. These measures

In Article I the Convention grants a permission to take such measures on the high seas as may be necessary to prevent, mitigate or eliminate grave and imminent danger to their coastline or related interests from pollution or threat of pollution of the sea by oil in cases of a maritime

Article VI declares the obligation of a state caused damage to others to pay compensation in

11 International Convention Relating to Intervention on the High Seas in Cases of Oil Pollution Casualties, 1969. United

casualty or acts related to it against vessels which pose a threat to their coastlines.

Chapter 17 of this document is devoted to the oceans "Protection of the Oceans, All Kind of Seas, including Enclosed and Semi-enclosed Seas, and Coastal Areas and the Protection, Rational Use and Development of their Living Resources". This chapter links the activities of the conference with the UNCLOS. The chapter stresses the need of the marine pollution protection (Gold, 1998). The danger of offshore oil and gas operations for the marine environment and the need to minimize this danger are also in this chapter. Agenda 21 stresses the need to prevent especially the marine pollution from vessels including illegal discharges and pollution caused by ships in particularly sensitive areas. The need to reduce the risks of accidents is also stressed. Shipping has to comply with the provisions of the International Convention for the Prevention of Pollution From Ships, 1973 as modified by the Protocol of 1978 (MARPOL)9 and the UNCLOS. International cooperation with regional or global international organizations and, where appropriate, with industry-based organizations shall be improved.

This document did not establish a new legal framework on ocean governance, but confirmed the importance and fundamental role of the UNCLOS in this respect especially in the protection and sustainable development of the marine and coastal environment and its resources (Suarez, 2006).

## **3. International legal documents on the oil pollution at sea**

## **3.1. OILPOL'54**

*International Convention for the Prevention of Pollution of the Sea by Oil (OILPOL)10* was adopted in London on 12 May 1954. This convention became the first international treaty dealing with the oil pollution.

It addressed the discharge of oil and oily wastes into the water. OILPOL`54 prohibited the intentional discharge of oil and oily mixtures from certain vessels in specified ocean areas. The ballast discharges have to be made in the permitted areas with a special record in an oil record book. This book shall be inspected at regular intervals. The enforcement of the convention had to be fulfilled by the flag state.

The Convention became a significant achievement at that time. In the preamble of the later adopted MARPOL convention it is stressed that OILPOL was the first multilateral instrument to be concluded with the prime objective of protecting the environment. The preamble of the MARPOL also appreciates the significant contribution, which the OILPOL has made in preserving the seas and coastal environment from pollution.

<sup>8</sup> Agenda 21. http://www.un.org/esa/dsd/agenda21/res\_agenda21\_00.shtml

<sup>9</sup> International Convention for the Prevention of Marine Pollution from Ships, 1973, United Nations, Treaty Series. Vol. 1340. P. 184 (as modified by Protocol, 1978, United Nations, Treaty Series. Vol. 1340. P. 61).

<sup>10</sup> International Convention for the Prevention of Pollution of the Sea by Oil, 1954. United Nations, Treaty Series. Vol. 327. P. 3.

## **3.2. "Torrey Canyon" disaster and intervention convention**

34 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

organizations shall be improved.

resources (Suarez, 2006).

**3.1. OILPOL'54** 

with the oil pollution.

327. P. 3.

convention had to be fulfilled by the flag state.

The outcome of this conference was the adoption of several non-binding legal instruments, including Agenda 218. Agenda 21 is a programme of action for sustainable action world-wide. Chapter 17 of this document is devoted to the oceans "Protection of the Oceans, All Kind of Seas, including Enclosed and Semi-enclosed Seas, and Coastal Areas and the Protection, Rational Use and Development of their Living Resources". This chapter links the activities of the conference with the UNCLOS. The chapter stresses the need of the marine pollution protection (Gold, 1998). The danger of offshore oil and gas operations for the marine environment and the need to minimize this danger are also in this chapter. Agenda 21 stresses the need to prevent especially the marine pollution from vessels including illegal discharges and pollution caused by ships in particularly sensitive areas. The need to reduce the risks of accidents is also stressed. Shipping has to comply with the provisions of the International Convention for the Prevention of Pollution From Ships, 1973 as modified by the Protocol of 1978 (MARPOL)9 and the UNCLOS. International cooperation with regional or global international organizations and, where appropriate, with industry-based

This document did not establish a new legal framework on ocean governance, but confirmed the importance and fundamental role of the UNCLOS in this respect especially in the protection and sustainable development of the marine and coastal environment and its

*International Convention for the Prevention of Pollution of the Sea by Oil (OILPOL)10* was adopted in London on 12 May 1954. This convention became the first international treaty dealing

It addressed the discharge of oil and oily wastes into the water. OILPOL`54 prohibited the intentional discharge of oil and oily mixtures from certain vessels in specified ocean areas. The ballast discharges have to be made in the permitted areas with a special record in an oil record book. This book shall be inspected at regular intervals. The enforcement of the

The Convention became a significant achievement at that time. In the preamble of the later adopted MARPOL convention it is stressed that OILPOL was the first multilateral instrument to be concluded with the prime objective of protecting the environment. The preamble of the MARPOL also appreciates the significant contribution, which the OILPOL

9 International Convention for the Prevention of Marine Pollution from Ships, 1973, United Nations, Treaty Series. Vol.

10 International Convention for the Prevention of Pollution of the Sea by Oil, 1954. United Nations, Treaty Series. Vol.

**3. International legal documents on the oil pollution at sea** 

has made in preserving the seas and coastal environment from pollution.

1340. P. 184 (as modified by Protocol, 1978, United Nations, Treaty Series. Vol. 1340. P. 61).

8 Agenda 21. http://www.un.org/esa/dsd/agenda21/res\_agenda21\_00.shtml

On 18 March 1967 in the English Channel the accident with the oil supertanker "Torrey Canyon" occurred. The grounding of the vessel was caused by human error. The entire cargo of the vessel - 120 000 tonnes of crude oil – was spilt. Around 15 000 sea birds died because of the spill. Damage claims in Great Britain amounted to GBP 6 million and to FRF 40 million in France. States quickly recognized the danger of a major oil spill to the coastlines.

The "Torrey Canyon" incident demonstrated that there was no internationally agreed means of responding to accidents that had environmental implications. The regulation of compensation to be paid also did not exist on the international level (Özçayir, 2004).

This incident was the first major oil pollution incident. Due to its strong impact on the development of the international law it became historical. This oil spill clearly demonstrated that the development of the marine environmental legislation is closely connected with the occurring incidents at sea.

The International Maritime Organization established a Legal Committee to deal with the deficiencies in the international system for assessing liability and compensation for oil-spill damage, and a new subcommittee of the Maritime Safety Committee (MSC) to deal with environmental issues (Özçayir, 2004).

The occurred incident accelerated the formation of MARPOL convention and in 1973 the *International Convention for the Prevention of Pollution from Ships (MARPOL)* was adopted to cover pollution by oil, chemicals, harmful substances in packaged form, sewage and garbage (Özçayir, 2004).

As another consequence of this incident the International Maritime Organization adopted the *International convention relating to intervention on the high seas in cases of oil pollution casualties* done at Brussels on 29 November 1969 (Intervention Convention)11, enabling a government to take action, if an accident in international waters threatened its coastline with pollution (Özçayir, 2004).

In its preamble it stresses the need to protect the interest of people against the consequences of a maritime casualties resulting in oil pollution. Measures of an exceptional character taken in order to protect the environment on the high seas are admissible. These measures do not affect the principle of freedom of the high seas.

In Article I the Convention grants a permission to take such measures on the high seas as may be necessary to prevent, mitigate or eliminate grave and imminent danger to their coastline or related interests from pollution or threat of pollution of the sea by oil in cases of a maritime casualty or acts related to it against vessels which pose a threat to their coastlines.

Article VI declares the obligation of a state caused damage to others to pay compensation in case, if the measures exceeded those reasonably necessary.

<sup>11</sup> International Convention Relating to Intervention on the High Seas in Cases of Oil Pollution Casualties, 1969. United Nations, Treaty Series. Vol. 970. P. 211.

It provides coastal states with limited rights to take preventive measures on the high seas against foreign vessels which are considered to present a grave and imminent danger to coastlines and other coastal interests from oil pollution as a result of a maritime casualty.

Oil Pollution and International Marine Environmental Law 37

war or grave natural disaster or damage wholly attributable to sabotage by a third party or

The Amendments of the Protocol of 199215 extended the sphere of application of the Convention to the exclusive economic zone. The amendments adopted in the Protocol in

The convention uses the standard of the Special Drawing Rights (SDR) of the International

This convention provided for a uniform set of international rules and procedures for determining liability and compensation. The introduction of the CLC convention

This convention is widely accepted, however, the US refused to adopt the CLC. The CLC's provisions do not apply to the waters of states not accepted the CLC. In such a way, oil spills in the waters of the non-CLC states, such as the United States, remain uncovered.

During the 1969 conference at the Inter-Governmental Maritime Consultative Organization, which developed the CLC, it was recognized that there would be incidents which would

To provide for compensation for the circumstances not covered by this convention, an international fund was established under the terms of the 1971 Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage to

The FUND Convention is expertly administered by the International Oil Pollution Compensation Fund Secretariat in London. This fund is an intergovernmental organization established by States. Any state which accepts the FUND Convention automatically becomes a member of the International Oil Pollution Compensation (IOPC) Fund. The FUND is financed by a levy applied to individuals and corporations dealing with the import

The convention also introduced a compulsory liability insurance requirement for ship

Only oil (cargo or bunkers) carried in bulk by vessels is covered. Parties to the FUND must also be parties to the CLC, and the flag state of the vessel, which caused the damage, must

The IOPC Fund becomes involved by providing supplementary compensation when the amount payable by the shipowner and his insurer is insufficient to cover all of the damage.

15 Amendments of the Limitation Amounts in the Protocol of 1992 to Amend the International Convention on Civil

16 Resolution LEG.1(82), 18 October 2000. Amendments of the Limitation Amounts in the Protocol of 1992 to Amend

also be a party to the FUND, if the shipowner is also seeking compensation.

significantly facilitated the recovery of compensation for oil pollution damage.

require compensation limits in excess of the available under the CLC.

wholly caused by the failure of authorities to maintain navigational aids.

200016 raised liability rates.

administer this compensation system.

and export of oil in contracting states.

Liability for Oil Pollution Damage, 1969.

http://www.iopcfund.org/npdf/Text%20of%20Conventions\_e.pdf

the International Convention on Civil Liability for Oil Pollution Damage, 1969. http://www.austlii.edu.au/au/legis/cth/consol\_act/potsla1981357/sch3.html

owners.

Monetary Fund.

The Convention has been criticized both for allowing too much discretion to coastal states and for limiting the rights of such states to take action. In 1973 a Protocol12 covering substances other than oil was added.

## **4. International liability regime for oil pollution**

## **4.1. Liability for Oil Pollution in the international conventions**

The "Torrey Canyon" incident demonstrated that in case of the oil pollution of the ocean there were no rules of international law making the polluter liable. OILPOL'54 left the issue of liability for pollution to the national law.

It was decided to develop international legal scheme with the liability regime for oil spills.

The present international regime of compensation for damage caused by oil pollution is based on two conventions: *International Convention on Civil Liability for Oil Pollution Damage, 1969 (CLC 1969)*13 and *International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage, 1971 (FUND 1971)*14.

The CLC 1969 was elaborated within the Inter-Governmental Maritime Consultative Organization and signed on 29 November 1969 in Brussels. It ensures the compensation to be paid. The general principle provided in the convention is that those causing oil pollution should pay compensation.

The convention aims to ensure the adequate compensation to victims of oil pollution damage resulting from maritime casualties involving oil-carrying ships. The convention applies to the pollution damage caused on the territory of the Member States to the Convention and related preventive measures (Art. II). The CLC does not apply to ships or vessels owned or operated by a State and used for non-commercial service. The CLC applies to State-owned merchant fleets.

Art. III of the Convention makes the owner of a ship strictly liable for the pollution damage caused by the discharge from the ship. The shipowner is liable even in the absence of any fault, for any damage by pollution caused by the oil. However, the shipowner can normally limit his financial liability up to an amount established according to the tonnage of the ship. This amount is guaranteed by his liability insurer. The liability insurance is compulsory.

Traditional liability exemption concept of fault and negligence did not apply under the CLC. The admissible exceptions out of "strict liability"-rule are damage resulting from an act of

13 International Convention on Civil Liability for Oil Pollution Damage, 1969. United Nations, Treaty Series. Vol. 973. P. 3. 14 International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage, 1971. http://www.iopcfund.org/npdf/Text%20of%20Conventions\_e.pdf

<sup>12</sup> Protocol Relating to Intervention on the High Seas in Cases of Pollution by Substances Other Than Oil, 1973. United Nations, Treaty Series. Vol. 1313. P. 4.

war or grave natural disaster or damage wholly attributable to sabotage by a third party or wholly caused by the failure of authorities to maintain navigational aids.

36 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

substances other than oil was added.

of liability for pollution to the national law.

should pay compensation.

to State-owned merchant fleets.

Nations, Treaty Series. Vol. 1313. P. 4.

1971. http://www.iopcfund.org/npdf/Text%20of%20Conventions\_e.pdf

**4. International liability regime for oil pollution** 

*Compensation for Oil Pollution Damage, 1971 (FUND 1971)*14.

**4.1. Liability for Oil Pollution in the international conventions** 

It provides coastal states with limited rights to take preventive measures on the high seas against foreign vessels which are considered to present a grave and imminent danger to coastlines and other coastal interests from oil pollution as a result of a maritime casualty.

The Convention has been criticized both for allowing too much discretion to coastal states and for limiting the rights of such states to take action. In 1973 a Protocol12 covering

The "Torrey Canyon" incident demonstrated that in case of the oil pollution of the ocean there were no rules of international law making the polluter liable. OILPOL'54 left the issue

It was decided to develop international legal scheme with the liability regime for oil spills. The present international regime of compensation for damage caused by oil pollution is based on two conventions: *International Convention on Civil Liability for Oil Pollution Damage, 1969 (CLC 1969)*13 and *International Convention on the Establishment of an International Fund for* 

The CLC 1969 was elaborated within the Inter-Governmental Maritime Consultative Organization and signed on 29 November 1969 in Brussels. It ensures the compensation to be paid. The general principle provided in the convention is that those causing oil pollution

The convention aims to ensure the adequate compensation to victims of oil pollution damage resulting from maritime casualties involving oil-carrying ships. The convention applies to the pollution damage caused on the territory of the Member States to the Convention and related preventive measures (Art. II). The CLC does not apply to ships or vessels owned or operated by a State and used for non-commercial service. The CLC applies

Art. III of the Convention makes the owner of a ship strictly liable for the pollution damage caused by the discharge from the ship. The shipowner is liable even in the absence of any fault, for any damage by pollution caused by the oil. However, the shipowner can normally limit his financial liability up to an amount established according to the tonnage of the ship. This amount is guaranteed by his liability insurer. The liability insurance is compulsory.

Traditional liability exemption concept of fault and negligence did not apply under the CLC. The admissible exceptions out of "strict liability"-rule are damage resulting from an act of

12 Protocol Relating to Intervention on the High Seas in Cases of Pollution by Substances Other Than Oil, 1973. United

13 International Convention on Civil Liability for Oil Pollution Damage, 1969. United Nations, Treaty Series. Vol. 973. P. 3. 14 International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage,

The Amendments of the Protocol of 199215 extended the sphere of application of the Convention to the exclusive economic zone. The amendments adopted in the Protocol in 200016 raised liability rates.

The convention uses the standard of the Special Drawing Rights (SDR) of the International Monetary Fund.

This convention provided for a uniform set of international rules and procedures for determining liability and compensation. The introduction of the CLC convention significantly facilitated the recovery of compensation for oil pollution damage.

This convention is widely accepted, however, the US refused to adopt the CLC. The CLC's provisions do not apply to the waters of states not accepted the CLC. In such a way, oil spills in the waters of the non-CLC states, such as the United States, remain uncovered.

During the 1969 conference at the Inter-Governmental Maritime Consultative Organization, which developed the CLC, it was recognized that there would be incidents which would require compensation limits in excess of the available under the CLC.

To provide for compensation for the circumstances not covered by this convention, an international fund was established under the terms of the 1971 Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage to administer this compensation system.

The FUND Convention is expertly administered by the International Oil Pollution Compensation Fund Secretariat in London. This fund is an intergovernmental organization established by States. Any state which accepts the FUND Convention automatically becomes a member of the International Oil Pollution Compensation (IOPC) Fund. The FUND is financed by a levy applied to individuals and corporations dealing with the import and export of oil in contracting states.

The convention also introduced a compulsory liability insurance requirement for ship owners.

Only oil (cargo or bunkers) carried in bulk by vessels is covered. Parties to the FUND must also be parties to the CLC, and the flag state of the vessel, which caused the damage, must also be a party to the FUND, if the shipowner is also seeking compensation.

The IOPC Fund becomes involved by providing supplementary compensation when the amount payable by the shipowner and his insurer is insufficient to cover all of the damage.

<sup>15</sup> Amendments of the Limitation Amounts in the Protocol of 1992 to Amend the International Convention on Civil Liability for Oil Pollution Damage, 1969.

http://www.iopcfund.org/npdf/Text%20of%20Conventions\_e.pdf

<sup>16</sup> Resolution LEG.1(82), 18 October 2000. Amendments of the Limitation Amounts in the Protocol of 1992 to Amend the International Convention on Civil Liability for Oil Pollution Damage, 1969.

http://www.austlii.edu.au/au/legis/cth/consol\_act/potsla1981357/sch3.html

Any person or company, which has suffered pollution damage in a Member State of the IOPC Fund 1992 caused by oil transported by ship, can claim compensation from the shipowner, his insurer and the Fund. This applies to individuals, business, local communities or States.

Oil Pollution and International Marine Environmental Law 39

Simultaneously with the development of the CLC and the FUND Conventions the shipping and oil industries elaborated compensation regime schemes. It was made under the pressure of the publicity after the Torrey Canyon incident. *Tanker Owners' Voluntary Agreement Concerning Liability for Oil Pollution, 1969, as amended (TOVALOP)19* and *Contract Regarding an Interim Supplement to Tanker Liability for Oil Pollution, 1971, as amended (CRISTAL)20* were developed. The introduction of these schemes took place, since oil tanker industries were aware that the CLC and FUND conventions would take too long to enter into force and

TOVALOP was a voluntary agreement amongst tanker owners, including bareboat charterers. The main aim of this agreement was to encourage tanker owners to clean up spills, regardless of fault, with the assurance of recovering their costs from their P&I club and to compensate governments for the clean-up costs. TOVALOP members were required to carry sufficient insurance to cover their obligations under the scheme, including the clean-up costs. TOVALOP scheme was made as close as possible to the CLC provisions. After the elaboration of the Protocol to the CLC in 1984 there were even proposals to make in the TOVALOP the tanker owner liable for all cases of oil spills, even covered by the FUND. This risk had to be additionally insured. However, these proposals have been

TOVALOP was managed by the International Tanker Owners' Pollution Federation (ITOPF) in London. ITOPF was charged with interpreting the scheme and handling claims directly.

Another voluntary interim agreement introduced by the oil industry was Contract Regarding an Interim Supplement to Tanker Liability for Oil Pollution (CRISTAL). This initiative commenced in April 1971 (the FUND convention entered into force seven years

The scheme was administered by the Oil Companies Institute for Marine Pollution Compensation Ltd. in Bermuda. Marine Pollution Compensation Services Ltd. (CRISTAL) in

The both initiatives clearly demonstrated that the oil industry under the environmental

Both schemes have been amended several times according to the amendments of the CLC

From the beginning the both schemes were developed as the interim measures. However, CLC and FUND schemes became widely accepted and both TOVALOP and CRISTAL have

19 Tanker Owners Voluntary Agreement Concerning Liability for Oil Pollution , 1969. International Legal Materials.

20 Contract Regarding an Interim Supplement to Tanker Liability for Oil Pollution, 1971. International Legal Materials.

**4.2. Industry Initiatives** 

rejected.

later).

Vol. 8, 1969. P. 497.

Vol. 10, No. 1, 1971. P. 137.

and FUND conventions.

been terminated on 20 February 1997.

coastal states could take unilateral measures.

London was responsible for its everyday activities.

pressure was ready to take the responsibility for pollution claims.

To be entitled to compensation, the damage must result from pollution and have caused a quantifiable economic loss. The claimant must substantiate the amount of his loss or damage by producing accounting records or other appropriate evidence. Compensation may be claimed for property damage, clean-up operations, economic losses of fishermen or those engaged in mariculture and tourism sector (ITOPF, 2002).

Since its establishment the IOPC Fund has been involved in some 120 incidents of different graveness in around 20 countries. Over US\$ 630 million were paid as a compensation.

The FUND pays compensation to any claimant who has suffered pollution damage in cases where no liability arises under the CLC as the shipowner is protected by one of the CLC exemptions; or the shipowner is financially unable to meet the CLC obligations and the available insurance coverage is insufficient; or the damage exceeds the shipowner's CLC liability. Most cases fall within the third category.

Claims for the compensation shall be brought in the applicable courts of contracting states.

During the 1984 Diplomatic Conference at the International Maritime Organization it was decided to revise completely both the CLC and the FUND instruments. This decision was strongly lobbied by the USA. After the "Amoco Cadiz" incident it was obvious that the CLC and FUND limits were not sufficient.

These protocols were some sort of the compromise between oil and shipping industries and coastal states for the protection of the marine and coastal environment. The Protocol of 1984 to Amend the International Convention on Civil Liability for Oil Pollution Damage, 1969; and the Protocol of 1984 to Amend the International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage, 1971 raised the liability limits and extended jurisdiction to the exclusive economic zone. However, both documents met the opposition of the USA after the "Exxon Valdez" grounding and did not enter into force. The 1992 Protocols17 raised the liability limitation and based the limitation on the vessel's gross tonnage. The 1992 CLC and FUND Protocols repeated contents of the 1984 protocols. The Protocols raised the compensation limitations and extended the jurisdiction of the conventions to the exclusive economic zones of contracting states. The amendment procedures for the conventions were also simplified.

The 2000 amendments18 raised again the liability limitations up to 4,51 – 89,77 million SDR depending on the gross tonnage of the vessel.

<sup>17</sup> Protocol of 1992 to Amend the International Convention on Civil Liability for Oil Pollution Damage, 1969. http://www.iopcfund.org/npdf/Text%20of%20Conventions\_e.pdf; Protocol of 1992 to Amend the International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage, 1971. http://www.iopcfund.org/npdf/Text%20of%20Conventions\_e.pdf

<sup>18</sup> IMO Resolution, 18 October 2000. Adoption of Amendments of the Limits of Compensation in the Protocol of 1992 to Amend the International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage, 1971. http://www.iopcfund.org/npdf/Text%20of%20Conventions\_e.pdf

## **4.2. Industry Initiatives**

38 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

insurer and the Fund. This applies to individuals, business, local communities or States.

engaged in mariculture and tourism sector (ITOPF, 2002).

liability. Most cases fall within the third category.

procedures for the conventions were also simplified.

http://www.iopcfund.org/npdf/Text%20of%20Conventions\_e.pdf

Pollution Damage, 1971. http://www.iopcfund.org/npdf/Text%20of%20Conventions\_e.pdf

depending on the gross tonnage of the vessel.

and FUND limits were not sufficient.

Any person or company, which has suffered pollution damage in a Member State of the IOPC Fund 1992 caused by oil transported by ship, can claim compensation from the shipowner, his

To be entitled to compensation, the damage must result from pollution and have caused a quantifiable economic loss. The claimant must substantiate the amount of his loss or damage by producing accounting records or other appropriate evidence. Compensation may be claimed for property damage, clean-up operations, economic losses of fishermen or those

Since its establishment the IOPC Fund has been involved in some 120 incidents of different graveness in around 20 countries. Over US\$ 630 million were paid as a compensation.

The FUND pays compensation to any claimant who has suffered pollution damage in cases where no liability arises under the CLC as the shipowner is protected by one of the CLC exemptions; or the shipowner is financially unable to meet the CLC obligations and the available insurance coverage is insufficient; or the damage exceeds the shipowner's CLC

Claims for the compensation shall be brought in the applicable courts of contracting states. During the 1984 Diplomatic Conference at the International Maritime Organization it was decided to revise completely both the CLC and the FUND instruments. This decision was strongly lobbied by the USA. After the "Amoco Cadiz" incident it was obvious that the CLC

These protocols were some sort of the compromise between oil and shipping industries and coastal states for the protection of the marine and coastal environment. The Protocol of 1984 to Amend the International Convention on Civil Liability for Oil Pollution Damage, 1969; and the Protocol of 1984 to Amend the International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage, 1971 raised the liability limits and extended jurisdiction to the exclusive economic zone. However, both documents met the opposition of the USA after the "Exxon Valdez" grounding and did not enter into force. The 1992 Protocols17 raised the liability limitation and based the limitation on the vessel's gross tonnage. The 1992 CLC and FUND Protocols repeated contents of the 1984 protocols. The Protocols raised the compensation limitations and extended the jurisdiction of the conventions to the exclusive economic zones of contracting states. The amendment

The 2000 amendments18 raised again the liability limitations up to 4,51 – 89,77 million SDR

17 Protocol of 1992 to Amend the International Convention on Civil Liability for Oil Pollution Damage, 1969. http://www.iopcfund.org/npdf/Text%20of%20Conventions\_e.pdf; Protocol of 1992 to Amend the International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage, 1971.

18 IMO Resolution, 18 October 2000. Adoption of Amendments of the Limits of Compensation in the Protocol of 1992 to Amend the International Convention on the Establishment of an International Fund for Compensation for Oil Simultaneously with the development of the CLC and the FUND Conventions the shipping and oil industries elaborated compensation regime schemes. It was made under the pressure of the publicity after the Torrey Canyon incident. *Tanker Owners' Voluntary Agreement Concerning Liability for Oil Pollution, 1969, as amended (TOVALOP)19* and *Contract Regarding an Interim Supplement to Tanker Liability for Oil Pollution, 1971, as amended (CRISTAL)20* were developed. The introduction of these schemes took place, since oil tanker industries were aware that the CLC and FUND conventions would take too long to enter into force and coastal states could take unilateral measures.

TOVALOP was a voluntary agreement amongst tanker owners, including bareboat charterers. The main aim of this agreement was to encourage tanker owners to clean up spills, regardless of fault, with the assurance of recovering their costs from their P&I club and to compensate governments for the clean-up costs. TOVALOP members were required to carry sufficient insurance to cover their obligations under the scheme, including the clean-up costs. TOVALOP scheme was made as close as possible to the CLC provisions. After the elaboration of the Protocol to the CLC in 1984 there were even proposals to make in the TOVALOP the tanker owner liable for all cases of oil spills, even covered by the FUND. This risk had to be additionally insured. However, these proposals have been rejected.

TOVALOP was managed by the International Tanker Owners' Pollution Federation (ITOPF) in London. ITOPF was charged with interpreting the scheme and handling claims directly.

Another voluntary interim agreement introduced by the oil industry was Contract Regarding an Interim Supplement to Tanker Liability for Oil Pollution (CRISTAL). This initiative commenced in April 1971 (the FUND convention entered into force seven years later).

The scheme was administered by the Oil Companies Institute for Marine Pollution Compensation Ltd. in Bermuda. Marine Pollution Compensation Services Ltd. (CRISTAL) in London was responsible for its everyday activities.

The both initiatives clearly demonstrated that the oil industry under the environmental pressure was ready to take the responsibility for pollution claims.

Both schemes have been amended several times according to the amendments of the CLC and FUND conventions.

From the beginning the both schemes were developed as the interim measures. However, CLC and FUND schemes became widely accepted and both TOVALOP and CRISTAL have been terminated on 20 February 1997.

<sup>19</sup> Tanker Owners Voluntary Agreement Concerning Liability for Oil Pollution , 1969. International Legal Materials. Vol. 8, 1969. P. 497.

<sup>20</sup> Contract Regarding an Interim Supplement to Tanker Liability for Oil Pollution, 1971. International Legal Materials. Vol. 10, No. 1, 1971. P. 137.

Another proposal from the oil industry sector was a *Pollution Agreement among Tanker Owners (PLATO)* in 1985. This initiative reduced the liability of oil sector trying to put a greater burden on the shipping sector, since the level of the safety of shipping was still not sufficient. The initiative was not supported.

Oil Pollution and International Marine Environmental Law 41

garbage. The convention aimed to prevent both international and negligent pollution and minimize accidental spills. The Convention represents the compromise between coastal and shipping interests. The Convention introduced new anti-pollution regime and more modern

MARPOL effectively superseded OILPOL'54. However, in its preamble MARPOL Convention recognizes the importance of the International Convention for the Prevention of

Tanker accidents which took place in 1977/78 led the Inter-Governmental Maritime Consultative Organization to convene an International Conference on Tanker Safety and Pollution Prevention (TSPP Conference) in February 1978. This conference adopted MARPOL Protocol of 1978 in order to speed up the adoption of MARPOL convention. This

A few weeks after this conference the VLCC "Amoco Cadiz" spilt 230 000 tons of crude oil (Gold, 1998). This incident stressed the importance and urgency of the oil pollution

The combined instrument is referred to as the International Convention for the Prevention of Marine Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto (MARPOL 73/78), and it entered into force on 2 October 1983 (Annexes I and II). Later

Annex I with regulations for the prevention of pollution by oil covers prevention of pollution by oil from operational measures as well as from accidental discharges. It also contains the mandatory requirements for new oil tankers to have double hulls and a phase-

Annex II with regulation for the control of pollution by noxious liquid substances - regulates the discharge of noxious substances, and prevents their discharge within 12 miles of the

Annex III on prevention of pollution by harmful substances carried by sea in packaged form

Annex V on prevention of pollution by garbage from ships specifies distances from land and manner of disposal of garbage from ships and completely prohibits disposal of plastic.

Annex VI on prevention of air pollution from ships regulates discharge of sulphur oxide and

Since the definition of "ship" in the convention includes vessels of any type operating in the marine environment (hydrofoil boats, air-cushion vehicles, submersibles, floating craft and fixed or floating platforms, oil-drilling vessels and platforms), all of their discharges of oil

1978 Protocol is also known as the Tanker Safety and Pollution Protocol.

operating requirements.

nearest land.

Pollution of the Sea by Oil, 1954.

prevention for the international community.

further Annexes (III-VI) were adopted to this document.

in schedule for existing tankers on double hulls (Gold, 1998).

requires the packaging, labeling and documenting of harmful substances. Annex IV is devoted to the prevention of pollution by spillage from ships.

nitrous oxide. The discharge of ozone depleting gases is prohibited.

into the sea are also covered by the scope of this convention.

## **5. Further international documents on oil pollution of the marine environment**

## **5.1. International convention on the prevention of marine pollution by the dumping of wastes or other matter (London Convention), 1972**

Further international document on the oil pollution was the International Convention on the Prevention of Marine Pollution by the Dumping of Wastes or Other Matter (London Convention), 197221 with Protocol of 199622. This document was adopted under the influence of the Stockholm Conference. The adoption of this convention served as a demonstration of the readiness of states to protect marine environment against oil pollution. The Convention deals with 'dumping', i.e. the deliberate disposal of wastes and other matter (other than operational discharges) from vessels and aircraft. The provisions of the convention prohibit dumping except for the wastes listed in Annex 1. Dumping of some wastes requires a prior special or general permit (Art. IV). Convention stresses that the capacity of the sea to assimilate wastes and render them harmless, and its ability to regenerate natural resources, are not unlimited.

The effectiveness of the London convention was demonstrated in the incident with the dumping of high-level radioactive waste in the Arctic by the USSR (Stokke, 1998). The dumping was documented in the Yablokov Report in the 1990s. Certain efforts were made to enforce the provisions of this convention through the Russian-Norwegian Environmental Committee and the International Arctic Sea Assessment Program. The behavior of the USSR was condemned during the Consultative Meeting under the London Convention. Further treatment and storage projects for the hazardous wastes for the former countries USSR under the framework of the London Convention.

## **5.2. International Convention for the prevention of pollution from ships (MARPOL), 1973/1978**

The international community was dissatisfied with the OILPOL'54 convention and its environmental and technical requirements. The International Maritime Organization adopted another convention on the prevention of vessel-source pollution on 2 November 1973 - the International Convention for the Prevention of Pollution from Ships (MARPOL). It covered pollution by oil, chemicals, and harmful substances in packaged form, sewage and

<sup>21</sup> Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter, 1972. United Nations, Treaty Series. Vol. 1046. P. 120.

<sup>22</sup> Protocol of 1996 to the 1972 Convention on Prevention of Marine Pollution by Dumping of Wastes and Other Matter. 2006 Australian Treaty Series 11.

garbage. The convention aimed to prevent both international and negligent pollution and minimize accidental spills. The Convention represents the compromise between coastal and shipping interests. The Convention introduced new anti-pollution regime and more modern operating requirements.

40 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**5. Further international documents on oil pollution of the marine** 

**5.1. International convention on the prevention of marine pollution by the** 

Further international document on the oil pollution was the International Convention on the Prevention of Marine Pollution by the Dumping of Wastes or Other Matter (London Convention), 197221 with Protocol of 199622. This document was adopted under the influence of the Stockholm Conference. The adoption of this convention served as a demonstration of the readiness of states to protect marine environment against oil pollution. The Convention deals with 'dumping', i.e. the deliberate disposal of wastes and other matter (other than operational discharges) from vessels and aircraft. The provisions of the convention prohibit dumping except for the wastes listed in Annex 1. Dumping of some wastes requires a prior special or general permit (Art. IV). Convention stresses that the capacity of the sea to assimilate wastes and render them harmless, and its ability to regenerate natural resources,

The effectiveness of the London convention was demonstrated in the incident with the dumping of high-level radioactive waste in the Arctic by the USSR (Stokke, 1998). The dumping was documented in the Yablokov Report in the 1990s. Certain efforts were made to enforce the provisions of this convention through the Russian-Norwegian Environmental Committee and the International Arctic Sea Assessment Program. The behavior of the USSR was condemned during the Consultative Meeting under the London Convention. Further treatment and storage projects for the hazardous wastes for the former countries USSR

**5.2. International Convention for the prevention of pollution from ships** 

The international community was dissatisfied with the OILPOL'54 convention and its environmental and technical requirements. The International Maritime Organization adopted another convention on the prevention of vessel-source pollution on 2 November 1973 - the International Convention for the Prevention of Pollution from Ships (MARPOL). It covered pollution by oil, chemicals, and harmful substances in packaged form, sewage and

21 Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter, 1972. United Nations,

22 Protocol of 1996 to the 1972 Convention on Prevention of Marine Pollution by Dumping of Wastes and Other Matter.

**dumping of wastes or other matter (London Convention), 1972** 

sufficient. The initiative was not supported.

under the framework of the London Convention.

**environment** 

are not unlimited.

**(MARPOL), 1973/1978** 

Treaty Series. Vol. 1046. P. 120.

2006 Australian Treaty Series 11.

Another proposal from the oil industry sector was a *Pollution Agreement among Tanker Owners (PLATO)* in 1985. This initiative reduced the liability of oil sector trying to put a greater burden on the shipping sector, since the level of the safety of shipping was still not

> MARPOL effectively superseded OILPOL'54. However, in its preamble MARPOL Convention recognizes the importance of the International Convention for the Prevention of Pollution of the Sea by Oil, 1954.

> Tanker accidents which took place in 1977/78 led the Inter-Governmental Maritime Consultative Organization to convene an International Conference on Tanker Safety and Pollution Prevention (TSPP Conference) in February 1978. This conference adopted MARPOL Protocol of 1978 in order to speed up the adoption of MARPOL convention. This 1978 Protocol is also known as the Tanker Safety and Pollution Protocol.

> A few weeks after this conference the VLCC "Amoco Cadiz" spilt 230 000 tons of crude oil (Gold, 1998). This incident stressed the importance and urgency of the oil pollution prevention for the international community.

> The combined instrument is referred to as the International Convention for the Prevention of Marine Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto (MARPOL 73/78), and it entered into force on 2 October 1983 (Annexes I and II). Later further Annexes (III-VI) were adopted to this document.

> Annex I with regulations for the prevention of pollution by oil covers prevention of pollution by oil from operational measures as well as from accidental discharges. It also contains the mandatory requirements for new oil tankers to have double hulls and a phasein schedule for existing tankers on double hulls (Gold, 1998).

> Annex II with regulation for the control of pollution by noxious liquid substances - regulates the discharge of noxious substances, and prevents their discharge within 12 miles of the nearest land.

> Annex III on prevention of pollution by harmful substances carried by sea in packaged form requires the packaging, labeling and documenting of harmful substances.

Annex IV is devoted to the prevention of pollution by spillage from ships.

Annex V on prevention of pollution by garbage from ships specifies distances from land and manner of disposal of garbage from ships and completely prohibits disposal of plastic.

Annex VI on prevention of air pollution from ships regulates discharge of sulphur oxide and nitrous oxide. The discharge of ozone depleting gases is prohibited.

Since the definition of "ship" in the convention includes vessels of any type operating in the marine environment (hydrofoil boats, air-cushion vehicles, submersibles, floating craft and fixed or floating platforms, oil-drilling vessels and platforms), all of their discharges of oil into the sea are also covered by the scope of this convention.

The "oil" in the convention is defined as petroleum in any form, including crude oil, fuel oil, sludge, oil refuse and refined products (other than petro-chemicals).

Oil Pollution and International Marine Environmental Law 43

*Convention for the prevention of marine pollution from land-based sources23* done at Paris on 4 June 1974 in Art. 1 puts an obligation on the Contracting Parties to take all possible steps to prevent and combat pollution of the sea from land-based sources. The pollution from landbased sources also covers the maritime pollution from installations under the jurisdiction of

*International Convention Relating to the Limitation of the Liability of Owners of Sea-going Ships, 195724* was developed by the Comité Maritime Internacional. It includes the principle of limitation of liability. Besides the liability is limited for shipowners in cases of death, personal injury and property damage claims depending on the tonnage of the vessel. This provision of the convention was often overruled by the courts, so the convention was replaced by the *Convention on Limitation of Liability for Maritime Claims, 1976 (LLMC 1976)25*. This document sets general limitation of liability. The limitation-rule does not apply in cases of intentional or reckless personal act or omission. By the limitation rule shipowner,

*Convention on Civil Liability for Oil Pollution Damage Resulting from Exploration of Seabed Mineral Resources, 1977 (CLEE 1977)*26 is a liability convention for offshore oil and gas operations. The convention did not enter into force since there is a developed liability regime for oil industry under the bilateral agreements with the involved coastal states.

The issue of oil pollution offshore drilling and exploration and exploitation activities is also concerned in a voluntary agreement amongst oil companies operating in northwestern Europe *the Offshore Pollution Liability Agreement (OPOL)27*. According to its provisions

In aftermath of the "Exxon Valdez" catastrophe under the pressure of the USA the *International Convention on Oil Pollution Preparedness, Response and Co-Operation (OPRC 1990)28* was adopted in London on 30 November 1990 addressing the issues of response and preparedness of the international community to the oil spills. By means of this convention the International Maritime Organization developed a framework for the international

The convention stresses in its preamble the serious threat posed to the marine environment by oil pollution incidents and reminds that in case of the oil pollution incident, prompt and

24 International Convention relating to the Limitation of the Liability of Owners of Sea-Going Ships, 1957.

26 Convention on Civil Liability for Oil Pollution Damage Resulting from Exploration and Exploitation of Seabed Mineral Resources, 1977. http://www.dipublico.com.ar/english/convention-on-civil-liability-for-oil-pollution-damage-

http://www.opcw.org/chemical-weapons-convention/related-international-agreements/toxic-chemicals-and-the-

operators accept strict liability for pollution damage and remedial measures.

the member states to the convention including offshore installations and structures.

charterer, manager, operator, salvors and insurers are covered.

cooperation in combating major oil pollution incidents.

environment/marine-pollution-from-land-based-sources/

http://www.admiraltylawguide.com/conven/limitation1957.html 25 Convention on Limitation of Liability for Maritime Claims, 1976. http://www.admiraltylawguide.com/conven/limitation1976.html

resulting-from-exploration-and-exploitation-of-seabed-mineral-resources/ 27 Offshore Pollution Liability Agreement. http://www.opol.org.uk/agreement.htm

http://www.admiraltylawguide.com/conven/oilpolresponse1990.html

23 Convention for the Prevention of Marine Pollution from Land-Based Sources, 1974.

28 International Convention on Oil Pollution Preparedness, Response and Co-operation, 1990.

The discharge of oil is completely prohibited in a number of 'special areas' which are considered particularly vulnerable to pollution, for example, Mediterranean, Baltic, Black Sea, Red Sea, Gulf and Antarctic. In these areas for technical oceanographic and ecological reasons and the particular character of traffic, special mandatory methods for the prevention of sea pollution by oil are required.

MARPOL laid down the mechanism to check the seaworthiness of a ship by providing a framework for certification of ships with respect to safety and pollution compliance. Powers to inspect, detain and prosecute have been given to flag states and port states (Gautam, 2010).

The convention requires from vessels to have on board Oil Record Book (for tankers and other vessels over a certain tonnage) and Cargo Record Book (for ships carrying noxious substances other than oil). These books have to contain records on on-board operations.

MARPOL introduces a number of certificates to be kept on board: International Oil Pollution Certificate 1973 (IOPC); International Pollution Prevention Certificate for the Carriage of Noxious Liquid Substances in Bulk 1973; International Sewage Pollution Certificate 1973. These certificates could be demanded by surveyors and inspectors in flag and port states. Lack of or improper certification may result in sailing permission being withheld.

The convention introduces a system of communication between states. All relevant information of interest shall be communicated to other state(s) or organizations. For information on accidents and results of investigations reports are required. The International Maritime Organization shall be informed on such issues as reception facilities, inspection/survey authorities, specimens of certifications, texts of laws and regulations, annual reports and statistical index of violations and fines imposed.

MARPOL concerns mainly pollution from vessels. Exploration and other relevant offshore resources development activity is excluded.

The MARPOL Convention became the main international convention covering prevention of pollution of the marine environment by ships from operational or accidental causes. For the first time the whole issue of marine pollution was addressed. This document became an innovation. If earlier anti-pollution conventions had been limited to pollution by oil, MARPOL aimed at all kinds of sea-borne pollution: oil, chemicals, sewage, garbage, and other harmful materials (Rosenne, 1999).

In order to maintain its impact considering the constantly developing technical innovations the convention is being updated by amendments.

This convention serves as a certain "environmental code" for the shipping industry.

### **5.3. Other relevant documents**

One can find certain provisions on marine pollution with oil in other relevant international legal documents.

*Convention for the prevention of marine pollution from land-based sources23* done at Paris on 4 June 1974 in Art. 1 puts an obligation on the Contracting Parties to take all possible steps to prevent and combat pollution of the sea from land-based sources. The pollution from landbased sources also covers the maritime pollution from installations under the jurisdiction of the member states to the convention including offshore installations and structures.

42 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

sludge, oil refuse and refined products (other than petro-chemicals).

of sea pollution by oil are required.

The "oil" in the convention is defined as petroleum in any form, including crude oil, fuel oil,

The discharge of oil is completely prohibited in a number of 'special areas' which are considered particularly vulnerable to pollution, for example, Mediterranean, Baltic, Black Sea, Red Sea, Gulf and Antarctic. In these areas for technical oceanographic and ecological reasons and the particular character of traffic, special mandatory methods for the prevention

MARPOL laid down the mechanism to check the seaworthiness of a ship by providing a framework for certification of ships with respect to safety and pollution compliance. Powers to inspect, detain and prosecute have been given to flag states and port states (Gautam, 2010).

The convention requires from vessels to have on board Oil Record Book (for tankers and other vessels over a certain tonnage) and Cargo Record Book (for ships carrying noxious substances other than oil). These books have to contain records on on-board operations.

MARPOL introduces a number of certificates to be kept on board: International Oil Pollution Certificate 1973 (IOPC); International Pollution Prevention Certificate for the Carriage of Noxious Liquid Substances in Bulk 1973; International Sewage Pollution Certificate 1973. These certificates could be demanded by surveyors and inspectors in flag and port states. Lack

The convention introduces a system of communication between states. All relevant information of interest shall be communicated to other state(s) or organizations. For information on accidents and results of investigations reports are required. The International Maritime Organization shall be informed on such issues as reception facilities, inspection/survey authorities, specimens of certifications, texts of laws and regulations,

MARPOL concerns mainly pollution from vessels. Exploration and other relevant offshore

The MARPOL Convention became the main international convention covering prevention of pollution of the marine environment by ships from operational or accidental causes. For the first time the whole issue of marine pollution was addressed. This document became an innovation. If earlier anti-pollution conventions had been limited to pollution by oil, MARPOL aimed at all kinds of sea-borne pollution: oil, chemicals, sewage, garbage, and

In order to maintain its impact considering the constantly developing technical innovations

One can find certain provisions on marine pollution with oil in other relevant international

This convention serves as a certain "environmental code" for the shipping industry.

of or improper certification may result in sailing permission being withheld.

annual reports and statistical index of violations and fines imposed.

resources development activity is excluded.

other harmful materials (Rosenne, 1999).

**5.3. Other relevant documents** 

legal documents.

the convention is being updated by amendments.

*International Convention Relating to the Limitation of the Liability of Owners of Sea-going Ships, 195724* was developed by the Comité Maritime Internacional. It includes the principle of limitation of liability. Besides the liability is limited for shipowners in cases of death, personal injury and property damage claims depending on the tonnage of the vessel. This provision of the convention was often overruled by the courts, so the convention was replaced by the *Convention on Limitation of Liability for Maritime Claims, 1976 (LLMC 1976)25*. This document sets general limitation of liability. The limitation-rule does not apply in cases of intentional or reckless personal act or omission. By the limitation rule shipowner, charterer, manager, operator, salvors and insurers are covered.

*Convention on Civil Liability for Oil Pollution Damage Resulting from Exploration of Seabed Mineral Resources, 1977 (CLEE 1977)*26 is a liability convention for offshore oil and gas operations. The convention did not enter into force since there is a developed liability regime for oil industry under the bilateral agreements with the involved coastal states.

The issue of oil pollution offshore drilling and exploration and exploitation activities is also concerned in a voluntary agreement amongst oil companies operating in northwestern Europe *the Offshore Pollution Liability Agreement (OPOL)27*. According to its provisions operators accept strict liability for pollution damage and remedial measures.

In aftermath of the "Exxon Valdez" catastrophe under the pressure of the USA the *International Convention on Oil Pollution Preparedness, Response and Co-Operation (OPRC 1990)28* was adopted in London on 30 November 1990 addressing the issues of response and preparedness of the international community to the oil spills. By means of this convention the International Maritime Organization developed a framework for the international cooperation in combating major oil pollution incidents.

The convention stresses in its preamble the serious threat posed to the marine environment by oil pollution incidents and reminds that in case of the oil pollution incident, prompt and

<sup>23</sup> Convention for the Prevention of Marine Pollution from Land-Based Sources, 1974.

http://www.opcw.org/chemical-weapons-convention/related-international-agreements/toxic-chemicals-and-theenvironment/marine-pollution-from-land-based-sources/

<sup>24</sup> International Convention relating to the Limitation of the Liability of Owners of Sea-Going Ships, 1957. http://www.admiraltylawguide.com/conven/limitation1957.html

<sup>25</sup> Convention on Limitation of Liability for Maritime Claims, 1976.

http://www.admiraltylawguide.com/conven/limitation1976.html

<sup>26</sup> Convention on Civil Liability for Oil Pollution Damage Resulting from Exploration and Exploitation of Seabed Mineral Resources, 1977. http://www.dipublico.com.ar/english/convention-on-civil-liability-for-oil-pollution-damageresulting-from-exploration-and-exploitation-of-seabed-mineral-resources/

<sup>27</sup> Offshore Pollution Liability Agreement. http://www.opol.org.uk/agreement.htm

<sup>28</sup> International Convention on Oil Pollution Preparedness, Response and Co-operation, 1990.

http://www.admiraltylawguide.com/conven/oilpolresponse1990.html

effective action is essential in order to minimize the damage. In Art. 6 Convention puts an obligation upon Party States to establish a national system addressing the oil pollution incidents. The convention recognizes the importance of mutual assistance and international cooperation and establishes the basis for the exchange of information respecting the capabilities of states to respond to oil pollution incidents, the preparation of oil pollution contingency plans, the exchange of reports of incidents of significance which may affect the marine environment or the coastline and related interests of states, as well as research and development respecting means of combating oil pollution in the marine environment. The convention also sets a requirement for vessels and offshore units to have on board oil pollution emergency plans.

Oil Pollution and International Marine Environmental Law 45

The company "Exxon Mobile" spent over \$2 billion in order to clean up the Prince William

It was the largest spill in the US waters. Being dissatisfied with the international community's environmental protection legislation and common international standards (Pamborides, 1999), the US started its own new policy towards vessels calling at the US ports. Looking at the statistics one should say that after this legislation the volume of spilled

The OPA, promulgated by the US Congress, introduced ahead of the International Maritime Organization double hull standards for oil tankers. This act was called "draconian legislation" (Gold, 1998). It allows to use single-hull tanker vessels of 5 000 gt or more for trade with the US until 2015, depending on their age, only if they were equipped with a double bottom or double sides. The vessels not complying with this requirement could be

This idea concerning the tank of the vessel was not particularly new. As far back as 1971 the amendments to the OILPOL have been elaborated. The proposed rules regulated the tank sizes of tankships in order to reduce the pollution. However, at that time this amendment proposal met a considerable opposition from the ship construction industry. Amendments

The OPA applies to the navigable waters of the US, including the exclusive economic zone up to 200 miles from the baseline. 'Oil' is defined broadly to include petroleum, fuel oil,

The OPA introduces liability provisions and establishes a supplemental fund to be used as

The OPA'90 allows to the US states to enact their own laws on issues of pollution liability

The behavior of the US was condemned by the international shipping industry, especially tanker operators. In 1992 the International Maritime Organization adopted the amendment to MARPOL requiring mandatory double hulls for new tankers delivered on or after 6 July

The revised measures on the phasing-out of single-hull oil tankers were adopted in December 2003 after incident with the "Prestige" tanker. Regulation 13G of Annex I of MARPOL concerning the final phasing-out dates was revised. The dates were pushed forward from 2007 to 2005 for "pre-MARPOL tankers" and from 2015 to 2010 for MARPOL tankers and smaller tankers. The Condition Assessment Scheme was made applicable to all

*The Arctic Waters Pollution Act of 1970* of Canada was the result of the beginning of the use of the Alaska territory for the transportation of oil. The Canadian law prohibits the dumping of

sludge, oil refuse and oily wastes. Hazardous substances are not included.

1996. Existing tankers shall be fitted with double hulls within 30 years.

single-hull tankers older than 14 years (Anianova, 2006).

**6.2. Other national legislation on oil pollution prevention** 

Sound area after the Exxon Valdez oil spill (Gennaro, 2004).

oil in the US waters dropped by 70%.

refused access to US waters after 2010.

did not enter into force (Gold, 1998).

and response.

compensation for losses not covered by polluters.

This convention is a framework treaty containing only general obligations without concrete ones. However, it should be stressed that a convention provides for legal basis for better cooperation between states in responding to oil pollution incidents (Gold, 1998). Besides the convention granted to the International Maritime Organization a central role in organizing an immediate response to polluting incidents, providing the basis for International Maritime Organization coordination of technical support and financial assistance for governments.

*International Convention on Civil Liability for Bunker Oil Pollution Damage (BUNKER), 200129* was adopted to reduce a number of gaps in the CLC regime. This document provides for prompt compensation system for the damage caused by oil spills, when oil was carried as fuel in ships' bunkers. This convention is applied to the territorial seas and exclusive economic zones of the States Parties. The registered owner of the vessel is under the obligation to maintain compulsory insurance cover. A claim for pollution damage could be brought directly against an insurer.

## **6. Unilateral "Solutions"**

## **6.1. The US Oil Pollution Act, 1990**

The international measures for the prevention and protection of the marine environment pollution are often considered to be slow and ineffective. Sometimes it makes the states to adopt the unilateral (or regional) measures for the protection of marine environment. However, it should be stressed that the number of states with a unilateral approach remains modest (Dahm et al., 1989).

As examples one could mention the reaction of the European Commission on the "Erika» oil spill or the Oil Pollution Act (OPA)30 of the US in 1990 after the «Exxon Valdez» grounding on 24 March 1989. The vessel ran into the Bligh Reef in King William Sound in Alaska. 10,8 million gallons (40 000 tons (Brubaker, 1993) of crude oil were spilt. Over 3 400 square kilometres were damaged by oil. Because of this oil spill approximately 250 000 sea birds and 2 000 sea otters died (Graham, 2003).

<sup>29</sup> International Convention on Civil Liability for Bunker Oil Pollution Damage, 2001. http://www.officialdocuments.gov.uk/document/cm66/6693/6693.asp

<sup>30</sup> U.S. Oil Pollution Act, 1990, Public Law 101-380, 104 U.S. Statutes at Large 484 (1990).

The company "Exxon Mobile" spent over \$2 billion in order to clean up the Prince William Sound area after the Exxon Valdez oil spill (Gennaro, 2004).

44 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

pollution emergency plans.

brought directly against an insurer.

**6.1. The US Oil Pollution Act, 1990** 

and 2 000 sea otters died (Graham, 2003).

documents.gov.uk/document/cm66/6693/6693.asp

**6. Unilateral "Solutions"** 

modest (Dahm et al., 1989).

effective action is essential in order to minimize the damage. In Art. 6 Convention puts an obligation upon Party States to establish a national system addressing the oil pollution incidents. The convention recognizes the importance of mutual assistance and international cooperation and establishes the basis for the exchange of information respecting the capabilities of states to respond to oil pollution incidents, the preparation of oil pollution contingency plans, the exchange of reports of incidents of significance which may affect the marine environment or the coastline and related interests of states, as well as research and development respecting means of combating oil pollution in the marine environment. The convention also sets a requirement for vessels and offshore units to have on board oil

This convention is a framework treaty containing only general obligations without concrete ones. However, it should be stressed that a convention provides for legal basis for better cooperation between states in responding to oil pollution incidents (Gold, 1998). Besides the convention granted to the International Maritime Organization a central role in organizing an immediate response to polluting incidents, providing the basis for International Maritime Organization coordination of technical support and financial assistance for governments.

*International Convention on Civil Liability for Bunker Oil Pollution Damage (BUNKER), 200129* was adopted to reduce a number of gaps in the CLC regime. This document provides for prompt compensation system for the damage caused by oil spills, when oil was carried as fuel in ships' bunkers. This convention is applied to the territorial seas and exclusive economic zones of the States Parties. The registered owner of the vessel is under the obligation to maintain compulsory insurance cover. A claim for pollution damage could be

The international measures for the prevention and protection of the marine environment pollution are often considered to be slow and ineffective. Sometimes it makes the states to adopt the unilateral (or regional) measures for the protection of marine environment. However, it should be stressed that the number of states with a unilateral approach remains

As examples one could mention the reaction of the European Commission on the "Erika» oil spill or the Oil Pollution Act (OPA)30 of the US in 1990 after the «Exxon Valdez» grounding on 24 March 1989. The vessel ran into the Bligh Reef in King William Sound in Alaska. 10,8 million gallons (40 000 tons (Brubaker, 1993) of crude oil were spilt. Over 3 400 square kilometres were damaged by oil. Because of this oil spill approximately 250 000 sea birds

29 International Convention on Civil Liability for Bunker Oil Pollution Damage, 2001. http://www.official-

30 U.S. Oil Pollution Act, 1990, Public Law 101-380, 104 U.S. Statutes at Large 484 (1990).

It was the largest spill in the US waters. Being dissatisfied with the international community's environmental protection legislation and common international standards (Pamborides, 1999), the US started its own new policy towards vessels calling at the US ports. Looking at the statistics one should say that after this legislation the volume of spilled oil in the US waters dropped by 70%.

The OPA, promulgated by the US Congress, introduced ahead of the International Maritime Organization double hull standards for oil tankers. This act was called "draconian legislation" (Gold, 1998). It allows to use single-hull tanker vessels of 5 000 gt or more for trade with the US until 2015, depending on their age, only if they were equipped with a double bottom or double sides. The vessels not complying with this requirement could be refused access to US waters after 2010.

This idea concerning the tank of the vessel was not particularly new. As far back as 1971 the amendments to the OILPOL have been elaborated. The proposed rules regulated the tank sizes of tankships in order to reduce the pollution. However, at that time this amendment proposal met a considerable opposition from the ship construction industry. Amendments did not enter into force (Gold, 1998).

The OPA applies to the navigable waters of the US, including the exclusive economic zone up to 200 miles from the baseline. 'Oil' is defined broadly to include petroleum, fuel oil, sludge, oil refuse and oily wastes. Hazardous substances are not included.

The OPA introduces liability provisions and establishes a supplemental fund to be used as compensation for losses not covered by polluters.

The OPA'90 allows to the US states to enact their own laws on issues of pollution liability and response.

The behavior of the US was condemned by the international shipping industry, especially tanker operators. In 1992 the International Maritime Organization adopted the amendment to MARPOL requiring mandatory double hulls for new tankers delivered on or after 6 July 1996. Existing tankers shall be fitted with double hulls within 30 years.

The revised measures on the phasing-out of single-hull oil tankers were adopted in December 2003 after incident with the "Prestige" tanker. Regulation 13G of Annex I of MARPOL concerning the final phasing-out dates was revised. The dates were pushed forward from 2007 to 2005 for "pre-MARPOL tankers" and from 2015 to 2010 for MARPOL tankers and smaller tankers. The Condition Assessment Scheme was made applicable to all single-hull tankers older than 14 years (Anianova, 2006).

## **6.2. Other national legislation on oil pollution prevention**

*The Arctic Waters Pollution Act of 1970* of Canada was the result of the beginning of the use of the Alaska territory for the transportation of oil. The Canadian law prohibits the dumping of

hazardous wastes from vessels and from the land. The legal act grants to the Governor in Council the possibility to declare a certain area of the Arctic waters a safety zone. For such safety zone it is possible to enact separate regulations concerning the technical requirements to the vessels, their loading. The navigation of vessels through such zones can also be prohibited (Dahm et al., 1989). This act raised the protests of the USA. The attempt of the Canada to lobby the introduction of the environmental safety zones into the UNCLOS during the conference was not successful.

Oil Pollution and International Marine Environmental Law 47

 Art. 8 of the Convention for Co-operation in the Protection and Development of the Marine and Coastal Environment of the West and Central African Region (Abidjan

Art. 4 of the Convention for the Protection of the Marine Environment and Coastal Area

Art. VII of the Regional Convention for the Conservation of the Red Sea and Gulf of

 Art. 8 of the Convention for the Protection and Development of the Marine Environment of the Wider Caribbean Region (Cartagena de Indias Convention), 198334; Art. 8 of the Nairobi Convention for the Protection, Management and Development of the Marine and Coastal Environment of the Eastern African Region (Nairobi Convention)35; Art. 8 of the Convention for the Protection of the Natural Resources and Environment of the South Pacific Region and related Protocols (Nouméa Convention), 198636; Art. 7 of the Convention for the Protection of the Mediterranean Sea against Pollution

Most of the regional conventions on the seas protections contain an obligation to take decisive actions to protect their marine environment. Most of these conventions refer to the

In some of the conventions (the Abidjan, Nairobi, Cartagena and Nouméa Conventions) the

Most regional conventions also include cooperation clauses in their texts requiring the proper communication between concerned states and international organizations. Regional conventions contain mostly general rules and principles of environmental protection of the

The anti-pollution legislation for all regional seas is at present still being developed and formed. There is already a number of regional arrangements for cooperation in combating

The first convention relating to offshore oil spills was *the 1969 Bonn Agreement for Cooperation in Dealing with Pollution of the North Sea by Oil38*. Originally it covered only oil spills

31 Convention for Co-operation in the Protection and Development of the Marine and Coastal Environment of the West

32 Convention for the Protection of the Marine Environment and Coastal Area of the South-East Pacific, 1981.

34 Convention for the Protection and Development of the Marine Environment of the Wider Caribbean Region, 1983.

35 Convention for the Protection, Management and Development of the Marine and Coastal Environment of the Eastern

36 Convention for the Protection of the Natural Resources and Environment of the South Pacific Region, 1986.

of the South-East Pacific (Lima Convention), 198132;

Aden Environment (Jeddah Convention), 198233;

(Barcelona Convention), 197637 (Gavouneli, 1995).

national legislation and the need to adopt the corresponding measures.

requirement on obligatory environmental management is introduced.

seas, however, the more detailed requirements and standards fail.

http://www.unep.org/AbidjanConvention/docs/Abidjan%20Convention%20English.pdf

http://www.unep.ch/regionalseas/main/persga/redconv.html

http://www.offshore-environment.com/regionalconventions.html

http://www.offshore-environment.com/regionalconventions.html

http://www.offshore-environment.com/regionalconventions.html

http://www.unep.ch/regionalseas/regions/med/t\_barcel.htm

37 Convention for the Protection of the Mediterranean Sea Against Pollution, 1976.

http://sedac.ciesin.org/entri/texts/marine.environment.coastal.south.east.pacific.1981.html 33 Regional Convention for the Conservation of the Red Sea and Gulf of Aden Environment, 1982.

Convention), 198131;

pollution.

and Central African Region, 1981.

African Region, 1985.

On December 12, 1999 the oil tanker "Erika" broke off the coast of Brittany, France. 14 000 tonnes of oil were spilled damaging 400 km of Atlantic coast. The "Erika" incident accelerated the amendments to MARPOL adopted in April 2001 on the phase-out of singlehull tankers by 2010. The case was brought to the court. The court found guilty the energy company Total, the owner and manager of the tanker, and the Italian classification society "RINA", of negligence and criminal liability. They were ordered to pay 192 million Euros in damages. The Paris Court of Appeal increased the sum of damages to 200 million Euros.

The incident with the tanker "Prestige" in November 2002 off the coast of Spain when the vessel broke in two was followed by the collision of the Turkish tanker "VICKY" with a sunken carrier off the coast of France and the spill of 70 000 tons of flammable kerosene.

These accidents were reflected in the legislation of the European Union: the transport of heavy fuels have been prohibited in single-hulled tankers in EU waters and a phase-out plan for single-hulled tankers was introduced. For example, in Spain a ban against the transportation of heavy fuel in single hull tankers was introduced.

These unilateral measures concerning the international navigation could seem to be more effective than the international ones. However, they do not consider the interests of the international shipping. Such "competition" between unilateral initiatives and International Maritime Organization standards could be detrimental to international shipping and lead to the "selected ports" approach: the ports with the higher standards could not be simply ignored by some ships, while the ports with weaker port state control would be chosen. These ships with lower standards could threaten the environment in those regions (Anianova, 2006).

## **7. Regional conventions**

As for unilateral or national anti-pollution measures, one could say, that the effective marine environment protection is not possible without the cooperation with other states. However, the regional conventions dealing with pollution of certain seas or waters by oil could be more effective than the global ones with the general requirements. In particular it concerns regional seas and the need to protect their environment and regulate maintenance, exploration and exploitation of their resources (Gelberg, 1979). It is easier to consider the particularities of the regional seas with the help of the coastal states cooperation.

Most regional conventions on protection of particular regional seas include in their texts a common general obligation for the parties to take "appropriate" measures to prevent and control pollution arising from the exploration and exploitation of their seabed mineral resources:


Most of the regional conventions on the seas protections contain an obligation to take decisive actions to protect their marine environment. Most of these conventions refer to the national legislation and the need to adopt the corresponding measures.

In some of the conventions (the Abidjan, Nairobi, Cartagena and Nouméa Conventions) the requirement on obligatory environmental management is introduced.

Most regional conventions also include cooperation clauses in their texts requiring the proper communication between concerned states and international organizations. Regional conventions contain mostly general rules and principles of environmental protection of the seas, however, the more detailed requirements and standards fail.

The anti-pollution legislation for all regional seas is at present still being developed and formed. There is already a number of regional arrangements for cooperation in combating pollution.

The first convention relating to offshore oil spills was *the 1969 Bonn Agreement for Cooperation in Dealing with Pollution of the North Sea by Oil38*. Originally it covered only oil spills

http://www.unep.ch/regionalseas/main/persga/redconv.html

46 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

during the conference was not successful.

**7. Regional conventions** 

resources:

hazardous wastes from vessels and from the land. The legal act grants to the Governor in Council the possibility to declare a certain area of the Arctic waters a safety zone. For such safety zone it is possible to enact separate regulations concerning the technical requirements to the vessels, their loading. The navigation of vessels through such zones can also be prohibited (Dahm et al., 1989). This act raised the protests of the USA. The attempt of the Canada to lobby the introduction of the environmental safety zones into the UNCLOS

On December 12, 1999 the oil tanker "Erika" broke off the coast of Brittany, France. 14 000 tonnes of oil were spilled damaging 400 km of Atlantic coast. The "Erika" incident accelerated the amendments to MARPOL adopted in April 2001 on the phase-out of singlehull tankers by 2010. The case was brought to the court. The court found guilty the energy company Total, the owner and manager of the tanker, and the Italian classification society "RINA", of negligence and criminal liability. They were ordered to pay 192 million Euros in damages. The Paris Court of Appeal increased the sum of damages to 200 million Euros.

The incident with the tanker "Prestige" in November 2002 off the coast of Spain when the vessel broke in two was followed by the collision of the Turkish tanker "VICKY" with a sunken carrier off the coast of France and the spill of 70 000 tons of flammable kerosene.

These accidents were reflected in the legislation of the European Union: the transport of heavy fuels have been prohibited in single-hulled tankers in EU waters and a phase-out plan for single-hulled tankers was introduced. For example, in Spain a ban against the

These unilateral measures concerning the international navigation could seem to be more effective than the international ones. However, they do not consider the interests of the international shipping. Such "competition" between unilateral initiatives and International Maritime Organization standards could be detrimental to international shipping and lead to the "selected ports" approach: the ports with the higher standards could not be simply ignored by some ships, while the ports with weaker port state control would be chosen. These ships with lower standards could threaten the environment in those regions (Anianova, 2006).

As for unilateral or national anti-pollution measures, one could say, that the effective marine environment protection is not possible without the cooperation with other states. However, the regional conventions dealing with pollution of certain seas or waters by oil could be more effective than the global ones with the general requirements. In particular it concerns regional seas and the need to protect their environment and regulate maintenance, exploration and exploitation of their resources (Gelberg, 1979). It is easier to consider the

Most regional conventions on protection of particular regional seas include in their texts a common general obligation for the parties to take "appropriate" measures to prevent and control pollution arising from the exploration and exploitation of their seabed mineral

particularities of the regional seas with the help of the coastal states cooperation.

transportation of heavy fuel in single hull tankers was introduced.

http://www.offshore-environment.com/regionalconventions.html

http://www.offshore-environment.com/regionalconventions.html

<sup>31</sup> Convention for Co-operation in the Protection and Development of the Marine and Coastal Environment of the West and Central African Region, 1981.

http://www.unep.org/AbidjanConvention/docs/Abidjan%20Convention%20English.pdf

<sup>32</sup> Convention for the Protection of the Marine Environment and Coastal Area of the South-East Pacific, 1981.

http://sedac.ciesin.org/entri/texts/marine.environment.coastal.south.east.pacific.1981.html 33 Regional Convention for the Conservation of the Red Sea and Gulf of Aden Environment, 1982.

<sup>34</sup> Convention for the Protection and Development of the Marine Environment of the Wider Caribbean Region, 1983.

<sup>35</sup> Convention for the Protection, Management and Development of the Marine and Coastal Environment of the Eastern African Region, 1985.

<sup>36</sup> Convention for the Protection of the Natural Resources and Environment of the South Pacific Region, 1986. http://www.offshore-environment.com/regionalconventions.html

<sup>37</sup> Convention for the Protection of the Mediterranean Sea Against Pollution, 1976.

http://www.unep.ch/regionalseas/regions/med/t\_barcel.htm

emanating from tankers but after the "Ekofisk" disaster in 1977 the parties agreed that it covered spillages from offshore installations as well. It has been replaced as of 1 September 1989 by the *1983 Bonn Agreement for Cooperation in Dealing with Pollution of the North Sea by Oil and other Harmful Substances39.* 

Oil Pollution and International Marine Environmental Law 49

Sea. Its member states are all eight Baltic states. The Helsinki Commission regulates discharges and dumping from ships and direct discharges from land, atmospheric inputs, emergency action against oil spills, the use of antifouling paints containing tributyl tin, coordinating monitoring programmes, and seal conservation. Regularly meetings of experts

All decisions of the Helsinki Commission are only recommendations. In 1992 the area of responsibility was extended to include the inland waters landward of the baselines of the

The Helsinki Convention is a legal basis for permanent co-operation of Baltic states,

*The Regional Convention for the Conservation of the Red Sea and Gulf of Aden Environment43* was signed in Jeddah in 1982. It has a separate protocol on combating oil pollution. An independent regional intergovernmental organization, the Programme of Environment for the Red Sea and Gulf of Aden (PERSGA), was established to implement the Convention. Egypt, Jordan, the Palestinian Authority, Saudi Arabia, Somalia, Sudan, and Yemen

For the Red Sea and Gulf of Aden a special Strategic Action Programme was adopted in 1982 and initiated in 1995 in order to develop a regional framework for protection of the environment and sustainable development of coastal and marine resources (Dzurek &

*Abidjan Convention for Co-Operation in the Protection and Development of the Marine and Coastal Environment of the West and Central African Region,* 1981 applies to the West African Atlantic Ocean. Its provisions concern first of all offshore oil producers in West and Central Africa. A general obligation is placed on contracting parties to prevent and relieve pollution caused by sea dumping and exploitation activities. Such activities should conform with recognized rules and practice in the London Convention, 1972. The Convention stresses in its preamble the need for sustainable, environmentally sound practices and inter-generational justice.

Another industry scheme for the North-Western European waters was adopted in 1975 - the *Offshore Pollution Liability Agreement (OPOL)*. Its parties are oil companies operating in the

One could also mention an attempt to develop a convention on liability for damage resulted from seabed pollution. One adopted the *1976 London Convention on Civil Liability for Oil Pollution Damage Resulting from Exploration for and Exploitation of Seabed Mineral Resources44*. It

44 Convention on Civil Liability for Oil Pollution Damage Resulting from Exploration and Exploitation of Seabed Mineral Resources, 1976. http://www.dipublico.com.ar/english/convention-on-civil-liability-for-oil-pollution-damage-

43 Regional Convention for the Conservation of the Red Sea and the Gulf of Aden Environment, 1982.

evaluate the scientific evidence for the further recommendations (Clark, 1989).

especially through the Helsinki Commission (HELCOM)(Zhu, 2006).

participate in PERSGA, which is headquartered in Jeddah, Saudi Arabia.

Baltic Sea states (Valencia, 2001).

Schofield, 2001).

mentioned area (Gavouneli, 1995).

http://www.offshore-environment.com/regionalconventions.html

resulting-from-exploration-and-exploitation-of-seabed-mineral-resources/

is still not in force.

Mediterranean sea is protected by means of the *Convention for the Protection Of The Mediterranean Sea Against Pollution (Barcelona convention), 1976*. The provisions of this convention contain a non-binding obligation to undertake all possible steps in order to avoid the marine pollution of the Mediterranean sea by means of the seabed exploitation. Another obligation of coastal states concerns the adoption of the national legislation regarding the disposal of the offshore installations not in use in accordance with international guidelines and standards.

*Kuwait Regional Convention for Co-operation on the Protection of the Marine Environment from Pollution*, 197840 devotes some of its provisions to the marine pollution from oil development activity.

*The 1992 Convention for the Protection or the Marine Environment of the North-East Atlantic (OSPAR)* also mentions the issue of marine pollution from offshore installations (Art. 5 of the Annex III). Member states to the convention are obliged to avoid marine pollution caused by the activity on offshore installations. Article 3 of the Annex VI requires to organize a special environment examination before the exploration and exploitation of the sea-bed. The convention requires to apply the standards of the MARPOL 73/78. Besides the convention requires to cover all not used drilling holes and to dispose offshore installations not in use (Art. 8 Annex VI).

*The 1972 Convention for the Prevention of Marine Pollution by Dumping from Ships and Aircraft (the Oslo Dumping Convention)41* covers the Northeast Atlantic, Arctic Ocean and North Sea, Baltic and Mediterranean Seas (Art. 2) and sets out strict standards of dumping of industrial wastes and redundant materials at sea from vessels.

It is stressed in the preamble of this Convention that the ecological equilibrium and the legitimate uses of the sea are increasingly threatened by pollution. Art. 1 of the Convention contains the general obligation of the Contracting Parties to take all possible steps to prevent the pollution of the sea by hazardous substances.

The list of the prohibited substances is in the Annex I. Annex II contains the list of substances and materials requiring special care.

*The Convention On The Protection Of The Maritime Environment Of The Baltic Sea Area (Helsinki Convention)42* came into force in 1980. The document concerns the protection of the Baltic

<sup>38</sup> Agreement for Cooperation in Dealing with Pollution of the North Sea by Oil, 1969.

http://sedac.ciesin.org/entri/texts/pollution.north.sea.by.oil.1969.html

<sup>39</sup> Agreement for Cooperation in Dealing with Pollution of the North Sea by Oil and Other Harmful Substances, 1983. Official Journal L188 (16.07.1984). P. 9.

<sup>40</sup> Kuwait Regional Convention for Co-operation on the Protection of the Marine Environment from Pollution, 1978. http://www.offshore-environment.com/regionalconventions.html

<sup>41</sup> Convention for the Prevention of Marine Pollution by Dumping from Ships and Aircraft, 1972.

http://sedac.ciesin.org/entri/texts/marine.pollution.dumping.ships.aircraft.1972.html

<sup>42</sup> Convention on the Protection pf the Marine Environment of the Baltic Sea Area, 1974. http://www.offshoreenvironment.com/regionalconventions.html

Sea. Its member states are all eight Baltic states. The Helsinki Commission regulates discharges and dumping from ships and direct discharges from land, atmospheric inputs, emergency action against oil spills, the use of antifouling paints containing tributyl tin, coordinating monitoring programmes, and seal conservation. Regularly meetings of experts evaluate the scientific evidence for the further recommendations (Clark, 1989).

48 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

*Oil and other Harmful Substances39.* 

international guidelines and standards.

not in use (Art. 8 Annex VI).

Official Journal L188 (16.07.1984). P. 9.

environment.com/regionalconventions.html

wastes and redundant materials at sea from vessels.

the pollution of the sea by hazardous substances.

substances and materials requiring special care.

http://sedac.ciesin.org/entri/texts/pollution.north.sea.by.oil.1969.html

http://www.offshore-environment.com/regionalconventions.html

38 Agreement for Cooperation in Dealing with Pollution of the North Sea by Oil, 1969.

http://sedac.ciesin.org/entri/texts/marine.pollution.dumping.ships.aircraft.1972.html

41 Convention for the Prevention of Marine Pollution by Dumping from Ships and Aircraft, 1972.

activity.

emanating from tankers but after the "Ekofisk" disaster in 1977 the parties agreed that it covered spillages from offshore installations as well. It has been replaced as of 1 September 1989 by the *1983 Bonn Agreement for Cooperation in Dealing with Pollution of the North Sea by* 

Mediterranean sea is protected by means of the *Convention for the Protection Of The Mediterranean Sea Against Pollution (Barcelona convention), 1976*. The provisions of this convention contain a non-binding obligation to undertake all possible steps in order to avoid the marine pollution of the Mediterranean sea by means of the seabed exploitation. Another obligation of coastal states concerns the adoption of the national legislation regarding the disposal of the offshore installations not in use in accordance with

*Kuwait Regional Convention for Co-operation on the Protection of the Marine Environment from Pollution*, 197840 devotes some of its provisions to the marine pollution from oil development

*The 1992 Convention for the Protection or the Marine Environment of the North-East Atlantic (OSPAR)* also mentions the issue of marine pollution from offshore installations (Art. 5 of the Annex III). Member states to the convention are obliged to avoid marine pollution caused by the activity on offshore installations. Article 3 of the Annex VI requires to organize a special environment examination before the exploration and exploitation of the sea-bed. The convention requires to apply the standards of the MARPOL 73/78. Besides the convention requires to cover all not used drilling holes and to dispose offshore installations

*The 1972 Convention for the Prevention of Marine Pollution by Dumping from Ships and Aircraft (the Oslo Dumping Convention)41* covers the Northeast Atlantic, Arctic Ocean and North Sea, Baltic and Mediterranean Seas (Art. 2) and sets out strict standards of dumping of industrial

It is stressed in the preamble of this Convention that the ecological equilibrium and the legitimate uses of the sea are increasingly threatened by pollution. Art. 1 of the Convention contains the general obligation of the Contracting Parties to take all possible steps to prevent

The list of the prohibited substances is in the Annex I. Annex II contains the list of

*The Convention On The Protection Of The Maritime Environment Of The Baltic Sea Area (Helsinki Convention)42* came into force in 1980. The document concerns the protection of the Baltic

39 Agreement for Cooperation in Dealing with Pollution of the North Sea by Oil and Other Harmful Substances, 1983.

40 Kuwait Regional Convention for Co-operation on the Protection of the Marine Environment from Pollution, 1978.

42 Convention on the Protection pf the Marine Environment of the Baltic Sea Area, 1974. http://www.offshore-

All decisions of the Helsinki Commission are only recommendations. In 1992 the area of responsibility was extended to include the inland waters landward of the baselines of the Baltic Sea states (Valencia, 2001).

The Helsinki Convention is a legal basis for permanent co-operation of Baltic states, especially through the Helsinki Commission (HELCOM)(Zhu, 2006).

*The Regional Convention for the Conservation of the Red Sea and Gulf of Aden Environment43* was signed in Jeddah in 1982. It has a separate protocol on combating oil pollution. An independent regional intergovernmental organization, the Programme of Environment for the Red Sea and Gulf of Aden (PERSGA), was established to implement the Convention. Egypt, Jordan, the Palestinian Authority, Saudi Arabia, Somalia, Sudan, and Yemen participate in PERSGA, which is headquartered in Jeddah, Saudi Arabia.

For the Red Sea and Gulf of Aden a special Strategic Action Programme was adopted in 1982 and initiated in 1995 in order to develop a regional framework for protection of the environment and sustainable development of coastal and marine resources (Dzurek & Schofield, 2001).

*Abidjan Convention for Co-Operation in the Protection and Development of the Marine and Coastal Environment of the West and Central African Region,* 1981 applies to the West African Atlantic Ocean. Its provisions concern first of all offshore oil producers in West and Central Africa. A general obligation is placed on contracting parties to prevent and relieve pollution caused by sea dumping and exploitation activities. Such activities should conform with recognized rules and practice in the London Convention, 1972. The Convention stresses in its preamble the need for sustainable, environmentally sound practices and inter-generational justice.

Another industry scheme for the North-Western European waters was adopted in 1975 - the *Offshore Pollution Liability Agreement (OPOL)*. Its parties are oil companies operating in the mentioned area (Gavouneli, 1995).

One could also mention an attempt to develop a convention on liability for damage resulted from seabed pollution. One adopted the *1976 London Convention on Civil Liability for Oil Pollution Damage Resulting from Exploration for and Exploitation of Seabed Mineral Resources44*. It is still not in force.

<sup>43</sup> Regional Convention for the Conservation of the Red Sea and the Gulf of Aden Environment, 1982.

http://www.offshore-environment.com/regionalconventions.html

<sup>44</sup> Convention on Civil Liability for Oil Pollution Damage Resulting from Exploration and Exploitation of Seabed Mineral Resources, 1976. http://www.dipublico.com.ar/english/convention-on-civil-liability-for-oil-pollution-damageresulting-from-exploration-and-exploitation-of-seabed-mineral-resources/

## **8. Conclusion**

Although it was scientifically proved that many chemicals carried at sea are intrinsically far more harmful to the marine environment, the impact of oil upon the ocean and its ecosystem is very dangerous. The spillage of even few tons of oil into sea causes a thin film on the water surface, what is deadly for marine life (Gautam, 2010).

Oil Pollution and International Marine Environmental Law 51

There exist very good means and instruments to combat the oil pollution, what was demonstrated by clean-up operations after the "Exxon-Valdez" oil spill. There are four major options of responding to marine spills: mechanical containment and collection; use of chemical dispersants; physical shoreline clean-up; and natural removal, requiring no cleanup action. Other counter-measures that are less frequently used due to their limitations are burning, sinking, gelling and enhanced biodegradation. A decision, which clean-up action shall be applied, depends upon a given situation (Yoder, 1985). However, the best clean-up operations won't recover the existed ecosystem. So let the oil pollution never had happened. On the other hand, the demands of the maritime transportation system increase. For example, the Red Sea is still one of the world's least ecologically damaged bodies of water. However, the vessel traffic through the Suez Canal and from oil terms along the Red Sea coast increases, what raises the concerns on environment, living resources, and tourism, but

In such a way, there is still certain resistance of the oil industry and slow development of the anti-pollution legislation. It is quite understandable. For example, the move of the tankers from one-hull to the double hulls is just uneconomical (Mehr Sicherheit fuer Tanker, 2003). The other aspect concerns the quality and technical level of the vessels transporting oil (Mehr Sicherheit fuer Tanker, 2003). Often they are built in the developing countries with low loans and escape of technical innovations. Besides, it is now often discussed that only those ships which are insured by the shipping insurance companies or certified by "classification societies" shall be allowed to sail in international waters (Gautam, 2010).

It can be easily noted that maritime catastrophes of large scale lead to the development of the international law. For example, the "Titanic" (1912), "Torrey Canyon" (1967), "Amoco Cadiz" (1978), "Exxon Valdez" (1987) accidents served as a reason for the adoption of new safety and anti-pollution rules (Rosenne, 1998). As for oil pollution legislation, a series of tanker accidents occurred off the coast of North America in 1976-1977 (Özçayir, 2004) with "Sansinena"; "Oswego Peace"; "Olympic Games"; "Daphne"; "Grand Zenith"; "Barcola; Mary Ann"; "Universe Leader", and several other tankers (although almost all of these disasters were caused by human error or negligence) accelerated adoption of the MARPOL convention and Protocol. The stranding of the "Argo Merchant" (Anianova, 2006), in December 1976 and an oil spill of 27 000 tonnes of the coast of Massachusetts resulted in the Conference of the International Maritime Organization on Tanker Safety and Pollution Prevention in February 1978 under the US lobby and adopted amendments on tanker design and operation incorporated in the Protocol of 1978 to the SOLAS Convention45 (Özçayir, 2004). The accident with the "Amoco Cadiz" on March 16, 1978 off the coast of France, which resulted in the oil spill of 221 000 tonnes of crude oil, served as an accelerating factor

On the basis of the made research a conclusion should be made that hydrocarbons are also the main pollutants from offshore installations used for the exploitation of the natural

45 Protocol of 1978 relating to the International Convention for the Prevention of Pollution from Ships, 1973, as

the vessels traffic continues to grow.

for the entry into force of the MARPOL convention.

amended, United Nations, Treaty Series. Vol. 1340. P. 61,62

Since the middle of the XX century not only numerous international legislative measures were adopted in the area of oil pollution prevention for the marine environment, but also national laws and regulations. This new legislation reflected not only the development of the legal position on the certain issues, but also the new developments in construction technology like, for example, improved tank stripping pumps, the load-on-top system, and other technological advances. All these preventive measures considerably reduced both vessel-source and offshore oil development pollution.

Beside the main legal documents on oil pollution and marine environment protection, general principles of international environmental law are also applicable to the cases of oil pollution. Such soft concepts as the «precautionary principle» and «polluter pays principle» could be applied (Salter & Ford, 2001). Besides these principles being a substantive element of sustainable development are reflected in conventions on liability and compensation in case of pollution (e.g. CLC, FUND etc.)

In comparison to the oil pollution prevention during the offshore oil development pollution, measures against the vessel-source oil pollution represent the better and more detailed regulated area of marine environmental law (the 1954 Brussels Convention for the Prevention of Pollution of the Sea by Oil (OILPOL) was superseded from 2 October 1983 by the 1978 protocol relating to the 1973 International Convention for the Prevention of Pollution from Ships (MARPOL 73/78)).

The statistics demonstrates that since the beginning of the international legislation on the oceans protection against the oil pollution there had been considerable improvements in the prevention of ship-generated oil pollution. It is not surprising, since the environmental regulation of the industry is becoming wider in its scope and tougher in its implementation (Salter & Ford, 2001).

Tanker incident at sea especially close to the coasts always raises the significant attention of the publicity (Mehr Sicherheit fuer Tanker, 2003). It should be stressed that 99% of the transported oil (about 1,9 billion tons of oil by some 3 000 tankers) is delivered safely (Gold, 1998). However, even this tiny amount of the spilled oil is sufficient to cause the irreparable damage.

Damage to coastal amenities, beaches, tourist and recreational areas, harbors, offshore installations depends on the geographical location of each spill. For example, a relatively small spill, due to the holing of the tanker "American trader" off the coast of California in 1990, caused serious damage. Claims for damage, clean-up costs and fines amounted to over USD 25 million. In the case of the oil spill of the VLCC "Haven" off Genoa in 1991, the French, Italian and even Spanish Mediterranean coasts were damaged. 1 300 Italian claims alone amounted to GBP 705 million.

There exist very good means and instruments to combat the oil pollution, what was demonstrated by clean-up operations after the "Exxon-Valdez" oil spill. There are four major options of responding to marine spills: mechanical containment and collection; use of chemical dispersants; physical shoreline clean-up; and natural removal, requiring no cleanup action. Other counter-measures that are less frequently used due to their limitations are burning, sinking, gelling and enhanced biodegradation. A decision, which clean-up action shall be applied, depends upon a given situation (Yoder, 1985). However, the best clean-up operations won't recover the existed ecosystem. So let the oil pollution never had happened.

50 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

on the water surface, what is deadly for marine life (Gautam, 2010).

reduced both vessel-source and offshore oil development pollution.

case of pollution (e.g. CLC, FUND etc.)

Pollution from Ships (MARPOL 73/78)).

alone amounted to GBP 705 million.

(Salter & Ford, 2001).

Although it was scientifically proved that many chemicals carried at sea are intrinsically far more harmful to the marine environment, the impact of oil upon the ocean and its ecosystem is very dangerous. The spillage of even few tons of oil into sea causes a thin film

Since the middle of the XX century not only numerous international legislative measures were adopted in the area of oil pollution prevention for the marine environment, but also national laws and regulations. This new legislation reflected not only the development of the legal position on the certain issues, but also the new developments in construction technology like, for example, improved tank stripping pumps, the load-on-top system, and other technological advances. All these preventive measures considerably

Beside the main legal documents on oil pollution and marine environment protection, general principles of international environmental law are also applicable to the cases of oil pollution. Such soft concepts as the «precautionary principle» and «polluter pays principle» could be applied (Salter & Ford, 2001). Besides these principles being a substantive element of sustainable development are reflected in conventions on liability and compensation in

In comparison to the oil pollution prevention during the offshore oil development pollution, measures against the vessel-source oil pollution represent the better and more detailed regulated area of marine environmental law (the 1954 Brussels Convention for the Prevention of Pollution of the Sea by Oil (OILPOL) was superseded from 2 October 1983 by the 1978 protocol relating to the 1973 International Convention for the Prevention of

The statistics demonstrates that since the beginning of the international legislation on the oceans protection against the oil pollution there had been considerable improvements in the prevention of ship-generated oil pollution. It is not surprising, since the environmental regulation of the industry is becoming wider in its scope and tougher in its implementation

Tanker incident at sea especially close to the coasts always raises the significant attention of the publicity (Mehr Sicherheit fuer Tanker, 2003). It should be stressed that 99% of the transported oil (about 1,9 billion tons of oil by some 3 000 tankers) is delivered safely (Gold, 1998). However, even this tiny amount of the spilled oil is sufficient to cause the irreparable damage. Damage to coastal amenities, beaches, tourist and recreational areas, harbors, offshore installations depends on the geographical location of each spill. For example, a relatively small spill, due to the holing of the tanker "American trader" off the coast of California in 1990, caused serious damage. Claims for damage, clean-up costs and fines amounted to over USD 25 million. In the case of the oil spill of the VLCC "Haven" off Genoa in 1991, the French, Italian and even Spanish Mediterranean coasts were damaged. 1 300 Italian claims

**8. Conclusion** 

On the other hand, the demands of the maritime transportation system increase. For example, the Red Sea is still one of the world's least ecologically damaged bodies of water. However, the vessel traffic through the Suez Canal and from oil terms along the Red Sea coast increases, what raises the concerns on environment, living resources, and tourism, but the vessels traffic continues to grow.

In such a way, there is still certain resistance of the oil industry and slow development of the anti-pollution legislation. It is quite understandable. For example, the move of the tankers from one-hull to the double hulls is just uneconomical (Mehr Sicherheit fuer Tanker, 2003). The other aspect concerns the quality and technical level of the vessels transporting oil (Mehr Sicherheit fuer Tanker, 2003). Often they are built in the developing countries with low loans and escape of technical innovations. Besides, it is now often discussed that only those ships which are insured by the shipping insurance companies or certified by "classification societies" shall be allowed to sail in international waters (Gautam, 2010).

It can be easily noted that maritime catastrophes of large scale lead to the development of the international law. For example, the "Titanic" (1912), "Torrey Canyon" (1967), "Amoco Cadiz" (1978), "Exxon Valdez" (1987) accidents served as a reason for the adoption of new safety and anti-pollution rules (Rosenne, 1998). As for oil pollution legislation, a series of tanker accidents occurred off the coast of North America in 1976-1977 (Özçayir, 2004) with "Sansinena"; "Oswego Peace"; "Olympic Games"; "Daphne"; "Grand Zenith"; "Barcola; Mary Ann"; "Universe Leader", and several other tankers (although almost all of these disasters were caused by human error or negligence) accelerated adoption of the MARPOL convention and Protocol. The stranding of the "Argo Merchant" (Anianova, 2006), in December 1976 and an oil spill of 27 000 tonnes of the coast of Massachusetts resulted in the Conference of the International Maritime Organization on Tanker Safety and Pollution Prevention in February 1978 under the US lobby and adopted amendments on tanker design and operation incorporated in the Protocol of 1978 to the SOLAS Convention45 (Özçayir, 2004). The accident with the "Amoco Cadiz" on March 16, 1978 off the coast of France, which resulted in the oil spill of 221 000 tonnes of crude oil, served as an accelerating factor for the entry into force of the MARPOL convention.

On the basis of the made research a conclusion should be made that hydrocarbons are also the main pollutants from offshore installations used for the exploitation of the natural

<sup>45</sup> Protocol of 1978 relating to the International Convention for the Prevention of Pollution from Ships, 1973, as amended, United Nations, Treaty Series. Vol. 1340. P. 61,62

resources of the seabed (Gavouneli, 1995). Offshore resources are used more and more. 20% of the today's oil production comes from offshore wells.

Oil Pollution and International Marine Environmental Law 53

more or less adequate coverage for the most serious incidents. One can make a conclusion that the industry is well controlled by legislation (Salter & Ford, 2001). But the question

It was scientifically confirmed that the marine environment may eventually recover from very serious oil pollution incidents. However, it does not mean that there is no shorter-term damage to the marine environment, coasts, people and property. Besides we should think not only about the today's interests, but consider "the interests of future generations" (Birnie

One shouldn't forget that in such cases as oil pollution prevention on the level of the international legislation the most important aspect is a quick response in its time (Anianova,

Anianova, E. (2006). The International Maritime Organization – Tanker or Speedboat?, In: *International Maritime Organizations and their Contribution towards a Sustainable Marine Development,* Ehlers, P., Lagoni, R. (Eds.), pp. 77-103. LIT Verlag, ISBN 3-8258-9296-4,

Birnie, P., Boyle, E. (1992). *International Law and the Environment*, Clarendon Press, ISBN 0-19-

Brexendorff, A. (2006). *Rohstoffe im Kaspischen Becken. Voelkerrechtliche Fragen der Foerderung und des Transports von Erdoel und Erdgas,* Peter Lang GmbH, ISBN 3-631-54968-7\*Pb.,

Brubaker, D. (1993). *Marine Pollution and international law: principles and practice*, Belhaven,

Dzurek, D.J., Schofield, C. (2001). *Parting the Red Sea: Boundaries Offshore Resources and* 

Gautam, D. (2010). Trans-Boundary Marine Oil Pollution and Its International Legal Aspects, In: *Private Law: Rights, Duties and Conflicts,* Kierkegaard, S.M. (Ed.), pp. 980-988.

Gavouneli, M. (1995). *Pollution from Offshore Installations,* Graham and Trotman, ISBN 1-

Gelberg, L. (1979). *Rechtsprobleme der Ostsee*, Sample, ISBN 3-921654-06-8, Hamburg

Clark, R.B. (1989). *Marine Pollution* (2nd ed.)*,* Clarendon Pr., ISBN 0-19-854263-1, Oxford Dahm, G., Delbrueck, J., & Wolfrum, R. (2002). *Voelkerrecht. Band I/2* (2nd ed.), Walter der

*The Institute of State and Law, Russian Academy of Science & OOO "LUKOIL-KMN"* 

arises whether one can foresee everything in advance and to prevent it?

& Boyle, 1992).

**Author details** 

*Russian Federation* 

**9. References** 

Hamburg

876282-8, Oxford

Frankfurt am Main

85966-186-6, London

ISBN 1-85293-273-2, London

Gruyter, ISBN 3-89949-023-1, Berlin

*Transit*, IBRU, ISBN 1-89764-346-2, Durham

IAITL, ISBN 978-87-991385-8-6, Copenhagen

Ekaterina Anyanova

2006).

Although the liability regime for oil rigs is well-established in the private sector and adequate pollution compensation for most incidents is available, one could imagine that the need for a widely accepted international regime, covering all aspects of oil rigs, will become necessary in future.

The subject is at present on the agenda of the International Maritime Organization. There is some opposition to a more comprehensive international treaty from some sectors of the oil industry, especially offshore operators who, at present, are able to conclude simple bilateral agreements with coastal states.

Intentional pollution occurs not too often because any loss of oil and gas goes against the commercial interests of the operator. The cases of accidental pollution from blowouts or tanker spillage and collisions are still numerous. The statistics shows that 75-90% of the oil released at sea comes from discharges of the oily water produced during drilling and the dumping of oilbased drilling muds and chemicals. The reported oil spills represent only about 1% of the oil released into the sea. For example, in the North Sea the prevailing geological formations tend to react with water-based muds. It results in the instability (Gavouneli, 1995), so it is necessary to use for the oil development the highly toxic oil-based muds.

The international legislation regarding the marine environmental protection during exploration and exploitation of seabed mineral resources is subject to surprisingly few international regulations. It is not well developed. Operations in the Area are under the control of the International Seabed Authority according to the rules of the United Nations Convention on the Law of the Sea, 1982, but oil and gas drilling operations are conducted in the continental shelf under the direct control of the coastal state, usually through a statecontrolled oil company.

Another critical issue in this topic remains, whether unilateral measures in the environmental protection should be admissible. Although the USA unilaterally introduced their own liability system for the cases of oil pollution, it was clearly demonstrated that this approach could be damaging to the international economy. Effective environmental protection is not possible with the efforts of only one state. However, regional conventions on cooperation in this area could be very effective. Geographical differences between various regions make regional efforts in the marine environmental protection more useful. The pollution problems are better tackled by regional agreements.

As the recent accidents show the established legal mechanisms (the CLC, MARPOL etc.) do not help totally to prevent oil spills in the ocean. The proposals to launch a system with the stronger advance cooperation with the shipping industry still remain only proposals. The incidents with "Prestige" and "VICKY" oil spills also demonstrated the inability of the existing liability system to compensate the victims of the oil pollution. They are also criticized for low liability limits (Gennaro, 2004).

In this research it was demonstrated by means of the overview of the existing international legal documents, that there exists a regime for oil pollution liability and compensation with more or less adequate coverage for the most serious incidents. One can make a conclusion that the industry is well controlled by legislation (Salter & Ford, 2001). But the question arises whether one can foresee everything in advance and to prevent it?

It was scientifically confirmed that the marine environment may eventually recover from very serious oil pollution incidents. However, it does not mean that there is no shorter-term damage to the marine environment, coasts, people and property. Besides we should think not only about the today's interests, but consider "the interests of future generations" (Birnie & Boyle, 1992).

One shouldn't forget that in such cases as oil pollution prevention on the level of the international legislation the most important aspect is a quick response in its time (Anianova, 2006).

## **Author details**

52 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

of the today's oil production comes from offshore wells.

to use for the oil development the highly toxic oil-based muds.

The pollution problems are better tackled by regional agreements.

criticized for low liability limits (Gennaro, 2004).

necessary in future.

agreements with coastal states.

controlled oil company.

resources of the seabed (Gavouneli, 1995). Offshore resources are used more and more. 20%

Although the liability regime for oil rigs is well-established in the private sector and adequate pollution compensation for most incidents is available, one could imagine that the need for a widely accepted international regime, covering all aspects of oil rigs, will become

The subject is at present on the agenda of the International Maritime Organization. There is some opposition to a more comprehensive international treaty from some sectors of the oil industry, especially offshore operators who, at present, are able to conclude simple bilateral

Intentional pollution occurs not too often because any loss of oil and gas goes against the commercial interests of the operator. The cases of accidental pollution from blowouts or tanker spillage and collisions are still numerous. The statistics shows that 75-90% of the oil released at sea comes from discharges of the oily water produced during drilling and the dumping of oilbased drilling muds and chemicals. The reported oil spills represent only about 1% of the oil released into the sea. For example, in the North Sea the prevailing geological formations tend to react with water-based muds. It results in the instability (Gavouneli, 1995), so it is necessary

The international legislation regarding the marine environmental protection during exploration and exploitation of seabed mineral resources is subject to surprisingly few international regulations. It is not well developed. Operations in the Area are under the control of the International Seabed Authority according to the rules of the United Nations Convention on the Law of the Sea, 1982, but oil and gas drilling operations are conducted in the continental shelf under the direct control of the coastal state, usually through a state-

Another critical issue in this topic remains, whether unilateral measures in the environmental protection should be admissible. Although the USA unilaterally introduced their own liability system for the cases of oil pollution, it was clearly demonstrated that this approach could be damaging to the international economy. Effective environmental protection is not possible with the efforts of only one state. However, regional conventions on cooperation in this area could be very effective. Geographical differences between various regions make regional efforts in the marine environmental protection more useful.

As the recent accidents show the established legal mechanisms (the CLC, MARPOL etc.) do not help totally to prevent oil spills in the ocean. The proposals to launch a system with the stronger advance cooperation with the shipping industry still remain only proposals. The incidents with "Prestige" and "VICKY" oil spills also demonstrated the inability of the existing liability system to compensate the victims of the oil pollution. They are also

In this research it was demonstrated by means of the overview of the existing international legal documents, that there exists a regime for oil pollution liability and compensation with Ekaterina Anyanova

*The Institute of State and Law, Russian Academy of Science & OOO "LUKOIL-KMN" Russian Federation* 

## **9. References**

	- Gennaro, M. (2004). Oil Pollution Liability and Control under International Maritime Law: Market Incentives as an Alternative to Government Regulation. *Vanderbilt Journal of Transnational Law*, Vol. 37:265, No. 1, (January 2004), pp. 265 – 298, ISSN 0090-2594

**Chapter 3** 

© 2012 Leblon et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Leblon et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**Use of Remote Sensing in Wildfire Management** 

Wildfire is the one of the prominent disturbance factor in most vegetation zones throughout the world, like forests and grasslands. Wildfires present a challenge for ecosystem management, because they have the potential to be at once beneficial and harmful. On the one hand, wildfires are a natural part of several ecosystems for maintaining their health and diversity in numerous ways, such as regulating plant succession and fuel accumulations, controlling age, structure and species composition of vegetation, affecting insect and disease populations, influencing nutrient cycles and energy flows, regulating biotic productivity,

On the other hand, wildfires can also become a threat to property, human life and economy, particularly in ecosystems where fires are an uncommon or even unnatural process. Despite the prominence of fire events, current estimates of the extent and impact of vegetation fires globally are still a challenge. Several hundred million hectares of forest and other vegetation types are estimated to burn annually throughout the world, consuming several billion tons of dry matter and releasing emission compounds that affect the composition and functioning of the global atmosphere and human health. According to the FAO (FAO 2012), wildfires are important climate forcing factors as they release aerosol between 25-35% of the total CO2 net emissions to the atmosphere. Over the last decade in Canada, wildfires have consumed an average of 1.9 million ha/year and induced fire suppression costs ranging from about \$500 million to \$1 billion a year (Canadian Forest Service, 2012). In Europe, wildfires burn more than half a million ha of forested areas every year. Over 95% of the burnt areas are located in the Mediterranean region, in which critical fire events have taken

Because of the threat that fires represent, operational systems have been developed for use in fire management that includes fire danger prediction, fire detection and fire control. Given expected increases in fires across the world due to climate changes, better prediction of fire danger and fire detection will have significant benefits both from the economical and

Brigitte Leblon, Laura Bourgeau-Chavez and Jesús San-Miguel-Ayanz

Additional information is available at the end of the chapter

diversity and stability and determining habitats for wildlife.

place in recent years (http://effis.jrc.it).

http://dx.doi.org/10.5772/45829

**1. Introduction** 


<www.scientificamerican.com/article.cfm?id=environmental-effects-of>

Howard, R. (2 September 2011). How Arctic oil could break new ground, In: *The Guardian*, 31.10.2011, Available from

<http://www.guardian.co.uk/commentisfree/2011/sep/02/arctic-oil-exxonmobil-russian-deal> ITOPF (Eds.) (2002). *International Oil Pollution Compensation Fund 1992*, ITOPF, London

Korsunskaya, D. & Reddall, B. (30 August 2011). Exxon, Rosneft tie up in Russian Arctic, In: *U.S. (Reuters)*, 31.10.2011, Available from <http://www.reuters.com/article/2011/08/30/ us-rosneft-exxon-idUSTRE77T2OM20110830>

Valencia, M. (Ed.) (2001). *Maritime Regime Building*, Martinus Nijhoff Publishers, ISBN 90- 411-1580-3\*hc, The Hague


## **Use of Remote Sensing in Wildfire Management**

Brigitte Leblon, Laura Bourgeau-Chavez and Jesús San-Miguel-Ayanz

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45829

## **1. Introduction**

54 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

<www.scientificamerican.com/article.cfm?id=environmental-effects-of>

90344-11-2, Arendal

31.10.2011, Available from

411-1580-3\*hc, The Hague

411-1293-6\*alk., The Hague

0025-326x

In: *Scientific American*, 31.10.2011, Available from:

us-rosneft-exxon-idUSTRE77T2OM20110830>

Mehr Sicherheit fuer Tanker (2003). *HANSA,* No. 9, pp. 15 – 18

53-75. LIT Verlag, ISBN 3-8258-9296-4, Hamburg

ISBN 0919269184, Calgary, Canada

ISBN 3-8258-9296-4, Hamburg

Gennaro, M. (2004). Oil Pollution Liability and Control under International Maritime Law: Market Incentives as an Alternative to Government Regulation. *Vanderbilt Journal of Transnational Law*, Vol. 37:265, No. 1, (January 2004), pp. 265 – 298, ISSN 0090-2594 Gold, E. (1998). *Handbook on Marine Pollution* (2nd ed.), Assuranceforeningen Gard, ISBN 82-

Graham S. (19 December 2003). Environmental Effects of Exxon Valdez Spill Still Being Felt,

Howard, R. (2 September 2011). How Arctic oil could break new ground, In: *The Guardian*,

Valencia, M. (Ed.) (2001). *Maritime Regime Building*, Martinus Nijhoff Publishers, ISBN 90-

New Zealand oil spill ship captain charged (12 October 2011), In: *BBC News*, 31.10.2011,

Salter, E. & Ford, J. (2001). Holistic Environmental Assessment and Offshore Oil Field Exploration and Production. *Marine Pollution Bulletin,* Vol. 42, No. 1., pp. 45-58, ISSN

Stokke O. (1998). Beyond Dumping? The Effectiveness of the London Convention, In: *Yearbook of International Co-operation on Environment and Development*, Bergesen, H., Parmann, G., & and Oystein, T. (Eds.), pp. 39-49, Earthscan, ISBN 1853835269, London Suarez, S. (2006) Towards sustainable Ocean Development: The Participation and Contribution of Non-governmental Organizations to the Work of International Organizations in the Ocean Sector, In: *International Maritime Organizations and their Contribution towards a Sustainable Marine Development,* Ehlers, P., Lagoni, R. (Eds.), pp.

Yoder, C. (1985). *The Canadian regulation of offshore installations*, The University of Calgary,

Zhu, L. (2006). Do we need a Global Organization for the Protection of the Marine Environment, In: *International Maritime Organizations and their Contribution towards a Sustainable Marine Development,* Ehlers, P., Lagoni, R. (Eds.), pp. 157-180. LIT Verlag,

Sokolova, N. (2005). Zaschita i sohranenie morskoj sredy kak uslovie osuschestvleniya

svobod otkrytogo morya. *Morskoe pravo i praktika*, Vol. 1, pp. 20 – 32

Available from <http://www.bbc.co.uk/news/world-asia-pacific-15268314> Özçayir, O. (2004). *Port State Control* (2nd ed.), LLP, ISBN 1-8431-1328-7, London

Pamborides, G. (1999). *International Shipping Law*. Sakkoulas, ISBN 960-150014-6, Athens Rosenne, S. (1999). The International Maritime Organization Interface with the Law of the Sea Convention, In *Current maritime issues and the international maritime organization*, Nordquist, M. & Moore, J. (Eds.), pp. 251-265, Martinus Nijhoff Publishers, ISBN 90-

ITOPF (Eds.) (2002). *International Oil Pollution Compensation Fund 1992*, ITOPF, London Korsunskaya, D. & Reddall, B. (30 August 2011). Exxon, Rosneft tie up in Russian Arctic, In: *U.S. (Reuters)*, 31.10.2011, Available from <http://www.reuters.com/article/2011/08/30/

<http://www.guardian.co.uk/commentisfree/2011/sep/02/arctic-oil-exxonmobil-russian-deal>

Wildfire is the one of the prominent disturbance factor in most vegetation zones throughout the world, like forests and grasslands. Wildfires present a challenge for ecosystem management, because they have the potential to be at once beneficial and harmful. On the one hand, wildfires are a natural part of several ecosystems for maintaining their health and diversity in numerous ways, such as regulating plant succession and fuel accumulations, controlling age, structure and species composition of vegetation, affecting insect and disease populations, influencing nutrient cycles and energy flows, regulating biotic productivity, diversity and stability and determining habitats for wildlife.

On the other hand, wildfires can also become a threat to property, human life and economy, particularly in ecosystems where fires are an uncommon or even unnatural process. Despite the prominence of fire events, current estimates of the extent and impact of vegetation fires globally are still a challenge. Several hundred million hectares of forest and other vegetation types are estimated to burn annually throughout the world, consuming several billion tons of dry matter and releasing emission compounds that affect the composition and functioning of the global atmosphere and human health. According to the FAO (FAO 2012), wildfires are important climate forcing factors as they release aerosol between 25-35% of the total CO2 net emissions to the atmosphere. Over the last decade in Canada, wildfires have consumed an average of 1.9 million ha/year and induced fire suppression costs ranging from about \$500 million to \$1 billion a year (Canadian Forest Service, 2012). In Europe, wildfires burn more than half a million ha of forested areas every year. Over 95% of the burnt areas are located in the Mediterranean region, in which critical fire events have taken place in recent years (http://effis.jrc.it).

Because of the threat that fires represent, operational systems have been developed for use in fire management that includes fire danger prediction, fire detection and fire control. Given expected increases in fires across the world due to climate changes, better prediction of fire danger and fire detection will have significant benefits both from the economical and

© 2012 Leblon et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Leblon et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

the human safety points of views across the world. There is also the need to accurate assessment of burnt areas because they are related to greenhouse gas emissions into the atmosphere that need to be accounted for following Kyoto's protocol requirements as well as for managing post-fire environmental impacts, such as regeneration and erosion. Spaceborne remotely sensed imagery can play an important role in these systems. Indeed, satellite imagery offers the advantages of extensive regional coverage, zero disturbances of the area to be viewed, as well as a method for acquiring data in less accessible areas on a regular and cost effective basis. In the first part of this chapter, we will present the use of remote sensing in pre-fire conditions management. The second part of the section will deal with the use of remote sensing for detecting fires and burn scar mapping.

Use of Remote Sensing in Wildfire Management 57

Thickness (EWT). FMC is defined as the ratio between the quantity of water (fresh weight– dry weight) and either the fresh weight or the dry weight (see the review of Ceccato et al., 2001). EWT is the leaf water content per unit leaf area which is defined as the ratio between the quantity of water and the leaf area (see the review of Ceccato et al., 2001). Live fuel moisture conditions have been also quantified indirectly, through the degree of water stress which is expressed in terms of evapotranspiration rates (Vidal et al., 1994). In the present study, the term "optical" is used to describe wavelengths between 400 and 2500 nm, in contrast to the thermal infrared bands, which range from 3000 to 15000 nm. Both types of wavelengths are recorded by optical sensors. The present study will primarily focus on satellite data, although the theory may also be applied to airborne sensors, which are currently used during fire suppression activities rather than as fire danger prediction tools.

The first remote sensing studies on fuel moisture conditions monitoring used optical data, mainly NOAA-AVHRR NDVI images (e.g., Paltridge and Barber, 1988; Burgan et al., 1998; Chuvieco et al., 1999b; Hardy and Burgan, 1999). This supposes that timing and extent of drought can be assessed from vegetation greenness, as retrieved from satellite data. NDVI data were also correlated to simulated forest evapotranspiration (e.g., Deblonde and Cihlar, 1993), to FWI codes and indices (Dominguez et al., 1994; Camia et al., 1999; Leblon et al., 2001; Oldford et al., 2006; Leblon et al., 2007), to fuel moisture content of grasslands (Yebra et al., 2008), and to fire occurrences (e.g., Lopez et al., 1991; Illera et al., 1996; Burgan et al., 1998). NDVI-based operational systems have been proposed to assess fire potentials (Figure

> Relative Greenness Map

Live Fuel Moisture

Fire Potential Calculation

Energy Release Component

**Figure 1.** An operational system to compute fire potential maps from NOAA-AVHRR NDVI images

Fuel Model Map

Pixel Fuel Model

Burning Index

1) (Burgan et al., 1998) and crop droughts or fire dangers (Kogan, 2001).

County Map

Dead Fuel Moisture

Spread Component

(adapted from Burgan et al., 1998)

**2.1. Optical remote sensing** 

## **2. Pre-fire conditions management**

Ignition and spread of wildfires depends on fuel moisture and weather conditions as well as on fuel types and topography. These parameters are as inputs into fire danger predicting systems that have been developed for fire management, among others for fire suppression. These systems are among others the *National Fire Danger Rating System* (*NFDRS*) in USA (US Forest Service, 2012) and the *Canadian Forest Fire Danger Rating System* (*CFFDRS*) in Canada (Canadian Forest Service, 1992). The *CFFDRS* is also used in Alaska and in some other parts of the world, including Europe and Asia. Both systems are based primarily on weather parameters that are point source data which are often acquired in a sparse network of weather stations. The availability of satellite images coupled with the development of geostatistics and spatial analyses using geographic information technology allows moving fire danger rating from point-based estimates from weather stations to spatially-explicit estimates. Indeed, satellite images have the advantages of larger sampling areas, lack of destruction of the studied resource, gathering data on less accessible areas and are measuring, in essence, the integrated response of vegetation (including fuel) to environmental influences (including drought).

Several pre-fire conditions can be monitored using remote sensing. The first one is related to the fuel type, which can be mapped, like classical vegetation mapping, from high spatial resolution optical or radar images (e.g., Chuvieco and Martin, 1994; Burgan et al., 1998; Chuvieco et al., 1999a). These maps can then be linked, within a wildfire threat analysis system, to other pre-fire conditions variables, such as topography, proximity to roads and to urban areas, etc... (Burgan et al., 1998; Chuvieco et al., 1999a; Chuvieco et al. 2010). Another pre-fire condition, which can be estimated by remote sensing, is the fuel moisture condition. We will focus here on live fuel moisture conditions, which are in current fire prediction systems, either directly measured (Pinol et al., 1998) or broadly estimated (Canadian Forest Service, 1992). Dead fuel moisture conditions will also be considered, although they can be more easily computed from weather data and fuel characteristics, because dead fuel moisture is in balance with that of the surrounding atmosphere (Burgan et al., 1998; Pinol et al., 1998; Chuvieco et al., 1999b). In most of the remote sensing studies on live fuel moisture estimation, live fuel moisture conditions have been quantified as an absolute measurement of plant water content, through the Fuel Moisture Content (FMC) or the Equivalent Water Thickness (EWT). FMC is defined as the ratio between the quantity of water (fresh weight– dry weight) and either the fresh weight or the dry weight (see the review of Ceccato et al., 2001). EWT is the leaf water content per unit leaf area which is defined as the ratio between the quantity of water and the leaf area (see the review of Ceccato et al., 2001). Live fuel moisture conditions have been also quantified indirectly, through the degree of water stress which is expressed in terms of evapotranspiration rates (Vidal et al., 1994). In the present study, the term "optical" is used to describe wavelengths between 400 and 2500 nm, in contrast to the thermal infrared bands, which range from 3000 to 15000 nm. Both types of wavelengths are recorded by optical sensors. The present study will primarily focus on satellite data, although the theory may also be applied to airborne sensors, which are currently used during fire suppression activities rather than as fire danger prediction tools.

#### **2.1. Optical remote sensing**

56 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

remote sensing for detecting fires and burn scar mapping.

**2. Pre-fire conditions management** 

environmental influences (including drought).

the human safety points of views across the world. There is also the need to accurate assessment of burnt areas because they are related to greenhouse gas emissions into the atmosphere that need to be accounted for following Kyoto's protocol requirements as well as for managing post-fire environmental impacts, such as regeneration and erosion. Spaceborne remotely sensed imagery can play an important role in these systems. Indeed, satellite imagery offers the advantages of extensive regional coverage, zero disturbances of the area to be viewed, as well as a method for acquiring data in less accessible areas on a regular and cost effective basis. In the first part of this chapter, we will present the use of remote sensing in pre-fire conditions management. The second part of the section will deal with the use of

Ignition and spread of wildfires depends on fuel moisture and weather conditions as well as on fuel types and topography. These parameters are as inputs into fire danger predicting systems that have been developed for fire management, among others for fire suppression. These systems are among others the *National Fire Danger Rating System* (*NFDRS*) in USA (US Forest Service, 2012) and the *Canadian Forest Fire Danger Rating System* (*CFFDRS*) in Canada (Canadian Forest Service, 1992). The *CFFDRS* is also used in Alaska and in some other parts of the world, including Europe and Asia. Both systems are based primarily on weather parameters that are point source data which are often acquired in a sparse network of weather stations. The availability of satellite images coupled with the development of geostatistics and spatial analyses using geographic information technology allows moving fire danger rating from point-based estimates from weather stations to spatially-explicit estimates. Indeed, satellite images have the advantages of larger sampling areas, lack of destruction of the studied resource, gathering data on less accessible areas and are measuring, in essence, the integrated response of vegetation (including fuel) to

Several pre-fire conditions can be monitored using remote sensing. The first one is related to the fuel type, which can be mapped, like classical vegetation mapping, from high spatial resolution optical or radar images (e.g., Chuvieco and Martin, 1994; Burgan et al., 1998; Chuvieco et al., 1999a). These maps can then be linked, within a wildfire threat analysis system, to other pre-fire conditions variables, such as topography, proximity to roads and to urban areas, etc... (Burgan et al., 1998; Chuvieco et al., 1999a; Chuvieco et al. 2010). Another pre-fire condition, which can be estimated by remote sensing, is the fuel moisture condition. We will focus here on live fuel moisture conditions, which are in current fire prediction systems, either directly measured (Pinol et al., 1998) or broadly estimated (Canadian Forest Service, 1992). Dead fuel moisture conditions will also be considered, although they can be more easily computed from weather data and fuel characteristics, because dead fuel moisture is in balance with that of the surrounding atmosphere (Burgan et al., 1998; Pinol et al., 1998; Chuvieco et al., 1999b). In most of the remote sensing studies on live fuel moisture estimation, live fuel moisture conditions have been quantified as an absolute measurement of plant water content, through the Fuel Moisture Content (FMC) or the Equivalent Water The first remote sensing studies on fuel moisture conditions monitoring used optical data, mainly NOAA-AVHRR NDVI images (e.g., Paltridge and Barber, 1988; Burgan et al., 1998; Chuvieco et al., 1999b; Hardy and Burgan, 1999). This supposes that timing and extent of drought can be assessed from vegetation greenness, as retrieved from satellite data. NDVI data were also correlated to simulated forest evapotranspiration (e.g., Deblonde and Cihlar, 1993), to FWI codes and indices (Dominguez et al., 1994; Camia et al., 1999; Leblon et al., 2001; Oldford et al., 2006; Leblon et al., 2007), to fuel moisture content of grasslands (Yebra et al., 2008), and to fire occurrences (e.g., Lopez et al., 1991; Illera et al., 1996; Burgan et al., 1998). NDVI-based operational systems have been proposed to assess fire potentials (Figure 1) (Burgan et al., 1998) and crop droughts or fire dangers (Kogan, 2001).

**Figure 1.** An operational system to compute fire potential maps from NOAA-AVHRR NDVI images (adapted from Burgan et al., 1998)

These studies listed several problems related to the use of NDVI images in fuel moisture mapping, namely the saturation of relationships (Paltridge and Barber, 1988), the influence of site wetness on relationships (Deblonde and Cihlar, 1993) and the difficulty of using NDVI over forests, due to the spectral mixture of the overstory with the understory, both being different in nature and in moisture content (e.g., Hardy and Burgan, 1999; Leblon et al., 2001). In fact, NDVI and associated vegetation indices are only indirectly related to fuel moisture conditions, because it rather measures the greenness and the chlorophyllous activity of the vegetation (Ceccato et al., 2001; Leblon, 2005). In a study on pre-fire conditions using NOAA-AVHRR over Northwest Territories boreal forests, Oldford et al. (2003) showed that high FWI areas correspond to high surface temperature areas on the surface temperature NOAA-AVHRR image, indicating water stress, but to high NDVI areas over the NOAA-AVHRR NDVI image, indicating no drought conditions (Figure 2).

Use of Remote Sensing in Wildfire Management 59

images over forests will be to map timing of deciduous leaf flushing, which is critical in fire management, because of its relationship to fire occurrence in mixed-deciduous forests.

Fuel moisture is theoretically better related to another optical band, the shortwave infrared (1300-2500 nm) (e.g., Pierce et al., 1990; Pinol et al., 1998; Chuvieco et al., 1999b, Ceccato et al., 2001, Yebra et al., 2008). Relationships were significant only when the water stress was already well developed (Pierce et al., 1990; Pinol et al., 1998). Reflectance variations associated with water changes were smaller than those associated with leaf structure (Pierce et al., 1990; Ceccato et al., 2001). In addition, shortwave bands are highly disturbed by atmospheric effects. Fuel moisture is also probably estimated better using hyperspectral data. Indeed, hyperspectral data allow derivative analysis which is useful to remove, on reflectance, the effect of leaf structure, of background and of atmosphere as well as to resolve overlapping spectra to better separate components of the global spectrum (see the review of Leblon, 2005). Hyperspectral data were related to plant water content through empirical relationships (e.g., Pinol et al., 1998) or analytical models (e.g., Ustin et al., 1998; Ceccato et al., 2001). Multispectral data of the MODIS sensor were used into analytical

model to retrieve fuel moisture content of shrublands (Yebra and Chuvieco, 2009).

METEOSAT, GOES or MODIS.

**2.2. Thermal infrared remote sensing** 

However, from the operational point of view, both hyperspectral data are, up to now, only provided by airborne sensors and shortwave infrared data are acquired by only a few numbers of spaceborne sensors, among others LANDSAT-TM, SPOT-VEGETATION, NOAA-16 and MODIS. While the oldest ones like LANDSAT-TM have a long revisit period, the newest ones, like SPOT-VEGETATION and the new series of the AVHRR sensor, on board NOAA-16, or MODIS, have the advantage to allow daily image acquisition. This temporal scale may be longer on cloudy periods. The performance of these new sensors is still under evaluation. By contrast, for many years, thermal infrared data are provided more often and mostly at the same time as the optical visible and near-infrared ones, by several existing spaceborne sensors, e.g., NOAA-AVHRR, LANDSAT-TM, ATSR-2, RESURS-01,

Surface temperatures (Ts) were better correlated than NDVI to FWI codes and indices (Dominguez et al., 1994; Camia et al., 1999; Aguado et al.*,* 2003; Oldford et al.*,* 2003; Oldford et al.*,* 2006, Leblon et al.*,* 2007), to foliar moisture content (Chuvieco et al., 1999b) and to shrub water potentials (Gouyet et al., 1991). They were also useful to detect water-stressed coniferous stands, when extreme differences in canopy water content occurred (Pierce et al., 1990). In fact, the difference between surface and air temperatures is a better spectral index to monitor plant water status than the surface temperature solely, the last being too sensitive to weather conditions (Camia et al., 1999; Duchemin et al., 1999). In addition, according to the energy budget equation, plants respond to water stress by stomata closure, thereby decreasing latent heat transfer from leaf surface to the air and causing an increase in leaf surface temperature (Pierce et al., 1990). Solving the energy budget equation, in which the sensible heat flux (H) is inferred from the difference between surface and air temperatures

**Figure 2.** Map of (a) interpolated FWI, (b) interpolated Ta, and corresponding (c) Ts NOAA-AVHRR image and (d) NDVI NOAA-AVHRR image for the area, where the fire "*vq0332*" starts. The image was acquired 3 days before fire ignition (after Oldford et al., 2003)

Greenness and the chlorophyll activity of the vegetation explained the positive correlations between NDVI and FWI codes and indices found by Leblon et al. (2001, 2007) over Canadian northern boreal forests, since both types of variables increase in parallel throughout the fire season, but for two different reasons: FWI codes and indices, because of drought, and NDVI because of vegetation growth. In addition, reduction in NDVI could be induced by factors other than drought, like disease or senescence (Leblon, 2005) and shadowing or penumbra (Chuvieco et al., 1999b). For all these reasons, a better use of NDVI images over forests will be to map timing of deciduous leaf flushing, which is critical in fire management, because of its relationship to fire occurrence in mixed-deciduous forests.

Fuel moisture is theoretically better related to another optical band, the shortwave infrared (1300-2500 nm) (e.g., Pierce et al., 1990; Pinol et al., 1998; Chuvieco et al., 1999b, Ceccato et al., 2001, Yebra et al., 2008). Relationships were significant only when the water stress was already well developed (Pierce et al., 1990; Pinol et al., 1998). Reflectance variations associated with water changes were smaller than those associated with leaf structure (Pierce et al., 1990; Ceccato et al., 2001). In addition, shortwave bands are highly disturbed by atmospheric effects. Fuel moisture is also probably estimated better using hyperspectral data. Indeed, hyperspectral data allow derivative analysis which is useful to remove, on reflectance, the effect of leaf structure, of background and of atmosphere as well as to resolve overlapping spectra to better separate components of the global spectrum (see the review of Leblon, 2005). Hyperspectral data were related to plant water content through empirical relationships (e.g., Pinol et al., 1998) or analytical models (e.g., Ustin et al., 1998; Ceccato et al., 2001). Multispectral data of the MODIS sensor were used into analytical model to retrieve fuel moisture content of shrublands (Yebra and Chuvieco, 2009).

However, from the operational point of view, both hyperspectral data are, up to now, only provided by airborne sensors and shortwave infrared data are acquired by only a few numbers of spaceborne sensors, among others LANDSAT-TM, SPOT-VEGETATION, NOAA-16 and MODIS. While the oldest ones like LANDSAT-TM have a long revisit period, the newest ones, like SPOT-VEGETATION and the new series of the AVHRR sensor, on board NOAA-16, or MODIS, have the advantage to allow daily image acquisition. This temporal scale may be longer on cloudy periods. The performance of these new sensors is still under evaluation. By contrast, for many years, thermal infrared data are provided more often and mostly at the same time as the optical visible and near-infrared ones, by several existing spaceborne sensors, e.g., NOAA-AVHRR, LANDSAT-TM, ATSR-2, RESURS-01, METEOSAT, GOES or MODIS.

## **2.2. Thermal infrared remote sensing**

58 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

over the NOAA-AVHRR NDVI image, indicating no drought conditions (Figure 2).

**Figure 2.** Map of (a) interpolated FWI, (b) interpolated Ta, and corresponding (c) Ts NOAA-AVHRR image and (d) NDVI NOAA-AVHRR image for the area, where the fire "*vq0332*" starts. The image was

Greenness and the chlorophyll activity of the vegetation explained the positive correlations between NDVI and FWI codes and indices found by Leblon et al. (2001, 2007) over Canadian northern boreal forests, since both types of variables increase in parallel throughout the fire season, but for two different reasons: FWI codes and indices, because of drought, and NDVI because of vegetation growth. In addition, reduction in NDVI could be induced by factors other than drought, like disease or senescence (Leblon, 2005) and shadowing or penumbra (Chuvieco et al., 1999b). For all these reasons, a better use of NDVI

acquired 3 days before fire ignition (after Oldford et al., 2003)

These studies listed several problems related to the use of NDVI images in fuel moisture mapping, namely the saturation of relationships (Paltridge and Barber, 1988), the influence of site wetness on relationships (Deblonde and Cihlar, 1993) and the difficulty of using NDVI over forests, due to the spectral mixture of the overstory with the understory, both being different in nature and in moisture content (e.g., Hardy and Burgan, 1999; Leblon et al., 2001). In fact, NDVI and associated vegetation indices are only indirectly related to fuel moisture conditions, because it rather measures the greenness and the chlorophyllous activity of the vegetation (Ceccato et al., 2001; Leblon, 2005). In a study on pre-fire conditions using NOAA-AVHRR over Northwest Territories boreal forests, Oldford et al. (2003) showed that high FWI areas correspond to high surface temperature areas on the surface temperature NOAA-AVHRR image, indicating water stress, but to high NDVI areas

> Surface temperatures (Ts) were better correlated than NDVI to FWI codes and indices (Dominguez et al., 1994; Camia et al., 1999; Aguado et al.*,* 2003; Oldford et al.*,* 2003; Oldford et al.*,* 2006, Leblon et al.*,* 2007), to foliar moisture content (Chuvieco et al., 1999b) and to shrub water potentials (Gouyet et al., 1991). They were also useful to detect water-stressed coniferous stands, when extreme differences in canopy water content occurred (Pierce et al., 1990). In fact, the difference between surface and air temperatures is a better spectral index to monitor plant water status than the surface temperature solely, the last being too sensitive to weather conditions (Camia et al., 1999; Duchemin et al., 1999). In addition, according to the energy budget equation, plants respond to water stress by stomata closure, thereby decreasing latent heat transfer from leaf surface to the air and causing an increase in leaf surface temperature (Pierce et al., 1990). Solving the energy budget equation, in which the sensible heat flux (H) is inferred from the difference between surface and air temperatures

(Ts-Ta), as a function of the latent heat flux (LE) leads to an analytical relationship between actual evapotranspiration rate (AET) and Ts-Ta. Cumulative Ts-Ta data were well related to monthly fire start numbers throughout the fire season over Mediterranean forests (Prosper-Laget et al., 1995). For the same ecosystem, Vidal et al. (1994) used the energy budget equation to compute the ratio between actual and potential evapotranspirations (AET/PET) from daily NOAA-AVHRR surface temperatures and synoptic air temperatures. The ratio was related to fire occurrences (Vidal et al., 1994) and to two shrub flammability variables (Desbois and Vidal, 1996). The ratio was used to operationally monitor fire danger over Mediterranean forests in 1994 (Desbois and Vidal, 1995) and was correlated to FWI codes and indices over Canadian northern boreal forests (Strickland et al., 2001).

Use of Remote Sensing in Wildfire Management 61

Ts relationship does not depend on the cover type.

Ts)

Strickland et al., 2001) and whose estimates are valid only for small areas. Thereby, other analytical models for computing AET from Ts have been proposed. The first one is the Surface Energy Balance Algorithm for Land (SEBAL) (Bastiaanssen et al., 1998). It computes LE as a residual quantity of the energy budget equation, but H is derived from the vertical difference in air temperature (Ta) between the surface roughness length to heat transport (zoh) and the reference height (zh), Ta being directly inferred from Ts. SEBAL has been

The second one does not compute LE as a residual of the energy budget equation. It uses the Penman-Monteith approach, in which the vapour pressure deficit of the air (VPD) is estimated from the saturation vapour pressure at the mean daily surface temperature (VP\*

(Granger, 1997). Indeed, according to the feedback theory, feedback links between the surface and the overlying air are such that the observed surface temperature is a good indicator of the air humidity over the surface (Granger, 1997). It is applicable to both short

However, it does not distinguish between vegetated and non vegetated surfaces having the same surface roughness, temperature and air humidity, unless they have a different albedo leading to a different Rn. Its operational use thereby requires a careful land use mapping. There are other more sophisticated approaches to estimate AET from Ts, like soil-vegetationatmosphere transfer (SVAT) models (see the review in Olioso et al. (1999)). SVAT models usually require a high number of input variables and thereby have little operational

Several empirical studies already showed that inclusion of thermal infrared data improved correlations between NDVI-related indices and drought-related variables (Dominguez et al., 1994; Chuvieco et al., 1999b, 2003; Aguado et al., 2003; Oldford et al., 2003; Oldford et al., 2006; Leblon et al., 2007). Oldford et al. (2006) showed that for slow-drying fuel moisture code (DC) mapping, compared with weather station data interpolation, improved spatial resolution can be achieved at the pixel level when DC is computed using a regression model which has surface temperature and NDVI NOAA-AVHRR images sensing data as independent variables (Figure 3). The fire shown in the center of the 15x15 pixel area was classified by the Sustainable Resource Development Department of Alberta as a surface fire, caused by lightning. It is interesting to observe that the fire burned in a closed coniferous forest cover type which was classified as having a high DC danger rating, when the NOAA-AVHRR image was used, but it was classified as having a moderate DC danger rating in the

Combining optical vegetation indices with surface temperature data helps account for the influence on the ground cover rate over the composite surface temperature measured by the sensor. This led to defining several drought indices, like the Vegetation and Temperature Condition Index (VT) (Kogan, 2001), an empirical index (Chuvieco et al., 2003), the Water Deficit Index (WDI) (Vidal and Devaux-Ros, 1995), and the Temperature-Vegetation Wetness

**2.3. Synergisms between optical and thermal infrared remote sensing** 

validated on both short and tall vegetation (Bastiaanssen et al., 1998).

and tall canopies, because the VPD-VP\*

potentials in fire management.

weather station-based map.

However, these studies also showed that estimating AET from Ts-Ta using the energy budget equation is more problematic over forest canopies than over crop canopies (Leblon, 2005). First, canopy height makes forests different from a thin leaf surface, as supposed by the energy budget equation, because of an additional level of radiation absorption and convective heat exchange between the ground and the superior stratum. Second, the measured surface radiative surface temperature is different from the aerodynamic surface temperature (Trad) required by the equation, because of an additional excess resistance (known as the kB-1 factor) to heat transfer from leaves, which increases with the canopy height. Third, the aerodynamic resistance (ra) is lower than the canopy resistance (rc) and Ts-Ta is thus less sensitive to moisture fluctuations. This lower sensitivity is compensated by the sensitivity of satellite signals to ground vegetation patches which are an important fire danger parameter. Also, the clumped nature of canopy elements in tree crowns reduces wind speed near leaves and allows sunlit leaves to have temperatures elevated well above Ta. Wind can affect temporal fluctuations of Ts-Ta, but these fluctuations on the 1 km pixel basis of NOAA-AVHRR may be very small, because eddies near the surface are on a scale of about 10 m and because of the spatial integration over the pixel.

The energy budget equation requires an estimate for Ta. If synoptic Ta measurements are used, they should be corrected for shelter and tree height effects (Prosper-Laget et al., 1995). They can also be estimated as the radiative surface temperature of nearby well-watered canopies (Duchemin et al., 1999), since for not well-watered canopies, a systematical bias has been observed because the difference between surface and air temperatures is an indicator of water stress. Ta was also estimated as the radiative surface temperature corresponding to the extrapolation of the NDVI/Ts relationship to an NDVI of an infinitely thick vegetation canopy (e.g., Goward et al., 1994). However, such an estimate requires first that the range of variation in NDVI and Ts is enough to accurately define the slope (Pierce et al., 1990). Second, the images should not be contaminated by clouds, snow or standing water, because the slope can then be positive (e.g., Goward et al., 1994). Third, the canopy should be well-watered because the NDVI/Ts slope can changed as a function of the moisture of the canopy. Indeed, the slope was related to several moisture-related variables which are listed in Section 4.

The energy budget equation also requires the knowledge of the aerodynamic and canopy resistances which are difficult to estimate (Vidal et al., 1994; Vidal and Devaux-Ros, 1995; Strickland et al., 2001) and whose estimates are valid only for small areas. Thereby, other analytical models for computing AET from Ts have been proposed. The first one is the Surface Energy Balance Algorithm for Land (SEBAL) (Bastiaanssen et al., 1998). It computes LE as a residual quantity of the energy budget equation, but H is derived from the vertical difference in air temperature (Ta) between the surface roughness length to heat transport (zoh) and the reference height (zh), Ta being directly inferred from Ts. SEBAL has been validated on both short and tall vegetation (Bastiaanssen et al., 1998).

60 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

and indices over Canadian northern boreal forests (Strickland et al., 2001).

about 10 m and because of the spatial integration over the pixel.

related to several moisture-related variables which are listed in Section 4.

(Ts-Ta), as a function of the latent heat flux (LE) leads to an analytical relationship between actual evapotranspiration rate (AET) and Ts-Ta. Cumulative Ts-Ta data were well related to monthly fire start numbers throughout the fire season over Mediterranean forests (Prosper-Laget et al., 1995). For the same ecosystem, Vidal et al. (1994) used the energy budget equation to compute the ratio between actual and potential evapotranspirations (AET/PET) from daily NOAA-AVHRR surface temperatures and synoptic air temperatures. The ratio was related to fire occurrences (Vidal et al., 1994) and to two shrub flammability variables (Desbois and Vidal, 1996). The ratio was used to operationally monitor fire danger over Mediterranean forests in 1994 (Desbois and Vidal, 1995) and was correlated to FWI codes

However, these studies also showed that estimating AET from Ts-Ta using the energy budget equation is more problematic over forest canopies than over crop canopies (Leblon, 2005). First, canopy height makes forests different from a thin leaf surface, as supposed by the energy budget equation, because of an additional level of radiation absorption and convective heat exchange between the ground and the superior stratum. Second, the measured surface radiative surface temperature is different from the aerodynamic surface temperature (Trad) required by the equation, because of an additional excess resistance (known as the kB-1 factor) to heat transfer from leaves, which increases with the canopy height. Third, the aerodynamic resistance (ra) is lower than the canopy resistance (rc) and Ts-Ta is thus less sensitive to moisture fluctuations. This lower sensitivity is compensated by the sensitivity of satellite signals to ground vegetation patches which are an important fire danger parameter. Also, the clumped nature of canopy elements in tree crowns reduces wind speed near leaves and allows sunlit leaves to have temperatures elevated well above Ta. Wind can affect temporal fluctuations of Ts-Ta, but these fluctuations on the 1 km pixel basis of NOAA-AVHRR may be very small, because eddies near the surface are on a scale of

The energy budget equation requires an estimate for Ta. If synoptic Ta measurements are used, they should be corrected for shelter and tree height effects (Prosper-Laget et al., 1995). They can also be estimated as the radiative surface temperature of nearby well-watered canopies (Duchemin et al., 1999), since for not well-watered canopies, a systematical bias has been observed because the difference between surface and air temperatures is an indicator of water stress. Ta was also estimated as the radiative surface temperature corresponding to the extrapolation of the NDVI/Ts relationship to an NDVI of an infinitely thick vegetation canopy (e.g., Goward et al., 1994). However, such an estimate requires first that the range of variation in NDVI and Ts is enough to accurately define the slope (Pierce et al., 1990). Second, the images should not be contaminated by clouds, snow or standing water, because the slope can then be positive (e.g., Goward et al., 1994). Third, the canopy should be well-watered because the NDVI/Ts slope can changed as a function of the moisture of the canopy. Indeed, the slope was

The energy budget equation also requires the knowledge of the aerodynamic and canopy resistances which are difficult to estimate (Vidal et al., 1994; Vidal and Devaux-Ros, 1995; The second one does not compute LE as a residual of the energy budget equation. It uses the Penman-Monteith approach, in which the vapour pressure deficit of the air (VPD) is estimated from the saturation vapour pressure at the mean daily surface temperature (VP\* Ts) (Granger, 1997). Indeed, according to the feedback theory, feedback links between the surface and the overlying air are such that the observed surface temperature is a good indicator of the air humidity over the surface (Granger, 1997). It is applicable to both short and tall canopies, because the VPD-VP\* Ts relationship does not depend on the cover type. However, it does not distinguish between vegetated and non vegetated surfaces having the same surface roughness, temperature and air humidity, unless they have a different albedo leading to a different Rn. Its operational use thereby requires a careful land use mapping. There are other more sophisticated approaches to estimate AET from Ts, like soil-vegetationatmosphere transfer (SVAT) models (see the review in Olioso et al. (1999)). SVAT models usually require a high number of input variables and thereby have little operational potentials in fire management.

### **2.3. Synergisms between optical and thermal infrared remote sensing**

Several empirical studies already showed that inclusion of thermal infrared data improved correlations between NDVI-related indices and drought-related variables (Dominguez et al., 1994; Chuvieco et al., 1999b, 2003; Aguado et al., 2003; Oldford et al., 2003; Oldford et al., 2006; Leblon et al., 2007). Oldford et al. (2006) showed that for slow-drying fuel moisture code (DC) mapping, compared with weather station data interpolation, improved spatial resolution can be achieved at the pixel level when DC is computed using a regression model which has surface temperature and NDVI NOAA-AVHRR images sensing data as independent variables (Figure 3). The fire shown in the center of the 15x15 pixel area was classified by the Sustainable Resource Development Department of Alberta as a surface fire, caused by lightning. It is interesting to observe that the fire burned in a closed coniferous forest cover type which was classified as having a high DC danger rating, when the NOAA-AVHRR image was used, but it was classified as having a moderate DC danger rating in the weather station-based map.

Combining optical vegetation indices with surface temperature data helps account for the influence on the ground cover rate over the composite surface temperature measured by the sensor. This led to defining several drought indices, like the Vegetation and Temperature Condition Index (VT) (Kogan, 2001), an empirical index (Chuvieco et al., 2003), the Water Deficit Index (WDI) (Vidal and Devaux-Ros, 1995), and the Temperature-Vegetation Wetness

Index (TVWI) (Akther and Hassan, 2011). WDI was related to the number of fires and the area burned in the case of Mediterranean forests (Vidal and Devaux-Ros, 1995). TVWI together with the surface temperature and the normalized multiband drought index were related to fire occurrence maps in the case of boreal forests (Akther and Hassan, 2011). The inverse relationship between NDVI and Ts was related to fire occurrences in Mediterranean forests (Prosper-Laget et al., 1994) and to moisture-related variables, such as canopy resistance (Nemani and Running, 1989), sensible and latent heat flux (Nemani and Running, 1989; Olioso et al., 1999), leaf water potential (Goward et al., 1994), accumulated rainfall (Duchemin et al., 1999), FWI codes and indices (Dominguez et al., 1994; Aguado et al., 2003, Oldford et al., 2006; Leblon et al., 2007), and foliar moisture content (Chuvieco et al., 1999b, 2003).

Use of Remote Sensing in Wildfire Management 63

to overcome the problem of cloudy days, like the interpolation of evaporation fractions for the cloudy days, or the use of images acquired by passive or active microwave sensors, which are able to penetrate cloud cover. Currently, only the SSM/I sensor provides images acquired in passive microwaves, but at a coarser spatial resolution than NOAA-AVHRR images. For all these reasons, this paper has no further discussion of the use of passive microwaves in fuel moisture monitoring. By contrast, active microwave (or radar) images can be acquired by several existing satellites, i.e., ERS-1/2, ENVISAT, and RADARSAT-1/2, ALOS-PALSAR. In addition to acquiring images under all illumination and weather conditions, these satellites

Studies reviewed in Leblon et al. (2002) and in Abbott et al. (2007) have shown that radar backscatter (°) measurements over forested areas depend on (i) vegetation type, species, and structure, (ii) vegetation biomass, (iii) topography and surface roughness and canopy height; (iv) flooding and the presence/absence of standing water, and (iv) moisture. Three sources of moisture variation may contribute to the forest radar backscatter: the forest floor, the canopy (including its woody elements) and the environmental conditions (rain events). Over boreal forests, positive relationships between radar backscatters and rainfall amounts were found with ERS-1 C-VV SAR images (Bourgeau-Chavez et al., 1999; Leblon et al., 2002) and with RADARSAT-1 C-HH SAR images (Abbott et al., 2007). The good correlation between °and weather variables, which are used to compute the various FWI codes and indices, may expect that these indices and codes are also well related to °. FWI codes and indices were correlated to ° derived from ERS-1 C-VV and RADARSAT-1 C-HH SAR images acquired over burned and unburned boreal forests located in Alaska (Bourgeau-Chavez et al., 1999; 2001, 2006, 2007) and in the Northwest Territories, Canada (Leblon et al., 2002; Abbott et al., 2007) (Figure 4).

While these studies produced encouraging results, they also showed that single channel Cband SAR images are restricted in their applicability across the landscape primarily due to variations in surface roughness and biomass which act as confounding factors. Recently, fully polarimetric X-, C- and L-band SAR sensors have been launched into orbit (ALOS-PALSAR in 2006 and TerraSAR-X and RADARSAT-2 in 2007) allowing for decomposition of the backscattered energy into dominant scattering mechanisms which may prove useful for reducing the confounding factors and allowing improved extraction of the variable of

Bourgeau-Chavez et al. (2012) compared RADARSAT-2 polarimetric SAR images acquired under the same incidence angle and during an extreme dry date and a wet date over a chronosequence of Alaskan boreal black spruce ecosystems (recent burns, regenerating forests dominated by shrubs, open canopied forests, moderately dense forest cover). They found that there was a significant difference between the wet and the dry dates for all backscatter polarizations and for the Freeman-Durden (Freeman and Durden, 1998) and van Zyl decomposition (van Zyl et al., 2011) parameters particularly for the parameter corresponding to odd bounce or surface scatters (Table 1). However, none of the Cloude-Pottier decomposition (Cloude and Pottier, 1997) parameters exhibited significant differences between

provide data at a finer spatial resolution than NOAA-AVHRR.

interest in the absence of ancillary information.

**2.4. Radar remote sensing** 

**Figure 3.** Comparison between a slow-drying fuel moisture code (DC) mapped by weather station interpolation and the one computed by stepwise multiple regression models from NOAA-AVHRR images for the June 1- June 10 1995 compositing period. The fire polygon corresponds to a 62 ha area burned between 2 and 17 June 1995 (after Oldford et al., 2006)

Other synergisms between optical and thermal infrared data can also be considered when estimating AET using the energy budget equation. Indeed, the required net radiation flux (Rn) can be computed from the solar irradiance at the surface or from the surface albedo, both variables being inferred from optical data (e.g., Granger, 1997; Bastiaanssen et al., 1998). Also, the ratio between the soil heat flux (G) and Rn can be analytically derived from optical vegetation indices (e.g., Bastiaanssen et al., 1998; Leblon, 2005).

Using both thermal infrared and NDVI images improve the correlation with fuel moisture variables, but these images have the same operational inconvenience of limited image availability during cloudy days. As reviewed in Leblon (2005), many strategies can be applied to overcome the problem of cloudy days, like the interpolation of evaporation fractions for the cloudy days, or the use of images acquired by passive or active microwave sensors, which are able to penetrate cloud cover. Currently, only the SSM/I sensor provides images acquired in passive microwaves, but at a coarser spatial resolution than NOAA-AVHRR images. For all these reasons, this paper has no further discussion of the use of passive microwaves in fuel moisture monitoring. By contrast, active microwave (or radar) images can be acquired by several existing satellites, i.e., ERS-1/2, ENVISAT, and RADARSAT-1/2, ALOS-PALSAR. In addition to acquiring images under all illumination and weather conditions, these satellites provide data at a finer spatial resolution than NOAA-AVHRR.

### **2.4. Radar remote sensing**

62 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Leblon et al., 2007), and foliar moisture content (Chuvieco et al., 1999b, 2003).

**Figure 3.** Comparison between a slow-drying fuel moisture code (DC) mapped by weather station interpolation and the one computed by stepwise multiple regression models from NOAA-AVHRR images for the June 1- June 10 1995 compositing period. The fire polygon corresponds to a 62 ha area

Other synergisms between optical and thermal infrared data can also be considered when estimating AET using the energy budget equation. Indeed, the required net radiation flux (Rn) can be computed from the solar irradiance at the surface or from the surface albedo, both variables being inferred from optical data (e.g., Granger, 1997; Bastiaanssen et al., 1998). Also, the ratio between the soil heat flux (G) and Rn can be analytically derived from

Using both thermal infrared and NDVI images improve the correlation with fuel moisture variables, but these images have the same operational inconvenience of limited image availability during cloudy days. As reviewed in Leblon (2005), many strategies can be applied

burned between 2 and 17 June 1995 (after Oldford et al., 2006)

optical vegetation indices (e.g., Bastiaanssen et al., 1998; Leblon, 2005).

Index (TVWI) (Akther and Hassan, 2011). WDI was related to the number of fires and the area burned in the case of Mediterranean forests (Vidal and Devaux-Ros, 1995). TVWI together with the surface temperature and the normalized multiband drought index were related to fire occurrence maps in the case of boreal forests (Akther and Hassan, 2011). The inverse relationship between NDVI and Ts was related to fire occurrences in Mediterranean forests (Prosper-Laget et al., 1994) and to moisture-related variables, such as canopy resistance (Nemani and Running, 1989), sensible and latent heat flux (Nemani and Running, 1989; Olioso et al., 1999), leaf water potential (Goward et al., 1994), accumulated rainfall (Duchemin et al., 1999), FWI codes and indices (Dominguez et al., 1994; Aguado et al., 2003, Oldford et al., 2006;

> Studies reviewed in Leblon et al. (2002) and in Abbott et al. (2007) have shown that radar backscatter (°) measurements over forested areas depend on (i) vegetation type, species, and structure, (ii) vegetation biomass, (iii) topography and surface roughness and canopy height; (iv) flooding and the presence/absence of standing water, and (iv) moisture. Three sources of moisture variation may contribute to the forest radar backscatter: the forest floor, the canopy (including its woody elements) and the environmental conditions (rain events). Over boreal forests, positive relationships between radar backscatters and rainfall amounts were found with ERS-1 C-VV SAR images (Bourgeau-Chavez et al., 1999; Leblon et al., 2002) and with RADARSAT-1 C-HH SAR images (Abbott et al., 2007). The good correlation between °and weather variables, which are used to compute the various FWI codes and indices, may expect that these indices and codes are also well related to °. FWI codes and indices were correlated to ° derived from ERS-1 C-VV and RADARSAT-1 C-HH SAR images acquired over burned and unburned boreal forests located in Alaska (Bourgeau-Chavez et al., 1999; 2001, 2006, 2007) and in the Northwest Territories, Canada (Leblon et al., 2002; Abbott et al., 2007) (Figure 4).

> While these studies produced encouraging results, they also showed that single channel Cband SAR images are restricted in their applicability across the landscape primarily due to variations in surface roughness and biomass which act as confounding factors. Recently, fully polarimetric X-, C- and L-band SAR sensors have been launched into orbit (ALOS-PALSAR in 2006 and TerraSAR-X and RADARSAT-2 in 2007) allowing for decomposition of the backscattered energy into dominant scattering mechanisms which may prove useful for reducing the confounding factors and allowing improved extraction of the variable of interest in the absence of ancillary information.

> Bourgeau-Chavez et al. (2012) compared RADARSAT-2 polarimetric SAR images acquired under the same incidence angle and during an extreme dry date and a wet date over a chronosequence of Alaskan boreal black spruce ecosystems (recent burns, regenerating forests dominated by shrubs, open canopied forests, moderately dense forest cover). They found that there was a significant difference between the wet and the dry dates for all backscatter polarizations and for the Freeman-Durden (Freeman and Durden, 1998) and van Zyl decomposition (van Zyl et al., 2011) parameters particularly for the parameter corresponding to odd bounce or surface scatters (Table 1). However, none of the Cloude-Pottier decomposition (Cloude and Pottier, 1997) parameters exhibited significant differences between

the wet and dry dates. Indeed, the Cloude-Pottier decomposition works with the polarimetric state only, and does not consider the span information (i.e., radar intensity) in contrast to the two other decompositions. Both use intensity information implicitly and therefore more information from the imaged area. These polarimetric decomposition parameters are currently under investigation in empirical algorithm development for a multi-date dataset (across a range of soil moisture conditions) over the Alaska boreal test area.

Use of Remote Sensing in Wildfire Management 65

Parameter *p-value*

C-HH backscatter 0.000 C-HV backscatter 0.031 C-VV backscatter 0.000 C-RR backscatter 0.000 C-LR backscatter 0.005 C-LL backscatter 0.020 Cloude-Pottier Alpha 0.698 Cloude-Pottier Anisotropy 0.577 Cloude-Pottier Entropy 0.609 Freeman Durden Double Bounce 0.052 Freeman Durden Odd Bounce 0.005 Freeman Durden Volume Scatter 0.020 van Zyl Double Bounce 0.003 **Table 1.** *P-value* of the one way ANOVA test for wet vs. dry conditions by SAR parameter measured over several sites of a chronosequence of Alaskan boreal black spruce ecosystems (recent burns, regenerating forests dominated by shrubs, open canopied forests, moderately dense forest cover) (after

Although radar images are theoretically available independently of the weather conditions, their availability could be limited because of the longer repeat cycle of the satellites. For example, ERS-1/2 had a repeat cycle of 35 days. Fortunately the revisit period is shorter for the Canadian radar satellites (RADARSAT-1/2), which has a possible quasi-daily coverage due to its pointing capability (Abbott et al., 2007). In addition, often the radar images have a finer spatial resolution than optical or thermal infrared images, while covering a smaller area. Thus, radar data represent a data source that is complementary to optical or thermal infrared data. Consequently, synergisms between optical or thermal infrared bands and

Fire detection is one critical stage of wildfire management, which is aimed at either fighting or monitoring the fire. For fire fighting the early detection is essential; so far, fire detection for fire fighting is based on human observation, the use of fixed optical cameras to monitor the surrounding environment, or aerial survey. The revisit time provided by current satellite sensors is not considered sufficient for fire fighting operations by forest fire mangers. However, the monitoring of wildfires and wildfire effects for large territories is mainly based on satellite remote sensing. Mapping of burnt areas and assessment of wildfire effects is one of the most successful applications of satellite remote sensing. Satellite remote sensing provides the means for acquiring comprehensive and harmonized information on wildfire effects for large territories at low cost. For this purpose, burnt area mapping is performed with a wide variety of remote sensors and techniques. A wide variety of optical and radar sensors have been used for fire detection and burnt area mapping, from local to global scales. This section reviews the application of remote sensing in active fire detection and the

assessment of fire damages through the mapping of the extent of burnt areas.

Bourgeau-Chavez et al. 2012)

radar bands should be investigated.

**3. Fire detection and burnt area mapping** 

**Figure 4.** Relationship between ERS-1 C-VV SAR and RADARSAT-1 C-HH SAR radar backscatters (o) and Fire Weather Index (FWI) codes and indices over boreal forest sites in the Northwest Territories, Canada and in Alaska, USA (data from Bourgeau-Chavez et al., 2001; Leblon et al., 2002; Abbott et al., 2007)


**Table 1.** *P-value* of the one way ANOVA test for wet vs. dry conditions by SAR parameter measured over several sites of a chronosequence of Alaskan boreal black spruce ecosystems (recent burns, regenerating forests dominated by shrubs, open canopied forests, moderately dense forest cover) (after Bourgeau-Chavez et al. 2012)

Although radar images are theoretically available independently of the weather conditions, their availability could be limited because of the longer repeat cycle of the satellites. For example, ERS-1/2 had a repeat cycle of 35 days. Fortunately the revisit period is shorter for the Canadian radar satellites (RADARSAT-1/2), which has a possible quasi-daily coverage due to its pointing capability (Abbott et al., 2007). In addition, often the radar images have a finer spatial resolution than optical or thermal infrared images, while covering a smaller area. Thus, radar data represent a data source that is complementary to optical or thermal infrared data. Consequently, synergisms between optical or thermal infrared bands and radar bands should be investigated.

## **3. Fire detection and burnt area mapping**

64 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

range of soil moisture conditions) over the Alaska boreal test area.

the wet and dry dates. Indeed, the Cloude-Pottier decomposition works with the polarimetric state only, and does not consider the span information (i.e., radar intensity) in contrast to the two other decompositions. Both use intensity information implicitly and therefore more information from the imaged area. These polarimetric decomposition parameters are currently under investigation in empirical algorithm development for a multi-date dataset (across a

**Figure 4.** Relationship between ERS-1 C-VV SAR and RADARSAT-1 C-HH SAR radar backscatters (o) and Fire Weather Index (FWI) codes and indices over boreal forest sites in the Northwest Territories, Canada and

in Alaska, USA (data from Bourgeau-Chavez et al., 2001; Leblon et al., 2002; Abbott et al., 2007)

Fire detection is one critical stage of wildfire management, which is aimed at either fighting or monitoring the fire. For fire fighting the early detection is essential; so far, fire detection for fire fighting is based on human observation, the use of fixed optical cameras to monitor the surrounding environment, or aerial survey. The revisit time provided by current satellite sensors is not considered sufficient for fire fighting operations by forest fire mangers. However, the monitoring of wildfires and wildfire effects for large territories is mainly based on satellite remote sensing. Mapping of burnt areas and assessment of wildfire effects is one of the most successful applications of satellite remote sensing. Satellite remote sensing provides the means for acquiring comprehensive and harmonized information on wildfire effects for large territories at low cost. For this purpose, burnt area mapping is performed with a wide variety of remote sensors and techniques. A wide variety of optical and radar sensors have been used for fire detection and burnt area mapping, from local to global scales. This section reviews the application of remote sensing in active fire detection and the assessment of fire damages through the mapping of the extent of burnt areas.

## **3.1. Fire detection**

Fires produce anomalies that are detectable in many different parts of the electromagnetic spectrum and are therefore suitable for detection with the use of remote sensing techniques. Although fire detection is possible in the microwave range of the spectrum, these techniques are not used operational because of the high cost of the sensors and the low nominal achievable spatial resolution of the detection (Kempka et al., 2006). Therefore the focus of this section is on the detection of fires from optical remote sensors.

Use of Remote Sensing in Wildfire Management 67

Lastly, and most commonly, fires are detected due to the distinct high temperature they produce, which results in a high reflection signal in the mid-infrared and thermal electromagnetic spectra. Active fires produce temperatures ranging between 800 K and 1200 K, although they can reach up to 1800 K. These temperatures are easily detectable in the mid-infrared part of the spectrum (Matson and Dozier 1981). This mid-infrared spectral window is suitable for fire detection because it is far from the peak of the Earth and Solar radiations at 0.5 and 9.7 μm, respectively (Figure 6). Fires also radiate in the thermal part of the spectrum, i.e. between 8 μm and 12 μm; however, the peak radiation at these wavelengths corresponds to a normal environmental temperature of 300 K. Fires can be detected as local or absolute maximum in the mid-infrared and thermal spectra. An absolute (or regional) maximum is used in the so-called thresholding algorithms. Any area above a given threshold temperature is considered a fire. However, differences in fire characteristics among regions in the world lead to problems of false alarms and/or missed fires using this method. Although fixed thresholding algorithms were used in the past most current techniques fore fire detection make use of the so-called contextual algorithms. Contextual algorithms detect local maxima. Multispectral criteria are aimed at detecting the difference between a fire pixel (active fire) and the background temperature (environmental temperature in the proximity of the fire pixel (Flasse and Ceccato, 1996, Giglio et al., 2003).

**Figure 6.** Spectral radiant exitance as a function of the temperature of the black body. The figure shows that forest fires being hotter than the Earth's surface exhibit a peak in their spectral exitance at a shorter

wavelength than the Earth's surface

Firstly, active fires can be detected from the light they emit in the visible part of the spectrum; however, the discrimination of the fire-emitted light is only possible at night (Cahoon et al., 1992, Elvidge, 2001). Since most of the fires occur and have their highest intensity during the day, the detection of them solely at night is not of high interest for operational fire management.

Secondly, fires can be detected by the smoke plume they produce (Figure 5). This detection method is widely used at local scale, as an alternative to visual detection by human operators. Image processing algorithms can be used to single out this smoke plume in contrast to its background, and associate it to a fire. Although these systems eliminate false alarms produced by overheating of ground areas, they also present some limitations. The limitations arise from two facts; first, the smoke plume can only be detectable some time after the fire has started; and second, smoke is often conducted along the surface and emerges in an area different from that where the fire started. Ground automatic detection systems can make use of cameras mounted in towers, buildings or masts with good visibility of the surveyed terrain. The cameras can be fixed (attached to the structure) or mounted on a positioning system to vary the azimuth and elevation angles. A positioning system can be used to survey the entire environment by varying automatically the scanning angles. The detection delay depends on the scan velocity given by the motors and the optical system in the camera, noting that the image processing requirements for automatic detection are higher when using mobile sensors. The sensor technologies used in today's automatic ground detection systems are mainly infrared and visual cameras (San-Miguel-Ayanz et al., 2005).

**Figure 5.** Smoke plume identification for fire detection with optical cameras

Lastly, and most commonly, fires are detected due to the distinct high temperature they produce, which results in a high reflection signal in the mid-infrared and thermal electromagnetic spectra. Active fires produce temperatures ranging between 800 K and 1200 K, although they can reach up to 1800 K. These temperatures are easily detectable in the mid-infrared part of the spectrum (Matson and Dozier 1981). This mid-infrared spectral window is suitable for fire detection because it is far from the peak of the Earth and Solar radiations at 0.5 and 9.7 μm, respectively (Figure 6). Fires also radiate in the thermal part of the spectrum, i.e. between 8 μm and 12 μm; however, the peak radiation at these wavelengths corresponds to a normal environmental temperature of 300 K. Fires can be detected as local or absolute maximum in the mid-infrared and thermal spectra. An absolute (or regional) maximum is used in the so-called thresholding algorithms. Any area above a given threshold temperature is considered a fire. However, differences in fire characteristics among regions in the world lead to problems of false alarms and/or missed fires using this method. Although fixed thresholding algorithms were used in the past most current techniques fore fire detection make use of the so-called contextual algorithms. Contextual algorithms detect local maxima. Multispectral criteria are aimed at detecting the difference between a fire pixel (active fire) and the background temperature (environmental temperature in the proximity of the fire pixel (Flasse and Ceccato, 1996, Giglio et al., 2003).

66 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

this section is on the detection of fires from optical remote sensors.

mainly infrared and visual cameras (San-Miguel-Ayanz et al., 2005).

**Figure 5.** Smoke plume identification for fire detection with optical cameras

Fires produce anomalies that are detectable in many different parts of the electromagnetic spectrum and are therefore suitable for detection with the use of remote sensing techniques. Although fire detection is possible in the microwave range of the spectrum, these techniques are not used operational because of the high cost of the sensors and the low nominal achievable spatial resolution of the detection (Kempka et al., 2006). Therefore the focus of

Firstly, active fires can be detected from the light they emit in the visible part of the spectrum; however, the discrimination of the fire-emitted light is only possible at night (Cahoon et al., 1992, Elvidge, 2001). Since most of the fires occur and have their highest intensity during the day, the detection of them solely at night is not of high interest for

Secondly, fires can be detected by the smoke plume they produce (Figure 5). This detection method is widely used at local scale, as an alternative to visual detection by human operators. Image processing algorithms can be used to single out this smoke plume in contrast to its background, and associate it to a fire. Although these systems eliminate false alarms produced by overheating of ground areas, they also present some limitations. The limitations arise from two facts; first, the smoke plume can only be detectable some time after the fire has started; and second, smoke is often conducted along the surface and emerges in an area different from that where the fire started. Ground automatic detection systems can make use of cameras mounted in towers, buildings or masts with good visibility of the surveyed terrain. The cameras can be fixed (attached to the structure) or mounted on a positioning system to vary the azimuth and elevation angles. A positioning system can be used to survey the entire environment by varying automatically the scanning angles. The detection delay depends on the scan velocity given by the motors and the optical system in the camera, noting that the image processing requirements for automatic detection are higher when using mobile sensors. The sensor technologies used in today's automatic ground detection systems are

**3.1. Fire detection** 

operational fire management.

**Figure 6.** Spectral radiant exitance as a function of the temperature of the black body. The figure shows that forest fires being hotter than the Earth's surface exhibit a peak in their spectral exitance at a shorter wavelength than the Earth's surface

Active wildfire monitoring is performed through the use of geo-stationary satellite sensors such as GOES (Geostationary Operational Environmental Satellite) or SEVIRI on board of the Meteosat Second Generation (MSG) satellite, or geo-synchronous satellite sensors such as the AVHRR on board of the NOAA meteorological satellite, the ATSR (Along Track Scanning Radiometer) on board the ERS-1 and 2 and the Envisat, and the MODIS (Moderate Resolution Imaging Spectroradiometer) on board of the Terra and Aqua satellites.

Use of Remote Sensing in Wildfire Management 69

(Prins and Menzel, 1992; Prins et al., 1998). This is a relative advantage for the monitoring of fire activities, as compared to ATSR, AVHRR that provide a maximum of 1 daily pass, or MODIS, which provides 2 daily passes. However, due to its high spatial resolution, its good fire detection capabilities and its global coverage, MODIS has become the standard sensor for active fire monitoring at regional to global scales. The Aqua MODIS instrument acquires data twice daily (1:30 PM and AM), as does the Terra MODIS (10:30 AM and PM). These four daily MODIS fire observations serve to advance global monitoring of fire processes and their effects on ecosystems, the atmosphere, and climate (Giglio et al., 2006a and 2006b). Some operational fire monitoring systems using MODIS active fire detection include the Canadian Wildland Fire Information System (CWFIS) (http://cwfis.cfs.nrcan. gc.ca), the USA Active Fire Mapping Service, or the European Forest Fire Information System (EFFIS) (http://effis.jrc.ec.europa.eu). In the case of EFFIS, post-processing filters based on landcover ancillary data are applied to the MODIS product to reduce the number of false alarms produced by non-fire hot surfaces (e.g. industrial areas, hot ground soils) and therefore increase the reliability of the active fire detection (San-Miguel-Ayanz et al., 2012). Figure 7 shows operational fire detection monitoring in the European

Remotely sensed data have been extensively used for burnt area mapping. Fires produce a significant change in the structure and the reflectance of vegetation and the soil properties within the burnt area that are noticeable in the microwave, visible and especially the infra-

At the global scale, NOAA-AVHRR data were extensively tested in the 1990s. Studies differed mainly on the use of diverse spectral indices, although most commonly, burn scar areas were discriminated from a multi-temporal comparison of NDVI (Kasischke and French, 1993; Martin and Chuvieco, 1995; Pereira, 1999). More recently other global burnt area datasets were derived from SPOT Vegetation and the ATSR-2 on board of Envisat (Gregorie et al., 2003, Tansey et al., 2004; Simon et al., 2004). Although these data provide gross estimates of burnt areas at the global level, the lack of extensive validation and agreement between them limit their use at regional or national levels. Nevertheless, partial validations of the global burnt area products were performed by Roy et al. (2005) and Boschetti et al. (2007). Pereira et al. (1999) showed that the accuracy of the results for mapping burnt areas with AVHRR data in the Mediterranean region of Europe was about 80% for large fires. The methods were considered suitable only for fires larger than 1000 ha, and reliable for fires larger than 2000 ha. However, the mapping of those fires would correspond only to approximately 30% and 21%, respectively, of the total yearly burnt area

With the launch of the MODIS sensor on board of the TERRA and AQUA satellites, a new capability for regional mapping of burnt areas was put in place. The availability of free

region within EFFIS.

**3.2. Burnt area mapping** 

red part of the electromagnetic spectrum.

in the European Mediterranean region.

**Figure 7.** MODIS-based active fire detection in the European Forest Fire Information System (EFFIS) (http://effis.jrc.ec.europa.eu)

GOES and SEVIRI provide high frequency coverage in the order of 30 minutes and 15 minutes, respectively. They are thus suitable for the monitoring of most wildfire processes (Prins and Menzel, 1992; Prins et al., 1998). This is a relative advantage for the monitoring of fire activities, as compared to ATSR, AVHRR that provide a maximum of 1 daily pass, or MODIS, which provides 2 daily passes. However, due to its high spatial resolution, its good fire detection capabilities and its global coverage, MODIS has become the standard sensor for active fire monitoring at regional to global scales. The Aqua MODIS instrument acquires data twice daily (1:30 PM and AM), as does the Terra MODIS (10:30 AM and PM). These four daily MODIS fire observations serve to advance global monitoring of fire processes and their effects on ecosystems, the atmosphere, and climate (Giglio et al., 2006a and 2006b). Some operational fire monitoring systems using MODIS active fire detection include the Canadian Wildland Fire Information System (CWFIS) (http://cwfis.cfs.nrcan. gc.ca), the USA Active Fire Mapping Service, or the European Forest Fire Information System (EFFIS) (http://effis.jrc.ec.europa.eu). In the case of EFFIS, post-processing filters based on landcover ancillary data are applied to the MODIS product to reduce the number of false alarms produced by non-fire hot surfaces (e.g. industrial areas, hot ground soils) and therefore increase the reliability of the active fire detection (San-Miguel-Ayanz et al., 2012). Figure 7 shows operational fire detection monitoring in the European region within EFFIS.

#### **3.2. Burnt area mapping**

68 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

satellites.

(http://effis.jrc.ec.europa.eu)

Active wildfire monitoring is performed through the use of geo-stationary satellite sensors such as GOES (Geostationary Operational Environmental Satellite) or SEVIRI on board of the Meteosat Second Generation (MSG) satellite, or geo-synchronous satellite sensors such as the AVHRR on board of the NOAA meteorological satellite, the ATSR (Along Track Scanning Radiometer) on board the ERS-1 and 2 and the Envisat, and the MODIS (Moderate Resolution Imaging Spectroradiometer) on board of the Terra and Aqua

**Figure 7.** MODIS-based active fire detection in the European Forest Fire Information System (EFFIS)

GOES and SEVIRI provide high frequency coverage in the order of 30 minutes and 15 minutes, respectively. They are thus suitable for the monitoring of most wildfire processes Remotely sensed data have been extensively used for burnt area mapping. Fires produce a significant change in the structure and the reflectance of vegetation and the soil properties within the burnt area that are noticeable in the microwave, visible and especially the infrared part of the electromagnetic spectrum.

At the global scale, NOAA-AVHRR data were extensively tested in the 1990s. Studies differed mainly on the use of diverse spectral indices, although most commonly, burn scar areas were discriminated from a multi-temporal comparison of NDVI (Kasischke and French, 1993; Martin and Chuvieco, 1995; Pereira, 1999). More recently other global burnt area datasets were derived from SPOT Vegetation and the ATSR-2 on board of Envisat (Gregorie et al., 2003, Tansey et al., 2004; Simon et al., 2004). Although these data provide gross estimates of burnt areas at the global level, the lack of extensive validation and agreement between them limit their use at regional or national levels. Nevertheless, partial validations of the global burnt area products were performed by Roy et al. (2005) and Boschetti et al. (2007). Pereira et al. (1999) showed that the accuracy of the results for mapping burnt areas with AVHRR data in the Mediterranean region of Europe was about 80% for large fires. The methods were considered suitable only for fires larger than 1000 ha, and reliable for fires larger than 2000 ha. However, the mapping of those fires would correspond only to approximately 30% and 21%, respectively, of the total yearly burnt area in the European Mediterranean region.

With the launch of the MODIS sensor on board of the TERRA and AQUA satellites, a new capability for regional mapping of burnt areas was put in place. The availability of free

data of medium spatial resolution from the MODIS sensors since 2000 provided a definite impulse for the use of remote sensing at the regional and global scales (Justice et al, 2002). Better radiometry and higher spectral information of the MODIS sensor provided the right data for the discrimination of burnt areas at these scales. The simultaneity in the operation of both satellites provided higher frequency in data acquisition and enough revisit time for accurate mapping of burnt areas. At the global scale, the MODIS program has released a standard product on burned areas that is based on a multitemporal change detection approach to analyze differences between modeled and actual reflectance, and to take into account Bidirectional Reflectance Distribution Function (BRDF) corrections (Roy et al., 2002, 2005).

Use of Remote Sensing in Wildfire Management 71

High-spatial burnt area mapping has been performed with Landsat Thematic Mapper imagery (Michalek et al. 2000, Pereira and Setzer, 1993, Chuvieco and Congalton, 1998) complemented in some cases by the SPOT and ASTER sensors. Some analyses made use of the LISS-3 sensor of the IRS Indian satellite, and the RESURS MSU-K (San-Miguel-Ayanz et al, 1998). A variety of indices computed from the original spectral bands were used to enhance the mapping of burnt areas (Pereira et al., 1997, Li et al. 2000, Chuvieco et al, 2002). However, this exercise was, in most cases, limited to the mapping of burnt areas at local and sub-national scale. An exception to this is the case of Portugal, where an operational system capable of processing

The use of high resolution remote sensing in the management of critical wildfires has improved dramatically in the last decade. The variety of remote sensing imagery of high and very-high spatial resolutions such QUICKBIRD, IKONOS, FORMOSAT, EARLYBIRD, RAPIDEYE has permitted the rapid coverage of critical fire events. The processing of this imagery provides a great level of spatial detailed that is needed for the accurate analysis of fire damages and the sound planning of restoration measures. Data provision for critical fire events has been supported by the agreement of the space agencies in the so-called International Space Charter, which allows the rapid provision available remotely sensed data from a series of satellites, including RADARSAT, ERS, ENVISAT, SPOT, IRS, SAC-C,

Although most of the studies on burnt area mapping were based on the use of optical imagery, there are a series of examples in which data from active sensors such as the Synthetic Aperture Radar (SAR) were used. Most of the studies were carried out in boreal forest (Bourgeau-Chavez et al. 1997, 2002, Kasische et al, 1994, French et al. 1999, Siegert and Ruecker, 2000, Menges et al, 2004), but some examples for the Mediterranean area exist (Gimeno and San-Miguel-Ayanz, 2004, Gimeno et al. 2005). Rather than the changes in vegetation condition and structure, the detection of burnt areas from SAR is based on the changes on moisture content in the burnt surface with respect to the unburned areas. Burnt areas tend to have higher moisture content than unburned areas, which reduces the backscatter. Thus, burnt areas appear as dark objects in relation to the surrounding non-

Similarly to the studies on pre-fire conditions (see Section 2), polarimetric SAR images have been recently tested. They were more efficient for fire detection and burnt area mapping than single channel C-band SAR images. Figure 9 compares RADARSAT-2 single-polarized and polarimetric SAR images that were acquired at 32.4°-34° incidence angle and using a east-looking direction, during a dry day, between 1 to 2 months after fires that occur in rough terrains (Calabria peninsula in Southern Italy). Similar to the pre-fire conditions study (see Table 1), fire scars were more visible on the Freeman-Durden decomposition images than on the Cloude-Pottier decomposition, probably because the first decomposition works with the polarimetric state only, and does not consider the span information (i.e., radar intensity) in contrast to the second one. The Freeman-Durden decomposition uses more information from the imaged area because it implicitly considers the intensity information.

Landsat TM scenes for mapping of burnt areas was set up (Pereira et al., 1993).

NOAA satellites, LANDSAT, ALOS, DMC supporting crisis management.

affected areas.

At regional scale, MODIS is operationally used in systems such as Canadian CWFIS and the European EFFIS, mentioned above. Two full mosaics of MODIS data are received and processed daily in EFFIS to provide near-real time monitoring of wildfires and map burnt areas. The systems is thus updated up to two times daily, providing accurate information of fire impacts in Europe ((San-Miguel-Ayanz et al. 2009). The use of higher spatial resolution imagery from Advanced Wide Field Sensor (AWiFS) for regional coverage in Europe was recently tested. However, results of this exercise showed that the benefits derived from the use of high spatial imagery in term of detailed mapping of fire perimeters are obscured by the limitations in the revisit time of the sensor. These results did not enhance those of the standard Rapid Damage Assessment module of EFFIS based on MODIS imagery (Sedano et al., 2012). Figure 8 shows the extent of burnt area as they were mapped from MODIS and AWIFS imagery.

At national to local scales, the wide variety of remotely sensed products at medium to high resolution (10 m to 30 meter ground spatial resolution), make it possible the accurate mapping of burnt areas. However, the increase in spatial resolution is often accompanied by a decrease in revisit time of the sensor, which prevents the acquisition of this imagery for extensive areas.

**Figure 8.** Burnt areas in the European Mediterranean region between 2000 and 2009 (http://effis.jrc.ec.europa.eu)

High-spatial burnt area mapping has been performed with Landsat Thematic Mapper imagery (Michalek et al. 2000, Pereira and Setzer, 1993, Chuvieco and Congalton, 1998) complemented in some cases by the SPOT and ASTER sensors. Some analyses made use of the LISS-3 sensor of the IRS Indian satellite, and the RESURS MSU-K (San-Miguel-Ayanz et al, 1998). A variety of indices computed from the original spectral bands were used to enhance the mapping of burnt areas (Pereira et al., 1997, Li et al. 2000, Chuvieco et al, 2002). However, this exercise was, in most cases, limited to the mapping of burnt areas at local and sub-national scale. An exception to this is the case of Portugal, where an operational system capable of processing Landsat TM scenes for mapping of burnt areas was set up (Pereira et al., 1993).

70 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

(Roy et al., 2002, 2005).

AWIFS imagery.

(http://effis.jrc.ec.europa.eu)

data of medium spatial resolution from the MODIS sensors since 2000 provided a definite impulse for the use of remote sensing at the regional and global scales (Justice et al, 2002). Better radiometry and higher spectral information of the MODIS sensor provided the right data for the discrimination of burnt areas at these scales. The simultaneity in the operation of both satellites provided higher frequency in data acquisition and enough revisit time for accurate mapping of burnt areas. At the global scale, the MODIS program has released a standard product on burned areas that is based on a multitemporal change detection approach to analyze differences between modeled and actual reflectance, and to take into account Bidirectional Reflectance Distribution Function (BRDF) corrections

At regional scale, MODIS is operationally used in systems such as Canadian CWFIS and the European EFFIS, mentioned above. Two full mosaics of MODIS data are received and processed daily in EFFIS to provide near-real time monitoring of wildfires and map burnt areas. The systems is thus updated up to two times daily, providing accurate information of fire impacts in Europe ((San-Miguel-Ayanz et al. 2009). The use of higher spatial resolution imagery from Advanced Wide Field Sensor (AWiFS) for regional coverage in Europe was recently tested. However, results of this exercise showed that the benefits derived from the use of high spatial imagery in term of detailed mapping of fire perimeters are obscured by the limitations in the revisit time of the sensor. These results did not enhance those of the standard Rapid Damage Assessment module of EFFIS based on MODIS imagery (Sedano et al., 2012). Figure 8 shows the extent of burnt area as they were mapped from MODIS and

At national to local scales, the wide variety of remotely sensed products at medium to high resolution (10 m to 30 meter ground spatial resolution), make it possible the accurate mapping of burnt areas. However, the increase in spatial resolution is often accompanied by a decrease in revisit time of the sensor, which prevents the acquisition of this imagery for extensive areas.

**Figure 8.** Burnt areas in the European Mediterranean region between 2000 and 2009

The use of high resolution remote sensing in the management of critical wildfires has improved dramatically in the last decade. The variety of remote sensing imagery of high and very-high spatial resolutions such QUICKBIRD, IKONOS, FORMOSAT, EARLYBIRD, RAPIDEYE has permitted the rapid coverage of critical fire events. The processing of this imagery provides a great level of spatial detailed that is needed for the accurate analysis of fire damages and the sound planning of restoration measures. Data provision for critical fire events has been supported by the agreement of the space agencies in the so-called International Space Charter, which allows the rapid provision available remotely sensed data from a series of satellites, including RADARSAT, ERS, ENVISAT, SPOT, IRS, SAC-C, NOAA satellites, LANDSAT, ALOS, DMC supporting crisis management.

Although most of the studies on burnt area mapping were based on the use of optical imagery, there are a series of examples in which data from active sensors such as the Synthetic Aperture Radar (SAR) were used. Most of the studies were carried out in boreal forest (Bourgeau-Chavez et al. 1997, 2002, Kasische et al, 1994, French et al. 1999, Siegert and Ruecker, 2000, Menges et al, 2004), but some examples for the Mediterranean area exist (Gimeno and San-Miguel-Ayanz, 2004, Gimeno et al. 2005). Rather than the changes in vegetation condition and structure, the detection of burnt areas from SAR is based on the changes on moisture content in the burnt surface with respect to the unburned areas. Burnt areas tend to have higher moisture content than unburned areas, which reduces the backscatter. Thus, burnt areas appear as dark objects in relation to the surrounding nonaffected areas.

Similarly to the studies on pre-fire conditions (see Section 2), polarimetric SAR images have been recently tested. They were more efficient for fire detection and burnt area mapping than single channel C-band SAR images. Figure 9 compares RADARSAT-2 single-polarized and polarimetric SAR images that were acquired at 32.4°-34° incidence angle and using a east-looking direction, during a dry day, between 1 to 2 months after fires that occur in rough terrains (Calabria peninsula in Southern Italy). Similar to the pre-fire conditions study (see Table 1), fire scars were more visible on the Freeman-Durden decomposition images than on the Cloude-Pottier decomposition, probably because the first decomposition works with the polarimetric state only, and does not consider the span information (i.e., radar intensity) in contrast to the second one. The Freeman-Durden decomposition uses more information from the imaged area because it implicitly considers the intensity information.

Use of Remote Sensing in Wildfire Management 73

used to compute the ratio between actual and potential evapotranspiration (AET/PET) from daily surface temperatures and synoptic air temperatures. The ratio was used in an operational fire danger monitoring system over Mediterranean forests. The same ratio was computed from optical and thermal infrared images acquired over Canadian northern boreal forests and related to FWI codes and indices. In the AET/PET computation, NDVI images were also used, in the calculation of soil heat flux and aerodynamic resistances.

More recent studies on the use of remote sensing in fuel moisture monitoring use both NDVI and surface temperature images. This is done at no additional cost of data acquisition, since both kinds of images are provided in the same time by numerous existing satellites, like NOAA-AVHRR, LANDSAT-TM, ATSR-2, RESURS-01, METEOSAT, GOES, EOS-ASTER, and EOS-MODIS. An important operational limitation of using optical and thermal infrared data is image availability, which still depends on weather and illumination conditions. For this reason, an operational system to monitor fuel moisture using satellite images should probably also include radar images, which can be acquired during cloudy days. These images have also the advantage of having a finer spatial resolution.Good relationships were found between ERS-1 and RADARSAT-1 radar backscatters and FWI codes and indices over northern boreal forests, but these studies also showed that radar backscatters are affected by several confounding factors other than those related to moisture, such as surface roughness and biomass. More recently, the availability of polarimetric SAR images allows for decomposition of the backscattered energy into dominant scattering mechanisms which may prove useful for reducing the confounding factors. Statistically significant differences between wet and dry dates were observed in the case of several polarimetric variables extracted from RADARSAT-2 C-band polarimetric SAR images, such as the Freeman-Durden and van Zyl decomposition parameters particularly for the parameters corresponding to odd bounce or surface scatters. Further studies are required to establish models that can use such data for estimating fuel moisture. One limitation of the operational use of SAR images in fire danger monitoring is image availability that is limited by the long revisit periods of most existing radar satellites and by the commercial operating mode of some new radar satellites, like RADARSAT-2. However, the availability in the near future of SAR satellite constellations such as the planned RADARSAT-3 mission, will decrease the revisit period. Eventually, further studies are needed to assess the combination of optical and thermal infrared images to radar images for

Most of the reviewed remote sensing studies for pre-fire conditions management are based on the estimation of fuel moisture which is one of the canopy factors which influences fire danger. However, further research is needed to see whether or not current fire danger rating systems can account for canopy variables, like evapotranspiration or moisture content, which are more closely related to spectral variables. On the other hand, all required input variables of an operational fire danger system, like wind parameters, will surely not be derived from remote sensing data and additional ground-based and weather information will always be required to effectively monitor fire danger. In this regard, *in situ* sensing

monitoring pre fire conditions.

systems, as described in Teillet et al. (2001), will be useful.

(\*)HH in red, HV in green and VV in blue; (\*\*) double-bounce in red, volume in green and surface in blue

**Figure 9.** Fire scars over various RADARSAT-2 products made from a RADARSAT-2 that was acquired over Calabria peninsula in Southern Italy 1 to 2 months after the fires during a dry date using an ascending pass (east-looking direction) with a FQ13 beam mode (32.4°-34° incidence angle). The fire scar limits are displayed in yellow or black.

## **4. Conclusions**

We reviewed studies using optical, thermal infrared and radar images for pre-fire and postfire conditions monitoring. For the pre-fire conditions, our review has a particular emphasis on the studies using satellite data to monitor fuel moisture. Remote sensing of fuel moisture was first done with NDVI images (mainly from NOAA-AVHRR), based on the assumption that the greenness of the scene is a good indicator of fuel moisture and fire danger. NDVI images are used operationally to map fire potentials, but the reviewed studies have shown that NDVI is sensitive to the chlorophyll activity of the vegetation rather than to its actual changes in moisture content. By contrast, thermal infrared images allow the computation of surface temperatures which are analytically related to surface moisture-related variables, like evapotranspiration, through the energy budget equation. This analytical approach was used to compute the ratio between actual and potential evapotranspiration (AET/PET) from daily surface temperatures and synoptic air temperatures. The ratio was used in an operational fire danger monitoring system over Mediterranean forests. The same ratio was computed from optical and thermal infrared images acquired over Canadian northern boreal forests and related to FWI codes and indices. In the AET/PET computation, NDVI images were also used, in the calculation of soil heat flux and aerodynamic resistances.

72 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

*(a) C-HH (b) C-HV (c) C-VV (d) RGB composite (\*)* 

(\*)HH in red, HV in green and VV in blue; (\*\*) double-bounce in red, volume in green and surface in blue

*(e) Freeman\_Durden (\*\*) (f) Entropy (g) Anisotropy (h) Alpha angle*

scar limits are displayed in yellow or black.

**4. Conclusions** 

**Figure 9.** Fire scars over various RADARSAT-2 products made from a RADARSAT-2 that was acquired over Calabria peninsula in Southern Italy 1 to 2 months after the fires during a dry date using an ascending pass (east-looking direction) with a FQ13 beam mode (32.4°-34° incidence angle). The fire

We reviewed studies using optical, thermal infrared and radar images for pre-fire and postfire conditions monitoring. For the pre-fire conditions, our review has a particular emphasis on the studies using satellite data to monitor fuel moisture. Remote sensing of fuel moisture was first done with NDVI images (mainly from NOAA-AVHRR), based on the assumption that the greenness of the scene is a good indicator of fuel moisture and fire danger. NDVI images are used operationally to map fire potentials, but the reviewed studies have shown that NDVI is sensitive to the chlorophyll activity of the vegetation rather than to its actual changes in moisture content. By contrast, thermal infrared images allow the computation of surface temperatures which are analytically related to surface moisture-related variables, like evapotranspiration, through the energy budget equation. This analytical approach was More recent studies on the use of remote sensing in fuel moisture monitoring use both NDVI and surface temperature images. This is done at no additional cost of data acquisition, since both kinds of images are provided in the same time by numerous existing satellites, like NOAA-AVHRR, LANDSAT-TM, ATSR-2, RESURS-01, METEOSAT, GOES, EOS-ASTER, and EOS-MODIS. An important operational limitation of using optical and thermal infrared data is image availability, which still depends on weather and illumination conditions. For this reason, an operational system to monitor fuel moisture using satellite images should probably also include radar images, which can be acquired during cloudy days. These images have also the advantage of having a finer spatial resolution.Good relationships were found between ERS-1 and RADARSAT-1 radar backscatters and FWI codes and indices over northern boreal forests, but these studies also showed that radar backscatters are affected by several confounding factors other than those related to moisture, such as surface roughness and biomass. More recently, the availability of polarimetric SAR images allows for decomposition of the backscattered energy into dominant scattering mechanisms which may prove useful for reducing the confounding factors. Statistically significant differences between wet and dry dates were observed in the case of several polarimetric variables extracted from RADARSAT-2 C-band polarimetric SAR images, such as the Freeman-Durden and van Zyl decomposition parameters particularly for the parameters corresponding to odd bounce or surface scatters. Further studies are required to establish models that can use such data for estimating fuel moisture.

One limitation of the operational use of SAR images in fire danger monitoring is image availability that is limited by the long revisit periods of most existing radar satellites and by the commercial operating mode of some new radar satellites, like RADARSAT-2. However, the availability in the near future of SAR satellite constellations such as the planned RADARSAT-3 mission, will decrease the revisit period. Eventually, further studies are needed to assess the combination of optical and thermal infrared images to radar images for monitoring pre fire conditions.

Most of the reviewed remote sensing studies for pre-fire conditions management are based on the estimation of fuel moisture which is one of the canopy factors which influences fire danger. However, further research is needed to see whether or not current fire danger rating systems can account for canopy variables, like evapotranspiration or moisture content, which are more closely related to spectral variables. On the other hand, all required input variables of an operational fire danger system, like wind parameters, will surely not be derived from remote sensing data and additional ground-based and weather information will always be required to effectively monitor fire danger. In this regard, *in situ* sensing systems, as described in Teillet et al. (2001), will be useful.

Regarding fire detection, remote sensing techniques can be considered fully operational. At local scale they are mainly based on the use of visible and infra-red cameras for the detection of active fires or smoke plumes. Fire detection at this scale is focused on support to forest fire fighting operations. At large scale, information is provided by geo-stationary satellite sensors (GOES, SEVIRI) or geo-syncronous sensors (AVHRR, ATSR, MODIS). The high revisit time of the geostationary satellites provide frequent information (15 to 30 minutes) that is indicated for monitoring fire processes and fire effects. However, although geo-stationary satellites provide a lower revisit time (1 to 2 daily passes), they provide global fire information that is essential for the monitoring of wildfire processes and their effects on ecosystems, the atmosphere, and climate.

Use of Remote Sensing in Wildfire Management 75

Canada Centre of Remote Sensing, Ottawa. ERS-1 SAR images were provided by E.S. Kasischke. RADARSAT-1 images were acquired under the ADRO-2 program of the Canadian Space Agency. RADARSAT-2 polarimetric images were provided by a Canadian Space Agency SOAR grant (SOAR#445). Weather data were obtained from Marty Alexander, Canadian Forest Service, Edmonton and Rick Lanoville, Government of Northwest Territories, Fort Smith. Examples for the sections on active wildfire detection and burnt area mapping were extracted from the European Forest Fire Information System (EFFIS). This is the result of a team of scientists working in different fire-related disciplines at the at the European Commission Joint Research Centre (http://effis.jrc.ec.europa.eu)

Abbott, K., Leblon, B., Staples, G., Alexander, M.E., & MacLean, D. (2007). Fire danger monitoring in a northern boreal forest region using RADARSAT-1 imagery. *International Journal of Remote Sensing,* Vol. 28, No 5-6, (March 2007), pp. 1317-1338, ISSN

Aguado, I., Chuvieco, E., & Salas, J. (2003). Assessment of forest fire danger conditions in southern Spain from NOAA images and meteorological indices. *International Journal of* 

Akther, M. S., & Hassan, Q. K. (2011). Remote sensing-based assessment of fire danger conditions over boreal forest. *IEEE Journal of Selected Topics in Applied Earth Observations* 

Boschetti, L., Roy, D., Barbosa, P., Boca, R., & Justice, C. (2008). A MODIS assessment of the summer 2007 extent burned in Greece. *International Journal of Remote Sensing*, Vol. 29,

Bourgeau-Chavez, L.L., Harrell, P.A., Kasischke, E.S. & French, N.H.F. (1997). The detection and mapping of Alaskan wildfires using a spaceborne imaging radar system. *International Journal of Remote Sensing*, Vol. 18, No 2, (January 1997), pp. 355-373, ISSN

Bourgeau-Chavez, L.L., Kasischke, E.S., & Rutherford, M.D. (1999). Evaluation of ERS SAR data for prediction of fire danger in a boreal region. *International Journal of Wildland Fire,* 

Bourgeau-Chavez, L. L., Brunzell, S., Nolan, M., & Hyer, E. (2001). Analysis of SAR data for fire danger prediction in boreal Alaska. *Final Report, ASF-IARC Grant NAS-98-129,* 59

Bourgeau-Chavez, L.L., Kasischke, E.S., Brunzell, S.M., Tukman, M. & Mudd, J.P. (2002) Mapping fire scars in global boreal forests using imaging radar data. *International Journal of Remote Sensing,* Vol. 22, No 18, (January 2002), pp. 3665-3687, ISSN 0143-1161. Bourgeau-Chavez, L.L, Riordan, K., Garwood, G., Cella, B., Alden, S., Kwart, M., Murphy, K., Ferguson, S., Slawski, J., Medvecz, M., Ames, S.& Walters, T. (2006) Benchmark

*and Remote Sensing*, Vol. 4, No. 4, (December 2011), pp. 992-999, ISSN 1939-1404. Bastiaanssen, W.G.M., Menenti, M., Fedded, R.A., & Holtslag, A.A.M. (1998). A remote sensing surface energy balance algorithm for land (SEBAL). 1. Formulation. *Journal of* 

*Remote Sensing,* Vol. 24, No 8, (January 2003), pp. 1653-1668, ISSN 0143-1161

*Hydrology,* Vol. 212-213, (December 1998), pp. 198-212, ISSN 0022-1694.

No 8, (April 2008), pp. 2433-2436, ISSN 0143-1161

Vol. 9, No 3, pp. 183-194, ISSN 1049-8001.

**5. References** 

0143-1161

0143-1161

pages.

Burnt area mapping from remote sensing has been on-going for nearly 30 years. Most of these applications are based on passive optical remote sensing imagery at global and regional scales. Global burn area datasets were derived from AVHRR, ATRS, Vegetation, and recently from MODIS. At local scale, actives sensors such as the ERS SAR and RADARSAT have proven their capacity for monitoring fires under all-weather conditions. Currently, the data acquired by the MODIS sensor has become the standard for fire monitoring at regional to global scales and is used for environmental policy and decision-making. At local level, numerous examples on the use of high-spatial resolution imagery exist. However, the lack of operational routines for the processing of satellite imagery and the difficulties in acquiring cloud free imagery due to the low revisit time of the sensors has prevented the full operationalization of remote sensing. Agreements have been recently established among the Space Agencies in the International Space Charter for the provision of remote sensing data for wildfire crisis management, which permits the rapid monitoring of critical fire events.

## **Author details**

Brigitte Leblon and Laura Bourgeau-Chavez *Faculty of Forestry and Environment Management, University of New Brunswick, Fredericton, New Brunswick, Canada* 

Jesús San-Miguel-Ayanz *Forest Resources and Climate Unit, Institute for Environment and Sustainability, Ispra, Italy* 

## **Acknowledgement**

The pre-fire conditions study is a compendium of the works from the following students: Lisa Gallant, Shannon White, Mark Doyle, Melissa Abbott, Guy Strickland, Keith Abbott, Steven Oldford and P.A Fernandez-Garcia. ERS-1 and RADARSAT-1 SAR image processing were helped by N. French and Gordon Staples Field support for the RADARSAT-2 study was provided by Aditi Shenoy, Eric Kasischke, Kevin Riordan, Kristen Manies, and Nancy French. The whole study was funded by CIFFC, MacDonald, Dettwiler and Associates Ltd. (MDA)and by a NSERC Discovery grant awarded to B. Leblon. Additional funding for this research was provided by NASA grants NNX09AM15G and NNG04GR24G. NOAA-AVHRR images were provided under the EODS program, thanks to J. Cihlar and J. Chen, Canada Centre of Remote Sensing, Ottawa. ERS-1 SAR images were provided by E.S. Kasischke. RADARSAT-1 images were acquired under the ADRO-2 program of the Canadian Space Agency. RADARSAT-2 polarimetric images were provided by a Canadian Space Agency SOAR grant (SOAR#445). Weather data were obtained from Marty Alexander, Canadian Forest Service, Edmonton and Rick Lanoville, Government of Northwest Territories, Fort Smith. Examples for the sections on active wildfire detection and burnt area mapping were extracted from the European Forest Fire Information System (EFFIS). This is the result of a team of scientists working in different fire-related disciplines at the at the European Commission Joint Research Centre (http://effis.jrc.ec.europa.eu)

### **5. References**

74 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

effects on ecosystems, the atmosphere, and climate.

**Author details** 

Jesús San-Miguel-Ayanz

**Acknowledgement** 

Brigitte Leblon and Laura Bourgeau-Chavez *Faculty of Forestry and Environment Management,* 

management, which permits the rapid monitoring of critical fire events.

*University of New Brunswick, Fredericton, New Brunswick, Canada* 

*Forest Resources and Climate Unit, Institute for Environment and Sustainability, Ispra, Italy* 

The pre-fire conditions study is a compendium of the works from the following students: Lisa Gallant, Shannon White, Mark Doyle, Melissa Abbott, Guy Strickland, Keith Abbott, Steven Oldford and P.A Fernandez-Garcia. ERS-1 and RADARSAT-1 SAR image processing were helped by N. French and Gordon Staples Field support for the RADARSAT-2 study was provided by Aditi Shenoy, Eric Kasischke, Kevin Riordan, Kristen Manies, and Nancy French. The whole study was funded by CIFFC, MacDonald, Dettwiler and Associates Ltd. (MDA)and by a NSERC Discovery grant awarded to B. Leblon. Additional funding for this research was provided by NASA grants NNX09AM15G and NNG04GR24G. NOAA-AVHRR images were provided under the EODS program, thanks to J. Cihlar and J. Chen,

Regarding fire detection, remote sensing techniques can be considered fully operational. At local scale they are mainly based on the use of visible and infra-red cameras for the detection of active fires or smoke plumes. Fire detection at this scale is focused on support to forest fire fighting operations. At large scale, information is provided by geo-stationary satellite sensors (GOES, SEVIRI) or geo-syncronous sensors (AVHRR, ATSR, MODIS). The high revisit time of the geostationary satellites provide frequent information (15 to 30 minutes) that is indicated for monitoring fire processes and fire effects. However, although geo-stationary satellites provide a lower revisit time (1 to 2 daily passes), they provide global fire information that is essential for the monitoring of wildfire processes and their

Burnt area mapping from remote sensing has been on-going for nearly 30 years. Most of these applications are based on passive optical remote sensing imagery at global and regional scales. Global burn area datasets were derived from AVHRR, ATRS, Vegetation, and recently from MODIS. At local scale, actives sensors such as the ERS SAR and RADARSAT have proven their capacity for monitoring fires under all-weather conditions. Currently, the data acquired by the MODIS sensor has become the standard for fire monitoring at regional to global scales and is used for environmental policy and decision-making. At local level, numerous examples on the use of high-spatial resolution imagery exist. However, the lack of operational routines for the processing of satellite imagery and the difficulties in acquiring cloud free imagery due to the low revisit time of the sensors has prevented the full operationalization of remote sensing. Agreements have been recently established among the Space Agencies in the International Space Charter for the provision of remote sensing data for wildfire crisis


Report on the use of Satellite radar imagery for monitoring fuel moisture in Alaska. Final report on NASA SENH project NAS5-03113. 96 pp. Available from http://aiwg.gsfc.nasa.gov/esappdocs/benchmarks/NASASENHFuelMoisture\_Bench\_ sept06.pdf

Use of Remote Sensing in Wildfire Management 77

sensing and geographic information system technologies. *Ecological Modelling*, Vol. 221,

Chuvieco, E., Deshayes, M., Stach, N., Cocero, D., & Riaño, D. (1999b). Short-term fire risk foliage moisture content estimation from satellite data. In *Remote Sensing of Large Wildfires in the European Mediterranean Basin*, E. Chuvieco Ed., pp. 17-38, Springer-

Chuvieco, E., Deshayes, M., Stach, N., Cocero, D., & Riaño, D. (1999b). Short-term fire risk foliage moisture content estimation from satellite data. In *Remote Sensing of Large Wildfires in the European Mediterranean Basin*, E. Chuvieco Ed., pp. 17-38, Springer-

Chuvieco, E., Salas, F.J., Carvacho, L., & Rodirguez-Silva, F. (1999a). Integrated fire risk mapping, In *Remote Sensing of Large Wildfires in the European Mediterranean Basin*, E.

Cloude, S.R., & Pottier, E. (1997). An entropy based classification scheme for land applications of polarimetric SAR. *IEEE Transactions Geoscience and Remote Sensing*, Vol.

Deblonde, G., & Cihlar, J. (1993). A multiyear analysis of the relatonsip between surface environmental variables and NDVI over the Canadian landmass, *Remote Sensing of* 

Desbois, N., & Vidal, A. (1995). La télédétection dans la prévision des incendies de forêt,

Desbois, N., & Vidal, A. (1996). Real-time monitoring of vegetation flammability using NOAA-AVHRR thermal infrared data, *EARSeL Advanced in Remote Sensing,* Vol. 4, No 4,

Dominguez, L., Lee, B.S., Chuvieco, E., & Cihlar, J. (1994). Fire danger estimation using AVHRR images in the Prairie provinces of Canada. *Proceedings 2*nd *International Conference on Forest Fire Research*, Vol. 2, No 17, pp. 679-690, Coimbra, Portugal,

Duchemin, B., Guyon, D., & Lagouarde, J. P. (1999). Potential and limits of NOAA-AVHRR temporal composite data for phenology and water stress monitoring of temperate forest ecosystems, *International Journal of Remote Sensing,* Vol. 20, No 5, (January 1999), pp. 895-

Elvidge, C. D. (2001), DMSP-OLS estimation of tropical forest area impacted by surface fires in Roraima, Brazil: 1995 versus 1998. *International Journal of Remote Sensing*, Vol. 22, No

Flasse S. P., & Ceccato, P. (1996). A contextual algorithm for AVHRR fire detection. *International Journal of Remote Sensing,* Vol. 17, No 2,( January 1996), pp. 419-424, ISSN

Food and Agriculture Organization (FAO) (2012). *About the Global Fire Information* 

Chuvieco Ed., pp. 61-84, Springer-Verlag, ISBN 978-3540657675, Berlin.

No 1, (January 2010), pp. 46–58, ISSN 0304-3800.

35, No 1, (January 1997), pp. 68-78, ISSN 0196-2892.

*Environment,* Vol. 7, pp. 151-177, ISSN 0034-4257.

*Ingénieries- EAT,* Vol. 1, (March 1995), pp. 21-29.

14, (January 2001), pp. 2661–2673, ISSN 0143-1161

*Management System (GFIMS).* Available from http://www.fao.org/nr/gfims/about/en/

(November 1996), pp. 25-32.

November 1994.

917, ISSN 0143-1161.

0143-1161.

Verlag, ISBN 978-3540657675, Berlin.

Verlag, ISBN 978-3540657675, Berlin.


sensing and geographic information system technologies. *Ecological Modelling*, Vol. 221, No 1, (January 2010), pp. 46–58, ISSN 0304-3800.

Chuvieco, E., Deshayes, M., Stach, N., Cocero, D., & Riaño, D. (1999b). Short-term fire risk foliage moisture content estimation from satellite data. In *Remote Sensing of Large Wildfires in the European Mediterranean Basin*, E. Chuvieco Ed., pp. 17-38, Springer-Verlag, ISBN 978-3540657675, Berlin.

76 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Final report on NASA SENH project NAS5-03113. 96 pp. Available from

conditions. *International Journal of Remote Sensing (accepted),* ISSN 0143-1161

E. Chuvieco Ed., , pp. 39-59, Springer-Verlag, ISBN 978-3540657675, Berlin.

*Environment,* Vol. 77, No 1, (July 2001), pp. 22-33, ISSN 0034-4257

No 1, (January 2010), pp. 46–58, ISSN 0304-3800.

sept06.pdf

159-170, ISSN 1049-8001.

ISSN 0028-0836

Ottawa, ONT., 63 p.

1994), pp. 563-570.

1637, ISSN 0143-1161.

http://cfs.nrcan.gc.ca/pages/153

Report on the use of Satellite radar imagery for monitoring fuel moisture in Alaska.

http://aiwg.gsfc.nasa.gov/esappdocs/benchmarks/NASASENHFuelMoisture\_Bench\_

Bourgeau-Chavez, L.L., Kasischke, E.S., Riordan, K., Brunzell, S.M., Hyer, E., Nolan, M., Medvecz, M. & Ames, S. (2007). Remote monitoring of spatial and temporal surface soil moisture in fire disturbed boreal forest ecosystems with ERS SAR imagery. *International Journal of Remote Sensing*, Vol. 28, No 10, (May 2007), pp. 2133-2162, ISSN 0143-1161 Bourgeau-Chavez, L.L., Leblon, B., Buckley, J., & Charbonneau, F. (2012). Assessment of polarimetric SAR data for fuel moisture estimation: Analysis of wet *versus* dry

Burgan, R.E., Klaver, R. W., & Klaver, J.M. (1998). Fuel models and fire potential from satellite and surface observations. *International Journal of Wildland Fire,* Vol. 8, No 3, pp.

Cahoon, D. R., Jr., Stocks, B. J., Levine, J. L., Cofer III, W. R., & O'Neill, K. P. (1992). Seasonal distribution of African savanna fires. *Nature*, Vol. 359, (October 1992), pp. 812– 815,

Camia, A., Bovio, G., Aguado, I., & Stach, N. (1999). Meteorological fire danger indices and remote sensing. In *Remote Sensing of Large Wildfires in the European Mediterranean Basin*,

Canadian Forest Service. (1992). Development and Structure of the Canadian Forest Fire Behaviour Prediction System. Canadian Forest Service, Information Report ST-X-3,

Canadian Forest Service. (2012). *Forest fire facts and questions*. Available from

Ceccato, P., Flasse, S., Tarntola, S., Jacquemoud, S., & Grégoire, J.M. (2001). Detecting vegetation leaf water content using reflectance in the optical domain. *Remote Sensing of* 

Chuvieco, E., & Martin, M. P. (1994). Global fire mapping and fire danger estimation using AVHRR images. *Photogrammetry Engineering and Remote Sensing,* Vol. 60, No 5, (May

Chuvieco, E., Aguado, I., Cocero, D., & Riaño, D. (2003). Design of an empirical index to estimate fuel moisture content from NOAA-AVHRR analysis in forest fire danger studies. *International Journal of Remote Sensing,* Vol. 24, No 8, (January 2003), pp. 1621-

Chuvieco, E., Aguado, I., Yebra, M., Nieto, H., Salas, J., Pilar, M., Vilar, L., Martínez, J., Martín, S., Ibarra, P., de la Riva, J., Baeza, J., Rodríguez, F., Molina, J. M., Herrera, M.A., & Zamora, R. (2010). Development of a framework for fire risk assessment using remote sensing and geographic information system technologies. *Ecological Modelling*, Vol. 221,

Chuvieco, E., Aguado, I., Yebra, M., Nieto, H., Salas, J., Pilar, M., Vilar, L., Martínez, J., Martín, S., Ibarra, P., de la Riva, J., Baeza, J., Rodríguez, F., Molina, J. M., Herrera, M.A., & Zamora, R. (2010). Development of a framework for fire risk assessment using remote

	- Freeman, A., & Durden, S.L. (1998). A three-component scattering model for polarimetric SAR data. *IEEE Transactions Geoscience and Remote Sensing*, Vol. 36, No 3, (May 1998), pp. 963- 973, ISSN 0196-2892

Use of Remote Sensing in Wildfire Management 79

Kasischke, E. S., Bourgeau-Chavez, L. L., & French, N. H. F. (1994). Observations of variations in ERS-1 SAR image intensity associated with forest fires in Alaska. *IEEE Transactions on Geoscience and Remote Sensing*, Vol. 32, No 1, (January 1994), pp. 206-210,

Kasischke, E. S., French, N. H. F., Harrell P., Christensen N. L. Jr., Ustin, S. L., & Barry, D. (1993). Monitoring of wildfires in boreal forests using large area AVHRR NDVI composite image data. *Remote Sensing of Environment,* Vol. 45, No 1, (July 1993), pp. 61–

Kempka, T., Kaiser, T., and Solbach, K., 2006, Microwaves in fire detection. *Fire Safety* 

Kennedy, P. J., Belward, A. S., & Gregoire, J. M. (1994). An improved approach to fire monitoring in West Africa using AVHRR data. *International Journal of Remote Sensing,*

Kogan, F.N. (2001). Operational space technology for global vegetation assessment. *Bulletin of the American Meteorological Society,* Vol. 82, No 9, (September 2001), pp. 1949-1964. Leblon, B. (2005). Using remote sensing for fire danger monitoring. *Natural Hazards*, Vol. 35,

Leblon, B., Chen, J., Alexander, M.E., & White, S. (2001). Fire danger monitoring using NOAA-AVHRR NDVI images in the case of northern boreal forests. *International Journal* 

Leblon, B., Fernandez-Garcia, P.A., Oldford, S. MacLean, D., & Flannigan, M. (2007). Using NOAA-AVHRR cumulative indices for estimating fire danger codes in northern boreal forests. *International Journal of Applied Earth Observations and Geoinformation*, Vol. 9, No 3,

Lopez, S., Gonzalez, F., Llop, R., & Cuevas, J.M. (1991). An evaluation of the utility of NOAA-AVHRR images for monitoring forest fire risk in Spain, *International Journal of* 

Matson, M., & Dozier, J. (1981). Identification of subresolution high temperature sources using a thermal IR sensor. *Photogrammetry Engineering and Remote Sensing*, Vol. 47, No 9,

Menges, C. H., Bartolo, R. E., Bell, D. & Hill, G. J. E. (2004). The effect of savanna fires on SAR backscatter in northern Australia. *International Journal of Remote Sensing*, Vol. 25,

Michalek, J.L., French, N.H.F., Kasischke, E.S., Johnson, R.D., & Colwell, J.E. (2000). Using Landsat TM data to estimate carbon release from burned biomass in an Alaskan spruce complex. *International Journal of Remote Sensing*, Vol. 21, No 2, (January 2000), pp. 323–

*Remote Sensing,* Vol. 12, No 9, (September 1991), pp. 1841-1851, ISSN 0143-1161. Martin, M. P., & E. Chuvieco (1995), Mapping and evaluation of burned land from multitemporal analysis of AVHRR NDVI images, *EARSeL Advanced in Remote* 

*of Remote Sensing,* Vol. 22, No 14, (January 2001), pp. 2839-2846, ISSN 0143-1161. Leblon, B., Kaschike, E.S., Alexander, M.E., Doyle, M, & Abbott M. (2002). Fire danger monitoring using ERS-1 SAR images over northern boreal forests. *Natural Hazards ,* Vol.

*Journal*, Vol. 41, No 4, (June 2006), pp. 327-333, ISSN 0379-7112

Vol. 15, No 11, (July 1994), pp. 2235–2255, ISSN 0143-1161

27, No 3, (November 2002), pp. 231-255, ISSN 0921-030X.

No 22, (November 2004), pp. 4857-4871, ISSN 0143-1161

No 3, (July 2005), pp. 343-359, ISSN 0921-030X.

(August 2007), pp. 335-342, ISSN 0303-2434

*Sensing*,Vol. 4, No 3, pp. 7– 13.

(September 1981), pp. 1311-1318.

338, ISSN 0143-1161

ISSN 0196-2892

67, ISSN 0034-4257


Kasischke, E. S., Bourgeau-Chavez, L. L., & French, N. H. F. (1994). Observations of variations in ERS-1 SAR image intensity associated with forest fires in Alaska. *IEEE Transactions on Geoscience and Remote Sensing*, Vol. 32, No 1, (January 1994), pp. 206-210, ISSN 0196-2892

78 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

963- 973, ISSN 0196-2892

Freeman, A., & Durden, S.L. (1998). A three-component scattering model for polarimetric SAR data. *IEEE Transactions Geoscience and Remote Sensing*, Vol. 36, No 3, (May 1998), pp.

French, N. H. F., Bourgeau-Chavez, L. L., Wang, Y. & Kasischke, E. S. (1999). Initial observations of Radarsat imagery at fire-disturbed sites in interior Alaska. *Remote* 

Giglio, L, Csiszar, I, & Justice, C. O. (2006a). Global distribution and seasonality of active fires as observed with the Terra and Aqua Moderate Resolution Imaging Spectroradiometer (MODIS) sensors. *Journal of Geophysical Research-Biogeosciences*, Vol.

Giglio, L, van der Werf, GR, Randerson, JT, Collatz, GJ, & Kasibhatla, P (2006b). Global estimation of burned area using MODIS active fire observations. *Atmospheric Chemistry* 

Gimeno, M. & San-Miguel-Ayanz, J. (2004). Evaluation of RADARSAT-1 data for identification of burnt areas in Southern Europe. *Remote Sensing of Environment*, Vol. 92,

Gimeno, M., San-Miguel-Ayanz, J. & Schmuck, G. (2004). Identification of burnt areas in Mediterranean forest environments from ERS-2 SAR time series. *International Journal of* 

Goward, S.N., Waring, R.H., Dye, D.G., & Yang, J. (1994). Ecological remote sensing of OTTER satellite macroscale observations. *Ecological Applications,* Vol. 4, No 2, (May

Granger, R.J. (1997). Comparison of surface and satellite-derived estimates of evapotranspiration using a feedback algorithm. *Proceeding. 3*rd *International Workshop on Application of Remote Sensing in Hydrology*, pp. 71-81, Goddard Space Flight Center,

Grégoire, J.-M. Tansey K., and Silva, J. M. N. (2003). The GBA2000 initiative: Developing a global burnt area database from SPOT-Vegetation imagery, *International Journal of* 

Hardy, C.C., and Burgan, R.E. (1999). Evaluation of NDVI for monitoring live moisture in three vegetation types of the Western U.S. *Photogrammetry Engineering and Remote* 

Illera, P., Fernandez, A., & Delgado, J.A. (1996). Temporal evolution of the NDVI as an indicator of forest fire danger. *International Journal of Remote Sensing,* Vol. 17, No 6,

Justice, C., Giglio, L., Korontzi, S., Owens, J., Morisette, J. T., Roy, D., Descloitres, J., Alleaume, S., Petitcolin, F., & Kaufman, Y. (2002). The MODIS fire products, *Remote Sensing of Environment*, Vol. 83, No 1–2, (November 2002), pp. 244-262, ISSN 0034-4257

*Remote Sensing*, Vol. 24, No 6, (January 2003), pp. 1369-1376, ISSN 0143-1161

*Remote Sensing*, Vol. 25, No 22, (November 2004), pp. 4873-4888, ISSN 0143-1161 Gouyet, J.F., King, C., Le Gleau, H., Malon, J.F., Phulpin, T., & Valette, J.C. (1991). Apport des données satellitaires NOAA-AVHRR dans le suivi de la végétation forestière. *Proceedings 5*th *International Colloquium on Physical Measurements and Signatures in Remote* 

*Sensing of Environment*, Vol. 68, No 1, (April 1999), pp. 89-94, ISSN 0034-4257

*and Physics*, Vol. 6, No 4, (March 2006), pp. 957-974, ISSN 1680-7316.

111, No G2, (June 2006), p. G02016, ISSN 0148–0227

No 3, (August 2004), pp. 370-375, ISSN 0034-4257

*Sensing*, pp. 625-629, Courchevel, France, January 1991

1994), pp. 322-343, ISSN 1051-0761.

Washington, DC, USA, October, 1996.

(April 1996), pp. 1093-1105, ISSN 0143-1161.

*Sensing,* Vol. 65, pp. 603-610.

	- Nemani, R.R., & Running, S.W. (1989). Estimation of regional surface resistance to evapotranspiration from NDVI and thermal-IR AVHRR data. *Journal of Applied Meteorology,* Vol. 28, No 4, pp. 276-284, ISSN 1558-8424.

Use of Remote Sensing in Wildfire Management 81

Roy, D., P. E. Lewis, & C. O. Justice (2002), Burned area mapping using multi-temporal moderate spatial resolution data: A bi-directional reflectance model-based expectation approach, *Remote Sensing of Environment,* Vol. 83, No 1– 2, (November 2002*),* pp. 263–

Roy, D., Y. Jin, P. Lewis, & C. Justice (2005), Prototyping a global algorithm for systematic fire-affected area mapping using MODIS time series data, *Remote Sensing of* 

San-Miguel-Ayanz, J., Annoni, A., & Schmuck, G. (1998). The use of satellite imagery for retrieval of information on wildfire damage in Mediterranean landscapes. *Proceedings of ERIM'98, 27th International Symposium on Remote Sensing of Environment: Information for* 

San-Miguel-Ayanz, J., Ravail, N., Kelha, V. & Ollero, A. (2005). Active fire detection for emergency management: Potentials and limitations for the operational use of remote

sensing. *Natural Hazards,* Vol. 35, No 3, (July 2005), pp. 361-376, ISSN 0921-030X. San-Miguel-Ayanz J., Pereira, J., Boca, R., Strobl, P., Kucera, J., & Pekkarinen, A*.* (2009). Forest fires in the European Mediterranean region: mapping and analysis of burned areas*.* In *Earth Observation of Wildland Fires in Mediterranean Ecosystems*, Chuvieco Emilio

(Ed.), pp. 189-204. Springer-Verlag ISBN 978-3-642-01753-7, Berlin Heidelberg. San-Miguel-Ayanz, J., Schulte, E., Schmuck, G., Camia, A., Strobl, P., Liberta, G., Giovando, C., Boca, R., Sedano, F., Kempeneers, P., McInerney, D., Withmore, C., Santos de Oliveira, S., Rodrigues, M., Durrant, T., Corti, P., Oehler, F., Vilar L., & Amatulli, G. (2012). Comprehensive monitoring of wildfires in europe: the European Forest Fire Information System (EFFIS), in *Approaches to Managing Disaster - Assessing Hazards, Emergencies and Disaster Impacts*, John Tiefenbacher (Ed.), pp. 87-105, InTech, ISBN 978-953-51-0294-6. Sedano, F., Kempeneers, P., Strobl, P., McInerney D., & San-Miguel-Ayanz, J. (2012). Increasing spatial detail of burned scar maps using irs‑awifs data for Mediterranean

Sedano, F., Kempeners, P., San-Miguel-Ayanz, J., Strobl, P., & Vogt, P. (2012). Towards a pan-European burn scar mapping methodology based on single-date medium resolution optical remote sensing data. *International Journal of Applied Earth Observation* 

Siegert, F. & Ruecker, G., (2000). Use of multitemporal ERS-2 SAR images for identification of burned scars in south-east Asian tropical rainforest. *International Journal of Remote* 

Simon, M., S. Plummer, F. Fierens, J. J. Hoelzemann, and O. Arino (2004), Burnt area detection at global scale using ATSR-2: The GLOBSCAR products and their qualification. *Journal of Geophysical Research-Atmospheres*, Vol. 109, (July 2004), p. D14S02,

Strickland, G., Leblon, B., Gallant, L., & Alexander, M.E. (2001). Monitoring fire danger of northern boreal forests from optical and thermal infrared NOAA-AVHRR images. *Proceedings 23th Canadian Remote Sensing Symposium*, pp. 667-676, Ste-Foy, Canada,

Europe. *Remote Sensing*, Vol. 4, No 3, pp. 726-744, ISSN 2072-4292

*Sensing*, Vol. 21, No 4, (January 2000), pp. 831-837, ISSN 0143-1161

*and Geoinformation*, (in press), ISSN 0303-2434.

ISSN 0148–0227

June 2001.

*Environment,* Vol. 97, No 2, (July 2005), pp. 137–162, ISSN 0034-4257

*sustainability*, pp. 758-762, Tromsö, Norway, June, 1998.

286, ISSN 0034-4257


Roy, D., P. E. Lewis, & C. O. Justice (2002), Burned area mapping using multi-temporal moderate spatial resolution data: A bi-directional reflectance model-based expectation approach, *Remote Sensing of Environment,* Vol. 83, No 1– 2, (November 2002*),* pp. 263– 286, ISSN 0034-4257

80 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

*Meteorology,* Vol. 28, No 4, pp. 276-284, ISSN 1558-8424.

Vol. 18, No 4, (December 2003), pp. 21-32, ISSN 1010-6049

component analysis, *Finisterra* Vo. 27, No 53–54, pp. 63–78.

155, Springer-Verlag, ISBN 978-3540657675, Berlin.

No 5, pp. 579-586.

ISSN 0148–0227

1994.

2783–2799, ISSN 0143-1161

pp. 28-38, ISSN 0026-1181.

(August 1988), pp. 381-394, ISSN 0034-4257.

Vol. 27, No 18, (September 2006), pp. 3881-3902, ISSN 0143-1161.

Nemani, R.R., & Running, S.W. (1989). Estimation of regional surface resistance to evapotranspiration from NDVI and thermal-IR AVHRR data. *Journal of Applied* 

Oldford, S., Leblon, B., Gallant, L., & Alexander, M. (2003). Mapping pre-fire conditions in the Northwest Territories, Canada, using NOAA-AVHRR images. *Geocarto International,* 

Oldford, S., Leblon, B., MacLean, D., & Flannigan, M. (2006). Predicting slow drying fuel moisture codes using NOAA-AVHRR images. *International Journal of Remote Sensing,* 

Olioso, A., Chauki, H., Courault, D., & Wigneron, J.P. (1999). Estimation of evapotranspiration and photosynthesis by assimilation of remote sensing data into SVAT models. *Remote Sensing of Environment,* Vol. 68, pp. 341-356, ISSN 0034-4257. Paltridge, G.W., & Barber, J. (1988) Monitoring grassland dryness and fire potential in Australia with NOAA-AVHRR data. *Remote Sensing of Environment,* Vol. 25, No 3,

Pereira, J.M.C. (1992). Burned area mapping with conventional and selective principal

Pereira, J.M.C., Sousa, A. M. O., Sà, A. C. L., Martin, P. & Chuvieco, E. (1999). Regional-scale burnt area mapping in Southern Europe using NOAA-AVHRR 1 Km data, In *Remote Sensing of Large Wildfires in the European Mediterranean Basin*, E. Chuvieco Ed., pp. 139-

Pierce, L.L., Running, S. W., & Riggs, G.A. (1990). Remote detection of canopy water stress in coniferous forests using the NS001 Thematic Mapper Simulator and the Thermal Infrared Multispectral Scanner. *Photogrammetry Engineering and Remote Sensing,* Vol. 56,

Pinol, J., Filella, I., Ogaya, R., & Penuelas, J. (1998). Ground-based spectroradiometric estimation of live fine fuel moisture of Mediterranean plants. *Agricultural and Forest* 

Prins, E. M., & Menzel, W. P. (1992). Geostationary satellite detection of biomass burning in South America, *International Journal of Remote Sensing*, Vol. 13, No 15, (October 1992), pp.

Prins, E. M., Feltz, J. M., Menzel, W. P. & Ward, D. E. (1998). An overview of GOES-8 diurnal fire and smoke results for SCAR-B and 1995 fire season in South America, *Journal of Geophysical Research-Atmospheres*, Vol. 103, N0 D24, (December 1998), pp. 31,821– 31,835.

Prosper-Laget, V., Douguedroit, A., & Guinot, J.P. (1994). A satellite index of forest fire occurence risk in summer in the Mediterranean area. In *Proceedings 2*nd *International Conference on Forest Fire Research*, vol. 2, pp. 637-646, Coimbra, Portugal, November

Prosper-Laget, V., Wigneron, J.P., Guinot, J.P., & Seguin, B. (1995). Utilisation du satellite NOAA pour la détection des risques d'incendies de forêts. *La Météorologie,* Vol. 8, No 10,

*Meteorology,* Vol. 90, *No 3*, *(April 1998),* pp. 173-186, ISSN 0168-1923.

	- Tansey, K., Grégoire, J.M., Stroppiana, D., Sousa, A., Silva, J., Pereira, J. M. C., Boschetti, L., Maggi, M., Brivio, P. A., Flasse, S., Ershov, D., Binaghi, E., Graetz, D., & Peduzzi, P. (2004), Vegetation burning in the year 2000: Global burned area estimates from SPOT VEGETATION data, *Journal of Geophysical Research-Atmospheres*, Vol. 109, (June 2004), p. D14S03, ISSN 0148–0227.

**Chapter 4** 

© 2012 Loh and Tapaneeyakul, licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Loh and Tapaneeyakul, licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use,

distribution, and reproduction in any medium, provided the original work is properly cited.

**GIS for Environmental Problem Solving** 

The authors are affiliated with the Laboratory of Systems Technology Applications in Renewable Resources (The STARR LAB) at Texas A&M University. The purpose of this chapter is to provide a synopsis of the cumulative research and teaching work for the past twenty years from the STARR LAB. The aim of chapter is to demonstrate holistic understandings of what key environmental issues and problems people are facing and how their concerns may be addressed with the help of geographic information systems (GIS).

We are the environments, and the environments are us. There are many environmental issues and problems the society is facing. Some major categories include environmental disasters, ecological services, and perceptions of environments by people, just to name a few. In terms of environmental disasters, hurricanes, earthquake and wildfires are some examples that exert enormous direct impacts on people's lives. Their increasing recurrences have elevated public awareness on the vulnerability and risks of the environments we live in. An awareness of environmental issues leads to an increase in people's perceptions regarding the surrounding environments. There are many factors contributing to such perceptions. Combined considerations of pertinent factors result in an overall perception. One plausible combined index is called quality of life (QOL). QOL is a practical measurement of the state of an environment. Environmental awareness also raises people's concerns on the sustainability of the ecological services. Ecological services refer to public goods, tangible or intangible, rendered to us by environments and ecosystems. Air, water, food, fiber, and fuel we consume are good examples. Sustaining these services is of great

There are many ways to help stakeholders gain insights to environmental issues and problems. One handy approach is the use of GIS. GIS are systems of hardware, software, data, people, organizations and institutional arrangements for collecting, storing, analyzing and disseminating information about areas of the Earth [1]. Such technologies enable

Koushen Douglas Loh and Sasathorn Tapaneeyakul

Additional information is available at the end of the chapter

importance to all environmental stakeholders.

http://dx.doi.org/10.5772/50098

**1. Introduction** 


## **GIS for Environmental Problem Solving**

Koushen Douglas Loh and Sasathorn Tapaneeyakul

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/50098

## **1. Introduction**

82 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

US Forest Service 2012. *The Wildland Fire Assessment System*. Available from

D14S03, ISSN 0148–0227.

http://www.wfas.net/

1998), pp. 280-291, ISSN 0034-4257.

pp. 207-224, ISSN 0168-1923.

(November 2009), pp. 2403–2411, ISSN 0034-4257.

4, (April 2008)*,* pp. 523–536., ISSN 0168-1923.

Tansey, K., Grégoire, J.M., Stroppiana, D., Sousa, A., Silva, J., Pereira, J. M. C., Boschetti, L., Maggi, M., Brivio, P. A., Flasse, S., Ershov, D., Binaghi, E., Graetz, D., & Peduzzi, P. (2004), Vegetation burning in the year 2000: Global burned area estimates from SPOT VEGETATION data, *Journal of Geophysical Research-Atmospheres*, Vol. 109, (June 2004), p.

Teillet, P.M., Dudelzak, A.E., Pultz, T.J., McNairn, H., & Chichagov, A. (2001). A framework for *in-situ* sensor measurement assimilation in remote sensing applications. *Proceedings 23th Canadian Remote Sensing Symposium*, pp. 111-118, Ste-Foy, Canada, June 2001.

Ustin, S., Roberts, D.A., Pinzon, J., Jacquemoud, S., Gardner, M., Scheer, G., Castaneda, C.M., & Palacios-Orueta, A. (1998). Estimating canopy water content of chaparral shrubs using optical methods. *Remote Sensing of Environment,* Vol. 65, No 3, (September

van Zyl, J.J., Arii, M., & Kim, Y. (2011). Model-based decomposition of polarimetric sar covariance matrices constrained for nonnegative eigenvalues. *IEEE Transactions Geoscience* 

Vidal, A., Pinglo, F., Durand, H., Devaux-Ros, C., & Maillet, A. (1994). Evaluation of a temporal fire risk index in Mediterranean forests from NOAA thermal IR. *Remote Sensing of Environment,* Vol. 49, No 3, (September 1994), pp. 296-303, ISSN 0034-4257. Yebra, M., & Chuvieco, E., 2009. Linking ecological information and radiative transfer models to estimate fuel moisture content in the Mediterranean region of Spain Solving the ill-posed inverse problem. *Remote Sensing of Environment*, Vol. 113, No 11,

Yebra, M., Chuvieco, E., & Riaño, D., 2008. Estimation of live Fuel Moisture Content from MODIS images for fire risk assessment. *Agricultural and Forest Meteorology,* Vol. 148, No

*and Remote Sensing*, Vol. 49, No 9, (September 2011), pp. 3452-3459, ISSN 0196-2892 Vidal, A., & Devaux-Ros, C. (1995) Evaluating forest fire hazard with a Landsat TM derived water stress index. *Agricultural and Forest Meteorology*, Vol. 77, *No 3–4*, (*December 1995),*  The authors are affiliated with the Laboratory of Systems Technology Applications in Renewable Resources (The STARR LAB) at Texas A&M University. The purpose of this chapter is to provide a synopsis of the cumulative research and teaching work for the past twenty years from the STARR LAB. The aim of chapter is to demonstrate holistic understandings of what key environmental issues and problems people are facing and how their concerns may be addressed with the help of geographic information systems (GIS).

We are the environments, and the environments are us. There are many environmental issues and problems the society is facing. Some major categories include environmental disasters, ecological services, and perceptions of environments by people, just to name a few. In terms of environmental disasters, hurricanes, earthquake and wildfires are some examples that exert enormous direct impacts on people's lives. Their increasing recurrences have elevated public awareness on the vulnerability and risks of the environments we live in. An awareness of environmental issues leads to an increase in people's perceptions regarding the surrounding environments. There are many factors contributing to such perceptions. Combined considerations of pertinent factors result in an overall perception. One plausible combined index is called quality of life (QOL). QOL is a practical measurement of the state of an environment. Environmental awareness also raises people's concerns on the sustainability of the ecological services. Ecological services refer to public goods, tangible or intangible, rendered to us by environments and ecosystems. Air, water, food, fiber, and fuel we consume are good examples. Sustaining these services is of great importance to all environmental stakeholders.

There are many ways to help stakeholders gain insights to environmental issues and problems. One handy approach is the use of GIS. GIS are systems of hardware, software, data, people, organizations and institutional arrangements for collecting, storing, analyzing and disseminating information about areas of the Earth [1]. Such technologies enable

© 2012 Loh and Tapaneeyakul, licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Loh and Tapaneeyakul, licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

analyses of spatial-temporal patterns for a geographic span of interest and generations of easy-to-comprehend reports such as maps and images. GIS are maturing and proliferating rapidly in parallel to the quantum leap of personal computer (PC) platforms. It greatly enhances people's ability to know about their environments. Given the advantages, GIS have emerged as a popular subject matter among interested learners on college campuses as well as in environmental fields. A good indicator of this assertion is the sustaining popularity of Environmental GIS courses the authors teach at Texas A&M University. Other institutions are reporting a similar phenomenon.

GIS for Environmental Problem Solving 85

 *Type of information:* two distinctive types of information are quantitative and qualitative. You need to specify if the problem is looking for quantitative and/or qualitative information. Quantitative information focuses on some sort of value or measurable information. Number of population affected by a hurricane or the amount of oil spilled into an ocean are quantifiable. Qualitative information, on the other hand, represents some sort of status that needs to be stated. Wildlife species affected by a hurricane or

It is also helpful to construct an outline or diagram of the problem so that it is easy for you and/or stakeholders to determine necessary steps, to better organize the tasks, and to be able

The scope is the Hurricane Katrina in New Orleans, Louisiana. This pertains to the Greater New Orleans Region. Information of interest includes population affected, infrastructural damage, hazardous materials, and situations that might arise afterward. Given this information, one possible answer is the number of population affected as the quantitative information. Quantitative information includes, but not limited to, current stage of

The scope is a major wildfire in Bastrop County, Texas in 2011. Information of interest is effects on both human and animal, economics losses, effects on land and environments, and infrastructural damage. With the defined information, possible answers include the number of affected people and animals, income losses from the incident, and the loss of species' habitats, which are accounted as quantitative information. Households and habitats affected by the fire, problem of land degradation and fragmentation, time frame for recovering, and

Brazos County, Texas and the surrounding areas is the scope of interest. Became widespread in the recent years (with the highest number of 7 severe cases in human being accounted for in 2006 [3]), West Nile virus has been under surveillance for residents in the County. Critical information that needs to be asked include: What causes the West Nile virus?; How can you track the spread of the West Nile virus?; and Where has West Nile virus been found in this location? Quantitative answers are the current number of infected individuals and the past records. Possible locations and trends that may be associated with the spread of the West

With an identified problem, you can proceed to define a project area. This step delineates a confined boundary of an area of interest. The information from *Step 2.1* helps specify the

types of chemical released into a river are some of the examples.

Consider the following real world examples using the above criteria:

hazardous waste, groups of population, animal species, and housing.

preventive plans are some of the qualitative information that seeks answers.

to comprehend the problem at hand.

*Example 1: The 2005 Hurricane Katrina* 

*Example 2: Bastrop County Complex Fire* 

*Example 3: West Nile Virus in Brazos County* 

**2.2. Defining a project area** 

Nile virus serve as the qualitative answer to the problem.

All things considered, it is timely to provide a rundown of GIS for Environmental Problem-Solving as a chapter of this book. Main thrusts of our presentation consist of four parts. They are: 1) Introduction (this section); 2) Research method; 3) Illustrations of GIS for environmental problem solving applications; and 4) Concluding remarks.

## **2. Research method**

Systems approach is a key research method to incorporate GIS into problem-solving process in addressing environmental issues and problems. The essence of this approach is to envision and to enact relevant endeavors into a cohesive sequence of steps. The whole process is called developing and implementing a GIS project. A typical sequence of steps in a GIS project includes framing the problem, defining a project area, identifying and acquiring data, extracting and preparing data, editing spatial data, geospatial analysis, and generating maps and reports.

## **2.1. Framing the problem**

The first step in solving any problem is to frame the problem. The purpose of this step is to help narrow down the scope and identify the problem to make it easier to solve. This helps address the questions you want to answer. Specifically, what do you want to accomplish from looking at this problem? What are the goal and objectives you are planning to address from the problem?

Then, the next question is what is the potential information associated with the problem? Pertinent information includes:


 *Type of information:* two distinctive types of information are quantitative and qualitative. You need to specify if the problem is looking for quantitative and/or qualitative information. Quantitative information focuses on some sort of value or measurable information. Number of population affected by a hurricane or the amount of oil spilled into an ocean are quantifiable. Qualitative information, on the other hand, represents some sort of status that needs to be stated. Wildlife species affected by a hurricane or types of chemical released into a river are some of the examples.

It is also helpful to construct an outline or diagram of the problem so that it is easy for you and/or stakeholders to determine necessary steps, to better organize the tasks, and to be able to comprehend the problem at hand.

Consider the following real world examples using the above criteria:

## *Example 1: The 2005 Hurricane Katrina*

84 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

institutions are reporting a similar phenomenon.

**2. Research method** 

generating maps and reports.

**2.1. Framing the problem** 

Pertinent information includes:

from the problem?

analyses of spatial-temporal patterns for a geographic span of interest and generations of easy-to-comprehend reports such as maps and images. GIS are maturing and proliferating rapidly in parallel to the quantum leap of personal computer (PC) platforms. It greatly enhances people's ability to know about their environments. Given the advantages, GIS have emerged as a popular subject matter among interested learners on college campuses as well as in environmental fields. A good indicator of this assertion is the sustaining popularity of Environmental GIS courses the authors teach at Texas A&M University. Other

All things considered, it is timely to provide a rundown of GIS for Environmental Problem-Solving as a chapter of this book. Main thrusts of our presentation consist of four parts. They are: 1) Introduction (this section); 2) Research method; 3) Illustrations of GIS for

Systems approach is a key research method to incorporate GIS into problem-solving process in addressing environmental issues and problems. The essence of this approach is to envision and to enact relevant endeavors into a cohesive sequence of steps. The whole process is called developing and implementing a GIS project. A typical sequence of steps in a GIS project includes framing the problem, defining a project area, identifying and acquiring data, extracting and preparing data, editing spatial data, geospatial analysis, and

The first step in solving any problem is to frame the problem. The purpose of this step is to help narrow down the scope and identify the problem to make it easier to solve. This helps address the questions you want to answer. Specifically, what do you want to accomplish from looking at this problem? What are the goal and objectives you are planning to address

Then, the next question is what is the potential information associated with the problem?

 *Scope:* To lay out tasks, data, and time frame to solve a problem, a scope needs to be defined so that you know how much information you are dealing with. The scope varies depending upon the nature and objectives of the problem. Questions on whether the problem is looking at a specific region, a particular group of population, or a particular phenomenon are worth investigating. Also, is the problem asking for

 *Scale:* Is the problem focusing on an institutional scale (individual, family, municipal, state, national, or international) and/or ecological scale (plant, plot, ecosystem, landscape, biome, or global)? As addressed in [2], stakeholders at different spatial scales can (and should) assign different values to environment and ecosystem under interest.

information, maps, or more in-depth analysis of the problem?

environmental problem solving applications; and 4) Concluding remarks.

The scope is the Hurricane Katrina in New Orleans, Louisiana. This pertains to the Greater New Orleans Region. Information of interest includes population affected, infrastructural damage, hazardous materials, and situations that might arise afterward. Given this information, one possible answer is the number of population affected as the quantitative information. Quantitative information includes, but not limited to, current stage of hazardous waste, groups of population, animal species, and housing.

#### *Example 2: Bastrop County Complex Fire*

The scope is a major wildfire in Bastrop County, Texas in 2011. Information of interest is effects on both human and animal, economics losses, effects on land and environments, and infrastructural damage. With the defined information, possible answers include the number of affected people and animals, income losses from the incident, and the loss of species' habitats, which are accounted as quantitative information. Households and habitats affected by the fire, problem of land degradation and fragmentation, time frame for recovering, and preventive plans are some of the qualitative information that seeks answers.

#### *Example 3: West Nile Virus in Brazos County*

Brazos County, Texas and the surrounding areas is the scope of interest. Became widespread in the recent years (with the highest number of 7 severe cases in human being accounted for in 2006 [3]), West Nile virus has been under surveillance for residents in the County. Critical information that needs to be asked include: What causes the West Nile virus?; How can you track the spread of the West Nile virus?; and Where has West Nile virus been found in this location? Quantitative answers are the current number of infected individuals and the past records. Possible locations and trends that may be associated with the spread of the West Nile virus serve as the qualitative answer to the problem.

## **2.2. Defining a project area**

With an identified problem, you can proceed to define a project area. This step delineates a confined boundary of an area of interest. The information from *Step 2.1* helps specify the

proper location where the problem occurred and address the possible questions and answers under interest. The process pinpoints the focus of the problem while eliminate unnecessary areas or secondary scope of interest from the picture. Not only that this can help save time, but it also allows you to pay closer attention to the essence of the project. At this stage, the conceptual project area should be carefully thought out before attempting to acquire data, i.e., map layers, in the next step.

GIS for Environmental Problem Solving 87

*Vector or shapefile* data is constructed as points, lines, and polygons to represent

Attribute data is information used to describe characteristics of a locale. The data is organized in a table containing information linked to a spatial feature by a common identifier. This gives

GIS data is vastly available from many sources, including those in public domains at local, state and federal agencies; international non-governmental organizations or NGOs; and private sector providers. In the U.S., the Federal Government generates and provides public access for easily found and downloadable geographic datasets2. Each agency supplies relevant datasets pertaining to their line of work. Some of the main providers include: National Oceanic and Atmospheric Administration (NOAA) for extensive National Weather Service datasets; United States Geological Survey (USGS) for DEMs, administrative boundaries, land cover, soil, and water data; United States Environmental Protection Agency (EPA) for toxic and cleanup sites; and Census Bureau for demographic and socioeconomic data, which contains a widerange of attributes detailed to the block level. State agencies, such as Texas3, have established a central clearinghouse for state-level datasets. With increasing demand for GIS in solving various problems, many counties and cities have initiated GIS departments, which oversee

Each map layer contains a coordinate system, which allows one to identify the location of the map and to be able to display, manipulate, and integrate the map layer with other layers for further applications and analysis. It is therefore imperative to understand the

A coordinate system is a grid that may be used to define where a particular location is. Two

 *Geographic Coordinate System:* This uses 3D spherical surface to define locations. Often incorrectly referred to as datum, geographic coordinate system includes not only datum, but also angular unit of measure and prime meridian. Points on Earth's surface

are referenced by latitude and longitude, while angles are measured by degree. *Projected Coordinate System:* Commonly referred to as map projections, projected coordinate system is defined on flat, 2D surface with constant lengths, angles, and area. X, Y coordinates are presented on grid. It is based on geographic coordinate system. Often, input maps will be in different projections, requiring transformation of one or all maps to make coordinates compatible. Since monitor screens are analogous to a flat sheet of paper, there is a need to provide transformations from the curved surface to the plane for displaying

you details or certain types of information associated with each specific feature.

geographical features.

and provide relevant geographic data to inquirers.

*2.3.3. Map projections and coordinate systems* 

common types of coordinate system are:

2 See http://geo.data.gov/geoportal/ for more information. 3 See http://www.tnris.org/get-data/ for more information.

fundamentals of map projections and coordinate systems.

*2.3.2. GIS data sources* 

GIS enable a variety of ways for convenient delineation of a project's boundary that might not be made possible with other applications. ArcGIS®1, a worldwide used GIS software, allows users to work with geographic information data by inputting and manipulating map layers in a comprehensive manner. In this chapter, we use ArcGIS 9.3.1 for all GIS applications.

For example, one may select an administrative boundary of a local jurisdiction from a base map layer as the project area as in the cases of Bastrop County Complex Fire and West Nile Virus in Brazos County. One may also "union" multiple local jurisdictions into a broader geographic span for addressing issues that are of cross-boundary nature. The project boundary resulted from one way or another serves as the "cookie cutter" for clipping data from relevant layers and tables in the ensuing steps to expedite problem-solving. As in the case of Hurricane Katrina, at least five parishes (Louisiana's equivalent of counties in other states) should be included as the project area of the Hurricane analysis.

## **2.3. Identifying and acquiring data**

Once the project area is defined, the next step is to locate and acquire needed data. Before looking for data, the methodology needs to be analyzed to establish what data is needed. The most important question that needs to be answered is: Why do I need this data? If the data is truly needed, then this question is easily answered. If not, then the data is most likely not necessary to solve the problem.

To be able to work with data in GIS, you need to understand the nature and procedural steps of working with data in GIS as follows:

## *2.3.1. GIS datasets formats*

Typical formats of datasets, which allow you to conveniently work with multiple information or map layers, include spatial and attribute data.

Spatial data comes in the forms of raster and vector and is generally organized into so-called layers or thematic maps.

 *Raster* data is digital image composed by rectangular grids or cells that contain numeric information from a defined range to characterize geographic features. *Digital Elevation Model or DEM* is a form of raster data important in depicting a terrain. It provides crucial information on the topologies of a geographic span.

<sup>1</sup> ArcGIS is a registered trade mark of Environmental System Research Institute (ESRI), Inc.

 *Vector or shapefile* data is constructed as points, lines, and polygons to represent geographical features.

Attribute data is information used to describe characteristics of a locale. The data is organized in a table containing information linked to a spatial feature by a common identifier. This gives you details or certain types of information associated with each specific feature.

## *2.3.2. GIS data sources*

86 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

acquire data, i.e., map layers, in the next step.

**2.3. Identifying and acquiring data** 

not necessary to solve the problem.

*2.3.1. GIS datasets formats* 

layers or thematic maps.

steps of working with data in GIS as follows:

information or map layers, include spatial and attribute data.

crucial information on the topologies of a geographic span.

1 ArcGIS is a registered trade mark of Environmental System Research Institute (ESRI), Inc.

proper location where the problem occurred and address the possible questions and answers under interest. The process pinpoints the focus of the problem while eliminate unnecessary areas or secondary scope of interest from the picture. Not only that this can help save time, but it also allows you to pay closer attention to the essence of the project. At this stage, the conceptual project area should be carefully thought out before attempting to

GIS enable a variety of ways for convenient delineation of a project's boundary that might not be made possible with other applications. ArcGIS®1, a worldwide used GIS software, allows users to work with geographic information data by inputting and manipulating map layers in

For example, one may select an administrative boundary of a local jurisdiction from a base map layer as the project area as in the cases of Bastrop County Complex Fire and West Nile Virus in Brazos County. One may also "union" multiple local jurisdictions into a broader geographic span for addressing issues that are of cross-boundary nature. The project boundary resulted from one way or another serves as the "cookie cutter" for clipping data from relevant layers and tables in the ensuing steps to expedite problem-solving. As in the case of Hurricane Katrina, at least five parishes (Louisiana's equivalent of counties in other

Once the project area is defined, the next step is to locate and acquire needed data. Before looking for data, the methodology needs to be analyzed to establish what data is needed. The most important question that needs to be answered is: Why do I need this data? If the data is truly needed, then this question is easily answered. If not, then the data is most likely

To be able to work with data in GIS, you need to understand the nature and procedural

Typical formats of datasets, which allow you to conveniently work with multiple

Spatial data comes in the forms of raster and vector and is generally organized into so-called

 *Raster* data is digital image composed by rectangular grids or cells that contain numeric information from a defined range to characterize geographic features. *Digital Elevation Model or DEM* is a form of raster data important in depicting a terrain. It provides

a comprehensive manner. In this chapter, we use ArcGIS 9.3.1 for all GIS applications.

states) should be included as the project area of the Hurricane analysis.

GIS data is vastly available from many sources, including those in public domains at local, state and federal agencies; international non-governmental organizations or NGOs; and private sector providers. In the U.S., the Federal Government generates and provides public access for easily found and downloadable geographic datasets2. Each agency supplies relevant datasets pertaining to their line of work. Some of the main providers include: National Oceanic and Atmospheric Administration (NOAA) for extensive National Weather Service datasets; United States Geological Survey (USGS) for DEMs, administrative boundaries, land cover, soil, and water data; United States Environmental Protection Agency (EPA) for toxic and cleanup sites; and Census Bureau for demographic and socioeconomic data, which contains a widerange of attributes detailed to the block level. State agencies, such as Texas3, have established a central clearinghouse for state-level datasets. With increasing demand for GIS in solving various problems, many counties and cities have initiated GIS departments, which oversee and provide relevant geographic data to inquirers.

## *2.3.3. Map projections and coordinate systems*

Each map layer contains a coordinate system, which allows one to identify the location of the map and to be able to display, manipulate, and integrate the map layer with other layers for further applications and analysis. It is therefore imperative to understand the fundamentals of map projections and coordinate systems.

A coordinate system is a grid that may be used to define where a particular location is. Two common types of coordinate system are:


Often, input maps will be in different projections, requiring transformation of one or all maps to make coordinates compatible. Since monitor screens are analogous to a flat sheet of paper, there is a need to provide transformations from the curved surface to the plane for displaying

<sup>2</sup> See http://geo.data.gov/geoportal/ for more information.

<sup>3</sup> See http://www.tnris.org/get-data/ for more information.

data. In order to do so, mathematical formulas to relate spherical coordinates to planar coordinates are required. Some distortions in the shape, area, distance or direction of data can occur during the transformation; different projections cause different distortions. Therefore, careful consideration of the appropriate map projection is crucial. Proper map projection must consider: the map's subject and purpose; the subject area's size, shape, and location; the audience and general attractiveness; size and shape of page; and appearance of the graticule4.

GIS for Environmental Problem Solving 89

 *Reclassification:* To extract specific data from a raster, i.e., specific elevation data, reclassification is performed. Given the Hurricane problem, flooding can be assessed as one major result of the incident. In order to extract only the flooded area resulted from the Hurricane, reclassification is utilized to distinguish a specific range of elevation in which flooding occurred from others. This will allow you to analyze the effects

 *Selecting by attributes:* The purpose is to extract desired attribute data for analysis. This can be done through conditional statement imposed in attribute data table to select only specific information of interest. Considering an attribute table of chemical sites located within the Hurricane flooding zone, one can select only specific sites containing

 *Exporting data:* To make a temporary layer permanent in a current map, data resulted from steps such as that of above need to be exported and saved in a current working folder. Otherwise, the file may be lost or difficult to locate when you want to revisit and

**Figure 1.** Same layer file with different coordinate systems resulting in 20-meter difference on the map.

Oftentimes, acquired data might not be in the most suitable shape or boundary for problem under consideration. Options to edit spatial data in GIS allow one to manage the data in

Typical editing tools consist of creating new features, cutting polygons, modifying features, and extending the basic skills to other tasks such as clipping a feature to a desired shape and area.

 *Creating new features:* When creating a new feature, a blank data set is being defined by the editor. A blank data set is like an empty pie shell, while creating a new feature is like filling the pie shell. This task is only used if a new feature is desired or a single part feature is to be converted into a multi-part feature when the second part of the feature

such a way that is more manageable and ready to be analyzed.

particular chemicals of interest for further analysis and map report.

pertaining to the flooded area.

work on it.

**2.5. Editing spatial data** 

does not already exist.

## **2.4. Extracting and manipulating data**

The fourth step is data extraction and manipulation. In this step, one is to extract data from a conceivably larger original source file. Reduction of the size of datasets and their consolidation expedite the ensuing data management and processing. The project area defined at the onset (the cookie cutter) dictates the extent and size of data to be extracted and prepared.

Typically, data acquired may exist in various forms and shapes, e.g. different coordinate systems and file formats. It is a MUST to prepare and consolidate all datasets into a commonly operable format. GIS have a database management system component to support the proper management of both spatial and attribute data. It also enables convenient linking and relating of various data records by their locations on a common coordinate system. Some common tasks you will encounter during the data extraction and manipulation steps are as follows:

 *Re-projecting data:* This is a basic essential step in any analysis using GIS. The purpose is to convert a particular piece of data from one coordinate system to another. Working with GIS employs more than one map layer, therefore acquired datasets may contain different projections. Different data projections lead to distortion of data and inaccuracy in the analysis.

For example, in Figure 1, a residential area polygon (in blue) is projected to Geographic Coordinate System: GCS\_North\_American\_1983. The same residential area polygon (in yellow) is in Projected Coordinate System: NAD\_1927\_UTM\_Zone\_16N. As shown in Figure, there are some discrepancies in the map layers with different coordinate systems. If this re-projection step is not taken, any analysis preformed will be inaccurate leading to much larger problem in subsequent analysis with multiple layers.

 *Conversion of raster to vector:* Not only data comes in different coordinate systems, the file formats can also be varied; most commonly in the forms of raster or vector (shapefile). Especially with the growing use of GIS, datasets in shapefile have become more available. Shapefile data usually comes embedded with attribute data, which allows user to easily select and manipulate the information of interest. Therefore, converting a raster file to vector enables user to intersect other data with the available vector data. Suppose you have acquired and managed shapefile layers of affected area by Hurricane Katrina and population layer in the Greater New Orleans Region, by intersecting these two layers, you can extract the areas in which population were affected by the Hurricane.

<sup>4</sup>See [4] for further explanations on coordinate systems


## **2.5. Editing spatial data**

88 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**2.4. Extracting and manipulating data** 

are as follows:

in the analysis.

4See [4] for further explanations on coordinate systems

data. In order to do so, mathematical formulas to relate spherical coordinates to planar coordinates are required. Some distortions in the shape, area, distance or direction of data can occur during the transformation; different projections cause different distortions. Therefore, careful consideration of the appropriate map projection is crucial. Proper map projection must consider: the map's subject and purpose; the subject area's size, shape, and location; the audience and general attractiveness; size and shape of page; and appearance of the graticule4.

The fourth step is data extraction and manipulation. In this step, one is to extract data from a conceivably larger original source file. Reduction of the size of datasets and their consolidation expedite the ensuing data management and processing. The project area defined at the onset

Typically, data acquired may exist in various forms and shapes, e.g. different coordinate systems and file formats. It is a MUST to prepare and consolidate all datasets into a commonly operable format. GIS have a database management system component to support the proper management of both spatial and attribute data. It also enables convenient linking and relating of various data records by their locations on a common coordinate system. Some common tasks you will encounter during the data extraction and manipulation steps

 *Re-projecting data:* This is a basic essential step in any analysis using GIS. The purpose is to convert a particular piece of data from one coordinate system to another. Working with GIS employs more than one map layer, therefore acquired datasets may contain different projections. Different data projections lead to distortion of data and inaccuracy

For example, in Figure 1, a residential area polygon (in blue) is projected to Geographic Coordinate System: GCS\_North\_American\_1983. The same residential area polygon (in yellow) is in Projected Coordinate System: NAD\_1927\_UTM\_Zone\_16N. As shown in Figure, there are some discrepancies in the map layers with different coordinate systems. If this re-projection step is not taken, any analysis preformed will be inaccurate

leading to much larger problem in subsequent analysis with multiple layers.

can extract the areas in which population were affected by the Hurricane.

 *Conversion of raster to vector:* Not only data comes in different coordinate systems, the file formats can also be varied; most commonly in the forms of raster or vector (shapefile). Especially with the growing use of GIS, datasets in shapefile have become more available. Shapefile data usually comes embedded with attribute data, which allows user to easily select and manipulate the information of interest. Therefore, converting a raster file to vector enables user to intersect other data with the available vector data. Suppose you have acquired and managed shapefile layers of affected area by Hurricane Katrina and population layer in the Greater New Orleans Region, by intersecting these two layers, you

(the cookie cutter) dictates the extent and size of data to be extracted and prepared.

Oftentimes, acquired data might not be in the most suitable shape or boundary for problem under consideration. Options to edit spatial data in GIS allow one to manage the data in such a way that is more manageable and ready to be analyzed.

Typical editing tools consist of creating new features, cutting polygons, modifying features, and extending the basic skills to other tasks such as clipping a feature to a desired shape and area.

 *Creating new features:* When creating a new feature, a blank data set is being defined by the editor. A blank data set is like an empty pie shell, while creating a new feature is like filling the pie shell. This task is only used if a new feature is desired or a single part feature is to be converted into a multi-part feature when the second part of the feature does not already exist.

 *Cutting polygon features:* This process is a shortcut to creating a multi-part feature from a single part feature. Simply put, this process is used like a set of scissors to cut an existing feature into multiple parts.

GIS for Environmental Problem Solving 91

Frame the Problem

Define Project Area

Identify & Acquire Data

Manipulate Data

Edit Data

Geospatial Analysis

Generate Maps & Reports

**Figure 2.** Diagram of problem-solving steps


## **2.6. Geospatial analysis**

Upon data readiness, a project may move on to the sixth step of spatial-temporal analyses. There are many useful procedures for these endeavors. Especially with the versatilities of GIS software, one can utilize extended range of applications available. Some common tools that one should be familiar with and were used specifically for the ensuing applications in this chapter include:


The use of analytic procedures mentioned above and other tools in a proper order results in useful information for a problem under study.

#### **2.7. Generating maps and reports**

The final major step is to generate maps and reports. One picture is better than a thousand words. To this end, GIS come handy in presenting information in maps, images, 3D graphs, tables, and other forms. It also expedites the import and export of these presentations between GIS and other software environments, e.g. a word or a graphic processor. With the acceleration of PC powers, the sky is the limit to GIS' capability of generating maps and reports. It is worth noting that you should understand what the readers are looking for when creating the maps and write ups, i.e., what is the focus or message that you want to communicate to others? This should align with the proposed information of interest.

#### GIS for Environmental Problem Solving 91

**Figure 2.** Diagram of problem-solving steps

90 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

existing feature into multiple parts.

permanent removal of the feature.

modified to suit one's need.

**2.6. Geospatial analysis** 

this chapter include:

 *Cutting polygon features:* This process is a shortcut to creating a multi-part feature from a single part feature. Simply put, this process is used like a set of scissors to cut an

 *Modifying features:* This task is used when an existing feature does not cover the area that is desired. The attribute data will remain the same, while the feature will be

 *Clipping features:* Clipping is a process that is like using a "cookie cutter" to remove a portion of a feature permanently. The attribute data will also be changed due to a

Upon data readiness, a project may move on to the sixth step of spatial-temporal analyses. There are many useful procedures for these endeavors. Especially with the versatilities of GIS software, one can utilize extended range of applications available. Some common tools that one should be familiar with and were used specifically for the ensuing applications in

 *Distance analysis:* A suite of tools to produce distance maps are commonly available in GIS. In ArcGIS, distance tools are available under Spatial Analyst option. Euclidean distance tool measures straight-line distance from the center of cell to the nearest object of interest, i.e., your source. Another alternative is the cost distance tool, which incorporates travel cost from different paths into the analysis. The products from these tools are distance maps in raster representing proximity maps with a range of distance values from the source. For instance, one can find proximities from pollution sources at

 *Map algebra:* Another useful application, which you will encounter at certain point of analysis, is map algebra. This can be used for computations of raster data to create spatial patterns that depict locales of a particular concern or interest. Raster calculator, a Spatial Analyst application, allows for this useful procedure by inputting specified mathematical functions and expressions in the calculator. The result will be raster

The use of analytic procedures mentioned above and other tools in a proper order results in

The final major step is to generate maps and reports. One picture is better than a thousand words. To this end, GIS come handy in presenting information in maps, images, 3D graphs, tables, and other forms. It also expedites the import and export of these presentations between GIS and other software environments, e.g. a word or a graphic processor. With the acceleration of PC powers, the sky is the limit to GIS' capability of generating maps and reports. It is worth noting that you should understand what the readers are looking for when creating the maps and write ups, i.e., what is the focus or message that you want to

communicate to others? This should align with the proposed information of interest.

defined interval to any locales within a defined area map.

values and layer corresponding to the specified function.

useful information for a problem under study.

**2.7. Generating maps and reports** 

## **3. Illustration of GIS for environmental problem solving applications**

To illustrate how GIS are used to help address environmental issues and problems, two cases are described herewith in this section. The first one is on flood assessment, and the second is a QOL analysis. The applications help prepare for the building framework of spatial appraisal and valuation of environment and ecosystems (SAVEE), which will be discussed in the following section, tremendously.

GIS for Environmental Problem Solving 93

flooded area from the non-flooded area (elevation above 1 meter). In short, the reclassification divided the elevation data into the flooded area and the non-flooded area. The rest of the waterrise scenarios then followed using the same reclassification step as well as the ensuing steps.

Next, this flooded elevation data was converted into vector to prepare for further analysis. The converted flooded layer was the result of the conversion process as well as exporting

In terms of the Census data, the parishes were merged into one layer so that it was more convenient to work with in the subsequent steps for analyzing the total effect on population.

The acquired data contained certain parts that were irrelevant to the analysis. Lake Ponchartran, for instance, should not be counted toward the flooded area. Therefore, by editing the data, some unnecessary information of interest were taken out. Pertinent steps of editing the lake included: 1) Creating a new blank shapefile; 2) Using the blank shapefile as the base for editing tools to create a new feature around the lake area; and 3) Using the newly created feature as a cookie cutter to clip off the lake area from the flooded area layer. The result was the flooded area without the lake that was ready to be incorporated into other analysis.

At this stage, socio-economic analyses were conducted to assess the damage and impact on the livelihoods of residents of the affected areas. Census data developed was used directly for this purpose. Combining census data with the emulated flooded areas, patterns of suffering by which racial stakeholders and by what economic classes were clearly displayed. Based on the flooded area layer in *Step 5*, we proceeded to calculate the area under the layer's attribute table. Visual Basic Code to calculate the area (available from [8]) or a Calculate Geometry option, an automated tool in ArcGIS, derived the numbers of area affected by the Hurricane. Mathematical formula imposed helped convert the numbers into

Benefited from the above numbers, the population affected was conveniently calculated. Census data contains racial information that represents groups of population in different parishes. By intersecting the flooded area layer with the merged parishes layer, representing population profile in the areas, affected population was extracted. The overall statistics in the attribute table identified the total population affected by the flooding. Figure 3

Upon generating desired information and analysis, each pertinent map was composed as a map report containing a map title, legend (showing values of the map layer), north arrow, and scale bar. Then, the map reports were exported as image files to be included in a report. The report addressed the finding results of effects from the Hurricane as illustrated by the maps and relevant discussions of further applications and analysis that can later be applied

demonstrates map layers resulting from the above problem-solving steps.

the data into a new permanent flooded area layer.

*Step 5: Editing spatial data* 

*Step 6: Geospatial analysis* 

desirable units such as acres.

*Step 7: Generating maps and report* 

based on this project.

## **3.1. Flood assessment**

Considered one of the costliest [5] and most destructive natural disasters in the history of the United States, Hurricane Katrina provides a number of opportunity to understand the risk of nature, and how one could expect to understand and learn from such disastrous effects. The aforementioned problem-solving steps allow us to contemplate the steps as follows:

### *Step 1: Framing the problem*

An analysis of the scenario indicated that Hurricane Katrina occurred in the Greater New Orleans Area. Field measurements and distributions on the majority of victims indicated that roughly those under 1 meter in elevation were initially affected by the flooding [6]. Given this information, the scenario was that every location below 1 meter in elevation was affected and any location that is above this level was unaffected by the flood water. This particular area of impact needed to be delineated. The information of interest included area and population affected by the Hurricane. Additional scenarios of water-rise were then set for 5, 10, and 15 meters to emulate different levels of flooding.

#### *Step 2: Defining the project area*

In this case, the City of New Orleans and its five neighboring parishes suffered by the storm were identified as the study area.

#### *Step 3: Identifying and acquiring data*

The best type of data for delineating the affected area is the elevation data (DEM). DEMs, Satellite Imagery, and Census datasets were collected from Atlas, the GIS data central from the State of Louisiana [7]. This included DEM, jurisdiction boundaries, street maps of the study area, and Census data.

#### *Step 4: Extracting and preparing data*

Initially, the DEM and Census data came projected as GCS\_North\_American\_1983. By assigning a projected coordinate system to the data, further analysis could be proceeded. Given the information, we projected the data to NAD\_1927\_UTM\_Zone\_16N. Hillshades of the DEMs were also generated to visually inspect different elevations in the data. Sink holes pervaded in the DEMs were also been filled to prevent erroneous and prepare for proper flow direction process.

Then, the second crucial step was to extract the flooded area from the total area. This employed the reclassification process in which the elevation value was changed to 1 meter to separate the flooded area from the non-flooded area (elevation above 1 meter). In short, the reclassification divided the elevation data into the flooded area and the non-flooded area. The rest of the waterrise scenarios then followed using the same reclassification step as well as the ensuing steps.

Next, this flooded elevation data was converted into vector to prepare for further analysis. The converted flooded layer was the result of the conversion process as well as exporting the data into a new permanent flooded area layer.

In terms of the Census data, the parishes were merged into one layer so that it was more convenient to work with in the subsequent steps for analyzing the total effect on population.

#### *Step 5: Editing spatial data*

92 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

discussed in the following section, tremendously.

**3.1. Flood assessment** 

*Step 1: Framing the problem* 

*Step 2: Defining the project area* 

study area, and Census data.

flow direction process.

*Step 4: Extracting and preparing data* 

were identified as the study area. *Step 3: Identifying and acquiring data* 

**3. Illustration of GIS for environmental problem solving applications** 

To illustrate how GIS are used to help address environmental issues and problems, two cases are described herewith in this section. The first one is on flood assessment, and the second is a QOL analysis. The applications help prepare for the building framework of spatial appraisal and valuation of environment and ecosystems (SAVEE), which will be

Considered one of the costliest [5] and most destructive natural disasters in the history of the United States, Hurricane Katrina provides a number of opportunity to understand the risk of nature, and how one could expect to understand and learn from such disastrous effects. The

An analysis of the scenario indicated that Hurricane Katrina occurred in the Greater New Orleans Area. Field measurements and distributions on the majority of victims indicated that roughly those under 1 meter in elevation were initially affected by the flooding [6]. Given this information, the scenario was that every location below 1 meter in elevation was affected and any location that is above this level was unaffected by the flood water. This particular area of impact needed to be delineated. The information of interest included area and population affected by the Hurricane. Additional scenarios of water-rise were then set

In this case, the City of New Orleans and its five neighboring parishes suffered by the storm

The best type of data for delineating the affected area is the elevation data (DEM). DEMs, Satellite Imagery, and Census datasets were collected from Atlas, the GIS data central from the State of Louisiana [7]. This included DEM, jurisdiction boundaries, street maps of the

Initially, the DEM and Census data came projected as GCS\_North\_American\_1983. By assigning a projected coordinate system to the data, further analysis could be proceeded. Given the information, we projected the data to NAD\_1927\_UTM\_Zone\_16N. Hillshades of the DEMs were also generated to visually inspect different elevations in the data. Sink holes pervaded in the DEMs were also been filled to prevent erroneous and prepare for proper

Then, the second crucial step was to extract the flooded area from the total area. This employed the reclassification process in which the elevation value was changed to 1 meter to separate the

aforementioned problem-solving steps allow us to contemplate the steps as follows:

for 5, 10, and 15 meters to emulate different levels of flooding.

The acquired data contained certain parts that were irrelevant to the analysis. Lake Ponchartran, for instance, should not be counted toward the flooded area. Therefore, by editing the data, some unnecessary information of interest were taken out. Pertinent steps of editing the lake included: 1) Creating a new blank shapefile; 2) Using the blank shapefile as the base for editing tools to create a new feature around the lake area; and 3) Using the newly created feature as a cookie cutter to clip off the lake area from the flooded area layer. The result was the flooded area without the lake that was ready to be incorporated into other analysis.

#### *Step 6: Geospatial analysis*

At this stage, socio-economic analyses were conducted to assess the damage and impact on the livelihoods of residents of the affected areas. Census data developed was used directly for this purpose. Combining census data with the emulated flooded areas, patterns of suffering by which racial stakeholders and by what economic classes were clearly displayed.

Based on the flooded area layer in *Step 5*, we proceeded to calculate the area under the layer's attribute table. Visual Basic Code to calculate the area (available from [8]) or a Calculate Geometry option, an automated tool in ArcGIS, derived the numbers of area affected by the Hurricane. Mathematical formula imposed helped convert the numbers into desirable units such as acres.

Benefited from the above numbers, the population affected was conveniently calculated. Census data contains racial information that represents groups of population in different parishes. By intersecting the flooded area layer with the merged parishes layer, representing population profile in the areas, affected population was extracted. The overall statistics in the attribute table identified the total population affected by the flooding. Figure 3 demonstrates map layers resulting from the above problem-solving steps.

#### *Step 7: Generating maps and report*

Upon generating desired information and analysis, each pertinent map was composed as a map report containing a map title, legend (showing values of the map layer), north arrow, and scale bar. Then, the map reports were exported as image files to be included in a report. The report addressed the finding results of effects from the Hurricane as illustrated by the maps and relevant discussions of further applications and analysis that can later be applied based on this project.

GIS for Environmental Problem Solving 95

**3.2. Quality of life assessment** 

base layer

facing with three puzzling situations:

trends, or on some opinion surveys/polls.

QOL is emerging as a major indicator to monitor citizen's livelihood and wellbeing at the grassroots level. By virtue of its focuses, QOL helps inform local people and organizations of their living environment and optimize the allocations of resources to improve the community development. Canada is perhaps more aggressive in setting up a national framework for QOL [9]. In the U.S., states such as Utah [10]; cities such as San Francisco, California [11]; and organizations, including nonprofit organizations such as the Quality of Life Foundation [12] have been vigorously promoting such term as one of their agendas.

Categories of data to support the development of QOL indicators range from education, environment, economics, social, and justice to transportation/mobility. However, the use of GIS to track QOL progress is still at its infancy stage. City of College Station, Texas, with its advanced GIS installation and rich collection of data, stands to gain a lead role in this area

and to provide even superior services to its residents when it embarks on this path.

indices in environment, crimes, recreation, etc. For example:

1. Pertinent data/information comes in a variety of forms

how service rendered by the program is perceived by the beneficiaries.

There are three issues and opportunities in the development of QOL indicators. They are:

income level, education level, and number of household of an entity)

 Combining subjective values with objective measurements to create consensus and develop common ground to accommodate multiple perspectives of stakeholders. Combining the use of both spatial and attribute information to develop base layer and

 Overlay of census blocks with subdivisions or other neighborhood entities (e.g. apartment complex) to establish the baseline reference (population, its composition,

 Overlay of crime type, frequency, and location data with entities on the base layer Developing a composite score (ranking) of QOL for each neighborhood entity on the

As you set forth to do your research, as in the case of QOL assessment, you are most likely

It is plausible that the data/information you are facing and plan to collect exists in at least two forms. They are categorical and numeric. Examples of categorical information include "Yes" or "No" on whether a city (or any local jurisdiction) has a neighborhood improvement in place or not program; "Very Good," "Good," "Fair," and "Bad" on how such a program is being regarded by the communities; and "Highly favorable," "Favorable," and "Least Favorable" on

Quite often, information of categorical nature is derived from one's "gut feeling." It may also be convenient to summarize some judgments based on historical data, on some kinds of

There are two types of numeric information: discrete and continuous. Population of an ethnic group residing in a particular Census unit is an example of discrete type. Example of continuous type is the percentage of an ethnic group versus the total population in such a unit.

**Figure 3.** Illustrations of selected problem-solving steps for flood assessment in reference to the 2005 Hurricane Katrina flooding in the Greater New Orleans Region.

## **3.2. Quality of life assessment**

94 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 3.** Illustrations of selected problem-solving steps for flood assessment in reference to the 2005

Hurricane Katrina flooding in the Greater New Orleans Region.

QOL is emerging as a major indicator to monitor citizen's livelihood and wellbeing at the grassroots level. By virtue of its focuses, QOL helps inform local people and organizations of their living environment and optimize the allocations of resources to improve the community development. Canada is perhaps more aggressive in setting up a national framework for QOL [9]. In the U.S., states such as Utah [10]; cities such as San Francisco, California [11]; and organizations, including nonprofit organizations such as the Quality of Life Foundation [12] have been vigorously promoting such term as one of their agendas.

Categories of data to support the development of QOL indicators range from education, environment, economics, social, and justice to transportation/mobility. However, the use of GIS to track QOL progress is still at its infancy stage. City of College Station, Texas, with its advanced GIS installation and rich collection of data, stands to gain a lead role in this area and to provide even superior services to its residents when it embarks on this path.

There are three issues and opportunities in the development of QOL indicators. They are:

	- Overlay of census blocks with subdivisions or other neighborhood entities (e.g. apartment complex) to establish the baseline reference (population, its composition, income level, education level, and number of household of an entity)
	- Overlay of crime type, frequency, and location data with entities on the base layer

As you set forth to do your research, as in the case of QOL assessment, you are most likely facing with three puzzling situations:

1. Pertinent data/information comes in a variety of forms

It is plausible that the data/information you are facing and plan to collect exists in at least two forms. They are categorical and numeric. Examples of categorical information include "Yes" or "No" on whether a city (or any local jurisdiction) has a neighborhood improvement in place or not program; "Very Good," "Good," "Fair," and "Bad" on how such a program is being regarded by the communities; and "Highly favorable," "Favorable," and "Least Favorable" on how service rendered by the program is perceived by the beneficiaries.

Quite often, information of categorical nature is derived from one's "gut feeling." It may also be convenient to summarize some judgments based on historical data, on some kinds of trends, or on some opinion surveys/polls.

There are two types of numeric information: discrete and continuous. Population of an ethnic group residing in a particular Census unit is an example of discrete type. Example of continuous type is the percentage of an ethnic group versus the total population in such a unit.

#### 2. How to "add" "oranges" and "apples"

When one has data and information of various types in hand, he/she will ask this question:

GIS for Environmental Problem Solving 97

(1)

(3)

(4)

For numeric information, the conversion and normalization is less complicated. Say you deem the ratio of white population in a Census unit at 50% is the best mix (most favorable), in terms of quality of life; 100% or 0% is least favorable. For the best mix, you believe it should be given a score of +1 and for the least favorable a 0. Given this range, you may apply the following

equations to convert and normalize the percentage into values in the range (0,+1)

*<sup>E</sup> F x*

where E is the expected (best value of x)

where x is the distance to oil well(s)

values are set to zero as shown in Figure 5.

equation above becomes:

described by a negative exponential equation as:

*x E*

2 2 2

1 , 1 (a) (1 ) ( )

Another method is to convert distance to an object from such measurements as miles to the uniform score between (-1 and +1). For example, one may decide that the presence of oil well is bad for quality of life. Evidently, the household right at the oil well would have absolutely unfavorable score of -1. The negative effect most likely would tap off as the distance reaches certain threshold, e.g. 1 mile or 5,280 feet. The tapering effect can then be

The normalization equation for strictly negative attribute based on the negative exponential

The translation of the equation is "If Condition < X, True, False." This means if an input value (distance value) falls under the condition (less than X), then the output is negative value. Otherwise, the output is zero. It might be helpful to put this in the oil well scenario above:

The above equation is set so that if the distance to an oil well is less than 1 mile, then the output is negative. As the locales get closer to the actual oil wells path, the more negative they will become (with the minimum at -1). At a distance of 1 mile or greater all the output

*QOL Con Distance X e i i*

*QOL Con Distance Wells Wells e*

1 , 0 (b)

*x E*

*<sup>x</sup> Fx e* (2)

1

5280 5280, ,0 *DistanceWells*

 

1

, ,0 *Distancei X*

 

*E x*

*E*

*x E*

2

"How do I add them together?" Indeed, you cannot add oranges and apples together at their original forms. The trick is to convert and normalize all of them into the same numerical scale, say between -1 and +1.

So, what is normalization? Normalization is the act of taking many sets of data that have no clear correlation and placing them under the same quantitative scale. Essentially, normalization allows us to compare apples and oranges. Some decisions must be made prior to normalizing any type of data. The questions include:


For categorical type of information, what you do is to fix the "best" and the "worst" at +1 and -1 respectively. This is plausible as +1 can represent the best case and -1 the worst. When both ends are fixed, one may logically deduce that a numeric value of "0" represents "Inconclusive." Furthermore, one may come up with a scheme saying that "+0.25" is "somewhat better", "+0.5" is "better" and "+0.75" is "much better." One can also say that "- 0.25" is "somewhat worse", "-0.5" is "worse", and "-0.75" is "much worse." As a result, you are converting and normalizing categorical or qualitative data into numeric or quantitative information as illustrated in Figure 4.

**Figure 4.** Illustration of the qualitative – quantitative information conversion scheme.

For numeric information, the conversion and normalization is less complicated. Say you deem the ratio of white population in a Census unit at 50% is the best mix (most favorable), in terms of quality of life; 100% or 0% is least favorable. For the best mix, you believe it should be given a score of +1 and for the least favorable a 0. Given this range, you may apply the following equations to convert and normalize the percentage into values in the range (0,+1)

$$F(\mathbf{x}) = \begin{cases} 1 - \frac{\left(\mathbf{x} - E\right)^2}{\left(1 - E\right)^2}, & E \le \mathbf{x} \le 1 \\\\ 1 - \frac{\left(\mathbf{x} - E\right)^2}{E^2}, & 0 \le \mathbf{x} < E \end{cases} \tag{1}$$

where E is the expected (best value of x)

96 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

When one has data and information of various types in hand, he/she will ask this question: "How do I add them together?" Indeed, you cannot add oranges and apples together at their original forms. The trick is to convert and normalize all of them into the same

So, what is normalization? Normalization is the act of taking many sets of data that have no clear correlation and placing them under the same quantitative scale. Essentially, normalization allows us to compare apples and oranges. Some decisions must be made prior

For categorical type of information, what you do is to fix the "best" and the "worst" at +1 and -1 respectively. This is plausible as +1 can represent the best case and -1 the worst. When both ends are fixed, one may logically deduce that a numeric value of "0" represents "Inconclusive." Furthermore, one may come up with a scheme saying that "+0.25" is "somewhat better", "+0.5" is "better" and "+0.75" is "much better." One can also say that "- 0.25" is "somewhat worse", "-0.5" is "worse", and "-0.75" is "much worse." As a result, you are converting and normalizing categorical or qualitative data into numeric or quantitative

3. How much should each of these factors count in relation to the overall project?

**Figure 4.** Illustration of the qualitative – quantitative information conversion scheme.

2. How to "add" "oranges" and "apples"

numerical scale, say between -1 and +1.

1. What are the important factors?

information as illustrated in Figure 4.

to normalizing any type of data. The questions include:

2. Which factors are positive and which factors are negative?

Another method is to convert distance to an object from such measurements as miles to the uniform score between (-1 and +1). For example, one may decide that the presence of oil well is bad for quality of life. Evidently, the household right at the oil well would have absolutely unfavorable score of -1. The negative effect most likely would tap off as the distance reaches certain threshold, e.g. 1 mile or 5,280 feet. The tapering effect can then be described by a negative exponential equation as:

$$F\left(\mathbf{x}\right) = -e^{-\mathbf{x}}\tag{2}$$

where x is the distance to oil well(s)

The normalization equation for strictly negative attribute based on the negative exponential equation above becomes:

$$QOL\_i = Con\left(\left[Distance\_i\right] < X\_i e^{-\left(\frac{\left[\left[Distance\_i\right]\_+\right]}{X}\right)\_.0}\right) \tag{3}$$

The translation of the equation is "If Condition < X, True, False." This means if an input value (distance value) falls under the condition (less than X), then the output is negative value. Otherwise, the output is zero. It might be helpful to put this in the oil well scenario above:

$$\text{QOL}\_{\text{Wells}} = \text{Con}\left(\left[\text{Distance}\_{\text{Wells}}\right] < 5280, e^{\left(\frac{\left[\text{Distance}\_{\text{Wells}}\right]\_{\text{I}} + 1}{5280}\right)}, 0\right) \tag{4}$$

The above equation is set so that if the distance to an oil well is less than 1 mile, then the output is negative. As the locales get closer to the actual oil wells path, the more negative they will become (with the minimum at -1). At a distance of 1 mile or greater all the output values are set to zero as shown in Figure 5.

**Figure 5.** Negative decay graph showing the more negative values as the locales get closer to oil wells.

At any rate, once you have all factors converted and normalized into the scheme of (-1, +1), then the values can be "operated" on to add up their contributions to the overall quality of life assessment of a city. This is done by applying the following formula:

$$\text{Score} = \begin{cases} I\_A + I\_B - \left( I\_A \times I\_B \right), & I\_A > 0 \, and \, I\_B > 0 \\ I\_A + I\_B + \left( I\_A \times I\_B \right), & I\_A < 0 \, and \, I\_B < 0 \end{cases} \tag{5}$$

GIS for Environmental Problem Solving 99

3. Unlike many "ordinary" algorithms, this formula allows both positive and negative

4. Regardless of the number of factors being considered and operated on, the resulted

5. Regardless of the sequence each factor is put into pair-wise calculation, the result is

6. Once all factors are exhausted in the calculation, one can always convert the result back to the qualitative scheme to make it more comprehensive to lay persons or people one

A word of caution: Both -1 and +1 are "singular" points. In other words, if you come up with a score on the contribution of a factor to be either -1 or +1, then other factors' contributions will not matter anymore. This is not a surprise or unreasonable. Because -1 means absolutely "bad" and +1 means absolutely "good." When you have a factor that determines the quality of life to be absolutely bad, then indeed why bother to waste time

To this end, one may want to adjust or shift the score from a factor that is somewhat different from the absolute values of -1 or +1 so that the pair-wise calculation may proceed logically. Again, this is not unreasonable as there is hardly anything that one can claim that

An additional nicety to the above approach is that one can proceed to conduct studies under incomplete information. The condition of incomplete information actually happens quite often in real life. With the kind of flexibility boasted by Emycin, you "add" the contributions from whatever data you are able to get your hand on for a city in determining its quality of life. In the case of comparing multiple cities, you may get this and that for one jurisdiction while not the same categories for all of them. By nature of the conversion, normalization, and pair-wise calculation, you would be able to derive scores on the same scheme and will

With better understanding on the assessment framework, it is time to put such theory into

contributions from factors under considerations, which is more realistic.

score will always be bounded between -1 and +1.

always the same.

to assess other factors?

is absolutely good or bad.

intend to interpret the results to.

**Figure 6.** Illustration of pair-wise calculations.

3. Incomplete information

be able to make comparisons.

real application.

$$\frac{I\_A + I\_B}{1 - \min\left[\left|I\_A\right|, \left|I\_B\right|\right]} \qquad \text{Otherwise} \tag{c}$$

The method is derived from an expert system algorithm called Emycin [13]. The operations utilize map algebra calculation to integrate two values at a time, i.e., pair-wise calculation, while avoiding the problem of double-counting. The calculations are performed iteratively until all normalized layers are exhausted. As illustrated in Figure 6, the operation calculates the values of two attributes at a time to derive the final score, which is the integration of the values in all attributes. Through fuzzy logic operations, two QOLs (different factor contributing to QOL) can be integrated at a time until all QOLs are exhausted. Iteration 1 integrates QOL1 and QOL2 so that only the overlapping portion of both factors values remains. By taking this portion to integrate with another QOL, QOL3, the final result is the overlapping portion among three factors; QOL1, QOL2, and QOL3.The results can be color-coded as a gradient map of integrated and locale-specific QOL in the range of (-1, +1).

The nicety of the Emycin formula is that:


A word of caution: Both -1 and +1 are "singular" points. In other words, if you come up with a score on the contribution of a factor to be either -1 or +1, then other factors' contributions will not matter anymore. This is not a surprise or unreasonable. Because -1 means absolutely "bad" and +1 means absolutely "good." When you have a factor that determines the quality of life to be absolutely bad, then indeed why bother to waste time to assess other factors?

To this end, one may want to adjust or shift the score from a factor that is somewhat different from the absolute values of -1 or +1 so that the pair-wise calculation may proceed logically. Again, this is not unreasonable as there is hardly anything that one can claim that is absolutely good or bad.

**Figure 6.** Illustration of pair-wise calculations.

#### 3. Incomplete information

98 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 5.** Negative decay graph showing the more negative values as the locales get closer to oil wells.

At any rate, once you have all factors converted and normalized into the scheme of (-1, +1), then the values can be "operated" on to add up their contributions to the overall quality of

> , 0 0 (a) , 0 0 (b)

> > (c)

(5)

life assessment of a city. This is done by applying the following formula:

1 ,

*Score*

QOL in the range of (-1, +1).

The nicety of the Emycin formula is that:

equations that is applicable.

in each iteration. This is called pair-wise calculation.

*A B*

 

*min I I*

 

*A B*

*A B AB A B A B AB A B*

*I I Otherwise*

The method is derived from an expert system algorithm called Emycin [13]. The operations utilize map algebra calculation to integrate two values at a time, i.e., pair-wise calculation, while avoiding the problem of double-counting. The calculations are performed iteratively until all normalized layers are exhausted. As illustrated in Figure 6, the operation calculates the values of two attributes at a time to derive the final score, which is the integration of the values in all attributes. Through fuzzy logic operations, two QOLs (different factor contributing to QOL) can be integrated at a time until all QOLs are exhausted. Iteration 1 integrates QOL1 and QOL2 so that only the overlapping portion of both factors values remains. By taking this portion to integrate with another QOL, QOL3, the final result is the overlapping portion among three factors; QOL1, QOL2, and QOL3.The results can be color-coded as a gradient map of integrated and locale-specific

1. Regardless of the number of factors being used, you always "operate" on two of them

2. Depending on the score values of the two factors, there will be only one of the

*I I I I I and I*

 

*I I I I I and I*

An additional nicety to the above approach is that one can proceed to conduct studies under incomplete information. The condition of incomplete information actually happens quite often in real life. With the kind of flexibility boasted by Emycin, you "add" the contributions from whatever data you are able to get your hand on for a city in determining its quality of life. In the case of comparing multiple cities, you may get this and that for one jurisdiction while not the same categories for all of them. By nature of the conversion, normalization, and pair-wise calculation, you would be able to derive scores on the same scheme and will be able to make comparisons.

With better understanding on the assessment framework, it is time to put such theory into real application.

#### *Step 1: Framing the problem*

The information of interest for this case is the factors contributing to the QOL of a city/community. Relevant questions include:

GIS for Environmental Problem Solving 101

to green. The color-coded QOL maps displayed clearly the patterns of QOL of the City at

To better illustrate this, four QOL factors, QOL1, QOL2, QOL3, and QOL4, were used as an example for the calculation (see Figure 7). The first fuzzy operation employed two QOLs, QOL1 and QOL2, to derive QOL12. The locales within defined proximity to QOL1 were colorcoded in green representing high QOL with the values approaching 1. On the other hand, those in red represented low QOL with the values approaching -1. Next, QOL12 was integrated with QOL3 resulting in QOL123. The last operation was QOL123 and QOL4 as shown in the final integrated map of QOL1234. The map results in the color gradient reflecting more green in the portion where high QOLs overlap (in the middle of the map) while the outer portion becomes more yellow to orange as a result of integrated low QOLs.

At this stage, twenty sample residential addresses were selected and tabulated in a table. By linking this table to the Address Locator tool in ArcGIS, the residential addresses were shown as a point shapefile on the map. To pinpoint the QOL of each selected address,

Map reports of this project were individually created to reflect normalized layer of each factor contributing to QOL. The normalized values (within -1 to 1 range) were shown in the legend to reflect the results from the analysis. The combined layers resulted from Emycin algorithms were exported into a group of combined layer of strictly positive factors, combined layer of strictly negative factors, and combined layer of the combination of positive and negative factors. The report concludes how QOL assessment was made possible with useful applications of GIS. Future development of applications from the QOL assessment such as the

The QOL index illustrated in the above example sheds light on the shape of things to come with SAVEE. First of all, one may acquire the land price and/or real estate information from local authority of a jurisdiction. Using the SAVEE methodology, such information can be converted into the (0, 1) range for services provided by specific environments and ecosystems in an area. Similarly, the QOL index above may also be computed in the same range. Spatial statistical analyses can then be conducted to determine correlation between land prices and QOL. Useful information may be thus generated to pave way for "spatial

The chapter depicts the natures and categories of environmental issues people are facing and how GIS can be deployed to help address them. In the context of environmental problem-solving, the systems approach for applying GIS is presented; and a few practical cases are illustrated. This organization casts a holistic view for readers to gain better

Identify Tool was used to indicate the QOL index associated with such address.

every specific neighborhood and locale.

*Step 7: Generating maps and report* 

linkage to SAVEE framework was also discussed.

acres of an environment or ecosystem".

comprehension of the subject matter.

**4. Concluding remarks** 

	- a. Distance to: hospitals, schools, university, parks, landfill, oil wells, etc.
	- b. Census Data Analysis: racial mix, relative income of a population, and number of children per household

#### *Step 2: Defining the project area*

In the case of the QOL assessment, the project area was the City of College Station, Texas.

#### *Step 3: Identify and acquiring data*

Acquiring data from the City's GIS Department is crucial. From the rich collection of datasets rendered by the City [14], a number of data layers were selected for the ensuing analysis endeavor. They included census data, roads and streets, railroads, parks and green spaces, residence subdivisions, landfills, oil wells, schools, hospitals, flood plains, crime statistics, and many more.

#### *Step 4: Extracting and preparing data*

DEMs for College Station were acquired and converted into raster. This represented the base map of College Station for the following steps. Selecting only the areas pertaining to College Station attribute was also another important preparation step since we were looking at the QOL in College Station and nothing else.

#### *Step 5: Editing spatial data*

Basemap that contains areas beyond College Station were clipped off, and only the College Station boundary was left for the analysis.

#### *Step 6: Geospatial analysis*

Based on the identified QOL factors, proximities to parks, green spaces, schools, hospitals, and some other geographic features were regarded as positive contributing factors. On the other hand, closeness to such factors as landfills, oil wells, railroads, crime occurrences, and flood plains were considered to have negative impacts. The contributions of these factors, positive or negative, were mathematically formulated as distance functions from objects on corresponding data layers. In the ensuing steps, proximity maps encoded with distance functions were generated. The results from each factor layer were then combined with fuzzy logic calculation to form an integrated index between (-1, 1). Any number greater than 0 indicated a good QOL with anything below 0 representing bad index. The index was coded in a color scheme with a gradient from red to green. The color-coded QOL maps displayed clearly the patterns of QOL of the City at every specific neighborhood and locale.

To better illustrate this, four QOL factors, QOL1, QOL2, QOL3, and QOL4, were used as an example for the calculation (see Figure 7). The first fuzzy operation employed two QOLs, QOL1 and QOL2, to derive QOL12. The locales within defined proximity to QOL1 were colorcoded in green representing high QOL with the values approaching 1. On the other hand, those in red represented low QOL with the values approaching -1. Next, QOL12 was integrated with QOL3 resulting in QOL123. The last operation was QOL123 and QOL4 as shown in the final integrated map of QOL1234. The map results in the color gradient reflecting more green in the portion where high QOLs overlap (in the middle of the map) while the outer portion becomes more yellow to orange as a result of integrated low QOLs.

At this stage, twenty sample residential addresses were selected and tabulated in a table. By linking this table to the Address Locator tool in ArcGIS, the residential addresses were shown as a point shapefile on the map. To pinpoint the QOL of each selected address, Identify Tool was used to indicate the QOL index associated with such address.

#### *Step 7: Generating maps and report*

100 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

The information of interest for this case is the factors contributing to the QOL of a

1. What defines a high quality of life?: This depends on who the target audience is: elderly

b. Census Data Analysis: racial mix, relative income of a population, and number of

In the case of the QOL assessment, the project area was the City of College Station,

Acquiring data from the City's GIS Department is crucial. From the rich collection of datasets rendered by the City [14], a number of data layers were selected for the ensuing analysis endeavor. They included census data, roads and streets, railroads, parks and green spaces, residence subdivisions, landfills, oil wells, schools, hospitals, flood plains, crime

DEMs for College Station were acquired and converted into raster. This represented the base map of College Station for the following steps. Selecting only the areas pertaining to College Station attribute was also another important preparation step since we were looking at the

Basemap that contains areas beyond College Station were clipped off, and only the College

Based on the identified QOL factors, proximities to parks, green spaces, schools, hospitals, and some other geographic features were regarded as positive contributing factors. On the other hand, closeness to such factors as landfills, oil wells, railroads, crime occurrences, and flood plains were considered to have negative impacts. The contributions of these factors, positive or negative, were mathematically formulated as distance functions from objects on corresponding data layers. In the ensuing steps, proximity maps encoded with distance functions were generated. The results from each factor layer were then combined with fuzzy logic calculation to form an integrated index between (-1, 1). Any number greater than 0 indicated a good QOL with anything below 0 representing bad index. The index was coded in a color scheme with a gradient from red

a. Distance to: hospitals, schools, university, parks, landfill, oil wells, etc.

*Step 1: Framing the problem* 

city/community. Relevant questions include:

children per household

*Step 2: Defining the project area* 

*Step 3: Identify and acquiring data* 

statistics, and many more.

*Step 5: Editing spatial data* 

*Step 6: Geospatial analysis* 

*Step 4: Extracting and preparing data* 

QOL in College Station and nothing else.

Station boundary was left for the analysis.

Texas.

community, students, or married couples. 2. What factors can contribute to the QOL?:

> Map reports of this project were individually created to reflect normalized layer of each factor contributing to QOL. The normalized values (within -1 to 1 range) were shown in the legend to reflect the results from the analysis. The combined layers resulted from Emycin algorithms were exported into a group of combined layer of strictly positive factors, combined layer of strictly negative factors, and combined layer of the combination of positive and negative factors. The report concludes how QOL assessment was made possible with useful applications of GIS. Future development of applications from the QOL assessment such as the linkage to SAVEE framework was also discussed.

> The QOL index illustrated in the above example sheds light on the shape of things to come with SAVEE. First of all, one may acquire the land price and/or real estate information from local authority of a jurisdiction. Using the SAVEE methodology, such information can be converted into the (0, 1) range for services provided by specific environments and ecosystems in an area. Similarly, the QOL index above may also be computed in the same range. Spatial statistical analyses can then be conducted to determine correlation between land prices and QOL. Useful information may be thus generated to pave way for "spatial acres of an environment or ecosystem".

## **4. Concluding remarks**

The chapter depicts the natures and categories of environmental issues people are facing and how GIS can be deployed to help address them. In the context of environmental problem-solving, the systems approach for applying GIS is presented; and a few practical cases are illustrated. This organization casts a holistic view for readers to gain better comprehension of the subject matter.

GIS for Environmental Problem Solving 103

Problem-Solving." First conceived in the 1990s, the course has gained and maintained its popularity among the student bodies. The learning modules include well-organized stepby-step instructions of applications in ArcGIS presented in this chapter. Being offered online since 2006, this course has proven to be easy yet comprehensive for self-learning,

It is worthwhile mentioning that the approach mentioned above is for a typical GIS project for environment. There is, however, usually one step short. That is asserting monetary values associated with the environment. This issue is emerging as a priority matter in the environmental research community. For example, the monetary losses from the BP Oil Spill in the Gulf of Mexico are yet to be more plausibly determined. Taking on this issue, the authors here at the STARR LAB are developing a new research methodology called Spatial Appraisal and Valuation of Environment and Ecosystems (SAVEE). The aim of this effort is to define "spatial acre" that attaches monetary values to a geographic span of interest.

One main thrust of SAVEE is to cross-reference economic development and ecological sustainability in the framework of Sustainable Development declared in the 1992 Earth Summit and being enhanced continuously ever since. Economic development is tangible and comes with a price tag. It is plausible to assume that the intensity of development of a locale of interest can be reflected in its real estate value, which is generally available. Sampling some locales of their real estate values leads to a price list of real estate values. This price list is then converted into a uniform range between 0 and 1, a well-behaved index representing the intensity of development of locales. On the other hand, ecological sustainability of an area of interest normally does not come with a price tag. However, one may systematically incorporate pertinent ecological services it renders into consideration and develop an index that has the same range of (0, 1). The numbers approaching 1 represent higher sustainability, and the opposites represent lower indices. On the basis of equitability between development and environment, the two index systems may then be mapped. The mapping leads to assigning monetary values associated with development sites to ecological locales with comparable index numbers.

Learning is a life-long process; so are the advances of knowledge and technologies. On the environmental GIS front, asserting monetary values to a system under study has become an imperative. The authors are hopeful that the general framework stipulated in SAVEE shall be advanced to explore this new territory. Only labeling it with dollar signs would make stakeholders appreciate more of our environment of its values. After all, without such dollar values, it is difficult for stakeholders and authorities to understand the magnitude of the environmental problems at hand. It is contended that SAVEE and other similar effort will make a significant contribution to environmental sectors in general and the advancement of GIS.

even among students with no prior GIS background.

**Author details** 

Koushen Douglas Loh and Sasathorn Tapaneeyakul

*Department of Ecosystem Science and Management, Texas A&M University, USA* 

**Figure 7.** Iteration of map algebra to incorporate fuzzy logic to compute contributions of relevant factors to locale-specific QOL in College Station, Texas.

Problem-solving starts with shaping a mental model on to formulate a solution to the issue at hand. Steps of the solution process are then implemented through the use of appropriate data and tools enabled by GIS. Skills and knowledge to facilitate these endeavors can be best advanced by hands-on practices. For this purpose, interested readers may access the full set of documentation of learning modules at http://starr.tamu.edu/gis2012a/. The materials are from a senior course the authors teach at Texas A&M University. It bears the same title as this chapter, "GIS for Environmental Problem-Solving." First conceived in the 1990s, the course has gained and maintained its popularity among the student bodies. The learning modules include well-organized stepby-step instructions of applications in ArcGIS presented in this chapter. Being offered online since 2006, this course has proven to be easy yet comprehensive for self-learning, even among students with no prior GIS background.

It is worthwhile mentioning that the approach mentioned above is for a typical GIS project for environment. There is, however, usually one step short. That is asserting monetary values associated with the environment. This issue is emerging as a priority matter in the environmental research community. For example, the monetary losses from the BP Oil Spill in the Gulf of Mexico are yet to be more plausibly determined. Taking on this issue, the authors here at the STARR LAB are developing a new research methodology called Spatial Appraisal and Valuation of Environment and Ecosystems (SAVEE). The aim of this effort is to define "spatial acre" that attaches monetary values to a geographic span of interest.

One main thrust of SAVEE is to cross-reference economic development and ecological sustainability in the framework of Sustainable Development declared in the 1992 Earth Summit and being enhanced continuously ever since. Economic development is tangible and comes with a price tag. It is plausible to assume that the intensity of development of a locale of interest can be reflected in its real estate value, which is generally available. Sampling some locales of their real estate values leads to a price list of real estate values. This price list is then converted into a uniform range between 0 and 1, a well-behaved index representing the intensity of development of locales. On the other hand, ecological sustainability of an area of interest normally does not come with a price tag. However, one may systematically incorporate pertinent ecological services it renders into consideration and develop an index that has the same range of (0, 1). The numbers approaching 1 represent higher sustainability, and the opposites represent lower indices. On the basis of equitability between development and environment, the two index systems may then be mapped. The mapping leads to assigning monetary values associated with development sites to ecological locales with comparable index numbers.

Learning is a life-long process; so are the advances of knowledge and technologies. On the environmental GIS front, asserting monetary values to a system under study has become an imperative. The authors are hopeful that the general framework stipulated in SAVEE shall be advanced to explore this new territory. Only labeling it with dollar signs would make stakeholders appreciate more of our environment of its values. After all, without such dollar values, it is difficult for stakeholders and authorities to understand the magnitude of the environmental problems at hand. It is contended that SAVEE and other similar effort will make a significant contribution to environmental sectors in general and the advancement of GIS.

## **Author details**

102 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 7.** Iteration of map algebra to incorporate fuzzy logic to compute contributions of relevant

Problem-solving starts with shaping a mental model on to formulate a solution to the issue at hand. Steps of the solution process are then implemented through the use of appropriate data and tools enabled by GIS. Skills and knowledge to facilitate these endeavors can be best advanced by hands-on practices. For this purpose, interested readers may access the full set of documentation of learning modules at http://starr.tamu.edu/gis2012a/. The materials are from a senior course the authors teach at Texas A&M University. It bears the same title as this chapter, "GIS for Environmental

factors to locale-specific QOL in College Station, Texas.

Koushen Douglas Loh and Sasathorn Tapaneeyakul *Department of Ecosystem Science and Management, Texas A&M University, USA* 

## **5. References**

[1] Dueker K.J, Kjerne D (1989) Multipurpose Cadastre: Terms and Definitions. Falls Church: American Society for Photogrammetry and Remote Sensing. 12 p.

**Chapter 5** 

© 2012 Masanet-Llodra, licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Masanet-Llodra, licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**Environmental Management in Businesses:** 

The growing interest in businesses for conducting environmental management makes us to think about the reasons that justify it. A number of studies (Barth & McNichols, 1994; Power, 1997, Shields & Boer, 1997, Walden & Schwatz, 1997 & Vachon & Klassen, 2008) found that environmental management provided a new challenge for businesses due to the introduction of an environmental perspective in managing them in addition to the economical one. Therefore, the question that arises is whether environmental management makes money in businesses or it is just a new social value with non economic effects. Among the potential benefits attributed to environmental management may be distinguished: energy savings, lower cost of compliance with environmental regulations, waste reductions and more efficient processes. These improvements may be associated to improvements in economic performance through competitiveness (Porter, 1990, 1991; Porter & van der Linde, 1995a, 1995b, McGee, 1998 & Wagner, 2008). Such competitiveness would be translated into positive outcomes for organisations, derived from higher turnover through the "green" customers, lower costs caused by compliance with environmental regulations and better resources management and, finally, total quality management

Other studies are concerned about the environmental accountability of companies to society (Cormier & Magnan, 2007 & Clarkson et al., 2008). In this sense, the development of environmental accounting can be crucial in sake of comparability of environmental information. Developing an integrated environmental management system into the company's business strategy is needed to articulate an information system that permeated throughout the business area. Accounting, as an analytical tool for decision, is a prominent part of the articulation of the information system; that can translate into financial terms the

**Does It Make Money?** 

Maria J. Masanet-Llodra

http://dx.doi.org/10.5772/48660

**1. Introduction** 

**An Accounting Perspective** 

Additional information is available at the end of the chapter

covering the life cycle of products from design to disposal.


## **Environmental Management in Businesses: Does It Make Money? An Accounting Perspective**

Maria J. Masanet-Llodra

104 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Church: American Society for Photogrammetry and Remote Sensing. 12 p.

Applications. London: Longman Group UK. Vol. 1, pp. 135–146.

Flood Characteristics and Mortality. Risk anal. j. 29(5): 676-698.

http://atlas.nrcan.gc.ca/auth/english/maps/peopleandsociety/QOL

Foundation; [Date unknown] [cited 2012 April 27]. Available from:

23–30 August 2005. National Hurricane Center.

Institute; 2008 [cited 2012 April 23]. Available from:

Canada; 2009 [cited 2012 April 23]. Available from:

Available from: http://www.sfredevelopment.org/

Project. Reading (MA): Addison-Wesley. pp. 302-313.

Station GIS; 2001 [cited 2012 April 29]. Available from:

http://www.qualityoflifefoundation.org/

http://www.cstx.gov/index.aspx?page=3683

http://atlas.lsu.edu/

[1] Dueker K.J, Kjerne D (1989) Multipurpose Cadastre: Terms and Definitions. Falls

[2] Hein L, Van Koppen K, De Groot R.S, Van Ierland E.C (2006) Spatial Scales, Stakeholders and the Valuation of Ecosystem Services. J Ecol econ. 57(2): 209-228. [3] West Nile Virus Activity in Brazos County [Internet]. College Station (TX): AgriLIFE Extension; Agricultural and Environmental Safety; 2012 [cited 2012 April 21]. Available from: http://www-aes.tamu.edu/public-health-vector-and-mosquito-control/brazoscounty-mosquito-borne-disease-surveillance/west-nile-virus-activity-in-brazos-county/ [4] Maling D.H (1991) Coordinate Systems and Map Projections for GIS. In: Maguire D.J, Goodchild M.F, Rhind D.W, editors. Geographical Information Systems: Principles and

[5] Knabb R.D, Rhome J.R, Brown D.P (2006) Tropical Cyclone Report: Hurricane Katrina:

[6] Jonkman S.N, Maaskant B, Boyd E, Levitan M.L (2009) Loss of Life Caused by the Flooding of New Orleans after Hurricane Katrina: Analysis of the Relationship between

[7] Atlas: The Louisiana Statewide GIS [Internet]. Baton Rouge (LA): Louisiana State University CADGIS Research Laboratory; 2009 [cited 2012 April 23]. Available from:

[8] ArcGIS Desktop 9.3 Help [Internet]. Redland (CA): Environmental Systems Research

http://webhelp.esri.com/arcgisdesktop/9.3/index.cfm?TopicName=Sample\_VBA\_code [9] Atlas of Canada Quality of Life [Internet]. [Place unknown]: National Resources

[10] The 2011 Utah Foundation Quality of Life Index: First Biennial Survey Reveals Strengths, Weaknesses [Internet]. Salt Lake City (UT): Utah Foundation; 2011[cited 2012

[12] The Quality of Life Foundation [Internet]. San Francisco: The Quality of Life

[13] van Melle W, Shortliffe E.H, Buchanan B.G (1984) EMYCIN: A Knowledge Engineer's Tool for Constructing Rule-Based Expert Systems. In: Shortliffe, E.H., editor. Rule-Based Expert Systems: The MYCIN Experiments of the Stanford Heuristic Programming

[14] GIS – Geographic Information Services [Internet]. College Station (TX): City of College

April 27]. Available from: http://www.utahfoundation.org/img/pdfs/rr703.pdf [11] City and County of San Francisco as Successor to the Redevelopment Agency [Internet]. San Francisco: San Francisco Redevelopment Agency; 2012 [cited 2012 April 27].

**5. References** 

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/48660

## **1. Introduction**

The growing interest in businesses for conducting environmental management makes us to think about the reasons that justify it. A number of studies (Barth & McNichols, 1994; Power, 1997, Shields & Boer, 1997, Walden & Schwatz, 1997 & Vachon & Klassen, 2008) found that environmental management provided a new challenge for businesses due to the introduction of an environmental perspective in managing them in addition to the economical one. Therefore, the question that arises is whether environmental management makes money in businesses or it is just a new social value with non economic effects. Among the potential benefits attributed to environmental management may be distinguished: energy savings, lower cost of compliance with environmental regulations, waste reductions and more efficient processes. These improvements may be associated to improvements in economic performance through competitiveness (Porter, 1990, 1991; Porter & van der Linde, 1995a, 1995b, McGee, 1998 & Wagner, 2008). Such competitiveness would be translated into positive outcomes for organisations, derived from higher turnover through the "green" customers, lower costs caused by compliance with environmental regulations and better resources management and, finally, total quality management covering the life cycle of products from design to disposal.

Other studies are concerned about the environmental accountability of companies to society (Cormier & Magnan, 2007 & Clarkson et al., 2008). In this sense, the development of environmental accounting can be crucial in sake of comparability of environmental information. Developing an integrated environmental management system into the company's business strategy is needed to articulate an information system that permeated throughout the business area. Accounting, as an analytical tool for decision, is a prominent part of the articulation of the information system; that can translate into financial terms the

© 2012 Masanet-Llodra, licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Masanet-Llodra, licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

different business activities (Gray & Bebbington, 2001; Larrinaga-Gonzalez & Bebbington, 2001, Burnett & Hansen, 2007, Vargas et al., 2010 & Gray 2010). Moreover, the accounting system could be employed to seek out, identify and exploit financial savings in resources usage, waste and emissions that would necessarily lead to reductions in the companies' impacts (Ditz et al., 1995, Epstein, 1996, Bennett & James, 1997a, b, Curkovic et al, 2006, Curkovic & Sroufe, 2007, Curkovic et al., 2008 & Abelda, 2011).

Environmental Management in Businesses: Does It Make Money? An Accounting Perspective 107

3. Available funds hypothesis: High (low) levels of financial performance lead to high

4. Management opportunism hypothesis: High (low) levels of financial performance lead

5. Positive synergy hypothesis: There is a positive synergy between financial performance

6. Negative synergy hypothesis: There is a negative synergy between financial

On the other hand, Ullmann (1985) arguments that it is necessary to consider the strategic position of the company towards social demands, because the models should include elements to express the nature of the relationship between environmental performance and financial performance. In this regard, Berman et al. (1999) distinguish three models on the

1. The direct effects model: The relationship between the stakeholder and the company

2. The moderation model: The company strategy has a direct effect on financial performance, but moderated by the relationships established between the stakeholders. 3. The stakeholder intrinsic commitment model: The company takes on an intrinsic commitment to the various stakeholders, such that the interests of the stakeholders

The main objective of our analysis is to understand the development and implementation of environmental management through a particular business sector: the tiles sector in Spain, which is considered as one with high environmental impacts in the United Nations' list and besides, it represents a very dynamic and innovative sector that may suppose flexibility in

Through three studies carried out over time we were analyzing the above-mentioned sector. This type of analysis allowed us to use the findings of each study as a starting point for the realization of the following study; getting feedback from them. Each of the studies has been used a different methodology: the first has resorted to an exploratory-descriptive survey, the

From a survey about the tiles sector in Spain in 1998 an initial diagnosis was established (Masanet-Llodra, 1999). This diagnosis revealed that only a very poor minority of firms were concerned about establishing environmental management systems, although the majority of them proclaimed their environmental awareness. As further studies were required, in 2001 a case study research was undertaken (Masanet-Llodra, 2006). The findings showed the adoption of the most obvious and sensible environmental improvements, which have low costs, together with investments in the most innovative technologies on the market for obtaining competitive advantages that go beyond business image. At present, we carry out an analysis of the relationship between corporate social responsibility (CSR) and financial performance (Masanet-Llodra et al., forthcoming) by using factor analysis for obtaining CSR

second to a case study research and the third to factor analysis and correlations.

strategy has a direct and separate effect on financial performance.

make up the basis of the strategic decision-making process.

order to introduce environmental management.

(low) levels of environmental performance.

and environmental performance.

stakeholder theory:

to low (high) levels of environmental performance.

performance and environmental performance.

From different empirical studies is concluded that there is an ambiguous relationship between environmental performance and financial performance (Shane & Spicer, 1983; Aupperle et al., 1985 & Alexander & Buchholz, 1987). Even though there is a positive correlation among them (Wokutch & Spencer, 1987 & McGuire et al., 1988) it is not known if a stronger financial performance only implies that there are more resources to spend on environmental performance as argued by available funds theory (McGuire et al., 1988, 1990) or if an improvement in environmental performance really improves financial results as advocated by good management theory (Freeman, 1984).

The defenders of stakeholder theory argue that the existence of environmental performance is a requirement for the legitimacy of companies in their environment and that environmental and financial performance tends to be positively associated over time (Freeman, 1984 & Suchman, 1995). Critics of this theory maintain that if managers attend to interests other than those of their investors, there is a breach of their confidence which will harm the wellbeing of shareholders (Friedman, 1962).

The stakeholder theory establishes that companies act in an environmental responsible way for legitimacy with their stakeholders, which means that companies are more concerned about designing of policies and objectives than about achieving results. Therefore, the perceptions of organisations regarding their environmental management are much more optimistic than the achieved results would allow. In accordance to this theory, Moore & Robson (2002) obtained from their study that companies found easier and less costly to design environmental policies and objectives than to implement environmental management that would enable them to achieve and check their results.

Furthermore, other researchers considered the importance of environmental disclosures as a tool of legitimacy of the performances of the companies with their environment according to the tenets of Mouck (1995), Taylor et al. (2001) and Cho & Pattern (2007).

Preston & O'Bannon (1997) distinguished two different approaches to the relationship between environmental performance and financial performance. The first approach is based on the direction of the relationship (positive or negative) while the second one is based on causality (which one leads to the other) and the synergies between them. From these approaches they established 6 hypotheses in their typology:


3. Available funds hypothesis: High (low) levels of financial performance lead to high (low) levels of environmental performance.

106 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Curkovic & Sroufe, 2007, Curkovic et al., 2008 & Abelda, 2011).

advocated by good management theory (Freeman, 1984).

harm the wellbeing of shareholders (Friedman, 1962).

management that would enable them to achieve and check their results.

the tenets of Mouck (1995), Taylor et al. (2001) and Cho & Pattern (2007).

approaches they established 6 hypotheses in their typology:

(low) levels of financial performance.

(high) levels of financial performance.

different business activities (Gray & Bebbington, 2001; Larrinaga-Gonzalez & Bebbington, 2001, Burnett & Hansen, 2007, Vargas et al., 2010 & Gray 2010). Moreover, the accounting system could be employed to seek out, identify and exploit financial savings in resources usage, waste and emissions that would necessarily lead to reductions in the companies' impacts (Ditz et al., 1995, Epstein, 1996, Bennett & James, 1997a, b, Curkovic et al, 2006,

From different empirical studies is concluded that there is an ambiguous relationship between environmental performance and financial performance (Shane & Spicer, 1983; Aupperle et al., 1985 & Alexander & Buchholz, 1987). Even though there is a positive correlation among them (Wokutch & Spencer, 1987 & McGuire et al., 1988) it is not known if a stronger financial performance only implies that there are more resources to spend on environmental performance as argued by available funds theory (McGuire et al., 1988, 1990) or if an improvement in environmental performance really improves financial results as

The defenders of stakeholder theory argue that the existence of environmental performance is a requirement for the legitimacy of companies in their environment and that environmental and financial performance tends to be positively associated over time (Freeman, 1984 & Suchman, 1995). Critics of this theory maintain that if managers attend to interests other than those of their investors, there is a breach of their confidence which will

The stakeholder theory establishes that companies act in an environmental responsible way for legitimacy with their stakeholders, which means that companies are more concerned about designing of policies and objectives than about achieving results. Therefore, the perceptions of organisations regarding their environmental management are much more optimistic than the achieved results would allow. In accordance to this theory, Moore & Robson (2002) obtained from their study that companies found easier and less costly to design environmental policies and objectives than to implement environmental

Furthermore, other researchers considered the importance of environmental disclosures as a tool of legitimacy of the performances of the companies with their environment according to

Preston & O'Bannon (1997) distinguished two different approaches to the relationship between environmental performance and financial performance. The first approach is based on the direction of the relationship (positive or negative) while the second one is based on causality (which one leads to the other) and the synergies between them. From these

1. Social impact hypothesis: High (low) levels of environmental performance lead to high

2. Trade-off hypothesis: High (low) levels of environmental performance lead to low


On the other hand, Ullmann (1985) arguments that it is necessary to consider the strategic position of the company towards social demands, because the models should include elements to express the nature of the relationship between environmental performance and financial performance. In this regard, Berman et al. (1999) distinguish three models on the stakeholder theory:


The main objective of our analysis is to understand the development and implementation of environmental management through a particular business sector: the tiles sector in Spain, which is considered as one with high environmental impacts in the United Nations' list and besides, it represents a very dynamic and innovative sector that may suppose flexibility in order to introduce environmental management.

Through three studies carried out over time we were analyzing the above-mentioned sector. This type of analysis allowed us to use the findings of each study as a starting point for the realization of the following study; getting feedback from them. Each of the studies has been used a different methodology: the first has resorted to an exploratory-descriptive survey, the second to a case study research and the third to factor analysis and correlations.

From a survey about the tiles sector in Spain in 1998 an initial diagnosis was established (Masanet-Llodra, 1999). This diagnosis revealed that only a very poor minority of firms were concerned about establishing environmental management systems, although the majority of them proclaimed their environmental awareness. As further studies were required, in 2001 a case study research was undertaken (Masanet-Llodra, 2006). The findings showed the adoption of the most obvious and sensible environmental improvements, which have low costs, together with investments in the most innovative technologies on the market for obtaining competitive advantages that go beyond business image. At present, we carry out an analysis of the relationship between corporate social responsibility (CSR) and financial performance (Masanet-Llodra et al., forthcoming) by using factor analysis for obtaining CSR indicators- environmental management included- in order to look for correlations among those and the financial ones. The obtained results indicate that there is a positive correlation between the CSR self-evaluation and the CSR actions directed to their stakeholders. Not all the CSR indicators have effect on the financial profitability of companies, but direct stakeholders and compliance checks have a positive correlation with return on equity and the debt ratio, which provides evidences of the available funds theory.

Environmental Management in Businesses: Does It Make Money? An Accounting Perspective 109

Oportunity 14.8%

> No responses 11.1%

Indifferent 18.5%

> Yes 66.7%

The responses showed that the percentage of firms that established environmental policies

The majority of firms had established their environmental police in an informal way, but 40% of them had done it in a formal one, so the level of the formality was not so far from the sample mean (figure 3). However, such formality was not reflected in the accounting

**Figure 1.** Environmental relationship

**Figure 2.** Environmental policies

statements (figure 4).

**Figure 3.** Level of formality

**2.2. Establishment of environmental policies** 

Not 33.3%

Threat 55.6%

was superior to the firms that did not (figure 2).

All of the three studies corroborate the legitimacy theory, since the perception of firms was much more optimistic than the achieved results would allow.

In the following sections we are going to present the tree studies and their findings as well as the conclusions and implications for future research.

## **2. Initial diagnosis**

The initial diagnosis was carried out by a survey for the whole population -265 companiesof the analysed sector. It had been used an exploratory-descriptive methodology due to there were no previous studies –at that moment- in the tiles sector in Spain related to environmental systems and accounting. This survey was undertaken through a semistructured questionnaire with 31 items. Previously to design our questionnaire we made a pilot survey with 8 companies randomly selected in order to avoid differences between academic and managerial language.

The survey was made along 1998, and although different efforts -e-mails, telephone-calls, revisiting three or four times- were done to assure the response, the percentage of it was 10.18%. This percentage cannot be representative for inference studies but it did not differ from other similar surveys carried out in Spain. Nevertheless, after analysing our sample it resulted representative of the population regarding to all the analysed categories -size, subactivity, ways of production, types of management, financial composition, volume of exports, hierarchical organization of the countries to which it is exported, potentially sensitive investments, distribution of the resources for training and respondent position.

From the survey it was obtained an initial diagnosis of the analysed sector from different items.

## **2.1. Relationship between firms and environment**

There were around 20% of firms that considered environment had no relationship with their business. Such percentage even overcame the number of firms that observed environment as an opportunity. This fact together with the high level of no responses reasserted that most of firms saw environment as a threat (figure 1).

However, the majority of firms were aware that they interacted with their environment, what it was very important because the identification of a problem is previous to its solution.

**Figure 1.** Environmental relationship

the debt ratio, which provides evidences of the available funds theory.

much more optimistic than the achieved results would allow.

as the conclusions and implications for future research.

**2.1. Relationship between firms and environment** 

firms saw environment as a threat (figure 1).

**2. Initial diagnosis** 

items.

solution.

academic and managerial language.

indicators- environmental management included- in order to look for correlations among those and the financial ones. The obtained results indicate that there is a positive correlation between the CSR self-evaluation and the CSR actions directed to their stakeholders. Not all the CSR indicators have effect on the financial profitability of companies, but direct stakeholders and compliance checks have a positive correlation with return on equity and

All of the three studies corroborate the legitimacy theory, since the perception of firms was

In the following sections we are going to present the tree studies and their findings as well

The initial diagnosis was carried out by a survey for the whole population -265 companiesof the analysed sector. It had been used an exploratory-descriptive methodology due to there were no previous studies –at that moment- in the tiles sector in Spain related to environmental systems and accounting. This survey was undertaken through a semistructured questionnaire with 31 items. Previously to design our questionnaire we made a pilot survey with 8 companies randomly selected in order to avoid differences between

The survey was made along 1998, and although different efforts -e-mails, telephone-calls, revisiting three or four times- were done to assure the response, the percentage of it was 10.18%. This percentage cannot be representative for inference studies but it did not differ from other similar surveys carried out in Spain. Nevertheless, after analysing our sample it resulted representative of the population regarding to all the analysed categories -size, subactivity, ways of production, types of management, financial composition, volume of exports, hierarchical organization of the countries to which it is exported, potentially sensitive investments, distribution of the resources for training and respondent position.

From the survey it was obtained an initial diagnosis of the analysed sector from different

There were around 20% of firms that considered environment had no relationship with their business. Such percentage even overcame the number of firms that observed environment as an opportunity. This fact together with the high level of no responses reasserted that most of

However, the majority of firms were aware that they interacted with their environment, what it was very important because the identification of a problem is previous to its

## **2.2. Establishment of environmental policies**

The responses showed that the percentage of firms that established environmental policies was superior to the firms that did not (figure 2).

**Figure 2.** Environmental policies

The majority of firms had established their environmental police in an informal way, but 40% of them had done it in a formal one, so the level of the formality was not so far from the sample mean (figure 3). However, such formality was not reflected in the accounting statements (figure 4).

**Figure 3.** Level of formality

Environmental Management in Businesses: Does It Make Money? An Accounting Perspective 111

Yes 59.3%

**Figure 5.** Knowledge of EC regulation 1836/93

Not 40.7%

**Figure 6.** Convenience of adoption

**Figure 7.** Level of adoption

strategies (figure 8).

**2.5. Determination of environmental objectives in management strategy** 

there were a higher percentage of those that did it in a formal way (figure 9).

About 50% of companies established environmental objectives in their management

Related to the elaboration of environmental balance-sheets of energy, raw materials... to compile the obtained results, there were around 30% of companies that did not compile environmental results. While among those companies that compiled environmental results

#### **Figure 4.** Accounting reflection

The previous hypothesis was that the level of formality of environmental policies should be correlated to the accounting statements reflection, but after calculating Pearson coefficient of correlation such evidence was not found (r = 0.1889, p-value = 0.519).

## **2.3. Knowledge of environmental management standards and adoption level**

Although the huge majority knew the environmental management standards, only a small percentage had adopted them in their companies (table 1).


**Table 1.** Knowledge and adoption of ISO 14001 (ISO, 1996)

There were a very small percentage of companies that were about obtaining ISO 14001, so the total percentage of adoption did not correspond to 100%.

## **2.4. Knowledge of European Community regulation, importance and adoption level**

There were a very high percentage of companies that did not know the European Community regulation 1836/93 (European Communities, 1993) about voluntary membership in an environmental management and audit system. Nevertheless, the huge majority of companies knew about it (figure 5).

Although 59.3% of companies knew the EC regulation, only 37% considered convenient to adopt it (figure 6) and no one had been adopt it at that moment (figure 7).

**Figure 5.** Knowledge of EC regulation 1836/93

The previous hypothesis was that the level of formality of environmental policies should be correlated to the accounting statements reflection, but after calculating Pearson coefficient of

**2.3. Knowledge of environmental management standards and adoption level** 

Although the huge majority knew the environmental management standards, only a small

Responses Knowledge ISO 14001 Adoption ISO 14001

Yes 74.1 % 11.1% Not 25.9% 85.2%

There were a very small percentage of companies that were about obtaining ISO 14001, so

**2.4. Knowledge of European Community regulation, importance and adoption** 

There were a very high percentage of companies that did not know the European Community regulation 1836/93 (European Communities, 1993) about voluntary membership in an environmental management and audit system. Nevertheless, the huge majority of companies

Although 59.3% of companies knew the EC regulation, only 37% considered convenient to

adopt it (figure 6) and no one had been adopt it at that moment (figure 7).

correlation such evidence was not found (r = 0.1889, p-value = 0.519).

percentage had adopted them in their companies (table 1).

**Table 1.** Knowledge and adoption of ISO 14001 (ISO, 1996)

the total percentage of adoption did not correspond to 100%.

**Figure 4.** Accounting reflection

**level** 

knew about it (figure 5).

**Figure 6.** Convenience of adoption

**Figure 7.** Level of adoption

## **2.5. Determination of environmental objectives in management strategy**

About 50% of companies established environmental objectives in their management strategies (figure 8).

Related to the elaboration of environmental balance-sheets of energy, raw materials... to compile the obtained results, there were around 30% of companies that did not compile environmental results. While among those companies that compiled environmental results there were a higher percentage of those that did it in a formal way (figure 9).

Environmental Management in Businesses: Does It Make Money? An Accounting Perspective 113

Indifferent (3)

Disagree (2)

Very disagree (1)

Mode

**2.6. Identification of conditions of environmental improvement** 

Very agree (5)

firms.

Conditions of environmental improvement

**Table 2.** Conditions of environmental improvement

**2.7. Assumption of environmental costs** 

**Figure 11.** Assumption of environmental costs

In table 2 are compiled the conditions of environmental improvements mentioned by the

Legislation pressure 11 13 1 1 1 4 Source control 4 12 8 1 1 4 "Green" energies 3 12 7 2 1 4 Organizational culture 7 12 7 4

Subsidies 9 8 7 2 4 **Business association 2 8 9 6 3**  Tax incentives 11 10 3 2 5 Export requirements 2 9 6 3 4

In order to identify the conditions of environmental improvement the companies showed to be indifferent to business association, while they considered as important higher source control, use of "green" energies, change in organizational culture, subsidies and higher export requirements. However, they stressed tax incentives and an increase of legislation pressure as the necessary conditions for environmental improvement. In conclusion the companies identified a combination of passive and actives techniques for achieving

environmental improvement, although giving greater weight to the first.

Not 11.1%

The huge majority of companies expressed to incur in environmental costs (figure 11).

Yes 88.9%

Agree (4)

**Figure 8.** Environmental objectives

**Figure 9.** Environmental Balance-Sheets

**Figure 10.** Comparison of objectives and results

However, more than a half of companies did not realise any comparison between environmental objectives and results (figure 10). Jointly with the level of no responses could be explained, in best cases, by the incipient development of environmental awareness so they were in the phase of introducing strategies and far away from controlling results. And in worst cases, such incongruities could be a symptom of an environmental marketing strategy.

## **2.6. Identification of conditions of environmental improvement**


In table 2 are compiled the conditions of environmental improvements mentioned by the firms.

**Table 2.** Conditions of environmental improvement

112 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Yes 48.1%

**Figure 8.** Environmental objectives

Not 51.9%

**Figure 9.** Environmental Balance-Sheets

**Figure 10.** Comparison of objectives and results

strategy.

However, more than a half of companies did not realise any comparison between environmental objectives and results (figure 10). Jointly with the level of no responses could be explained, in best cases, by the incipient development of environmental awareness so they were in the phase of introducing strategies and far away from controlling results. And in worst cases, such incongruities could be a symptom of an environmental marketing In order to identify the conditions of environmental improvement the companies showed to be indifferent to business association, while they considered as important higher source control, use of "green" energies, change in organizational culture, subsidies and higher export requirements. However, they stressed tax incentives and an increase of legislation pressure as the necessary conditions for environmental improvement. In conclusion the companies identified a combination of passive and actives techniques for achieving environmental improvement, although giving greater weight to the first.

## **2.7. Assumption of environmental costs**

The huge majority of companies expressed to incur in environmental costs (figure 11).

**Figure 11.** Assumption of environmental costs

## **2.8. Typology of environmental costs**

There were a minority of firms that considered their environmental cost as only restorative, while the restorative and preventive attitude jointly was scarcely higher than the only preventive (figure 12).

Environmental Management in Businesses: Does It Make Money? An Accounting Perspective 115

Expenses 33.3%

> Investments 3.7%

> > Yes 55.6%

discharges and emissions as well as treatment of waste as preventive costs while it classified as restorative costs repair of damage and payment of fines and penalties. In short, it would be the difference between the academic "ex-ante" and the business "ex-post". Academically is considered as preventive any action to that business activity will not produce environmental impacts, while professionally once has been the activity seeks to control and

Environmental costs were considered by the majority of firms according to their nature as expenses or investments. There were about one-third of companies that always considered them as expenses in period and a non-significant minority who considered them always as

> No responses 3.7%

More than a-half of companies took in account environmental information in decision-

making, although the negative percentage of responses was very high (figure 14).

No responses 3.7%

**2.9. Accounting consideration of environmental costs** 

**Figure 13.** Accounting consideration of environmental costs

According to their nature 59.3%

**Figure 14.** Environmental information in decision-making

Not 40.7%

**2.10. Environmental information in decision-making** 

mitigate its impact.

investment (figure 13).

**Figure 12.** Typology of environmental costs

In order to check the congruity in companies' responses they were asked about the origin of their environmental costs (table 3).


**Table 3.** Origin of environmental costs

The origin of environmental costs were mainly attributed to treatment of waste and control of discharges and emissions, so the restorative typology had greater weight of what companies were aware. This situation could be explained by the differences between business and academic language. Thus, the business language considered control of

<sup>1</sup> Environmental Management System

discharges and emissions as well as treatment of waste as preventive costs while it classified as restorative costs repair of damage and payment of fines and penalties. In short, it would be the difference between the academic "ex-ante" and the business "ex-post". Academically is considered as preventive any action to that business activity will not produce environmental impacts, while professionally once has been the activity seeks to control and mitigate its impact.

## **2.9. Accounting consideration of environmental costs**

114 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

There were a minority of firms that considered their environmental cost as only restorative, while the restorative and preventive attitude jointly was scarcely higher than the only

In order to check the congruity in companies' responses they were asked about the origin of

"Green" technologies 5 5 3 3 5 1,4,5 Redesign of processes 2 5 5 5 3 2,3,4 Ecological products 2 8 6 5 3 Environmental taxes 1 4 8 6 2 3 Treatment of waste 14 8 1 5

**and emissions 8 14 2 4**  Fines and penalties 1 2 4 13 1 Repair of damage 1 1 2 7 9 1 Implementation of EMS1 1 4

The origin of environmental costs were mainly attributed to treatment of waste and control of discharges and emissions, so the restorative typology had greater weight of what companies were aware. This situation could be explained by the differences between business and academic language. Thus, the business language considered control of

Indifferent (3)

Disagree (2)

Preventive 33.4%

Restorative 18.5%

> Very disagree (1)

Mode

Agree (4)

Very agree (5)

No responses 11.1%

**2.8. Typology of environmental costs** 

**Figure 12.** Typology of environmental costs

Both 37.0%

their environmental costs (table 3).

Origin of environmental costs

**Control of discharges** 

**Table 3.** Origin of environmental costs

1 Environmental Management System

preventive (figure 12).

Environmental costs were considered by the majority of firms according to their nature as expenses or investments. There were about one-third of companies that always considered them as expenses in period and a non-significant minority who considered them always as investment (figure 13).

**Figure 13.** Accounting consideration of environmental costs

## **2.10. Environmental information in decision-making**

More than a-half of companies took in account environmental information in decisionmaking, although the negative percentage of responses was very high (figure 14).

**Figure 14.** Environmental information in decision-making

## **2.11. Recognition of environmental responsibilities**

The vast majority of companies replied to recognise environmental responsibilities (figure 15). In table 4 the causes of recognition of environmental responsibilities were analysed. The main reason for recognising environmental responsibilities was the compliance with legal regulations, although their environmental commitment and the image to their consumers were also argued causes.

Environmental Management in Businesses: Does It Make Money? An Accounting Perspective 117

Yes 18.5%

A non-significant percentage had contracted environmental coverage, whereas the wide

Yes 7.4%

Not 81.5%

In table 5 are listed the different documents that companies used to publish environmental information. The documents used to publish environmental information were mainly management report and environmental special reports. Notes was the other most frequently

The causes argued for publishing environmental publication are described in table 6. The companies recognised as potential users of environmental information detailed in table 7. The potential users of environmental information recognised by companies were top management, non-governmental organization, public administrations, shareholders and executives of companies. They did not identify as potential users consumers, workers and public in general, which could be explained by the fact that those companies sell to

majority of companies did not have them established (figure 17).

No responses 11.1%

Not 81.5%

**Figure 16.** Environmental provisions

**2.13. Environmental coverage** 

**Figure 17.** Environmental coverage

**2.14. Environmental publication** 

used, followed by the balance sheet document.

middlemen vendors and not to the final consumer.

**Figure 15.** Recognition of environmental responsibilities



## **2.12. Environmental provisions**

The majority of respondents did not realise environmental provisions in their accounts (figure 16).

**Figure 16.** Environmental provisions

The vast majority of companies replied to recognise environmental responsibilities (figure 15). In table 4 the causes of recognition of environmental responsibilities were analysed. The main reason for recognising environmental responsibilities was the compliance with legal regulations, although their environmental commitment and the image to their consumers

**2.11. Recognition of environmental responsibilities** 

Not 14.8%

No responses 3.7%

**Figure 15.** Recognition of environmental responsibilities

**Table 4.** Causes of recognition of environmental responsibilities

Very agree (5)

Agree (4)

Legal imposition 13 8 1 5 Image to shareholders 2 7 9 1 2 3 **Image to consumers 5 9 6 1 4** 

commitment 9 9 3 1 4 y 5

Accountability 1 5 9 2 1 3 Cost management 1 7 10 1 1 3

The majority of respondents did not realise environmental provisions in their accounts

Indifferent (3)

Disagree (2)

Yes 81.5%

1 8 4 7 3

Very disagree (1)

Mode

Causes of recognition of environmental responsibilities

Environmental

Environmental groups' pressure

(figure 16).

**2.12. Environmental provisions** 

were also argued causes.

## **2.13. Environmental coverage**

A non-significant percentage had contracted environmental coverage, whereas the wide majority of companies did not have them established (figure 17).

**Figure 17.** Environmental coverage

## **2.14. Environmental publication**

In table 5 are listed the different documents that companies used to publish environmental information. The documents used to publish environmental information were mainly management report and environmental special reports. Notes was the other most frequently used, followed by the balance sheet document.

The causes argued for publishing environmental publication are described in table 6. The companies recognised as potential users of environmental information detailed in table 7. The potential users of environmental information recognised by companies were top management, non-governmental organization, public administrations, shareholders and executives of companies. They did not identify as potential users consumers, workers and public in general, which could be explained by the fact that those companies sell to middlemen vendors and not to the final consumer.


Environmental Management in Businesses: Does It Make Money? An Accounting Perspective 119

The environmental management was scarcely implemented and needed to be stimulated so that environmental concerns did not degenerate into a mere accumulation of good purposes. Thus, environmental management systems were rarely taken despite the wide said knowledge of the regulations relating to the environmental management. Unfortunately, the situation was not manifested a tendency to change in the near future, if not provided

The companies considered that environmental variables represent a threat to the development of their activity, which is why established corporate environmental policies in

Nevertheless, the previous hypothesis was that the level of formality of environmental policies should be correlated to the accounting statements reflection, but after calculating Pearson coefficient of correlation such evidence was not found. This result may be due to the conception of what companies meant accounting, reducing its size to a mere

The development of environmental accounting was subject to compliance with legal requirements and to its use as a powerful weapon of business marketing; that in the majority of cases it came to draw up environmental information in an arbitrary manner, avoiding any kind of immediate relations that could set up such as the comparison between obtained results and environmental pursued objectives. In short, environmental accounting was being used as an instrument of legitimacy of the performances of the companies in their environment according to the tenets of Mouck (1995), Taylor et al., (2001) & Cho & Pattern

Companies recognised environmental responsibilities, which, however, did not seem to have had reflected in environmental provisioning, nor in the employ of another type of coverage by environmental risks. This was due, primarily, to that in a large number of cases the environmental concern was only conceived as a responsibility that attempted, largely, to

The inconsistencies expressed between explicit attitudes and actual actions on environmental issues would put revealed differences between the academic and business language. Thus, from the academic perspective the environmental commitment was conceived as a preventive measure while from a business perspective the majority approach

The publication of environmental information was performed, mainly in the management report and the environmental special reports, especially with the aim of improving business image and management as well as for reasons of social responsibility. However, companies not identified as stakeholders in such information to consumers, workers and public in general; which can be explained by the fact that these companies sell to intermediaries and

their strategy, generally informal and without perception of accounting reflection.

appropriate tax incentives and an increasing legislation pressure.

**2.15. Findings of initial diagnosis** 

bookkeeping technique.

pass on to third parties.

is the restorative.

not to the final consumer.

(2007).

**Table 5.** Environmental publication documents


**Table 6.** Causes of environmental publication


**Table 7.** Potential users of environmental information

## **2.15. Findings of initial diagnosis**

118 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Table 5.** Environmental publication documents

Very agree (5)

Very agree (5)

Causes of environmental publication

Administration

Parent company

Improving business

Prior to enforcement

Potential users of environmental information

Non-governmental

**Table 6.** Causes of environmental publication

**Table 7.** Potential users of environmental information

Documents Yes Not Balance sheet 14.8% 85.2% Profit and loss account 7.4% 92.6% **Notes 22.2% 77.8%**  Management report 25.9% 74.1% General report of society 7.4% 92.6% Letter from the president 100% Additional information 3.7% 96.3% Environmental special reports 25.9% 74.1%

> Agree (4)

requirements 4 2 6 1 3 3

requirements 1 2 2 8 1

image 3 5 4 1 2 4

regulations 1 8 2 4 3

Increase of market share 2 5 4 3 3 Social responsibility 2 6 5 2 4 Improving management 4 5 4 1 1 4 Environmental awareness 1 5

> Agree (4)

Top management 7 10 2 1 4 Shareholders 3 10 2 2 2 4 Executives 2 9 6 2 4 Public administrations 6 8 5 2 4

organizations 8 5 5 2 1 5 Consumers 3 4 10 3 1 3 Workers 2 6 9 3 3 Public in general 2 4 6 6 2 2 y 3

Indifferent (3)

Indifferent (3)

Disagree (2)

Disagree (2)

Very disagree (1)

Very disagree (1)

Mode

Mode

The environmental management was scarcely implemented and needed to be stimulated so that environmental concerns did not degenerate into a mere accumulation of good purposes. Thus, environmental management systems were rarely taken despite the wide said knowledge of the regulations relating to the environmental management. Unfortunately, the situation was not manifested a tendency to change in the near future, if not provided appropriate tax incentives and an increasing legislation pressure.

The companies considered that environmental variables represent a threat to the development of their activity, which is why established corporate environmental policies in their strategy, generally informal and without perception of accounting reflection.

Nevertheless, the previous hypothesis was that the level of formality of environmental policies should be correlated to the accounting statements reflection, but after calculating Pearson coefficient of correlation such evidence was not found. This result may be due to the conception of what companies meant accounting, reducing its size to a mere bookkeeping technique.

The development of environmental accounting was subject to compliance with legal requirements and to its use as a powerful weapon of business marketing; that in the majority of cases it came to draw up environmental information in an arbitrary manner, avoiding any kind of immediate relations that could set up such as the comparison between obtained results and environmental pursued objectives. In short, environmental accounting was being used as an instrument of legitimacy of the performances of the companies in their environment according to the tenets of Mouck (1995), Taylor et al., (2001) & Cho & Pattern (2007).

Companies recognised environmental responsibilities, which, however, did not seem to have had reflected in environmental provisioning, nor in the employ of another type of coverage by environmental risks. This was due, primarily, to that in a large number of cases the environmental concern was only conceived as a responsibility that attempted, largely, to pass on to third parties.

The inconsistencies expressed between explicit attitudes and actual actions on environmental issues would put revealed differences between the academic and business language. Thus, from the academic perspective the environmental commitment was conceived as a preventive measure while from a business perspective the majority approach is the restorative.

The publication of environmental information was performed, mainly in the management report and the environmental special reports, especially with the aim of improving business image and management as well as for reasons of social responsibility. However, companies not identified as stakeholders in such information to consumers, workers and public in general; which can be explained by the fact that these companies sell to intermediaries and not to the final consumer.

## **3. Case study research**

The perceived incongruities in the initial diagnosis revealed that firms assumed to be highly environmental committed while from facts this commitment was not so high proved. So, it was necessary to introduce case study research methodology to clarify and understand the reasons of these inconsistencies.

Environmental Management in Businesses: Does It Make Money? An Accounting Perspective 121

 Case study questions. The questions were designed by adapting the questionnaire of our previous survey to its obtained conclusions and also, they were redefined for

 Field procedures. Of the six sources recognised for evidence compilation, the following five were mainly used: direct observation, participant observation, documents, archives and interviews. Besides, physical evidence was used for recognising the operativeness

 Compilation of information. This research was conducted over a 7-month period from March to September 2001 and the information was compiled via on-site visits, as well as

 Guide for case study report. During the process the firm had full information about its development and the different topics to be discussed in any of the on-site visits were determined beforehand, which allowed the firm to prepare all the documentation

 Case study draft. The last case study draft was given to the firm for approval in a final discussion meeting. In those issues where concurrence cannot be achieved, the different

The implementation of an environmental management system could be introduced to avoid the tightening of environmental regulations and to adopt continuous improvement strategies as an assurance of environmental performance. Some kind of environmental management usually existed in firms in a chaotic way and to formalise and to provide connections to that chaos involved a lot of effort and money. But, when there was a specific objective to be achieved, such as obtaining the environmental certification, it helped to make a swift progression from some technical environmental improvements to the configuration of an integrated environmental management system. The environmental certification acts as a guide to formalise the environmental management system and, therefore the willingness to achieve the environmental certification can stimulate the adoption of environmental

In the process of obtaining the environmental certification to transpose previous experience in quality management systems contributes to paperwork to be reduced and to failings and improvements to be detected more easily as Houthuysen (2000) obtained from his experience since later the system itself allows learning from it, as Pedersen & Nielsen (2000)

Accounting, as an internal information system, is considered to be very useful and it was recognised that the development of physical and financial indicators to configure a balanced scorecard would have improved the environmental management system. Although other business indicators previously existed in our firm, the development of environmental indicators had favoured the elaboration of a balanced scorecard that gathers economic and environmental ratios, which was clear proof of how the introduction of an integrated

environmental management system improves business management.

positions were clearly and objectively stated in the report.

making suitable to the real context.

of a particular database.

related to them.

by e-mail and by telephone.

**3.1. Findings of case study research** 

management in any organization.

found.

The findings of case study research, like experiments, are able to be generalised to theoretical propositions and not to population or universes, because with this methodology the aim is to generalise theories (analytic generalisation) and not to enumerate frequencies (statistical generalisation) (Yin, 1994).

The case study research methodology recalls that a single case is analogous to a single experiment, so its use is accurate under the following circumstances. The first one, when it represents the critical case that can generate a significant contribution to knowledge theorybuilding, or it can even help to refocus future investigations in an entire field. The second one, in the circumstance of representing an extreme or unique case and the last circumstance is known as a revelatory case because a researcher has the opportunity to observe and analyse a phenomenon previously inaccessible to scientific investigation (Yin, 1994).

The criteria for choosing our case study research' firm were related to three main issues:

Firstly, the identification- in 2001- of a company with a really developed environmental management system and not a "good intentions" firm which had not formalised its environmental procedures. In our case, the ISO 14001 standard was used as a discriminatory criterion because there were no firms in the sector with EMAS verification (Environmental Management and Audit System) (European Communities, 2000).

Secondly, due to the fact that it was an interactive process, it was necessary to detect motivation by the company to participate in it. By using participant observation as a source of evidence in the case study research, the researcher interacts with the firm, so it was necessary to gain access to events or groups that were otherwise, inaccessible to scientific investigation. Unlike other research methodologies the data compilation in case study research demands several fields visits which imply many time dedication from the participating firms.

And finally, there was the importance given by the firm to environmental disclosures. This characteristic was really decisive because the huge majority of companies in the sector considered environmental issues as a matter which was only concerned of their own business, so they were not interested in disclosing environmental information. This particular firm considered that environmental disclosures meant a real commitment with its stakeholders or interested parts; therefore they were keen to disclose environmental information as an essential part of its environmental management system.

According to Yin (1994) we carried out the protocol of our case study research:

 Overview of the case study project. The findings of initial diagnosis served as a point of departure of the present case study.


## **3.1. Findings of case study research**

120 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

The perceived incongruities in the initial diagnosis revealed that firms assumed to be highly environmental committed while from facts this commitment was not so high proved. So, it was necessary to introduce case study research methodology to clarify and understand the

The findings of case study research, like experiments, are able to be generalised to theoretical propositions and not to population or universes, because with this methodology the aim is to generalise theories (analytic generalisation) and not to enumerate frequencies

The case study research methodology recalls that a single case is analogous to a single experiment, so its use is accurate under the following circumstances. The first one, when it represents the critical case that can generate a significant contribution to knowledge theorybuilding, or it can even help to refocus future investigations in an entire field. The second one, in the circumstance of representing an extreme or unique case and the last circumstance is known as a revelatory case because a researcher has the opportunity to observe and

analyse a phenomenon previously inaccessible to scientific investigation (Yin, 1994).

Management and Audit System) (European Communities, 2000).

The criteria for choosing our case study research' firm were related to three main issues:

Firstly, the identification- in 2001- of a company with a really developed environmental management system and not a "good intentions" firm which had not formalised its environmental procedures. In our case, the ISO 14001 standard was used as a discriminatory criterion because there were no firms in the sector with EMAS verification (Environmental

Secondly, due to the fact that it was an interactive process, it was necessary to detect motivation by the company to participate in it. By using participant observation as a source of evidence in the case study research, the researcher interacts with the firm, so it was necessary to gain access to events or groups that were otherwise, inaccessible to scientific investigation. Unlike other research methodologies the data compilation in case study research demands several fields visits which imply many time dedication from the

And finally, there was the importance given by the firm to environmental disclosures. This characteristic was really decisive because the huge majority of companies in the sector considered environmental issues as a matter which was only concerned of their own business, so they were not interested in disclosing environmental information. This particular firm considered that environmental disclosures meant a real commitment with its stakeholders or interested parts; therefore they were keen to disclose environmental

Overview of the case study project. The findings of initial diagnosis served as a point of

information as an essential part of its environmental management system.

departure of the present case study.

According to Yin (1994) we carried out the protocol of our case study research:

**3. Case study research** 

reasons of these inconsistencies.

(statistical generalisation) (Yin, 1994).

participating firms.

The implementation of an environmental management system could be introduced to avoid the tightening of environmental regulations and to adopt continuous improvement strategies as an assurance of environmental performance. Some kind of environmental management usually existed in firms in a chaotic way and to formalise and to provide connections to that chaos involved a lot of effort and money. But, when there was a specific objective to be achieved, such as obtaining the environmental certification, it helped to make a swift progression from some technical environmental improvements to the configuration of an integrated environmental management system. The environmental certification acts as a guide to formalise the environmental management system and, therefore the willingness to achieve the environmental certification can stimulate the adoption of environmental management in any organization.

In the process of obtaining the environmental certification to transpose previous experience in quality management systems contributes to paperwork to be reduced and to failings and improvements to be detected more easily as Houthuysen (2000) obtained from his experience since later the system itself allows learning from it, as Pedersen & Nielsen (2000) found.

Accounting, as an internal information system, is considered to be very useful and it was recognised that the development of physical and financial indicators to configure a balanced scorecard would have improved the environmental management system. Although other business indicators previously existed in our firm, the development of environmental indicators had favoured the elaboration of a balanced scorecard that gathers economic and environmental ratios, which was clear proof of how the introduction of an integrated environmental management system improves business management.

Nevertheless, such company did not show any interest in disclosing any environmental information in the Annual Report, as evidence of the opacity and secrecy that exist within a sector characterised by a permanent technological innovation.

Environmental Management in Businesses: Does It Make Money? An Accounting Perspective 123

Again the inconsistencies appeared between the environmental position assumed in strategy and the environmental behaviour reflected in facts. This incongruities revealed that the company assumed to be highly environmental committed while from facts this commitment was no so high proved. Despite most of detected incongruities in our firm could be related to initial stages of implementation of environmental management systems, the one referring to disclosures cannot be explained in such terms. On this matter, the particular firm proclaimed that environmental disclosures meant a real commitment with its stakeholders or interested parts, but, the facts revealed that its environmental disclosures were restricted to particular responses to individual demands -as requested by ISO requirements- instead of providing general information, without considering environmental

Finally, even though our case fulfils the requirements for being considered as a rigorous case study research we are aware of the limitations of such methodology as possible bias in findings due to the researcher perceptions and values, the difficulty in designing case study research and the self-election of the participating company. Furthermore, this methodology

**4. Relationship between corporate social responsibility and financial** 

responsibility (CSR) in the financial results of the companies in the analysed sector.

Following with our in-depth study we tried to analyse the effects of corporate social

Data were collected through personal interviews and using factor analysis the dimensions of the CSR were obtained. Subsequently, we analysed whether or not there were correlations between the factors and the financial indicators -collected from their Annual Accounts. Mahoney and Roberts (2007) found significant relationship between some measures of CSR and financial performance in their study, although they did not find any relationship

From the population of the Spanish tile sector -255 companies in 2004- 70 firms were selected by simple random sampling, according to their size by volume of sales. Only 64 interviews were valid, so the analysis was restricted to them, being the size error of +/- 11%

In order to carry out the factor analysis we tested Kaiser-Meyer-Olkin (KMO) and Bartlett's sphericity, -obtaining a KMO of 0.73 and rejection of the null hypothesis of the Bartlett's sphericity test- which allowed us to carry out the analysis. The method of extraction of factors was principal components, specifically, as we were primarily interested in the interpretation of the factors, the Varimax orthogonal rotation method was used. We obtained 6 eigenvalues greater than unit, therefore 6 factors (table 10), with an explained

The analysis of correlation between the dimensions of CSR and the financial performance was conducted using the factors as indicators of the first and the financial performance

enables to generalise findings to theory but not to the whole population.

between a unique index of CSR and financial performance.

and the significance level of 95% (p = q = 50%).

disclosure in Annual Reports.

**performance** 

variance of 77.4%.

The strategy of the firm was based on a permanent rationalization process that involved adopting the latest technologies on the market. Thus, it had simultaneously implemented both the first and the second stage in the development of its environmental management system. This consists in applying the most obvious and sensible improvements, which have low costs, together with investments in the most innovative technologies on the market.

From the observation of the two main environmental indicators in the firm, we obtained that the trend of its environmental investments (table 8) corroborated the general strategy of the company since once technological changes has been adopted the financial payments decrease until a new technology is adopted, and the trend of its environmental expenses (table 9) placed our firm in an initial stage of environmental management development, where such expenses progressively increase.


**Table 8.** Environmental investments over the Period 1995-2001


**Table 9.** Environmental expenses over the Period 1999-2001

Environmental information had been gathered about the trends of its environmental investments since 1995 but its expenses data were only available from 1999 onwards because, prior so that, environmental expenses were not distinguished from the total expenses of the organisation.

The company considered that its environmental management system had to provide more competitive advantages than those that could be achieved by simply improving its own image. Therefore what the company should do the management of the production system more efficient by spreading the efficiency of the environmental department through the whole organization. Such efficiency would be based on a relevant information system that allowed the different business activities to be coordinated and that relied on the commitment of all human resources.

Whereas from the environmental strategy of the company derived that the environmental information system should be integrated at all business levels and it ought to be useful for decision-making as decision-usefulness theory states, its initial stage of development circumscribed it to specific projects, which are almost exclusively oriented towards obtaining funds such as subsidies or grants.

Again the inconsistencies appeared between the environmental position assumed in strategy and the environmental behaviour reflected in facts. This incongruities revealed that the company assumed to be highly environmental committed while from facts this commitment was no so high proved. Despite most of detected incongruities in our firm could be related to initial stages of implementation of environmental management systems, the one referring to disclosures cannot be explained in such terms. On this matter, the particular firm proclaimed that environmental disclosures meant a real commitment with its stakeholders or interested parts, but, the facts revealed that its environmental disclosures were restricted to particular responses to individual demands -as requested by ISO requirements- instead of providing general information, without considering environmental disclosure in Annual Reports.

122 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

sector characterised by a permanent technological innovation.

where such expenses progressively increase.

**Table 8.** Environmental investments over the Period 1995-2001

**Table 9.** Environmental expenses over the Period 1999-2001

**Environmental** 

expenses of the organisation.

commitment of all human resources.

obtaining funds such as subsidies or grants.

Nevertheless, such company did not show any interest in disclosing any environmental information in the Annual Report, as evidence of the opacity and secrecy that exist within a

The strategy of the firm was based on a permanent rationalization process that involved adopting the latest technologies on the market. Thus, it had simultaneously implemented both the first and the second stage in the development of its environmental management system. This consists in applying the most obvious and sensible improvements, which have low costs, together with investments in the most innovative technologies on the market.

From the observation of the two main environmental indicators in the firm, we obtained that the trend of its environmental investments (table 8) corroborated the general strategy of the company since once technological changes has been adopted the financial payments decrease until a new technology is adopted, and the trend of its environmental expenses (table 9) placed our firm in an initial stage of environmental management development,

**investments (EI) 1995 1996 1997 1998 1999 2000 2001**  (EI /Total investments) 18.05 0.00 37.37 25.08 8.00 4.90 1.98

**Environmental expenses 1999 2000 2001**  (expressed in euros) 258,832.65 45,846.76 62,735.99

Environmental information had been gathered about the trends of its environmental investments since 1995 but its expenses data were only available from 1999 onwards because, prior so that, environmental expenses were not distinguished from the total

The company considered that its environmental management system had to provide more competitive advantages than those that could be achieved by simply improving its own image. Therefore what the company should do the management of the production system more efficient by spreading the efficiency of the environmental department through the whole organization. Such efficiency would be based on a relevant information system that allowed the different business activities to be coordinated and that relied on the

Whereas from the environmental strategy of the company derived that the environmental information system should be integrated at all business levels and it ought to be useful for decision-making as decision-usefulness theory states, its initial stage of development circumscribed it to specific projects, which are almost exclusively oriented towards Finally, even though our case fulfils the requirements for being considered as a rigorous case study research we are aware of the limitations of such methodology as possible bias in findings due to the researcher perceptions and values, the difficulty in designing case study research and the self-election of the participating company. Furthermore, this methodology enables to generalise findings to theory but not to the whole population.

## **4. Relationship between corporate social responsibility and financial performance**

Following with our in-depth study we tried to analyse the effects of corporate social responsibility (CSR) in the financial results of the companies in the analysed sector.

Data were collected through personal interviews and using factor analysis the dimensions of the CSR were obtained. Subsequently, we analysed whether or not there were correlations between the factors and the financial indicators -collected from their Annual Accounts. Mahoney and Roberts (2007) found significant relationship between some measures of CSR and financial performance in their study, although they did not find any relationship between a unique index of CSR and financial performance.

From the population of the Spanish tile sector -255 companies in 2004- 70 firms were selected by simple random sampling, according to their size by volume of sales. Only 64 interviews were valid, so the analysis was restricted to them, being the size error of +/- 11% and the significance level of 95% (p = q = 50%).

In order to carry out the factor analysis we tested Kaiser-Meyer-Olkin (KMO) and Bartlett's sphericity, -obtaining a KMO of 0.73 and rejection of the null hypothesis of the Bartlett's sphericity test- which allowed us to carry out the analysis. The method of extraction of factors was principal components, specifically, as we were primarily interested in the interpretation of the factors, the Varimax orthogonal rotation method was used. We obtained 6 eigenvalues greater than unit, therefore 6 factors (table 10), with an explained variance of 77.4%.

The analysis of correlation between the dimensions of CSR and the financial performance was conducted using the factors as indicators of the first and the financial performance

indicators were used as the following four ratios: return on assets, return on equity, return on sales and debt ratio.

Environmental Management in Businesses: Does It Make Money? An Accounting Perspective 125

1. Factor 2 (direct stakeholders) had a positive correlation with return on equity (p-value = 0.26, significant at 5%) and marginally with the debt ratio (p-value = 0.22, significant at

2. Factor 4 (supplier selection) had a negative correlation with return on assets (p-value = -0.29, significant at 5%) and with return on sales (p-value = -0.27, significant at 5%), and

3. Factor 5 (compliance check) had a positive correlation with the debt ratio (p-value =

From these results we could extract the hypothesis that both taking into account the consequences of the decisions of companies on their direct stakeholders such as the use of instruments to check compliance of socio-environmental commitments could require additional resources that would be reflected in a higher debt ratio in these companies. These results would validate the available funds theory (McGuire et al., 1988 & Moore, 2001) which postulates that companies with abundant financial resources have more opportunities to carry out CSR initiatives. Besides, taking into consideration the close relationship with their direct stakeholders it would be also rewarded with greater return on equity, which positioned these companies in the moderation model of Berman et al. (1999), where the company strategy has a direct impact on the financial performance although it is

Furthermore, the positive correlation between factor 5 (compliance check) and the debt ratio could be explained by the fact that companies who need to rely on external financing must

On the other hand, companies that stated a policy of supplier selection by socio-environmental criteria seemed to be penalised with lower return on assets, sales and equity. Due to only 9 of the 64 companies had a high score in factor 4 (supplier selection) the results seemed to indicate

As factor 2 (direct stakeholders) provided evidence for the hypothesis of positive synergy, while factor 4 (supplier selection) did so in favour of the negative synergy, the behaviour of companies could not be characterised according to the typology of Preston & O'Bannon (1997). Hence, further studies will be required to determine whether the difference in sign is a particular feature of the industrial sector analysed or, on the contrary, it is present in other

From the analysis of correlation between the score that the companies gave themselves and

1. Factor 2 (direct stakeholders) had a positive correlation with the CSR self-evaluation

2. Factor 6 (impact limitation) had a positive correlation the CSR self-evaluation ratio (p-

The positive correlation between the CSR self-evaluation and the CSR actions directed to their stakeholders could be explained by the need for legitimacy of the companies in their

meet certain socio-environmental requirements to obtain it, as Roberts (1992) found.

rather an absence of penalties for companies who had not such supplier selection.

marginally with return on equity (p-value = -0.21, significant at 10%).

10%).

sectors.

0.25, significant at 5%).

moderated by the relationship with their stakeholders.

their score in each factor two results were obtained:

ratio (p-value = 0.21, significant at 5%).

value = 0.21, significant at 5%).

Following with the inconsistencies between the environmental position assumed in strategy and the environmental behaviour reflected in facts by companies, we compared whether the CSR perception-self-evaluated from 1 to 5- of the companies corresponded with their CSR actions. Then, we carried out a correlation analysis between the score that the companies gave themselves and their score in each factor- excluding the question related to selfevaluation to avoid bias.


**Table 10.** Dimensions of CSR

## **4.1. Findings of relationship between CSR and financial performance**

From the analysis of correlation between the factors of CSR and the financial ratios three results were obtained:

1. Factor 2 (direct stakeholders) had a positive correlation with return on equity (p-value = 0.26, significant at 5%) and marginally with the debt ratio (p-value = 0.22, significant at 10%).

124 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

on sales and debt ratio.

evaluation to avoid bias.

**Factor 1** Socio-environmental

**Factor 2** Direct stakeholders

**Factor 3** Indirect stakeholders

**Factor 4** Selection of suppliers or

**Factor 5** Compliance check

**Factor 6** Impact limitation and

**Table 10.** Dimensions of CSR

results were obtained:

customer

self-evaluation

**4.1. Findings of relationship between CSR and financial performance** 

From the analysis of correlation between the factors of CSR and the financial ratios three

objectives

indicators were used as the following four ratios: return on assets, return on equity, return

Following with the inconsistencies between the environmental position assumed in strategy and the environmental behaviour reflected in facts by companies, we compared whether the CSR perception-self-evaluated from 1 to 5- of the companies corresponded with their CSR actions. Then, we carried out a correlation analysis between the score that the companies gave themselves and their score in each factor- excluding the question related to self-

> Responsibles for results Socio-environmental results Resources for socio-environmental results Timetabling for implementation Socio-environmental incentives

> > Suppliers Shareholders Customers Workers

Non-profit organizations General public Public administrations Consumers Competitors

In relation to compliance with their socioenvironmental objectives

Certifications Socio-environmental management system External quality audit Socio-environmental publication Control of socio-environmental results

> Socio-environmental policy Socio-environmental evaluation Socio-environmental provisions Responsible for product design


From these results we could extract the hypothesis that both taking into account the consequences of the decisions of companies on their direct stakeholders such as the use of instruments to check compliance of socio-environmental commitments could require additional resources that would be reflected in a higher debt ratio in these companies. These results would validate the available funds theory (McGuire et al., 1988 & Moore, 2001) which postulates that companies with abundant financial resources have more opportunities to carry out CSR initiatives. Besides, taking into consideration the close relationship with their direct stakeholders it would be also rewarded with greater return on equity, which positioned these companies in the moderation model of Berman et al. (1999), where the company strategy has a direct impact on the financial performance although it is moderated by the relationship with their stakeholders.

Furthermore, the positive correlation between factor 5 (compliance check) and the debt ratio could be explained by the fact that companies who need to rely on external financing must meet certain socio-environmental requirements to obtain it, as Roberts (1992) found.

On the other hand, companies that stated a policy of supplier selection by socio-environmental criteria seemed to be penalised with lower return on assets, sales and equity. Due to only 9 of the 64 companies had a high score in factor 4 (supplier selection) the results seemed to indicate rather an absence of penalties for companies who had not such supplier selection.

As factor 2 (direct stakeholders) provided evidence for the hypothesis of positive synergy, while factor 4 (supplier selection) did so in favour of the negative synergy, the behaviour of companies could not be characterised according to the typology of Preston & O'Bannon (1997). Hence, further studies will be required to determine whether the difference in sign is a particular feature of the industrial sector analysed or, on the contrary, it is present in other sectors.

From the analysis of correlation between the score that the companies gave themselves and their score in each factor two results were obtained:


The positive correlation between the CSR self-evaluation and the CSR actions directed to their stakeholders could be explained by the need for legitimacy of the companies in their

environment, corroborating the stakeholder theory (Freeman, 1984 & Suchman, 1995). On the other hand, it seemed sensible that companies taking measures to limit their impacts would have considered that they was making greater efforts in CSR, so they gave themselves higher scores.

Environmental Management in Businesses: Does It Make Money? An Accounting Perspective 127

We can extract the hypothesis that both taking into account the consequences of decisions on their direct stakeholders such as the instruments of checking compliance of socioenvironmental commitments could require additional resources that would be reflected in a higher debt ratio, validating the available funds theory. Besides, the closest relationship with their stakeholders would be also rewarded with greater return on equity, as the moderation model of Berman et al. (1999) holds. We also obtained evidences that the instruments of checking compliance were correlated with debt ratio, which could be explained by the fact that companies who need to rely on external financing must meet

There are some incongruities between the environmental position assumed in strategy and the environmental behaviour reflected in facts in the sector, so from the analysis of correlation between the score that the companies gave themselves and their score in each CSR factor it was obtained a positive correlation between CSR self-evaluation and direct stakeholders as well as impact limitation. The correlation with stakeholders corroborates the stakeholder theory and the correlation with impact limitation could be explained by the fact that companies which are taking measures to limit their impacts generally consider that they

Further studies will be required to determine whether the obtained evidences are a particular feature of the Spanish tiles sector, or on the contrary, some of them could be

Alexander, G. J. & Buchholz, R. A. (1987). Corporate Social Responsibility and Stock Market

Abelda, E. (2011). The Role of Management Accounting Practices as Facilitators of The Environmental Management. Evidence from EMAS, *Sustainability Accounting,* 

Aupperle, K. E.; Carroll, A. B. & Hatfield, J. D. (1985). An Empirical Examination of the Relationship Between Corporate Social Responsibility and Profitability, *Academy of* 

Barth, M. & McNichols, M. (1994). Estimation and Market Valuation of Environmental Liabilities Relating to Superfund Sites, *Journal of Accounting Research*, Vol.32

Bennet, M. & James, P. (1997a). Environment Related Management Accounting: Current Practice and Future Trends, *Greener Management International,* Vol.17, pp. 32-51

certain socio-environmental requirements as Roberts (1992) found.

are making greater efforts in CSR, so they gave themselves higher scores.

*Department of Finance and Accounting, Universitat Jaume I, Castellon, Spain* 

Performance, *Academy of Management Journal*, Vol.21, pp. 479-489

*Management and Policy Journal*, Vol.2, No.1, pp. 76-100

*Management Journal*, Vol.28, pp. 446-463

(Supplement), pp. 177-209

extrapolated to other sectors.

**Author details** 

**6. References** 

Maria J. Masanet-Llodra

## **5. Conclusions**

The environmental management in the Spanish tiles sector needs to be stimulated, due to companies are adopting it for reasons of competitiveness that do not exceed legal imposition, environmental commitment and business image and forgetting the integrated management of resources. Which is why established corporate environmental policies in their strategy, generally informal and without perception of accounting reflection. This result may be due to the conception of what companies meant accounting, reducing its size to a mere bookkeeping technique.

The environmental certification acts in the sector as a guide to formalise the environmental management system and, therefore the willingness to achieve the environmental certification can stimulate the adoption of environmental management in any organization.

The development of environmental accounting was subject to compliance with legal requirements and to its use as a powerful weapon of business marketing; that in the majority of cases it came to draw up environmental information in an arbitrary manner, avoiding any kind of immediate relations that could set up such as the comparison between obtained results and environmental pursued objectives. In short, environmental accounting was being used as an instrument of legitimacy of the performances of the companies in their environment, as it defends the theory of stakeholders.

There is no interest in disclosing any environmental information in the Annual Report, as evidence of the opacity and secrecy that exist within a sector characterised by a permanent technological innovation. Although, internal accounting is considered to be useful and the development of environmental indicators to configure a balanced scorecard have improved the environmental management system and, furthermore it has favoured the elaboration of a balanced scorecard that gathers economic and environmental ratios, which is proof of how the introduction of an integrated environmental management system improves business management.

The strategy of the sector involves adopting the latest technologies on the market. Thus, it had simultaneously implemented both the first and the second stage in the development of its environmental management system, which consists in applying the most obvious and sensible improvements, which have low costs, together with investments in the most innovative technologies on the market.

Although the environmental management system should be integrated at all business levels and it ought to be useful for decision-making as decision-usefulness theory states, the actual stage of development circumscribed it to specific projects, which are almost orientated towards obtaining funds such subsidies or grants.

We can extract the hypothesis that both taking into account the consequences of decisions on their direct stakeholders such as the instruments of checking compliance of socioenvironmental commitments could require additional resources that would be reflected in a higher debt ratio, validating the available funds theory. Besides, the closest relationship with their stakeholders would be also rewarded with greater return on equity, as the moderation model of Berman et al. (1999) holds. We also obtained evidences that the instruments of checking compliance were correlated with debt ratio, which could be explained by the fact that companies who need to rely on external financing must meet certain socio-environmental requirements as Roberts (1992) found.

There are some incongruities between the environmental position assumed in strategy and the environmental behaviour reflected in facts in the sector, so from the analysis of correlation between the score that the companies gave themselves and their score in each CSR factor it was obtained a positive correlation between CSR self-evaluation and direct stakeholders as well as impact limitation. The correlation with stakeholders corroborates the stakeholder theory and the correlation with impact limitation could be explained by the fact that companies which are taking measures to limit their impacts generally consider that they are making greater efforts in CSR, so they gave themselves higher scores.

Further studies will be required to determine whether the obtained evidences are a particular feature of the Spanish tiles sector, or on the contrary, some of them could be extrapolated to other sectors.

## **Author details**

126 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

themselves higher scores.

to a mere bookkeeping technique.

environment, as it defends the theory of stakeholders.

**5. Conclusions** 

management.

innovative technologies on the market.

towards obtaining funds such subsidies or grants.

environment, corroborating the stakeholder theory (Freeman, 1984 & Suchman, 1995). On the other hand, it seemed sensible that companies taking measures to limit their impacts would have considered that they was making greater efforts in CSR, so they gave

The environmental management in the Spanish tiles sector needs to be stimulated, due to companies are adopting it for reasons of competitiveness that do not exceed legal imposition, environmental commitment and business image and forgetting the integrated management of resources. Which is why established corporate environmental policies in their strategy, generally informal and without perception of accounting reflection. This result may be due to the conception of what companies meant accounting, reducing its size

The environmental certification acts in the sector as a guide to formalise the environmental management system and, therefore the willingness to achieve the environmental certification can stimulate the adoption of environmental management in any organization. The development of environmental accounting was subject to compliance with legal requirements and to its use as a powerful weapon of business marketing; that in the majority of cases it came to draw up environmental information in an arbitrary manner, avoiding any kind of immediate relations that could set up such as the comparison between obtained results and environmental pursued objectives. In short, environmental accounting was being used as an instrument of legitimacy of the performances of the companies in their

There is no interest in disclosing any environmental information in the Annual Report, as evidence of the opacity and secrecy that exist within a sector characterised by a permanent technological innovation. Although, internal accounting is considered to be useful and the development of environmental indicators to configure a balanced scorecard have improved the environmental management system and, furthermore it has favoured the elaboration of a balanced scorecard that gathers economic and environmental ratios, which is proof of how the introduction of an integrated environmental management system improves business

The strategy of the sector involves adopting the latest technologies on the market. Thus, it had simultaneously implemented both the first and the second stage in the development of its environmental management system, which consists in applying the most obvious and sensible improvements, which have low costs, together with investments in the most

Although the environmental management system should be integrated at all business levels and it ought to be useful for decision-making as decision-usefulness theory states, the actual stage of development circumscribed it to specific projects, which are almost orientated Maria J. Masanet-Llodra *Department of Finance and Accounting, Universitat Jaume I, Castellon, Spain* 

## **6. References**

	- Bennet, M. & James, P. (1997b). Making Environmental Management Count: Baxter International's Environmental Financial Statement, *Greener Management International,* Vol.17, pp. 114-127

Environmental Management in Businesses: Does It Make Money? An Accounting Perspective 129

Houthuysen, S. D. (2000). Deployment and Operation of a Business-Wide EMS, in R. Hillary (eds.), *ISO 14001 Case Studies and Practical Experiences*, Greenleaf Publishing Limited,

ISO (International Organization for Standardization). (1996*). ISO 14001 Environmental Management Systems: Specification with Guidance for Use*, (ISO/TC207/SC), Geneva Larrinaga-Gonzalez, C. & Bebbington, J. (2001). Accounting Change or Institutional Appropriation: A Case Study of the Implementation of Environmental Accounting,

Mahoney, L. & Roberts R. (2007). Corporate Social Performance, Financial Performance and Institutional Ownership in Canadian Firms, *Accounting Forum*, Vol.31, pp. 233-253 Masanet-Llodra, M. J. (1999). The Development of Environmental Accounting and Managerial Environmental Accounting in the Ceramics sector in Castellon, *I Reunion in* 

Masanet-Llodra, M. J. (2006). Environmental Management Accounting: A Case Study Research on Innovative Strategy, *Journal of Business Ethics*, Vol.68, pp. 393-408 Masanet-Llodra, M. J., Nieto, L & Barreda, I. J. (forthcoming). Corporate Social Responsibility and Financial Performance: A multidimensional approach for SME McGee, J. (1998). Commentary on "Corporate Strategies and Environmental Regulations: An Organizing Framework" by A. M. Rugman & A. Verbeke", *Strategic Management Journal*,

McGuire, J. B.; Schneeweis, T, & Branch, B. (1990). Perceptions of Firm Quality: A Cause or

McGuire, J. B.; Sundgren, A. & Schneeweis, T. (1988). Corporate Social Responsibility and Firm Financial Performance, *Academy of Management Journal*, Vol.31, pp. 854-872 Moore, G. & Robson, A. (2002). The UK Supermarket Industry: An Analysis of Corporate Social and Financial Performance, *Business Ethics: A European Review*, Vol.11, No.1, pp.

Moore, G. (2001). Corporate Social and Financial Performance. An Investigation in the UK

Mouck, T. (1995). Financial Reporting, Democracy and Environmentalism: A Critique of the Commodification of Information, *Critical Perspectives on Accounting*, pp.535-553 Pedersen, C. & Nielsen, B. (2000). Maintaining the Momentum: EMS after the Certifier has Left, in R. Hillary (eds.), *ISO 14001 Case Studies and Practical Experiences*, Greenleaf

Porter, M. E. & van der Linde, C. (1995a). Green and Competitiveness: Ending the Stalemate,

Porter, M. E. & van der Linde, C. (1995b). Towards a New Conception of the Environment-Competitiveness Relationship, *Journal of Economic Perspectives*, Vol.4, No.9, pp. 97-118 Porter, M. E. (1990). *The Competitive Advantage of Nations*, Fee Press-Macmillan, New York

Power, M. (1997). Expertise and the Construction of Relevance, Accounts and Environmental Audit, *Accounting, Organizations and Society*, Vol.2, No.22, pp. 55-65

Porter, M. E. (1991). America's Green Strategy*, Scientific American*, pp. 168, April

Result of Firm Performance, *Journal of Management*, Vol.16, pp. 167-180

Supermarket Industry, *Journal of Business*, Vol.34, pp. 299-315

*Critical Perspectives on Accounting*, Vol.12, pp. 269-292

*Environmental and Social Accounting*, CSEAR, Dundee, UK.

UK, pp. 18-30

Vol.19, pp. 377-387

Publishing Limited, UK, pp. 31-38

*Harvard Business Review*, Vol.5, No.73, pp. 120-134

25-39


Houthuysen, S. D. (2000). Deployment and Operation of a Business-Wide EMS, in R. Hillary (eds.), *ISO 14001 Case Studies and Practical Experiences*, Greenleaf Publishing Limited, UK, pp. 18-30

128 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Vol.17, pp. 114-127

*Economics*, Vol.6, No.2, pp. 613-626

No.2, pp. 560-579

pp. 93-106

L.168.10.07.93)

C.128.08.05.00)

Marshfiels: MA

Chapman Publishing Ltd, London

*Management and Policy Journal*, Vol.1, No.1, pp. 11-32

Bennet, M. & James, P. (1997b). Making Environmental Management Count: Baxter International's Environmental Financial Statement, *Greener Management International,*

Berman, S. L.; Wicks, A. C.; Kotha, S. & Jones, T. M. (1999). Does Stakeholder Orientation Matter? The Relationship Between Stakeholder Management Models and Firm

Burnett, R. D. & Hansen, D. R. (2007). Eco-efficiency: Defining a Role for Environmental Cost Management, *Accounting, Organizations and Society*, Vol.33, No.6, pp. 551-581 Cho, C. & Pattern, M. (2007). The Role of Environmental Disclosures as tool of Legitimacy: A

Clarkson, P.; Li, Y.; Richardson, G. D. & Vasvari, F. (2008). Revisiting the Relationship Between Environmental Performance and Environmental Disclosure: An Empirical

Cormier, D. & Magnan, M. (2007). The Revisited Contribution of Environmental Reporting to Investors' Valuation of a Firm's Earnings: An International Perspective, *Ecological* 

Curkovic, S. & Sroufe, R. (2007). Total Quality Environmental Management and Total Cost Assessment: An Exploratory Study, *International Journal of Production Economics*, Vol.105,

Curkovic, S., Sroufe, R. & Landeros, R. (2008). Measuring TQEM Returns from the application of Quality Frameworks, *Business Strategy and the Environment*, Vol.17, No.2,

Curkovic, S., Sroufe, R. & Eckert, J. (2006). A Preliminary Framework for Using Total Cost Assessment in Total Quality Environmental Management, *The International Journal of* 

European Communities. (1993). Regulation (CEE) 1836/93 of June 29, that Permits to Industrial Organizations the Voluntary Adherence to a Community System of Environmental Management and Auditing (Official Diary of European Communities

European Communities. (2000). Common Position for Future Adoption of the Regulation (CEE), that Permits to Organizations the Voluntary Adherence to a Community System of Environmental Management and Auditing (Official Diary of European Communities

Freeman, R. (1984). *Strategic Management: A Stakeholder Approach*, Pitman Publishing Inc.,

Gray, R. & Bebbington, J. (2001). *Accounting for the Environment, Part II*, 2nd ed., Paul

Gray, R. (2010). A Re-evaluation of Social, Environmental and Sustainability Accounting: An Exploration of an Emerging Trans-disciplinary Field?, *Sustainability Accounting,* 

Friedman, M. (1962). *Capitalism and Freedom*, University of Chicago Press, Chicago

*Environmental, Cultural, Economic and Social Sustainability*, Vol.1, No.3, pp. 81-88 Epstein, M. J. (1996). Improving Environmental Management with Full Environmental Cost

Accounting, Environmental Quality Management, Vol.6, pp. 11-22

Financial Performance, *Academy of Management Journal*, Vol.42, pp. 488-506

Research Note, *Accounting, Organizations and Society*, Vol.32, pp. 639-647

Analysis, *Accounting, Organizations and Society*, Vol.33, pp. 303-327

	- Preston, L. E. & O'Bannon, D. P. (1997). The Corporate Socio-Financial Performance Relationship, *Business and Society*, Vol.36, pp. 419-430

**Chapter 6** 

© 2012 Morgado et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Morgado et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**A Bottom Up Approach to Modeling** 

Paulo Morgado, Marina Toger, Patricia Abrantes and Jérémy Fiegel

Urbanization processes conquer more and more land through sprawl. Cities unite into large functional regions, leaving species other than humans lacking habitat areas. Biodiversity is in decline worldwide [1], but does it has to be? City development doesn't happen monotonously, as an ever spreading wave of sprawl, like it was believed for some time. But rather cities expand by leapfrogging [2] and have a fractal form [3]. This type of process

Urban planners normally would address urban development from human centered perspective, treating the open spaces as a void, left out by the city. As long as there was a lot of this void, nature could cope with this approach. But as open spaces become scarcer, biodiversity declines due to habitat depletion and fragmentation, and the conservational biodiversity-centered landscape planning can no longer be ignored. A typical process of planning would involve trying to make restrictive policies on development. Do restrictive policies really work if there are strong economic incentives to develop? In Israel the existing planning land-use system has very limited impact on real life land-cover configurations, though the resulting sum area allocations mostly follow the guidelines. [9]. On the other hand, if there is knowledge that allows making educated guidelines for future development, perhaps the sprawl processes can be directed and designed in a less destructive way, the knowledge about nature's spatial configuration requirements in order to thrive as opposed

Of course open spaces are becoming more fragmented as a result of human activities and infrastructures. Open spaces fragmentation has an important ecological effect, due to its contribution to habitat depletion and degradation and subsequent biodiversity loss. According

**Habitat Connectivity Dynamics** 

**Through Networks Analysis** 

Additional information is available at the end of the chapter

leaves vacant "open spaces" in-between urbanized areas.

to minimal requirements to survive.

http://dx.doi.org/10.5772/45939

**1. Introduction** 


## **A Bottom Up Approach to Modeling Habitat Connectivity Dynamics Through Networks Analysis**

Paulo Morgado, Marina Toger, Patricia Abrantes and Jérémy Fiegel

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45939

## **1. Introduction**

130 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Procedure Outside the Firm, *The Accounting Review*, Vol.58, pp. 521-538

of US Firms, *Academy of Management Review*, Vol.10, pp. 540-557

Relationship, *Business and Society*, Vol.36, pp. 419-430

*and Public Policy*, Vol.2, No.6, pp. 117-123

*of Management Review*, Vol.20, pp. 571-611

*Production Economics*, Vol.111, No.2, pp. 299-315

*Management Review*, Vol.29, pp. 62-77

*Series 5,* Sage Publications

612

pp. 411-422

Preston, L. E. & O'Bannon, D. P. (1997). The Corporate Socio-Financial Performance

Roberts, R. (1992). Determinants of Corporate Social Responsibility Disclosure: An Application of Stakeholder Theory, *Accounting, Organization and Society*, Vol.17, pp. 595-

Shane, P. B. & Spicer, B. H. (1983). Market Response to Environmental Information

Shields, D. & Boer, G. (1997). Research in Environmental Accounting, *Journal of Accounting* 

Suchman, M. C. (1995). Managing Legitimacy: Strategic and Industrial Approaches, *Academy* 

Taylor, D. W.; Sulaiman, M. & Sheahan, M. (2001). Auditing of Environmental Management Systems: A Legitimacy Theory Perspective, *Managerial Auditing Journal*, Vol.16, No.7,

Ullmann, A. A. (1985). Data in Search or a Theory: A Critical examination of the Relationships Among Social Performance, Social Disclosure and Economic Performance

Vachon, S. & Klassen, R. (2008). Environmental Management and Manufacturing Performance: The Role of Collaboration in the supply chain, *International Journal of* 

Vargas-Vargas, M.; Meseguer-Santamaría, M. L.; Mondéjar-Jiménez, J. & Mondéjar-Jiménez, J. A. (2010). Environmental Protection Expenditure for Companies: A Spanish Regional

Walden, W. D. & Schwartz, B. (1997). Environmental Disclosure and Public Policy Pressure,

Wokutch, R. E. & Spencer, B. A. (1987). Corporate Saints and Sinners: The Effect of Philanthropic and Illegal Activity on Organizational Performance, *California* 

Yin, R. K. (1994). *Case Study Research. Design and Methods. Applied Social Research Methods* 

Analysis, *International Journal of Environmental Research*, Vol.4, No.3, pp. 373-378 Wagner, M. (2008). Empirical Influence of Environmental Management on Innovation:

Evidence from Europe, *Ecological Economics*, Vol.66, No.2-3, pp. 392-402

*Journal of Accounting and Public Policy*, Vol.2, No.6, pp. 125-154

Urbanization processes conquer more and more land through sprawl. Cities unite into large functional regions, leaving species other than humans lacking habitat areas. Biodiversity is in decline worldwide [1], but does it has to be? City development doesn't happen monotonously, as an ever spreading wave of sprawl, like it was believed for some time. But rather cities expand by leapfrogging [2] and have a fractal form [3]. This type of process leaves vacant "open spaces" in-between urbanized areas.

Urban planners normally would address urban development from human centered perspective, treating the open spaces as a void, left out by the city. As long as there was a lot of this void, nature could cope with this approach. But as open spaces become scarcer, biodiversity declines due to habitat depletion and fragmentation, and the conservational biodiversity-centered landscape planning can no longer be ignored. A typical process of planning would involve trying to make restrictive policies on development. Do restrictive policies really work if there are strong economic incentives to develop? In Israel the existing planning land-use system has very limited impact on real life land-cover configurations, though the resulting sum area allocations mostly follow the guidelines. [9]. On the other hand, if there is knowledge that allows making educated guidelines for future development, perhaps the sprawl processes can be directed and designed in a less destructive way, the knowledge about nature's spatial configuration requirements in order to thrive as opposed to minimal requirements to survive.

Of course open spaces are becoming more fragmented as a result of human activities and infrastructures. Open spaces fragmentation has an important ecological effect, due to its contribution to habitat depletion and degradation and subsequent biodiversity loss. According

© 2012 Morgado et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Morgado et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

to EEA [4], fragmentation results in the inability of different species to access resources, in reduction of the amount and quality of habitat areas, and their isolation, among other effects. Fragmentation is one of the major problems in EU nowadays, thus contradicting the principles of sustainability, especially concerning biodiversity conservation and land use policies [5, 4]. A wide range of literature, regarding connectivity and landscape fragmentation, assumes that increase in fragmentation of open space is associated with decrease in connectivity [5, 6]. Therefore spatial planning and environmental policies should be arguing in favor of the need to increase connectivity between green spaces, as a way to enhance habitat preservation. Unfortunately some of the planning tools and policies have poor scientific basis, neglect or ignore spatial influence and have more aims than the measures to achieve them.

A Bottom Up Approach to Modeling Habitat Connectivity Dynamics Through Networks Analysis 133

We cannot agree more. Considering that most of events occur in space, geography should be a key variable in the equation of any model. In fact geography is both a constraint and a condition of life throughout territory. Our research is focused on species interactions with the territory as a basis for landscape conservation prioritization and land use decisionmaking. Of course we could have many different models that ignore geography. But as it can be observed from experience, even the more elegant and simple models are sometimes a

Therefore, it is fundamental to contain in the model the complex spatial reality that includes connectivity and fragmentation (e.g. RAMAS [8]). Location (Where?) is crucial to understand the relationships (What? and How?) and the resulting decisions making

Past studies analyzed open space functioning through landscape modeling using network theoretic approach. A complex landscape can be conceptualized as a mosaic of habitat patches, connected by corridors, and surrounded by hostile matrix [12]. Spatial models usually take a snapshot in time and explore spatial aspects of ecosystems: pattern analysis, habitat fragmentation, patch structure, corridors and connectivity, least cost paths through a landscape [11]. Theory of island biogeography [13], together with the meta-population theory [14] [15], was seminal for development of spatial models in ecology. Different

Graph based approaches of landscape can yield estimates of the value of individual patches and corridors for the whole system. The approach is typical when tracking population dynamics and when detailed biological or demographic processes are not needed, or simply when such information is not available in practice [16]. A different type of study developed ranking of dispersal obstruction effect of the land and application of this index as a cost surface to the landscape [17]. The more detailed approach is to consider the land mosaic in its functional landscape heterogeneity and not as binary habitat-matrix. By creating a map of functional land-cover types, the impact of landscape heterogeneity on biodiversity is assessed [18]. Cantwell and Forman [19] explored the topology of graphs defined by the juxtaposition of different patch types. Links could represent potential dispersal routes, functional connections between different patches, trophic or mutualistic interactions,

Another method utilizes scenario examination modeling. A moderately complex implementation framework consisting of modeling future habitat state, simulating persistence of individual surrogate entities and then projecting it across multiple real entities was developed by Ferrier and Drielsma [21] and has been employed widely in various whole-landscape planning processes throughout New South Wales, Australia.

**2. Explicit spatial models for environmental studies** 

poor proxy for the complex spatial reality.

**2.1. Spatial environmental models** 

patches levels of species richness were compared.

weighted by the strength of interaction or flow rate and direction [20].

support, and help to build better tools for spatial planning.

Longley *et al* say that "There is something special about spatial" [7].

This chapter offers a summarized overview of methods and models, skills and tools required for educated decision making regarding environmental management of open spaces, and then proposes a bottom up approach to model complex phenomena in a landscape involving habitat connectivity. To pursue this, several concepts, technologies and methods are assembled together, such as GIS, Multi-Agent modeling (MA) and Complex Networks analysis (CA). Finally an explicit spatial model is set up in order to analyze the evolution of connectivity habitat and deliver some insights about environmental spatial planning. This model is based on the understanding that different species of animals have different dispersal characteristics and operate in the environment at different scales, meaning that there is a need for suitable linkages between natural spaces at a scale relevant to each species [5, 6]. Hence a generic spatially explicit model, constructed for analyzing habitat fragmentation of a landscape, should be implemented in a range of species specific scales. In order to serve decision makers as a tool, this type of analysis should take into account several focal species (e.g. small and large mammals, small birds, insects and plants) and then compile these results together into a landscape metric. This model is intended for use as a tool for spatial analysis that could be implemented on a sequence of temporal data and thus used for understanding of spatio-temporal dynamics of open space connectivity.

This work's purpose is thus threefold. First we introduce the importance of explicit spatial models for environmental studies, e.g. biodiversity conservation planning, environmental impacts of urbanization and urban planning, and more particularly explanation of the fitness of bottom up models to analyze evolution of connectivity habitat, based on state of the art of referenced papers and works published. Second, a step-by-step explanation of the modeling methods is conducted, so it could be used as a benchmark for others, devoted to this kind of studies. Third, rather than drawing conclusions, we prefer to make final remarks on further developments and define promising applications based on new techniques and methods.

This methodology is developed in following stages: 1) the definition of the conceptual model regarding the integration of GIS, multi agent system and complex networks; 2) model implementation; 3) network analysis. Therefore the methodology contributes to the discussion on the relevance and suitability of multi agent systems, GIS & CN to model landscape fragmentation, as well as to improve the spatial dimension analysis techniques using connectivity algorithms.

## **2. Explicit spatial models for environmental studies**

Longley *et al* say that "There is something special about spatial" [7].

We cannot agree more. Considering that most of events occur in space, geography should be a key variable in the equation of any model. In fact geography is both a constraint and a condition of life throughout territory. Our research is focused on species interactions with the territory as a basis for landscape conservation prioritization and land use decisionmaking. Of course we could have many different models that ignore geography. But as it can be observed from experience, even the more elegant and simple models are sometimes a poor proxy for the complex spatial reality.

Therefore, it is fundamental to contain in the model the complex spatial reality that includes connectivity and fragmentation (e.g. RAMAS [8]). Location (Where?) is crucial to understand the relationships (What? and How?) and the resulting decisions making support, and help to build better tools for spatial planning.

## **2.1. Spatial environmental models**

techniques and methods.

using connectivity algorithms.

132 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

ignore spatial influence and have more aims than the measures to achieve them.

to EEA [4], fragmentation results in the inability of different species to access resources, in reduction of the amount and quality of habitat areas, and their isolation, among other effects. Fragmentation is one of the major problems in EU nowadays, thus contradicting the principles of sustainability, especially concerning biodiversity conservation and land use policies [5, 4]. A wide range of literature, regarding connectivity and landscape fragmentation, assumes that increase in fragmentation of open space is associated with decrease in connectivity [5, 6]. Therefore spatial planning and environmental policies should be arguing in favor of the need to increase connectivity between green spaces, as a way to enhance habitat preservation. Unfortunately some of the planning tools and policies have poor scientific basis, neglect or

This chapter offers a summarized overview of methods and models, skills and tools required for educated decision making regarding environmental management of open spaces, and then proposes a bottom up approach to model complex phenomena in a landscape involving habitat connectivity. To pursue this, several concepts, technologies and methods are assembled together, such as GIS, Multi-Agent modeling (MA) and Complex Networks analysis (CA). Finally an explicit spatial model is set up in order to analyze the evolution of connectivity habitat and deliver some insights about environmental spatial planning. This model is based on the understanding that different species of animals have different dispersal characteristics and operate in the environment at different scales, meaning that there is a need for suitable linkages between natural spaces at a scale relevant to each species [5, 6]. Hence a generic spatially explicit model, constructed for analyzing habitat fragmentation of a landscape, should be implemented in a range of species specific scales. In order to serve decision makers as a tool, this type of analysis should take into account several focal species (e.g. small and large mammals, small birds, insects and plants) and then compile these results together into a landscape metric. This model is intended for use as a tool for spatial analysis that could be implemented on a sequence of temporal data and thus used for understanding of spatio-temporal dynamics of open space connectivity.

This work's purpose is thus threefold. First we introduce the importance of explicit spatial models for environmental studies, e.g. biodiversity conservation planning, environmental impacts of urbanization and urban planning, and more particularly explanation of the fitness of bottom up models to analyze evolution of connectivity habitat, based on state of the art of referenced papers and works published. Second, a step-by-step explanation of the modeling methods is conducted, so it could be used as a benchmark for others, devoted to this kind of studies. Third, rather than drawing conclusions, we prefer to make final remarks on further developments and define promising applications based on new

This methodology is developed in following stages: 1) the definition of the conceptual model regarding the integration of GIS, multi agent system and complex networks; 2) model implementation; 3) network analysis. Therefore the methodology contributes to the discussion on the relevance and suitability of multi agent systems, GIS & CN to model landscape fragmentation, as well as to improve the spatial dimension analysis techniques Past studies analyzed open space functioning through landscape modeling using network theoretic approach. A complex landscape can be conceptualized as a mosaic of habitat patches, connected by corridors, and surrounded by hostile matrix [12]. Spatial models usually take a snapshot in time and explore spatial aspects of ecosystems: pattern analysis, habitat fragmentation, patch structure, corridors and connectivity, least cost paths through a landscape [11]. Theory of island biogeography [13], together with the meta-population theory [14] [15], was seminal for development of spatial models in ecology. Different patches levels of species richness were compared.

Graph based approaches of landscape can yield estimates of the value of individual patches and corridors for the whole system. The approach is typical when tracking population dynamics and when detailed biological or demographic processes are not needed, or simply when such information is not available in practice [16]. A different type of study developed ranking of dispersal obstruction effect of the land and application of this index as a cost surface to the landscape [17]. The more detailed approach is to consider the land mosaic in its functional landscape heterogeneity and not as binary habitat-matrix. By creating a map of functional land-cover types, the impact of landscape heterogeneity on biodiversity is assessed [18]. Cantwell and Forman [19] explored the topology of graphs defined by the juxtaposition of different patch types. Links could represent potential dispersal routes, functional connections between different patches, trophic or mutualistic interactions, weighted by the strength of interaction or flow rate and direction [20].

Another method utilizes scenario examination modeling. A moderately complex implementation framework consisting of modeling future habitat state, simulating persistence of individual surrogate entities and then projecting it across multiple real entities was developed by Ferrier and Drielsma [21] and has been employed widely in various whole-landscape planning processes throughout New South Wales, Australia.

## **2.2. GIS-based modeling**

Although modern GIS became popular in the 1980's, various lineages can be found in GIS histories articles. Many works were done that point out some of the referenced in GIS functionality even before Roger Tomlinson GIS acronym creation in the 1960's. Some of these pre-GIS works were done by landscape architects and urban planners [22] alongside with geographers and computer scientists, and they highlight the need for well-informed environmental spatial decision concerning land use planning and land resource management. Two of the major GIS software producers in the market in the beginning of GIS computer automation were ESRI (with the ArcInfo software) and INTERGRAPH (with the MGE software). Both of them were built for Environmental spatial modeling purposes, testified by the names adopted, e.g. Environmental System Research Institute (ESRI) and Modular GIS Environment. This only emphasizes the importance of GIS tools and methods for environmental modeling and assessments.

A Bottom Up Approach to Modeling Habitat Connectivity Dynamics Through Networks Analysis 135

each patch. If the patch was a part of a big natural area, but recently became isolated by surrounding urban fabric, its biodiversity probably has not declined yet. This is because there is a time lag in ecosystem response to environmental disturbance. Another patch of similar configuration could have very different characteristics because it was used for agriculture sometime in the past. Land-use legacies of the patches themselves and their neighbors can affect ecological systems for long periods. Thus temporal perspective on patches land-use

Graph-theory is a branch of mathematics that is dedicated to network topology. Leonhard Euler created the graph theory in 1736, but until the 1950's it has been almost solely a mathematics and physics research subject. Due to GIS revolution and performance computing improvements between the end 1980's and 1990's, graph theory has been undergoing explosive growth in many disciplines including, geography, and of course landscape ecology and conservation biology [22]. Also, during that time period, we have witnessed the emergence of a new type of science: the science of complex networks [23]. Landscape and geographic networks can be considered as a subclass of complex networks, where nodes are located in an Euclidean bi- or three-dimensional space, and arcs express

There is a natural affinity between Graph Theory and Geography. In fact, if we look at the 1960's emergence of the quantitative analysis and mathematics in the Geography, we find that geographic network analysis (GNA) is not new [29]. Topology also echoes Tobler's groundbreaking work such as spatial dependence and interaction models. Therefore, and the fact that topology is about connectivity, the need becomes obvious to incorporate graph

Graph theory and complex networks metrics are useful not only to give a simplified visualization of system structure, but also to describe and analyze its accessibility, resilience and robustness, and to evaluate and compare its evolution through time. This approach allows us to understand how species interact, what are the implications of their spatial

Graph theoretic and complex networks metrics can be divided into two types: connectivity and accessibility metrics. Connectivity metrics allow comparing the structural complexity of the network, and measuring the degree of network connectivity. Accessibility metrics allow to measure individual nodal accessibility and can be considered as advanced network analysis. Using these metrics we can identify individual changes in the network and causes

Our conceptual data model uses GIS, Multy-agent systems and Network analysis. Why to combine these three approaches? The aim is to benefit from the advantages of these different

organization and their reaction to human activity inside and around their habitat. [5]

history is important [11] and should be implemented in spatial modeling using GIS.

**2.4. Networks and graph-theory** 

real physical relationships instead of abstract ones [24].

modeling and analysis of landscape habitat connectivity.

for global structural changes.

**2.5. Multi-agent systems** 

## **2.3. Biodiversity and land use change**

Biodiversity can be measured using different metrics. Species richness (alpha diversity) is the most intuitive way to understand it. Ecosystem (or beta) diversity is another metric. Of course different ecosystems have different species to inhabit them, so the two metrics are correlated in a landscape-wide context. [10]

Land-use changes that follow urbanization processes impact nature in various ways. Agricultural land-use captures space that belonged to nature and had its own biodiversity indices. After the change both diversity metrics tend to decline. Examining the dynamic process it could be said that some species will die out with more and more land captured by agriculture while several new ones will flourish (e.g. the grown species themselves and their parasites and predators). Every agricultural patch of land has some area of ecological influence outside its borders, dependent on type: intensive or extensive agriculture, husbandry, fish or bird farming, greenhouses, etc. Urban areas contain different land-uses. Built areas can be classified by population density, type of activity, etc. Different configurations of urban fabric can have different ecological footprints. One of the ways to classify urbanization is by percentage of impervious surfaces, which is expected to correlate with population density (residential Land Cover) and/or economic activity levels (commercial or industrial LC). Each urbanized patch has ecological influence that extends outside its borders, eg. residential areas have garbage collection points and other sources of food for some species; And industry has pollution effects that have different distance of influence (water, soil, noise and light pollution, magnetic fields etc.), which brings intensification of development, and more and more transport infrastructures are added. Roads, rails and navigable rivers are linear elements of the landscape that function as movement barriers with different impedance dependent on species characteristics and level of traffic. Therefore spatial elements of urbanization processes ecological impacts should be modeled using GIS. Spatial modeling is done as a snapshot in time, which masks the dynamic nature of the processes modeled, for instance, a relevant aspect is the history of each patch. If the patch was a part of a big natural area, but recently became isolated by surrounding urban fabric, its biodiversity probably has not declined yet. This is because there is a time lag in ecosystem response to environmental disturbance. Another patch of similar configuration could have very different characteristics because it was used for agriculture sometime in the past. Land-use legacies of the patches themselves and their neighbors can affect ecological systems for long periods. Thus temporal perspective on patches land-use history is important [11] and should be implemented in spatial modeling using GIS.

## **2.4. Networks and graph-theory**

**2.2. GIS-based modeling** 

for environmental modeling and assessments.

**2.3. Biodiversity and land use change** 

correlated in a landscape-wide context. [10]

134 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Although modern GIS became popular in the 1980's, various lineages can be found in GIS histories articles. Many works were done that point out some of the referenced in GIS functionality even before Roger Tomlinson GIS acronym creation in the 1960's. Some of these pre-GIS works were done by landscape architects and urban planners [22] alongside with geographers and computer scientists, and they highlight the need for well-informed environmental spatial decision concerning land use planning and land resource management. Two of the major GIS software producers in the market in the beginning of GIS computer automation were ESRI (with the ArcInfo software) and INTERGRAPH (with the MGE software). Both of them were built for Environmental spatial modeling purposes, testified by the names adopted, e.g. Environmental System Research Institute (ESRI) and Modular GIS Environment. This only emphasizes the importance of GIS tools and methods

Biodiversity can be measured using different metrics. Species richness (alpha diversity) is the most intuitive way to understand it. Ecosystem (or beta) diversity is another metric. Of course different ecosystems have different species to inhabit them, so the two metrics are

Land-use changes that follow urbanization processes impact nature in various ways. Agricultural land-use captures space that belonged to nature and had its own biodiversity indices. After the change both diversity metrics tend to decline. Examining the dynamic process it could be said that some species will die out with more and more land captured by agriculture while several new ones will flourish (e.g. the grown species themselves and their parasites and predators). Every agricultural patch of land has some area of ecological influence outside its borders, dependent on type: intensive or extensive agriculture, husbandry, fish or bird farming, greenhouses, etc. Urban areas contain different land-uses. Built areas can be classified by population density, type of activity, etc. Different configurations of urban fabric can have different ecological footprints. One of the ways to classify urbanization is by percentage of impervious surfaces, which is expected to correlate with population density (residential Land Cover) and/or economic activity levels (commercial or industrial LC). Each urbanized patch has ecological influence that extends outside its borders, eg. residential areas have garbage collection points and other sources of food for some species; And industry has pollution effects that have different distance of influence (water, soil, noise and light pollution, magnetic fields etc.), which brings intensification of development, and more and more transport infrastructures are added. Roads, rails and navigable rivers are linear elements of the landscape that function as movement barriers with different impedance dependent on species characteristics and level of traffic. Therefore spatial elements of urbanization processes ecological impacts should be modeled using GIS. Spatial modeling is done as a snapshot in time, which masks the dynamic nature of the processes modeled, for instance, a relevant aspect is the history of Graph-theory is a branch of mathematics that is dedicated to network topology. Leonhard Euler created the graph theory in 1736, but until the 1950's it has been almost solely a mathematics and physics research subject. Due to GIS revolution and performance computing improvements between the end 1980's and 1990's, graph theory has been undergoing explosive growth in many disciplines including, geography, and of course landscape ecology and conservation biology [22]. Also, during that time period, we have witnessed the emergence of a new type of science: the science of complex networks [23]. Landscape and geographic networks can be considered as a subclass of complex networks, where nodes are located in an Euclidean bi- or three-dimensional space, and arcs express real physical relationships instead of abstract ones [24].

There is a natural affinity between Graph Theory and Geography. In fact, if we look at the 1960's emergence of the quantitative analysis and mathematics in the Geography, we find that geographic network analysis (GNA) is not new [29]. Topology also echoes Tobler's groundbreaking work such as spatial dependence and interaction models. Therefore, and the fact that topology is about connectivity, the need becomes obvious to incorporate graph modeling and analysis of landscape habitat connectivity.

Graph theory and complex networks metrics are useful not only to give a simplified visualization of system structure, but also to describe and analyze its accessibility, resilience and robustness, and to evaluate and compare its evolution through time. This approach allows us to understand how species interact, what are the implications of their spatial organization and their reaction to human activity inside and around their habitat. [5]

Graph theoretic and complex networks metrics can be divided into two types: connectivity and accessibility metrics. Connectivity metrics allow comparing the structural complexity of the network, and measuring the degree of network connectivity. Accessibility metrics allow to measure individual nodal accessibility and can be considered as advanced network analysis. Using these metrics we can identify individual changes in the network and causes for global structural changes.

## **2.5. Multi-agent systems**

Our conceptual data model uses GIS, Multy-agent systems and Network analysis. Why to combine these three approaches? The aim is to benefit from the advantages of these different methods, that have proved to be fitted for analyze complex systems, namely environmental spatial systems.

A Bottom Up Approach to Modeling Habitat Connectivity Dynamics Through Networks Analysis 137

five types of uses/covers: urban (urb), industry and commerce (wrk), agriculture (agr), forest (gre) and wetlands (wet). The scale of the data (1:100 000) is more appropriate to deal with global/regional phenomena and in this case not so adequate to study habitat fragmentation. Despite that we use this data for our toy model as it is rapidly accessible and enables temporal analysis and thus is suitable for our test purposes. Further testing with other types

2) *About Geographic Information Systems data integration*. GIS are a special class of information systems that keep track of the location of the phenomena [7].The integration of georeferenced information in our computation process uses a specific application of NetLogo, the GIS extension. This extension provides the ability to load vector GIS data and

3) *About the computational modeling*. The computational modeling combines multi-agent system and network analysis using both NetLogo and Gephi software. First we model the connectivity graphs between land use patches based on rules that are defined using literature and are species specific parameters. Then we save the results (nodes and edges) with their coordinate system in order to explore them in network analysis software while

4) About multi-agent system (MAS) and Network analysis*.* The MAS enables to build connectivity graphs between the different land uses. These graphs can then be analyzed trough network analysis. The metrics are of two types: 1) global, i.e. representing the all structure of the networks (e.g. diameter, density, etc.), and 2) individual, i.e. representing the centrality and accessibility of each node (for instance Eigenvector, Betweenness and

*5) About the validation and calibration of the model*. During the development of the model, some problems were take in consideration: the scale is too global thus we need to test the model with data using a more detailed scale; the pixel size is too big so we need to decrease of the pixel size from 30x30m to 5x5m in order have more accuracy. We are only using one data type of generalized land uses. We need to combine other relevant spatial data such as infrastructure networks, urbanization densities, and areas with restriction to urban

The Unicorn model has been implemented in the NetLogo multi-agent system, in four steps.

First, it was necessary to find a way to load the data files from GIS into the NetLogo multiagent system and, to display them properly (without distortion, etc.) inside the small patches that constitute the world of NetLogo [1]. Then, neighborhood graphs were created between adjacent patches with the same land use. After this step, other connections were made between these neighborhoods, symbolizing all the possible paths between them that have been found according to the specific rules based on the distance neighborhood. Finally,

raster GIS data into NetLogo, thus preserving the geographical integrity of the data.

of data is planned.

maintaining the spatial perspective of the data.

Closeness centrality metrics)

**3.2. Model implementation** 

development.

## **3. Data and methods**

## **3.1. Model conceptualization**

According to Longley, et al (2001), conceptual model is "…Human oriented, partially structured, model of selected objects and processes that are thought relevant …". Bearing in mind our central issue: how to measure habitat connectivity from one point to another -, our first step is to the design the diagram that portrays this conceptual model. So, this first step is essential to define the data to be used and the subsequent operative processes. The conceptual model is developed in following stages (Fig. 1): 1) data acquisition; 2) GIS integration; 3) computational modeling; 4) multi agent system and network simulation; 5) validation of the model. Here we present a brief review on these topics.

**Figure 1.** Conceptual model

1) *About data acquisition and validation*. When acquiring data to integrate in a GIS environment we need to consider the following principles: the data is georeferenced and in this case uses a local datum in order to provide spatial accuracy. It has a detailed scale enabling to produce comprehensive information and it preserves topologic relationships. The analysis of habitat connectivity and its evolution considers land use data for a testregion. It uses land use/cover data from the Corine Land Cover (CLC) database of the EEA (European Environment Agency). The CLC data is obtained through satellite images and is available for Europe in vector format for three different periods: 1990, 2000, and 2006. It uses a pixel size of 30 meters and the smallest mapping unit area is 25 hectares. We use the 1990 and 2006 period as a toy example to analyze habitat connectivity evolution and we extract five types of uses/covers: urban (urb), industry and commerce (wrk), agriculture (agr), forest (gre) and wetlands (wet). The scale of the data (1:100 000) is more appropriate to deal with global/regional phenomena and in this case not so adequate to study habitat fragmentation. Despite that we use this data for our toy model as it is rapidly accessible and enables temporal analysis and thus is suitable for our test purposes. Further testing with other types of data is planned.

2) *About Geographic Information Systems data integration*. GIS are a special class of information systems that keep track of the location of the phenomena [7].The integration of georeferenced information in our computation process uses a specific application of NetLogo, the GIS extension. This extension provides the ability to load vector GIS data and raster GIS data into NetLogo, thus preserving the geographical integrity of the data.

3) *About the computational modeling*. The computational modeling combines multi-agent system and network analysis using both NetLogo and Gephi software. First we model the connectivity graphs between land use patches based on rules that are defined using literature and are species specific parameters. Then we save the results (nodes and edges) with their coordinate system in order to explore them in network analysis software while maintaining the spatial perspective of the data.

4) About multi-agent system (MAS) and Network analysis*.* The MAS enables to build connectivity graphs between the different land uses. These graphs can then be analyzed trough network analysis. The metrics are of two types: 1) global, i.e. representing the all structure of the networks (e.g. diameter, density, etc.), and 2) individual, i.e. representing the centrality and accessibility of each node (for instance Eigenvector, Betweenness and Closeness centrality metrics)

*5) About the validation and calibration of the model*. During the development of the model, some problems were take in consideration: the scale is too global thus we need to test the model with data using a more detailed scale; the pixel size is too big so we need to decrease of the pixel size from 30x30m to 5x5m in order have more accuracy. We are only using one data type of generalized land uses. We need to combine other relevant spatial data such as infrastructure networks, urbanization densities, and areas with restriction to urban development.

## **3.2. Model implementation**

spatial systems.

**3. Data and methods** 

**Figure 1.** Conceptual model

**3.1. Model conceptualization** 

136 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

validation of the model. Here we present a brief review on these topics.

methods, that have proved to be fitted for analyze complex systems, namely environmental

According to Longley, et al (2001), conceptual model is "…Human oriented, partially structured, model of selected objects and processes that are thought relevant …". Bearing in mind our central issue: how to measure habitat connectivity from one point to another -, our first step is to the design the diagram that portrays this conceptual model. So, this first step is essential to define the data to be used and the subsequent operative processes. The conceptual model is developed in following stages (Fig. 1): 1) data acquisition; 2) GIS integration; 3) computational modeling; 4) multi agent system and network simulation; 5)

1) *About data acquisition and validation*. When acquiring data to integrate in a GIS environment we need to consider the following principles: the data is georeferenced and in this case uses a local datum in order to provide spatial accuracy. It has a detailed scale enabling to produce comprehensive information and it preserves topologic relationships. The analysis of habitat connectivity and its evolution considers land use data for a testregion. It uses land use/cover data from the Corine Land Cover (CLC) database of the EEA (European Environment Agency). The CLC data is obtained through satellite images and is available for Europe in vector format for three different periods: 1990, 2000, and 2006. It uses a pixel size of 30 meters and the smallest mapping unit area is 25 hectares. We use the 1990 and 2006 period as a toy example to analyze habitat connectivity evolution and we extract

The Unicorn model has been implemented in the NetLogo multi-agent system, in four steps.

First, it was necessary to find a way to load the data files from GIS into the NetLogo multiagent system and, to display them properly (without distortion, etc.) inside the small patches that constitute the world of NetLogo [1]. Then, neighborhood graphs were created between adjacent patches with the same land use. After this step, other connections were made between these neighborhoods, symbolizing all the possible paths between them that have been found according to the specific rules based on the distance neighborhood. Finally,

these connections were saved and exported in a format, which can be used by Gephi [2], an open-source software for network visualization and analysis.

A Bottom Up Approach to Modeling Habitat Connectivity Dynamics Through Networks Analysis 139

The turtles are entities that are closest to the commonly used definition of agents –

 The patches are in fact small pieces of the "floor" of the model world. The viewing window is modeled as a grid of patches, each representing a square land area. Turtles are located on patches. As opposed to the mobile turtles, the patches are stationary;

 The observer is a unique agent and is the "master" of the world. It is through the observer that the modeler creates and manipulates other agents. It has no location or

In the case of the Unicorn model, all types of agents are used: patches are used to store the land use data from files generated with the GIS application; turtles and links are used to create connectivity graphs, first between adjacent patches of the same land use value, then

An extension of NetLogo, logically called "GIS extension", can be used to load topological

In our case, we imported the land use GIS data into the model. The data was in fact simple numerical values. The map was rasterized and each patch (or each "cell") contained a numeric code. Each one of those represented a particular type of land use. For instance, "111" meant that the current patch was a part of an urban area, "121" corresponded to industrial land-use, "211" to agriculture, "311" to semi-natural and natural landscape elements (woods, grasslands, etc.), "411" to water bodies (lakes, ponds, etc.) and, finally, negative numbers to not specified spaces (patches with no data or outside correspond the

NetLogo automatically matched the raster pixel grid contained in the imported file to the one formed by the patches. The data was then stored in a *patches-own* variable. The accuracy of the result of this mapping could be decreased or increased by adjusting the number of patches in the model. If there were fewer patches than values in the source file, they would acquire the value of the majority of patches that were inside the square of

The translation of these values was then performed in the model: each patch received the

land use it represented as a string and a fill color, for visualization (see Figure 1):

In red, urban areas (label, in the model: "urb");

In gray, not specified areas (empty label).

 In purple, working areas ("wrk"); In yellow, agricultural areas ("agr"); In green, grasslands and woods ("gre");

In blue, water bodies ("wet");

data, raster or vector, contained in files created with a GIS (shape files or ASCII files).

moving entities that can change state according to rules;

between non-neighboring patches of the same land use.

*3.3.1. Loading land use data into patches* 

visual representation.

studied map).

each pixel.

The links are a type of "linear" agents. They connect two turtles together;

## **3.3. Multi-agent system: NetLogo**

NetLogo is a software program and a programming language that is part of the Logo languages family, designed in a process of active learning and constructivist teaching for educational purposes (strong notion of play, testing and experimentation).

It is both:


The NetLogo language does not include many advanced or complex features in its basic use, compared to other multi-agent systems (such as some widely used pedestrian behavior models or graph creating features), since it must stay easy to learn. However, in addition to the advantages mentioned above, the system has a plethora of useful features that make it an excellent tool in communication and that enable designers to focus on implementing their models. Thus, it is possible:


These possibilities led NetLogo to become a tool used to program models in many different sectors, such as urban planning, biology, chemistry, social sciences, small games, etc. The implemented models belong to a wide range of complexity, from those which are called "simple" (such as the two-body problem) to much more complex systems (such as the simulation of pedestrian behavior during building evacuation).

Finally, it could be noted that the representation of agents in NetLogo is unusual. There are in fact only four different kinds of agents:


In the case of the Unicorn model, all types of agents are used: patches are used to store the land use data from files generated with the GIS application; turtles and links are used to create connectivity graphs, first between adjacent patches of the same land use value, then between non-neighboring patches of the same land use.

### *3.3.1. Loading land use data into patches*

It is both:

138 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

educational purposes (strong notion of play, testing and experimentation).

ancestry, this language is extremely easy to understand and learn;

open-source software for network visualization and analysis.

**3.3. Multi-agent system: NetLogo** 

as sliders, buttons, menus, etc.).

models. Thus, it is possible:

spreadsheet software;

these connections were saved and exported in a format, which can be used by Gephi [2], an

NetLogo is a software program and a programming language that is part of the Logo languages family, designed in a process of active learning and constructivist teaching for

 An agent-oriented programming language massively used to create, among various other things, virtual worlds in which thousands of entities (agents) can be created and simulated, each with their own processes and their own rules. Because of it's Logo

 An application that offers a complete and flexible graphical interface. It has multiple tools to visualize and study models (agent monitors, command center, viewing window, plots, etc.). In NetLogo it is possible to start and stop simulations or even directly manipulate some variables throughout the process (using graphical items such

The NetLogo language does not include many advanced or complex features in its basic use, compared to other multi-agent systems (such as some widely used pedestrian behavior models or graph creating features), since it must stay easy to learn. However, in addition to the advantages mentioned above, the system has a plethora of useful features that make it an excellent tool in communication and that enable designers to focus on implementing their

 To export the results, displayed at any time through the graphical interface, as images, movies or CSV files (Comma-separated values files), useful for further data analysis in

To extend the language by creating extra functions oneself (written in Java or Scala) or

To replicate the same simulations or even to run entire experimental designs, when the

These possibilities led NetLogo to become a tool used to program models in many different sectors, such as urban planning, biology, chemistry, social sciences, small games, etc. The implemented models belong to a wide range of complexity, from those which are called "simple" (such as the two-body problem) to much more complex systems (such as the

Finally, it could be noted that the representation of agents in NetLogo is unusual. There are

studied model requires more than one try (such as stochastic models), etc.

just by using extensions created by other programmers; To integrate the whole system into another application;

simulation of pedestrian behavior during building evacuation).

in fact only four different kinds of agents:

An extension of NetLogo, logically called "GIS extension", can be used to load topological data, raster or vector, contained in files created with a GIS (shape files or ASCII files).

In our case, we imported the land use GIS data into the model. The data was in fact simple numerical values. The map was rasterized and each patch (or each "cell") contained a numeric code. Each one of those represented a particular type of land use. For instance, "111" meant that the current patch was a part of an urban area, "121" corresponded to industrial land-use, "211" to agriculture, "311" to semi-natural and natural landscape elements (woods, grasslands, etc.), "411" to water bodies (lakes, ponds, etc.) and, finally, negative numbers to not specified spaces (patches with no data or outside correspond the studied map).

NetLogo automatically matched the raster pixel grid contained in the imported file to the one formed by the patches. The data was then stored in a *patches-own* variable. The accuracy of the result of this mapping could be decreased or increased by adjusting the number of patches in the model. If there were fewer patches than values in the source file, they would acquire the value of the majority of patches that were inside the square of each pixel.

The translation of these values was then performed in the model: each patch received the land use it represented as a string and a fill color, for visualization (see Figure 1):


A Bottom Up Approach to Modeling Habitat Connectivity Dynamics Through Networks Analysis 141

**LET n**: connected turtles to turtles **a** 

**SET n** : connected turtles to turtles **a** 

**ADD** to **L** the set of links between turtles **a** 

The fig. 3 is an example of output: 7 areas were detected.

**Figure 3.** An example of creation of neighborhoods

Position in turtles and

**Table 1.**

**Scheme 1.** Areas detection (propagation through neighborhoods) algorithm.

At the end of the process, we obtained two lists containing the following seven items:

same neighborhood

Number of links between turtles

links lists Land use label Number of turtles in the

0 Agr 2 1 1 Urb 30 43 2 Gre 85 141 3 Gre 1 0 4 Gre 7 7 5 Gre 18 20 6 Agr 169 273

**WHILE** there are turtles in **n a** 

**REMOVE** all turtles **a** to **T** 

FOREACH n a **ADD n** to **a**  END FOREACH

END WHILE ADD a to A

END WHILE

END PROCEDURE

**Figure 2.** Overview of an imported land use dataset in the Unicorn model

### *3.3.2. Land use neighborhoods*

After each patch received its land use value, it was necessary to classify them in groups belonging to the same area.

An area was defined as a group of patches sharing the same land use value and having at least one of their 4-neighbors (patches with one side in common with the current patch: patches directly to the north, south, to the east and west) following the same rule.

A node (turtle) was created in the center of each patch with a certain land use value. Next each one of the nodes was connected (through a link) to those present on the four neighboring patches with the same land use value. Then, we used a propagation algorithm to retrieve sets of turtles, which were interconnected (see Algorithm 1). Sets of links that belonged to each set of turtles were stored in another list, but in the same order. All interconnected nodes belonged to the same and unique group.

```
PROCEDURE find_areas
```

```
LET A = [ ]: sets of turtles in the same area 
LET L = [ ]: sets of links between turtles in the same area 
LET T: set of turtles which are not member of any item of A
WHILE T is not empty 
SELECT one random turtle from T (seed) 
LET a = { T }: set of turtles in the current new area
```
A Bottom Up Approach to Modeling Habitat Connectivity Dynamics Through Networks Analysis 141

```
LET n: connected turtles to turtles  a 
WHILE there are turtles in n  a 
FOREACH n  a
ADD n to a 
END FOREACH 
SET n : connected turtles to turtles  a 
END WHILE
ADD a to A 
ADD to L the set of links between turtles  a 
REMOVE all turtles  a to T 
END WHILE
```
END PROCEDURE

140 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 2.** Overview of an imported land use dataset in the Unicorn model

interconnected nodes belonged to the same and unique group.

**LET a** = { **T** }: set of turtles in the current new area

**LET L** = [ ]: sets of links between turtles in the same area **LET T**: set of turtles which are not member of any item of **A**

**LET A** = [ ]: sets of turtles in the same area

**SELECT** one random turtle from **T** (seed)

After each patch received its land use value, it was necessary to classify them in groups

An area was defined as a group of patches sharing the same land use value and having at least one of their 4-neighbors (patches with one side in common with the current patch:

A node (turtle) was created in the center of each patch with a certain land use value. Next each one of the nodes was connected (through a link) to those present on the four neighboring patches with the same land use value. Then, we used a propagation algorithm to retrieve sets of turtles, which were interconnected (see Algorithm 1). Sets of links that belonged to each set of turtles were stored in another list, but in the same order. All

patches directly to the north, south, to the east and west) following the same rule.

*3.3.2. Land use neighborhoods* 

belonging to the same area.

PROCEDURE find\_areas

**WHILE T** is not empty

**Scheme 1.** Areas detection (propagation through neighborhoods) algorithm.

The fig. 3 is an example of output: 7 areas were detected.

**Figure 3.** An example of creation of neighborhoods

At the end of the process, we obtained two lists containing the following seven items:


**Table 1.**

#### *3.3.3. Building connections between same land-use neighborhoods*

We considered the distance between the neighborhoods with the same land use. The algorithm searched for all existing paths between their patches, according to a certain maximum threshold distance (see scheme 2). Only turtle-to-turtle displacements were allowed, through links, so we used the Manhattan distance (also called the taxicab norm) to find the paths, instead of the Euclidian distance, as animals disperse from one patch to another they have a general destination, but they don't move in a straight line. Rather, they exhibit foraging behavior, exploring the area and searching for food on the way.

A Bottom Up Approach to Modeling Habitat Connectivity Dynamics Through Networks Analysis 143

IF (land use value of ni CA OR ni turtles\_ends) AND manhattan\_distance(last turtle of C, turtle\_start) ≤ distance\_max AND ni C

With these procedures, the paths were found two times: from an area A to an area B and, in

Applied with the example shown in Fig. 3 and a maximum distance of 3 patches, we

Each triplet contains the position of the starting area, the position of the ending area in the list of groups of turtles (with the same land use value created in section 3.3.1) and the

**Figure 4.** Connections between green areas with a maximum distance of 3 patches

[4 5 10] [5 4 10] [3 5 3] [5 3 3] [3 4 28] [4 3 28] [3 6 37] [6 3 37]

If the maximum distance is 5 patches, then the algorithm produces more paths (see Fig. 5):

THEN **ADD C** to **PF** ELSE

THEN

Push(C, Q) END IF END FOREACH END IF END WHILE END PROCEDURE

**ADD ni** at the end of **C**

**FOREACH ni** 4-neighbors of last turtle of **C** 

the reverse situation, from the area B to the area A.

[2 5 1] [5 2 1] [2 3 1] [3 2 1] [3 4 3] [4 3 3]

number of paths between them.

obtained the following result, illustrated in Fig. 4 below:

PROCEDURE find\_connections\_between\_areas

**LET distance\_max**: maximum distance for finding paths between areas with same land use value **LET A**: sets of turtles in the same neighborhood **FOREACH** set **S** in **A LET B**: turtles **S**, with less than 4 links between them and others turtles **S** (i.e. turtles on the edge) **LET list\_num\_paths**: list of numbers of paths between **S** and other sets of turtles **A FOREACH** turtle **b B FOREACH** set **Si** in **A** (**Si** ≠ **S**) **LET i**: position of **Si** in **A**  LET Bi: set of turtles bi Si, on the edge AND with manhattan\_distance(b, bi) ≤ distance\_max LET C: paths(b, Bi) INCREMENT item i of list\_num\_paths by COUNT C FOREACH C **CREATE** red links between start and end END FOREACH END FOREACH END FOREACH END FOREACH

END PROCEDURE

**Scheme 2.** Procedure for finding the number of connections between areas with same land use value, within a given maximum distance algorithm.

In scheme 2, the Paths(start, ends) procedure was used to compute all paths between a turtle from the edge of an area (start of the searching) and turtles from the edge of another area which were not too far from the first one (ends). A path is a list of turtles. We used a simple graph search algorithm (see Algorithm 3).

```
PROCEDURE paths(turtle_start, turtles_ends) 
LET distance_max: maximum length for a path 
LET PF = [ ]: list of paths found
LET Q = [[turtle_start]]: stack of paths found partially
LET CA: land use that can be "crossable"
WHILE Q is not empty 
LET C: Pop(Q) (last partial path in Q) 
IF last turtle of C  turtles_ends
```

```
THEN 
ADD C to PF
ELSE 
FOREACH ni  4-neighbors of last turtle of C 
IF (land use value of ni  CA OR ni  turtles_ends) AND 
manhattan_distance(last turtle of C, turtle_start) ≤ distance_max AND ni  C
THEN
ADD ni at the end of C
Push(C, Q) 
END IF 
END FOREACH 
END IF 
END WHILE 
END PROCEDURE
```
With these procedures, the paths were found two times: from an area A to an area B and, in the reverse situation, from the area B to the area A.

Applied with the example shown in Fig. 3 and a maximum distance of 3 patches, we obtained the following result, illustrated in Fig. 4 below:

[2 5 1] [5 2 1] [2 3 1] [3 2 1] [3 4 3] [4 3 3]

142 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

exhibit foraging behavior, exploring the area and searching for food on the way.

We considered the distance between the neighborhoods with the same land use. The algorithm searched for all existing paths between their patches, according to a certain maximum threshold distance (see scheme 2). Only turtle-to-turtle displacements were allowed, through links, so we used the Manhattan distance (also called the taxicab norm) to find the paths, instead of the Euclidian distance, as animals disperse from one patch to another they have a general destination, but they don't move in a straight line. Rather, they

**LET distance\_max**: maximum distance for finding paths between areas with same

**LET B**: turtles **S**, with less than 4 links between them and others turtles

**LET list\_num\_paths**: list of numbers of paths between **S** and other sets of

LET Bi: set of turtles bi Si, on the edge AND with manhattan\_distance(b,

**Scheme 2.** Procedure for finding the number of connections between areas with same land use value,

In scheme 2, the Paths(start, ends) procedure was used to compute all paths between a turtle from the edge of an area (start of the searching) and turtles from the edge of another area which were not too far from the first one (ends). A path is a list of turtles. We used a simple

*3.3.3. Building connections between same land-use neighborhoods* 

PROCEDURE find\_connections\_between\_areas

**LET A**: sets of turtles in the same neighborhood

INCREMENT item i of list\_num\_paths by COUNT C

**CREATE** red links between start and end

within a given maximum distance algorithm.

graph search algorithm (see Algorithm 3).

**LET PF** = [ ]: list of paths found

**WHILE Q** is not empty

PROCEDURE paths(turtle\_start, turtles\_ends) **LET distance\_max**: maximum length for a path

**LET CA**: land use that can be "crossable"

**LET C**: **Pop(Q)** (last partial path in **Q**)

**IF** last turtle of **C turtles\_ends** 

**LET Q** = [[**turtle\_start**]]: stack of paths found partially

land use value

turtles **A** 

FOREACH C

END FOREACH END FOREACH END FOREACH END FOREACH END PROCEDURE

**FOREACH** set **S** in **A** 

**FOREACH** turtle **b B** 

bi) ≤ distance\_max LET C: paths(b, Bi)

**S** (i.e. turtles on the edge)

**FOREACH** set **Si** in **A** (**Si** ≠ **S**) **LET i**: position of **Si** in **A** 

Each triplet contains the position of the starting area, the position of the ending area in the list of groups of turtles (with the same land use value created in section 3.3.1) and the number of paths between them.

**Figure 4.** Connections between green areas with a maximum distance of 3 patches

If the maximum distance is 5 patches, then the algorithm produces more paths (see Fig. 5): [4 5 10] [5 4 10] [3 5 3] [5 3 3] [3 4 28] [4 3 28] [3 6 37] [6 3 37]

A Bottom Up Approach to Modeling Habitat Connectivity Dynamics Through Networks Analysis 145

complete), the diameter (How far apart are the two most distant nodes), modularity (communities detection) and the time-line (that allow us to compare the evolution of connectivity). For individual network metrics, which are the ones that revealing the accessibility of each node of the network and better understand the role and importance of the node in the network. The degree of the node or eigenvector (measures the importance of a node in the network based on node's connections), the betweeness (measure how often a node appears on shortest-path between nodes in the network) and closeness (the average distance from a given starting node to all others nodes in the

The global metrics revealed, for both time periods (1990 and 2006), the presence of poor

**Metric 1990 2006**

Diameter 8 5

Density 0.043 0.029

Average Path length 2.16 3.45

The highest the values for density and diameter of the network, less are the connectivity, and consequently more fragmented the landscape are, i.e. more difficult for species to travel through patches (average path length). That reality is highlighted by the existence of more

20 30

The following figure (fig. 6) is also very helpful for us to understand network evolution

As we can see, from 1990 to 2006 there is a lost of connection between nodes (habitat) on the NW part of the network, which leads to the creation of more sub-graphs and consequently

network) [27, 28].

**Table 2.**

isolated communities.

lost of connectivity.

through time.

**4. Results and discussion** 

connectivity networks (table 1).

Modularity Number of Communities

**Figure 5.** Connections between green areas with a maximum distance of 5 patches

The results were then saved into a file to be read by Gephi. For each area, the model computed and stored the polygon centroid (average of coordinates of the patches) instead of center (average of the coordinates) and the number of patches that composed it, its land use value and the year of the studied data. Then, for each connection between areas, the starting and the ending areas are stored, and the number of paths found between the two.

## **3.4. Network analysis**

Complexity dictates the end of the reductionism, and has explained that for us to comprehend nature we can no longer first decipher its components, but instead we have deciphered the relations taking place. Nowadays, scientists recognize that nothing happens in isolation and most events and phenomena are connected, caused by, interacting with each other [26].

We already have subscribe Longley et al phrase that's something special about spatial, and also we have argue that graph theory and complex networks metrics are useful tools not only for networks visualization, but also to describe and analyze network structure, it's resilience and robustness, well as the accessibility of the components, and to evaluate and compare its evolution, through time. Taking that in account, we aim to have software that allows us to do spatial-temporal network analysis, and to uncover information that has been unrevealed due to classic linear analysis methodologies, that rather considering the phenomena dialectic are focus on the phenomena's. Therefore, we come into Gephi which is an open source software for graph and network analysis that also provides easy and broad access to network data and allows for spatializing, filtering, navigating, manipulating and clustering [28].

The networks metrics for analysis that we consider can be shifted in two: global metrics and individual metrics. Global metrics are the ones that analyze the network as a whole, its connectivity and structure. The density (that tell us how close is a graph to become complete), the diameter (How far apart are the two most distant nodes), modularity (communities detection) and the time-line (that allow us to compare the evolution of connectivity). For individual network metrics, which are the ones that revealing the accessibility of each node of the network and better understand the role and importance of the node in the network. The degree of the node or eigenvector (measures the importance of a node in the network based on node's connections), the betweeness (measure how often a node appears on shortest-path between nodes in the network) and closeness (the average distance from a given starting node to all others nodes in the network) [27, 28].

## **4. Results and discussion**

**3.4. Network analysis** 

other [26].

clustering [28].

144 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 5.** Connections between green areas with a maximum distance of 5 patches

and the ending areas are stored, and the number of paths found between the two.

The results were then saved into a file to be read by Gephi. For each area, the model computed and stored the polygon centroid (average of coordinates of the patches) instead of center (average of the coordinates) and the number of patches that composed it, its land use value and the year of the studied data. Then, for each connection between areas, the starting

Complexity dictates the end of the reductionism, and has explained that for us to comprehend nature we can no longer first decipher its components, but instead we have deciphered the relations taking place. Nowadays, scientists recognize that nothing happens in isolation and most events and phenomena are connected, caused by, interacting with each

We already have subscribe Longley et al phrase that's something special about spatial, and also we have argue that graph theory and complex networks metrics are useful tools not only for networks visualization, but also to describe and analyze network structure, it's resilience and robustness, well as the accessibility of the components, and to evaluate and compare its evolution, through time. Taking that in account, we aim to have software that allows us to do spatial-temporal network analysis, and to uncover information that has been unrevealed due to classic linear analysis methodologies, that rather considering the phenomena dialectic are focus on the phenomena's. Therefore, we come into Gephi which is an open source software for graph and network analysis that also provides easy and broad access to network data and allows for spatializing, filtering, navigating, manipulating and

The networks metrics for analysis that we consider can be shifted in two: global metrics and individual metrics. Global metrics are the ones that analyze the network as a whole, its connectivity and structure. The density (that tell us how close is a graph to become The global metrics revealed, for both time periods (1990 and 2006), the presence of poor connectivity networks (table 1).


#### **Table 2.**

The highest the values for density and diameter of the network, less are the connectivity, and consequently more fragmented the landscape are, i.e. more difficult for species to travel through patches (average path length). That reality is highlighted by the existence of more isolated communities.

The following figure (fig. 6) is also very helpful for us to understand network evolution through time.

As we can see, from 1990 to 2006 there is a lost of connection between nodes (habitat) on the NW part of the network, which leads to the creation of more sub-graphs and consequently lost of connectivity.

A Bottom Up Approach to Modeling Habitat Connectivity Dynamics Through Networks Analysis 147

*Instituto de Geografia e Ordenamento do Território, Universidade de Lisboa, Lisboa, Portugal* 

*Instituto de Geografia e Ordenamento do Território, Universidade de Lisboa, Lisboa, Portugal* 

*Laboratoire d'Informatique, Institute de Système Complexes Paris-Île de France (ISC-PIF), Paris,* 

[1] Wilson, E.O. ed., F.M.Peter, ass. Ed. (1988) Biodiversity, National Academy Press.

[2] Benguigui, L., Czamanski, D. Z., & Marinov, M. (2001). City Growth as a Leap-frogging Process: An Application to the Tel-Aviv Metropolis. Urban Studies, 38(10), 1819-1839 [3] Batty, M. (2005) Cities and Complexity: Understanding Cities with Cellular Automata,

[4] EEA, Landscape fragmentation in Europe, Joint EEA-FOEN report No 2/2011 www.eea.europa.eu—landscape-fragmentation-in-europe. Accessed 2012 February 14. [5] Sylwester, Alexandra. (2009) Green Infrastructure - supporting connectivity, maintaining sustainability. European Commission, DG Environment, discussion paper, http://green-

europe.org/download/Discussion%20Paper%20Green%20Infrastructure%20Aleksandra

[6] Bennett, F. A. (1998, 2003). Linkages in the landscape. The Role of Corridors and Connectivity in Wildlife Conservation. In The World Conservation Union (ed.): IUCN Forest Conservation Programme, Conserving Forest Ecosystems Series No. 1. IUCN,

[7] Longley, P.; Goodchild, M.; Maguire, D.; Rhind, D. (2001) - Geographic information

[9] Alfasi N., Benenson I., Almagor J. (2012).The actual impact of comprehensive land-use plans: Insights from high resolution observations Land Use Policy,

[10] Tscharntke, Teja. (2011). Landscape moderation of biodiversity patterns and processes.

[11] Ramalho, Cristina E. and Hobbs, Richard J. (2011). Time for a change: dynamic urban

[12] R.T.T. Forman & M. Godron (1986). "Landscape ecology" Jonhn Wiley & Sons,Inc

http://www.nap.edu/catalog.php?record\_id=989. Accessed 2012 March 23

Agent-Based Models, and Fractals, The MIT Press, Cambridge, MA

%20Sylwester.pdf. Accessed 2011 November 21.

doi:10.1016/j.landusepol.2012.01.003

ecology Trends in Ecology and Evolution

systems and science. John Wiley & Sons, Ltd., West Sussex

The Ninth Nekudat Hen Symposium, Ramat Hanadiv

[8] RAMAS http://www.ramas.com/software.htm. Accessed 2012 March 24.

*Technion - Israel Institute of Technology, Faculty of Architecture and Town Planning, Haifa, Israel* 

**Author details** 

Paulo Morgado

Marina Toger

Jérémy Fiegel

**6. References** 

infrastructure-

Australia

*France* 

Patricia Abrantes

**Figure 6.** Temporal analysis connectivity

## **5. Conclusions and further research**

We can conclude that our spatial-temporal bottom-up approach model suites the empirical knowledge on the habitat analysis so it can uncover some reality, as habitat fragmentation on space and species dangerous of isolation and extinction, accordingly to some business-asusual kind of trend spatial policy.

Although, we consider that the model as to be more refine and robust in order to better fits reality and applies for well better spatial planning decisions. The fact that we needed to migrate data through different software's is a major minus. Therefore, our further research is either considering a creation of a friendly graphic user interface that could run as a plugin for some GIS software, or build our own GIS-Multi-agent-complex network based open source software.

Also, in a more short time table, we are already experiment and parameterize some individual metrics of nodes accessibility as an upgrade of connectivity metrics. We consider those metrics helpful for understand resilience and robustness of the network, i.e. what could happen to the network connectivity, if we lose this or theses particular nodes? Which nodes (habitats) lose their connectivity to the network? Which nodes is the core or the periphery of the network? Which nodes are from the cluster or the hub of the network? Those are only some of the answers that we could already get answers, both we believe at this research stage of our experimental project, that some other algorithms can be easily created and tested.

## **Author details**

**Figure 6.** Temporal analysis connectivity

usual kind of trend spatial policy.

source software.

created and tested.

**5. Conclusions and further research** 

146 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

We can conclude that our spatial-temporal bottom-up approach model suites the empirical knowledge on the habitat analysis so it can uncover some reality, as habitat fragmentation on space and species dangerous of isolation and extinction, accordingly to some business-as-

Although, we consider that the model as to be more refine and robust in order to better fits reality and applies for well better spatial planning decisions. The fact that we needed to migrate data through different software's is a major minus. Therefore, our further research is either considering a creation of a friendly graphic user interface that could run as a plugin for some GIS software, or build our own GIS-Multi-agent-complex network based open

Also, in a more short time table, we are already experiment and parameterize some individual metrics of nodes accessibility as an upgrade of connectivity metrics. We consider those metrics helpful for understand resilience and robustness of the network, i.e. what could happen to the network connectivity, if we lose this or theses particular nodes? Which nodes (habitats) lose their connectivity to the network? Which nodes is the core or the periphery of the network? Which nodes are from the cluster or the hub of the network? Those are only some of the answers that we could already get answers, both we believe at this research stage of our experimental project, that some other algorithms can be easily Paulo Morgado *Instituto de Geografia e Ordenamento do Território, Universidade de Lisboa, Lisboa, Portugal* 

Marina Toger *Technion - Israel Institute of Technology, Faculty of Architecture and Town Planning, Haifa, Israel* 

#### Patricia Abrantes

*Instituto de Geografia e Ordenamento do Território, Universidade de Lisboa, Lisboa, Portugal* 

Jérémy Fiegel

*Laboratoire d'Informatique, Institute de Système Complexes Paris-Île de France (ISC-PIF), Paris, France* 

## **6. References**


europe.org/download/Discussion%20Paper%20Green%20Infrastructure%20Aleksandra %20Sylwester.pdf. Accessed 2011 November 21.

	- [13] MacArthur, R. H. & Wilson, E. O. (1967). The Theory of Island Biogeography. Princeton, N.J.: Princeton University Press

**Chapter 7** 

© 2012 Oteng-Ababio, licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Oteng-Ababio, licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**Electronic Waste Management in Ghana** 

Man has always been proficient producer of waste; however, towards the end of the 20th century saw the upsurge of a new, noxious clutter: the electronic detritus that has come to be known as e-waste. The consumption of electronics: televisions, computers, cell phones, video games, iPods, etc has increased over the last few years, making the electronic industry the world's largest and fastest growing enterprise [1]. The boom in the consumption of electronic products also come with a price to be paid –the management of the end-of-use products, or the e-waste. According to UN estimates, between 20 to 50 million tonnes of ewaste are generated worldwide annually, accounting for about 5% of all municipal solid waste. Not only is the figure representing the fastest growing municipal waste stream, it also has the potential of increasing further. In the case of mobile phones, for example, 98

The increased consumption and production of EEE have been facilitated by rapid economic growth, an increasing urbanization and globalization [2]. These have become major drivers of change, providing forceful leverage to socio - economic and technological growth in most developing societies, and contributing significantly to the digital revolution worldwide. Indeed, new electronic gadgets and appliances have infiltrated every facet of live today, providing society with more comfort, health, security and easy information acquisition and exchange [3]. Ironically, e-waste has become an emerging challenge as well as a business opportunity of tremendous significance. This is due to the volumes being generated and the content of both toxic and valuable materials in them. The fraction of iron, copper, aluminium, gold and other metals in e-waste is over 60% while plastics account for about

Some recent studies [5,6] indicate that the society is 'unconsciously' creating its own toxic footprints. A research by Swerts argues that "the same hyper-technology that is hailed as a

**– Issues and Practices** 

Additional information is available at the end of the chapter

million phones are said to be discarded in America annually [1].

30%, with hazardous pollutants comprising about 2.7% [4].

Martin Oteng-Ababio

http://dx.doi.org/10.5772/45884

**1. Introduction** 


## **Electronic Waste Management in Ghana – Issues and Practices**

Martin Oteng-Ababio

148 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

heterogeneity for biological control. Bull. Entomol. Soc. Am., 15, 237–240.

[15] Hanski, I. (1998). "Metapopulation Dynamics." Nature 396: 41–49

503–516,; http://www.amjbot.org/ doi:10.3732/ajb.1000424

Science and Practice 16th Annual UK-IALE Conference Edinburgh

N.J.: Princeton University Press

Planning 71

0248.2010.01559

and Distributions, 16, 386–402

*Physical Review E*, 73: 1-8.

Social Media.

from the Pioneers. Prentice Hall, New Jersey.

Evanston, IL. Accessed 2012 March 25.

[13] MacArthur, R. H. & Wilson, E. O. (1967). The Theory of Island Biogeography. Princeton,

[14] Levins, R. (1969). Some demographic and genetic consequences of environmental

[16] Saura Santiago (2009). "Measuring connectivity in landscape networks: towards meaningful metrics and operational decision support tools" Ecological Networks:

[17] Marull, Joan, & Mallarach, J. M. (2005). A GIS methodology for assessing ecological connectivity: application to the Barcelona Metropolitan Area. Landscape and Urban

[18] Fahrig L. Baudry J. *et al*. (2011). "Functional landscape heterogeneity and animal biodiversity in agricultural landscapes" Ecology Letters, 14: 101–112 doi: 10.1111/j.1461-

[19] Cantwell, Margot D. and Forman R.T.T. (1993). Landscape graphs: Ecological modeling with graph theory to detect configurations common to diverse landscapes. Landscape

[21] S.Ferrier & M. Drielsma (2010). "Synthesis of pattern and process in biodiversity conservation assessment: a flexible whole-landscape modeling framework." Diversity

[22] Foresman, T. (ed.) (1998). The History of Geographic Information Systems. Perpectives

[24] Cardillo, A. *et al* (2006). Structural properties of planar graphs of urban street patterns.

[25] Chorley, R.; Hagget, P. (1969). *Network Analysis in Geography*. Edward Arnold, London. [26] Barabási, A-L. (2003). *Linked. How everything is connected to everything else and what it* 

[27] Wilensky, U. (1999). NetLogo. http://ccl.northwestern.edu/netlogo/. Center for Connected Learning and Computer-Based Modeling, Northwestern University.

[28] Bastian M., Heymann S., Jacomy M. (2009). Gephi: an open source software for exploring and manipulating networks. International AAAI Conference on Weblogs and

[29] Taaffe, E. and Gauthier, H. (1973). Geography of Transportation. In Foundations of

[23] Watts, D. (2004) - *Six degrees. The science of a connected age*. Vintage, London.

*means for business, science, and everyday life*. Plume, New York.

Economic Geography Series. Prentice Hall, Englewood Cliffs

Ecology vol. 8 no. 4 pp 239-255 (1993) SPB Academic Publishing bv, The Hague [20] Gonzalez A., Rayfield B., Lindo Z. (2011). "The Disentangled Bank: How Loss of Habitat Fragments and Disassembles Ecological Networks" American Journal of Botany 98(3): Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45884

## **1. Introduction**

Man has always been proficient producer of waste; however, towards the end of the 20th century saw the upsurge of a new, noxious clutter: the electronic detritus that has come to be known as e-waste. The consumption of electronics: televisions, computers, cell phones, video games, iPods, etc has increased over the last few years, making the electronic industry the world's largest and fastest growing enterprise [1]. The boom in the consumption of electronic products also come with a price to be paid –the management of the end-of-use products, or the e-waste. According to UN estimates, between 20 to 50 million tonnes of ewaste are generated worldwide annually, accounting for about 5% of all municipal solid waste. Not only is the figure representing the fastest growing municipal waste stream, it also has the potential of increasing further. In the case of mobile phones, for example, 98 million phones are said to be discarded in America annually [1].

The increased consumption and production of EEE have been facilitated by rapid economic growth, an increasing urbanization and globalization [2]. These have become major drivers of change, providing forceful leverage to socio - economic and technological growth in most developing societies, and contributing significantly to the digital revolution worldwide. Indeed, new electronic gadgets and appliances have infiltrated every facet of live today, providing society with more comfort, health, security and easy information acquisition and exchange [3]. Ironically, e-waste has become an emerging challenge as well as a business opportunity of tremendous significance. This is due to the volumes being generated and the content of both toxic and valuable materials in them. The fraction of iron, copper, aluminium, gold and other metals in e-waste is over 60% while plastics account for about 30%, with hazardous pollutants comprising about 2.7% [4].

Some recent studies [5,6] indicate that the society is 'unconsciously' creating its own toxic footprints. A research by Swerts argues that "the same hyper-technology that is hailed as a

© 2012 Oteng-Ababio, licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Oteng-Ababio, licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

'crucial vector' for future modern societal development has a not-so-modern downside to it: electronic waste" [7]. The fact is that the increasing 'market penetration' in the developing countries, 'replacement market' in the developed countries and 'high obsolescence rate' make e-waste one of the fastest growing waste streams. Currently, the average life span of a computer has shrunk from 6 years in 1997 to less than 2 years as at 2005, generating a flourishing export trade in used computers from developed to developing countries through up to 75% of such shipments are normally unusable [8].

Electronic Waste Management in Ghana – Issues and Practices 151

Source: Oteng-Ababio, 2012

**Figure 1.** Map showing the study area

The resultant waste is posing a serious challenge in disposal and recycling and creating ugly solid waste management (SWM) scenes in most developing societies. The fact is that, managing the normal waste from households in these countries already appears to be an insurmountable task [9]. It is therefore seen as more complicated if the so-called e-waste invasion from developed countries finds an easy entry into the developing countries all in the name of free trade [10]. Admittedly, the absence of proper mechanism, regulations and standards of disposal make these high-tech products often end their lives in the 'normal' waste stream meant either for recycling or landfilling [9]. The situation becomes worrying in situations where studies in China and India have shown that unregulated disposal of such wastes can contaminate soil, groundwater, and air, as well as affect all those involve in their processing, as well as the nearby communities [11,5].

Without doubt, most of the e-waste disposed of in developed countries eventually arrives in African countries through both legal and illegal means [9], where it is processed under risky conditions by poor and marginalised population. This condition of risk includes toxic health and environmental dangers. However, at the same time, access to livelihoods, access to technology, upgrading of technical skills and know how, the extension of useful life of electronics and material reuse also occur [12,13]. The e-waste processing sites in Ghana exemplifies the challenges Africa policy makers face with respect to e-waste and its impacts on health and the environment.

This paper looks at the magnitude e-waste trade in Ghana by analyzing the growing trade in electronic products ostensibly "to bridge the digital divide". It also examines its current management practices. The goal is to help raise awareness about the growing e-waste menace and encourage critical debate around the issues and hopefully, enable further action. The objectives of the study were achieved through years of research in the subject area [see 9,14,13,15]. The data were further updated by in-depth interviews with the key stakeholders in both public and private sectors, especially at Agblgbloshie which is the hub of e-waste activities in the country (see Figure 1).

The paper is structured as follows. The next section explores the meaning of e-waste and poses the question whether e-waste is a reality or myth. The third section examines the global dynamics of e-waste and presents an overview of the Ghanaian situation. This is followed by a discussion on the e-waste circuitry in Accra including the limitations that confront the current management system. The conclusion examines a way forward on how to make the e-waste recycling in the Ghanaian economy in particular and possibly, other developing countries in general more environmentally friendly without compromising its economic virtues.

up to 75% of such shipments are normally unusable [8].

processing, as well as the nearby communities [11,5].

of e-waste activities in the country (see Figure 1).

on health and the environment.

'crucial vector' for future modern societal development has a not-so-modern downside to it: electronic waste" [7]. The fact is that the increasing 'market penetration' in the developing countries, 'replacement market' in the developed countries and 'high obsolescence rate' make e-waste one of the fastest growing waste streams. Currently, the average life span of a computer has shrunk from 6 years in 1997 to less than 2 years as at 2005, generating a flourishing export trade in used computers from developed to developing countries through

The resultant waste is posing a serious challenge in disposal and recycling and creating ugly solid waste management (SWM) scenes in most developing societies. The fact is that, managing the normal waste from households in these countries already appears to be an insurmountable task [9]. It is therefore seen as more complicated if the so-called e-waste invasion from developed countries finds an easy entry into the developing countries all in the name of free trade [10]. Admittedly, the absence of proper mechanism, regulations and standards of disposal make these high-tech products often end their lives in the 'normal' waste stream meant either for recycling or landfilling [9]. The situation becomes worrying in situations where studies in China and India have shown that unregulated disposal of such wastes can contaminate soil, groundwater, and air, as well as affect all those involve in their

Without doubt, most of the e-waste disposed of in developed countries eventually arrives in African countries through both legal and illegal means [9], where it is processed under risky conditions by poor and marginalised population. This condition of risk includes toxic health and environmental dangers. However, at the same time, access to livelihoods, access to technology, upgrading of technical skills and know how, the extension of useful life of electronics and material reuse also occur [12,13]. The e-waste processing sites in Ghana exemplifies the challenges Africa policy makers face with respect to e-waste and its impacts

This paper looks at the magnitude e-waste trade in Ghana by analyzing the growing trade in electronic products ostensibly "to bridge the digital divide". It also examines its current management practices. The goal is to help raise awareness about the growing e-waste menace and encourage critical debate around the issues and hopefully, enable further action. The objectives of the study were achieved through years of research in the subject area [see 9,14,13,15]. The data were further updated by in-depth interviews with the key stakeholders in both public and private sectors, especially at Agblgbloshie which is the hub

The paper is structured as follows. The next section explores the meaning of e-waste and poses the question whether e-waste is a reality or myth. The third section examines the global dynamics of e-waste and presents an overview of the Ghanaian situation. This is followed by a discussion on the e-waste circuitry in Accra including the limitations that confront the current management system. The conclusion examines a way forward on how to make the e-waste recycling in the Ghanaian economy in particular and possibly, other developing countries in

general more environmentally friendly without compromising its economic virtues.

**Figure 1.** Map showing the study area

## **2. What is e-waste?**

In general, e-waste describes old, end-of-life electronic and electrical equipments (EEE) or waste generated from any equipment running on electricity or a battery including computers, laptops, TVs, DVD players, mobile phones, MP3 players, etc., which have been disposed by their original users. It has been categorized into three main groups, and these are; large household appliances like refrigerator and washing machine; information technology (IT) and telecom like a personal computer (PC), monitor and laptop; and consumer equipment like television sets. Each of these e-waste items has further been classified with respect to 26 common components which form their 'building blocks' and are therefore readily 'identifiable' and 'removable.' These include metals, compressors, plastics, glasses, wiring/electrical, transformer, circuit board, fluorescent lamp, brominated flamed retardant (BFR), etc.

Electronic Waste Management in Ghana – Issues and Practices 153

However, Larry Summers, a former Economist of the World Bank in 1991, reportedly justifies the economic sense of the exportation of e-waste to developing countries. According

Incidentally, a former Deputy Minister of Local Government in Ghana in 2008 subtly collaborated Summers' assertion, by emphasizing that, 'there is no dumping of e-waste in Ghana' [17]. Reacting to the *Daily Graphic* report, an Officer of the EPA in Ghana in 2008 ranted during a local radio discussions that 'there is no need for people to be concerned; …

Notwithstanding the many negative commentary and contestation about e-waste, recent studies have demonstrated succinctly that e-waste contains valuable metals like copper, gold, and silver that are lost if not recovered properly, and which have to be compensated for by intensified mining activities, which ultimately lead to severe sustainability impacts. A conundrum is created as to whether e-waste recycling is an "economic boom or an environmental doom". The nexus becomes more complex particularly at Agbogbloshie, the hub of e-waste activities in Ghana, where there is nothing like "waste"; where every object, component, and material has "value". On the daily basis, computers and televisions are regularly bought and sold, assembled, disassembled, and reassembled. They disintegrate into their constituent materials-plastics, glass, and metals. Plastic printer cases are smashed

with rudimentary tools including hammer, spanner, chisel and even the bare hands.

Millions of computers purchased around the world every year become obsolete and leave behind lead, cadmium, mercury and other hazardous wastes. Recent studies have shown that a workplace computer has a life span of about 2 -3 years, whilst that of a household is 3 – 5 years [18]. Additionally, Mundada et al, revealed that in 2004, 315 million computers became obsolete while 183 million new ones were sold [19]. They also noted that since 2005, for every new computer put on the market comes with an obsolete one. The US EPA estimates that in 2007, 29.9 million desktops and 12 million laptops were discarded in the USA; that is over 112,000 computers were discarded daily [20]. In the same year, a total of 205.5 million units of computer products were disposed of out of which only 48.2 million or 18% was recycled while the rest was trashed – in landfills or incinerators (see Table 1).

Similar studies concluded that only about 10% of the total waste generated are recycled while about 80% are exported into developing countries, most of which end up in landfills and incinerators [21,22,23]. In the European Union (EU), the volume of e-waste is expected

the situation is not as scary as the media is making it look like'.

**3. The global dynamics of e-waste** 

*the less developing countries especially those in Africa, are seriously under polluted and thus can stand to benefit from pollution trading schemes as they have air and water to spare; environmental protection for health and aesthetic reasons is essentially a luxury of the rich, as mortality is such a great problem in these developing countries that the relative minimal effects of increased pollution would pale in comparison to the problems these areas already face* 

to Summers:

*[cited in 4].* 

E-waste also contains more than 1000 different substances, which make it either 'hazardous' or 'non-hazardous'. The presence of elements like lead, mercury, arsenic, cadmium and flame retardants beyond threshold quantities in e-waste classifies them as hazardous waste. Generally, EEEs are largely classified under three major heads, as: 'white goods,' like household appliances (air conditioners, dishwashers, refrigerators and washing machines); 'brown goods,' like TVs, camcorders, cameras, and 'grey goods,' including computers, printers, fax machines, scanners, etc. The grey goods are comparatively more complex to recycle due to their toxic (hazardous) composition.

## **2.1. The e-waste blues – A myth or reality?**

The literature is replete with conflicting statements on whether e–waste is 'stunning whitewashed of reality' or otherwise. Greenpeace for example argues that e-waste is being exported often illegally to Ghana from Europe and the U.S [5]. In the e-waste yards, unprotected workers many of them children dismantle computers and T.Vs with little more than stones in search of metals that can be sold. The remaining plastics, cables and casing are either burnt or simply dumped. Brook as long ago as 1988, had also revealed that as safety laws in Europe and the USA push toxic waste disposal cost up to \$2,500 a ton, waste brokers are turning their attention to the closest, poorest, most unprotected shores – West Africa [16]. Jim Puckett, a former Toxic Director of Greenpeace paints a glimmer picture of the main recycling site in Ghana. He writes:

*It [Agbogbloshie] is a place where the developed world's old techno-crash waste has been tossed up by the hidden currents of today's consumerism and commerce, and has found a strange resting place..... In these global waysides, questions beg for answers; they cry out from the bone yards where these fallen icons of our proud information age lie as rotting fruit the progeny of centuries of technological advancement. Machines which months ago could process a billion instructions per second have found their end as metal and plastic skeletons in the world's most sorrowfully poor communities, to be subjected to hammer and fire, emitting deadly smoke and fume [6].* 

However, Larry Summers, a former Economist of the World Bank in 1991, reportedly justifies the economic sense of the exportation of e-waste to developing countries. According to Summers:

*the less developing countries especially those in Africa, are seriously under polluted and thus can stand to benefit from pollution trading schemes as they have air and water to spare; environmental protection for health and aesthetic reasons is essentially a luxury of the rich, as mortality is such a great problem in these developing countries that the relative minimal effects of increased pollution would pale in comparison to the problems these areas already face [cited in 4].* 

Incidentally, a former Deputy Minister of Local Government in Ghana in 2008 subtly collaborated Summers' assertion, by emphasizing that, 'there is no dumping of e-waste in Ghana' [17]. Reacting to the *Daily Graphic* report, an Officer of the EPA in Ghana in 2008 ranted during a local radio discussions that 'there is no need for people to be concerned; … the situation is not as scary as the media is making it look like'.

Notwithstanding the many negative commentary and contestation about e-waste, recent studies have demonstrated succinctly that e-waste contains valuable metals like copper, gold, and silver that are lost if not recovered properly, and which have to be compensated for by intensified mining activities, which ultimately lead to severe sustainability impacts. A conundrum is created as to whether e-waste recycling is an "economic boom or an environmental doom". The nexus becomes more complex particularly at Agbogbloshie, the hub of e-waste activities in Ghana, where there is nothing like "waste"; where every object, component, and material has "value". On the daily basis, computers and televisions are regularly bought and sold, assembled, disassembled, and reassembled. They disintegrate into their constituent materials-plastics, glass, and metals. Plastic printer cases are smashed with rudimentary tools including hammer, spanner, chisel and even the bare hands.

## **3. The global dynamics of e-waste**

152 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

In general, e-waste describes old, end-of-life electronic and electrical equipments (EEE) or waste generated from any equipment running on electricity or a battery including computers, laptops, TVs, DVD players, mobile phones, MP3 players, etc., which have been disposed by their original users. It has been categorized into three main groups, and these are; large household appliances like refrigerator and washing machine; information technology (IT) and telecom like a personal computer (PC), monitor and laptop; and consumer equipment like television sets. Each of these e-waste items has further been classified with respect to 26 common components which form their 'building blocks' and are therefore readily 'identifiable' and 'removable.' These include metals, compressors, plastics, glasses, wiring/electrical, transformer, circuit board, fluorescent lamp, brominated flamed

E-waste also contains more than 1000 different substances, which make it either 'hazardous' or 'non-hazardous'. The presence of elements like lead, mercury, arsenic, cadmium and flame retardants beyond threshold quantities in e-waste classifies them as hazardous waste. Generally, EEEs are largely classified under three major heads, as: 'white goods,' like household appliances (air conditioners, dishwashers, refrigerators and washing machines); 'brown goods,' like TVs, camcorders, cameras, and 'grey goods,' including computers, printers, fax machines, scanners, etc. The grey goods are comparatively more complex to

The literature is replete with conflicting statements on whether e–waste is 'stunning whitewashed of reality' or otherwise. Greenpeace for example argues that e-waste is being exported often illegally to Ghana from Europe and the U.S [5]. In the e-waste yards, unprotected workers many of them children dismantle computers and T.Vs with little more than stones in search of metals that can be sold. The remaining plastics, cables and casing are either burnt or simply dumped. Brook as long ago as 1988, had also revealed that as safety laws in Europe and the USA push toxic waste disposal cost up to \$2,500 a ton, waste brokers are turning their attention to the closest, poorest, most unprotected shores – West Africa [16]. Jim Puckett, a former Toxic Director of Greenpeace paints a

*It [Agbogbloshie] is a place where the developed world's old techno-crash waste has been tossed up by the hidden currents of today's consumerism and commerce, and has found a strange resting place..... In these global waysides, questions beg for answers; they cry out from the bone yards where these fallen icons of our proud information age lie as rotting fruit the progeny of centuries of technological advancement. Machines which months ago could process a billion instructions per second have found their end as metal and plastic skeletons in the world's most sorrowfully poor communities, to be subjected to hammer and fire, emitting deadly smoke and* 

**2. What is e-waste?** 

retardant (BFR), etc.

*fume [6].* 

recycle due to their toxic (hazardous) composition.

**2.1. The e-waste blues – A myth or reality?** 

glimmer picture of the main recycling site in Ghana. He writes:

Millions of computers purchased around the world every year become obsolete and leave behind lead, cadmium, mercury and other hazardous wastes. Recent studies have shown that a workplace computer has a life span of about 2 -3 years, whilst that of a household is 3 – 5 years [18]. Additionally, Mundada et al, revealed that in 2004, 315 million computers became obsolete while 183 million new ones were sold [19]. They also noted that since 2005, for every new computer put on the market comes with an obsolete one. The US EPA estimates that in 2007, 29.9 million desktops and 12 million laptops were discarded in the USA; that is over 112,000 computers were discarded daily [20]. In the same year, a total of 205.5 million units of computer products were disposed of out of which only 48.2 million or 18% was recycled while the rest was trashed – in landfills or incinerators (see Table 1).

Similar studies concluded that only about 10% of the total waste generated are recycled while about 80% are exported into developing countries, most of which end up in landfills and incinerators [21,22,23]. In the European Union (EU), the volume of e-waste is expected

to increase by 3 to 5% a year while developing countries are expected to triple their output of e-waste by 2010.

Electronic Waste Management in Ghana – Issues and Practices 155

number of mobile and fixed telephone lines in the country from 2000 to 2009. From the figure, mobile phone subscription increased from 90,000 in 2000 to more than one million in 2004 and to almost 15 million by the end of 2009. The teledensity (in respect of mobile phone alone) thus grew from about 5 phones to 100 people in 2000 to 49 phones in 2008, an

Source: Oteng-Ababio 2010; \*\*2009 data from National Communication Authority (NCA) Records 2010 **Figure 2.** Number of Mobile and Fixed Telephone Lines in Ghana 2000 – 2009 (in thousands)

One important characteristic of e-waste scenario in Ghana is the fact that the rate at which electronic gadgets became obsolete is also not known. This is because of inappropriate data management practices and the fact that a number of them come in already old. Additionally, Ghana's land frontiers are porous, particularly along certain stretches of its three land borders (Cote d'Ivoire, Togo and Burkina Faso), making shipments through unmonitored routes possible. Figure 3 presents the trend of used computers imports into Ghana between 2004 and 2011, which until 2004, had been unattractive due to the then associated high import duty. Trade blossomed only when the government zero-rated (tax exempted) the importation of computers and computer accessories in 2004, primarily to make the product affordable and promote the use of ICT in the Ghanaian economy. From figure 3, a total of 1.3 million kg of used computers and accessories were imported to Ghana in 2004, reaching 10.3

A major characteristic about the advancements in ICT in Ghana is the increased dependence on used or refurbished products, due mainly due to financial considerations. The reality is that although the poverty rate in the country fell from 51% in 1991/92 to 28.5% in 2005/06, yet an estimated 44.8% of the population still live on less than one US dollar per day [27]. It

increase of about 190%.

million by 2011.


Source: US Environmental Protection Agency, July 2008.

**Table 1.** E-waste generation and handling processes in the USA (2007).

Proportionately, e-waste is currently not a large part of the waste stream though it shows a potentially higher growth rate than any other category of municipal waste. In the USA for example, between 2005 and 2006, the total volumes of municipal waste increased by only 1.2%, compared to 8.6% for e-waste [20]. Some studies have also revealed that about 90% of e-wastes in some developed countries end up in landfills [23]. Such a tendency has increased the agitations by civil society groups over the negative environmental impact of improper handling of e-waste. Today, beyond doubts a large proportion e-waste from the developed world is being exported – in some cases illegally – to developing countries including Ghana [24], where the appropriate end-of-life management systems are nonexistent [9].

## **4. Ghana and e-waste: an overview of the issues**

Beyond doubt, there has been a phenomenal growth in the ICT sector in Ghana in the last decade due to its application in the national growth process (schools, internet cafes, etc) [25]. Probably the single most relevant and comprehensive document on ICT and development in Ghana is the ICT for Accelerated Development Policy, which hopes to "transform Ghana into an information-rich, knowledge-based and technology driven high income economy and society" [26]. It aims to introduce computers into all schools to allow children who might otherwise not have access to quality educational opportunities to use the laptops to access knowledge and provide them the opportunity to engage their own capacity for learning, regardless of their physical location or financial limitations. Between 2010 and 2011, the Ministry of education, in conjunction with rlg Communications Limited, a local private computer assembling company successfully distributed 60,000 laptops to school pupils throughout the country.

The introduction of the Global System for Mobile Communication (GSM) has also increased the preference for mobile telephony. This has reduced fixed telephone services from 206,300 lines in 2000 to 143,900 by 2008 and thus creating large quantities of obsolete telephone sets which are being thrown away or stored for perceived value. Figure 2 shows the trend in the number of mobile and fixed telephone lines in the country from 2000 to 2009. From the figure, mobile phone subscription increased from 90,000 in 2000 to more than one million in 2004 and to almost 15 million by the end of 2009. The teledensity (in respect of mobile phone alone) thus grew from about 5 phones to 100 people in 2000 to 49 phones in 2008, an increase of about 190%.

154 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

of e-waste by 2010.

**Computer products** 

existent [9].

pupils throughout the country.

Products Total disposed

Source: US Environmental Protection Agency, July 2008.

(millions on units)

**Table 1.** E-waste generation and handling processes in the USA (2007).

**4. Ghana and e-waste: an overview of the issues** 

to increase by 3 to 5% a year while developing countries are expected to triple their output

Trashed (millions on units)

**Television 26.9 20.6 6.3 18%** 

**Cell phones 140.3 126.3 14 10%** 

Proportionately, e-waste is currently not a large part of the waste stream though it shows a potentially higher growth rate than any other category of municipal waste. In the USA for example, between 2005 and 2006, the total volumes of municipal waste increased by only 1.2%, compared to 8.6% for e-waste [20]. Some studies have also revealed that about 90% of e-wastes in some developed countries end up in landfills [23]. Such a tendency has increased the agitations by civil society groups over the negative environmental impact of improper handling of e-waste. Today, beyond doubts a large proportion e-waste from the developed world is being exported – in some cases illegally – to developing countries including Ghana [24], where the appropriate end-of-life management systems are non-

Beyond doubt, there has been a phenomenal growth in the ICT sector in Ghana in the last decade due to its application in the national growth process (schools, internet cafes, etc) [25]. Probably the single most relevant and comprehensive document on ICT and development in Ghana is the ICT for Accelerated Development Policy, which hopes to "transform Ghana into an information-rich, knowledge-based and technology driven high income economy and society" [26]. It aims to introduce computers into all schools to allow children who might otherwise not have access to quality educational opportunities to use the laptops to access knowledge and provide them the opportunity to engage their own capacity for learning, regardless of their physical location or financial limitations. Between 2010 and 2011, the Ministry of education, in conjunction with rlg Communications Limited, a local private computer assembling company successfully distributed 60,000 laptops to school

The introduction of the Global System for Mobile Communication (GSM) has also increased the preference for mobile telephony. This has reduced fixed telephone services from 206,300 lines in 2000 to 143,900 by 2008 and thus creating large quantities of obsolete telephone sets which are being thrown away or stored for perceived value. Figure 2 shows the trend in the

Recycled (millions on units)

**205.5 157.3 48.2 18%** 

Recycle ratio (by weights)

Source: Oteng-Ababio 2010; \*\*2009 data from National Communication Authority (NCA) Records 2010

**Figure 2.** Number of Mobile and Fixed Telephone Lines in Ghana 2000 – 2009 (in thousands)

One important characteristic of e-waste scenario in Ghana is the fact that the rate at which electronic gadgets became obsolete is also not known. This is because of inappropriate data management practices and the fact that a number of them come in already old. Additionally, Ghana's land frontiers are porous, particularly along certain stretches of its three land borders (Cote d'Ivoire, Togo and Burkina Faso), making shipments through unmonitored routes possible. Figure 3 presents the trend of used computers imports into Ghana between 2004 and 2011, which until 2004, had been unattractive due to the then associated high import duty. Trade blossomed only when the government zero-rated (tax exempted) the importation of computers and computer accessories in 2004, primarily to make the product affordable and promote the use of ICT in the Ghanaian economy. From figure 3, a total of 1.3 million kg of used computers and accessories were imported to Ghana in 2004, reaching 10.3 million by 2011.

A major characteristic about the advancements in ICT in Ghana is the increased dependence on used or refurbished products, due mainly due to financial considerations. The reality is that although the poverty rate in the country fell from 51% in 1991/92 to 28.5% in 2005/06, yet an estimated 44.8% of the population still live on less than one US dollar per day [27]. It

goes without saying that a large segment of the population could not genuinely afford a new computer if they were to join the global ICT revolution. During the studies, some used computers could be obtained for as low as 30% of the cost of a new product of similar brand in Accra. For example, while a new Toshiba A110 series laptop computer cost \$1,200, a refurbished one of the same make was going for about \$150 [9].

Electronic Waste Management in Ghana – Issues and Practices 157

development partners has initiated processes through workshops and seminars, to enhance awareness creation about environmentally sound e-waste management. In 2005, a National Working Group was constituted by the EPA to help formulate a strategy for ewaste recycling but the outcome of their deliberations is yet to be made public. Ghana is however a signatory to the Basel convention which seeks to provide a framework for the

Research shows that in the 1970s and 1980s some developed countries used to export hazardous wastes to developing countries for final disposal which before long culminated in serious environmental pollution [29]. To remedy this problem, the Basel Convention came into effect in 1992. The Basel Convention requires that prior notice of any proposed export of certain hazardous items should be given to the government of an importing country and approved by it. But the Basel Convention does not regulate secondhand items and some e-

In principle, the Convention does not solve the new environmental problem caused by the recycling of e-waste. To solve the new problem, it is argued that the Basel Convention should be amended in such a way that hazardous wastes must not be exported from developed countries to developing countries for any purpose (even for recycling). In 1995 such a statement was presented as the Basel Total Ban, but it has yet to be agreed upon.

The convention also prohibits trade between Annex VII countries (OECD, EU and Liechtenstein) and non-Annex VII countries. The convention contains language that exempts prohibited trade in cases where an Annex VII country has signed a bilateral trade agreement with a non-Annex VII country so long as that agreement contains equivalent provisions for "environmentally sound" treatment of waste (the convention however fails to define "environmentally sound"). Despite the ratification, the convention becomes operational and applicable only when it has been properly "domesticated" which the

In the main, the collection and re-cycling of e-wastes is by the informal sector [25,13]. The practice however exhibits a highly stratified system, comprising collection, recycling, refurbishment and reuse activities and eventually the disposal of the residuals. Generally, the EEEs are processed informally in small workshops using rudimentary methods such as manual disassembly and open burning. The appliances are stripped of their most valuable and easily extracted components which are processed to directly reusable components or secondary raw materials in a variety of refining and conditioning processes. There are also indications that some selected components like printed wiring board are selected for export probably to Asia for recycling [13]. The remaining parts are dumped or stockpiled directly. Figure 4 gives an overview of the current end-of-life

international regulation for e-waste.

waste scrap (including printed-circuit boards).

government of Ghana has failed to do till date.

**5.2. Informal e-waste recycling** 

management practices in Ghana.

Source: Oteng-Ababio 2012

**Figure 3.** Trends of Used Computer Imports into Ghana: 2004-2011

Computers are playing a huge role in the Ghanaian socio-economic developmental agenda. Yet, the authorities lack the technology and infrastructural capacity to handle such waste. Accordingly, crude (open) dumping and recycling have become the lot of most local authorities who are constitutionally mandated, and responsible for waste management. This task is expected to be executed in a society where majority seem to lack appreciation of the threat pose by improper disposal practices. The need for a conscious public awareness (creation) campaign, which may culminate in the promulgation of the appropriate legislations regarding the proper handling of e-waste, has been long overdue. Ultimately, the quest to satisfy potential and actual human consumption demand should not necessarily lead to negligence of ecological and health concerns or to blatant dumping of junk products on the stakeholders as being claimed by some environmental NGOs and other media houses.

## **5. Think Globally, Act locally: Accra's e-waste circuitry**

#### **5.1. The legal framework for e-waste management**

Despite a wide range of environmental legislation in Ghana, there are no specific laws for e-waste recycling [28,9]. In recent times, the Government in conjunction with its development partners has initiated processes through workshops and seminars, to enhance awareness creation about environmentally sound e-waste management. In 2005, a National Working Group was constituted by the EPA to help formulate a strategy for ewaste recycling but the outcome of their deliberations is yet to be made public. Ghana is however a signatory to the Basel convention which seeks to provide a framework for the international regulation for e-waste.

Research shows that in the 1970s and 1980s some developed countries used to export hazardous wastes to developing countries for final disposal which before long culminated in serious environmental pollution [29]. To remedy this problem, the Basel Convention came into effect in 1992. The Basel Convention requires that prior notice of any proposed export of certain hazardous items should be given to the government of an importing country and approved by it. But the Basel Convention does not regulate secondhand items and some ewaste scrap (including printed-circuit boards).

In principle, the Convention does not solve the new environmental problem caused by the recycling of e-waste. To solve the new problem, it is argued that the Basel Convention should be amended in such a way that hazardous wastes must not be exported from developed countries to developing countries for any purpose (even for recycling). In 1995 such a statement was presented as the Basel Total Ban, but it has yet to be agreed upon.

The convention also prohibits trade between Annex VII countries (OECD, EU and Liechtenstein) and non-Annex VII countries. The convention contains language that exempts prohibited trade in cases where an Annex VII country has signed a bilateral trade agreement with a non-Annex VII country so long as that agreement contains equivalent provisions for "environmentally sound" treatment of waste (the convention however fails to define "environmentally sound"). Despite the ratification, the convention becomes operational and applicable only when it has been properly "domesticated" which the government of Ghana has failed to do till date.

## **5.2. Informal e-waste recycling**

156 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

refurbished one of the same make was going for about \$150 [9].

**Figure 3.** Trends of Used Computer Imports into Ghana: 2004-2011

**5. Think Globally, Act locally: Accra's e-waste circuitry** 

**5.1. The legal framework for e-waste management** 

Source: Oteng-Ababio 2012

other media houses.

goes without saying that a large segment of the population could not genuinely afford a new computer if they were to join the global ICT revolution. During the studies, some used computers could be obtained for as low as 30% of the cost of a new product of similar brand in Accra. For example, while a new Toshiba A110 series laptop computer cost \$1,200, a

Computers are playing a huge role in the Ghanaian socio-economic developmental agenda. Yet, the authorities lack the technology and infrastructural capacity to handle such waste. Accordingly, crude (open) dumping and recycling have become the lot of most local authorities who are constitutionally mandated, and responsible for waste management. This task is expected to be executed in a society where majority seem to lack appreciation of the threat pose by improper disposal practices. The need for a conscious public awareness (creation) campaign, which may culminate in the promulgation of the appropriate legislations regarding the proper handling of e-waste, has been long overdue. Ultimately, the quest to satisfy potential and actual human consumption demand should not necessarily lead to negligence of ecological and health concerns or to blatant dumping of junk products on the stakeholders as being claimed by some environmental NGOs and

Despite a wide range of environmental legislation in Ghana, there are no specific laws for e-waste recycling [28,9]. In recent times, the Government in conjunction with its In the main, the collection and re-cycling of e-wastes is by the informal sector [25,13]. The practice however exhibits a highly stratified system, comprising collection, recycling, refurbishment and reuse activities and eventually the disposal of the residuals. Generally, the EEEs are processed informally in small workshops using rudimentary methods such as manual disassembly and open burning. The appliances are stripped of their most valuable and easily extracted components which are processed to directly reusable components or secondary raw materials in a variety of refining and conditioning processes. There are also indications that some selected components like printed wiring board are selected for export probably to Asia for recycling [13]. The remaining parts are dumped or stockpiled directly. Figure 4 gives an overview of the current end-of-life management practices in Ghana.

Electronic Waste Management in Ghana – Issues and Practices 159

Laptop Fridge Air

conditioner

An emerging dynamic in the collection of e-waste is the increasing spatial extent that collectors have to explore. Initially, many collectors operated within Accra and its environs and commuted daily between Agbogbloshie and their targeted mining neighborhood for the day. With increasing competition, the city appears fully mined and collectors have to increase their orbit for scavenging, spend days in targeted areas, build bulk before returning to base at Agbogbloshie with their booty. This has implication for the sustainability of the enterprise. For example, collectors now need huge "financial capacity" in order to spend

Generally, reuse of older electronic products is a common practice in Ghana and the most environmentally preferable option in dealing with e-waste. It is also economically the means through which many people can access electronic products. It further conserves energy and raw materials needed to produce new once and reduces pollution associated with energy use and manufacturing. Unfortunately, since most used electronic imports are rarely tested for functionality, there is high level of refurbishment and repair, and this serves as a

Additionally, repairing and refurbishing have emerged as important segments of e-waste (mis)management. Refurbishers transform old/nonfunctioning products by replacing defective components. They engage in cleaning and repairing activities in order to make the refurbished product more appealing and affordable to the populace. The findings reveal that the cost of a secondhand desktop computer at Agbogbloshie which hovered around \$60 in 2010 had dropped considerably 2012. Table 2 presents the current price list of the value

> Desktop computer

The area is also seen as having extensive inventories of accumulated parts to service the reuse cluster while the city refurbishers travel to the area to source parts. Local re-users capitalize on available stocks and so have "earned" reputations as the most rapid installers of reused components in the country. Accordingly, reuse traders, shopkeepers, and "individuals in the known" send devices from all over the country to be repaired in Agbogbloshie. It was also established that some of the refurbishers have also opened outlets outside Accra, especially in the Northern regions where they also coordinate the repairs and sale of refurbished electronics. Figure 5 shows some refurbishers of computer system units

Consumers 1.5 - 5 2 - 5 2- 10 5 - 10 10-20 10 – 40 Refurbished 15 - 50 5 -10 10 - 50 10 - 50 20-50 30 – 90

**Table 2.** Prices of some selected refurbished electronic equipments at Agbogbloshie

days at a targeted destination and build bulk.

*5.2.2. Refurbishment and reuse activities* 

disincentive and time-consuming.

Cell phone

Prices (GHC)

Source: Field work, 2012

at the study area.

chain of some of the electronic items on offer at Agbogbloshie.

CRT monitor

Source: Oteng-Ababio: 2012

## *5.2.1. Collection*

The collection process is the first point of entry into the e-waste economy. The collectors are mostly youthful and constitute majority of the workforce in the e-waste trade. They are the actors who execute door-to-door collections of used electrical and electronic equipments (EEE) from private homes, institutions, dump sites and transfer stations. It can thus be concluded that waste collectors "make a living" by creating their own jobs as opposed to "earning a living" in regular formal employment. However, they do not operate in a separate economic realm since their operations depend on both the local and international formal economy. Moreover, there can be various loops from informal activities back to formal industry in terms of supplying recycled inputs. The challenge however is that like most informal activities, they operate in a subordinate position within global and local economies.

Initially, collectors did not have to pay anything for items dumped at street corners, neighbourhoods or dump sites. However, with increasing competition occasioned by increasing youth unemployment and the entrance of more prospective scavengers, the "waste" has begun to attract a competitive price. During the fieldwork, it was learnt that a collector has to pay \$1–2.5 for an obsolete desktop computer. Some collectors also directly engage in the dismantling and recovery of metals including the burning of cables and wires to liberate copper, but there are a few who "sell their booty" to middlemen, who also serve as the intermediaries between the collectors/recyclers and scrap dealers.

An emerging dynamic in the collection of e-waste is the increasing spatial extent that collectors have to explore. Initially, many collectors operated within Accra and its environs and commuted daily between Agbogbloshie and their targeted mining neighborhood for the day. With increasing competition, the city appears fully mined and collectors have to increase their orbit for scavenging, spend days in targeted areas, build bulk before returning to base at Agbogbloshie with their booty. This has implication for the sustainability of the enterprise. For example, collectors now need huge "financial capacity" in order to spend days at a targeted destination and build bulk.

## *5.2.2. Refurbishment and reuse activities*

158 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Source: Oteng-Ababio: 2012

*5.2.1. Collection* 

economies.

**Figure 4.** The current recycling and disposal practices in the study area

The collection process is the first point of entry into the e-waste economy. The collectors are mostly youthful and constitute majority of the workforce in the e-waste trade. They are the actors who execute door-to-door collections of used electrical and electronic equipments (EEE) from private homes, institutions, dump sites and transfer stations. It can thus be concluded that waste collectors "make a living" by creating their own jobs as opposed to "earning a living" in regular formal employment. However, they do not operate in a separate economic realm since their operations depend on both the local and international formal economy. Moreover, there can be various loops from informal activities back to formal industry in terms of supplying recycled inputs. The challenge however is that like most informal activities, they operate in a subordinate position within global and local

Initially, collectors did not have to pay anything for items dumped at street corners, neighbourhoods or dump sites. However, with increasing competition occasioned by increasing youth unemployment and the entrance of more prospective scavengers, the "waste" has begun to attract a competitive price. During the fieldwork, it was learnt that a collector has to pay \$1–2.5 for an obsolete desktop computer. Some collectors also directly engage in the dismantling and recovery of metals including the burning of cables and wires to liberate copper, but there are a few who "sell their booty" to middlemen, who also serve

as the intermediaries between the collectors/recyclers and scrap dealers.

Generally, reuse of older electronic products is a common practice in Ghana and the most environmentally preferable option in dealing with e-waste. It is also economically the means through which many people can access electronic products. It further conserves energy and raw materials needed to produce new once and reduces pollution associated with energy use and manufacturing. Unfortunately, since most used electronic imports are rarely tested for functionality, there is high level of refurbishment and repair, and this serves as a disincentive and time-consuming.

Additionally, repairing and refurbishing have emerged as important segments of e-waste (mis)management. Refurbishers transform old/nonfunctioning products by replacing defective components. They engage in cleaning and repairing activities in order to make the refurbished product more appealing and affordable to the populace. The findings reveal that the cost of a secondhand desktop computer at Agbogbloshie which hovered around \$60 in 2010 had dropped considerably 2012. Table 2 presents the current price list of the value chain of some of the electronic items on offer at Agbogbloshie.


Source: Field work, 2012

**Table 2.** Prices of some selected refurbished electronic equipments at Agbogbloshie

The area is also seen as having extensive inventories of accumulated parts to service the reuse cluster while the city refurbishers travel to the area to source parts. Local re-users capitalize on available stocks and so have "earned" reputations as the most rapid installers of reused components in the country. Accordingly, reuse traders, shopkeepers, and "individuals in the known" send devices from all over the country to be repaired in Agbogbloshie. It was also established that some of the refurbishers have also opened outlets outside Accra, especially in the Northern regions where they also coordinate the repairs and sale of refurbished electronics. Figure 5 shows some refurbishers of computer system units at the study area.

Electronic Waste Management in Ghana – Issues and Practices 161

Source: Field work, 2011

**Figure 6.** An open burning of e-waste to harvest copper at Agbogbloshie

perpetual poverty or working in "perceived poison".

Much of the work is carried out by children, using only rudimentary tools and with no protective equipment. The recovered materials have ready market; copper is sold at 22 US cents (0.22 USD) per half kilo while plastic is sold at 1 US cent (0.01 USD) per kilo (see 13). Admittedly, this crude practice results in some loss of resources and environmental pollution yet it remains a major source of livelihood for many of the urban poor, especially the displaced youth from the North, who are compelled to choose between living in

Source: Field work, 2011

**Figure 5.** Electrical refurbishing shops in Agbogbloshie

#### *5.2.3. Crude recycling*

Informal dismantling and recycling of e-waste aimed at material recovery is emerging as 'a lucrative business' in Ghana. At the Agblobgloshie e-waste management site, their primary activities include manual disassembly of obsolete computers, monitors, televisions, etc to isolate metals (copper and aluminium). There is also open burning of certain components to isolate copper from plastics in which they are encased, particularly from plastic coated wires and cables (see figure 6).

Source: Field work, 2011

160 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Source: Field work, 2011

*5.2.3. Crude recycling* 

and cables (see figure 6).

**Figure 5.** Electrical refurbishing shops in Agbogbloshie

Informal dismantling and recycling of e-waste aimed at material recovery is emerging as 'a lucrative business' in Ghana. At the Agblobgloshie e-waste management site, their primary activities include manual disassembly of obsolete computers, monitors, televisions, etc to isolate metals (copper and aluminium). There is also open burning of certain components to isolate copper from plastics in which they are encased, particularly from plastic coated wires

Much of the work is carried out by children, using only rudimentary tools and with no protective equipment. The recovered materials have ready market; copper is sold at 22 US cents (0.22 USD) per half kilo while plastic is sold at 1 US cent (0.01 USD) per kilo (see 13). Admittedly, this crude practice results in some loss of resources and environmental pollution yet it remains a major source of livelihood for many of the urban poor, especially the displaced youth from the North, who are compelled to choose between living in perpetual poverty or working in "perceived poison".

## *5.2.4. Disposal*

Ironically, most obsolete electronic devices are usually stored for a while for a perceived value (physical or emotional) before disposal. Even in both public and private establishments, these items are usually stored until directives are issued for their disposal. Until recently when 'crude informal recycling' became prominent in areas like Abglogbloshie, most of these products end up in the landfills. This is not unique to developing countries as even in the US, 3.2 million tonnes of e-waste were sent to landfills in 1997 [23]. In recent years however, courtesy the informal recycling practices, only residues like ashes from other recycling operations [30] and casing are dumped. Some of these materials without doubt, contain toxic chemicals which have the potential to pollute the soil and groundwater through leaching.

Electronic Waste Management in Ghana – Issues and Practices 163

in all the ten regions in Ghana which undertake phone and computer repairs and sales. They also receive old products for upgrade or refurbishment. Thus, people do not return a product because it has reached end-of-life but their desire to upgrade it. Even that, there are instances where upgrading becomes problematic when the product was sourced not directly from rlg office or where the customer misplaces the purchase receipt and/or warranty card. The company has no recycling facility so the "unwanted electronics" are sent to China for processing and/or reuse. Averagely, the company exports 1, 300 pieces of mobile phones

Even though the operation of rlg is commendable, it is nonetheless limited in scope and geospatial extent. The company at best operates only from the 10 regional capitals even though its products are visible at all nooks and cranny in the country. Meanwhile, there is not enough incentive for people to voluntarily deposit the used electronics to the 'pseudo collection centers'. Above all, the company does not "take back" its own used product let alone those from other companies. It could therefore not be a proper yardstick to advocate for the complete disbandment of the informal sector. Suffice to state that at the present level of the country's development, the formal sector cannot solely be depended on in terms of

Although government seems to be demonstrating some readiness to improve on the status quo, the major obstacles to safe and effective management of e-waste remain. First, the absence of appropriate legislation dealing specifically with e-waste appears to be the main challenge. The current laws guiding the management of hazardous, solid and radioactive waste including local Government Act (1994), Act 462 and Environmental Sanitation Policy of Ghana (1999) were passed before the e-waste problem emerged. The EPA in 2005 announced it was developing guidelines to regulate the importation of used electronic gadgets but nothing has happened since. The government is a signatory to the Basel Convention but has failed to rectify it till date. The earlier a e-waste regulatory policy is enacted the better will be the drive towards sustainable e-waste management process [32].

Secondly, the increasing importation of second-hand computers, at times illegally, most of which are not tested for functionality, is equally posing a serious challenge. This has been facilitated by the government's unfettered open-door policy (duty free and lax regulations) coupled with the high incidence of poverty as well as chronic institutional corruption. Additionally, lack of reliable data (difficulty in inventorisation) poses a challenge to policy makers wishing to design an e-waste management strategy and to an industry wishing to make rational investment decisions. There is also a lack of safe e-waste recycling infrastructure in the formal sector and thus reliance on the capacities of the informal sector pose severe risks to the environment and human health. Additionally, the existing e-waste recycling systems are

purely business-driven that have come about without any government intervention.

Finally, there also appears to be a high level of ignorance of the toxicity of e-waste not only among the general public but even within government circles. The public might not be

every 2 months and about 100 pieces of computers every four months.

managing e-waste in Ghana, at least not in the immediate future.

**6. Limitations to proper e-waste management in Ghana** 

## **5.3. Formal e-waste recyclers**

Even though the informal e-waste activities are highly visible and have indeed established a circular flow within the Ghanaian economy, valuable resources are lost through the current process. Several causes including insufficient collection efforts and resources; inappropriate recycling technologies; and above all, illegal 'imports' (or movement) streams of e-waste into regions with inappropriate recycling infrastructures have been identified. With the burgeoning trade in e-waste and the growing public environmental consciousness, there have been clarion calls on the government to institute formal recycling system. It is envisaged that the formal sector would be able to manage e-waste in an environmentally friendly manner, using "state-of-the-act-technique" that will ensure better environmental management and enhanced resource recovery [31].

The Government is in the process of formulating a e-waste management bill and a draft has been sent to cabinet for consideration. It is however not clear what role the proposed legislation has carved for the informal sector; whether it is going to be at the expense of the well mesh-worked system or would complement it. From all indications, the latter might potentially be the case, even though majority of Ghanaians engage with second hand electronics. The planned policy is to be rolled out at a time most of the local authorities lack the financial resources to acquire the needed sophisticated capital-intensive recycling technologies or provide appropriate landfills. Furthermore, very few of the well established electronic companies operate official collection and take-back facility/services.

One of the very few companies operating a semblance of a take-back system is rlg Communications, a private Ghanaian company established under the companies code of 1963 (ACT179) on the 23rd day of February 2001. The company begun as a sale and service centre for mobile phones, but currently assembles mobile phones and laptops not only for the Ghanaian market but has offices in China, Nigeria and The Gambia. It has a monthly production output of 10,000 mobile phones and 8,000 laptops.

In terms of end-of-life operations, the company occasionally advertises for its customers to bring old (not necessarily non-functional) for an upgrade. The company has branch offices in all the ten regions in Ghana which undertake phone and computer repairs and sales. They also receive old products for upgrade or refurbishment. Thus, people do not return a product because it has reached end-of-life but their desire to upgrade it. Even that, there are instances where upgrading becomes problematic when the product was sourced not directly from rlg office or where the customer misplaces the purchase receipt and/or warranty card. The company has no recycling facility so the "unwanted electronics" are sent to China for processing and/or reuse. Averagely, the company exports 1, 300 pieces of mobile phones every 2 months and about 100 pieces of computers every four months.

Even though the operation of rlg is commendable, it is nonetheless limited in scope and geospatial extent. The company at best operates only from the 10 regional capitals even though its products are visible at all nooks and cranny in the country. Meanwhile, there is not enough incentive for people to voluntarily deposit the used electronics to the 'pseudo collection centers'. Above all, the company does not "take back" its own used product let alone those from other companies. It could therefore not be a proper yardstick to advocate for the complete disbandment of the informal sector. Suffice to state that at the present level of the country's development, the formal sector cannot solely be depended on in terms of managing e-waste in Ghana, at least not in the immediate future.

## **6. Limitations to proper e-waste management in Ghana**

162 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Ironically, most obsolete electronic devices are usually stored for a while for a perceived value (physical or emotional) before disposal. Even in both public and private establishments, these items are usually stored until directives are issued for their disposal. Until recently when 'crude informal recycling' became prominent in areas like Abglogbloshie, most of these products end up in the landfills. This is not unique to developing countries as even in the US, 3.2 million tonnes of e-waste were sent to landfills in 1997 [23]. In recent years however, courtesy the informal recycling practices, only residues like ashes from other recycling operations [30] and casing are dumped. Some of these materials without doubt, contain toxic chemicals which have the potential to pollute the soil

Even though the informal e-waste activities are highly visible and have indeed established a circular flow within the Ghanaian economy, valuable resources are lost through the current process. Several causes including insufficient collection efforts and resources; inappropriate recycling technologies; and above all, illegal 'imports' (or movement) streams of e-waste into regions with inappropriate recycling infrastructures have been identified. With the burgeoning trade in e-waste and the growing public environmental consciousness, there have been clarion calls on the government to institute formal recycling system. It is envisaged that the formal sector would be able to manage e-waste in an environmentally friendly manner, using "state-of-the-act-technique" that will ensure better environmental

The Government is in the process of formulating a e-waste management bill and a draft has been sent to cabinet for consideration. It is however not clear what role the proposed legislation has carved for the informal sector; whether it is going to be at the expense of the well mesh-worked system or would complement it. From all indications, the latter might potentially be the case, even though majority of Ghanaians engage with second hand electronics. The planned policy is to be rolled out at a time most of the local authorities lack the financial resources to acquire the needed sophisticated capital-intensive recycling technologies or provide appropriate landfills. Furthermore, very few of the well established

One of the very few companies operating a semblance of a take-back system is rlg Communications, a private Ghanaian company established under the companies code of 1963 (ACT179) on the 23rd day of February 2001. The company begun as a sale and service centre for mobile phones, but currently assembles mobile phones and laptops not only for the Ghanaian market but has offices in China, Nigeria and The Gambia. It has a monthly

In terms of end-of-life operations, the company occasionally advertises for its customers to bring old (not necessarily non-functional) for an upgrade. The company has branch offices

electronic companies operate official collection and take-back facility/services.

production output of 10,000 mobile phones and 8,000 laptops.

*5.2.4. Disposal* 

and groundwater through leaching.

management and enhanced resource recovery [31].

**5.3. Formal e-waste recyclers** 

Although government seems to be demonstrating some readiness to improve on the status quo, the major obstacles to safe and effective management of e-waste remain. First, the absence of appropriate legislation dealing specifically with e-waste appears to be the main challenge. The current laws guiding the management of hazardous, solid and radioactive waste including local Government Act (1994), Act 462 and Environmental Sanitation Policy of Ghana (1999) were passed before the e-waste problem emerged. The EPA in 2005 announced it was developing guidelines to regulate the importation of used electronic gadgets but nothing has happened since. The government is a signatory to the Basel Convention but has failed to rectify it till date. The earlier a e-waste regulatory policy is enacted the better will be the drive towards sustainable e-waste management process [32].

Secondly, the increasing importation of second-hand computers, at times illegally, most of which are not tested for functionality, is equally posing a serious challenge. This has been facilitated by the government's unfettered open-door policy (duty free and lax regulations) coupled with the high incidence of poverty as well as chronic institutional corruption. Additionally, lack of reliable data (difficulty in inventorisation) poses a challenge to policy makers wishing to design an e-waste management strategy and to an industry wishing to make rational investment decisions. There is also a lack of safe e-waste recycling infrastructure in the formal sector and thus reliance on the capacities of the informal sector pose severe risks to the environment and human health. Additionally, the existing e-waste recycling systems are purely business-driven that have come about without any government intervention.

Finally, there also appears to be a high level of ignorance of the toxicity of e-waste not only among the general public but even within government circles. The public might not be

wholly ignorant but for economic reasons, people are being challenged to choose between 'poverty and poison'; i.e. working in such recycling facilities and being exposed to health hazards but making a living or remaining unemployed. Educating the general public on the impact of improper management practices will go a long way in the fight for environmental and human-friendly practices.

Electronic Waste Management in Ghana – Issues and Practices 165

[1] BAN/SVTC (2002) Exporting Harm: the High Tech Trashing of Asia. The Basel Action

[2] Remesh B.B, Parande A.K, Ahmed B.C (2007) Electrical and Electronic Waste: A Global

[3] Sinha S (2007) Downside of the Digital Revolution. Published in Toxics Link. Available:

[4] Widmer R, Oswald-Krapf H, Sinha-Khetriwal A, Scnellmann M, Boni H (2005) Global Perspectives on the E-waste. Environmental Impact Assessment Review*.* 25: 436–458. [5] Brigden K, Labunska I, Santillo D, Johnston P (2008) Chemical Contamination at E-waste Recycling and Disposal Sites in Accra and Korforidua, Ghana. Greenpeace International

[6] Puckett J (2011) A Place Called Away. In: Hugo P (2011) Permanent Error. Prestell

[7] Swerts T (2006) Waste or Opportunity? the Importance of a Progressive India E-waste Policy. Published in Toxics Link. Available: http: //www.toxicslink.org/art-view.php.

[8] UNEP (2005) E-waste: the Hidden Side of IT Equipment's Manufacturing and Use. Early Warnings on Emerging Environmental Threats. No. 5. United Nations Environment

[9] Oteng-Ababio M (2010) E-waste: an Emerging Challenge to Solid Waste Management in

[10] Toxics Link (2004) Scrapping the High-tech Myth: Computer Waste in India. Toxic

[11] BAN (2005) The Digital Dump: Exporting Re-use and Abuse to Africa. Basel Action

[12] Oteng-Ababio M (2012) When Necessity Begets Ingenuity: Scavenging for survival in

[13] Grant R, Oteng-Ababio M (2012) Mapping the Invisible and Real African Economy: Urban E-Waste Circuitry. Urban Geography. 33:1 1-21. http://dx.doi.org/10.2747/0272-

[14] Oteng-Ababio M (2012) The Legal and the Reasonable: Exploring the Dynamics of Ewaste Disposal Strategies in Ghanaian Households. Journal of US-China Public

[15] Agyei-Mensah S, Oteng-Ababio M (2012) Perceptions of Health and Environmental Impacts of E-waste Management in Ghana. Int. Journal of Environmental Health

[16] Brook J (1988) Waste Dumpers turning to West Africa. The New York Times. Sunday

[17] Daily Graphic (2008) A Ghanaian Newspaper, Daily Graphic. Monday 18th August 2008

Network and Silicon Valley Toxics Coalition. February 25 2002.

http: //www.toxicslink.org/art-view.php. Accessed 2007 Dec 28.

Ghana". Int. Development Planning Review (IDPR). 32:2.

Accra, Ghana. African Studies Quarterly (Forthcoming).

Research. 1-18. http://dx.doi.org/10.1080/09603123.2012.667795

Network. October 24 2005. www.ban.org.

Administration. 9:1 38-52. ISSN 1548-6591.

Environmental Problem. Waste Management Research. 25: 307-318.

**8. References** 

Amsterdam.

Programme.

3638.33.1.1

July 17, 1988.

No. 16743. Accra Ghana. p. 42.

Links, Delhi, India.

Publishers. ISBN 978-3-7913-4520-8

Accessed 2006 Nov 17.

## **7. Conclusion**

Generally, this study has demonstrated how e-waste scavenging has emerged and become embedded in specific networked places within highly differentiated circuits that produce geographically uneven development. The findings show that e-waste has also emerged as a challenge for local authorities especially in terms of its end-of-life management which is currently driven by the informal sector. At the same time, it has turned out to be a 'saviour' for not only those who depend on the survival economy for livelihood, but also who are economically challenged to join the ICT revolution. That notwithstanding, the informal sector or the survival economy remain marginalized and excluded from the waste management system.

Indeed, participants in the sector currently represent the basis of Ghana's e-waste management system. They are the reason for its effectiveness, but occupy the weakest position in the waste management system in general, with minimal income and precarious working and living conditions. In the absence of a well developed formal sector, it is important that the local authorities and government machinery in general have knowledge about the role of informal economy in the e-waste recycling and processing system. The institution of friendly policies and regulations cannot only help abate the negative tendencies inherent in the practice but more importantly, improve productivity and working conditions without compromising the sector's flexibility traits.

The government also has the responsibility to enforce the tenets of the international treaties like the Basel convention which have not been rectified. The 'extended producer responsibility' (EPR) for example focuses on the responsibility that producers assume on their products at the end of its useful life. The government has to ensure that the obvious dereliction of duties by agencies like the Standards Board, Customs, Excise and Preventive Service as well as environmental regulators, etc are halted. The present lethargic attitude of handling of municipal wastes should encourage the promulgation and enforcement of apposite legislations. Ultimately, the government should focused on technical and policylevel interventions, implementation and capacity building, and increase in public awareness such that it can convert the challenges of e-waste into opportunities.

## **Author details**

Martin Oteng-Ababio *University of Ghana, Department of Geography and Resource Development, Legon, Accra, Ghana* 

#### **8. References**

164 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

and human-friendly practices.

**7. Conclusion** 

management system.

**Author details** 

Martin Oteng-Ababio

wholly ignorant but for economic reasons, people are being challenged to choose between 'poverty and poison'; i.e. working in such recycling facilities and being exposed to health hazards but making a living or remaining unemployed. Educating the general public on the impact of improper management practices will go a long way in the fight for environmental

Generally, this study has demonstrated how e-waste scavenging has emerged and become embedded in specific networked places within highly differentiated circuits that produce geographically uneven development. The findings show that e-waste has also emerged as a challenge for local authorities especially in terms of its end-of-life management which is currently driven by the informal sector. At the same time, it has turned out to be a 'saviour' for not only those who depend on the survival economy for livelihood, but also who are economically challenged to join the ICT revolution. That notwithstanding, the informal sector or the survival economy remain marginalized and excluded from the waste

Indeed, participants in the sector currently represent the basis of Ghana's e-waste management system. They are the reason for its effectiveness, but occupy the weakest position in the waste management system in general, with minimal income and precarious working and living conditions. In the absence of a well developed formal sector, it is important that the local authorities and government machinery in general have knowledge about the role of informal economy in the e-waste recycling and processing system. The institution of friendly policies and regulations cannot only help abate the negative tendencies inherent in the practice but more importantly, improve productivity and

The government also has the responsibility to enforce the tenets of the international treaties like the Basel convention which have not been rectified. The 'extended producer responsibility' (EPR) for example focuses on the responsibility that producers assume on their products at the end of its useful life. The government has to ensure that the obvious dereliction of duties by agencies like the Standards Board, Customs, Excise and Preventive Service as well as environmental regulators, etc are halted. The present lethargic attitude of handling of municipal wastes should encourage the promulgation and enforcement of apposite legislations. Ultimately, the government should focused on technical and policylevel interventions, implementation and capacity building, and increase in public awareness

*University of Ghana, Department of Geography and Resource Development, Legon, Accra, Ghana* 

working conditions without compromising the sector's flexibility traits.

such that it can convert the challenges of e-waste into opportunities.

	- [18] Boon J.E, Isaacs J.A, Gupta S.M (2001) Economics of PC Recycling. In: Proc. SPIE, 2001. http://www.coe.neu.edu/~smgupta/4193-07-SPIE. PDF.

**Chapter 8** 

© 2012 Rocha et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Rocha et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**Remote Sensing Based Crop Coefficients** 

Jorge Rocha, António Perdigão, Raquel Melo and Cristina Henriques

The climatic factors and their variability, both spatial and temporal, linked to precipitation decreasing and irregular distribution, due to climatic changes, have been gathering a higher weight in the definition of water management policies. These policies have important implications on agriculture. Using new technologies that allow a better use of water requires institutional changes in major areas. The first point is the need for base information with an adequate spatial and temporal resolution. The work we have done includes itself in the water efficient and sustained use, allowing the improvement of irrigation systems and it's

PLEIADES (Participatory multi-Level EO-assisted tools for Irrigation water management and Agricultural Decision-Support) is a research and technological development project cofunded by the European Commission's Sixth Framework Programme within its Sustainable Development, Global Change and Ecosystems Priority. The project responds to the identified need for targeted research in the area of Integrated management strategies and mitigation technologies, topic Water in Agriculture: new systems and technologies for irrigation and drainage. A set of pilot Case Studies represents a sample of the wide range of conditions found in the European and Southern Mediterranean and in the Americas,

the result of a jointly effort of several teams based on an international project.

covering Portugal, Spain, Italy, Greece, Turkey, Morocco, Mexico, Peru, and Brazil.

The Portuguese working area was the Caia irrigation area, a subsystem of Guadiana basin, located in the southeast of Portugal, near the border with Spain. PLEIADES was expected to generate new knowledge on the functioning and performance of these pilot areas. This in turn aimed at providing the knowledge and information base for decision makers at all levels on agricultural water needs and consumption. It also set out to provide the basis for assessing the benefits and threats potentially brought about by new technologies to all actors in changing environments. The project was also expected to generate new tools for

**for Water Management in Agriculture** 

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/48561

**1. Introduction** 


**Chapter 8** 

## **Remote Sensing Based Crop Coefficients for Water Management in Agriculture**

Jorge Rocha, António Perdigão, Raquel Melo and Cristina Henriques

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/48561

## **1. Introduction**

166 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

http://www.coe.neu.edu/~smgupta/4193-07-SPIE. PDF.

Metals and Materials Society, TMS, Warrendale. PA, USA.

Industrial Engineering. 48: 327–356.

Journal Posted August 28, 2009 at 11am.

2002. San Francisco CA USA. pp. 79–84.

2005. No. 149593. Accra Ghana. pp. 21-28.

Review. 25: 459–471.

218–23.

Accra.

Nov. 2, 2007.

[18] Boon J.E, Isaacs J.A, Gupta S.M (2001) Economics of PC Recycling. In: Proc. SPIE, 2001.

[19] Mundada M.N, Kumar S, Shekdar A.V (2004) E-Waste: A New Challenge for Waste

[20] US Environmental Protection Agency (2008) Electronic Waste Management in the United States. EPA530-R-08-009 US Environmental Protection Agency. July 2008.

[21] Ravi V, Shanker R, Tiwari M.K (2005) Analyzing Alternatives in Reverse Logistics for end-of-life Computers: ANP and Balanced Scorecard Approach. Computer and

[22] Hicks C, Dietmar R, Eugster M (2005) The Recycling and Disposal of Electronic Waste in China – Legislative and Market Response. Environmental Impact Assessment

[23] Antrekowitsch H, Potesser M, Spruzina W, Prior F (2006) Metallurgica Recycling of Electronic Scrap. In: Howard S.M, et al EPD Congress 2006. pp. 889–908. The Minerals,

[24] Hageluken C (2006) Improving Metal Returns and Eco-efficiency in Electronic Recycling – a Holistic Approach to Interface Optimization between Pre-processing and Integrated Metal Smelting and Refining. In: Proceedings of the 2006 IEEE International Symposium on Electronics and the Environment. 8–11 May 2006. San Francisco CA.

[25] Prakash S, Manhart A, Amoyaw-Osei Y, Agyekum O (2010) Socio-economic Assessment and Feasibility Study on Sustainable E-waste Management in Ghana.

[26] ICT4AD (2007) ICT for Accelerated Development - One Laptop Per Child: Mission.

[27] World Bank (2007) Ghana Country Environmental Analysis. Report No. 36985 – GH

[28] Kwakye M (2009) EPA Lacks the Capacity to Control E-waste Disposal. The Ghanaian

[29] Shinkuma T, Huong N.T.M (2008) The Flow of E-waste Material in the Asian Region

[30] Roman L.S, Puckett J (2002) E-scrap Exportation: Challenges and Considerations. In: Proc. International Symposium on Electronics and the Environment 2002 IEEE. May 6–9

[31] Oteng-Ababio M, Amankwaa E.F (2012) The E-waste Blues in Ghana: A Case of a New

[32] Daily Graphic (2005) A Ghanaian Newspaper, Daily Graphic. Saturday 5th November

World, New Waste, New Challenge. Population Space Place (Forthcoming).

Available: http://www.laptop.org/vision/mission/ Accessed 2007 Aug 30.

and a Reconsideration of International Trade Policies on E-waste.

Management in India. Int. Journal of of Environmental Studies. 61:3 265-279.

http://www.epa.gov/osw/conserve/materials/ecycling/docs/app-1.pdf

The climatic factors and their variability, both spatial and temporal, linked to precipitation decreasing and irregular distribution, due to climatic changes, have been gathering a higher weight in the definition of water management policies. These policies have important implications on agriculture. Using new technologies that allow a better use of water requires institutional changes in major areas. The first point is the need for base information with an adequate spatial and temporal resolution. The work we have done includes itself in the water efficient and sustained use, allowing the improvement of irrigation systems and it's the result of a jointly effort of several teams based on an international project.

PLEIADES (Participatory multi-Level EO-assisted tools for Irrigation water management and Agricultural Decision-Support) is a research and technological development project cofunded by the European Commission's Sixth Framework Programme within its Sustainable Development, Global Change and Ecosystems Priority. The project responds to the identified need for targeted research in the area of Integrated management strategies and mitigation technologies, topic Water in Agriculture: new systems and technologies for irrigation and drainage. A set of pilot Case Studies represents a sample of the wide range of conditions found in the European and Southern Mediterranean and in the Americas, covering Portugal, Spain, Italy, Greece, Turkey, Morocco, Mexico, Peru, and Brazil.

The Portuguese working area was the Caia irrigation area, a subsystem of Guadiana basin, located in the southeast of Portugal, near the border with Spain. PLEIADES was expected to generate new knowledge on the functioning and performance of these pilot areas. This in turn aimed at providing the knowledge and information base for decision makers at all levels on agricultural water needs and consumption. It also set out to provide the basis for assessing the benefits and threats potentially brought about by new technologies to all actors in changing environments. The project was also expected to generate new tools for

© 2012 Rocha et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Rocha et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

irrigation water management, combining innovative sensor technology with flexible easyto-use Decision-Support Systems for adaptive management. These tools were designed to help farmers to control water more efficiently and improve the environmental and economic performance of their irrigation systems.

Remote Sensing Based Crop Coefficients for Water Management in Agriculture 169

We recognise that improvements will come not only from technical innovations but also from changes in social factors related to water governance, participation and social learning. Thus the NT-assisted tools will be deployed to facilitate technical and social learning enabling farmers to act responsibly by fine tuning their on-farm practices in accordance with

This work addresses the efficient and sustainable use of water for food production in water scarce environments. It aimed to improve the performance of irrigation schemes by means of a range of measures that consider the economic, environmental, technical, social, and political dimensions through a synergy of leading-edge technologies and participatory approaches. Major social and technical innovation was made possible by the comprehensive space-time coverage of Earth observation (*EO*) data and the interactive networking/connecting capabilities of Information and Communication Technologies. The system we developed stands mainly over *FAO* normative, about culture water needs and the calculation of cultural coefficient (*Kc*) in a simple way, directly from remote sensing data. For that we simply use radiometric parameters derived from visible and infrared bands. Crop evapotranspiration can be calculated using the crop coefficient (*Kc*) defined as the ratio

Earth Observation (*EO*) provides an objective evaluation of crop water demand; this information can be used at different decision levels (from the farmers to the river basin authorities) to promote a more efficient use of water resources in agriculture. A rational management of water resources for irrigation requires information characterized by high temporal and spatial variability, which cannot be monitored with traditional field inspections. *EO* is a mature technology, ready for being transferred to operational applications in agricultural water management. Detailed data on crop development and irrigation needs are timely distributed to final users by means of modern Information and

1. Distribution of personalized information to a range of stakeholders (i.e. landowners,

2. Integration in *GIS* based river-basin water management tool, for distributed water

3. A portfolio of *EO* based products has been set-up, and the methodologies for their retrieval have been defined, starting from past experiences and scientific knowledge available among the partners in the Consortium. *FAO*. methodology has been adopted as the standard procedure for computing crop water requirements from *EO* based

2. Basic (vegetation cover, Leaf Area Index, Crop Coefficients, potential

irrigation farmers and their associations) concerning crop and water status;

of total evapotranspiration (*ET*) by reference evapotranspiration (*ET0*).

Three main usages of *EO* based products have been conceived:

Three different levels of *EO* based products are distinguished:

1. Land-use (irrigated vs. non irrigated crops; crop inventory maps);

evapotranspiration, Crop Water Requirements among others);

the river-basin water status.

Communication Technologies.

balance calculations.

products.

In our work, we address the efficient and sustainable use of water for food production in water-scarce environments. We consider the economic, environmental, technical, social, and political dimensions through a synergy of leading-edge technologies and participatory approaches. These technologies provide easy access to information for all stakeholders while active participation will be effected by spatial information and innovative networking tools. Our aim is to improve the performance of irrigation schemes by means of a range of measures. Major technical innovation is made possible by the comprehensive space-time coverage of *EO* data and the interactive networking/connecting capabilities of Information and Communication Technologies (*ICT*).

The project was designed to assess and demonstrate in an operational perspective how the integration of Earth observation (*EO*) techniques in routine Irrigation Advisory Services (*IAS*) can improve the efficiency in the use of water for irrigation. The use of leading-edge Information and Communication Technology (*ICT*) tools in the generation and distribution of information makes the *EO* easily available to *IAS* and the farmers. The project WebGIS (www.pleiades.es) was one of the central outcomes of our project. Its key feature is the operational generation of irrigation scheduling information products from a virtual constellation of *EO* satellites and their delivery to farmers in near-real-time using leadingedge on-line analysis and visualization tools. It is supported by a methodology package to derive crop coefficients and further advanced parameters from *EO* satellite images in an operational processing chain.

The overall goal is to improve and optimise irrigation and drainage systems by means of new technologies. In this context, New Technologies (*NT*) include Earth observation, Geographical Information Systems, Information and Communication Technologies, and Decision-Support systems. In order to achieve this overall goal 3 specific objectives have been set:


PLEIADES aims to demonstrate that New Technologies (*NT*) can effectively support the optimisation of irrigation schemes and in the long run foster sustainability by providing comprehensive and timely spatial information that supports decisions made at many levels: farms, irrigation schemes and river-basins.

We recognise that improvements will come not only from technical innovations but also from changes in social factors related to water governance, participation and social learning. Thus the NT-assisted tools will be deployed to facilitate technical and social learning enabling farmers to act responsibly by fine tuning their on-farm practices in accordance with the river-basin water status.

168 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

performance of their irrigation systems.

and Communication Technologies (*ICT*).

operational processing chain.

and irrigation scheme level.

farms, irrigation schemes and river-basins.

been set:

irrigation water management, combining innovative sensor technology with flexible easyto-use Decision-Support Systems for adaptive management. These tools were designed to help farmers to control water more efficiently and improve the environmental and economic

In our work, we address the efficient and sustainable use of water for food production in water-scarce environments. We consider the economic, environmental, technical, social, and political dimensions through a synergy of leading-edge technologies and participatory approaches. These technologies provide easy access to information for all stakeholders while active participation will be effected by spatial information and innovative networking tools. Our aim is to improve the performance of irrigation schemes by means of a range of measures. Major technical innovation is made possible by the comprehensive space-time coverage of *EO* data and the interactive networking/connecting capabilities of Information

The project was designed to assess and demonstrate in an operational perspective how the integration of Earth observation (*EO*) techniques in routine Irrigation Advisory Services (*IAS*) can improve the efficiency in the use of water for irrigation. The use of leading-edge Information and Communication Technology (*ICT*) tools in the generation and distribution of information makes the *EO* easily available to *IAS* and the farmers. The project WebGIS (www.pleiades.es) was one of the central outcomes of our project. Its key feature is the operational generation of irrigation scheduling information products from a virtual constellation of *EO* satellites and their delivery to farmers in near-real-time using leadingedge on-line analysis and visualization tools. It is supported by a methodology package to derive crop coefficients and further advanced parameters from *EO* satellite images in an

The overall goal is to improve and optimise irrigation and drainage systems by means of new technologies. In this context, New Technologies (*NT*) include Earth observation, Geographical Information Systems, Information and Communication Technologies, and Decision-Support systems. In order to achieve this overall goal 3 specific objectives have

1. In accordance with the identified needs of stakeholders, multi-level NT-assisted tools will be adapted and developed for farmers and other water managers to optimise their

2. To conduct trial campaigns in pilot areas with the active participation of users at farm

3. To evaluate the performances of the NT-assisted tools using an extended evaluation system covering technical, economic, environmental, social and political dimensions

PLEIADES aims to demonstrate that New Technologies (*NT*) can effectively support the optimisation of irrigation schemes and in the long run foster sustainability by providing comprehensive and timely spatial information that supports decisions made at many levels:

and involving stakeholders at all levels over the whole lifetime of the project.

water use at farm, irrigation scheme and at river-basin levels.

This work addresses the efficient and sustainable use of water for food production in water scarce environments. It aimed to improve the performance of irrigation schemes by means of a range of measures that consider the economic, environmental, technical, social, and political dimensions through a synergy of leading-edge technologies and participatory approaches. Major social and technical innovation was made possible by the comprehensive space-time coverage of Earth observation (*EO*) data and the interactive networking/connecting capabilities of Information and Communication Technologies. The system we developed stands mainly over *FAO* normative, about culture water needs and the calculation of cultural coefficient (*Kc*) in a simple way, directly from remote sensing data. For that we simply use radiometric parameters derived from visible and infrared bands. Crop evapotranspiration can be calculated using the crop coefficient (*Kc*) defined as the ratio of total evapotranspiration (*ET*) by reference evapotranspiration (*ET0*).

Earth Observation (*EO*) provides an objective evaluation of crop water demand; this information can be used at different decision levels (from the farmers to the river basin authorities) to promote a more efficient use of water resources in agriculture. A rational management of water resources for irrigation requires information characterized by high temporal and spatial variability, which cannot be monitored with traditional field inspections. *EO* is a mature technology, ready for being transferred to operational applications in agricultural water management. Detailed data on crop development and irrigation needs are timely distributed to final users by means of modern Information and Communication Technologies.

Three main usages of *EO* based products have been conceived:


Three different levels of *EO* based products are distinguished:


3. Advanced (reference and actual evapotranspiration, biomass, yield).

The conceptual approach for the derivation of *EO* model of the service is split up into the following steps:

Remote Sensing Based Crop Coefficients for Water Management in Agriculture 171

irrigation scheduling and precision agriculture. Therefore, we have developed a unified procedure to obtain consistent time series of vegetation parameters of interest from this

The virtual constellation (*VC*) is defined as a set of *EO* satellites, each of which provides the necessary data to derive *NDVI* and other vegetation parameters at the spatial resolution required for the given application. In our case, for irrigation scheduling a spatial resolution of at least 30 m is imperative to resolve the major part of agricultural fields (plots). An additional key selection criterion is near-nadir observation, such that bi-directional effects are minimized. Landsat is the backbone of this *VC*, because of its excellent operational

Due to the technical failure in Landsat7 all images taken on/after 31 May 2003 have no useable data in a significant part of each image. The software correction offered by USGS involves spatial degradation, which moves the spatial resolution of ETM+ out of the interest margin of our *VC*, except for areas located directly in the centre of a scene (non-affected area). This sensor failure clearly demonstrates the vulnerability of the operational space

Currently available alternative platforms are less ideal for operations, since they are either much more expensive (IRS, ALI, Spot), more complicated (Spot, due to changing view angles), and/or not operational (Aster, no rush service). A number of emerging platforms may add more elements to the *VC*. Our experience in PLEIADES has shown that all can be used to complete the TM time series. Ikonos and Spot were successfully tested in the Italian pilot area. The experience of Spot programming for this area showed that on average 5-6 images per month can be obtained (fairly cloud free and with incidence angles less than 15º).

We want to stress here again that the space segment is the most vulnerable part of the entire operational system. For this reason, urgent actions are required to ensure the capability to obtain adequate *EO* images at the adequate coverage frequency and low cost. As a practical near-term solution for the case of cloudiness and/or satellite sensor failure, a contingency scenario was developed to base the PLEIADES operational system on a synergistic combination of *EO* data, field data, and an expert system of local crop

These curves have been developed from the synthesis of previous campaigns, specially tailored to the crops and climatology of a given area. In the case of an *EO* data failure (either missing image or clouds), the system would draw on a default list of *Kc* curves (per crop, crop cycle, sowing date) from (in order of priority) field data, the local expert system data base, and the look-up tables recommended by the Food and Agriculture Organization (FAO) [1]. Medium-resolution sensors (like AVHRR or MODIS) are also used to derive

virtual constellation.

availability and low cost.

coefficient (*Kc*) curves.

support data for this purpose.

**2.1. Definition and operational aspects** 

segment for this and similar applications.


The validation of the different methodologies for the retrieval of *EO* based products has been an important part of the work carried out within all the pilot areas. Intensive field campaigns carried out simultaneously to satellite acquisitions have produced a large dataset for calibration and validation purposes. Micrometeorological instrumentations have been installed for comparison between field measurements of crop water use and estimates from *EO* processing. New methodologies have been set-up i.e. for improving the estimation of canopy parameters and for calculating reference evapotranspiration from geostationary satellites (of particular relevance in areas with very limited meteorological data).

## **2. Virtual constellation and space segment operationality**

Farm management requires monitoring of agricultural crops at high spatial resolution and frequent temporal coverage during the entire growing season. The necessary spatial resolution can be provided by the current high-resolution sensors (20-30m pixel size), like TM, ETM+, SPOT, LISS, ASTER, ALI, or in the case of agricultural plots with special spatial requirements by very-high resolution sensors (like Quickbird, Ikonos). However, canopy architecture and biophysical parameters describing the canopy, like leaf area index, fractional ground cover, biomass, evapotranspiration, water stress, evolve continuously during the crop growing season.

A single satellite with a 16 day repeat time (like Landsat) would provide little useful information, considering also that cloud conditions may increase the time period between useable images. The critical requirement of frequency of coverage combined with high spatial resolution has not been satisfied after more than thirty years of Landsat mission launching. Satellite constellations have been proposed for this purpose by some studies, but a practical solution for the near future is not at hand. Our solution is a virtual constellation of EO satellites that corresponds to the needs and user requirements of irrigation scheduling and precision agriculture. Therefore, we have developed a unified procedure to obtain consistent time series of vegetation parameters of interest from this virtual constellation.

## **2.1. Definition and operational aspects**

170 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

The conceptual approach for the derivation of *EO* model of the service is split up into the

1. Acquisition and analysis of high resolution satellite images in the visible and infrared

2. Local agro-meteorological data acquisition (e.g. temperature, humidity, wind speed,

5. Data quality check and integration in a dedicated Geographical Information Systems (*GIS*) for irrigation management from field to district and hydrological basin scale; 6. Real-time distribution of personalized irrigation advices on a weekly basis directly to farmers by means of different communication systems (Internet, text and graphical

The validation of the different methodologies for the retrieval of *EO* based products has been an important part of the work carried out within all the pilot areas. Intensive field campaigns carried out simultaneously to satellite acquisitions have produced a large dataset for calibration and validation purposes. Micrometeorological instrumentations have been installed for comparison between field measurements of crop water use and estimates from *EO* processing. New methodologies have been set-up i.e. for improving the estimation of canopy parameters and for calculating reference evapotranspiration from geostationary satellites (of particular relevance in areas with very limited

Farm management requires monitoring of agricultural crops at high spatial resolution and frequent temporal coverage during the entire growing season. The necessary spatial resolution can be provided by the current high-resolution sensors (20-30m pixel size), like TM, ETM+, SPOT, LISS, ASTER, ALI, or in the case of agricultural plots with special spatial requirements by very-high resolution sensors (like Quickbird, Ikonos). However, canopy architecture and biophysical parameters describing the canopy, like leaf area index, fractional ground cover, biomass, evapotranspiration, water stress, evolve continuously

A single satellite with a 16 day repeat time (like Landsat) would provide little useful information, considering also that cloud conditions may increase the time period between useable images. The critical requirement of frequency of coverage combined with high spatial resolution has not been satisfied after more than thirty years of Landsat mission launching. Satellite constellations have been proposed for this purpose by some studies, but a practical solution for the near future is not at hand. Our solution is a virtual constellation of EO satellites that corresponds to the needs and user requirements of

3. Advanced (reference and actual evapotranspiration, biomass, yield).

3. Field validation through measurements in selected areas;

**2. Virtual constellation and space segment operationality** 

following steps:

spectrum;

meteorological data).

during the crop growing season.

sun radiation, rainfall);

4. Elaboration of *EO* based products;

messages by using *GSM/UMTS*).

The virtual constellation (*VC*) is defined as a set of *EO* satellites, each of which provides the necessary data to derive *NDVI* and other vegetation parameters at the spatial resolution required for the given application. In our case, for irrigation scheduling a spatial resolution of at least 30 m is imperative to resolve the major part of agricultural fields (plots). An additional key selection criterion is near-nadir observation, such that bi-directional effects are minimized. Landsat is the backbone of this *VC*, because of its excellent operational availability and low cost.

Due to the technical failure in Landsat7 all images taken on/after 31 May 2003 have no useable data in a significant part of each image. The software correction offered by USGS involves spatial degradation, which moves the spatial resolution of ETM+ out of the interest margin of our *VC*, except for areas located directly in the centre of a scene (non-affected area). This sensor failure clearly demonstrates the vulnerability of the operational space segment for this and similar applications.

Currently available alternative platforms are less ideal for operations, since they are either much more expensive (IRS, ALI, Spot), more complicated (Spot, due to changing view angles), and/or not operational (Aster, no rush service). A number of emerging platforms may add more elements to the *VC*. Our experience in PLEIADES has shown that all can be used to complete the TM time series. Ikonos and Spot were successfully tested in the Italian pilot area. The experience of Spot programming for this area showed that on average 5-6 images per month can be obtained (fairly cloud free and with incidence angles less than 15º).

We want to stress here again that the space segment is the most vulnerable part of the entire operational system. For this reason, urgent actions are required to ensure the capability to obtain adequate *EO* images at the adequate coverage frequency and low cost. As a practical near-term solution for the case of cloudiness and/or satellite sensor failure, a contingency scenario was developed to base the PLEIADES operational system on a synergistic combination of *EO* data, field data, and an expert system of local crop coefficient (*Kc*) curves.

These curves have been developed from the synthesis of previous campaigns, specially tailored to the crops and climatology of a given area. In the case of an *EO* data failure (either missing image or clouds), the system would draw on a default list of *Kc* curves (per crop, crop cycle, sowing date) from (in order of priority) field data, the local expert system data base, and the look-up tables recommended by the Food and Agriculture Organization (FAO) [1]. Medium-resolution sensors (like AVHRR or MODIS) are also used to derive support data for this purpose.

## **2.2. Methodology to derive PLEIADES parameters from EO data**

All biogeophysical parameter calculation from EO starts with a pre-processing of EO data, composed of three main steps: i) Geometric correction and image re-sampling; ii) Cross-satellite intercalibration; iii) Atmospheric correction.

Remote Sensing Based Crop Coefficients for Water Management in Agriculture 173

Although the differences in most cases are small, we maintain different equations for different spatial aggregation sizes. Table 1 gives the coefficients of the resulting equations for the example of 100 m grid cell side length (except for 75 m for Aster), which is the

Sensor Coefficients of linear equation *NDVI ETM a NDVI sensor b* ( )

TM 1.0336 +0.0128 LISS III 1D 1.1672 -0.0454 Quickbird 1.0443±0.008 +0.0191±0.005 Aster L1B 1.1304±0.022 -0.0002±0.019 **Table 1.** Summary of NDVI cross-sensor translation equations for elements in our virtual constellation.

An automatic procedure has been developed for atmospheric correction. This procedure uses parameters extracted directly from the image instead of recurring to external data on synchronous on-site vertical profiles of atmospheric data, which are usually difficult to obtain. It results in a substantial reduction of processing time as compared to approaches based on radiative transfer calculations. It was found that approach (i) for *NVDI Kc* calculation is less sensitive than approach of analytical *Kc* (ii) for the effects related to the

**Figure 1.** Example of the implementation of the atmospheric correction (*AC*) module on the satellite derived NDVI for an alfalfa plot. Top of atmosphere (*ToA*) *NDVI* refers to the *NDVI* without *AC*, whereas of atmosphere (*BoA*) *NDVI* corresponds to *NDVI* with *AC*. The reference field measurements of

**a b**

minimum recommended grid size.

Measure of uncertainty is defined as deviation from the mean.

**2.4. Operational atmospheric correction** 

atmospheric correction.

*NDVI* are shown as solid circles.

Semi-automatic procedures have been developed in order to elaborate *Kc* maps from *EO* data in the minimum possible time. Pre-processing requires approximately half of the elaboration time of the entire process. Once georeferenced surface reflectance has been calculated in each pixel, the algorithms for determining *Kc* are quite straightforward.

The elaboration for step (i) is based on consolidated procedures available in each pilot zone. This step does not necessary requires a standardization, and it strictly linked to the topographical mapping standard adopted in each area. The principal recommendation coming from PLEIADES is to adopt procedures that do not alter substantially the radiometric content of data; as such, first-degree relationships should be preferentially used for coordinates transformation and nearest neighbour techniques for pixel resampling.

## **2.3. Cross-sensor intercalibration**

When using different sensors from our virtual constellation to generate time series of maps of geobiophysical parameters, a reliable methodology is needed to intercalibrate the observations from different sensors at different observation scales in different platforms. Intercalibration between observations or cross-calibration of sensors aims at developing relationships that allow to translate reflectances and spectral vegetation indices from one sensor to another.

For this purpose, we have performed an observational study, comparing reflectances and *NDVI* from near-synchronous image pairs of ETM+ as the reference sensor and TM, LISS, Aster, Quickbird, and AVHRR. Linear relationships were found for the intercalibration of reflectances and *NDVI* from one sensor to another, for all sensors, provided that some spatial aggregation is performed.

The main source of data dispersion in our linear cross-sensor translation equations is the geolocalization uncertainty inherent in the process of geometric correction. Consequently, spatial aggregation needs always to be performed if (different or the same) sensors are to be used to derive time-series of biogeophysical parameters over heterogeneous areas.

The homogenous zone approach developed here is recommended as an excellent tool for deriving robust new cross-sensor relationships, provided that the selected homogeneous crops cover the full *NDVI* range. The linear cross-sensor relationships derived from one image pair are shown to be valid for the whole season and for all areas with similar vegetation and climate. We recommend repeating the procedure once or twice a year in order to check the temporal stability of the radiometric calibration coefficients.

Although the differences in most cases are small, we maintain different equations for different spatial aggregation sizes. Table 1 gives the coefficients of the resulting equations for the example of 100 m grid cell side length (except for 75 m for Aster), which is the minimum recommended grid size.


**Table 1.** Summary of NDVI cross-sensor translation equations for elements in our virtual constellation. Measure of uncertainty is defined as deviation from the mean.

#### **2.4. Operational atmospheric correction**

172 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

All biogeophysical parameter calculation from EO starts with a pre-processing of EO data, composed of three main steps: i) Geometric correction and image re-sampling; ii)

Semi-automatic procedures have been developed in order to elaborate *Kc* maps from *EO* data in the minimum possible time. Pre-processing requires approximately half of the elaboration time of the entire process. Once georeferenced surface reflectance has been

The elaboration for step (i) is based on consolidated procedures available in each pilot zone. This step does not necessary requires a standardization, and it strictly linked to the topographical mapping standard adopted in each area. The principal recommendation coming from PLEIADES is to adopt procedures that do not alter substantially the radiometric content of data; as such, first-degree relationships should be preferentially used for coordinates transformation and nearest neighbour techniques for pixel

When using different sensors from our virtual constellation to generate time series of maps of geobiophysical parameters, a reliable methodology is needed to intercalibrate the observations from different sensors at different observation scales in different platforms. Intercalibration between observations or cross-calibration of sensors aims at developing relationships that allow to translate reflectances and spectral vegetation indices from one

For this purpose, we have performed an observational study, comparing reflectances and *NDVI* from near-synchronous image pairs of ETM+ as the reference sensor and TM, LISS, Aster, Quickbird, and AVHRR. Linear relationships were found for the intercalibration of reflectances and *NDVI* from one sensor to another, for all sensors, provided that some

The main source of data dispersion in our linear cross-sensor translation equations is the geolocalization uncertainty inherent in the process of geometric correction. Consequently, spatial aggregation needs always to be performed if (different or the same) sensors are to be

The homogenous zone approach developed here is recommended as an excellent tool for deriving robust new cross-sensor relationships, provided that the selected homogeneous crops cover the full *NDVI* range. The linear cross-sensor relationships derived from one image pair are shown to be valid for the whole season and for all areas with similar vegetation and climate. We recommend repeating the procedure once or twice a year in

used to derive time-series of biogeophysical parameters over heterogeneous areas.

order to check the temporal stability of the radiometric calibration coefficients.

calculated in each pixel, the algorithms for determining *Kc* are quite straightforward.

**2.2. Methodology to derive PLEIADES parameters from EO data** 

Cross-satellite intercalibration; iii) Atmospheric correction.

resampling.

sensor to another.

**2.3. Cross-sensor intercalibration** 

spatial aggregation is performed.

An automatic procedure has been developed for atmospheric correction. This procedure uses parameters extracted directly from the image instead of recurring to external data on synchronous on-site vertical profiles of atmospheric data, which are usually difficult to obtain. It results in a substantial reduction of processing time as compared to approaches based on radiative transfer calculations. It was found that approach (i) for *NVDI Kc* calculation is less sensitive than approach of analytical *Kc* (ii) for the effects related to the atmospheric correction.

**Figure 1.** Example of the implementation of the atmospheric correction (*AC*) module on the satellite derived NDVI for an alfalfa plot. Top of atmosphere (*ToA*) *NDVI* refers to the *NDVI* without *AC*, whereas of atmosphere (*BoA*) *NDVI* corresponds to *NDVI* with *AC*. The reference field measurements of *NDVI* are shown as solid circles.

A validation of the performance of this module has been performed by using field measurements of spectral reflectance carried out with the spectroradiometer GER 3700 (331 - 2509 nm spectral coverage, 1.5 - 9.5 nm resolution) for two land uses: (i) an alfalfa plot and (ii) a bare soil. Figure 1 illustrates the outcome of the AC-module in terms of the *NDVI* values for the alfalfa plot. Field measurements of *NDVI* showed the greatest scattering due to both, heterogeneity of the canopy cover in the alfalfa field and, the small field of view of the spectroradiometer in comparison to Landsat pixel size. Taking into account this variability, we can conclude that atmospherically corrected *NDVI* values are in agreement with in field measured *NDVI*. Similar results are obtained for the bare soil plot.

## **3. Crop coefficient and reference evapotranspiration**

Crop evapotranspiration can be calculated using the crop coefficient (*Kc*) (1) defined as the ratio of total evapotranspiration (*ET*) by reference evapotranspiration (*ET0*). Combining *Kc* (from field measurements or from satellite images) with *ET0* from agrometeorological station observations allows us to calculate crop evapotranspiration. This coefficient integrates the effect of characteristics that distinguish a typical field crop from the grass reference, which has a constant appearance and a complete ground cover.

Factors that determine the crop coefficients are crop type, climate, soil evaporation and crop growth stages [1, 2]. For this purpose FAO has proposed tabulated average values distinguishing by crops that can be applied knowing its phenology.

In case of annual crops under standard conditions (disease-free, well fertilized, grown in large fields, under optimum soil water conditions and achieving full production under the given climatic conditions), the *Kc* curve for the whole growing season can be calculated considering the initial (*KcINI*), medium (*KcMID*) and end stage (*KcEND*).

$$K\_c = \frac{ET}{ET\_0} \tag{1}$$

Remote Sensing Based Crop Coefficients for Water Management in Agriculture 175

In PLEIADES we use two approaches to obtain the crop coefficient from satellite imagery: one, directly from *NDVI*, named *Kc* - *NDVI*, based on the relationship between *NDVI* and the basal crop coefficient, and another, named analytical *Kc*, is based on the direct application of the Penman-Monteith equation. The *NDVI* is the main operational parameter to monitor

Relevant canopy biophysics parameters are green fractional cover, fraction of absorbed photosynthetically active radiation, primary production, Leaf Area Index (*LAI*), basal crop coefficient. All they are involved in canopy evapotranspiration. The ability of *NDVI* to

2. *NDVI* is related linearly with the fraction of absorbed photosynthetically active

3. *NDVI* is related with primary production (dry biomass) by means of Light Use

*P a NDVI b PAR W dt*

efficiency of crop to transform *PAR* into dry mass, *W* is a water stress coefficient, and *a*, *b* are constants. Using these *LUE* models we can consider that, under non-water stress, *NDVI* on plateau stage can be seen as a good estimator of the dry matter accumulation rate,

It establishes a relationship between *NDVI* and crop growth rate (*CGR*) which agrees with the idea that considers *NDVI* as an estimator of the canopy photosynthetic power. This way, [14] consider that vegetation index can be legitimately used to provide an estimate of

1. *NDVI* is related exponentially with Leaf Area Index (*LAI*) [15]. Is well known that *NDVI* begins to saturate for a value of *LAI* equal to 3 reaching a plateau for *LAI* > 3 (Figure 2

2. *NDVI* is related linearly with the basal crop coefficient *Kcb* [16]. This relationship is a

The facts pointed out in (3) and (4) may appear contradictory (saturation of *NDVI* for *LAI* > 3 on one hand and the linear relation of *NDVI* with *Kcb* on the other). This seeming paradox is due to the usual reasoning that relates higher *LAI* with higher evapotranspiration. This reasoning arises from associating more leaf surface with more transpiration. However,

(3)

is the

where *P* is primary production, *PAR* is Photosynthetically Active Radiation,

**4. Crop coefficient from NDVI and canopy biophysics parameters** 

describe canopy biophysics parameter has been shown as follows:

0

*t*

1. *NDVI* is related linearly with green fractional cover [7, 8];

vegetation status using Earth Observation.

radiation (*fAPAR*) [9];

growth rate.

a);

Efficiency (*LUE*) models [10, 11, 12]:

depending on crop and environmental variables [13].

relevant basis for the *Kc* – *NDVI* approach.

*cb e* <sup>0</sup> *ET K K ET* (2)

Mainly at the initial and end period, due to lower values of crop cover, soil evaporation has a large effect on *KcINI* and *KcEND* [3, 1, 4]. Therefore, vegetation indices (*VI*) are better related to transpiration of crop than to *Kc* [5] in those periods. This introduces a great variation in *KcINI* and *KcEND* daily values depending on soil water status, i.e. on frequency of wetting by irrigation and rainfall.

The dual crop coefficient approach proposed by [6] splits *Kc* into separate coefficients, one for crop transpiration *Kcb* (basal crop coefficient), and one for soil evaporation (*Ke*). The soil evaporation coefficient, *Ke*, describes the evaporation component of *ET*. When topsoil is wet, after irrigation or rainfall, *Ke* is maximal.

Estimation of *Ke* requires knowledge of soil water balance [1]. Wright [6] introduced the idea of a basal crop coefficient in which the soil evaporation component of *ET* was minimal due to a dry soil surface but adequate soil moisture in the crop root zone was available.

Remote Sensing Based Crop Coefficients for Water Management in Agriculture 175

$$ET = \left(K\_{cb} + K\_e\right) \cdot ET\_0 \tag{2}$$

In PLEIADES we use two approaches to obtain the crop coefficient from satellite imagery: one, directly from *NDVI*, named *Kc* - *NDVI*, based on the relationship between *NDVI* and the basal crop coefficient, and another, named analytical *Kc*, is based on the direct application of the Penman-Monteith equation. The *NDVI* is the main operational parameter to monitor vegetation status using Earth Observation.

## **4. Crop coefficient from NDVI and canopy biophysics parameters**

Relevant canopy biophysics parameters are green fractional cover, fraction of absorbed photosynthetically active radiation, primary production, Leaf Area Index (*LAI*), basal crop coefficient. All they are involved in canopy evapotranspiration. The ability of *NDVI* to describe canopy biophysics parameter has been shown as follows:

1. *NDVI* is related linearly with green fractional cover [7, 8];

174 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

with in field measured *NDVI*. Similar results are obtained for the bare soil plot.

**3. Crop coefficient and reference evapotranspiration** 

reference, which has a constant appearance and a complete ground cover.

distinguishing by crops that can be applied knowing its phenology.

considering the initial (*KcINI*), medium (*KcMID*) and end stage (*KcEND*).

irrigation and rainfall.

after irrigation or rainfall, *Ke* is maximal.

A validation of the performance of this module has been performed by using field measurements of spectral reflectance carried out with the spectroradiometer GER 3700 (331 - 2509 nm spectral coverage, 1.5 - 9.5 nm resolution) for two land uses: (i) an alfalfa plot and (ii) a bare soil. Figure 1 illustrates the outcome of the AC-module in terms of the *NDVI* values for the alfalfa plot. Field measurements of *NDVI* showed the greatest scattering due to both, heterogeneity of the canopy cover in the alfalfa field and, the small field of view of the spectroradiometer in comparison to Landsat pixel size. Taking into account this variability, we can conclude that atmospherically corrected *NDVI* values are in agreement

Crop evapotranspiration can be calculated using the crop coefficient (*Kc*) (1) defined as the ratio of total evapotranspiration (*ET*) by reference evapotranspiration (*ET0*). Combining *Kc* (from field measurements or from satellite images) with *ET0* from agrometeorological station observations allows us to calculate crop evapotranspiration. This coefficient integrates the effect of characteristics that distinguish a typical field crop from the grass

Factors that determine the crop coefficients are crop type, climate, soil evaporation and crop growth stages [1, 2]. For this purpose FAO has proposed tabulated average values

In case of annual crops under standard conditions (disease-free, well fertilized, grown in large fields, under optimum soil water conditions and achieving full production under the given climatic conditions), the *Kc* curve for the whole growing season can be calculated

> *c ET <sup>K</sup>*

Mainly at the initial and end period, due to lower values of crop cover, soil evaporation has a large effect on *KcINI* and *KcEND* [3, 1, 4]. Therefore, vegetation indices (*VI*) are better related to transpiration of crop than to *Kc* [5] in those periods. This introduces a great variation in *KcINI* and *KcEND* daily values depending on soil water status, i.e. on frequency of wetting by

The dual crop coefficient approach proposed by [6] splits *Kc* into separate coefficients, one for crop transpiration *Kcb* (basal crop coefficient), and one for soil evaporation (*Ke*). The soil evaporation coefficient, *Ke*, describes the evaporation component of *ET*. When topsoil is wet,

Estimation of *Ke* requires knowledge of soil water balance [1]. Wright [6] introduced the idea of a basal crop coefficient in which the soil evaporation component of *ET* was minimal due

to a dry soil surface but adequate soil moisture in the crop root zone was available.

0

*ET* (1)


$$P = \bigwedge\_{0}^{t} \left( a \cdot \text{NDVI} + b \right) \cdot \text{PAR} \cdot \varepsilon \cdot \mathcal{W} \cdot dt \tag{3}$$

where *P* is primary production, *PAR* is Photosynthetically Active Radiation, is the efficiency of crop to transform *PAR* into dry mass, *W* is a water stress coefficient, and *a*, *b* are constants. Using these *LUE* models we can consider that, under non-water stress, *NDVI* on plateau stage can be seen as a good estimator of the dry matter accumulation rate, depending on crop and environmental variables [13].

It establishes a relationship between *NDVI* and crop growth rate (*CGR*) which agrees with the idea that considers *NDVI* as an estimator of the canopy photosynthetic power. This way, [14] consider that vegetation index can be legitimately used to provide an estimate of growth rate.


The facts pointed out in (3) and (4) may appear contradictory (saturation of *NDVI* for *LAI* > 3 on one hand and the linear relation of *NDVI* with *Kcb* on the other). This seeming paradox is due to the usual reasoning that relates higher *LAI* with higher evapotranspiration. This reasoning arises from associating more leaf surface with more transpiration. However,

already [17] stated that the evidence seems conclusive that transpiration in most mesophytic crop plants and other mesophytic vegetation well supplied with water increases with leaf area to *LAI* of about three (Figure 2 b).

Remote Sensing Based Crop Coefficients for Water Management in Agriculture 177

The relationship between *NDVI* and *CGR* exhibits a strong dependence on crop and environmental variables (solar radiation, temperature, etc.) [13]. This is due to the different nature of *NDVI* and *CGR*. *NDVI* depends only on canopy characteristics, while *CGR* and so the transpiration rate, are strongly also dependent on surface and environmental variables. The basal crop coefficient is the ratio of canopy transpiration rate over the reference canopy

So, the empirical relationship between *NDVI* and *Kcb* shown by many authors, e.g. [18] and [19], (Figure 4) could be explained by considering *NDVI* as a measurement of relative *CGR*. Further research will be need in this subject. Despite limitations due to variability associated with canopy structure, background soil, and calibration uncertainties, *NDVI* can be used advantageously to estimate crop water requirements [20] in accounting its relationship with *Kcb*.

**Figure 4.** Temporal evolution of crop coefficient (*Kcb*) and *NDVI*, in maize. *Kcb* is estimated from green

Taking into account similarities between the crop coefficient curve and vegetation index, [21] established the potential for modelling crop coefficient as a function of vegetation index. This relation was derived from reflectance observations at field scale in the wavelengths ranges [0.63, 0.69 m] and [0.76, 0.90 m], measured at nadir and two meters above corn. A linear transformation of the *NDVI* was developed by equating the *NDVI* at effective cover and for dry, bare soil at the experimental site to the *Kcb* at effective cover and for dry soil evaporation, respectively. Similarly, [22] obtained (4) for two research sites in Colorado

1.181 0.026 *K NDVI cb* (4)

In order to minimize the presence of soil background, other vegetation indices (*VI*) have been used to compute *Kcb* [23]. This provides a particularly useful tool for satellite images where soil brightness and colour can vary. One of these *VIs* used is Soil Adjusted Vegetation

1.69 0.16 *K SAVI cb* (5)

Index (*SAVI*) [24] which for the same conditions as (4) gives the relationship [5]:

transpiration rate.

plant cover using FAO methodology [19].

using alfalfa as reference evapotranspiration surface

**Figure 2.** Typical *NDVI*-*LAI* curve (a), and ratio of actual to potential evapotranspiration (*ET*/*ETp*) as a function of the *LAI* (b).

Accounting the *LAI* saturation in the relation with evapotranspiration has lead to the concept of active *LAI* (Allen et al., 1998). The active *LAI* is defined as the index of the leaf area that actively contributes to the surface heat and vapour transfer. It is generally the upper, sunlit portion of a dense canopy. For practical applications, however, the active *LAI* is an ambiguous concept due its dependence on canopy architecture and its interaction with sunlight.

The basal crop coefficient is clearly related with green fractional cover (*fc*) (Figure 3). In fact, the procedure to estimate *Kcb* is based in the knowledge of *fc* [1], despite of ambiguities of the green *fc* concept, mainly in the maturation stage. The relationship between *NDVI* and *CGR* for well watered crops is based on the ability of *NDVI* to estimate *fAPAR*, introducing this fact in the *LUE* model. *CGR* is also related with the transpiration rate.

**Figure 3.** Green Fraction Coverand *NDVI* versus *DoY* at field scale for corn.

The relationship between *NDVI* and *CGR* exhibits a strong dependence on crop and environmental variables (solar radiation, temperature, etc.) [13]. This is due to the different nature of *NDVI* and *CGR*. *NDVI* depends only on canopy characteristics, while *CGR* and so the transpiration rate, are strongly also dependent on surface and environmental variables. The basal crop coefficient is the ratio of canopy transpiration rate over the reference canopy transpiration rate.

176 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

area to *LAI* of about three (Figure 2 b).

function of the *LAI* (b).

already [17] stated that the evidence seems conclusive that transpiration in most mesophytic crop plants and other mesophytic vegetation well supplied with water increases with leaf

**Figure 2.** Typical *NDVI*-*LAI* curve (a), and ratio of actual to potential evapotranspiration (*ET*/*ETp*) as a

Accounting the *LAI* saturation in the relation with evapotranspiration has lead to the concept of active *LAI* (Allen et al., 1998). The active *LAI* is defined as the index of the leaf area that actively contributes to the surface heat and vapour transfer. It is generally the upper, sunlit portion of a dense canopy. For practical applications, however, the active *LAI* is an ambiguous

The basal crop coefficient is clearly related with green fractional cover (*fc*) (Figure 3). In fact, the procedure to estimate *Kcb* is based in the knowledge of *fc* [1], despite of ambiguities of the green *fc* concept, mainly in the maturation stage. The relationship between *NDVI* and *CGR* for well watered crops is based on the ability of *NDVI* to estimate *fAPAR*, introducing this

concept due its dependence on canopy architecture and its interaction with sunlight.

fact in the *LUE* model. *CGR* is also related with the transpiration rate.

**Figure 3.** Green Fraction Coverand *NDVI* versus *DoY* at field scale for corn.

So, the empirical relationship between *NDVI* and *Kcb* shown by many authors, e.g. [18] and [19], (Figure 4) could be explained by considering *NDVI* as a measurement of relative *CGR*. Further research will be need in this subject. Despite limitations due to variability associated with canopy structure, background soil, and calibration uncertainties, *NDVI* can be used advantageously to estimate crop water requirements [20] in accounting its relationship with *Kcb*.

**Figure 4.** Temporal evolution of crop coefficient (*Kcb*) and *NDVI*, in maize. *Kcb* is estimated from green plant cover using FAO methodology [19].

Taking into account similarities between the crop coefficient curve and vegetation index, [21] established the potential for modelling crop coefficient as a function of vegetation index. This relation was derived from reflectance observations at field scale in the wavelengths ranges [0.63, 0.69 m] and [0.76, 0.90 m], measured at nadir and two meters above corn. A linear transformation of the *NDVI* was developed by equating the *NDVI* at effective cover and for dry, bare soil at the experimental site to the *Kcb* at effective cover and for dry soil evaporation, respectively. Similarly, [22] obtained (4) for two research sites in Colorado using alfalfa as reference evapotranspiration surface

$$K\_{cb} = 1.181 \cdot NDVI - 0.026\tag{4}$$

In order to minimize the presence of soil background, other vegetation indices (*VI*) have been used to compute *Kcb* [23]. This provides a particularly useful tool for satellite images where soil brightness and colour can vary. One of these *VIs* used is Soil Adjusted Vegetation Index (*SAVI*) [24] which for the same conditions as (4) gives the relationship [5]:

$$K\_{cb} = 1.69 \cdot SAVI - 0.16\tag{5}$$

Thus, crop coefficients derived from spectral measurements (*Kcs*) are independent of the time parameters, day of planting and effective cover, and represent a real-time crop coefficient. The use of spectral crop coefficients facilitates irrigation scheduling on a field-to-field basis over a large region if the fields can be observed spectrally, because planting and assumed effective cover dates are not required.

Remote Sensing Based Crop Coefficients for Water Management in Agriculture 179

, 1.36 0.031 *Kcb grass NDVI* (8)

, 1.73 0.009 *Kcb grass SAVI* (9)

1. Derive from (4) a new *SAVI* based equation, using the relationship NDVI = 1.2735•*SAVI*+0.02106, obtained from the definition of *SAVI* with a value for *L* = 0.5 (where *L* is the adjusting factor to account for *fc* in the *SAVI* definition equation), the

2. Multiply alfalfa-based *Kcb* by a factor 1.15 to convert them in grass based *Kcb*, according the procedure described in [27]. Equations (8) and (9) show that the obtained results are

same as used for (7);

very similar to (6) and (7).

**Figure 5.** Field observations of *Kcb* and *NDVI* versus *DoY* for corn.

**Figure 6.** Linear regression between values of *Kcb* and measured *NDVI* for maize.

In the case of wheat, the evolution in time is not as representative as in maize. We observe in Figure 3 that on *DoY* = 95, *fc* reaches a first local maximum before it continues growing in

The spectral information would be sensitive to leaf loss due to hail, stress caused by disease and water deficit, cold or wet conditions that delay early growth, and warm temperatures and drought that speed senescence [16]. At field scale, further work was performed in order to improve scheduling irrigation events on corn compared to other traditional *DoY* based methods resulting in estimated crop water use reduced by 15% [25].

## **5. Crop coefficient and NDVI relation from field observations**

Intensive experimental campaigns were conducted within pilot zones. The research field has a permanent lysimeter station and it is water controlled following FAO 56 specifications [26]. Coinciding in time with spectral acquisitions, biomass (kg.m-2), Leaf Area Index (*LAI*), and Green Fraction Cover (*fc*) were measured to describe the phenology of crops.

By the knowledge of crop stages, *Kcb* values have been estimated taking into account the effect of varying relative humidity and wind velocity from standard conditions (*RH* = 40%, *v* = 2 m.s-1) (Allen et al., 1998). Reflectance in red and near infrared to compute *NDVI* is obtained by integrating spectral reflectance in the range of ranges [0.63, 0.69 m] and [0.76, 0.90 m].

Evolution in time of *NDVI* and *fc* for maize is represented in Figure 5. *NDVI* reaches its maximum value, when crop reaches also full effective green cover in coincidence to maximum of *Kcb*. As can be seen in Figure 3 for maize, ranges of maximum and minimum values for *fc* and *NDVI* coincide in time obtaining comparable curves.

Variation in behaviour of *fc* allows determining *KcbINI* (0.15), and *KcbMID* (1.15). To determine *KcbEND* it is necessary to estimate water content of plant. The resulting 54% on *DoY* = 277 suggest a value of *KcbEND* = 0.5. The average curve for *Kcb* adapted for crop height, minimum relative humidity and wind velocity is represented in Figure 5 along with *NDVI*.

From linear regression we obtain the equations for the reflected-based crop coefficients for corn (Figure 6) in case of *NDVI* and *SAVI*:

$$K\_{c\text{bNDVI}} = 1.37 \cdot \text{NDVI} - 0.017 \qquad \left(R^2 = 0.99\right) \tag{6}$$

$$K\_{cbSAVI} = 1.76 \cdot SAVI - 9.10^{-2} \qquad \left(R^2 = 0.99\right) \tag{7}$$

To perform the comparison between (6) and (7), which are grass based reference evapotranspiration, and (4), which is alfalfa based reference evapotranspiration, we have realized the following steps:


$$K\_{cb,gross} = 1.36 \cdot NDVI - 0.031 \tag{8}$$

$$K\_{cb,gas} = \mathbf{1.73} \cdot \mathbf{SAVI} - \mathbf{0.009} \tag{9}$$

**Figure 5.** Field observations of *Kcb* and *NDVI* versus *DoY* for corn.

planting and assumed effective cover dates are not required.

0.90 m].

methods resulting in estimated crop water use reduced by 15% [25].

values for *fc* and *NDVI* coincide in time obtaining comparable curves.

corn (Figure 6) in case of *NDVI* and *SAVI*:

realized the following steps:

**5. Crop coefficient and NDVI relation from field observations** 

and Green Fraction Cover (*fc*) were measured to describe the phenology of crops.

Thus, crop coefficients derived from spectral measurements (*Kcs*) are independent of the time parameters, day of planting and effective cover, and represent a real-time crop coefficient. The use of spectral crop coefficients facilitates irrigation scheduling on a field-to-field basis over a large region if the fields can be observed spectrally, because

The spectral information would be sensitive to leaf loss due to hail, stress caused by disease and water deficit, cold or wet conditions that delay early growth, and warm temperatures and drought that speed senescence [16]. At field scale, further work was performed in order to improve scheduling irrigation events on corn compared to other traditional *DoY* based

Intensive experimental campaigns were conducted within pilot zones. The research field has a permanent lysimeter station and it is water controlled following FAO 56 specifications [26]. Coinciding in time with spectral acquisitions, biomass (kg.m-2), Leaf Area Index (*LAI*),

By the knowledge of crop stages, *Kcb* values have been estimated taking into account the effect of varying relative humidity and wind velocity from standard conditions (*RH* = 40%, *v* = 2 m.s-1) (Allen et al., 1998). Reflectance in red and near infrared to compute *NDVI* is obtained by integrating spectral reflectance in the range of ranges [0.63, 0.69 m] and [0.76,

Evolution in time of *NDVI* and *fc* for maize is represented in Figure 5. *NDVI* reaches its maximum value, when crop reaches also full effective green cover in coincidence to maximum of *Kcb*. As can be seen in Figure 3 for maize, ranges of maximum and minimum

Variation in behaviour of *fc* allows determining *KcbINI* (0.15), and *KcbMID* (1.15). To determine *KcbEND* it is necessary to estimate water content of plant. The resulting 54% on *DoY* = 277 suggest a value of *KcbEND* = 0.5. The average curve for *Kcb* adapted for crop height, minimum

From linear regression we obtain the equations for the reflected-based crop coefficients for

To perform the comparison between (6) and (7), which are grass based reference evapotranspiration, and (4), which is alfalfa based reference evapotranspiration, we have

<sup>2</sup> 1.37 0.017 0.99 *KcbNDVI NDVI <sup>R</sup>* (6)

2 2 1.76 9.10 0.99 *KcbSAVI SAVI <sup>R</sup>* (7)

relative humidity and wind velocity is represented in Figure 5 along with *NDVI*.

**Figure 6.** Linear regression between values of *Kcb* and measured *NDVI* for maize.

In the case of wheat, the evolution in time is not as representative as in maize. We observe in Figure 3 that on *DoY* = 95, *fc* reaches a first local maximum before it continues growing in coincidence with emerging ears (with active photosynthesis), supposing a rapid increase in *fc*, and thus in *Kcb* and spectral indices.

Remote Sensing Based Crop Coefficients for Water Management in Agriculture 181

*KK K c cb e* (10)

Neale et al. [22] related the crop canopy reflectance to basal crop coefficient for corn, developing an operational technique for estimating actual crop *ET*. The reflectance based crop coefficient (*Kcr*) was derived by nearly transforming the seasonal normalized difference vegetation index (*NDVI*) using the percent shading and leaf area measurements to establish the *EFC* and relate it to the basal crop coefficient by [6]. In several studies, *NDVI* has been

The operational procedure to estimate *Kc* from satellite imagery is based on the linear relationship between *NDVI* and basal crop coefficient described earlier. Landsat is the reference imagery to estimate *NDVI* (spectral broadband calibration). The attractiveness of Landsat is the high resolution (30 m in the visible and near infrared bands and 60 to 120 m in the thermal band) so that individual fields can be observed. The methodology that is described here has been checked against the preliminary results of all PLEIADES pilot areas for the following crops: Barley, wheat, maize, opium plant, sugar beet, alfalfa, pea, potato,

Wright [6] proposed a dual basal crop coefficient approach which splits the total crop coefficient into crop transpiration (*Kcb*) and soil evaporation (*Ke*) fractions, see Figure 8. The *Kcb* component represents the crop evaporative conditions from soil conditions whose surface is dry (direct evaporation from soil surface is minimum), and the crop growth is not limited by water, insect, climatological or physiological factors. The dual crop coefficient

**Figure 8.** Crop coefficient curves showing the basal *Kcb*, soil evaporation *Ke* and the corresponding

onion and garlic. So we can establish the limits of applicability of this approach.

directly used to predict *Kc* [5, 22, 23, 29, 30].

**6.1. Dual crop coefficient NDVI approach** 

concept (see also equation (2)) expressed as

single *Kcb* = *Kcb* + *Ke* curve [1].

Applying (6) and (7) to data obtained for wheat, we see in Figure 7 that *Kcb* obtained from *NDVI* reproduces the evolution in time of *fc*.

This relationship facilitates calculations of transpiration taking into account that only points over dry soil were considered, but without limiting crop transpiration. Evaporation of soil introduces an important contribution to *Kc* during days after irrigation or rainfall.

This means that water soil balance must be taken into account to get the contribution of evaporation in *Kc*. Over large areas, where variability of soil colour and brightness can influence the *NDVI*, *SAVI* and other *Vis* designed to normalize soil background effect should be used.

**Figure 7.** Evolution in time of observed *fc* for wheat. The *Kcb NDVI* and *Kcb SAVI* values for wheat have been obtained from the linear relationships in (6) and (7).

## **6. Crop coefficient from NDVI: Operational point of view**

Equations (6) and (7) provide the grass based basal crop coefficient from *NDVI* and *SAVI* data. These *VIs* are calculated for Landsat TM broadband from field radiometry data. Equation (4) provides alfalfa-based basal crop coefficient from *NDVI*.

Neale et al. [28] review the use of canopy reflectance observations to obtain crop coefficients over large areas. Similarities were found between the mean crop coefficient for small grain to the ratio of the perpendicular vegetation index (*PVI*) for wheat to *PVI* of wheat at full canopy cover. Heilman et al. [3] investigated the relationship between percent cover and reflectance-based perpendicular vegetation index (*PVI*) for alfalfa.

Neale et al. [22] related the crop canopy reflectance to basal crop coefficient for corn, developing an operational technique for estimating actual crop *ET*. The reflectance based crop coefficient (*Kcr*) was derived by nearly transforming the seasonal normalized difference vegetation index (*NDVI*) using the percent shading and leaf area measurements to establish the *EFC* and relate it to the basal crop coefficient by [6]. In several studies, *NDVI* has been directly used to predict *Kc* [5, 22, 23, 29, 30].

The operational procedure to estimate *Kc* from satellite imagery is based on the linear relationship between *NDVI* and basal crop coefficient described earlier. Landsat is the reference imagery to estimate *NDVI* (spectral broadband calibration). The attractiveness of Landsat is the high resolution (30 m in the visible and near infrared bands and 60 to 120 m in the thermal band) so that individual fields can be observed. The methodology that is described here has been checked against the preliminary results of all PLEIADES pilot areas for the following crops: Barley, wheat, maize, opium plant, sugar beet, alfalfa, pea, potato, onion and garlic. So we can establish the limits of applicability of this approach.

#### **6.1. Dual crop coefficient NDVI approach**

180 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

introduces an important contribution to *Kc* during days after irrigation or rainfall.

*fc*, and thus in *Kcb* and spectral indices.

be used.

*NDVI* reproduces the evolution in time of *fc*.

been obtained from the linear relationships in (6) and (7).

coincidence with emerging ears (with active photosynthesis), supposing a rapid increase in

Applying (6) and (7) to data obtained for wheat, we see in Figure 7 that *Kcb* obtained from

This relationship facilitates calculations of transpiration taking into account that only points over dry soil were considered, but without limiting crop transpiration. Evaporation of soil

This means that water soil balance must be taken into account to get the contribution of evaporation in *Kc*. Over large areas, where variability of soil colour and brightness can influence the *NDVI*, *SAVI* and other *Vis* designed to normalize soil background effect should

**Figure 7.** Evolution in time of observed *fc* for wheat. The *Kcb NDVI* and *Kcb SAVI* values for wheat have

Equations (6) and (7) provide the grass based basal crop coefficient from *NDVI* and *SAVI* data. These *VIs* are calculated for Landsat TM broadband from field radiometry data.

Neale et al. [28] review the use of canopy reflectance observations to obtain crop coefficients over large areas. Similarities were found between the mean crop coefficient for small grain to the ratio of the perpendicular vegetation index (*PVI*) for wheat to *PVI* of wheat at full canopy cover. Heilman et al. [3] investigated the relationship between percent cover and

**6. Crop coefficient from NDVI: Operational point of view** 

Equation (4) provides alfalfa-based basal crop coefficient from *NDVI*.

reflectance-based perpendicular vegetation index (*PVI*) for alfalfa.

Wright [6] proposed a dual basal crop coefficient approach which splits the total crop coefficient into crop transpiration (*Kcb*) and soil evaporation (*Ke*) fractions, see Figure 8. The *Kcb* component represents the crop evaporative conditions from soil conditions whose surface is dry (direct evaporation from soil surface is minimum), and the crop growth is not limited by water, insect, climatological or physiological factors. The dual crop coefficient concept (see also equation (2)) expressed as

$$K\_c = K\_{cb} + K\_e \tag{10}$$

**Figure 8.** Crop coefficient curves showing the basal *Kcb*, soil evaporation *Ke* and the corresponding single *Kcb* = *Kcb* + *Ke* curve [1].

We assume that there is a linear relationship between *Kcb* and *NDVI* as stated earlier. This time, however, the linear relationships are adjusted to values of *NDVIMAX* and *NDVIMIN* from satellite imagery rather to those from field radiometry. Table 2 gives the corresponding values.


**Table 2.** Maximum and minimum values of NDVI and derived parameters observed in set of Landsat images.

The resulting linear relationship is:

$$K\_{cb} = 1.5625 \cdot \text{NDVI} - 0.1\tag{11}$$

Remote Sensing Based Crop Coefficients for Water Management in Agriculture 183

*KcINI* **FAO56** *KcMID* **(15)**

*KcMID* **FAO56** 

1.25 0.2 *K NDVI <sup>c</sup>* (15)

Equations (14) and (15) are very similar. By its simplicity we assume (15) as the operational

Table 3 shows the comparison between *Kc* values obtained from *NDVI* by means of (15), and the values for *KcINI*, *KcMID* from [1] for the crops studied in the field during the pilot campaign. We observe good agreement for crops with higher effective ground cover,

> *KcINI* **(15)**

Alfalfa 0.16 0.80 0.40 0.40 1.20 1.20 Barley 0.16 0.80 0.40 0.30 1.20 1.15 Garlic 0.16 0.44 0.40 0.70(0.40)\* 0.75 1.00 Maize 0.16 0.78 0.40 0.30(0.40)\* 1.17 1.20 Onion 0.16 0.53 0.40 0.70(0.50)\* 0.86 1.00 Opium poppy 0.16 0.80 0.40 No reference 1.20 No reference Pea 0.16 0.77 0.40 0.50(0.40)\* 1.16 1.15 Potato 0.16 0.78 0.40 0.50(0.45)\* 1.17 1.15 Sugar beet 0.16 0.78 0.40 0.35(0.45)\* 1.17 1.20 Wheat 0.16 0.80 0.40 0.30 1.20 1.15 **Table 3.** Comparison between the averaged *Kc* values obtained from *NDVI* by means of (15), and the

Significant deviations between *NDVI* based and FAO56 based *KcMID* are found for crops like garlic and onion, which exhibit low ground cover in the stage of maximum development, in contrast with the rest of crops studied. The higher bare soil proportion of those crops can introduce and reinforce effects on *Kc* related with irrigation frequency, irrigation system utilized, environmental

It should be also noted that (14) and (15) are applicable for the initial crop development and mid-season phases only. The application for the late season phase, when the crop is maturing, requires a slight correction because ground cover (green and dry) remains nearly constant in that phase. Assuming a constant value of 0.8 for ground cover (Table 1) and

1.5625 0.05 *K NDVI <sup>c</sup>* (16)

Summarizing, the operational equations will be (15) for the initial, development and mid

The Caia irrigation scheme is located in the Caia watershed in east-central Portugal close to the Spanish border. The Caia river is a tributary to the transnational Guadiana river basin. It is a relatively flat area at a mean elevation of 200 m above sea level, with mean annual

although (15) seems to overestimate *KcINI* slightly for spring crops.

values for *KcINI*, *KcMID* from FAO56 [1] for the main crops in the pilot zone.

aspects and others. Further research is under way to study this behaviour.

**NDVI max**

**min**

formula to derive *Kc* from *NDVI*.

Crop **NDVI**

combining (11) and (12), we obtain:

season and (16) for the late season.

**7. Caia (Portugal)** 

The soil evaporation part in (10), *Ke*, is related with bare soil fraction, and is strongly dependent on wetting state of bare soil fraction, because the evaporative power of soil changes strongly if the soil is wetted or if the soil is dry. Irrigation system (gravity, sprinkler, drip, etc) and irrigation frequency, coupled with type and stage of crop, are the factors that determine the time of different bare soil wetting states. We propose a first approach to take into account these factors assuming *NDVI* as a good estimator of ground fractional cover, *fc*, (and so, of bare soil fraction, 1 - *fc* ). The other factors are parameterized by means of a parameter *β*:

$$K\_c = \left(1 - f\_c\right) \cdot \beta \tag{12}$$

The parameter *β* is estimated empirically, from the values of *KcINI* or *KcMID* and can be modified on the basis of ancillary or local information. It is crop (and stage) dependent. Assuming a linear relationship between *NDVI* and *fc* for all crops, and considering again the *NDVI* maximum and minimum values from satellite imagery and the corresponding *fc* as given in Table 1, we obtain the relationship

$$f\_c = 1.3514 \cdot \text{NDVI} - 0.2811\tag{13}$$

#### **6.2. Single crop coefficient NDVI approach**

A common *β* parameter value is 0.25, obtained considering an *fc* value of 0.8, *Kc* equal to 1.2, and *Kcb* equal to 1.15. Taking *β* as 0.25 and combining (10), (11), (12), and (13), we obtain a direct relationship *Kc* - *NDVI* 

$$K\_c = 1.2246 \cdot \text{NDVI} + 0.2203 \tag{14}$$

We also obtain a relationship *Kc* - *NDVI* directly from Table 1 in the same way as above, by considering a linear relationship between the maximum *NDVI* and the maximum *Kc* (at effective full cover) and the minimum (bare soil) *NDVI* and bare soil *Kc*, respectively. The resulting relationship is:

$$K\_c = 1.25 \cdot NDVI + 0.2\tag{15}$$

Equations (14) and (15) are very similar. By its simplicity we assume (15) as the operational formula to derive *Kc* from *NDVI*.

Table 3 shows the comparison between *Kc* values obtained from *NDVI* by means of (15), and the values for *KcINI*, *KcMID* from [1] for the crops studied in the field during the pilot campaign. We observe good agreement for crops with higher effective ground cover, although (15) seems to overestimate *KcINI* slightly for spring crops.


**Table 3.** Comparison between the averaged *Kc* values obtained from *NDVI* by means of (15), and the values for *KcINI*, *KcMID* from FAO56 [1] for the main crops in the pilot zone.

Significant deviations between *NDVI* based and FAO56 based *KcMID* are found for crops like garlic and onion, which exhibit low ground cover in the stage of maximum development, in contrast with the rest of crops studied. The higher bare soil proportion of those crops can introduce and reinforce effects on *Kc* related with irrigation frequency, irrigation system utilized, environmental aspects and others. Further research is under way to study this behaviour.

It should be also noted that (14) and (15) are applicable for the initial crop development and mid-season phases only. The application for the late season phase, when the crop is maturing, requires a slight correction because ground cover (green and dry) remains nearly constant in that phase. Assuming a constant value of 0.8 for ground cover (Table 1) and combining (11) and (12), we obtain:

$$K\_c = 1.5625 \cdot NDVI - 0.05 \tag{16}$$

Summarizing, the operational equations will be (15) for the initial, development and mid season and (16) for the late season.

#### **7. Caia (Portugal)**

182 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

imagery rather to those from field radiometry. Table 2 gives the corresponding values.

images.

The resulting linear relationship is:

by means of a parameter *β*:

direct relationship *Kc* - *NDVI* 

resulting relationship is:

given in Table 1, we obtain the relationship

**6.2. Single crop coefficient NDVI approach** 

1.3514 0.2811 *<sup>c</sup>*

We assume that there is a linear relationship between *Kcb* and *NDVI* as stated earlier. This time, however, the linear relationships are adjusted to values of *NDVIMAX* and *NDVIMIN* from satellite

Minimum 0.16 0.15 0.0 0.4 Maximum 0.80 1.15 0.8 1.2 **Table 2.** Maximum and minimum values of NDVI and derived parameters observed in set of Landsat

1.5625 0.1 *Kcb NDVI* (11)

The soil evaporation part in (10), *Ke*, is related with bare soil fraction, and is strongly dependent on wetting state of bare soil fraction, because the evaporative power of soil changes strongly if the soil is wetted or if the soil is dry. Irrigation system (gravity, sprinkler, drip, etc) and irrigation frequency, coupled with type and stage of crop, are the factors that determine the time of different bare soil wetting states. We propose a first approach to take into account these factors assuming *NDVI* as a good estimator of ground fractional cover, *fc*, (and so, of bare soil fraction, 1 - *fc* ). The other factors are parameterized

1 *K f e c*

The parameter *β* is estimated empirically, from the values of *KcINI* or *KcMID* and can be modified on the basis of ancillary or local information. It is crop (and stage) dependent. Assuming a linear relationship between *NDVI* and *fc* for all crops, and considering again the *NDVI* maximum and minimum values from satellite imagery and the corresponding *fc* as

A common *β* parameter value is 0.25, obtained considering an *fc* value of 0.8, *Kc* equal to 1.2, and *Kcb* equal to 1.15. Taking *β* as 0.25 and combining (10), (11), (12), and (13), we obtain a

1.2246 0.2203 *K NDVI <sup>c</sup>* (14)

We also obtain a relationship *Kc* - *NDVI* directly from Table 1 in the same way as above, by considering a linear relationship between the maximum *NDVI* and the maximum *Kc* (at effective full cover) and the minimum (bare soil) *NDVI* and bare soil *Kc*, respectively. The

(12)

*f NDVI* (13)

*NDVI Kcb fc Kc*

The Caia irrigation scheme is located in the Caia watershed in east-central Portugal close to the Spanish border. The Caia river is a tributary to the transnational Guadiana river basin. It is a relatively flat area at a mean elevation of 200 m above sea level, with mean annual

precipitation of 537 mm. The irrigation infrastructure was established in 1967, with a central dam of 203 hm3 capacity and a metered canal network serving 7,237 ha. Except for a concentrated small-scale plot area of 600 ha, the fields are generally large, on average 35 ha. The main crops are corn, wheat, tomato, and sugarbeet, which are all grown for industrial commercialization.

Remote Sensing Based Crop Coefficients for Water Management in Agriculture 185

crop coefficient has been calculated using farming information concerning amount of used irrigation water, agrometeorological data and field phenological stage to correct and

For this campaign a spatial extrapolation of the crop coefficients was performed, based on field work land use maps. Figure 10 shows the temporal and spatial evolution of crop

coefficient in the pilot zone, for the three studied crops.

**Figure 10.** Spatial and temporal evolution of crop coefficient in Caia pilot Zone.

**7.2. Calibration and validation of FAO and** *EO* **derived crop coefficients** 

The crop coefficient has been calculated in three different ways: the first (line in Figure 11) is based on the concepts of the FAO-56 (Allen et al., 1998) methodology for *Kcb* calculation, with its general tabulated values; the second is *Kc NDVI* calculated with *EO* PLEIADES methodology (circles and squares, from Landsat 7 and 5, respectively); third way is *Kcb* from field observations, adjusted with additional field data (triangles). Figure 11 shows maize monitored on "Melinho" and "Botafogo" test fields. The length of the "Initial stage" of phenological development is based on information concerning seeding dates, but FAO-56 standard methodology stipulates that crop green development occurs earlier than has been observed in the field. The EO-derived data are rather close to the field observations. The slight scatter indicates that the crop stage have several variations, depending on soil and

**Figure 11.** Maize field *Kc* evolution during campaign versus *EO* derived and FAO-56: Melinho plot area

Tomato is planted in a way that full canopy is not reached in any growing stage. This means that soil evaporative fraction is always present, resulting in a better water management at plot level. Due to the fact that it is a multi-stage plant, i.e. one plant can be on multiple

calibrate *Kcb* curve.

crop water stress parameters.

(a) and Botafogo plot area (b).

The water resources from the dam are mainly used for irrigation (over 90%) and population supply (less than 10%). Pressure on water quantity is increasing and water quality is already under pressure, as ecological standards are very close to the regulatory limits.

The Associação de Beneficiários do Caia (ABCaia) is the local water user association (Irrigation District Board). It has the mandate for water management in the irrigation scheme and represents the local farmers in the River Basin Council. At the beginning of PLEIADES, there was an incipient traditional IAS (provided by the Centro Operativo de Técnicas de Rega, COTR) with a newly installed agrometeorological station and a small GIS facility at the Irrigation District Board. The goal was to build up an innovative irrigation advisory capacity, in order to cope with the rapidly increasing pressure on water quantity and quality.

## **7.1. Local crop expert database and field protocols**

The first pilot campaign was a fruitful training and learning phase that consolidated the local team and established local field sampling protocols. It also laid the foundations for the local GIS-based expert database on crop phenology. Figure 9 shows the crop coefficient curves for the major crops. An important emphasis in the Caia pilot zone is on tomato, which has phonological cycles that can vary enormously between plots.

During the following pilot campaign, extensive field data were collected to extend the expert database for all major crops of the area. They were also used for validation and local calibration of EO-derived products.

**Figure 9.** Crop coefficient curves for major crops in Caia area, from field campaign.

The local team developed and implemented a work strategy having as objective to be close to satellite overview conditions. In that sense nadir pictures of crop canopy have been taken as close as possible to overpass satellite period, to determine Green fraction cover, and the crop coefficient has been calculated using farming information concerning amount of used irrigation water, agrometeorological data and field phenological stage to correct and calibrate *Kcb* curve.

For this campaign a spatial extrapolation of the crop coefficients was performed, based on field work land use maps. Figure 10 shows the temporal and spatial evolution of crop coefficient in the pilot zone, for the three studied crops.

**Figure 10.** Spatial and temporal evolution of crop coefficient in Caia pilot Zone.

184 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

under pressure, as ecological standards are very close to the regulatory limits.

**7.1. Local crop expert database and field protocols** 

calibration of EO-derived products.

which has phonological cycles that can vary enormously between plots.

**Figure 9.** Crop coefficient curves for major crops in Caia area, from field campaign.

commercialization.

and quality.

precipitation of 537 mm. The irrigation infrastructure was established in 1967, with a central dam of 203 hm3 capacity and a metered canal network serving 7,237 ha. Except for a concentrated small-scale plot area of 600 ha, the fields are generally large, on average 35 ha. The main crops are corn, wheat, tomato, and sugarbeet, which are all grown for industrial

The water resources from the dam are mainly used for irrigation (over 90%) and population supply (less than 10%). Pressure on water quantity is increasing and water quality is already

The Associação de Beneficiários do Caia (ABCaia) is the local water user association (Irrigation District Board). It has the mandate for water management in the irrigation scheme and represents the local farmers in the River Basin Council. At the beginning of PLEIADES, there was an incipient traditional IAS (provided by the Centro Operativo de Técnicas de Rega, COTR) with a newly installed agrometeorological station and a small GIS facility at the Irrigation District Board. The goal was to build up an innovative irrigation advisory capacity, in order to cope with the rapidly increasing pressure on water quantity

The first pilot campaign was a fruitful training and learning phase that consolidated the local team and established local field sampling protocols. It also laid the foundations for the local GIS-based expert database on crop phenology. Figure 9 shows the crop coefficient curves for the major crops. An important emphasis in the Caia pilot zone is on tomato,

During the following pilot campaign, extensive field data were collected to extend the expert database for all major crops of the area. They were also used for validation and local

The local team developed and implemented a work strategy having as objective to be close to satellite overview conditions. In that sense nadir pictures of crop canopy have been taken as close as possible to overpass satellite period, to determine Green fraction cover, and the

## **7.2. Calibration and validation of FAO and** *EO* **derived crop coefficients**

The crop coefficient has been calculated in three different ways: the first (line in Figure 11) is based on the concepts of the FAO-56 (Allen et al., 1998) methodology for *Kcb* calculation, with its general tabulated values; the second is *Kc NDVI* calculated with *EO* PLEIADES methodology (circles and squares, from Landsat 7 and 5, respectively); third way is *Kcb* from field observations, adjusted with additional field data (triangles). Figure 11 shows maize monitored on "Melinho" and "Botafogo" test fields. The length of the "Initial stage" of phenological development is based on information concerning seeding dates, but FAO-56 standard methodology stipulates that crop green development occurs earlier than has been observed in the field. The EO-derived data are rather close to the field observations. The slight scatter indicates that the crop stage have several variations, depending on soil and crop water stress parameters.

**Figure 11.** Maize field *Kc* evolution during campaign versus *EO* derived and FAO-56: Melinho plot area (a) and Botafogo plot area (b).

Tomato is planted in a way that full canopy is not reached in any growing stage. This means that soil evaporative fraction is always present, resulting in a better water management at plot level. Due to the fact that it is a multi-stage plant, i.e. one plant can be on multiple

phenological stages at the same period, irrigation must be a compromise for the average stage of the field. Based on the experience of field technicians, the different *Kcb* curves (Figure 12) have been calculated with data obtained at plot level, FAO-56 methodology and *EO* derived data.

Remote Sensing Based Crop Coefficients for Water Management in Agriculture 187

almost real time, so that they could be compared with field data. The local team made their spatial integration and data extrapolation based on ABCaia GIS tools and related

Knowing, through data from the meteorological station at Caia (Figure 14), the relationship between potential evapotranspiration (*ETp*) and evapotranspiration measured from *EO* 

Hence, having a value of, for example, *ET0* = 7.2 for the 2nd of June we can make the correspondence for the all area (Figure 15). This kind of data is very important to farmers because there is a well known relation where precipitation plus irrigation is equal to

geographical information data available for this pilot zone.

**Figure 13.** Farmer report from D. Isabel (a) and Melo (b) fields.

**Figure 14.** Evapotranspiration in Caia area.

evapotranspiration plus terrain drainage.

(*ETEO*), it is possible to establish the relationship expressed in (2).

**Figure 12.** Tomato field *Kc* evolution during campaign versus *EO* derived and FAO-56: D. Joana plot area (a) and Sta. Isabel plot area (b).

The results demonstrate again a huge difference between standard FAO-56 values (line) and the *Kc* values obtained from field survey (triangles). As with maize, the *EO* derived data present closer values to what has been observed on the plots. Given the huge deviation of actual crop coefficients from FAO-56 values the local expert database on crop phenology plays a crucial role in the quality of an *IAS* under implementation.

## **7.3. Real-time demonstration and participatory evaluation with farmers**

Field monitoring has been carried from seeding until harvesting dates, only during the months of July, August and September of 2005. A real-time on-place demonstration campaign of PLEIADES took place, surveying hot spots in each of the 6 pilot fields and delivering *IAS* information to farmers.

A "Farmer Report" was supplied to each individual land owner covered by the ground truth operation (Figure 13). In Figure 13 is clearly identified the difference in corn maturation in July, using drop-to-drop irrigation (a) and pivot irrigation (b).

Several meetings were organized to promote and explain the content of the information to the farmers and to get their feedback. The farmers found that the *EO* derived information, along with field survey data, can be very useful for them and that such an irrigate advisory service can help them with irrigation and farming strategies at their farm holding level.

Although, one of the monitored fields had a change for sugar beet with a winter variety, with impacts on data correlation, on the other two the same season of maize and tomato has been used.

The weekly procedure has been maintained in order to collect phenological stages data to define *Kcb* field curves, for evaluation of EO-derived data. For the demonstration campaign the Portuguese Meteorological Institute provided *Kc NDVI* data, obtained from Landsat 5, in almost real time, so that they could be compared with field data. The local team made their spatial integration and data extrapolation based on ABCaia GIS tools and related geographical information data available for this pilot zone.

**Figure 13.** Farmer report from D. Isabel (a) and Melo (b) fields.

186 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

*EO* derived data.

area (a) and Sta. Isabel plot area (b).

delivering *IAS* information to farmers.

holding level.

been used.

phenological stages at the same period, irrigation must be a compromise for the average stage of the field. Based on the experience of field technicians, the different *Kcb* curves (Figure 12) have been calculated with data obtained at plot level, FAO-56 methodology and

**Figure 12.** Tomato field *Kc* evolution during campaign versus *EO* derived and FAO-56: D. Joana plot

The results demonstrate again a huge difference between standard FAO-56 values (line) and the *Kc* values obtained from field survey (triangles). As with maize, the *EO* derived data present closer values to what has been observed on the plots. Given the huge deviation of actual crop coefficients from FAO-56 values the local expert database on crop phenology

Field monitoring has been carried from seeding until harvesting dates, only during the months of July, August and September of 2005. A real-time on-place demonstration campaign of PLEIADES took place, surveying hot spots in each of the 6 pilot fields and

A "Farmer Report" was supplied to each individual land owner covered by the ground truth operation (Figure 13). In Figure 13 is clearly identified the difference in corn

Several meetings were organized to promote and explain the content of the information to the farmers and to get their feedback. The farmers found that the *EO* derived information, along with field survey data, can be very useful for them and that such an irrigate advisory service can help them with irrigation and farming strategies at their farm

Although, one of the monitored fields had a change for sugar beet with a winter variety, with impacts on data correlation, on the other two the same season of maize and tomato has

The weekly procedure has been maintained in order to collect phenological stages data to define *Kcb* field curves, for evaluation of EO-derived data. For the demonstration campaign the Portuguese Meteorological Institute provided *Kc NDVI* data, obtained from Landsat 5, in

plays a crucial role in the quality of an *IAS* under implementation.

**7.3. Real-time demonstration and participatory evaluation with farmers** 

maturation in July, using drop-to-drop irrigation (a) and pivot irrigation (b).

Knowing, through data from the meteorological station at Caia (Figure 14), the relationship between potential evapotranspiration (*ETp*) and evapotranspiration measured from *EO*  (*ETEO*), it is possible to establish the relationship expressed in (2).

**Figure 14.** Evapotranspiration in Caia area.

Hence, having a value of, for example, *ET0* = 7.2 for the 2nd of June we can make the correspondence for the all area (Figure 15). This kind of data is very important to farmers because there is a well known relation where precipitation plus irrigation is equal to evapotranspiration plus terrain drainage.

Remote Sensing Based Crop Coefficients for Water Management in Agriculture 189

MapServer, SWFF, etc. GDAL has been used for obtaining the satellite images information,

This toolkit, as well as the queries form, helps the user in taking decisions about water, crops, etc. MapServer lets the system offer a visual support for the user, supporting a wide variety of image formats, as well as vector format and databases. Xercess is the parser for the XML messages that implements the DOM interface providing quite an easy interface for

The system receives information from images and stations, pre-processing some of them to provide formatted data. It also offers a Quality Control (QC) interface for the IAS manger to control the information for the farmer, so that the final information distributed to the user ("published") includes only correct and accurate information. The system is prepared for assimilating the satellite image as far as possible, so that the system gives a real time toolkit

The mobile phone client has been programmed in Flash. A simpler interface has been designed because of the limitations of the mobile technologies. This client lets the farmers access the information of the satellite wherever they are without needing a computer or an internet connection and with an easy interface that lets them zoom into the image or ask for

PLEIADES was designed to assess and demonstrate in an operational perspective how the integration of Earth observation (*EO*) techniques in routine Irrigation Advisory Services

getting the pixel value and creating charts with GD showing the time evolution.

**Figure 16.** PLEIADES WebGIS and mobile applications example.

the programmer for accessing the XML information.

parameters information.

**8. Conclusions** 

for analysing the satellite information with the spatial information.

**Figure 15.** Crop coefficient and Evapotranspiration in Caia area at 2 of June.

#### **7.4. Future perspectives**

For the intensive and extensive campaign the local ground team has been organised and defined protocols and set up a strategy to collect data as close as possible to satellite overpass conditions. During the project period a local effort has been made to implement irrigation advisory services on the pilot zone area, resulting in ongoing use of agrometeorological station data provided by the Centro Operativo de Técnicas de Rega (COTR) and the Farmer Association (ABCaia) supplying information on irrigation parameters. Survey data have been available due to the cooperation of the Agronomy School of Elvas University (ESA) and also made available to them jointly with with ABCaia aiming to set up strategies for development of local technical skills to support irrigation development in accordance with environmental requirements.

The foundations have been laid for the PLEIADES prototype to start being operative in the Caia pilot zone. An efficient and dedicated local operating team has been consolidated, with collaborating entities. A local *GIS* based expert database on crop phenology and *EO* methodology calibration has been developed and the necessary *ICT* infrastructure has been established (Figure 15). The user participation is incipient but promising. A funding model still needs to be found for further sustainable implementation. Increasing pressure on water quantity and quality may provide an important motivation.

The Server is based on leading edge online GIS Technology. The system architecture is web based and composed by a modular group of components, which makes maintenance of the system easy. Those components are based on the XML language.

The web services have been programmed also to let the server be distributed in different *PCs* to share the load of the system. The server has been programmed for a Windows system, using open source libraries and toolkits like FOP, Xerces C++, GDAL, GD, MapServer, SWFF, etc. GDAL has been used for obtaining the satellite images information, getting the pixel value and creating charts with GD showing the time evolution.

**Figure 16.** PLEIADES WebGIS and mobile applications example.

This toolkit, as well as the queries form, helps the user in taking decisions about water, crops, etc. MapServer lets the system offer a visual support for the user, supporting a wide variety of image formats, as well as vector format and databases. Xercess is the parser for the XML messages that implements the DOM interface providing quite an easy interface for the programmer for accessing the XML information.

The system receives information from images and stations, pre-processing some of them to provide formatted data. It also offers a Quality Control (QC) interface for the IAS manger to control the information for the farmer, so that the final information distributed to the user ("published") includes only correct and accurate information. The system is prepared for assimilating the satellite image as far as possible, so that the system gives a real time toolkit for analysing the satellite information with the spatial information.

The mobile phone client has been programmed in Flash. A simpler interface has been designed because of the limitations of the mobile technologies. This client lets the farmers access the information of the satellite wherever they are without needing a computer or an internet connection and with an easy interface that lets them zoom into the image or ask for parameters information.

## **8. Conclusions**

188 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 15.** Crop coefficient and Evapotranspiration in Caia area at 2 of June.

development in accordance with environmental requirements.

quantity and quality may provide an important motivation.

system easy. Those components are based on the XML language.

For the intensive and extensive campaign the local ground team has been organised and defined protocols and set up a strategy to collect data as close as possible to satellite overpass conditions. During the project period a local effort has been made to implement irrigation advisory services on the pilot zone area, resulting in ongoing use of agrometeorological station data provided by the Centro Operativo de Técnicas de Rega (COTR) and the Farmer Association (ABCaia) supplying information on irrigation parameters. Survey data have been available due to the cooperation of the Agronomy School of Elvas University (ESA) and also made available to them jointly with with ABCaia aiming to set up strategies for development of local technical skills to support irrigation

The foundations have been laid for the PLEIADES prototype to start being operative in the Caia pilot zone. An efficient and dedicated local operating team has been consolidated, with collaborating entities. A local *GIS* based expert database on crop phenology and *EO* methodology calibration has been developed and the necessary *ICT* infrastructure has been established (Figure 15). The user participation is incipient but promising. A funding model still needs to be found for further sustainable implementation. Increasing pressure on water

The Server is based on leading edge online GIS Technology. The system architecture is web based and composed by a modular group of components, which makes maintenance of the

The web services have been programmed also to let the server be distributed in different *PCs* to share the load of the system. The server has been programmed for a Windows system, using open source libraries and toolkits like FOP, Xerces C++, GDAL, GD,

**7.4. Future perspectives** 

PLEIADES was designed to assess and demonstrate in an operational perspective how the integration of Earth observation (*EO*) techniques in routine Irrigation Advisory Services

(*IAS*) can improve the efficiency in the use of water for irrigation. The use of leading-edge Information and Communication Technology (*ICT*) tools in the generation and distribution of information makes the *EO* easily available to *IAS* and the farmers.

Remote Sensing Based Crop Coefficients for Water Management in Agriculture 191

**Author details** 

António Perdigão

**9. References** 

Jorge Rocha, Raquel Melo and Cristina Henriques

*CEG, Institute of Geography and Territorial Planning, University of Lisbon, Portugal* 

*DGADR, Direcção Geral de Agricultura e Desenvolvimento Rural, Lisbon, Portugal* 

Guidelines for computing crop water requirements. *UN-FAO*, *Rome, Italy*.

Evapotranspiration and Evaporation. *Remote Sensing Reviews*, 4(2):349-377.

*evapotranspiration for large regions*: *September 17, Montpellier, FRANCE.*

Using Spectral Reflectance*. Agronomy Journal*, 74:967-971.

simulations. *Remote Sensing of Environment*, 50:1-17.

the Atmosphere. *Science,* Vol 275, 52-509.

*Res. Soc., London, SeriesB.* 281, pp. 277 - 329.

*Agronomy Journal* 76:300-306.

*Sensing of Environment,* 70: 29-51.

*Drainage*, 108(1):57-74.

vol 22, no 17, 3357-3362.

[1] Allen, R.G, Pereira, L.S., Raes, D. y Smith, M. (1998). Crop evapotranspiration.

[2] Bailey, J.O. (1990). The Potential Value of Remotely Sensed Data in the Assessment of

[3] Heilman, J.L., Heilman, W.E. and Moore, D.G. (1982). Evaluating the Crop Coefficient

[4] Allen, R.G., Morse, A., and Tasumi, M. (2003). Application of SEBAL for western US water rights regulation and planning. University of Idaho, Kimberly, Idaho, USA. *Proceedings of ICID-CIID International Workshop: Use of remote sensing of crop*

[5] Choudhury, B. J., Ahmed, N. U., Idso, S. B., Reginato, R.J., and Daughtry, C.S.T. (1994). Relations Between Evaporation Coefficients and Vegetation Indices Studied by Model

[6] Wright, J.L. (1982). New Evapotranspiration Crop Coefficients, *Journal of Irrigation and* 

[7] Calera, A., Martínez, C., Meliá, J. (2001). A procedure for Obtaining Green Plant Cover: Relation to NDVI in a Case of Study for Barley. *International Journal of Remote Sensing*,

[8] Carlson, T.N., Ripley, D. (1997). On the Relation between NDVI, Fractional Vegetation

[9] Sellers, P.J., Dickinson, R.E., Randall, A., Betts, A.K., Hall, F.G., Berry, J.A., Collatz, G.J., Denning, A.S., Mooney, H.A., Nobre, C.A., Sato, N., Field, C.B., Henderson- Sellers, A. (1997). Modelling the Eschanges of Energy, Water, and Carbon between Continents and

[10] Monteith, J. L. (1977). Climate and Efficiency of Cropproduction in Britain. *Phil. Trans.* 

[11] Asrar, G., Fuchs, M., Kanemasu, E.T., and Hatfield, J.L. (1984). Estimating absorbed photosynthetic radiation and leaf area index from spectral reflectance in wheat.

[12] Gower, S. T., Kucharik, C. J., and Norman, J. M. (1999). Direct and indirect estimation of leaf area index, fapar, and net primary production of terrestrial ecosystems. *Remote*

Cover, and Leaf Area Index. *Remote Sensing of Environment*, 62:241-252.

The PLEIADES WebGIS (www.pleiades.es) is the central outcome of the project. Its key feature is the operational generation of irrigation scheduling information products from a virtual constellation of *EO* satellites and their delivery to farmers in near-real-time using leading-edge on-line analysis and visualization tools. It is supported by a methodology package to derive crop coefficients and further advanced parameters from *EO* satellite images in an operational processing chain.

PLEIADES basic products were generated and transmitted to a sample of farmers normally within 2 days from overpass, thus completely matching the weekly operational irrigation scheduling cycles.

Participatory evaluation with selected farmers shows that the farmers feedback is very positive, both on the information quality as on the added value of the spatial information (within-plot heterogeneity and between-plot variations). The reliability and accuracy of the information has been con-firmed by the comparison of different approaches to derive crop coefficients from EO and validation with field data in all pilot zones.

The major improvement achieved by the use of *EO* in the generation of basic IAS information products like crop coefficients is twofold. Firstly, the spatial coverage is enhanced significantly, both extending to larger areas and providing within-field heterogeneity information. Secondly, the spatially resolved *EO* data can easily be combined with cadastral information in a geographical in-formation system (*GIS*), which allows for personalization of the irrigation scheduling recommendation.

Conventional *IAS* provides average irrigation recommendations per crop type, while the new space-assisted *IAS* is able to provide specific recommendations for each individual plot, based on the actual state of that plot.

The fast image delivery and quality controlled operational processing make the EO-based crop coefficient maps available at the same speed and quality as ground-based data (point samples), while significantly extending the spatial coverage and reducing service cost. The uptake of users at *IAS* and farmer level is encouraging.

Advanced products have made a significant step towards operationality while maintaining satisfactory levels of accuracy. First exploitation steps including full operational implementation are indicators of the success of the prototype and the project.

The space segment is the most vulnerable part of the entire operational system. After the sensor failure of Landsat 7, the backbone of the actual system is Landsat 5, due to its excellent operationality and low cost (22 years old, with no replacement in sight). Urgent actions are required to ensure the capability to obtain adequate *EO* images at the adequate coverage frequency and low cost.

## **Author details**

190 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

of information makes the *EO* easily available to *IAS* and the farmers.

coefficients from EO and validation with field data in all pilot zones.

personalization of the irrigation scheduling recommendation.

uptake of users at *IAS* and farmer level is encouraging.

based on the actual state of that plot.

coverage frequency and low cost.

images in an operational processing chain.

scheduling cycles.

(*IAS*) can improve the efficiency in the use of water for irrigation. The use of leading-edge Information and Communication Technology (*ICT*) tools in the generation and distribution

The PLEIADES WebGIS (www.pleiades.es) is the central outcome of the project. Its key feature is the operational generation of irrigation scheduling information products from a virtual constellation of *EO* satellites and their delivery to farmers in near-real-time using leading-edge on-line analysis and visualization tools. It is supported by a methodology package to derive crop coefficients and further advanced parameters from *EO* satellite

PLEIADES basic products were generated and transmitted to a sample of farmers normally within 2 days from overpass, thus completely matching the weekly operational irrigation

Participatory evaluation with selected farmers shows that the farmers feedback is very positive, both on the information quality as on the added value of the spatial information (within-plot heterogeneity and between-plot variations). The reliability and accuracy of the information has been con-firmed by the comparison of different approaches to derive crop

The major improvement achieved by the use of *EO* in the generation of basic IAS information products like crop coefficients is twofold. Firstly, the spatial coverage is enhanced significantly, both extending to larger areas and providing within-field heterogeneity information. Secondly, the spatially resolved *EO* data can easily be combined with cadastral information in a geographical in-formation system (*GIS*), which allows for

Conventional *IAS* provides average irrigation recommendations per crop type, while the new space-assisted *IAS* is able to provide specific recommendations for each individual plot,

The fast image delivery and quality controlled operational processing make the EO-based crop coefficient maps available at the same speed and quality as ground-based data (point samples), while significantly extending the spatial coverage and reducing service cost. The

Advanced products have made a significant step towards operationality while maintaining satisfactory levels of accuracy. First exploitation steps including full operational

The space segment is the most vulnerable part of the entire operational system. After the sensor failure of Landsat 7, the backbone of the actual system is Landsat 5, due to its excellent operationality and low cost (22 years old, with no replacement in sight). Urgent actions are required to ensure the capability to obtain adequate *EO* images at the adequate

implementation are indicators of the success of the prototype and the project.

Jorge Rocha, Raquel Melo and Cristina Henriques

*CEG, Institute of Geography and Territorial Planning, University of Lisbon, Portugal* 

António Perdigão

*DGADR, Direcção Geral de Agricultura e Desenvolvimento Rural, Lisbon, Portugal* 

## **9. References**

	- [13] Calera, A., González-Piqueras, J., Meliá, J. (2004). Monitoring barley and corn growth from remote sensing data field scale. *International Journal of Remote Sensing*, vol. 25, no 1, 97-109.

**Chapter 9** 

© 2012 Santos et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Santos et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**Certification and Integration** 

**– A Path to Sustained Success** 

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/48414

also to the life cycle of their products.

**1. Introduction** 

**of Environment with Quality and Safety** 

Gilberto Santos, Manuel Rebelo, Síria Barros and Martinha Pereira

According to Wright [1] certification of products and processes began during the 1960's in the manufacturing industry, as a tool to control and assure the quality/conformity of products and services provided by suppliers to customers/consumers. Thus, the series of ISO 9000 was published first time, in 1987 and it was been created with a flexible character, to be reviewed periodically. Later, were published others normative references, which highlight the ISO 14001 in 1996 and OHSAS 18001 in 1999. This was also, the natural sequence of the certification processes in the organizations, i.e., began with the certification of quality management systems (QMS) followed by the environmental management systems (EMS) and after for the Occupational Health and Safety Management System (OHSMS). Hence, a high percentage of organizations with an EMS, in accordance with the ISO 14001, had also implemented, a certified QMS, in accordance with ISO 9001. At first the implementation of a QMS was particularly relevant in high demanding activity sectors, like the automotive and aeronautical industries, but it has rapidly extended to every activity sector, becoming a common requisite of any company worldwide and a factor of competitiveness and survival. Due to the increasingly demanding environmental legislation in developed countries, companies nowadays are required to seriously take into consideration not only environmental aspects associated to the production chain itself, but

They are forced to implement suitable EMS to manage the environmental issues as for example at the level of the prevention and reduction of wastes. Consequently to promote and protect environment in a sustainable way. This is a particularly important issue for small and medium-sized companies (SMEs), which are considered to make up the vast


## **Certification and Integration of Environment with Quality and Safety – A Path to Sustained Success**

Gilberto Santos, Manuel Rebelo, Síria Barros and Martinha Pereira

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/48414

## **1. Introduction**

192 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

97-109.

*Ed., London,* pp.290

*Irrigation & Drainage*)

Environment, 25:295-309.

*Barcelona, September, 8-11th*.

61, 319-346.

[13] Calera, A., González-Piqueras, J., Meliá, J. (2004). Monitoring barley and corn growth from remote sensing data field scale. *International Journal of Remote Sensing*, vol. 25, no 1,

[14] Monteith J.L., Unsworth M.H. (1990). Principles of Environmental Physics., *E.Arnold* 

[15] Gilabert, M.A., Gandía, S., Meliá, J. (1996) Analyses of Spectral-Byophysical

[16] Bausch, W.C. and Neale, C.M.U. (1987). Crop Coefficients Derived from Reflected

[17] Rosenberg, N.J., Blad, B.L., and Verma, S.B. (1983). Microclimate; The biological

[18] Calera, A., A. Jochum, and A. Cuesta (2003): Earth observation techniques to improve

[19] Jochum, A.M., A. Calera, and A. Cuesta (2003): Irrigation management from space: Towards user-friendly products. Proc. ICID Workshop "Use of Remote Sensing of Crop Evapotranspiration fro Large Areas", 17 September, Montpellier. (submitted *Int'l J.*

[20] Moran, M.S., Inoue, Y., Barnes, E.M. (1997). Opportunities and Limitations for Image-Based Remote Sensing in Precision Crop Management. *Remote Sensing of Environment,* 

[21] Bausch, W.C. and Neale, C.M.U. (1987). Crop Coefficients Derived from Reflected

[22] Neale, C.M. U., Bausch, W.C., and Heermann, D.F. (1989). Development of Reflectance-

[23] Bausch, W.C. (1993). Soil Background Effects on Reflectance-Based Crop Coefficients for

[24] Huete, A.R. (1988). A Soil Adjusted Vegetation Index (SAVI). Remote Sensing of

[25] Bausch, W.C. (1994). Remote Sensing of Crop Coefficients for Improving the Irrigation

[26] Gonzalez-Piqueras, J., Calera, A. and Gilabert, M.A. (2003). Estimation of Crop Coefficients by Means of Optimized Vegetation Indices for Corn, *Proceedings of the SPIE,* 

[27] ASCE Hydrology Handbook 2nd Ed . (1996). Chapter 4: Evaporation and Transpiration.

[28] Neale, C.M.U., Jayanthi, H., and Wright, J.L. (2003). Crop and irrigation water management using high resolution airborne renote sensing. Utah State University, Logan, Utah, USA. *Proceedings of ICID-CIID International Workshop: Use of remote sensing* 

[29] Bausch, W.C. and Neale, C.M.U. (1989). Spectral inputs improve corn crop coefficients

[30] Bausch, W.C. (1995). Remote sensingof crop coefficients for improving the irrigation

*of crop evapotranspiration for large regions*: *September 17, Montpellier, FRANCE.*

and irrigation scheduling. *Transactions of the ASAE,* 32(6):1901-1908.

scheduling of corn. *Agricultural Water Management*. 27:55-68.

Relationships for a Corn Canopy. *Remote Sensing of Environment,* 55: 11-20.

Irrigation Advisory Services. Proc. Envirowater, Albacete, 4-6 September.

environment 2nd ed*. New York; John Wiley & sons*, pp.13-15,170.

Based Crop Coefficients for Corn. *Trans. ASAE* 32(6):1891-1899.

Corn. *Remote Sensing of Environment*, 46:213-222. 46:213-222.

Scheduling of Corn. *Agricultural Water Management*, 27:55-68.

*ASCE Manuals and Reports on Engineering* Practice No.28.

Canopy. *Transactions of the ASAE*, 30(3):703-709.

Canopy. *Transactions of the ASAE*, 30(3):703-709.

According to Wright [1] certification of products and processes began during the 1960's in the manufacturing industry, as a tool to control and assure the quality/conformity of products and services provided by suppliers to customers/consumers. Thus, the series of ISO 9000 was published first time, in 1987 and it was been created with a flexible character, to be reviewed periodically. Later, were published others normative references, which highlight the ISO 14001 in 1996 and OHSAS 18001 in 1999. This was also, the natural sequence of the certification processes in the organizations, i.e., began with the certification of quality management systems (QMS) followed by the environmental management systems (EMS) and after for the Occupational Health and Safety Management System (OHSMS). Hence, a high percentage of organizations with an EMS, in accordance with the ISO 14001, had also implemented, a certified QMS, in accordance with ISO 9001. At first the implementation of a QMS was particularly relevant in high demanding activity sectors, like the automotive and aeronautical industries, but it has rapidly extended to every activity sector, becoming a common requisite of any company worldwide and a factor of competitiveness and survival. Due to the increasingly demanding environmental legislation in developed countries, companies nowadays are required to seriously take into consideration not only environmental aspects associated to the production chain itself, but also to the life cycle of their products.

They are forced to implement suitable EMS to manage the environmental issues as for example at the level of the prevention and reduction of wastes. Consequently to promote and protect environment in a sustainable way. This is a particularly important issue for small and medium-sized companies (SMEs), which are considered to make up the vast

© 2012 Santos et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Santos et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

Certification and Integration of Environment with Quality and Safety – A Path to Sustained Success 195

[11]. The people that work in environmental management and at the same time are members of quality teams, assure that quality management goes hand-in-hand with environmental management. The actions that are carried out to achieve quality are, in many situations, the same actions necessary, for example, to achieve effective environmental management. In line with this, ISO 14001 has become compatible with the ISO 9001. Consequently, the integration of environmental issues (including environmental protection and pollution prevention in the management of organizations through the implementation of an environmental management system) allow acquiring a deep insight of the most important environmental aspects associated with its activity, and identifying the processes that need to be improved through the implementation of effective environmental measures [12]. On other hand, according Curkovic [38] TQM focuses on waste as it applies to process inefficiencies, whereas ERM focuses more on pollution in the form of air emissions and solid and hazardous waste. Because the two concepts share a similar focus, it makes sense to use many of the TQM tools, methods, and practices in implementing an ERM-based system.

Moreover, human resources are the most valuable resource of any company or country, but not always the most valued. Thus, the greatest asset of any organization, any region or any country, are people and their know-how [13]. Therefore, among others, another system to be implemented in the organizations is the OHSMS. Thus, according Fernández-Muñiz [14], several fields are showing increasing interest in safety culture as a means of reducing accidents in the workplace. The literature shows that safety culture is a multidimensional concept. Hence, nowadays, companies that search greater profitability and better organization implement the quality systems, aiming at a reduction of defective products and lost time, searching for the loyalty of customers and searching for excellence. The progressive implementation of ideas and techniques related with the quality management is one of the clearest demonstrations of organizational innovation in the industry in the last decades. From the standpoint of the risk prevention literature, it has been argued that the use of advanced quality management systems help reduce accident rates because quality management methods are based on the principle of prevention rather than corrective actions. Hence, the concept of an OHSMS has become common over the past 20 years [15]. The people that work in safety management and at the same time, are members of quality teams, assure that quality management has a great relationship with risk management.

More than ever, today, is in question the business sustainability of the organizations and the focus should be placed far much more than financial results. These results will not verify if that focus does not prioritize also, the satisfaction, balanced, integrated and growing of the customers and others relevant Stakeholders, that are clearly and objectively the employees for example [16]. But according to the ISO – IMS publication [17], a common objective of management system standards is to assist organizations to manage the risks associated with providing products and services to customers and other stakeholders. On other hand the management system of the organizations is frequently split into a number of parts or subsystems, which must be managed separately with relative independence. These parts or subsystems of an organization's management system reflect the different needs and expectations of the stakeholders. Many organizations use standards, such as those related to

majority of business in Europe)[2]. They are quoted as contributing 70% of global environmental pollution, with the majority coming from the manufacturing sector [3]. Thus, following both the Rio Conference in 1992 and GATT (General Agreement on Tariffs and Trade) negotiations, international standards have become important for succeeding and for getting access to the markets; at the same time, there has been an increase in the interest of environmental management. Such regulatory and competitive pressures have caused firms to take into consideration the environmental issues within their own production and market plans. Many firms have attempted to seek an effective environmental management system. These have led to implementation and development of the ISO 14001 standard for assessing environmental management processes. Today, all over the world, many firms are seeking ISO 14001 certification [4]. Thus, improved environmental management in the industrial sector is required to protect the environment, protect human health and property, and to satisfy environmental requirements associated with international trade [5]. In a sense, the value of the ISO 14001 certificate, as a proof of environmental performance, is a combination of the supplier's environmental ambitions, the advancement of supply chain practices of the customer and the ambitions of the certification bodies [6] . On other hand, according to Casadesús [7] and others authors, the interest shown by organizations and other entities linked by the implementation of environmental management systems (EMS), especially the family of ISO 14000 standards and the EMAS regulation in Europe, has grown spectacularly all over the world in recent years, even though a certain saturation has been detected in some countries. Thus, the implementation and management of all economical, environmental and social aspects within a company is gradually becoming a crucial requirement for any business and has become a widespread phenomenon around the world [8]. Large companies are increasingly requiring this management policy from their suppliers, establishing specific requests and performances that small and medium enterprises (SMEs) often find extremely difficult to accomplish. On other hand, there are many organizations which, either because of the demands of the market itself or because of other internal motivations, have implemented different Management Systems alongside their EMS.

In fact, although no reliable references on this matter have been found, it is quite plausible to think that the great majority of ISO 14001 – registered companies are also certified in accordance with the ISO 9001 standard [9]. Thus, quality management philosophy and methods have been imported into ISO 14001 from ISO 9000. As a result, it is not surprising that measurement and evaluation are enshrined as important hallmarks of an effective EMS. According Curkovic [38], a companys ability to reframe learnings from total quality management (TQM) is crucial to the successful implementation and use of environmentally responsible manufacturing (ERM) -based systems and procedures.

Generally speaking, this component of the EMS is considered effective when the contents of review meetings are well communicated, the focus of meetings is on improving the system, findings (i.e. about noncompliance, from various statistical charts, and audit results) are reported honestly, and corrective actions follow [10]. In some cases, the similarities between QMS and EMS systems can facilitate the integration of the two related management systems [11]. The people that work in environmental management and at the same time are members of quality teams, assure that quality management goes hand-in-hand with environmental management. The actions that are carried out to achieve quality are, in many situations, the same actions necessary, for example, to achieve effective environmental management. In line with this, ISO 14001 has become compatible with the ISO 9001. Consequently, the integration of environmental issues (including environmental protection and pollution prevention in the management of organizations through the implementation of an environmental management system) allow acquiring a deep insight of the most important environmental aspects associated with its activity, and identifying the processes that need to be improved through the implementation of effective environmental measures [12]. On other hand, according Curkovic [38] TQM focuses on waste as it applies to process inefficiencies, whereas ERM focuses more on pollution in the form of air emissions and solid and hazardous waste. Because the two concepts share a similar focus, it makes sense to use many of the TQM tools, methods, and practices in implementing an ERM-based system.

194 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

their EMS.

majority of business in Europe)[2]. They are quoted as contributing 70% of global environmental pollution, with the majority coming from the manufacturing sector [3]. Thus, following both the Rio Conference in 1992 and GATT (General Agreement on Tariffs and Trade) negotiations, international standards have become important for succeeding and for getting access to the markets; at the same time, there has been an increase in the interest of environmental management. Such regulatory and competitive pressures have caused firms to take into consideration the environmental issues within their own production and market plans. Many firms have attempted to seek an effective environmental management system. These have led to implementation and development of the ISO 14001 standard for assessing environmental management processes. Today, all over the world, many firms are seeking ISO 14001 certification [4]. Thus, improved environmental management in the industrial sector is required to protect the environment, protect human health and property, and to satisfy environmental requirements associated with international trade [5]. In a sense, the value of the ISO 14001 certificate, as a proof of environmental performance, is a combination of the supplier's environmental ambitions, the advancement of supply chain practices of the customer and the ambitions of the certification bodies [6] . On other hand, according to Casadesús [7] and others authors, the interest shown by organizations and other entities linked by the implementation of environmental management systems (EMS), especially the family of ISO 14000 standards and the EMAS regulation in Europe, has grown spectacularly all over the world in recent years, even though a certain saturation has been detected in some countries. Thus, the implementation and management of all economical, environmental and social aspects within a company is gradually becoming a crucial requirement for any business and has become a widespread phenomenon around the world [8]. Large companies are increasingly requiring this management policy from their suppliers, establishing specific requests and performances that small and medium enterprises (SMEs) often find extremely difficult to accomplish. On other hand, there are many organizations which, either because of the demands of the market itself or because of other internal motivations, have implemented different Management Systems alongside

In fact, although no reliable references on this matter have been found, it is quite plausible to think that the great majority of ISO 14001 – registered companies are also certified in accordance with the ISO 9001 standard [9]. Thus, quality management philosophy and methods have been imported into ISO 14001 from ISO 9000. As a result, it is not surprising that measurement and evaluation are enshrined as important hallmarks of an effective EMS. According Curkovic [38], a companys ability to reframe learnings from total quality management (TQM) is crucial to the successful implementation and use of environmentally

Generally speaking, this component of the EMS is considered effective when the contents of review meetings are well communicated, the focus of meetings is on improving the system, findings (i.e. about noncompliance, from various statistical charts, and audit results) are reported honestly, and corrective actions follow [10]. In some cases, the similarities between QMS and EMS systems can facilitate the integration of the two related management systems

responsible manufacturing (ERM) -based systems and procedures.

Moreover, human resources are the most valuable resource of any company or country, but not always the most valued. Thus, the greatest asset of any organization, any region or any country, are people and their know-how [13]. Therefore, among others, another system to be implemented in the organizations is the OHSMS. Thus, according Fernández-Muñiz [14], several fields are showing increasing interest in safety culture as a means of reducing accidents in the workplace. The literature shows that safety culture is a multidimensional concept. Hence, nowadays, companies that search greater profitability and better organization implement the quality systems, aiming at a reduction of defective products and lost time, searching for the loyalty of customers and searching for excellence. The progressive implementation of ideas and techniques related with the quality management is one of the clearest demonstrations of organizational innovation in the industry in the last decades. From the standpoint of the risk prevention literature, it has been argued that the use of advanced quality management systems help reduce accident rates because quality management methods are based on the principle of prevention rather than corrective actions. Hence, the concept of an OHSMS has become common over the past 20 years [15]. The people that work in safety management and at the same time, are members of quality teams, assure that quality management has a great relationship with risk management.

More than ever, today, is in question the business sustainability of the organizations and the focus should be placed far much more than financial results. These results will not verify if that focus does not prioritize also, the satisfaction, balanced, integrated and growing of the customers and others relevant Stakeholders, that are clearly and objectively the employees for example [16]. But according to the ISO – IMS publication [17], a common objective of management system standards is to assist organizations to manage the risks associated with providing products and services to customers and other stakeholders. On other hand the management system of the organizations is frequently split into a number of parts or subsystems, which must be managed separately with relative independence. These parts or subsystems of an organization's management system reflect the different needs and expectations of the stakeholders. Many organizations use standards, such as those related to

quality, the environment and safety, among others, to manage certain aspects of their performance.

Certification and Integration of Environment with Quality and Safety – A Path to Sustained Success 197

Communication – improved image of the organisation, improved relationships with Stakeholders and evidence of legal compliance; In fact, significant differences in these areas have not been found, and it is fairly plausible that the vast majority of companies certified under ISO 14001 are also certified under the ISO 9001 standard, according to Santos [13].

Therefore, a new necessity has emerged in organisations, namely to integrate these systems into a single IMS - Integrated Management System and we cannot forget the fact that the environmental improvement of the product must be considered in relation to the impacts on Quality & Health and Safety, as mentioned by Jørgensen [27]. Therefore, the idea of an IMS - Integrated Management System consists of establishing correspondences and to combine two or more independent management systems, for example in accordance with ISO 9001, ISO 14001, and OHSAS 18001. Evidence of this can be seen in table A.1 - of the annex A - of OHSAS 18001:2007 [28]. Despite having their origins in different aspects of company performance, the Quality, Environment and Safety Management Systems have a lot in common, as mentioned by Fresner [12] and Block [29], among other authors. The integration of these management systems is a path that can be followed, and the ISO 19011 standard - Guidelines for auditing management systems [24] is a good example of the future. According to Santos [13] the future lies in the integration of these management systems, managed by only one multidisciplinary team with training and skills in several areas,

The Portuguese industry, mainly, consists of Small and Medium Enterprises (SMEs), which activity and performance are crucial factors for the country development. SMEs provide 75% of the total labour force employed in industry, trade and services. According to the website of the Ministry of Economy and Innovation [30] SMEs are responsible of 99.5% of national business, generating 74.7% of employment and held 59.8% of sales nationwide. They are the basis of Portuguese economy. A good example of Management Systems

**Figure 1.** Documental structure of the Integrated Management Systems at Kupper & Schmidt [13]

thereby economizing both financial and human resources.

Certification and Integration in Portugal is represented in Figure 1.

Within this framework, in order to have quality and excellence in products (or services), as well as in the management of the companies that manufacture and provide them, it has become imperative for the companies define and implement quality, environment and safety management system, according to ISO 9001, ISO 14001 and OHSAS 18001 standards, respectively . At the same time the companies must also improve and optimize, continually, these management systems to allow them to true added value for the companies and their stakeholders [16].

The following questions may arise: How can these three management systems be integrated? Can they be integrated? According to Santos [18] this is a problem that the most developed companies started to experience some time ago, and it has been discussed by various authors, that we highlight: McDonald [19], Arifin [20] and Bernardo [21] among others, who provides a summary of the degrees of integration according to some authors, and Labodová [22], who reported on the implementation of integrated management systems using a risk analyses based approach. Thus, according with the ISO 72:2001 Guide [23], the experience with management system standards issued by the ISO shows that there exist a number of common elements, which can be arranged under the following main subjects: policy; planning; implementation and operation; performance assessment; improvement and management review, as stated by Santos [13].

Related to the integration of management systems, Karapetrovic [9] states that there are many organizations that implement different management systems, either as a result of market demand either for internal reasons. During the combined audits in accordance with ISO 19011 [24] for Quality and/or Environmental Management Systems audits, it can be observed that the integration of the systems is implemented in a partial way by the integration of procedures by phases.

When it is observed that it exist similar procedures, those are adapted to the two systems, for exemple, quality and environment, and jointly audited. However, the manuals still individually separated. As stated by Santos [25], although an audit be integrated / joint, named as by "combined audit", the respective reports are often kept separate so that any nonconformities detected in one of the systems do not implicate to stop the other system that complies with the respective standard. This could implicate the loose of clients, which would be a backward step for the company, and is considered one of the obstacles to a quicker integration. Suditu [26], associates to the integration of management systems internal motivations and corresponding benefits, by dividing them into: 1 - Organisational – improvement of the quality of the management by downsizing of three departments into one and reducing barriers between individual systems; 2 - Financial – reduction in auditing costs; 3-Employees – increased motivation, awareness and competences; 4 - External motivations and corresponding benefits, by dividing them into: Commercial – competitive advantage, improved market position, gain of new clients and satisfying current ones; Communication – improved image of the organisation, improved relationships with Stakeholders and evidence of legal compliance; In fact, significant differences in these areas have not been found, and it is fairly plausible that the vast majority of companies certified under ISO 14001 are also certified under the ISO 9001 standard, according to Santos [13].

196 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

performance.

stakeholders [16].

and management review, as stated by Santos [13].

integration of procedures by phases.

quality, the environment and safety, among others, to manage certain aspects of their

Within this framework, in order to have quality and excellence in products (or services), as well as in the management of the companies that manufacture and provide them, it has become imperative for the companies define and implement quality, environment and safety management system, according to ISO 9001, ISO 14001 and OHSAS 18001 standards, respectively . At the same time the companies must also improve and optimize, continually, these management systems to allow them to true added value for the companies and their

The following questions may arise: How can these three management systems be integrated? Can they be integrated? According to Santos [18] this is a problem that the most developed companies started to experience some time ago, and it has been discussed by various authors, that we highlight: McDonald [19], Arifin [20] and Bernardo [21] among others, who provides a summary of the degrees of integration according to some authors, and Labodová [22], who reported on the implementation of integrated management systems using a risk analyses based approach. Thus, according with the ISO 72:2001 Guide [23], the experience with management system standards issued by the ISO shows that there exist a number of common elements, which can be arranged under the following main subjects: policy; planning; implementation and operation; performance assessment; improvement

Related to the integration of management systems, Karapetrovic [9] states that there are many organizations that implement different management systems, either as a result of market demand either for internal reasons. During the combined audits in accordance with ISO 19011 [24] for Quality and/or Environmental Management Systems audits, it can be observed that the integration of the systems is implemented in a partial way by the

When it is observed that it exist similar procedures, those are adapted to the two systems, for exemple, quality and environment, and jointly audited. However, the manuals still individually separated. As stated by Santos [25], although an audit be integrated / joint, named as by "combined audit", the respective reports are often kept separate so that any nonconformities detected in one of the systems do not implicate to stop the other system that complies with the respective standard. This could implicate the loose of clients, which would be a backward step for the company, and is considered one of the obstacles to a quicker integration. Suditu [26], associates to the integration of management systems internal motivations and corresponding benefits, by dividing them into: 1 - Organisational – improvement of the quality of the management by downsizing of three departments into one and reducing barriers between individual systems; 2 - Financial – reduction in auditing costs; 3-Employees – increased motivation, awareness and competences; 4 - External motivations and corresponding benefits, by dividing them into: Commercial – competitive advantage, improved market position, gain of new clients and satisfying current ones; Therefore, a new necessity has emerged in organisations, namely to integrate these systems into a single IMS - Integrated Management System and we cannot forget the fact that the environmental improvement of the product must be considered in relation to the impacts on Quality & Health and Safety, as mentioned by Jørgensen [27]. Therefore, the idea of an IMS - Integrated Management System consists of establishing correspondences and to combine two or more independent management systems, for example in accordance with ISO 9001, ISO 14001, and OHSAS 18001. Evidence of this can be seen in table A.1 - of the annex A - of OHSAS 18001:2007 [28]. Despite having their origins in different aspects of company performance, the Quality, Environment and Safety Management Systems have a lot in common, as mentioned by Fresner [12] and Block [29], among other authors. The integration of these management systems is a path that can be followed, and the ISO 19011 standard - Guidelines for auditing management systems [24] is a good example of the future. According to Santos [13] the future lies in the integration of these management systems, managed by only one multidisciplinary team with training and skills in several areas, thereby economizing both financial and human resources.

The Portuguese industry, mainly, consists of Small and Medium Enterprises (SMEs), which activity and performance are crucial factors for the country development. SMEs provide 75% of the total labour force employed in industry, trade and services. According to the website of the Ministry of Economy and Innovation [30] SMEs are responsible of 99.5% of national business, generating 74.7% of employment and held 59.8% of sales nationwide. They are the basis of Portuguese economy. A good example of Management Systems Certification and Integration in Portugal is represented in Figure 1.

**Figure 1.** Documental structure of the Integrated Management Systems at Kupper & Schmidt [13]

For a long time, the only Foundry in the country to have its Quality, Environment and Health and Safety systems certified was Kupper and Schmidt, a SME that supplies exclusively the automotive industry and exports about 98% of its production to the European and American markets. Just a few years after starting its activity the company had its Quality System already certified by the main customers. In 1997 it was certified according to ISO 9002 standard, in 1998 by QS – 9000, in 1999 by VDA 6.1, and in 2001 by ISO/TS 16949 standards. In 2000 the company focused in Environment, and got the certification according to ISO 14001 standard. Since 2002 the company has its OHSMS certified according to OHSAS 18001 [31]. Presently, the company runs an Integrated Management System in what concerns to management procedures, operating instructions and documentation.

Certification and Integration of Environment with Quality and Safety – A Path to Sustained Success 199

Number of employees; Volume of business; Branch of activity;

 Main difficulties; Main benefits that arose from certification (new costumers, image, competitiveness, business increase, quality improvement, customer satisfaction, products innovation, organization improvements, etc.); Main drawbacks; Quality tools

 Year of ISO 14001 certification; Main reasons for Environmental certification; Main difficulties; Main benefits that arose from certification (waste reduction, waste destination, environmental

 Year of OHSAS 14001 certification; Main reasons for Health and Safety certification; Main difficulties; Main benefits that arose from certification (reduction of the number of accidents, productivity

 Running independently or integrated; Degree of integration (integrated systems, what is integrated, reasons for integration, management structure, etc); Main benefits of integration (cost reduction, management simplification, etc); Main difficulties; Main

Year of ISO 9001 certification; Main reasons for Quality

**Main Sections Questionnaire main topics**

that the company uses.

costs reduction, etc); Main drawbacks.

increase, absenteeism, etc);Main drawbacks.

certification.

drawbacks.

**Figure 2.** Distribution of participating companies by sector of activity

**Table 1.** Main sections and question main topics of the questionnaire [13].

Main products and markets; etc.

*General* 

*Company* 

QMS

EMS

OHSMS

IMS

*Description of the* 

The objective of this work was to contribute to characterize the situation about the Integration of Environment with Quality and Safety in the Portuguese companies, as well, highlight the benefits obtained with the certification and integration and show that, it is a path to sustained success.

## **2. Methodology**

In the last years there has been a significant increase in the number of Portuguese companies certified in Quality, Environment and Health and Safety. Some of them have a degree of integration of such systems which are not known. In order to make such characterization a survey based on a questionnaire was carried out in several Portuguese SMEs.

The questionnaire was sent via e-mail or delivered personally in hand, explaining and justifying its main objectives and it was organized in five sections, according to Table 1. Both qualitative and quantitative answers were asked, depending on the nature of the question and the available data to give an accurate response. The questionnaire was sent by e-mail together with a cover letter describing the objectives of the research and including some answering instructions to 300 SME with a certified quality management system. 162 companies were located in the centre region of Portugal (including Lisbon area), 114 in the northern region (including Oporto area) and 24 in regions located south of Lisbon. According to the data available from the "SMEs Portugal Association" this distribution is proportional to the location of SMEs within the Portuguese territory [32].

80 companies answered the inquiry, but only 46 have been validated, thus representing the sample size of the Portuguese territory. From those 46 companies, 20 (43%) were from the Trade/Services activity sector, 17 (37%) from the Industrial sector, 5 (11%) from the Electricity/Telecommunications sector and 4 (9%) from the Construction area (Figure 2).

About 80 questionnaires were received. The main criteria for validation were to be a SME, to have the ISO 9001 QMS certification and to have answered the main questions completely. Thus, only 46 were completed properly. Data was worked and some results presented [13 ; 33]. However, it is known that there are SMEs with other certified systems, among them the EMS. An additional criterion was to have the ISO 14001 EMS certification. Initially, 12 SMEs


**Table 1.** Main sections and question main topics of the questionnaire [13].

198 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

concerns to management procedures, operating instructions and documentation.

survey based on a questionnaire was carried out in several Portuguese SMEs.

proportional to the location of SMEs within the Portuguese territory [32].

path to sustained success.

**2. Methodology**

For a long time, the only Foundry in the country to have its Quality, Environment and Health and Safety systems certified was Kupper and Schmidt, a SME that supplies exclusively the automotive industry and exports about 98% of its production to the European and American markets. Just a few years after starting its activity the company had its Quality System already certified by the main customers. In 1997 it was certified according to ISO 9002 standard, in 1998 by QS – 9000, in 1999 by VDA 6.1, and in 2001 by ISO/TS 16949 standards. In 2000 the company focused in Environment, and got the certification according to ISO 14001 standard. Since 2002 the company has its OHSMS certified according to OHSAS 18001 [31]. Presently, the company runs an Integrated Management System in what

The objective of this work was to contribute to characterize the situation about the Integration of Environment with Quality and Safety in the Portuguese companies, as well, highlight the benefits obtained with the certification and integration and show that, it is a

In the last years there has been a significant increase in the number of Portuguese companies certified in Quality, Environment and Health and Safety. Some of them have a degree of integration of such systems which are not known. In order to make such characterization a

The questionnaire was sent via e-mail or delivered personally in hand, explaining and justifying its main objectives and it was organized in five sections, according to Table 1. Both qualitative and quantitative answers were asked, depending on the nature of the question and the available data to give an accurate response. The questionnaire was sent by e-mail together with a cover letter describing the objectives of the research and including some answering instructions to 300 SME with a certified quality management system. 162 companies were located in the centre region of Portugal (including Lisbon area), 114 in the northern region (including Oporto area) and 24 in regions located south of Lisbon. According to the data available from the "SMEs Portugal Association" this distribution is

80 companies answered the inquiry, but only 46 have been validated, thus representing the sample size of the Portuguese territory. From those 46 companies, 20 (43%) were from the Trade/Services activity sector, 17 (37%) from the Industrial sector, 5 (11%) from the Electricity/Telecommunications sector and 4 (9%) from the Construction area (Figure 2).

About 80 questionnaires were received. The main criteria for validation were to be a SME, to have the ISO 9001 QMS certification and to have answered the main questions completely. Thus, only 46 were completed properly. Data was worked and some results presented [13 ; 33]. However, it is known that there are SMEs with other certified systems, among them the EMS. An additional criterion was to have the ISO 14001 EMS certification. Initially, 12 SMEs

**Figure 2.** Distribution of participating companies by sector of activity

(26,1%) fulfilled such criterion but later, 5 questionnaires was completed what totalized 17 SMEs (36,9%). This was the sample for SMEs with EMS certified. Also initially only 7 SMEs (15,2%) had the OHSMS certified according OHSAS 18001. Later it was completed and validated more 5 questionnaires, which totalize 12 SMEs (26,1%) with the OHSMS certified according OHSAS 18001. This is the sample for SMEs with OHSMS certified.

Certification and Integration of Environment with Quality and Safety – A Path to Sustained Success 201

Moreover, it was made a case study. The investigation was developed in business environment at an Portuguese Company - the Itron – Portugal, that over the years has been adopting, in whole or in part, gradually and individualized standards or specifications of different Management Systems, relevant to the ISO 14001 (Environmental Management Systems) ISO 9001 (Quality Management Systems), OHSAS 18001/NP 4397 (Safety and Health Management Systems). While it is imperative to assess the perception of employees of the Company on the structuring, implementation and evaluation of the integration model and its validation in a real work environment, it was developed an internal research supported in an inductive approach in the context of the investigator's experiences with the

The technique used to evaluate the contributions to the structure of the model proposed of IMS\_QES was the internal investigation by questionnaire to the Collaborators of the company. The total population was 160 employees which are the organization structure of the different branches and levels. The sample that was considered - 49 employees, represent around 30.62% of the total Collaborators. 42 Collaborators answered to the questionnaire which is an overall reply rate of 86%. This rate represents a strong adherence, at all

In a first phase, the model was developed supported on the Lean philosophy , in order to the simplification and consequent resolution of problems and gains in efficiency of existing management systems in the company (referred as Sub-systems), which along the years were

Were considered four main questions and for each of them several topics as described in the

Improving the image of the Company

resources ( financial, material and human)

Increasing requirements of the Costumers

Rationalizing and optimizing the management of the

 Facilitating the management of the three components for the Sustainable Development of the Organization and of the

 Competitive advantage and strategic vision of the Business Natural evolution of the Management Systems in the

 The continual improvement of Quality, Environment and Safety Management Systems involves their integration

adopted gradually, but individualized and often isolated between to each other.

**Main Sections Questionnaire main topics**

Business

Company

object and the environment of the study.

hierarchy levels of the Organization.

table 2.

1 - Importance of motivation factors for the implementation of

the IMS\_QES.

Once the information has been collected, the next step consisted of the analysis and interpretation of data. An *Excel* file has been created with the collected data, and then exported to SPSS (Statistical Package for Social Sciences). SPSS is powerful software to support statistics, which provides complex statistical calculations. However, due to the small sample size, two obstacles came up: knowing what statistical test to use and to interpret correctly the results from calculations. Thus:


The principal component analysis to data was applied with the help of SPSS, which allows an investigation of the multivariate structure, and a better interpretation of data. The internal consistency of the subject is given by Cronbach's Alpha index which was applied to the 19 selected variables, considering 5 analysis components, which was 0.901. As this value

was greater than 0.7, the responses were considered as trustworthy and free of errors. [33]. On this context, we used punctuation 4 for "Greater Impact", 3 for "Impact", 2 for "Little Impact" and 1 for "No impact". The resume of results of this work was published in the Journal of Cleaner Production [13].

Moreover, it was made a case study. The investigation was developed in business environment at an Portuguese Company - the Itron – Portugal, that over the years has been adopting, in whole or in part, gradually and individualized standards or specifications of different Management Systems, relevant to the ISO 14001 (Environmental Management Systems) ISO 9001 (Quality Management Systems), OHSAS 18001/NP 4397 (Safety and Health Management Systems). While it is imperative to assess the perception of employees of the Company on the structuring, implementation and evaluation of the integration model and its validation in a real work environment, it was developed an internal research supported in an inductive approach in the context of the investigator's experiences with the object and the environment of the study.

200 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

according OHSAS 18001. This is the sample for SMEs with OHSMS certified.

interpret correctly the results from calculations. Thus:

characteristic.

relevant items of the questionnaire.

Journal of Cleaner Production [13].

(26,1%) fulfilled such criterion but later, 5 questionnaires was completed what totalized 17 SMEs (36,9%). This was the sample for SMEs with EMS certified. Also initially only 7 SMEs (15,2%) had the OHSMS certified according OHSAS 18001. Later it was completed and validated more 5 questionnaires, which totalize 12 SMEs (26,1%) with the OHSMS certified

Once the information has been collected, the next step consisted of the analysis and interpretation of data. An *Excel* file has been created with the collected data, and then exported to SPSS (Statistical Package for Social Sciences). SPSS is powerful software to support statistics, which provides complex statistical calculations. However, due to the small sample size, two obstacles came up: knowing what statistical test to use and to

1. Statistical techniques - It was used primarily to inductive and descriptive statistics: average, frequency plots, the principal component analysis, cluster analysis and statistical inference to find the important conclusions about the population inferred

2. KMO and sphericity test of Bartlett's - the KMO and Bartlett test are two statistical procedures that allow measuring the quality of the correlation between variables. The Kaiser-Meyer\_Olkin (KMO) is a statistic test that varies between 0 and 1 and compares the zero-order correlations with the partial correlations observed between the variables. 3. Internal consistency Cronbach's Alpha - Cronbach's Alpha is commonly used to measure internal consistency of a group of variables (items). It can be defined as the correlation that is expected to get between the scale and other scales used the same hypothetical universe with an equal number of items that measure the same

4. Cluster analysis - is also a technique of exploratory multivariate analysis that allows to group variables into homogeneous groups or to compact one or more common characteristics. Each observation belonging to a particular cluster is similar to all others belonging to that cluster, and is different from the observations belonging to other clusters. We chose to use the method of cluster analysis to detect groups in the original variables, the issues where the sample was small, and the principal component analysis had not reached a conclusion. The analysis of the survey was directed to the most

The principal component analysis to data was applied with the help of SPSS, which allows an investigation of the multivariate structure, and a better interpretation of data. The internal consistency of the subject is given by Cronbach's Alpha index which was applied to the 19 selected variables, considering 5 analysis components, which was 0.901. As this value was greater than 0.7, the responses were considered as trustworthy and free of errors. [33]. On this context, we used punctuation 4 for "Greater Impact", 3 for "Impact", 2 for "Little Impact" and 1 for "No impact". The resume of results of this work was published in the

from analysis of the sample, bearing in mind the limitation its reduced size.

The technique used to evaluate the contributions to the structure of the model proposed of IMS\_QES was the internal investigation by questionnaire to the Collaborators of the company. The total population was 160 employees which are the organization structure of the different branches and levels. The sample that was considered - 49 employees, represent around 30.62% of the total Collaborators. 42 Collaborators answered to the questionnaire which is an overall reply rate of 86%. This rate represents a strong adherence, at all hierarchy levels of the Organization.

In a first phase, the model was developed supported on the Lean philosophy , in order to the simplification and consequent resolution of problems and gains in efficiency of existing management systems in the company (referred as Sub-systems), which along the years were adopted gradually, but individualized and often isolated between to each other.

Were considered four main questions and for each of them several topics as described in the table 2.


Certification and Integration of Environment with Quality and Safety – A Path to Sustained Success 203

The first system that was certified in majority of the companies was the QMS. When this system was consolidated, then the EMS was certified. Only when this system was consolidated, companies certified the OHSMS which has started quite recently. After the three certifications, they started in a staggered way to develop integrated procedures to integrate two systems (quality and environment or safety), and whenever possible, the three

This has been, more or less, the general rule that Portuguese SMEs have adopted, fact that was confirmed by the number of certifications, where the quality stands out in the first place (QMS), followed by environmental certification (EMS) and finally the safety certification

However, we know that some companies have adopted another rule in sporadic cases. After the certification of quality according to ISO 9001, common procedures have been designed for the Environmental Management System (EMS) and the Occupational Health and Safety Management System (OHSMS) at work certification, which worked as the embryo for the

**3.1. The main benefits that companies have gained from QMS certification** 

Certification is certainly a strategic option for developing organizations in the sense of a wiliness to improve and gain market share. With the reality of the growing number of certified companies, it is important to analyze and quantify the benefits that companies have

Considering the descriptive analysis of responses and the analysis of each item separately, it can be concluded that certification of QMS led companies to improve their internal organization, to make it easier the access to information, improved the internal evaluation of the management systems (namely through continuous audits in time) and had a beneficial

**Major** 

internal audits **54%** 44% 2% 0%

Company image **52%** 46% 2% 0% Ease of access to information **44%** 39% 15% 2%

**Table 3.** Aspects of the company management where QMS had the greatest impact/benefit [13]

**Impact** Impact Little Impact No Impact

**72%** 22% 6% 0%

**3. Survey results** 

(OHSMS).

systems (quality, environment and safety) [13 ; 25] .

gained from the certification of their quality system.

effect on the company image, as depicted in Table 3.

Internal Organization of the

Continuous assessment through

company

implementation of a set of Integrated Management procedures [13].


The resume of results of this work of investigation performed at Itron - Portugal, was presented at the International Symposium on Occupational Safety and Hygiene SHO 2012 [16].

**Table 2.** Main sections and question main topics of the questionnaire used on the investigation [34].

## **3. Survey results**

202 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Sustainability policies

official QES entities Financial institutions

Resistance to change

ITRON - Portugal

Management Systems

Environment and Safety

Systems

QES scope

and to Suppliers

ITRON Group - Orientations and evolution of QES and

Customers, competitors, insurance companies, suppliers and

Deficit of human and material resources due to the strongly

Diversity of products and services vis-a-vis Customer's

Do not explicitly fit in the objectives and priorities of the

Lack of internal competences in Integration Management

 Elimination of conflicts between individual Systems, and consequent resource optimization, namely human resources; Elimination of several organizational waste including at the level of bureaucracy associated to the sub systems Quality,

Common management policy, objectives, goals and KPIs -

Improvement of the internal and external image of the

 Involvement and consolidation, by ALL employees, of a continual improvement culture, attitudes and values of global

Reduction of the number of internal and/or external audits

 Improvement at the level of coordinated and integrated management of the Risk associated to the Safety of People,

Integrated management of several components of

Improvement of the partnership relationships with Suppliers

Key Process Indicators related to QES performance

company in the aim of the QES issues

Infrastructure, Environment, and Products Greater employee valorization and motivation

Sustainability in a Global Market;

The resume of results of this work of investigation performed at Itron - Portugal, was presented at the International

**Table 2.** Main sections and question main topics of the questionnaire used on the investigation [34].

of goods and services;

Symposium on Occupational Safety and Hygiene SHO 2012 [16].

Do not exist an international standard for the integration of

Local Management group and Collaborators

competitive environment and costs reduction;

requirements and legal and other requirements

2 - Stakeholder influences on the performance and evolution of an IMS-

3 - Main Internal difficulties for the development of the IMS-QES model and its implementation

4 - Potential benefits resulting from the implementation of the

IMS-QES

QES

The first system that was certified in majority of the companies was the QMS. When this system was consolidated, then the EMS was certified. Only when this system was consolidated, companies certified the OHSMS which has started quite recently. After the three certifications, they started in a staggered way to develop integrated procedures to integrate two systems (quality and environment or safety), and whenever possible, the three systems (quality, environment and safety) [13 ; 25] .

This has been, more or less, the general rule that Portuguese SMEs have adopted, fact that was confirmed by the number of certifications, where the quality stands out in the first place (QMS), followed by environmental certification (EMS) and finally the safety certification (OHSMS).

However, we know that some companies have adopted another rule in sporadic cases. After the certification of quality according to ISO 9001, common procedures have been designed for the Environmental Management System (EMS) and the Occupational Health and Safety Management System (OHSMS) at work certification, which worked as the embryo for the implementation of a set of Integrated Management procedures [13].

## **3.1. The main benefits that companies have gained from QMS certification**

Certification is certainly a strategic option for developing organizations in the sense of a wiliness to improve and gain market share. With the reality of the growing number of certified companies, it is important to analyze and quantify the benefits that companies have gained from the certification of their quality system.

Considering the descriptive analysis of responses and the analysis of each item separately, it can be concluded that certification of QMS led companies to improve their internal organization, to make it easier the access to information, improved the internal evaluation of the management systems (namely through continuous audits in time) and had a beneficial effect on the company image, as depicted in Table 3.


**Table 3.** Aspects of the company management where QMS had the greatest impact/benefit [13]

It is clear from Table 3 that these were, in fact, the major benefits of QMS certification. 72% of the companies referred that the major achievement was in their internal organization, and only 6% have referred that certification had little impact on this particular aspect. 52% of the companies stated that their image was improved as a consequence of certification. The basis for these statement was the increase in the number of new or potentially new customers, the drastic reduction of customers rejections and increase of customers satisfaction (evaluated not only by the decrease in the number of rejections, as well as by the increase in the sales volume for those same customers and the increased satisfaction with the overall quality of the products). Moreover, any company reported to have not felt some sort of impact in any aspect of their management structure, as inferred by the results presented in column "no impact" of Table 3.

Certification and Integration of Environment with Quality and Safety – A Path to Sustained Success 205

**4. The Integration of Management Systems (quality, environment and** 

More than ever, today is in question the sustainability of the organizations and the focus should be placed far beyond the financial results. These will no longer verify it is not prioritize also the continual satisfaction , balanced, integrated and growing of the customers and other stakeholders taking as benchmarks for orientation and acting the dimensions of sustainability - economic, environmental and social and too the organizational and

There exist a set of management system standards that apply to any type of organisation and activity. Others will certainly be created. These standards like as: NP EN ISO 9001:2008, NP EN ISO 9004:2011, NP EN ISO14001:2004, OHSAS 18001:2008/NP 43397:2008, NP EN ISO/IEC 17025:2005, SA 8000:2001 /NP 4469-1:2008, NP 4457:2007, ISO 31000:2009, ISO/IEC 27001:2005, NP 4427:2004, PAS 99:2006, cover a wide array of different disciplines, aims and activities of organisation and operation of the Enterprises including the interfaces and satisfaction of all theirs stakeholders. In itself, this fact leads to a greater perception and awareness of challenges and brings sustainability to businesses, with which Organisations face a fiercely competitive global market in which the only thing that does not change is change itself [34]. Several of these standards, having been published recently, require that a lot of supplementary effort first be put at the level of the learning process needed considering the route that must be taken by organisations towards full implementation,

In this context, Quality, Environment and Safety Management Systems certification have a great impact in companies, at internal, external and operational levels. The certification of these Management Systems includes many common procedures that can be run in an

In fact and according to the ISO – IMS publication (The integrated use of management systems standards) [23], a common objective of management system standards is to assist organisations to manage the risks associated with providing products and services to customers and other stakeholders. On other hand the management system of the organisations is frequently split into a number of parts or sub-systems, which must be managed separately with relative independence. These parts or sub-systems of an organisation's management system reflect the different needs and expectations of the stakeholders. Many organisations use standards, such as those related to quality, the environment and safety, among others, to manage certain aspects of their performance.

The synergy that an Integrated Management System (IMS) can offer have driven organizations into higher levels of performance at a cost lower than that associated to independent certification management systems. The simple schematic Figure 3 represents the vision of an IMS, suggesting that they have common information and procedures and at same time others standards, used in the companies, are involved in the organization and

which should be carried out in a balanced manner with added value.

**safety)** 

operational factors of the competitiveness.

integrated basis, as illustrated in Figure 3.

functioning of them.

## **3.2. The main benefits gained from the EMS certification**

In what concerns to EMS certification, the main reasons referred for certification have been environment promotion and protection, improvement of the company's image on this field, improvement of life quality inside and in the surroundings of the enterprise and a marketing strategy, with particular relevance for the first three. The main benefits of EMS certification were classified as having had major, relevant and low or any impact in several fields. Those fields where a major impact of certification have been detected were environment protection (evaluated by the decrease in the amount of residues and disposal costs), better integration of the company in the community, rationalization of natural resources, implementation of recycling techniques (and consequent decrease of costs related to raw-materials acquisition), legislation compliance and consequent decrease of penalty costs. Those companies with non-certified EMS refer to lack of investment support, high implementation costs when compared with the foreseen benefits of certification, or irrelevant environmental risks associated to their activity as the main reasons for their noncertification option/decision.

## **3.3. The main benefits that companies have gained from the OHSMS certification**

The main benefits that companies have gained from the OHSMS certification were: "Improvement of working conditions" clearly took the majority with 91.6% of the responses. Another important question with great impact was "Ensuring compliance with legislation" with 83.3% of responses. Legislation exists which must be fulfilled and most of Portuguese SMEs with certified OHSMS fulfill that legislation work; another strong question was "Notice to workers about the risks and dangers at work" and 75% of the SMEs responded affirmatively. Hence, it can be concluded that there is "better internal communication for workers about the risks and hazards" when an OHSMS is implemented and certified.

## **4. The Integration of Management Systems (quality, environment and safety)**

204 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**3.2. The main benefits gained from the EMS certification** 

impact" of Table 3.

certification option/decision.

**certification** 

and certified.

It is clear from Table 3 that these were, in fact, the major benefits of QMS certification. 72% of the companies referred that the major achievement was in their internal organization, and only 6% have referred that certification had little impact on this particular aspect. 52% of the companies stated that their image was improved as a consequence of certification. The basis for these statement was the increase in the number of new or potentially new customers, the drastic reduction of customers rejections and increase of customers satisfaction (evaluated not only by the decrease in the number of rejections, as well as by the increase in the sales volume for those same customers and the increased satisfaction with the overall quality of the products). Moreover, any company reported to have not felt some sort of impact in any aspect of their management structure, as inferred by the results presented in column "no

In what concerns to EMS certification, the main reasons referred for certification have been environment promotion and protection, improvement of the company's image on this field, improvement of life quality inside and in the surroundings of the enterprise and a marketing strategy, with particular relevance for the first three. The main benefits of EMS certification were classified as having had major, relevant and low or any impact in several fields. Those fields where a major impact of certification have been detected were environment protection (evaluated by the decrease in the amount of residues and disposal costs), better integration of the company in the community, rationalization of natural resources, implementation of recycling techniques (and consequent decrease of costs related to raw-materials acquisition), legislation compliance and consequent decrease of penalty costs. Those companies with non-certified EMS refer to lack of investment support, high implementation costs when compared with the foreseen benefits of certification, or irrelevant environmental risks associated to their activity as the main reasons for their non-

**3.3. The main benefits that companies have gained from the OHSMS** 

The main benefits that companies have gained from the OHSMS certification were: "Improvement of working conditions" clearly took the majority with 91.6% of the responses. Another important question with great impact was "Ensuring compliance with legislation" with 83.3% of responses. Legislation exists which must be fulfilled and most of Portuguese SMEs with certified OHSMS fulfill that legislation work; another strong question was "Notice to workers about the risks and dangers at work" and 75% of the SMEs responded affirmatively. Hence, it can be concluded that there is "better internal communication for workers about the risks and hazards" when an OHSMS is implemented More than ever, today is in question the sustainability of the organizations and the focus should be placed far beyond the financial results. These will no longer verify it is not prioritize also the continual satisfaction , balanced, integrated and growing of the customers and other stakeholders taking as benchmarks for orientation and acting the dimensions of sustainability - economic, environmental and social and too the organizational and operational factors of the competitiveness.

There exist a set of management system standards that apply to any type of organisation and activity. Others will certainly be created. These standards like as: NP EN ISO 9001:2008, NP EN ISO 9004:2011, NP EN ISO14001:2004, OHSAS 18001:2008/NP 43397:2008, NP EN ISO/IEC 17025:2005, SA 8000:2001 /NP 4469-1:2008, NP 4457:2007, ISO 31000:2009, ISO/IEC 27001:2005, NP 4427:2004, PAS 99:2006, cover a wide array of different disciplines, aims and activities of organisation and operation of the Enterprises including the interfaces and satisfaction of all theirs stakeholders. In itself, this fact leads to a greater perception and awareness of challenges and brings sustainability to businesses, with which Organisations face a fiercely competitive global market in which the only thing that does not change is change itself [34]. Several of these standards, having been published recently, require that a lot of supplementary effort first be put at the level of the learning process needed considering the route that must be taken by organisations towards full implementation, which should be carried out in a balanced manner with added value.

In this context, Quality, Environment and Safety Management Systems certification have a great impact in companies, at internal, external and operational levels. The certification of these Management Systems includes many common procedures that can be run in an integrated basis, as illustrated in Figure 3.

In fact and according to the ISO – IMS publication (The integrated use of management systems standards) [23], a common objective of management system standards is to assist organisations to manage the risks associated with providing products and services to customers and other stakeholders. On other hand the management system of the organisations is frequently split into a number of parts or sub-systems, which must be managed separately with relative independence. These parts or sub-systems of an organisation's management system reflect the different needs and expectations of the stakeholders. Many organisations use standards, such as those related to quality, the environment and safety, among others, to manage certain aspects of their performance.

The synergy that an Integrated Management System (IMS) can offer have driven organizations into higher levels of performance at a cost lower than that associated to independent certification management systems. The simple schematic Figure 3 represents the vision of an IMS, suggesting that they have common information and procedures and at same time others standards, used in the companies, are involved in the organization and functioning of them.

Certification and Integration of Environment with Quality and Safety – A Path to Sustained Success 207

**Table 4.** Matrix of compatibility of the standards requirements and of support to the integration of the

Sub-systems [16 ; 34]

**Figure 3.** Integration - a route towards sustained success [34]

Integration can be achieved at different levels, leading to partially or fully integrated systems. A partial integrated system keeps their manuals separated using, as far as possible, integrated procedures. A fully integrated system is based in a single manual that integrates unified management systems requirements.

Integration of Quality, Environment and Safety Management Systems are known to have potential benefits over the companies' efficiency. Moreover, integrating IMS-QES enhances organizational performance. Thus, in a team, all employees contribute to the mission and to the defense of the values of a unique organization, bringing up the overall development of the company, thus improving the image of the organization. However, an unsuitable integration process can bring additional problems, like increased strictness, inefficiency and even professional and cultural conflicts. Thus, a careful reflexion about the way to start and run an integration process is crucial.

## **4.1. Similarities between the Management System standards which enhance the integration - Matrix of compatibility of the requirements and of support to the integration**

One of the activities that forms part of the scope and objectives of the case study to which we have paid particular attention is the compatibility of the requirements of the standards, in context and framework of the characterization of the company's situation, backed up by an analysis of these standards. According to the Table 4 this compatibility represents, at our understanding, the starting point for consequents activities of integration, simplification and optimization, to achieve a level of the strictly necessary and consequently the three subsystems - QMS, EMS, and OHSMS are integrated to the maximum extent possible.

Integration can be achieved at different levels, leading to partially or fully integrated systems. A partial integrated system keeps their manuals separated using, as far as possible, integrated procedures. A fully integrated system is based in a single manual that integrates

Integration of Quality, Environment and Safety Management Systems are known to have potential benefits over the companies' efficiency. Moreover, integrating IMS-QES enhances organizational performance. Thus, in a team, all employees contribute to the mission and to the defense of the values of a unique organization, bringing up the overall development of the company, thus improving the image of the organization. However, an unsuitable integration process can bring additional problems, like increased strictness, inefficiency and even professional and cultural conflicts. Thus, a careful reflexion about the way to start and

**4.1. Similarities between the Management System standards which enhance the integration - Matrix of compatibility of the requirements and of support to the** 

One of the activities that forms part of the scope and objectives of the case study to which we have paid particular attention is the compatibility of the requirements of the standards, in context and framework of the characterization of the company's situation, backed up by an analysis of these standards. According to the Table 4 this compatibility represents, at our understanding, the starting point for consequents activities of integration, simplification and optimization, to achieve a level of the strictly necessary and consequently the three subsystems - QMS, EMS, and OHSMS are integrated to the maximum extent possible.

**Figure 3.** Integration - a route towards sustained success [34]

unified management systems requirements.

run an integration process is crucial.

**integration** 


**Table 4.** Matrix of compatibility of the standards requirements and of support to the integration of the Sub-systems [16 ; 34]

Certification and Integration of Environment with Quality and Safety – A Path to Sustained Success 209

**Figure 4.** Model of development of the IMS-QES [16 ; 34]

14001.

allocation (6.1, 6.2, 6.3, 6.4) and management commitment (5.1, 5.5.1).

Following is the Implementation and Operation - "Do", the Company should, in this Phase II - Do - promote, the "Make / Do" in coherence with the pre-planned. Corresponds mainly to clauses: 7 - Product Realization, of ISO 9001 - and 4.4 - Implementation and operation of the NP 4397 and ISO 14001 and in the case of ISO 9001 should be considered associated with the product realization, other complementary clauses, particularly in context of resource

In the Phase III - Check, we identified six steps (4.1 to 4.6) designed to meet the requirements of clauses: 8 - Measurement, analysis and improvement of ISO 9001, 4.5 - Checking of the ISO 14001 and OHSAS 18001/NP 4397. With the exception of step 4.3 - Investigation of incidents resulting from a specific sub-section, the 4.5.3.1 - Incident investigation, the OHSAS 18001/NP 4397 has no correspondence in the ISO 9001 and ISO

At the end, in the Phase IV - Act, we identified the step 5.1 - Critical analysis and review of the Management System, which refers to the requirements of clauses: 5.6 - Management review of the ISO 9001 and 4.6 - Management review of the ISO 14001 and OHSAS 18001/NP 4397. The Management review process can be done in an integrated manner [34]. It requires,

The ISO defines as principles of Quality Management: Customer focus; leadership; involvement of people; process approach; system approach to management; continual improvement; factual approach to decision making and mutually beneficial supplier relationships. According to the ISO Guide 72:2001, anyone drafting these and other management standards must take into account that the corresponding management systems must consider the following phases of the PDCA cycle - *Plan, Do, Check, Act*: Policies and principles; planning; implementation and operation ; performance assessment. Within this framework, taking into account the structuring of standards - management responsibility/planning; resource management; product realization/operational control and measurement, analysis and improvement, on the matrix of the Table 4 we have shown the requirements of the ISO 9001, ISO 14001 and OHSAS 18001 (NP 4397:2008), as well as we have established correspondences, made them compatible with each other and associated with the phases of the PDCA methodology - "Plan-Do-Check-Act". With this matrix, we aim to orientate and align the organizational structure of the company in the same direction, while at the same time creating a structured and useful work referential to support an effective alignment and correspondence of the Sub-Management Systems of Quality, Environment and Safety with consequent compatibilities between each other, for consequent implementation of the IMS-QES. From this matrix we can also, at the same time, to made a correspondence with the Deming Cycle, in this circumstance for the Integrated Management System, as well as a set of stages (1.1; 2.1...2.4; 3.1...3.7; 4.1...4.6 and 5.1) associated with each other these phases of the PDCA cycle, according to Figure 4.

## **4.2. Model of development of the IMS-QES based on Deming`s Cycle (Plan-Do-Check-Act)**

The continuous improvement of the global performance of a Company shall be an objective always present in the development of the IMS [34]. The Company should therefore potentiate for each stage: Plan, Do, Check, Act, a careful and methodical analysis of the differences that effectively can be observed in terms of standards requirements under clauses equivalent involved and for each phase and each stage of development of the IMS-QES, according to the model of Figure 4 to ensure its compliance and evidence of it, in full conformity.

First of all, the definition, approval and communication of the Integrated Management Policy, a common requirement to the different normative references, which must take into account and be consistent with the Mission and Vision of the Company, these supported on a strategy and specific objectives which in turn , support the implementation of that policy and its consequent effectiveness.

The planning of activities in the aim of the Integrated Management System - Phase I (Plan) is perhaps the most important [34]. In fact, a neglected planning will lead to inefficiencies that can be translated into potential deviations to the objectives. It is therefore fundamental to invest resources and expertise at this stage, via a thorough and careful work, in order to respond effectively to all requirements arising from the involved standards and others applicable requirements in this phase of the planning of the IMS [34].

**Figure 4.** Model of development of the IMS-QES [16 ; 34]

other these phases of the PDCA cycle, according to Figure 4.

**Check-Act)** 

and its consequent effectiveness.

The ISO defines as principles of Quality Management: Customer focus; leadership; involvement of people; process approach; system approach to management; continual improvement; factual approach to decision making and mutually beneficial supplier relationships. According to the ISO Guide 72:2001, anyone drafting these and other management standards must take into account that the corresponding management systems must consider the following phases of the PDCA cycle - *Plan, Do, Check, Act*: Policies and principles; planning; implementation and operation ; performance assessment. Within this framework, taking into account the structuring of standards - management responsibility/planning; resource management; product realization/operational control and measurement, analysis and improvement, on the matrix of the Table 4 we have shown the requirements of the ISO 9001, ISO 14001 and OHSAS 18001 (NP 4397:2008), as well as we have established correspondences, made them compatible with each other and associated with the phases of the PDCA methodology - "Plan-Do-Check-Act". With this matrix, we aim to orientate and align the organizational structure of the company in the same direction, while at the same time creating a structured and useful work referential to support an effective alignment and correspondence of the Sub-Management Systems of Quality, Environment and Safety with consequent compatibilities between each other, for consequent implementation of the IMS-QES. From this matrix we can also, at the same time, to made a correspondence with the Deming Cycle, in this circumstance for the Integrated Management System, as well as a set of stages (1.1; 2.1...2.4; 3.1...3.7; 4.1...4.6 and 5.1) associated with each

**4.2. Model of development of the IMS-QES based on Deming`s Cycle (Plan-Do-**

The continuous improvement of the global performance of a Company shall be an objective always present in the development of the IMS [34]. The Company should therefore potentiate for each stage: Plan, Do, Check, Act, a careful and methodical analysis of the differences that effectively can be observed in terms of standards requirements under clauses equivalent involved and for each phase and each stage of development of the IMS-QES, according to the

First of all, the definition, approval and communication of the Integrated Management Policy, a common requirement to the different normative references, which must take into account and be consistent with the Mission and Vision of the Company, these supported on a strategy and specific objectives which in turn , support the implementation of that policy

The planning of activities in the aim of the Integrated Management System - Phase I (Plan) is perhaps the most important [34]. In fact, a neglected planning will lead to inefficiencies that can be translated into potential deviations to the objectives. It is therefore fundamental to invest resources and expertise at this stage, via a thorough and careful work, in order to respond effectively to all requirements arising from the involved standards and others

model of Figure 4 to ensure its compliance and evidence of it, in full conformity.

applicable requirements in this phase of the planning of the IMS [34].

Following is the Implementation and Operation - "Do", the Company should, in this Phase II - Do - promote, the "Make / Do" in coherence with the pre-planned. Corresponds mainly to clauses: 7 - Product Realization, of ISO 9001 - and 4.4 - Implementation and operation of the NP 4397 and ISO 14001 and in the case of ISO 9001 should be considered associated with the product realization, other complementary clauses, particularly in context of resource allocation (6.1, 6.2, 6.3, 6.4) and management commitment (5.1, 5.5.1).

In the Phase III - Check, we identified six steps (4.1 to 4.6) designed to meet the requirements of clauses: 8 - Measurement, analysis and improvement of ISO 9001, 4.5 - Checking of the ISO 14001 and OHSAS 18001/NP 4397. With the exception of step 4.3 - Investigation of incidents resulting from a specific sub-section, the 4.5.3.1 - Incident investigation, the OHSAS 18001/NP 4397 has no correspondence in the ISO 9001 and ISO 14001.

At the end, in the Phase IV - Act, we identified the step 5.1 - Critical analysis and review of the Management System, which refers to the requirements of clauses: 5.6 - Management review of the ISO 9001 and 4.6 - Management review of the ISO 14001 and OHSAS 18001/NP 4397. The Management review process can be done in an integrated manner [34]. It requires,

in itself, a very careful preparation face, particularly, to the level of various information that supports the inputs, as is schematized in Figure 5.

Certification and Integration of Environment with Quality and Safety – A Path to Sustained Success 211

As can be expected, there are several difficulties involved with implementing an Integrated Management System (IMS). However, Beckmerhgeni [35] points out that *"the management systems implemented separately in an incompatible way results in costs, an increased probability of faults and errors, duplicated efforts, the creation of unnecessary bureaucracy and a negative impact* 

The integration of the Environmental System supported on the ISO 14001:2004 with the Management Systems of Quality - ISO 9001:2008 and Occupational, Health and Safety - OSAS 18001:2007 represent real added value both in the present and, fundamentally, for the

Environmental management in organizations is therefore a fundamental process for an more and more integrated and responsible management of sustainability [34]. Aims essentially, an efficient resource management, consumption, wastes and effluents, the use of cleaner technologies and compliance with applicable environmental legal requirements for

An Environmental Management System (EMS) is translated in practice in a continuous cycle of planning, implementation and operation, checking, analyzing and improving of the actions that drives an organization to continuously improve their environmental performance, covering a wide range of issues, including those with strategic implications as well as of competitiveness. The ISO 14001:2004 [36] is integrated in a family of standards developed by the ISO in the fields of Environmental Management according to Table 5.

The ISO 14001:2004 describes the requirements that an EMS of an Organization must meet in order to help the Organization to manage the impact of their activities on the environment, bringing advantages that are considered of high relevance to the promotion of continuous improvement in environmental performance of the Organization and to the prevention of pollution, taking into account the socio-economic surroundings. It allows an organization to develop and implement a policy and objectives, taking into account legal requirements and other requirements that the organization subscribes, and information about significant environmental aspects which the organization can control and influence. While a reference for an EMS, the ISO 14001:2004 contains guidelines that enable their implementation and the

Today, the success of an organization goes through Sustainability [34]. According to ISO 9004:2009 [37], the sustained success of an organization is considered the result of its ability to achieve and maintain their long-term objectives that pass unfulfilled, in a consistent way,

Furthermore the fact that, in turn, other normative references of Management Systems, namely the ISO 14001 and OHSAS 18001/4397 NP, are valuable auxiliaries in the evolutive management of Organizations and, hence, on the three strands of its Sustainability: the Economic, the Social and Environmental. In fact, today Quality, Environment, Safety and Occupational Health are fundamental pillars of the Sustainable Development and therefore should be considered at the level of the management activities and of strategic planning of Organizations that want to take a leadership role, at present, but fundamentally in the future.

the needs and expectations of its Stakeholders, in a balanced and long-term as well.

future, not only for the Company, as well as for a whole range of Stakeholders.

protecting and promoting environmental and pollution prevention*.* 

requirements that can be objectively audited for certification.

*near the Stakeholders, particularly Employees and Costumers"*.

**Figure 5.** IMS-QES - Management Review - Standards, inputs and outputs [16 ; 34]

The continuous improvement of the global performance of organizations must be always a present goal in a perspective of sustainability [34]. The development Model of the integration of the Management System of Safety and Health at Work with the Quality Management Systems and Environmental Management at the Company should therefore to potentiate, for each phase: Plan, Do, Check, Act, a careful and methodical analysis of the differences that effectively are observed at the level of normative requirements under the equivalent clauses and for each step of their development as the advocated model of integration.

The compatibilization of the normative requirements supported by an analysis of similarities, of the normative referentials of Management Systems, which promotes the integration and it's formatting on a Matrix of compatibilization of the requirements and of support to the integration of the referential - NP EN ISO 9001:2008, OHSAS 18001:2007 / NP 4397:2008 and NP EN ISO14001:2004, establishing correspondences, matching them with each other and associate them, according to ISO Guide 72:2001, the following phases of the methodology *PDCA - Plan, Do, Check, Act*: Policy and principles; Planning, Implementation and Operation, Performance Evaluation, Improvement, Management Review, is one of the activities that in the aim and objectives of the integration model was given special attention in context of characterization and framework of the situation in the Company. That compatibilization constitutes, the starting point for subsequent activities of integration, simplification and optimization, to a level of the strictly necessary and consequent integration maximized as desired of the three sub-systems – the EMS, the QMS and the OHSMS in context of strong competitiveness [34].

As can be expected, there are several difficulties involved with implementing an Integrated Management System (IMS). However, Beckmerhgeni [35] points out that *"the management systems implemented separately in an incompatible way results in costs, an increased probability of faults and errors, duplicated efforts, the creation of unnecessary bureaucracy and a negative impact near the Stakeholders, particularly Employees and Costumers"*.

210 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 5.** IMS-QES - Management Review - Standards, inputs and outputs [16 ; 34]

The continuous improvement of the global performance of organizations must be always a present goal in a perspective of sustainability [34]. The development Model of the integration of the Management System of Safety and Health at Work with the Quality Management Systems and Environmental Management at the Company should therefore to potentiate, for each phase: Plan, Do, Check, Act, a careful and methodical analysis of the differences that effectively are observed at the level of normative requirements under the equivalent clauses and for each step of their development as the advocated model of

The compatibilization of the normative requirements supported by an analysis of similarities, of the normative referentials of Management Systems, which promotes the integration and it's formatting on a Matrix of compatibilization of the requirements and of support to the integration of the referential - NP EN ISO 9001:2008, OHSAS 18001:2007 / NP 4397:2008 and NP EN ISO14001:2004, establishing correspondences, matching them with each other and associate them, according to ISO Guide 72:2001, the following phases of the methodology *PDCA - Plan, Do, Check, Act*: Policy and principles; Planning, Implementation and Operation, Performance Evaluation, Improvement, Management Review, is one of the activities that in the aim and objectives of the integration model was given special attention in context of characterization and framework of the situation in the Company. That compatibilization constitutes, the starting point for subsequent activities of integration, simplification and optimization, to a level of the strictly necessary and consequent integration maximized as desired of the three sub-systems – the EMS, the QMS and the

supports the inputs, as is schematized in Figure 5.

OHSMS in context of strong competitiveness [34].

integration.

in itself, a very careful preparation face, particularly, to the level of various information that

The integration of the Environmental System supported on the ISO 14001:2004 with the Management Systems of Quality - ISO 9001:2008 and Occupational, Health and Safety - OSAS 18001:2007 represent real added value both in the present and, fundamentally, for the future, not only for the Company, as well as for a whole range of Stakeholders.

Environmental management in organizations is therefore a fundamental process for an more and more integrated and responsible management of sustainability [34]. Aims essentially, an efficient resource management, consumption, wastes and effluents, the use of cleaner technologies and compliance with applicable environmental legal requirements for protecting and promoting environmental and pollution prevention*.* 

An Environmental Management System (EMS) is translated in practice in a continuous cycle of planning, implementation and operation, checking, analyzing and improving of the actions that drives an organization to continuously improve their environmental performance, covering a wide range of issues, including those with strategic implications as well as of competitiveness. The ISO 14001:2004 [36] is integrated in a family of standards developed by the ISO in the fields of Environmental Management according to Table 5.

The ISO 14001:2004 describes the requirements that an EMS of an Organization must meet in order to help the Organization to manage the impact of their activities on the environment, bringing advantages that are considered of high relevance to the promotion of continuous improvement in environmental performance of the Organization and to the prevention of pollution, taking into account the socio-economic surroundings. It allows an organization to develop and implement a policy and objectives, taking into account legal requirements and other requirements that the organization subscribes, and information about significant environmental aspects which the organization can control and influence. While a reference for an EMS, the ISO 14001:2004 contains guidelines that enable their implementation and the requirements that can be objectively audited for certification.

Today, the success of an organization goes through Sustainability [34]. According to ISO 9004:2009 [37], the sustained success of an organization is considered the result of its ability to achieve and maintain their long-term objectives that pass unfulfilled, in a consistent way, the needs and expectations of its Stakeholders, in a balanced and long-term as well.

Furthermore the fact that, in turn, other normative references of Management Systems, namely the ISO 14001 and OHSAS 18001/4397 NP, are valuable auxiliaries in the evolutive management of Organizations and, hence, on the three strands of its Sustainability: the Economic, the Social and Environmental. In fact, today Quality, Environment, Safety and Occupational Health are fundamental pillars of the Sustainable Development and therefore should be considered at the level of the management activities and of strategic planning of Organizations that want to take a leadership role, at present, but fundamentally in the future.

Certification and Integration of Environment with Quality and Safety – A Path to Sustained Success 213

Empowering knowledge workers Business benefits

**Important** Pressure from customers Community relations

Better productivity and profitability Deadlines

Surveys Charts (graphics)

**Less used** Scatter diagram Cause and effect diagram

**Little Impact** Absenteeism Product innovation

**Difficulties** High certification costs Difficulties to change company's

**Main reason** Lack of investment support A form of marketing

**reason** Benefits do not outweigh the costs Investments are high

environment Raising public Improved quality of life inside and outside the company

Business image in the community Recycling

Ability to obtain financing at low interest rates

**Main Difficulties** High certification costs Difficulties to change Company's

**Main reason** Investments are high Certification is seen as a cost and

**Impact** Clear, organized work environment Waste generation Awareness of employees in environmental issues

Environmental protection Rational use of natural resources

Ensuring compliance Prevention of environmental risks

equipment

culture

marketing

Insurance costs Costs of raw materials and

Progress but always protect the

**Important** Obtaining an asset in terms of marketing

**Drawbacks** Overall costs increased on the early stages of certification.

**reason** Benefits do not outweigh the costs

Sheets of data collection

**Less Relevant** Environmental risks are low

Better Quality of the products Improvement of company image

internal audits

customers.

culture

Improvement of the company image Ease of access to information Internal organization of the company Continuous assessment through

Cost reduction Number of defects / complaints Competitive position Satisfaction of internal and external

**Q M S** 

**E M S** 

**O H S M S** 

100% are certified by ISO 9001

**Very Important** 

**Major Impact** 

**Impact** 

**Most commonly used** 

36.9 % are certified by ISO 14001

**Very Important** 

**Secondary** 

**Major Impact** 

**No impact** 

26.1 % are certified by OHSAS 18001

**Secondary** 

Difficulties to motivate personal

Difficulties to motivate personal

**Reasons for certification**

**Benefits** 

**Tools** 

**Reasons for noncertification** 

**Reasons for certification** 

**Benefits** 

**Reasons for noncertification** 


**Table 5.** ISO Standards in the fields of Environmental Management [34]

**SERIE CONTENTS STANDARDS**





Claims, Testing and Verification - ISO 14024 - Environmental Labels and

Guiding Principles and Procedures

Claims, Terms and Definitions - ISO 14022 - Environmental Labels and


Declarations: Self-Declaration Environmental

Declarations: Self-Declaration Environmental

Declarations: Self-Declaration Environmental

Declarations: Environmental Labelling Type I,






management systems

Principles

Claims, Symbols

Guidelines

assessment

Vocabulary.

and inventory analysis

ISO 14000 Environmental

ISO 19011 Audits to Management Systems

ISO 14020 - Environmental label

ISO 14030 Environmental

ISO 14040 Life cycle assessment

ISO 14050 Understanding of Terms and Definitions

performance evaluation

**Table 5.** ISO Standards in the fields of Environmental Management [34]

Management Systems


Certification and Integration of Environment with Quality and Safety – A Path to Sustained Success 215

Also in this context of Sustainability, the integration of the EMS whith others management systems is, nowadays, a strategic decision of the organizations, influential of its competitiveness and continuity in the Market, fostering a better and increasing satisfaction of all Stakeholders, increasing the image and brand reputation near them [34] . Are too examples of adavantages of the integration, also highlighted by the survey respondents: the elimination of conflicts between individual systems with optimization of Resources; the improvement at the level of the Coordinated and Integrated Management of the Risk associated to the Safety of the Persons and Company Assets, Environment and Quality of the Products; the reduction of the number of internal and/or external audits and audits to Suppliers and spent time versus associated costs; the creation of added value for the business through the prevention and/or

**4.3. Summary of the benefits and impact grade characterization that companies** 

The three standards ISO 9001, ISO 14001 and OHSAS 18001 have a common underlying principle: continuous improvement based on Deming`s Cycle (Plan-do-Check-Act) [16 ; 34]. According to Labodová [22], basically one PDCA approach governing the aspects of quality, environment and safety, consistent with clear priorities, shows hot spots in companies,

According to the survey, 100% of the companies of the sample had their QMS certified. 36.9 % of these companies had also their EMS certified, and only 26.% had OHSMS certification. In Table 6, a summary of the main benefits, classified according to their impact relevance, as well as the main reasons for the three certification systems is presented. Moreover, the main factors that justify the option for non-certification of EMS and OHSMS of the remaining companies are also presented. The main factors that justify the option for non-certification of QMS are not presented, since every company participating in the survey had their QMS certified. Are also presented the main benefits, drawbacks and difficulties what concern

The theoretical fundamentation was supported on the concepts of Quality Management Systems, Environment and Safety, Integrated Management Systems, orientations, guidelines and ISO standards as well as a group of other sources of knowledge, such as Integrated

Were identified the main benefits of implementing an EMS and it´s certification after receiving the QMS certification on Portuguese SMEs performance. In fact the main benefits that the Portuguese SMEs have gained from the referred certifications have been, among others, prevention of environmental risks, environment protection, improvement business image in the community, ensuring compliance with legislation and rational use of natural

resources. In addition, the main reasons for non-certification were analyzed.

**obtained with certification and integration of the management systems** 

makes it easy to focus procedures and responsibilities on important areas.

Integration of Management Systems.

**5. Conclusions** 

Management Systems QES.

elimination of several types of operational and organizational wastes.


**Table 6.** Summary of the benefits and impact grade characterization that companies obtained with certification of the management systems (Adapted of [13])

Also in this context of Sustainability, the integration of the EMS whith others management systems is, nowadays, a strategic decision of the organizations, influential of its competitiveness and continuity in the Market, fostering a better and increasing satisfaction of all Stakeholders, increasing the image and brand reputation near them [34] . Are too examples of adavantages of the integration, also highlighted by the survey respondents: the elimination of conflicts between individual systems with optimization of Resources; the improvement at the level of the Coordinated and Integrated Management of the Risk associated to the Safety of the Persons and Company Assets, Environment and Quality of the Products; the reduction of the number of internal and/or external audits and audits to Suppliers and spent time versus associated costs; the creation of added value for the business through the prevention and/or elimination of several types of operational and organizational wastes.

## **4.3. Summary of the benefits and impact grade characterization that companies obtained with certification and integration of the management systems**

The three standards ISO 9001, ISO 14001 and OHSAS 18001 have a common underlying principle: continuous improvement based on Deming`s Cycle (Plan-do-Check-Act) [16 ; 34]. According to Labodová [22], basically one PDCA approach governing the aspects of quality, environment and safety, consistent with clear priorities, shows hot spots in companies, makes it easy to focus procedures and responsibilities on important areas.

According to the survey, 100% of the companies of the sample had their QMS certified. 36.9 % of these companies had also their EMS certified, and only 26.% had OHSMS certification. In Table 6, a summary of the main benefits, classified according to their impact relevance, as well as the main reasons for the three certification systems is presented. Moreover, the main factors that justify the option for non-certification of EMS and OHSMS of the remaining companies are also presented. The main factors that justify the option for non-certification of QMS are not presented, since every company participating in the survey had their QMS certified. Are also presented the main benefits, drawbacks and difficulties what concern Integration of Management Systems.

## **5. Conclusions**

214 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Less Relevant** Risk of accidents at work are low

**Drawbacks** No drawbacks have been referred

company

system

**important** Eliminate or minimize risks to workers

**Important** Rate of absenteeism due to occupational diseases

Improved external image of the

One problem on a single system affects the overall management

Initial higher organizational problems

Long time to implement the integration process

methods and culture

**Table 6.** Summary of the benefits and impact grade characterization that companies obtained with

Deep changes in the management system due to operational changes

High difficulty associated to training and changes in the organization

Improved organization

**Important** Improving the organization with the reduction of accidents at work

**Major Impact** Improvement of working conditions Better internal communication

**Impact** Less number of accidents Reduction in cost of accidents and

**No impact** Dissemination in the media of data on safety and health of the company

Difficulties to motivate personal Increase bureaucracy Management difficulties in the early stages of certification

Improvement company image. Ensuring compliance with legislation

High certification costs Difficulties to change Company's

Management costs reduction Unification of internal audits

Reduction of bureaucracy Better definition of responsibilities

Easier compliance of legislation Increased performance and efficiency

Increased employee training Optimized resources(financial and

Complex organizational system Incompatible concepts between

culture

and authority

documentation

humans)

systems

standards

integration

system.

Better and easier communication

Simplified management systems resulting in less confusion, redundancy and conflicts in

Initial costs increase associated to an increase in non-conformities;

Continuous update of every documentation with negative impact in the management activity itself

Insufficient integrability of the

Higher difficulty and cost to implement all systems

individual implementation

Difficulties to implement systems

simultaneously when compared with

occupational diseases

**Reasons for certification** 

**Benefits** 

**IMS** 

**Main Difficulties** 

**Main Benefits** 

**Drawbacks** 

**Main Difficulties** 

certification of the management systems (Adapted of [13])

**Very** 

**Less** 

The theoretical fundamentation was supported on the concepts of Quality Management Systems, Environment and Safety, Integrated Management Systems, orientations, guidelines and ISO standards as well as a group of other sources of knowledge, such as Integrated Management Systems QES.

Were identified the main benefits of implementing an EMS and it´s certification after receiving the QMS certification on Portuguese SMEs performance. In fact the main benefits that the Portuguese SMEs have gained from the referred certifications have been, among others, prevention of environmental risks, environment protection, improvement business image in the community, ensuring compliance with legislation and rational use of natural resources. In addition, the main reasons for non-certification were analyzed.

Those companies with non-certified EMS mentioned "lack of investment support" and "consider the certification as a form of marketing". Drawbacks that have been concluded were "overall costs increased on the early stages of certification", because there is a better control. The main difficulties uncovered in relation to EMS certification can be pinpointed to difficulties in changing company culture, high certification costs, and difficulties to motivate personal. With respect to environment, there is still a lot to do in Portugal. Several Portuguese SMEs have already implemented the EMS and others will follow, mainly, because money can't pay for an environmental disaster.

Certification and Integration of Environment with Quality and Safety – A Path to Sustained Success 217

[2] Zorpas A (2010). Environmental management systems as sustainable tools in the way of

[3] Burke S, Gaughran WF (2007). Developing a framework for sustainability management in engineering SMEs. Robotics and Computer-Integrated Manufacturing 23, 696 -703 [4] Turk A M (2009). The benefits associated with ISO 14001 certification for construction

[5] Kwon D M, Seo M S, Seo Y C (2002). A study of compliance with environmental regulations of ISO 14001 certified companies in Korea Journal of Environmental

[6] Nawrocka D, Brorson T, Lindhqvist T (2009). ISO 14001 in environmental supply chain

[7] Casadesus M, Marimon F, Inaki Heras H (2008). ISO 14001 diffusion after the success of

[8] Zeng SX, Jonathan JS, Lou GX (2007). A synergetic model for implementing an integrated management system: an empirical study in China. Journal of Cleaner

[9] Karapetrovic S, Casadesús M (2009). Implementing environmental with other standardized management systems: Scope, sequence, time and integration. Journal of

[10] Fryxell G E, Szeto A (2002). The influence of motivations for seeking ISO 14001 certification: an empirical study of ISO 14001 certified facilities in Hong KongJournal of

[11] Tarí J J, Molina-Azorín J F (2010). Integration of quality management and environmental management systems Similarities and the role of the EFQM model. The

[12] Fresner J, Engelhardt G (2004). Experiences with integrated management systems for two small companies in Austria. Journal of Cleaner Production, Vol. 12, pp. 623-631. [13] Santos G, Mendes F, Barbosa J (2011). Certification and integration of management systems: the experience of Portuguese small and medium enterprises Journal of Cleaner

[14] Fernández-Muñiz, B, Montes-Peón J M, Vázquez-Ordás C J (2009). Relation between occupational safety management and firm performance. Safety Science 47, 980–991. [15] Robson L S, Clarke J A, Cullen K, Bielecky A, Severin C, Bigelow P L, Irvin E, Culyer A, Mahood Q (2007). The effectiveness of occupational health and safety management

[16] Rebelo MF, Santos G (2012) - Integration of the Occupational Health and Safety Management System with the Quality Management System and Environmental Management System - from the Theory to the Action. International Symposium on Occupational Safety and Hygiene SHO - 2012. Minho University 9, 10 March 2012. ISBN

[18] Mendes F, Santos G (2009). Impacto de la certificacion de los sistemas integrados de

system interventions: A systematic review. Safety Science 45, 329–353.

[17] ISO (2008)The integrated use of management system standards – Switzerland.

gestion en las PMEs portuguesas. Forum Calidad nº 198, 46-51

life for the SMEs and VSMEs. Bioresource Technology 101, 1544 -1557.

firms: Turkish case. Journal of Cleaner Production 17 (2009) 559–569.

the ISO 9001 model. Journal of Cleaner Production 16. 1741 – 1754

practices Journal of Cleaner Production 17 1435–1443.

Management 65, 347-353.

Production 15, 1760 -1767.

Production 19 1965-1974

978-972-99504-9-0

Cleaner Production 17. 533–540.

Environmental Management 65, 223–238

TQM Journal Vol. 22 No. 6, pp. 687-701

In terms of the potential benefits of the integration of the Environmental Management System (EMS) with the Quality Management System (QMS) and Occupational Health and Safety Management System OH&SMS and it´s certification, will be mostly a whole range of opportunities for performance improvements of the organization as a whole, and throughout it's supply chain such as: the elimination of conflicts between individual systems with resource optimization , creation of added value to the business by eliminating several types of wastes, reducing the number of internal and external audits, common policy management, greater valuation and motivation of Collaborators, among others.

The proposed model of IMS\_QES has led to the simplification and consequent resolution of problems and gains in efficiency of existing management systems in the company (referred as Sub-systems), which along the years were adopted gradually, but individualized and often isolated between to each other.

All these benefits will enhance the competitiveness of the Companies and its differentiation by the positive in the face of competition, national and/or international.

The developed model of an Integrated Management Systems (IMS), generic, flexible, integrator, evolutionary and lean namely what concerns to Quality (ISO 9001), Environment (ISO 14001) and Health and Safety at work (OHSAS 18001/ NP 43397:2008), but too to others standards, such as, Risk Management (ISO 31000:2009), Social Accountability (SA 8000) and Information Security, among others, could be progressively more integrated and allow the Companies to even more capable, enhancing in this way too the development of the businesses and consequently their sustainable successes .

## **Author details**

Gilberto Santos\* , Manuel Rebelo, Síria Barros and Martinha Pereira *College of Technology, Polytechnic Institute Cávado e Ave, Imasys Research Centre, Campus do IPCA 4750-810 Barcelos, Portugal* 

## **6. References**

[1] Wright T (2000) IMS-Three into One Will Go!: The Advantages of a Single Integrated Quality, Health and Safety, and Environmental Management System. The Quality Assurance Journal 4: 137–42.

<sup>\*</sup> Corresponding Author

[2] Zorpas A (2010). Environmental management systems as sustainable tools in the way of life for the SMEs and VSMEs. Bioresource Technology 101, 1544 -1557.

216 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

management, greater valuation and motivation of Collaborators, among others.

by the positive in the face of competition, national and/or international.

businesses and consequently their sustainable successes .

because money can't pay for an environmental disaster.

often isolated between to each other.

**Author details** 

*IPCA 4750-810 Barcelos, Portugal* 

Assurance Journal 4: 137–42.

Gilberto Santos\*

**6. References** 

Corresponding Author

 \*

Those companies with non-certified EMS mentioned "lack of investment support" and "consider the certification as a form of marketing". Drawbacks that have been concluded were "overall costs increased on the early stages of certification", because there is a better control. The main difficulties uncovered in relation to EMS certification can be pinpointed to difficulties in changing company culture, high certification costs, and difficulties to motivate personal. With respect to environment, there is still a lot to do in Portugal. Several Portuguese SMEs have already implemented the EMS and others will follow, mainly,

In terms of the potential benefits of the integration of the Environmental Management System (EMS) with the Quality Management System (QMS) and Occupational Health and Safety Management System OH&SMS and it´s certification, will be mostly a whole range of opportunities for performance improvements of the organization as a whole, and throughout it's supply chain such as: the elimination of conflicts between individual systems with resource optimization , creation of added value to the business by eliminating several types of wastes, reducing the number of internal and external audits, common policy

The proposed model of IMS\_QES has led to the simplification and consequent resolution of problems and gains in efficiency of existing management systems in the company (referred as Sub-systems), which along the years were adopted gradually, but individualized and

All these benefits will enhance the competitiveness of the Companies and its differentiation

The developed model of an Integrated Management Systems (IMS), generic, flexible, integrator, evolutionary and lean namely what concerns to Quality (ISO 9001), Environment (ISO 14001) and Health and Safety at work (OHSAS 18001/ NP 43397:2008), but too to others standards, such as, Risk Management (ISO 31000:2009), Social Accountability (SA 8000) and Information Security, among others, could be progressively more integrated and allow the Companies to even more capable, enhancing in this way too the development of the

, Manuel Rebelo, Síria Barros and Martinha Pereira *College of Technology, Polytechnic Institute Cávado e Ave, Imasys Research Centre, Campus do* 

[1] Wright T (2000) IMS-Three into One Will Go!: The Advantages of a Single Integrated Quality, Health and Safety, and Environmental Management System. The Quality

	- [19] McDonald M, Mors T A, Phillips A (2003). Management system integration: can it be done? Quality Progress; 67-74.

**Chapter 10** 

© 2012 Sharaai et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Sharaai et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**Uncovering the Relation Between Environmental** 

**Through a Life Cycle Assessment (LCA) Study on** 

Amir Hamzah Sharaai, Noor Zalina Mahmood and Abdul Halim Sulaiman

Global climate change is a threat that people are not aware of or do not give enough attention to. In Malaysia, many people take this problem very lightly. Global climate change is usually linked to an increase in world temperature that involves complex processes and would take a long time to take effect. However, the impact from global climate change is getting more apparent and can be felt by people of the world resulting from the increase in world temperature. The increase in world temperature, better known as global warming, is a new threat to the safety of people and nations, and could be even worse than weapons of destruction. This is due to the fact that global warming does not discriminate between skin colour and national boundaries. In Malaysia, signs of climate changes due to global warming can be seen through various disasters and symptoms affecting several areas throughout the country such as increasing sea level, haze, flood and water shortages. Climate change not only involves Malaysia, but is a global problem that must be dealt with

Global climate change, or global warming, is usually associated with the increase of world temperature. Global warming is an indication that there is an increase in surface temperature on land, in the ocean or a combination of both on a vast scale. Global warming is caused by the burning of fossil fuels such as coal, oil and gas, resulting in the increase of green house gases such as carbon dioxide, methane and chlorofluorocarbon (CFC) in the

**Damage and the Rate of Rainfall Received** 

**Potable Water Production in Malaysia** 

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45851

cooperatively by every nation.

**1.1. What is global climate change?** 

**1. Introduction** 


## **Uncovering the Relation Between Environmental Damage and the Rate of Rainfall Received Through a Life Cycle Assessment (LCA) Study on Potable Water Production in Malaysia**

Amir Hamzah Sharaai, Noor Zalina Mahmood and Abdul Halim Sulaiman

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45851

## **1. Introduction**

218 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

done? Quality Progress; 67-74.

System standards.

(XVI),

study. Journal of Cleaner Production 17: 742–50.

Requirements - BSI, first published July.

Would Foundry Congress. Istanbul, Turkey.

ASQ – Second edition. Milwaukee. [30] http://www.min-economia.pt/ 2007.

[32] htpp://www.pme.online.pt/ 2007.

management approach.

– Univ. Minho.

based approach. Journal of Cleaner Production; 12: 571–80.

[24] ISO 19011:2011, Guidelines for auditing management systems

Ambiente e Segurança) – ISBN 978-972-8953-26-3; Publindústria.

[19] McDonald M, Mors T A, Phillips A (2003). Management system integration: can it be

[20] Arifin K, Aiyub K, Awang A, Jahi J M, Iten R. (2009). Implementation of Integrated Management System in Malaysia: The Level of Organization's Understanding and Awareness European Journal of Scientific Research ISSN 1450-216X Vol.31 No.2:188-195. [21] Bernardo M, Casadesus M, Karapetrovic S, Heras I (2009). How integrated are environmental, quality and other standardized management systems? An empirical

[22] Labodová A (2004). Implementing integrated management systems using a risk analysis

[23] Guide ISO 72:2001, Guidelines for justification and development of management

[25] Santos G et al. (2008). Implementação de Sistemas Integrados de Gestão (Qualidade,

[26] Suditu C (2007). Positive and negative aspects regarding the implementation of an integrated Quality, Environment, health and Safety Management System. Annals of the Oradea University, - Fascicle of Management and Technological Engineering, Volume VI

[27] Jørgensen T H (2008). Towards more sustainable management systems: through life cycle management and integration, Journal of Cleaner Production 16, 1071-1080. [28] OHSAS 18001:2007, Occupational Health and Safety Management Systems –

[29] Block M R, Marash IR (2002). Integrating ISO 14001 into a Quality Management System.

[31] Santos M G, Barbosa J, Pedro C.(2004). Integration of "QES" systems on the small and medium size foundry companies in Portugal. Communication presented at the 66th

[33] Mendes, F. (2007). O Impacto dos sistemas QAS nas PMEs portuguesas – Master Thesis

[34] Rebelo M F (2011). Contribuição para a estruturação de um modelo de sistema

[35] Beckmerhageni A; Berg H. P.; Karapetrovic S. V.; W. O. Willborn (2003). Integration of Standardized Management Systems: focus on safety in the nuclear industry. International Journal of Quality & Reliability Management, Vol 20 N º 2, pp. 210-228. [36] ISO 14001:2004, Environmental management systems. Requirements with guidance for use. [37] ISO 9004:2009 – Managing for the sustained success of an organization – A quality

[38] Curkovic S, Melnyk S A, Handfield R B, Calantone R (2000). Investigating the Linkage Between Total Quality Management and Environmentally Responsible Manufacturing.

integrado de gestão QAS. Master Thesis. Polyt Inst Cavado Ave. Portugal.

IEEE Transactions on Engineering Management, Vol. 47 Nº4, pp.444-464.

Global climate change is a threat that people are not aware of or do not give enough attention to. In Malaysia, many people take this problem very lightly. Global climate change is usually linked to an increase in world temperature that involves complex processes and would take a long time to take effect. However, the impact from global climate change is getting more apparent and can be felt by people of the world resulting from the increase in world temperature. The increase in world temperature, better known as global warming, is a new threat to the safety of people and nations, and could be even worse than weapons of destruction. This is due to the fact that global warming does not discriminate between skin colour and national boundaries. In Malaysia, signs of climate changes due to global warming can be seen through various disasters and symptoms affecting several areas throughout the country such as increasing sea level, haze, flood and water shortages. Climate change not only involves Malaysia, but is a global problem that must be dealt with cooperatively by every nation.

## **1.1. What is global climate change?**

Global climate change, or global warming, is usually associated with the increase of world temperature. Global warming is an indication that there is an increase in surface temperature on land, in the ocean or a combination of both on a vast scale. Global warming is caused by the burning of fossil fuels such as coal, oil and gas, resulting in the increase of green house gases such as carbon dioxide, methane and chlorofluorocarbon (CFC) in the

© 2012 Sharaai et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Sharaai et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

atmosphere. The accumulated green house gases trapped in the atmosphere causes the Earth to become warmer.

Uncovering the Relation Between Environmental Damage and the Rate of Rainfall Received Through a Life Cycle Assessment (LCA) Study on Potable Water Production in Malaysia 221

A change of monsoon wind direction, rising sea level and irregular rainfall are among the results of climate change. Increasing temperature of Earth will create a huge threat to human life resulting in an increased frequency of natural disasters over time. Typhoons, floods, drought and plagues of diseases related to the environment are among the natural disasters that would follow the unpredictable climate change. With 9% of land area in Malaysia (29,000 sq.km) exposed to flooding, 2.7 million people in this country might be the victims. The ever-changing weather would cause the country to face the possibility of a natural disaster. As an example, in 2006 and 2007, the state of Johor experienced flooding, resulting in 109, 831 victims to be evacuated (Bakar et al., 2007). Other states experiencing a similar situation at that time were Melaka, Pahang, Kelantan and Negeri Sembilan. A total of 344 flood evacuation centres were set up. It was reported that 17 lives were lost in this extreme flooding disaster (BBC News, 2007) linked to Hurricane Utor (The Star, 2006). In October 2008, a flash flood happened in the northern peninsular states of Kedah and Perak

Rapid development in the urbanization process and industries increases the demand for water especially in the industrial and agricultural sectors, and also for domestic use. Climate change could cause Malaysia to experience increased or decreased rainfall. Increased rainfall would mean that Malaysia would be exposed to flooding, causing destruction to the infrastructure and property, and loss of life. Meanwhile, a decrease in rainfall would cause a reduction in clean water sources for domestic use, and the agricultural and industrial

During the 1977 - 78 period, drought devastated paddy production in most of the irrigation schemes in northwest peninsular of Malaysia. In 1982 and 1991, drought was responsible for the critical drop of water levels in the state of Kedah, resulting in cancellation of the offseason crop production. In 1991, the state of Melaka faced critical water problems with water levels falling below critical levels, thereby forcing severe water rationing for months in the state (Climate Ark, 2002). In 1998, the El Nino related drought caused severe water stress in the states of Kedah, Penang and Selangor. The state of Selangor was forced to impose severe water rationing in Kuala Lumpur and Petaling Jaya for many months (Angela, 2002). According to the Seventh Malaysia Plan reports, several countries experienced water shortages after 2000, including Kedah, Pulau Pinang and Selangor

**1.3. World climate change and the need for sustainable development** 

Development can increase the quality of human life. This can be gauged by the increasing quality of products, services, health, society and culture. Development is endless and will keep expanding to fulfil the changing human vision and mission, but the development

due to the hotter sea surface in the region (Bernama, 2008).

*1.2.1. Natural disaster* 

*1.2.2. Water source* 

sectors.

(Rahman, 2007).

The actual causes and factors contributing to global warming are still being debated, but the fact is that evidence shows that global warming is caused by human activities and lifestyle. Development, deforestation, industries, factories and transportation are among the activities that contribute to worldwide climate change. Global climate change occurs because of the increase in green house gas in the atmosphere generated by the rapid development in production industries, timber processing, agriculture, transportation and other industries, tipping the balance against nature. Increased carbon dioxide gas in the atmosphere is generated from the burning of fossil fuel such as petrol, coal and natural gas.

According to the 4th Assessment Report (2007 Climate Change) Inter-Governmental Panel of Climate Change (IPCC), 98% of the temperature increase on Earth is caused by the release of carbon dioxide gas. Carbon dioxide concentration in the atmosphere increases from 280ppm recorded in the 18th century (prior to the industrial revolution era) to 379 ppm in 2005. In 2099, if humans maintain the current momentum of fossil fuel use as it is right now, the concentration of carbon dioxide in the atmosphere is predicted to increase to 700ppm. This situation would render the environment of the Earth no longer suitable for human habitation. Green house gas emission by Malaysia is still small compared to other countries in this world (see **Table 1**), nevertheless, a control system is needed to reduce the emission of green house gas into the atmosphere.


**Table 1.** Green house emission by country (Minister of Science, 2000)

### **1.2. The impact of world climate change on the country**

Climate change is believed to have sped up the weather process causing sudden changes within a period of time. It is threatening the safety of both the population and the nation, from the physical and psychological aspects. If not managed properly, the combination of both would create a crisis in peoples' lives, public safety/order, political stability and economic integrity. The physical effects of climate change to the country are as follows:

## *1.2.1. Natural disaster*

220 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

generated from the burning of fossil fuel such as petrol, coal and natural gas.

Earth to become warmer.

of green house gas into the atmosphere.

atmosphere. The accumulated green house gases trapped in the atmosphere causes the

The actual causes and factors contributing to global warming are still being debated, but the fact is that evidence shows that global warming is caused by human activities and lifestyle. Development, deforestation, industries, factories and transportation are among the activities that contribute to worldwide climate change. Global climate change occurs because of the increase in green house gas in the atmosphere generated by the rapid development in production industries, timber processing, agriculture, transportation and other industries, tipping the balance against nature. Increased carbon dioxide gas in the atmosphere is

According to the 4th Assessment Report (2007 Climate Change) Inter-Governmental Panel of Climate Change (IPCC), 98% of the temperature increase on Earth is caused by the release of carbon dioxide gas. Carbon dioxide concentration in the atmosphere increases from 280ppm recorded in the 18th century (prior to the industrial revolution era) to 379 ppm in 2005. In 2099, if humans maintain the current momentum of fossil fuel use as it is right now, the concentration of carbon dioxide in the atmosphere is predicted to increase to 700ppm. This situation would render the environment of the Earth no longer suitable for human habitation. Green house gas emission by Malaysia is still small compared to other countries in this world (see **Table 1**), nevertheless, a control system is needed to reduce the emission

Country Year Green house emission (million tan)

Climate change is believed to have sped up the weather process causing sudden changes within a period of time. It is threatening the safety of both the population and the nation, from the physical and psychological aspects. If not managed properly, the combination of both would create a crisis in peoples' lives, public safety/order, political stability and economic integrity. The physical effects of climate change to the country are as follows:

1994 144.0

1994 1276.1

1994 6130.0

Malaysia 1990 138.0

Thailand 1990 225.0 Australia 1990 572.0 Japan 1990 1215.9

USA 1990 5895.9

**Table 1.** Green house emission by country (Minister of Science, 2000)

**1.2. The impact of world climate change on the country** 

A change of monsoon wind direction, rising sea level and irregular rainfall are among the results of climate change. Increasing temperature of Earth will create a huge threat to human life resulting in an increased frequency of natural disasters over time. Typhoons, floods, drought and plagues of diseases related to the environment are among the natural disasters that would follow the unpredictable climate change. With 9% of land area in Malaysia (29,000 sq.km) exposed to flooding, 2.7 million people in this country might be the victims. The ever-changing weather would cause the country to face the possibility of a natural disaster. As an example, in 2006 and 2007, the state of Johor experienced flooding, resulting in 109, 831 victims to be evacuated (Bakar et al., 2007). Other states experiencing a similar situation at that time were Melaka, Pahang, Kelantan and Negeri Sembilan. A total of 344 flood evacuation centres were set up. It was reported that 17 lives were lost in this extreme flooding disaster (BBC News, 2007) linked to Hurricane Utor (The Star, 2006). In October 2008, a flash flood happened in the northern peninsular states of Kedah and Perak due to the hotter sea surface in the region (Bernama, 2008).

#### *1.2.2. Water source*

Rapid development in the urbanization process and industries increases the demand for water especially in the industrial and agricultural sectors, and also for domestic use. Climate change could cause Malaysia to experience increased or decreased rainfall. Increased rainfall would mean that Malaysia would be exposed to flooding, causing destruction to the infrastructure and property, and loss of life. Meanwhile, a decrease in rainfall would cause a reduction in clean water sources for domestic use, and the agricultural and industrial sectors.

During the 1977 - 78 period, drought devastated paddy production in most of the irrigation schemes in northwest peninsular of Malaysia. In 1982 and 1991, drought was responsible for the critical drop of water levels in the state of Kedah, resulting in cancellation of the offseason crop production. In 1991, the state of Melaka faced critical water problems with water levels falling below critical levels, thereby forcing severe water rationing for months in the state (Climate Ark, 2002). In 1998, the El Nino related drought caused severe water stress in the states of Kedah, Penang and Selangor. The state of Selangor was forced to impose severe water rationing in Kuala Lumpur and Petaling Jaya for many months (Angela, 2002). According to the Seventh Malaysia Plan reports, several countries experienced water shortages after 2000, including Kedah, Pulau Pinang and Selangor (Rahman, 2007).

### **1.3. World climate change and the need for sustainable development**

Development can increase the quality of human life. This can be gauged by the increasing quality of products, services, health, society and culture. Development is endless and will keep expanding to fulfil the changing human vision and mission, but the development

process usually has negative effects on the environment, thus demanding a more environmentally sound plan. Unplanned and unsustainable development has placed great pressure in every dimension of the environment (air, water, soil, health, etc.) that ultimately causes problems that not only involve local issues, but also global such as global warming. Sustainable development is the need of the hour; it can only be achieved through effective environmental management (Khan et al., 2002). Effective environmental management can be achieved through the various environmental assessment tools including life cycle assessment (LCA).

Uncovering the Relation Between Environmental Damage and the Rate of Rainfall Received Through a Life Cycle Assessment (LCA) Study on Potable Water Production in Malaysia 223

Raw water extracted from rivers will go through the following processes in the water

 **Coagulation and flocculation**. The coagulation process is the process of forming particles called floc. A coagulant needs to be added to form floc. The coagulants that are normally used include aluminium sulphate, ferric sulphate and ferric chloride. Tiny flocs will in turn attract each other while at the same time pulling the dissolved organic material and particulate to combine, forming a big flocculant particle. This process is

**Settling**. Aggregated flocs settle on the base of the settler. The accumulation of floc

 **Filtration**. Part of the suspended matter that does not settle goes through filtration. The water passes through a filtration system consisting of sand layers and activated carbon

 **Disinfection.** This process is needed to eliminate the pathogen organisms that remain after filtration. Among the chemicals used for disinfection are chlorine, chloramines,

The main building Materials used when building water treatment plants are concrete and steel. Concrete is a type of composite material which is usually used in construction. It is a

The quality of the concrete which is produced depends on the quality of the raw materials that are being used such as cement, coarse aggregate and water, rate of mixing, the method of mixing, transportation and compression methods. If the raw materials used are not good quality, the concrete produced will be low quality and this causes the concrete to be weak and unable to fulfil the fixed specifications. So, concrete technology warrants that all the materials used should first be tested and certified through fixed standardizations before

Steel increases the tensile strength of the concrete structure. Reinforcement steel functions to increase the tensility strength of the concrete structure. Types of reinforcement steel that are

**Screening.** Removing large, floating rubbish on the surface of the water.

*2.1.3.1 . Production stage* 

treatment plant (Sastry, 1996):

called flocculation.

or anthracite coal.

*2.1.3.2 . Construction stage* 

b. Fine aggregate/sand c. Coarse aggregate

a. Cement

d. Water

combination of the following:

being used in construction work.

i. Mild steel reinforcement /*mild steel* ii. Reinforcement steel with high tensility

used are as follows:

iii. Fabric steel (*fabric*)

settlement is called settling sludge.

chlorine dioxide, ozone and UV radiation.

## **2. Methodology of Life Cycle Assessment (LCA)**

There are four main phases in LCA as suggested in ISO 14040 series:


## **2.1. Goal and scope definition**

In goal definition and scoping, the use of the results is identified, the scope of the study is stated, the functional unit is defined and a strategy and the procedures for data collection and the data quality assurance are established.

### *2.1.1. Objectives*

The objective of this research is to get a clear picture of the impact potential produced from potable water production when two phases are involved, namely, production stage and construction stage using an LCIA method (in this case the Ecopoints method). This research will identify which impact is greater by comparing them using normalization and weighting procedures so that suggestions to reduce the impact can be recommended.

## *2.1.2. Functional unit*

Functional unit is quantified performance of a product system as a reference unit in a life cycle assessment study (ISO14000, 2000). A constant value must be created to make the comparison (Miettinen & Hamalainen, 1997). Functional unit for this study is the production of 1m3 of treated water a day that fits the standard quality set by the Ministry of Health, Malaysia.

## *2.1.3. Description of the system under study*

There are two stages which Became the basis of comparison in this study, namely, the production and construction stages.

#### *2.1.3.1 . Production stage*

222 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**2. Methodology of Life Cycle Assessment (LCA)** 

2.1. Goal and scope definition (ISO 14040) 2.2. Life cycle inventory (LCI) (ISO 14041)

**2.1. Goal and scope definition** 

2.3. Life cycle impact assessment (LCIA) (ISO 14042)

and the data quality assurance are established.

*2.1.3. Description of the system under study* 

production and construction stages.

There are four main phases in LCA as suggested in ISO 14040 series:

2.4. Life cycle assessment and interpretation (LCAI) (ISO 14043)

assessment (LCA).

*2.1.1. Objectives* 

*2.1.2. Functional unit* 

Malaysia.

process usually has negative effects on the environment, thus demanding a more environmentally sound plan. Unplanned and unsustainable development has placed great pressure in every dimension of the environment (air, water, soil, health, etc.) that ultimately causes problems that not only involve local issues, but also global such as global warming. Sustainable development is the need of the hour; it can only be achieved through effective environmental management (Khan et al., 2002). Effective environmental management can be achieved through the various environmental assessment tools including life cycle

In goal definition and scoping, the use of the results is identified, the scope of the study is stated, the functional unit is defined and a strategy and the procedures for data collection

The objective of this research is to get a clear picture of the impact potential produced from potable water production when two phases are involved, namely, production stage and construction stage using an LCIA method (in this case the Ecopoints method). This research will identify which impact is greater by comparing them using normalization and weighting

Functional unit is quantified performance of a product system as a reference unit in a life cycle assessment study (ISO14000, 2000). A constant value must be created to make the comparison (Miettinen & Hamalainen, 1997). Functional unit for this study is the production of 1m3 of treated water a day that fits the standard quality set by the Ministry of Health,

There are two stages which Became the basis of comparison in this study, namely, the

procedures so that suggestions to reduce the impact can be recommended.

Raw water extracted from rivers will go through the following processes in the water treatment plant (Sastry, 1996):


#### *2.1.3.2 . Construction stage*

The main building Materials used when building water treatment plants are concrete and steel. Concrete is a type of composite material which is usually used in construction. It is a combination of the following:


The quality of the concrete which is produced depends on the quality of the raw materials that are being used such as cement, coarse aggregate and water, rate of mixing, the method of mixing, transportation and compression methods. If the raw materials used are not good quality, the concrete produced will be low quality and this causes the concrete to be weak and unable to fulfil the fixed specifications. So, concrete technology warrants that all the materials used should first be tested and certified through fixed standardizations before being used in construction work.

Steel increases the tensile strength of the concrete structure. Reinforcement steel functions to increase the tensility strength of the concrete structure. Types of reinforcement steel that are used are as follows:


The steels that are provided are 12m long, with diameters of 6mm, 8mm, 10mm, 12mm, 16mm, 20mm, 22mm, 25mm and 32mm. The reinforcement steel will be cut and moulded according to the concrete structure design. Reinforcement steel with high tensility is used as the backbone of the concrete structure because of its high strength. Mild steel reinforcement is usually used as reinforcement fixation where high tensility is not needed. Fabric steel (*fabric*) is used in a wide concrete surface area such as floors and comes in sizes of 2.4m x 1.8m with steel diameter 4mm to 12mm. The distance between each steel rod is different based on the types of fabric. Reinforcement steel that is used should be free from any dirt and rust, so it has to be protected from water and humidity.

Uncovering the Relation Between Environmental Damage and the Rate of Rainfall Received Through a Life Cycle Assessment (LCA) Study on Potable Water Production in Malaysia 225

Filtration material (activated carbon and anthracite) and coagulant (ferrochloride) are not included in this study because no water treatment plants in Malaysia use these materials.

Background data for all building materials and chemicals is obtained from Japan Environmental Management Association for Industry (JEMAI) - PAC, BUWAL 250 chlorine, alum and electricity, ETH-ESU 98 - lime, LCA Food DK - tap water, and IDEMAT

The impact assessment is used to identify the significant potential environmental effect by using the results of life cycle impact analysis (LCI). LCIA is very different from other techniques, such as environment impact assessment (EIA) and risk assessment, because the approach uses functional units. LCIA comprises four elements, namely, the classification, characterization, normalization and weighting, but normalization and weighting are optional elements (Koroneos, Dompros, Roumbas & Moussiopoulos, 2005). According to Jolliet, Brent et al., (2003), the classification of LCI due to the impact categories is through the impact pathway which begins from LCI results until the end-point. The explanation on

'LCI results are classified into the impact categories and category indicators that can be

In accordance with the above explanation, two approaches have been developed to explain the inter-connection of the LCI results with the environmental impacts via mid-point or endpoint approaches (Heijungs et al., 2003; Jolliet, Margni et al., 2003; Jolliet et al., 2004; Ortiz, Francesc & Sonnemann, 2009; Sleeswijk, van Oersc, Guinée, Struijsd & Huijbregtsb, 2008; Soares, Toffoletto & Deschenes, 2006). According to Bare et al. (2000), the main difference between both models is the methodology used and how category indicators are presented to

**Figure 2** illustrates that the impact pathway begins from LCI results until the end-point. The emission of ozone depletion gases is used as an example for the characterization of ozone depletion gases that can be conducted either until mid-point or end-point. Impact at mid-

2001 - cement, steel, sand and gravel.

Tap water (litre) 477.26

Construction Stage Production Stage

**Table 2.** Foreground data for construction stage and production stage.

**2.3. Life Cycle Impact Assessment (LCIA)** 

translate the achieved impact categories.

Steel (kg) 8.78 Alum (kg) 22.55 Cement (kg) 30.72 Chlorine (kg) 3.65 Gravel (kg) 70.72 PAC (kg) 16.85 Sand (kg) 47.15 Lime (kg) 11.12 Electricity (kwh) 0.09 Electricity (kwh) 397.28

impact pathway is also touched upon in ISO (Jolliet, Brent et al., 2003) where:

stated in any LCI results (mid) with the end-point category.'

## **2.2. Life Cycle Inventory (LCI)**

The inventory of the studied LCA system includes information on the input and output (environmental exchanges) for all the processes within the boundaries of the product system (see **Figure 1**). The inventory is a long list of material and energy requirements, products and co-products, as well as wastes. This list is referred to as a material and energy balance, the inventory table, or the eco-balance of the product (Guinée, 2002). This LCA study is a streamlined LCA with background data for electricity, chemicals and transport using a database contained in the Jemaipro and Simapro 7 software. Foreground data collected from the treatment plant are: (see **Table 2**)

**Figure 1.** System Boundary of Potable Water Treatment Plant


Filtration material (activated carbon and anthracite) and coagulant (ferrochloride) are not included in this study because no water treatment plants in Malaysia use these materials.

Background data for all building materials and chemicals is obtained from Japan Environmental Management Association for Industry (JEMAI) - PAC, BUWAL 250 chlorine, alum and electricity, ETH-ESU 98 - lime, LCA Food DK - tap water, and IDEMAT 2001 - cement, steel, sand and gravel.


**Table 2.** Foreground data for construction stage and production stage.

### **2.3. Life Cycle Impact Assessment (LCIA)**

224 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

and rust, so it has to be protected from water and humidity.

**2.2. Life Cycle Inventory (LCI)** 

the treatment plant are: (see **Table 2**)

**Figure 1.** System Boundary of Potable Water Treatment Plant

chloride (PAC), chlorine and calcium hydroxide (lime) Building materials such as steel, gravel, sand and cement

Electricity usage, and

The steels that are provided are 12m long, with diameters of 6mm, 8mm, 10mm, 12mm, 16mm, 20mm, 22mm, 25mm and 32mm. The reinforcement steel will be cut and moulded according to the concrete structure design. Reinforcement steel with high tensility is used as the backbone of the concrete structure because of its high strength. Mild steel reinforcement is usually used as reinforcement fixation where high tensility is not needed. Fabric steel (*fabric*) is used in a wide concrete surface area such as floors and comes in sizes of 2.4m x 1.8m with steel diameter 4mm to 12mm. The distance between each steel rod is different based on the types of fabric. Reinforcement steel that is used should be free from any dirt

The inventory of the studied LCA system includes information on the input and output (environmental exchanges) for all the processes within the boundaries of the product system (see **Figure 1**). The inventory is a long list of material and energy requirements, products and co-products, as well as wastes. This list is referred to as a material and energy balance, the inventory table, or the eco-balance of the product (Guinée, 2002). This LCA study is a streamlined LCA with background data for electricity, chemicals and transport using a database contained in the Jemaipro and Simapro 7 software. Foreground data collected from

Chemicals for water treatment such as aluminium sulphate (alum), polyaluminium

The impact assessment is used to identify the significant potential environmental effect by using the results of life cycle impact analysis (LCI). LCIA is very different from other techniques, such as environment impact assessment (EIA) and risk assessment, because the approach uses functional units. LCIA comprises four elements, namely, the classification, characterization, normalization and weighting, but normalization and weighting are optional elements (Koroneos, Dompros, Roumbas & Moussiopoulos, 2005). According to Jolliet, Brent et al., (2003), the classification of LCI due to the impact categories is through the impact pathway which begins from LCI results until the end-point. The explanation on impact pathway is also touched upon in ISO (Jolliet, Brent et al., 2003) where:

 'LCI results are classified into the impact categories and category indicators that can be stated in any LCI results (mid) with the end-point category.'

In accordance with the above explanation, two approaches have been developed to explain the inter-connection of the LCI results with the environmental impacts via mid-point or endpoint approaches (Heijungs et al., 2003; Jolliet, Margni et al., 2003; Jolliet et al., 2004; Ortiz, Francesc & Sonnemann, 2009; Sleeswijk, van Oersc, Guinée, Struijsd & Huijbregtsb, 2008; Soares, Toffoletto & Deschenes, 2006). According to Bare et al. (2000), the main difference between both models is the methodology used and how category indicators are presented to translate the achieved impact categories.

**Figure 2** illustrates that the impact pathway begins from LCI results until the end-point. The emission of ozone depletion gases is used as an example for the characterization of ozone depletion gases that can be conducted either until mid-point or end-point. Impact at mid-

point is the ozone layer depletion and impact in the end-point is the protected area involving human health, natural biotic environment and manmade environment.

Uncovering the Relation Between Environmental Damage and the Rate of Rainfall Received Through a Life Cycle Assessment (LCA) Study on Potable Water Production in Malaysia 227

refers to the category indicator for each impact category located at the end of the impact pathway as in Figure 2. End-point indicator translates the category impact based on the area of protection such as human health, natural environmental quality, natural resources and the manmade environment (Bare & Gloria, 2008). Examples of end-point methodology are Eco-indicator 95 and 99, EPS 92, 96 and 2000, and LIME 2003 (Pennington et al., 2004). According to Reap et al. (2008), there are several factors affecting the level of confidence and suitability of LCA research result which include the options of LCIA methodology either using the mid-point or end-point approach. Reap et al. (2008) state that the end-point impact category is less comprehensive and possesses higher levels of uncertainty compared to the mid-point impact category. Nevertheless, the mid-point impact category is difficult to interpret, especially in the process of decision making because the mid-point impact category is not directly correlated with the area of protection (i.e., damage to human health,

ecosystem quality and resource depletion) which is practiced by the end-point.

Damage Assessment Unit Impact

PAF\*m2yr

PAF: Potentially Affected Fraction (animals affected by the impacts)

*2.3.4. Steps in Life Cycle Impact Assessment (LCIA)* 

Generally there are three steps in LCIA:

2.3.4.2. Normalization, and

2.3.4.3 . Weighting

2.3.4.1 . Classification and characterization

LCIA for this study uses the Eco-Indicator 99 method (Eco-indicator 99 is an end-point method as mentioned in previous sub-topic) where 11 impacts classified into three damage

Human Health DALY Carcinogen, radiation,

Resources MJ surplus Land use, minerals and

DALY: Disability Adjusted Life Years (years of disabled living or years of life lost due to the impacts)

MJ: Surplus Energy (MJ) (extra energy that future generations must use to excavate scarce resources)

PDF: Potentially Disappeared Fraction (plant specie disappeared as result of the impacts)

**Table 3.** Damage Assessment and Impact According to Eco-Indicator 99.

respiratory organic and

Climate change, ozone layer

inorganic

fossil fuels

and acidification Ecotoxicity

*2.3.3. Eco-Indicator 99 evaluation method* 

Ecosystem Quality PDF\*m2yr

assessment areas (refer **Table 3**) as listed below:

**Figure 2.** Impact pathway connecting the emission to several deterioration categories.

## *2.3.1. Mid-point approach*

The LCIA mid-point approach is also known as the problem-oriented approach (Dreyer, Niemann & Hauschild, 2003; Ortiz et al., 2009) or the classical impact assessment method (Jolliet, Brent et al., 2003; Jolliet et al., 2004). The term mid-point refers to the category indicator for each impact category which is expressed in the mid pathway of impact between LCI results and end-point (Josa, Aguado, Cardim & Byars, 2007). Mid-point translates the category impact into real phenomenon such as climate change, acidification and aquatic toxicity (Sleeswijk et al., 2008). An example of the methodology that was developed using the mid-point approach is CML 2001 (Dreyer et al., 2003; Heijungs et al., 2003), EDIP 97 and TRACI (Jolliet et al., 2004).

#### *2.3.2. End-point approach*

The end-point LCIA methodology is also known as the damage-oriented approach (Dreyer et al., 2003). According to Heijungs et al., (2003) this approach looks at the elements inside the impact pathway that consist of independent values for society. The term 'end-point' refers to the category indicator for each impact category located at the end of the impact pathway as in Figure 2. End-point indicator translates the category impact based on the area of protection such as human health, natural environmental quality, natural resources and the manmade environment (Bare & Gloria, 2008). Examples of end-point methodology are Eco-indicator 95 and 99, EPS 92, 96 and 2000, and LIME 2003 (Pennington et al., 2004). According to Reap et al. (2008), there are several factors affecting the level of confidence and suitability of LCA research result which include the options of LCIA methodology either using the mid-point or end-point approach. Reap et al. (2008) state that the end-point impact category is less comprehensive and possesses higher levels of uncertainty compared to the mid-point impact category. Nevertheless, the mid-point impact category is difficult to interpret, especially in the process of decision making because the mid-point impact category is not directly correlated with the area of protection (i.e., damage to human health, ecosystem quality and resource depletion) which is practiced by the end-point.

## *2.3.3. Eco-Indicator 99 evaluation method*

226 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

involving human health, natural biotic environment and manmade environment.

**Figure 2.** Impact pathway connecting the emission to several deterioration categories.

The LCIA mid-point approach is also known as the problem-oriented approach (Dreyer, Niemann & Hauschild, 2003; Ortiz et al., 2009) or the classical impact assessment method (Jolliet, Brent et al., 2003; Jolliet et al., 2004). The term mid-point refers to the category indicator for each impact category which is expressed in the mid pathway of impact between LCI results and end-point (Josa, Aguado, Cardim & Byars, 2007). Mid-point translates the category impact into real phenomenon such as climate change, acidification and aquatic toxicity (Sleeswijk et al., 2008). An example of the methodology that was developed using the mid-point approach is CML 2001 (Dreyer et al., 2003; Heijungs et al.,

The end-point LCIA methodology is also known as the damage-oriented approach (Dreyer et al., 2003). According to Heijungs et al., (2003) this approach looks at the elements inside the impact pathway that consist of independent values for society. The term 'end-point'

*2.3.1. Mid-point approach* 

*2.3.2. End-point approach* 

2003), EDIP 97 and TRACI (Jolliet et al., 2004).

point is the ozone layer depletion and impact in the end-point is the protected area

LCIA for this study uses the Eco-Indicator 99 method (Eco-indicator 99 is an end-point method as mentioned in previous sub-topic) where 11 impacts classified into three damage assessment areas (refer **Table 3**) as listed below:


DALY: Disability Adjusted Life Years (years of disabled living or years of life lost due to the impacts) PAF: Potentially Affected Fraction (animals affected by the impacts)

PDF: Potentially Disappeared Fraction (plant specie disappeared as result of the impacts)

MJ: Surplus Energy (MJ) (extra energy that future generations must use to excavate scarce resources)

**Table 3.** Damage Assessment and Impact According to Eco-Indicator 99.

*2.3.4. Steps in Life Cycle Impact Assessment (LCIA)* 

Generally there are three steps in LCIA:

2.3.4.1 . Classification and characterization

2.3.4.2. Normalization, and

2.3.4.3 . Weighting

#### *2.3.4.1 . Classification and characterization*

Classification is the step in which the data from the inventory analysis (the substance emissions) are grouped together into a number of impact categories (Bovea and Gallardo, 2003). Grouping to the impact categories is done according to their ability to contribute to different environmental problems. While characterization is the effect of each item on each impact category. A typical way is to use equivalency factors, in some instances also called potentials is, for example, global warming potential for a substance indicates its two relative potentials to increase the global warming effect compared to CO2, whose GWP is set to one. In ISO 14040 series classification and characterization are two basic mandatory elements. Below are the results of the analysis done in this study (see **Figure 3**).

Uncovering the Relation Between Environmental Damage and the Rate of Rainfall Received Through a Life Cycle Assessment (LCA) Study on Potable Water Production in Malaysia 229

PDF\*m2yr 1915.167 1093.544 1028.461

Impact Category Unit Rainy Season Dry Season Normal Day Carcinogens DALY 7.16E-06 6.62E-06 6.4E-06 Resp. Organics DALY 1.17E-07 1.06E-07 1.01E-07 Resp. Inorganics DALY 0.040633 0.023199 0.02182 Climate Change DALY 8.06E-05 7.5E-05 7.2E-05 Radiation DALY 1.71E-08 1.85E-08 1.17E-08 Ozone Layer DALY 4.79E-09 4.27E-09 4.2E-09 Ecotoxicity PDF\*m2yr 2.036848 1.871666 1.851406

Land Use PDF\*m2yr 0.053107 0.057419 0.036363 Minerals MJ Surplus 0.011961 0.01291 0.008192 Fossil Fuels MJ Surplus 577.824 535.6501 521.4128

From impact analysis (refer **Table 4**), the rainy season surpassed other categories in all impact categories (carcinogens, respiratory organics, respiratory inorganics, climate change and ozone layer) in human health damage, except for the radiation impact category. For the radiation impact category, the rainy season falls into second place followed by a normal day. In the rest of the categories included in the damage to environmental quality category and natural resources depletion, the highest impact is contributed most by the rainy season

Normalization expresses the magnitude of the impact scores on a scale which is common to all the categories of impact. Impact scores and resource consumptions from characterization are related to a common reference in order to facilitate comparisons across impact categories (Huijbregts et al., 2003). The impact scores are usually expressed in person equivalents, PE. The PE represents the annual impact from an average person and is useful for bringing together the rather diverse environmental impacts on a common scale. Normalization is an optional element in the ISO 14040 series. The following are the results of the normalization

Normalization shows the damage to human health quality as the main item. Impact to respiratory inorganic is pointed out as the main cause. The value for this impact category in the rainy season, the dry season and a normal day is 2.65, 1.51 and 6.6E-06 DALY, respectively. Meanwhile in the damage to ecosystem category, acidification/eutrophication is valued at 0.37, 0.21 and 0.20 for the rainy season, the dry season and a normal day, respectively. However, damage to ecosystem quality is in second place after damage to human health. The resource category is last in ranking as the impact contribution is the lowest among all the impact categories. For this damage, the fossil fuels impact category is higher compared to minerals. The contribution value for the rainy season, the dry season

**Table 4.** Characterization to Impact Category for Different Situations.

analysis for the impact category obtained (refer **Table 5**)

(ecotoxicity, acidification/eutrophication, land use, minerals and fossil fuels.

Acidification/Eutrophicati

*2.3.4.2 . Normalization* 

on

**Figure 3.** Characterization According to Three Protection Areas

Analysis is focused on three damage categories, namely, damage to human health, damage to ecosystem quality and damage to resource depletion. Analysis found that during the rainy season, the situation has the potential to cause higher damage to human health (0.0407 DALY) and ecosystem quality (1.92E3 PDF\*m2yr) at about 46% each compared to the dry season and a normal day. However, during the dry season, even though the value is much lower than during the rainy season, it is still higher than a normal day, but the difference is not too large (the difference in value of 0.0014 DALY in Human Health damage and 0.07E3 PDF\*m2yr in ecosystem quality damage). In damage to resources, the rainy season is still higher compared to the dry season and a normal day, but the contribution does not exceed 40%. Meanwhile, the dry season still contributes higher compared to a normal day. Values for the rainy season, dry season and a normal day are 578, 536 and 521 MJ surplus, respectively. Analysis shows that two main substances contribute to these three damage categories. The substances are polyaluminium chloride (PAC) and natural gas. The PAC chemical production process releases sulphur oxides and nitrogen oxides that contribute to human health and ecosystem quality damage, while electricity generation contributes to natural resources depletion damage.


**Table 4.** Characterization to Impact Category for Different Situations.

From impact analysis (refer **Table 4**), the rainy season surpassed other categories in all impact categories (carcinogens, respiratory organics, respiratory inorganics, climate change and ozone layer) in human health damage, except for the radiation impact category. For the radiation impact category, the rainy season falls into second place followed by a normal day. In the rest of the categories included in the damage to environmental quality category and natural resources depletion, the highest impact is contributed most by the rainy season (ecotoxicity, acidification/eutrophication, land use, minerals and fossil fuels.

#### *2.3.4.2 . Normalization*

228 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Below are the results of the analysis done in this study (see **Figure 3**).

**Figure 3.** Characterization According to Three Protection Areas

natural resources depletion damage.

Classification is the step in which the data from the inventory analysis (the substance emissions) are grouped together into a number of impact categories (Bovea and Gallardo, 2003). Grouping to the impact categories is done according to their ability to contribute to different environmental problems. While characterization is the effect of each item on each impact category. A typical way is to use equivalency factors, in some instances also called potentials is, for example, global warming potential for a substance indicates its two relative potentials to increase the global warming effect compared to CO2, whose GWP is set to one. In ISO 14040 series classification and characterization are two basic mandatory elements.

Analysis is focused on three damage categories, namely, damage to human health, damage to ecosystem quality and damage to resource depletion. Analysis found that during the rainy season, the situation has the potential to cause higher damage to human health (0.0407 DALY) and ecosystem quality (1.92E3 PDF\*m2yr) at about 46% each compared to the dry season and a normal day. However, during the dry season, even though the value is much lower than during the rainy season, it is still higher than a normal day, but the difference is not too large (the difference in value of 0.0014 DALY in Human Health damage and 0.07E3 PDF\*m2yr in ecosystem quality damage). In damage to resources, the rainy season is still higher compared to the dry season and a normal day, but the contribution does not exceed 40%. Meanwhile, the dry season still contributes higher compared to a normal day. Values for the rainy season, dry season and a normal day are 578, 536 and 521 MJ surplus, respectively. Analysis shows that two main substances contribute to these three damage categories. The substances are polyaluminium chloride (PAC) and natural gas. The PAC chemical production process releases sulphur oxides and nitrogen oxides that contribute to human health and ecosystem quality damage, while electricity generation contributes to

*2.3.4.1 . Classification and characterization* 

Normalization expresses the magnitude of the impact scores on a scale which is common to all the categories of impact. Impact scores and resource consumptions from characterization are related to a common reference in order to facilitate comparisons across impact categories (Huijbregts et al., 2003). The impact scores are usually expressed in person equivalents, PE. The PE represents the annual impact from an average person and is useful for bringing together the rather diverse environmental impacts on a common scale. Normalization is an optional element in the ISO 14040 series. The following are the results of the normalization analysis for the impact category obtained (refer **Table 5**)

Normalization shows the damage to human health quality as the main item. Impact to respiratory inorganic is pointed out as the main cause. The value for this impact category in the rainy season, the dry season and a normal day is 2.65, 1.51 and 6.6E-06 DALY, respectively. Meanwhile in the damage to ecosystem category, acidification/eutrophication is valued at 0.37, 0.21 and 0.20 for the rainy season, the dry season and a normal day, respectively. However, damage to ecosystem quality is in second place after damage to human health. The resource category is last in ranking as the impact contribution is the lowest among all the impact categories. For this damage, the fossil fuels impact category is higher compared to minerals. The contribution value for the rainy season, the dry season

and a normal day is 0.07, 0.063 and 0.062, respectively. The rainy season remains the highest contributor for this impact category.

Uncovering the Relation Between Environmental Damage and the Rate of Rainfall Received Through a Life Cycle Assessment (LCA) Study on Potable Water Production in Malaysia 231

**Figure 4.** Weighting in Damage Assessment for Three Different Situations.

From the analysis conducted, There are two weaknesses identified:

replacement with alum to depict the impact of the replacement.

chemicals; nitrogen oxides and sulphur oxides.

Interpretation is the phase of the LCA where the results of the other phase are interpreted according to the goal of the study using sensitivity and uncertainty analysis. The outcome of the interpretation may be a conclusion serving as a recommendation to the decision makers, who will normally consider the environmental and resource impacts together with other

1. Production of PAC: contributed to damage to human health quality and damage to ecosystem quality. The process in producing this chemical releases two other dangerous

2. Depletion of fossil fuel, namely, natural gas: natural gas is used in electricity generation. These weaknesses could be overcome using more environmentally friendly alternatives

a. Replacing PAC with alum. PAC is a coagulant that could be replaced with other chemical substance such as alum. In this case, the water treatment plant uses both coagulants in similar quantities. Thus, the suggestion is for the complete PAC

b. Natural resource depletion - natural gas: the existing advantages that water treatment plants have must be given attention and complete dependence in natural gas used as fuel for electricity generation is to be avoided. The main advantage is that the constant flow of water in water treatment plants could be used to generate electricity. Other than that, the location of water treatment plants usually exposed to solar radiation is also an

decision criteria (such as economic and social aspects) (Hauschild et al., 2005).

*2.3.5. Life Cycle Assessment Interpretation (LCAI)* 

*2.3.5.1 . Improvement assessment* 

such as:


**Table 5.** Normalization to Impact Category for Different Situation.

#### *2.3.4.3 . Weighting*

Weighting is also known as valuation. Weighting is the last step in LCIA where a ranking is undertaken of the different environmental impact categories and resource consumption, reflecting the relative importance they are assigned in the study (Soares et al., 2006; Pennington et al., 2004). The aim of this step is to arrive at a further interpretation and aggregation of the data of the impact assessment. The importance of the impact categories in relation to each other is a value-bound procedure based on an assessment of the relative environmental harm. This assessment will therefore reflect social values and preferences (Consoli et al., 1993). Weighting is another optional element.

Weighting analysis shows a result similar to normalization analysis where the first ranking remains with damage to human health followed by damage to ecosystem quality and damage to resources (refer **Figure 4**). Values for damage to human health are 795, 455 and 428 Pt for the rainy season, the dry season and a normal day, respectively. Damage to ecosystem quality is at second place with a difference between 340 Pt (rainy season), 369.4Pt (dry season) and 408 Pt (normal day) compared to the damage to human health category. Damage to resources category is in last place, indicating that this category is seen as contributing the least impact compared to damage to human health and ecosystem quality. Values for the three situations are 20.6 Pt (rainy season), 19.1Pt (dry season) and 18.6 Pt (normal day).

**Figure 4.** Weighting in Damage Assessment for Three Different Situations.

## *2.3.5. Life Cycle Assessment Interpretation (LCAI)*

Interpretation is the phase of the LCA where the results of the other phase are interpreted according to the goal of the study using sensitivity and uncertainty analysis. The outcome of the interpretation may be a conclusion serving as a recommendation to the decision makers, who will normally consider the environmental and resource impacts together with other decision criteria (such as economic and social aspects) (Hauschild et al., 2005).

#### *2.3.5.1 . Improvement assessment*

230 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

contributor for this impact category.

**Table 5.** Normalization to Impact Category for Different Situation.

(Consoli et al., 1993). Weighting is another optional element.

*2.3.4.3 . Weighting* 

(normal day).

and a normal day is 0.07, 0.063 and 0.062, respectively. The rainy season remains the highest

Carcinogens 0.000466 0.000431 0.000417 Resp. Organics 7.64E-06 6.92E-06 6.6E-06 Resp. Inorganics 2.64518 1.510249 1.420503 Climate Change 0.005246 0.004881 0.004689 Radiation 1.11E-06 1.2E-06 7.61E-07 Ozone Layer 3.12E-07 2.78E-07 2.73E-07 Ecotoxicity 0.000397 0.000365 0.000361 Acidification/Eutrophication 0.373457 0.213241 0.20055 Land Use 1.04E-05 1.12E-05 7.09E-06 Minerals 1.42E-06 1.54E-06 9.75E-07 Fossil Fuels 0.068761 0.063742 0.062048

Weighting is also known as valuation. Weighting is the last step in LCIA where a ranking is undertaken of the different environmental impact categories and resource consumption, reflecting the relative importance they are assigned in the study (Soares et al., 2006; Pennington et al., 2004). The aim of this step is to arrive at a further interpretation and aggregation of the data of the impact assessment. The importance of the impact categories in relation to each other is a value-bound procedure based on an assessment of the relative environmental harm. This assessment will therefore reflect social values and preferences

Weighting analysis shows a result similar to normalization analysis where the first ranking remains with damage to human health followed by damage to ecosystem quality and damage to resources (refer **Figure 4**). Values for damage to human health are 795, 455 and 428 Pt for the rainy season, the dry season and a normal day, respectively. Damage to ecosystem quality is at second place with a difference between 340 Pt (rainy season), 369.4Pt (dry season) and 408 Pt (normal day) compared to the damage to human health category. Damage to resources category is in last place, indicating that this category is seen as contributing the least impact compared to damage to human health and ecosystem quality. Values for the three situations are 20.6 Pt (rainy season), 19.1Pt (dry season) and 18.6 Pt

Impact Category Rainy Season Dry Season Normal Day

From the analysis conducted, There are two weaknesses identified:


These weaknesses could be overcome using more environmentally friendly alternatives such as:


advantage that should not be taken lightly. The use of solar panels could assist in getting alternative electricity sources from this existing advantage. Thus, a suggestion made to reduce the impact of electricity generation is the use of solar panels (25%), hydroelectric generators (25%) and natural gas (50%).

Uncovering the Relation Between Environmental Damage and the Rate of Rainfall Received Through a Life Cycle Assessment (LCA) Study on Potable Water Production in Malaysia 233

climate change which is a hot topic nowadays. Based on the analysis of environment impact using the Ecoindicator 99 evalution method, it is found that the rainy season and the dry season contribute higher to environmental damage, namely, damage to human health, damage to ecosystem quality and damage to resources if compared to normal days. The rainy season is found to contribute much higher impact compared to the dry season and a normal day. The dry season still contributes impact to the environment, but insignificantly compared to normal days. The consumption of alum, PAC and chlorine increases during the rainy season to ensure that treated water fits the standard set. The increase in these chemicals has the potential to cause environmental damage. The chemical that was identified to contribute to this damage is PAC. The production of this chemical releases two hazardous by-product chemicals, namely, nitrogen oxides and sulphur oxides. Nevertheless, the damage could be reduced by completely replacing the coagulant with a more environmentally friendly coagulant such as alum. After the replacement of the chemical, the burden on ecosystem quality and human health could be reduced by up to 80% -90%. Damage to natural resources depletion is caused by electricity generation using natural gas. Advantages at the water treatment plants could be fully utilized to avoid dependence on natural gas. This includes the running water in the water treatment system and water treatment plant locations that are exposed to solar radiation which could be harnessed to generate electricity. Hybrid electricity generation could reduce the complete dependence on

Even though the replacement of PAC with the more ecosystem friendly alum could reduce the damage to ecosystem quality and human health quality, the disadvantage of alum use is that it generates a high quantity of sludge. Though there are claims that sludge produced from water treatment plants is not dangerous compared to sludge produced by wastewater treatment plants, it can have negative effects on the environment, especially if this sludge is released directly into rivers, as is still currently practised by some water treatment plants in Malaysia. The proportion - 25% (solar panels): 25% (hydroelectric): 50% (natural gas) suggested to reduce the dependence on natural gas might be improved further, as it is currently only able to reduce it by about 50%. However, if this suggestion is put into action,

World climate change demands sustainable development practices. Without sustainable development in environmental management, damage to the environment is inevitable. Global warming is an example of this caused by anthropogenic activities. The results are disasters, such as frequent droughts and floods, that occur in Malaysia. This situation applies to physical disasters and also indirectly causes environmental damage when river water needs to be treated with higher chemical dosages during the rainy and dry seasons. By using LCA as the environmental assessment tool, environmental damage could be foreseen. Among the potential damage from these two extreme climates are damage to human health (especially respiratory inorganic impact), damage to ecosystem quality (especially acidification/eutrophication impact) and damage to resources (especially impact

fossil fuel natural gas in water treatment plants.

it would at least reduce the use of fossil fuel natural gas.

to fossil fuels).

Background data for solar panels and hydroelectrics in Simapro 7 software is used to compare the actual results (natural gas usage) with the suggested corrective measure using the combination electricity generation process. The results of the weighting analysis for the corrective suggestions are shown in **Figure 5**.

**Figure 5.** Weighting Analysis with Corrective Measures to Overcome Damage to Human Health, Damage to Ecosystem Quality and Damage to Resources

From the analysis conducted, both damage to human health and ecosystem quality can be reduced by more than 90%. For example, in the damage to human health category, the original value for the rainy season (795 Pt), the dry season (455 Pt) and a normal day (428 Pt) can be reduced to 2.65 Pt in total (the total of each three different situations). This is the same with damage to ecosystem quality, the original value for the rainy season (150 Pt), the dry season (85.4 Pt) and a normal day (80.4Pt) can be reduced to a mere 0.48 Pt in total (the total of each three different situations). However, the use of hybrid technology in electricity generation can reduce 50% of the damage to resources. The analysis also found that the use of hybrid technology could also potentially have an impact on human health and ecosystem quality.

## **3. Conclusion**

The goal of this study is to analyse the damage that would happen from the use of chemical use and electricity generation based on two extreme climate conditions in Malaysia: the rainy season and the dry season. Both these climate conditions are also linked to world climate change which is a hot topic nowadays. Based on the analysis of environment impact using the Ecoindicator 99 evalution method, it is found that the rainy season and the dry season contribute higher to environmental damage, namely, damage to human health, damage to ecosystem quality and damage to resources if compared to normal days. The rainy season is found to contribute much higher impact compared to the dry season and a normal day. The dry season still contributes impact to the environment, but insignificantly compared to normal days. The consumption of alum, PAC and chlorine increases during the rainy season to ensure that treated water fits the standard set. The increase in these chemicals has the potential to cause environmental damage. The chemical that was identified to contribute to this damage is PAC. The production of this chemical releases two hazardous by-product chemicals, namely, nitrogen oxides and sulphur oxides. Nevertheless, the damage could be reduced by completely replacing the coagulant with a more environmentally friendly coagulant such as alum. After the replacement of the chemical, the burden on ecosystem quality and human health could be reduced by up to 80% -90%. Damage to natural resources depletion is caused by electricity generation using natural gas. Advantages at the water treatment plants could be fully utilized to avoid dependence on natural gas. This includes the running water in the water treatment system and water treatment plant locations that are exposed to solar radiation which could be harnessed to generate electricity. Hybrid electricity generation could reduce the complete dependence on fossil fuel natural gas in water treatment plants.

232 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

hydroelectric generators (25%) and natural gas (50%).

corrective suggestions are shown in **Figure 5**.

Damage to Ecosystem Quality and Damage to Resources

quality.

**3. Conclusion** 

advantage that should not be taken lightly. The use of solar panels could assist in getting alternative electricity sources from this existing advantage. Thus, a suggestion made to reduce the impact of electricity generation is the use of solar panels (25%),

Background data for solar panels and hydroelectrics in Simapro 7 software is used to compare the actual results (natural gas usage) with the suggested corrective measure using the combination electricity generation process. The results of the weighting analysis for the

**Figure 5.** Weighting Analysis with Corrective Measures to Overcome Damage to Human Health,

From the analysis conducted, both damage to human health and ecosystem quality can be reduced by more than 90%. For example, in the damage to human health category, the original value for the rainy season (795 Pt), the dry season (455 Pt) and a normal day (428 Pt) can be reduced to 2.65 Pt in total (the total of each three different situations). This is the same with damage to ecosystem quality, the original value for the rainy season (150 Pt), the dry season (85.4 Pt) and a normal day (80.4Pt) can be reduced to a mere 0.48 Pt in total (the total of each three different situations). However, the use of hybrid technology in electricity generation can reduce 50% of the damage to resources. The analysis also found that the use of hybrid technology could also potentially have an impact on human health and ecosystem

The goal of this study is to analyse the damage that would happen from the use of chemical use and electricity generation based on two extreme climate conditions in Malaysia: the rainy season and the dry season. Both these climate conditions are also linked to world Even though the replacement of PAC with the more ecosystem friendly alum could reduce the damage to ecosystem quality and human health quality, the disadvantage of alum use is that it generates a high quantity of sludge. Though there are claims that sludge produced from water treatment plants is not dangerous compared to sludge produced by wastewater treatment plants, it can have negative effects on the environment, especially if this sludge is released directly into rivers, as is still currently practised by some water treatment plants in Malaysia. The proportion - 25% (solar panels): 25% (hydroelectric): 50% (natural gas) suggested to reduce the dependence on natural gas might be improved further, as it is currently only able to reduce it by about 50%. However, if this suggestion is put into action, it would at least reduce the use of fossil fuel natural gas.

World climate change demands sustainable development practices. Without sustainable development in environmental management, damage to the environment is inevitable. Global warming is an example of this caused by anthropogenic activities. The results are disasters, such as frequent droughts and floods, that occur in Malaysia. This situation applies to physical disasters and also indirectly causes environmental damage when river water needs to be treated with higher chemical dosages during the rainy and dry seasons. By using LCA as the environmental assessment tool, environmental damage could be foreseen. Among the potential damage from these two extreme climates are damage to human health (especially respiratory inorganic impact), damage to ecosystem quality (especially acidification/eutrophication impact) and damage to resources (especially impact to fossil fuels).

Uncovering the Relation Between Environmental Damage and the Rate of Rainfall Received Through a Life Cycle Assessment (LCA) Study on Potable Water Production in Malaysia 235

Huijbregts, M.A.J., et al., 2003. Normalisation figures for environmental life-cycle

Netherlands (1997/1998), Western Europe (1995) and the world (1990 and 1995). *Journal of* 

Heijungs, R., Goedkoop, M., Struijs, J., Effting, S., Sevenster, M. & Huppes, G. (2003). *Towards a life cycle impact assessment method which comprises category indicators at the midpoint and the endpoint level. Report of the first project phase Design of the new method*

Hauschild, M., J. Jeswiet and L. Alting, 2005. *From Life Cycle Assessment to Sustainable* 

ISO14000, *Malaysian standards handbook on environmental management*: MS ISO 14000 Series -

Jolliet, O., Brent, A., Goedkoop, M., Itsubo, N., Mueller-Wenk, R., Peña, C., et al. (2003). *Life Cycle Impact Assessment Programme of the Life Cycle Initiative. Final report of the LCIA Definition study* [Electronic Version]. Retrieved 17 September 2007, from http://lcinitiative.unep.fr/includes/file.asp?site=lcinit&file=F7BF1ABF-8B98-4A95-9FDE-

Jolliet, O., Margni, M., Charles, R., Humbert, S., Payet, J., Rebitzer, G., et al. (2003). IMPACT 2002+: A New Life Cycle Impact Assessment Methodology. *The International Journal of* 

Jolliet, O., Müller-Wenk, R., Bare, J., Brent, A., Goedkoop, M., Heijungs, R., et al. (2004). The LCIA midpoint-damage framework of the UNEP/SETAC life cycle initiative. *The* 

Khan, F.I., V. Raveender and T. Husain, 2002. Effective Environmental Management Through Life Cycle Assessment. *Journal of Loss Prevention in the Process Industries*, 15:

Mangena, S. J. & Brent, A. C. (2006). Application of a Life Cycle Impact Assessment framework to evaluate and compare environmental performances with economic

Miettinen, P. & Hamalainen, R. P. (1997). How to benefit from decision analysis in environmental life cycle assessment (LCA). *European Journal of Operational Research*, 102,

Minister of Science Technology, 2000. and the Environment Malaysia, Malaysia Initial National Communication (INC). Minister of Science Technology and the Environment

Moberg, Ǻ., Finnveden, G., Johansson, J. & Lind, P. (2005). Life cycle assessment of energy from solid waste-part 2: landfilling compared to other treatment methods. *Journal of* 

Ntiamoah, A. & Afrane, G. (2008). Environmental impacts of cocoa production and processing in Ghana: life cycle assessment approach. *Journal of Cleaner Production*, 16,

values of supplied coal products. *Journal of Cleaner Production*(14), 1071-1084.

assessment The

3E32EB7C4EC4

455-466.

279-294.

1735-1740.

Malaysia: Putra Jaya,. p. 131.

*Cleaner Production*, 13, 231-240.

*Cleaner Production*, 11: 737-748.

[Electronic Version]. Retrieved 7 Mac 2007, from

2nd Ed. 2000, Shah Alam, Malaysia: SIRIM.

*Life Cycle Assessment,* 8(6), 324-330.

http://www.leidenuniv.nl/cml/ssp/publications/recipe\_phase1.pdf

*International Journal of Life Cycle Assessment*, 9(6), 394-404.

*Production: Status and Perspective*. *Annals of the CIRP*, 54/2/2005: 535-555.

## **Author details**

#### Amir Hamzah Sharaai

*Department of Environmental Management, Faculty of Environmental Studies, Universiti Putra Malaysia, Serdang, Malaysia* 

Noor Zalina Mahmood and Abdul Halim Sulaiman *Institute of Biological Sciences, Faculty of Science, University of Malaya, Kuala Lumpur, Malaysia* 

## **4. References**

Angela, M., No Water Rationing in Klang Valley, in *The Sun*. 2002: Shah Alam.


http://www.leidenuniv.nl/cml/ssp/publications/recipe\_phase1.pdf

234 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

*Institute of Biological Sciences, Faculty of Science, University of Malaya, Kuala Lumpur, Malaysia* 

Bakar, S.A., M.F. Yusof and W.S. Amly, *Johor hampir lumpuh*, in Utusan Online. 2007: Johor

Bare, J. C. & Gloria, T. P. (2008). Environmental impact assessment taxonomy providing comprehensive coverage of midpoints, endpoints, damages, and areas of protection.

Bare, J. C., Hofstetter, P., Pennington, D. W. & Udo de Haes, H. A. (2000). Life Cycle Impact Assessment Workshop Summary. Midpoints versus Endpoints: The Sacrifices and

Bovea, M. D. & Gallardo, A. (2006). The influence of impact assessment methods on

BBC News, Malaysia floods test aid efforts, http://www.bbc.com/news/ in BBC News. 2007. Bernama, Residents Advised To Be Cautious Of Inter-Monsoon Period, in *Bernama*. 2008:

Bovea, M.D. and A. Gallardo, 2006. The influence of impact assessment methods on

Climate Ark. Malaysian state begins water rationing amid dry spell 2002 [cited 23 July 2008];

Clarke, J. (1998). Concrete Reinforced with Fibre Reinforced Plastic. *Materials World*, 6(2), 78-

Consoli, F., et al., 1993. Guideline for life cycle assessment: A code of practice. *Society of* 

Dreyer, L. C., Niemann, A. L. & Hauschild, M. Z. (2003). Comparison of three different LCIA methods: EDIP97, CML2001 and Eco-indicator 99. Does it matter which one you

Goedkoop, M., Schryver, A. N. & Oele, M. (2007). Introduction to LCA with Simapro 7.

Goedkoop, M. and R. Spriensma, 2001. *The Eco-indicator 99 - A damage oriented method for Life Cycle Assessment Methodology Report*. 3rd ed. BB Amersfoort: Pre Consultants. 132. Guinée, J. B. (2002). *Handbook on Life Cycle Assessment: Operational Guide to the ISO Standards:*

Hauschild, M., *Why LCA?* 2007, Department of Manufacturing Engineering and

*Environmental Toxicology and Chemistry workshop report*: Sesimbra, Portugal.

choose? *The International Journal of Life Cycle Assessment*, 8(4), 191-200.

*Department of Environmental Management, Faculty of Environmental Studies,* 

Angela, M., No Water Rationing in Klang Valley, in *The Sun*. 2002: Shah Alam.

Benefits. *The International Journal of Life Cycle Assessment*, 5(6), 319 - 326.

materials selection for eco-design. *Materials and Design*, 27, 209-215.

materials selection for eco-design. *Materials and Design*, 27: 209-215.

**Author details** 

**4. References** 

Baharu.

Kuala Lumpur.

80.

Amir Hamzah Sharaai

*Universiti Putra Malaysia, Serdang, Malaysia* 

Noor Zalina Mahmood and Abdul Halim Sulaiman

*Journal of Cleaner Production*(16), 1021-1035.

Available from: http://www.climateark.org/.

Management, Technical University of Denmark.

Amersfoort: PRé Consultants.

Springer, Netherlands


	- Pennington, D. W., Potting, J., Finnveden, G., Lindeijer, E., Jolliet, O., Rydberg, T., et al. (2004). Life cycle assessment part 2: Current impact assessment practice. *Environment International*, 30, 721-739.

**Chapter 11** 

© 2012 Teodorescu et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Teodorescu et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**Integrated Water Management** 

Additional information is available at the end of the chapter

2013 and every 6 years afterwards) that must include:



thoroughly revised in 2015 and then every 6 years thereafter.


http://dx.doi.org/10.5772/47436

resources in the EU included:

water use;

specifically to:

substances;

**1. Introduction** 

**Around a Large Chemical Platform** 

Cristian Teodorescu, Margareta Nicolau, Adriana Cuciureanu, Marinela Petrescu, Doina Guta, Ciprian Tetiu and Rodica Baciu

According to the EU Water Framework Directive (subsequently WFD) and its set of guidance documents [1,2], the main deadlines in implementing a coherent policy for water

a. By 2004 at the latest, each Member State had to produce an analysis (to be revised in



and producing more than 10 m³/day or serving more than 50 persons. b. By 2009, all Member States had to develop management plans for each river basin district, taking account of the results of the analyses and studies carried out in the previously mentioned analyses. These plans will cover the period until 2015, will be

c. The management plans must be implemented in 2012. These management plans aim




Typhoon Utor to Blame, in *The Star*. 2006: Cyber Jaya.

## **Integrated Water Management Around a Large Chemical Platform**

Cristian Teodorescu, Margareta Nicolau, Adriana Cuciureanu, Marinela Petrescu, Doina Guta, Ciprian Tetiu and Rodica Baciu

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/47436

## **1. Introduction**

236 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Sastry, C. A. (1996). *Water Treatment Plants*. New Delhi: Narosa Publishing House.

context of LCIA. *Journal of Cleaner Production*, 14 649-660.

Typhoon Utor to Blame, in *The Star*. 2006: Cyber Jaya.

*International*, 30, 721-739.

UPSI

(2008).

Pennington, D. W., Potting, J., Finnveden, G., Lindeijer, E., Jolliet, O., Rydberg, T., et al. (2004). Life cycle assessment part 2: Current impact assessment practice. *Environment* 

Rahman, H.A. *A survey on a river pollution in Malaysia* in Geographic Conference 2007. 2007.

Sleeswijk, A. W., van Oersc, L. F. C. M., Guinée, J. B., Struijsd, J. & Huijbregtsb, M. A. J.

Normalisation in product life cycle assessment: An LCA of the global and European economic systems in the year 2000. *Science of the Total Environment*, 390, 227-240. Soares, S. R., Toffoletto, L. & Deschenes, L. (2006). Development of weighting factors in the

> According to the EU Water Framework Directive (subsequently WFD) and its set of guidance documents [1,2], the main deadlines in implementing a coherent policy for water resources in the EU included:

	- an analysis of the characteristics of each river basin district;
	- a review of the impact of human activity on water and an economic analysis of water use;
	- a register of areas requiring special protection;
	- a survey of all bodies of water used for abstracting water for human consumption and producing more than 10 m³/day or serving more than 50 persons.
	- prevent deterioration, enhance and restore bodies of surface water,
	- achieve good chemical status of water bodies by 2015 at the latest;
	- achieve good ecological status of water bodies, again, by 2015 at the latest, by eliminating / reducing pollution from discharges and emissions of hazardous substances;
	- protect, enhance and restore the status of all bodies of groundwater, prevent its pollution, and ensure a balance between groundwater abstraction and replenishment;


Integrated Water Management Around a Large Chemical Platform 239

e. At enterprise level, the water management is in almost all cases reactive, i.e., the management responds to penalties, fines or other enforcing measures taken by the Romanian Environmental Guard or similar enforcing bodies. Pro-active policies at enterprise level are scarce, uncoordinated with other stakeholders, inefficient since they

f. There is a lack of practical tools (mathematical models, data mining, benchmarking procedures), at enterprise level that can manage the water resources in the same way in which fuel or raw materials are managed. Though available, detailed and comprehensive, reference documents [10] are not, in many cases, used in day-by-day

The paper presents the outcomes of a Project carried out in the period 2009-2011, having as general objective the implementation of the WFD at a chemical platform (including the




The Project was coordinated by the Romanian National R&D Institute for Industrial Ecology



Though some of the processes in the focal area were analyzed against best available techniques and some options for reducing water consumptions were generated, the main focus of the Project was to articulate a management system that includes all the important water users in the area and to optimize the water use at the level of this system. The optimization of each inner component of the structure of the system was not the objective of the present Project (only the VIROMET platform subsystems have been considered). The main reason for this limitation is that a mathematical model that could carry out the optimization of a system including many imbricate subsystems (companies and other water users) needs the knowledge of many technological parameters of each consumer. Many of these parameters are confidential. Nevertheless, by providing ranges of consumptions by each system component, companies that constitute the system studied could infer relevant conclusions about how big

specific indicators connected to all aspects of water management);


their share in the system is and how they could contribute to its sustainability.

include only the interest of a given company;

work on industrial platforms;

surrounding areas and stakeholders).

use of the same water sources.


(INCD-ECOIND), Bucharest. Its role in the Project was to:

deadlines even after the Project will end;

Specific objectives were:

e. Starting from 2010, Member States must establish water pricing policies that provide adequate incentives for users to efficiently use water resources and that the various economic sectors contribute to the recovery of the costs of water services, including those relating to the environment and resources. Member States must introduce arrangements to establish an effective, proportionate and dissuasive system of fines and penalties for the event of breaches of the provisions of WFD.

The WFD is a robust response that could be replicated in areas were irrational water consumption led to ecological disasters (e.g., the tragic fate of the Aral Sea [3]). But having a coherent legislation is only one part of the problem. Implementing it needs a dedicated work and collaboration among all stakeholders [4-8]. In taking decisions that affects the environment, the river basins ask for a high degree of responsibility and for a scientific, conservative approach [9], knowing that failing to carry out correct actions will lead to irreversible consequences at global level.

As an EU Member, Romania is committed to fully implement the WFD, and observe strictly all the deadlines in it. Adopting and inserting the WFD in the national legal framework was, by far, the easiest step in this process. As for implementing it, the number and dimensions of obstacles are important. Some of them are detailed below:


The paper presents the outcomes of a Project carried out in the period 2009-2011, having as general objective the implementation of the WFD at a chemical platform (including the surrounding areas and stakeholders).

Specific objectives were:

238 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

regard to the management plans for river basin districts.

penalties for the event of breaches of the provisions of WFD.

d. A specific mention is dedicated to how the management plans will be devised and implemented. The WFD asks Member States to encourage participation by all stakeholders in the implementation of this Framework-Directive, specifically with

e. Starting from 2010, Member States must establish water pricing policies that provide adequate incentives for users to efficiently use water resources and that the various economic sectors contribute to the recovery of the costs of water services, including those relating to the environment and resources. Member States must introduce arrangements to establish an effective, proportionate and dissuasive system of fines and

The WFD is a robust response that could be replicated in areas were irrational water consumption led to ecological disasters (e.g., the tragic fate of the Aral Sea [3]). But having a coherent legislation is only one part of the problem. Implementing it needs a dedicated work and collaboration among all stakeholders [4-8]. In taking decisions that affects the environment, the river basins ask for a high degree of responsibility and for a scientific, conservative approach [9], knowing that failing to carry out correct actions will lead to

As an EU Member, Romania is committed to fully implement the WFD, and observe strictly all the deadlines in it. Adopting and inserting the WFD in the national legal framework was, by far, the easiest step in this process. As for implementing it, the number and dimensions of

a. the Romanian industry inherited a very low effectiveness and efficiency because the majority of the industrial platforms, big water consumers, were built before 1990, when the concern about environment, resource conservation, water quality, etc., was limited. As a first consequence, industrial platforms could extract all the water they needed, sacrificing in many cases the habitat, the quality and quantity of groundwater, the

b. Very little attention was paid to polluting water bodies so that at present, in many areas, the rivers and the underground water content in fertilizers, insecticides,

c. Though one may say that Romania has enough water resources for its industry and habitants, recent drought years revealed the dangers hidden in this assertion and asked for swift and coherent measures and plans in order to efficiently manage the existing

d. There is little or no co-ordination and communication among all stakeholders using water from the same river basin or from the same underground water body. Establishing an industrial facility, a hotel or touristic resort in a given location does not take into consideration the detailed, long-term impact impact upon the water resources of the area and the consequences for all other stakeholders already consuming water

nitrates/nitrites and other chemicals, etc., is unacceptably high;

water resources, without compromising the environment;


irreversible consequences at global level.

needs of communities;

from the same sources;

obstacles are important. Some of them are detailed below:


The Project was coordinated by the Romanian National R&D Institute for Industrial Ecology (INCD-ECOIND), Bucharest.

Its role in the Project was to:


Though some of the processes in the focal area were analyzed against best available techniques and some options for reducing water consumptions were generated, the main focus of the Project was to articulate a management system that includes all the important water users in the area and to optimize the water use at the level of this system. The optimization of each inner component of the structure of the system was not the objective of the present Project (only the VIROMET platform subsystems have been considered). The main reason for this limitation is that a mathematical model that could carry out the optimization of a system including many imbricate subsystems (companies and other water users) needs the knowledge of many technological parameters of each consumer. Many of these parameters are confidential. Nevertheless, by providing ranges of consumptions by each system component, companies that constitute the system studied could infer relevant conclusions about how big their share in the system is and how they could contribute to its sustainability.

## **2. The VIROMET Water Management System**

The first task of the Project Team was to clearly establish the borders of the system to be scrutinized. This led to the Water Management System centred on the VIROMET platform (subsequently VIROMET WMS), illustrated in Figure 1.

Integrated Water Management Around a Large Chemical Platform 241

As a first remark, VIROMET is the main provider, the main consumer and the single

The water intake facilities, the pre-treatment and drinking water stations owned and



This is a very large chemical platform, founded by Czechs in 1937, then operated by Germans and used during WWII. After 1990, the portfolio of installations and products was constantly shrinking, mainly because the capacity of the platform was correlated to other industrial consumers that ceased to exist. At present, VIROMET is a private company, listed on the Bucharest Stock Exchange. It has some 850 employees (in 2009) and a turnover of 33 MEuro (2008). For the needs of the presdent project, the following main sections of the

Following the WFD specifications, the Project aiming at establishing a performing water management system in the VIROMET area had to identify and include all relevant stakeholders and establish a procedure of consultation, cooperation and coordination among them, a rather new approach for the Romanian business environment, but a must, in




This being the situation, the main focal point of the Project was the VIROMET platform.

operated by VIROMET provide 3 different qualities of water for end-users:

3. The plastic ware installation (canisters, barrels, other similar products);


the second major water user (Platform B in Figure 1);

water intake and pre-treatment system;


wastewater operator in the area considered.

(deionised) used by local boilers.

platform have been included in the study:

4. The R&D, small scale production installation;

1. The Methanol installation; 2. The resin production facility;

**3. The project task force** 

The identified stakeholders were:

the lines of the WFD.

communities.

Mainly, it includes:

	- a. a ion-exchange resin factory (Platform B in Figure 1);
	- b. several SMEs in the vicinity of the VIROMET platform;
	- c. a station for producing drinking water, subsequently used internally by VIROMET or distributed to Platform B and other users, including small communities. The Station is owned and operated by VIROMET;
	- d. multiple industrial installations, components of the VIROMET platform;

**Figure 1.** The VIROMET Water Management System structure. Dark arrows denotes measured or estimated flows

As a first remark, VIROMET is the main provider, the main consumer and the single wastewater operator in the area considered.

The water intake facilities, the pre-treatment and drinking water stations owned and operated by VIROMET provide 3 different qualities of water for end-users:


This being the situation, the main focal point of the Project was the VIROMET platform.

This is a very large chemical platform, founded by Czechs in 1937, then operated by Germans and used during WWII. After 1990, the portfolio of installations and products was constantly shrinking, mainly because the capacity of the platform was correlated to other industrial consumers that ceased to exist. At present, VIROMET is a private company, listed on the Bucharest Stock Exchange. It has some 850 employees (in 2009) and a turnover of 33 MEuro (2008). For the needs of the presdent project, the following main sections of the platform have been included in the study:

1. The Methanol installation;

240 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

The first task of the Project Team was to clearly establish the borders of the system to be scrutinized. This led to the Water Management System centred on the VIROMET platform

1. multiple water intakes from adjacent rivers. The intakes are owned and managed by

2. a pre-treatment station that produces water for technological purposes (industrial water

c. a station for producing drinking water, subsequently used internally by VIROMET or distributed to Platform B and other users, including small communities. The

**VIROMET installations** 

**PLATFORM B** 

Wastewater treatment Station (VIROMET)

Run-off water

River

Lime

streams in Figure 1). The station is owned and operated by VIROMET;

a. a ion-exchange resin factory (Platform B in Figure 1); b. several SMEs in the vicinity of the VIROMET platform;

Station is owned and operated by VIROMET;

Pretreatment Station

Untreated Water to 3rd parties

Drinking water to 3rd parties Industrial Water to 3rd parties

Losses

3. s system of distributing the industrial water to all industrial stakeholders, namely:

d. multiple industrial installations, components of the VIROMET platform; 4. a wastewater treatment station that collects wastewater from a number of surrounding water users. The station is owned and operated by VIROMET. Wastewater from the SMEs that take industrial or drinking water from VIROMET WMS is not collected and

**Figure 1.** The VIROMET Water Management System structure. Dark arrows denotes measured or

Drinking water

> Industrial water distribution

**2. The VIROMET Water Management System** 

(subsequently VIROMET WMS), illustrated in Figure 1.

Mainly, it includes:

VIROMET;

processed by this station.

Water Intake 1

Water Intake 2

Waste water from 3rd parties, not included in water balance

Rivers

estimated flows


## **3. The project task force**

Following the WFD specifications, the Project aiming at establishing a performing water management system in the VIROMET area had to identify and include all relevant stakeholders and establish a procedure of consultation, cooperation and coordination among them, a rather new approach for the Romanian business environment, but a must, in the lines of the WFD.

The identified stakeholders were:


have been commissioned (hotels, winter sports services), especially by private investors. This new and abrupt development of the zone, without accurately, objectively evaluating the short and long-term resource potential of the area, led to additional stresses upon the water resources (rivers, underground resources). All water management systems must therefore integrate these end-users, in trying to evaluate their contribution to the water footprint and limit, minimize and repair the damage done to water resources.

Integrated Water Management Around a Large Chemical Platform 243

There is little communication, coordination, no integrated management system of water resources in the focal zone. Uncorrelated use of water can lead to major disfunctionalities, especially in a drought

year.

Adjacent communities are exposed to risks caused by poor operation of the wastewater treatment facilities in the focal zone. Water and soil polluted with chemicals may affect large areas, reducing the touristic potential and gravely

affecting the

health.

etc.)

environment and public

Environmental norms in Romania are aligned to the EU ones. But this reduces the profit of Romanian companies, by comparison with industrial facilities not observing these norms, situated in other geographical zones (outside EU, CIS, Asia,

Any new investment in updating the water distribution and collecting network must be aligned to foreseeable trends in UE, about water resources so it will fit the long term requirements for the water networks.

Opportunities to access

Investment needed for updating the water and wastewater networks in the focal zone could be supported, partially, by other stakeholders, via some mutually

beneficial

arrangements with VIROMET (publicprivate ventures)

EU funds for retrofitting the water

system

**Internal factors External factors Strengths Weaknesses Opportunities Threats**

> Maintaining and operating a water distribution and wastewater collecting systems not adjusted to the exact needs of the users is very costly.

> Existing water network cannot recycle water on the platform (no pumping facilities, no dedicated recycle piping). Practically, the water flows in a single direction, without recycling loops that could increase the efficiency of the system and reduce associated

costs.

treated.

(especially small scale ones, used in SMEs) in the focal zone are not aligned to BAT, mainly because the production level does not legally impose such an alignment. Consumption is therefore inefficient for many installations. This adds to stress upon the water resources and also increase the amount of wastewater to be

4. Many technologies

**Nr** 

2. Water distribution and wastewater collection system have extra capacity, due to the shrinking of the activity of the platform. Existing extra capacity assures that there are enough places for expanding the industrial activity in the focal area.

3. The personnel operating the water and wastewater system is very experienced and skilful.

In order to accurately evaluate the situation of the water resources in the focal zone and to take into account the interests of all stakeholders, it is recommended that a Project Advisory Board (subsequently, PAB) be set up at the beginning of the Project.

This PAB has the following characteristics:


## **4. The existing situation. SWOT and DPSIR**

A detailed SWOT analysis was carried out by the Project team. Main findings are included in Table 1. Issues in Table 1 are, in majority, available for all chemical platforms in Romania.



Board (subsequently, PAB) be set up at the beginning of the Project.

intrinsic legitimacy, unanimously accepted by the local people;

preserving water bodies and the beautiful surrounding environment;

fully voluntary but will impact upon the local people in the focal zone.

**4. The existing situation. SWOT and DPSIR** 

The pre-treatment technologies and equipment need upgrade. Consumptions in some modules of the

system are not measured but only roughly estimated.

Romania.

1. The platform is in the vicinity of important river courses, easing the water intake operations

**Nr** 

done to water resources.

This PAB has the following characteristics:

have been commissioned (hotels, winter sports services), especially by private investors. This new and abrupt development of the zone, without accurately, objectively evaluating the short and long-term resource potential of the area, led to additional stresses upon the water resources (rivers, underground resources). All water management systems must therefore integrate these end-users, in trying to evaluate their contribution to the water footprint and limit, minimize and repair the damage

In order to accurately evaluate the situation of the water resources in the focal zone and to take into account the interests of all stakeholders, it is recommended that a Project Advisory




A detailed SWOT analysis was carried out by the Project team. Main findings are included in Table 1. Issues in Table 1 are, in majority, available for all chemical platforms in

> **Internal factors External factors Strengths Weaknesses Opportunities Threats**

> > [10-12]

Restructuring the water management system will be made in line with last minute norms and most advanced technologies

Climate change induces major events at an accelerated pace (drought, flooding). Retrofitting should take into account new conservative capabilities for water management.


Integrated Water Management Around a Large Chemical Platform 245




For the structure and elements of the DPSIR approach, see Reference [13].

Essentially, the DPSIR tries to find objective responses to the following issues:

Quality? (Nutrients, pesticides, heavy metals, ecological quality)

Are they the right ones, effectively and efficiently working towards targets?

The DPSIR evaluation carried out in the focal zone pointed out the aspects included in

Drivers Industry Large chemical platforms and diverse SMEs in the area operate

opportunities for employment in the area.

Agriculture Large areas of maize, potato, vegetables, wheat cultures, orchards Animal breeding The area includes large pastures for livestock and is particularly

Aquaculture Trout breeding facilities commissioned, especially during the last

technologies difficult to control (e.g. bakers using polluting additives, car service stations improperly disposing of paints, batteries,

The City of Victoria depends in great measure on the success and sustainability of the VIROMET platform, because a large share of the active population works for VIROMET. There are few other

renowned for the quality of dairy products from cows, sheep.

Quantity? (Runoff, availability, demands, water stress)

**element Structure Findings** 

wastewater)

Energy VIROMET Power plant operates on gas

decade

 Is the situation improving or getting worse, year by year? Are the trends observed leading outside the legal limits?

case;

environmental studies;


 Industrial Agricultural


Table 2.

**DPSIR** 


Human Communities

Pressures on the environment

processes and pressures in the area.



**Table 1.** Main findings of the SWOT Analysis

The most coherent way to evaluate critically and in full detail the existing situation in the focal area is the DPSIR approach [13].

A multitude of DPSIR indicators were collected or derived (population, density, geographic area, climate, household area per person, unemployment, criminality, cars / 1000 inhabitants, sanitation, water supply characteristics, emissions to air, water, soil, etc.), but they will not be described here

The objective of using DPSIR was threefold:


For the structure and elements of the DPSIR approach, see Reference [13].

Essentially, the DPSIR tries to find objective responses to the following issues:

	- Quality? (Nutrients, pesticides, heavy metals, ecological quality)
	- Quantity? (Runoff, availability, demands, water stress)
	- Is the situation improving or getting worse, year by year?
	- Are the trends observed leading outside the legal limits?
	- Industrial
	- Agricultural
	- Human Communities
	- Pressures on the environment

244 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

by the wastewater treatment station are difficult to monitor or modify, in case the legal limits for pollution will become stricter (instrumentation of the stations is in many instances inadequate).

and implemented options for water reuse outside the platform (irrigation, sport facilities, etc.). Neither the residues of the wastewater treatment station are used in any

and comprehensive strategy nor specific managerial, operational tools that can lead to more effective and efficient water use (DPSIR evaluation [13], eco-efficiency indicators,

environmental

[14], etc.).

management accounting

5. The parameters assured

6. There are no identified

way.

7. There is neither sound

**Table 1.** Main findings of the SWOT Analysis

The objective of using DPSIR was threefold:

focal area is the DPSIR approach [13].

they will not be described here

**Internal factors External factors Strengths Weaknesses Opportunities Threats**

The most coherent way to evaluate critically and in full detail the existing situation in the

A multitude of DPSIR indicators were collected or derived (population, density, geographic area, climate, household area per person, unemployment, criminality, cars / 1000 inhabitants, sanitation, water supply characteristics, emissions to air, water, soil, etc.), but

The platform can offer technical assistance, maintenance and expertise to adjacent water users in the field of water distribution and wastewater collecting networks

Not having a sound water resource

management system will add to the financial burden of the Company, since Banks become more interested in the level of environmental concern of their clients

There is a gap between enforcing agencies and enterprises. Instead of acting together, coherently, joining forces, learning one from another, they act as enemies. This does not add to the know-how and awareness of the

companies.

**Nr** 

Are they the right ones, effectively and efficiently working towards targets?

The DPSIR evaluation carried out in the focal zone pointed out the aspects included in Table 2.


Integrated Water Management Around a Large Chemical Platform 247

Yes, but only for major industrial water users. Small communities still wait for sanitation, in-expensive wastewater treatment facilities

**DPSIR** 

Improved information

Voluntary agreements

Waste water treatment

**Table 2.** DPSIR findings.

platform

sensitive area;

fertilizers, pesticides, and the like;

thorough and comprehensive.

**5. Internal benchmarking and alignment to BAT** 

management in the focal area.

Demand side management

Regional conflicts No

**element Structure Findings** 

Not present

Not in operation

Needed by all stakeholders

The conclusions of the preliminary evaluation of the water resources in the focal zones are:






The following section will show how the Project team tried to improve the water

Benchmarking is a management technique that consists of permanently searching and implementing of significantly better practices than those currently in use in a given area. It

installed in soil, extracting and purifying the underground polluted water).



sound landfill facility. Tourism The area has a large touristic potential

Pressures Climate change Last 20 years included several drought years and flooding events as

to sort out this complex problem.

State Water quantity Could support the existing level of human activity, but not in case of

Ecological status Acceptable, improving but needs permanent monitoring

align to a coherent Action Plan

Households The general trend is for population to move from agglomerated cities

well in Romania but the focal zone was little affected

Water abstraction Not subject to any regulation or voluntary agreement by individual

Irrational deforestation led to reduced habitat areas

Loss of amenity Potential loss of amenity very high, due to incoherent development of

providing system seems enough for the period to come

Ill health No reported illnesses specifically connected to the state of water Droughts/floods Potential for drought or floods that would have grave consequences

upon the communities

measure or paid for

Eutrophication Present in some small rivers, near pollution sources Acidification Present in some small rivers, near pollution sources

Little cooperation among stakeholders

to a country side that is very far of being prepared to host them. Little or no sanitation or sewerage systems available, no environmentally

Mainly from households that irrationally use fertilizers and insecticides. Increasing awareness, education, trading must contribute

extreme climatic events. All future development of the area must

A large number of analyses carried out by ECOIND showed that the groundwater is polluted in many areas, especially with oil products, chemicals, fertilizers and the like. Nitrites-nitrates level too high.

Large industrial platforms and service companies (e.g., gasoline stations) have induced soil and underground water pollution in many

the focal zone, especially of household buildings and touristic

Need large investment. The capacity of the VIROMET water

Water intake from underground, by individual households not

**element Structure Findings** 

Accidental

households

areas

facilities

**DPSIR** 

Point source pollution

Diffuse source pollution

Groundwater status

biological

Impacts Loss of

Responses Water use

restrictions

Alternative supplies

prices

Subsidized water

Chemical, physical,

habitats/species

The conclusions of the preliminary evaluation of the water resources in the focal zones are:


The following section will show how the Project team tried to improve the water management in the focal area.

## **5. Internal benchmarking and alignment to BAT**

Benchmarking is a management technique that consists of permanently searching and implementing of significantly better practices than those currently in use in a given area. It

leads to better performances by investigating the performance and practices of other organisations (benchmark partners) [15].

Integrated Water Management Around a Large Chemical Platform 249

observing the conditions that led to the lower specific consumption, the platform will

Cleaner Production options generated during the comparison of the existing technologies with BAT produced a list of actions to be taken by the platform managers in order to

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec **2009**

Production Water Consumption Specific consumption

Use of piping and instrumentation from non-operational units to increase the

Installing additional measuring devices in order to monitor the water consumed in

 Replacing the ceramic bed in the absorption towers with more efficient packings; Water flows that may be recycled on the platform, instead of being directed to the wastewater treatment facility. Though this will call for investment (piping, pumps, some heat-exchange equipment), it is estimated that this will lead to no more than

 Establish points of intake for monitoring the water quality in the VIROMET WMS; Identifications of water flows that could be send to adjacent consumers (for irrigation purposes) instead to be sent directly to the wastewater treatment station

Training the personnel, especially the operators of the water system;

 Direct R&D efforts toward reduction of water intake; Encouraging innovative solutions from operators;

see its water specific consumptions decrease by 13%.

**Figure 2.** Monthly production and water specific consumptions.

performance of the operational ones;

4-5 years return on investment;

or directly to the river.

Motivating the operators;


places where there is poor instrumentation and control;

improve the installation performances.

Proactive maintenance;

The list included:

**% from average**


Benchmarking is key to creating crisis that facilitate the change process in an enterprise.

Applying benchmarking techniques has the following advantages:


As can be seen, benchmarking uses comparison and reference to other benchmarking partners, but in a zone where the state of equipment and the level of technologies is not quite state-of-the-art, putting side by side the performances of benchmarking partners and the results of the company that is searching for improvement may be discouraging. It could become obvious that the improvement one is searching for is not possible without huge investment and would be achieved only after large time delays.

The Project team chose, instead, the internal benchmarking approach. As a first step, before comparing to others, the managers would have to identify the best performances recorded by the company itself. As those performances were recorded, they have been attained without any investment or new technologies, only by carefully operating the existing equipment, paying attention to all details, fully respecting the operating procedures. It is the task of company and installation managers to identify the best results and performances (benchmarks) achieved by the company and analyze how they were possible. By simply putting order in the operational stage, by motivating personnel to responsibly carry out their work, the company could align its performance to its own best level, already recorded.

To illustrate the procedure, in the case of VIROMET WMS, Figure 2 shows the production of the platform and the water consumption to achieve that production, all data expressed in % from average yearly values.

The conclusions of Figure 2 are obvious:


observing the conditions that led to the lower specific consumption, the platform will see its water specific consumptions decrease by 13%.

**Figure 2.** Monthly production and water specific consumptions.

Cleaner Production options generated during the comparison of the existing technologies with BAT produced a list of actions to be taken by the platform managers in order to improve the installation performances.

The list included:

248 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Applying benchmarking techniques has the following advantages:




investment and would be achieved only after large time delays.


organisations (benchmark partners) [15].

level, already recorded.

from average yearly values.

The conclusions of Figure 2 are obvious:

being practically constant, all the year long;

performances of the platform were the best;

deviations from average;

leads to better performances by investigating the performance and practices of other

Benchmarking is key to creating crisis that facilitate the change process in an enterprise.



As can be seen, benchmarking uses comparison and reference to other benchmarking partners, but in a zone where the state of equipment and the level of technologies is not quite state-of-the-art, putting side by side the performances of benchmarking partners and the results of the company that is searching for improvement may be discouraging. It could become obvious that the improvement one is searching for is not possible without huge

The Project team chose, instead, the internal benchmarking approach. As a first step, before comparing to others, the managers would have to identify the best performances recorded by the company itself. As those performances were recorded, they have been attained without any investment or new technologies, only by carefully operating the existing equipment, paying attention to all details, fully respecting the operating procedures. It is the task of company and installation managers to identify the best results and performances (benchmarks) achieved by the company and analyze how they were possible. By simply putting order in the operational stage, by motivating personnel to responsibly carry out their work, the company could align its performance to its own best

To illustrate the procedure, in the case of VIROMET WMS, Figure 2 shows the production of the platform and the water consumption to achieve that production, all data expressed in %





	- Proactive maintenance;
	- Use of piping and instrumentation from non-operational units to increase the performance of the operational ones;
	- Installing additional measuring devices in order to monitor the water consumed in places where there is poor instrumentation and control;
	- Replacing the ceramic bed in the absorption towers with more efficient packings;
	- Water flows that may be recycled on the platform, instead of being directed to the wastewater treatment facility. Though this will call for investment (piping, pumps, some heat-exchange equipment), it is estimated that this will lead to no more than 4-5 years return on investment;
	- Establish points of intake for monitoring the water quality in the VIROMET WMS;
	- Identifications of water flows that could be send to adjacent consumers (for irrigation purposes) instead to be sent directly to the wastewater treatment station or directly to the river.
	- Training the personnel, especially the operators of the water system;
	- Motivating the operators;
	- Direct R&D efforts toward reduction of water intake;
	- Encouraging innovative solutions from operators;

 Increase the know-how and expertise: ask personnel to assist operators in other installations, in order that everyone becomes aware of the problems confronting the entire platform.

Integrated Water Management Around a Large Chemical Platform 251

consumer in the focal zone, by simply adding extra terms (design variables) to the optimization criterion and by expanding the set of restrictions. Yet such a process needs a total transparency and access to data that are confidential at every partner in the


The application is set to minimize the following criterion (written in condensed format):

min*i*

4

1

 

*i i <sup>P</sup> <sup>i</sup> P w*

Here, *Pi* is the production of a given component (*i*) of the VIROMET WMS and *wi* is the


,min ,max ; *i ii P PP*

Here the index *min* and *max* refers to the already mentioned minimal, maximal thresholds


0. *<sup>i</sup> P*

As can be seen, there is no fixed structure for the optimization criteria and for the set of restrictions. In this way, a simple MICROSOFT EXCEL application is flexible enough to suit

Table 3 illustrates the simplest way to use the model: the managers wish to know the exact amount of water needed to produce a given quantity of a product, by one of the members of the water system. Such a facility of the application is necessary when there is an opportunity


many cases of interest for the local managers / stakeholders.

can be readily include new, adapted cost values without problem.

water management system studied;

water consumed per 1 unit of product.

to choose any limits they consider suitable)

The set of restrictions are:

for the productions

for the communities);


## **6. Optimization of the Water Management System**

In order to optimize the performances of the water management system at the focal point, the Project Team chose to develop a mathematical model comprehensive enough, so that its results are useful for the local managers but simple enough in order for the same managers to understand it, apply it and contribute to its improvement.

There are many software products that can design, model, simulate, and optimize water and wastewater systems at different scales [16-18]. Instead of using a software that comes as a black box that no one can access and understand how it works, the Project team chose to use the facilities and tools offered by the MICROSOFT EXCEL software, already existing in many companies and much more accessible and intuitive.

The MICROSOFT EXCEL software includes a mathematical package that can solve linear and non-linear programming problems, given a minimal set of data that must include:


The structure of the mathematical model is detailed in the subsequent paragraphs, for the case of minimizing the water consumed by the VIROMET WMS by linear programming [19].

The model is based upon the following assumptions:


consumer in the focal zone, by simply adding extra terms (design variables) to the optimization criterion and by expanding the set of restrictions. Yet such a process needs a total transparency and access to data that are confidential at every partner in the water management system studied;


The application is set to minimize the following criterion (written in condensed format):

$$\min\_{P\_i} \sum\_{i=1}^{4} P\_i \times w\_i$$

Here, *Pi* is the production of a given component (*i*) of the VIROMET WMS and *wi* is the water consumed per 1 unit of product.

The set of restrictions are:

250 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**6. Optimization of the Water Management System** 

to understand it, apply it and contribute to its improvement.

many companies and much more accessible and intuitive.

The model is based upon the following assumptions:

the entire platform.

value);

etc.

[19].

VIROMET WMS, etc.);

 Increase the know-how and expertise: ask personnel to assist operators in other installations, in order that everyone becomes aware of the problems confronting

In order to optimize the performances of the water management system at the focal point, the Project Team chose to develop a mathematical model comprehensive enough, so that its results are useful for the local managers but simple enough in order for the same managers

There are many software products that can design, model, simulate, and optimize water and wastewater systems at different scales [16-18]. Instead of using a software that comes as a black box that no one can access and understand how it works, the Project team chose to use the facilities and tools offered by the MICROSOFT EXCEL software, already existing in

The MICROSOFT EXCEL software includes a mathematical package that can solve linear and non-linear programming problems, given a minimal set of data that must include:




The structure of the mathematical model is detailed in the subsequent paragraphs, for the case of minimizing the water consumed by the VIROMET WMS by linear programming


$$P\_{i, \text{min}} \le P\_i \le P\_{i, \text{max}}.$$

Here the index *min* and *max* refers to the already mentioned minimal, maximal thresholds for the productions


$$P\_i \ge 0.$$

As can be seen, there is no fixed structure for the optimization criteria and for the set of restrictions. In this way, a simple MICROSOFT EXCEL application is flexible enough to suit many cases of interest for the local managers / stakeholders.

Table 3 illustrates the simplest way to use the model: the managers wish to know the exact amount of water needed to produce a given quantity of a product, by one of the members of the water system. Such a facility of the application is necessary when there is an opportunity

to sign an additional contract with a client, situation in which the managers should know what that contract will add to the existing structure of the water consumption.

Integrated Water Management Around a Large Chemical Platform 253

**Optimized Criterion:** *Water consumption, m3 932435*

The structure of the water consumption still takes account that signed contracts should be

Table 5 illustrates the maximization of the VIROMET production, given a limited amount of

**Optimized Criterion:** *Maximal production, Euro/yr 29260434*  **Productions, tons Value Remark**

Freshwater to 3rd parties 17000 Includes communities Industrial water to Platform B 2900000 Minimal value Industrial water to 3rd parties 750000 Minimal value Water for VIROMET 1998400 Includes losses Industrial Water to VIROMET 1978416 Max = 1978416 Fresh water to VIROMET 19784 Max = 19784

In this case, the scenario includes two levels for already contracted products (for the R&D department and for the Plastic ware department). The production of all other components of the system is arranged so that highest profit possible is attained, all the available water is

Methanol 71480 Potential R&D 30 Contracted Resins 97745 Potential Plastic ware 50 Contracted **Water consumption Value, m3 Remark** Water sold as is 160000 Contracted Freshwater to Platform B 5000 Contracted

fulfilled. Other consumptions are at the minimal level provided by the restrictions.

Total Water to VIROMET 932434.706

Industrial water 739599.632 Fresh water 6197.662

Total Water to VIROMET 1998200

Industrial water 0.00 Fresh water 0.00

**Water still available Value, m3**

**Table 5.** Scenario 3: Maximizing production, given the water amount available.

**Table 4.** Minimized consumption of water.

water available.

**Water available Value, m3**


**Table 3.** Scenario 1: amount of water needed for a given production

As seen from Table 2, the platform still have 307243 m3 of industrial water and 18377m3 of fresh water available for other fabrications so the additional methanol production will be possible without any problems.

Table 4 is the result of the application put to minimize the water consumed by the VIROMET WMS.



**Table 4.** Minimized consumption of water.

252 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

what that contract will add to the existing structure of the water consumption.

**Productions, tons Value**

Methanol 75000.00

Total 894380

Industrial water 307243 Fresh water 18377

possible without any problems.

VIROMET WMS.

**Table 3.** Scenario 1: amount of water needed for a given production

**Productions, tons Value**

**Water consumption Value, m3**

R&D 0.00

**Water available Value, m3**

to sign an additional contract with a client, situation in which the managers should know

**Calculated parameter:** *Water consumed, m3 894380*

Industrial water 892757 1200000 Freshwater 1623 20000

**Water consumption Value, m3 Max available**

As seen from Table 2, the platform still have 307243 m3 of industrial water and 18377m3 of fresh water available for other fabrications so the additional methanol production will be

Table 4 is the result of the application put to minimize the water consumed by the

**Optimized Criterion:** *Water consumption, m3 932435*

Methanol 35000.00 Contracted

Resins 40.00 Contracted Plastic ware 8.00 Contracted

Water sold as is 16000 Contracted Freshwater to Platform B 75000 Contracted

Freshwater to 3rd parties 17000 Includes communities Industrial water to Platform B 2900000 Minimal value Industrial water to 3rd parties 750000 Minimal value

**Water for VIROMET 1678400** Includes losses

Industrial Water to VIROMET 922016.368 Max = 1661616 Fresh water to VIROMET 10418.338 Max = 16616

The structure of the water consumption still takes account that signed contracts should be fulfilled. Other consumptions are at the minimal level provided by the restrictions.

Table 5 illustrates the maximization of the VIROMET production, given a limited amount of water available.


**Table 5.** Scenario 3: Maximizing production, given the water amount available.

In this case, the scenario includes two levels for already contracted products (for the R&D department and for the Plastic ware department). The production of all other components of the system is arranged so that highest profit possible is attained, all the available water is

consumed and all the contracts with 3rd parties, observed. As can be seen, in the end, there is no industrial water or freshwater left, when the production is maximized.

Integrated Water Management Around a Large Chemical Platform 255

again, to the fact that the system cannot extract more water from the available resources

In this case, the set of restrictions is modified to take into account the limited water

Though this is only a potential situation, it becomes clear that the new restrictions may gravely affect, in this scenario, the productions and benefits of one or more of the companies in the VIROMET WMS. Though the above scenario will probably not materialize in the years to come in the focal area, provisions must be made that such situations do not

The simplest way in allocating scarce resources is that managers (and PAB) convene and add to each flow in the system a priority. The mathematical model should be modified such priority coefficients or weights and this can be easily done. But the use of priorities and allocation keys, even convened and accepted by all water consumers of the system does not solve the problem. Any allocation generates animosity and can lead to conflicts. Some of the consumers could

The solution should be mathematical as well as ethical. If some of the water consumers cannot use (or can use only a part of) this valuable resource for their processes, they cannot generate profit and cannot survive. Adopting a consensus policy and a co-operative approach to sort out the potential conflicts leads to a procedure to share the profits and benefits generated by those companies that consumed water, among all members of the water system. Though the procedure could be thought as unfeasible because it implies total and permanent transparency and frankness from all stakeholders, it works in the Israeli kibbutzim [20]. In order to build trust among all stakeholders, they must be able to verify

The last scenario presented illustrates the derivation of the optimal value of an eco-

The criterion gives the minimal value of the m3 of water consumed per monetary unit of production of the VIROMET WMS. The optimal value of the criterion and the production

**Productions, tons Value Remarks**

**Water consumption Value, m3 Remarks**

*1000 euro production value 38.729* 

leave the system, making all the management and optimization work pointless.

the accounting registers of all those companies that have used water.

**Optimized Criterion:** *Minimal water consumed m3 /* 

efficiency indicator, a new metrics in the focal area.

Methanol 32805 R&D 268 Resins 54723 Plastic ware 34

structure is presented in the Table 7.

than the above amounts without affecting the environment.

availability.

generate conflicts.

This zero-level availability refers to the fact that the system cannot consume more water than the above amounts, though the adjacent rivers could provide for some extra quantities. But the restrictions were imposed in order to preserve the habitat. The environment could not sustain, in this case, larger water intakes by the water system studied.


**Table 6.** Drought year. Optimal production structure.

The scenario includes a drastic reduction of water (20%) for PLATFORM B and a major increase in the amount of water given to communities for agricultural purposes. In this case, the model finds the optimal production profile at VIROMET in order to reach the maximal possible production value, given the water restrictions. The zero-level availability refers, again, to the fact that the system cannot extract more water from the available resources than the above amounts without affecting the environment.

254 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

no industrial water or freshwater left, when the production is maximized.

not sustain, in this case, larger water intakes by the water system studied.

**Optimized Criterion:** *Maximal production,* 

Industrial water to Platform B 2000000

Total Water to VIROMET 1187570

Industrial water 0.00 Fresh water 0.00 **Table 6.** Drought year. Optimal production structure.

**Water still available Value, m3**

Industrial Water to

consumed and all the contracts with 3rd parties, observed. As can be seen, in the end, there is

This zero-level availability refers to the fact that the system cannot consume more water than the above amounts, though the adjacent rivers could provide for some extra quantities. But the restrictions were imposed in order to preserve the habitat. The environment could

**Productions, tons Value Remarks**

**Water consumption Value, m3 Remarks** Water sold as is 100000 Contracted Freshwater to Platform B 90000 Contracted

Freshwater to 3rd parties 20000 Includes communities

Industrial water to 3rd parties <sup>800000</sup> Agreed level, for

Water for VIROMET 1192000 Includes losses

VIROMET <sup>1180080</sup> Max = 1180080

Fresh water to VIROMET 7499 Max = 7499

The scenario includes a drastic reduction of water (20%) for PLATFORM B and a major increase in the amount of water given to communities for agricultural purposes. In this case, the model finds the optimal production profile at VIROMET in order to reach the maximal possible production value, given the water restrictions. The zero-level availability refers,

Methanol 44682 Potential R&D 30 Contracted Resins 55471 Potential Plastic ware 48 Potential

*Euro/yr <sup>12850587</sup>*

A 50000o m3 reduction to provide enough water to communities

agricultural uses in the area

In this case, the set of restrictions is modified to take into account the limited water availability.

Though this is only a potential situation, it becomes clear that the new restrictions may gravely affect, in this scenario, the productions and benefits of one or more of the companies in the VIROMET WMS. Though the above scenario will probably not materialize in the years to come in the focal area, provisions must be made that such situations do not generate conflicts.

The simplest way in allocating scarce resources is that managers (and PAB) convene and add to each flow in the system a priority. The mathematical model should be modified such priority coefficients or weights and this can be easily done. But the use of priorities and allocation keys, even convened and accepted by all water consumers of the system does not solve the problem. Any allocation generates animosity and can lead to conflicts. Some of the consumers could leave the system, making all the management and optimization work pointless.

The solution should be mathematical as well as ethical. If some of the water consumers cannot use (or can use only a part of) this valuable resource for their processes, they cannot generate profit and cannot survive. Adopting a consensus policy and a co-operative approach to sort out the potential conflicts leads to a procedure to share the profits and benefits generated by those companies that consumed water, among all members of the water system. Though the procedure could be thought as unfeasible because it implies total and permanent transparency and frankness from all stakeholders, it works in the Israeli kibbutzim [20]. In order to build trust among all stakeholders, they must be able to verify the accounting registers of all those companies that have used water.

The last scenario presented illustrates the derivation of the optimal value of an ecoefficiency indicator, a new metrics in the focal area.

The criterion gives the minimal value of the m3 of water consumed per monetary unit of production of the VIROMET WMS. The optimal value of the criterion and the production structure is presented in the Table 7.



Integrated Water Management Around a Large Chemical Platform 257

**Figure 3.** Actual and smoothed variation of wastewater treated in the VIROMET facility.

**Figure 4.** Seasonal Index for the wastewater reaching the treatment facility.

Applying a procedure for calculating a seasonal index for the amount of wastewater [21] leads, nevertheless to a conclusion, illustrated in Figure 4. Data used to infer such an index

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

If the pattern stands, July –August or December would be the right periods to carry out

March and October-November are the months when the wastewater facility works well over

It seems that there is a gap in July and August as well as at the end of the year.

revisions, technical repairs, and maintenance of the wastewater treatment plant.

Apparently, there is no pattern governing the graph in Figure 3.

are taken from the years 2007-2010.

**%**

its annual average.

50,000 70,000 90,000 110,000 130,000 150,000 170,000 190,000 210,000

**m3/month**

2007/12

3

4

5

6

7

8

9

10

11

12

2008/12

3

4

5

6

7

8

9

10

11

12

2009/12

3

Recorded Wwater, m3/month Moving Ave (4) Moving Ave (2)

4

5

6

7

8

9

10

11

12

2010/12

3

4

5

6

7

8

9

10

11

12

**Table 7.** Computing an eco-efficiency indicator.

As can be seen, there is still some industrial water available but it cannot be used because the restriction imposed to the drinking water was reached. The model points to a limitation of the system that could cause problems. In order to avoid such circumstances, managers should look to expand the capacity of the fresh water production facility.

By calculating regularly such eco-indicators, the managers can appreciate if the performance of the platform is getting better and make the necessary adjustments.

A large number of similar scenarios and optimization criteria were tested, showing the capabilities of the model that still remains simple and versatile.

## **7. Forecasting**

Knowing what will be the trends in a water system in the near future (3-6 months) is essential for the managers of the companies and consumers included in the VIROMET WMS. They can buy the necessary amounts of reagents, set up plans for maintenance, negotiate future contracts, evaluate the future risks that could hamper their production, etc.

The mathematical model of the system included also a forecasting procedure, also implemented in MICROSOFT EXCEL.

To illustrate the approach, Figure 3 shows the monthly amount of water entering the VIROMET wastewater treatment facility from all consumers connected to it.

First of all, moving average graphs are derived, using 2 values and 4 values in averaging, respectively (both situations are illustrated in Figure 3). It can be seen that going from 2 to 4 value moving averages does not sensibly improve the situation and that still no pattern seem to emerge.

**Figure 3.** Actual and smoothed variation of wastewater treated in the VIROMET facility.

Water sold as is 250000 Contracted Freshwater to Platform B 90000 Contracted

Industrial water to Platform B 2900000 Contracted Industrial water to 3rd parties 30000 Contracted Water for VIROMET 1872000 Includes losses Industrial Water to VIROMET 930831 Max = 1853280 Fresh water to VIROMET 18532 Max = 18532

Total Water to VIROMET 949363

Industrial water 922449 Fresh water 0.00

**Table 7.** Computing an eco-efficiency indicator.

implemented in MICROSOFT EXCEL.

**7. Forecasting** 

seem to emerge.

**Water still available Value, m3**

should look to expand the capacity of the fresh water production facility.

of the platform is getting better and make the necessary adjustments.

capabilities of the model that still remains simple and versatile.

Freshwater to 3rd parties 20000 Includes communities

As can be seen, there is still some industrial water available but it cannot be used because the restriction imposed to the drinking water was reached. The model points to a limitation of the system that could cause problems. In order to avoid such circumstances, managers

By calculating regularly such eco-indicators, the managers can appreciate if the performance

A large number of similar scenarios and optimization criteria were tested, showing the

Knowing what will be the trends in a water system in the near future (3-6 months) is essential for the managers of the companies and consumers included in the VIROMET WMS. They can buy the necessary amounts of reagents, set up plans for maintenance, negotiate future contracts, evaluate the future risks that could hamper their production, etc.

The mathematical model of the system included also a forecasting procedure, also

To illustrate the approach, Figure 3 shows the monthly amount of water entering the

First of all, moving average graphs are derived, using 2 values and 4 values in averaging, respectively (both situations are illustrated in Figure 3). It can be seen that going from 2 to 4 value moving averages does not sensibly improve the situation and that still no pattern

VIROMET wastewater treatment facility from all consumers connected to it.

**Figure 4.** Seasonal Index for the wastewater reaching the treatment facility.

Apparently, there is no pattern governing the graph in Figure 3.

Applying a procedure for calculating a seasonal index for the amount of wastewater [21] leads, nevertheless to a conclusion, illustrated in Figure 4. Data used to infer such an index are taken from the years 2007-2010.

It seems that there is a gap in July and August as well as at the end of the year.

If the pattern stands, July –August or December would be the right periods to carry out revisions, technical repairs, and maintenance of the wastewater treatment plant.

March and October-November are the months when the wastewater facility works well over its annual average.


In order to test the seasonal index, it is used to predict the consumptions in the first half of 2011. Results are presented in Table 8.

Integrated Water Management Around a Large Chemical Platform 259

4. Evaluate the existing situations: interactively carry a SWOT and a DPSIR analysis; refer

5. Identify sources of reducing consumptions (cleaner production options, comparison to

6. Carry out internal benchmarking and establish the best achieved performance of the water system. Ask managers to identify and replicate the situations that led to that best performance; as a first step in a more elaborated data-mining process, this procedure will lead, in the short time and with practical no investment to sensible improvements; 7. Establish the exact structure and characteristics of the water system to be optimized

8. Build up a mathematical model for optimization using MICROSOFT EXCEL software package: interactively establish various relevant criteria, identify, in each case design variables, model parameters, set of restrictions. This operation should be carried out

together with local managers and experts, they being the end-users of the model; 9. Test, together with local experts, the validity of the model by analysing as many scenarios as possible, simulate past known situations, examine all the possibilities of the

10. Update the key performance indicator system of the system by adding new metrics, e.g., eco-indicators that will assess the trend of the water system toward sustainability; include the new metrics in the strategy metrics operating at the water system level; 11. Help local people convene upon allocation keys for the case the water available is under the threshold needed by the system; establish a procedure for conflict resolution, in case some of the water users will not be able to access all the water they need for their processes; suggested approach: establish a way to distribute the profit accumulated by some of the stakeholders to all the members of the water system, in a transparent and

12. Help local managers with other decision support tools, e.g., forecasting. Derive the seasonal index for as many variables in the system as possible, keeping the forecasting

13. Test procedures for expanding the mathematical model to include additional

The main advantages and disadvantages of the methodology and its are summarized below:




to PAB and local managers to validate the results of these analyses;

(components, material balances, water quality analyses);

BAT, recycling possibilities, etc.);

model;

fair manner;

consumers.

events);

model open to include future available data;

a Project Advisory Board could be a solution;

**Table 8.** Predicted and actual values for the wastewater reaching the treatment facility.

Deviations of actual recorded values from predicted values are, in all cases, less than 8.5%. For the entire first half of 2011, the relative error is only 4.85%. The seasonal index calculations are self-learning (additional data can be added at any time, once available, in order to make the index more accurate).

A large number of variables of the VIROMET WMS were subjected to forecasting in order to provide the local managers with useful decision support tools.

## **8. Conclusions**

The study presented a methodology that assess and optimize an expanded system, including multiple water users and offers to local managers simple yet versatile tools to analyze various scenarios for their businesses.

A synthetic outline of the methodology follows:


4. Evaluate the existing situations: interactively carry a SWOT and a DPSIR analysis; refer to PAB and local managers to validate the results of these analyses;

258 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Month Predicted value Actual value Absolute** 

**Table 8.** Predicted and actual values for the wastewater reaching the treatment facility.

provide the local managers with useful decision support tools.

Deviations of actual recorded values from predicted values are, in all cases, less than 8.5%. For the entire first half of 2011, the relative error is only 4.85%. The seasonal index calculations are self-learning (additional data can be added at any time, once available, in

A large number of variables of the VIROMET WMS were subjected to forecasting in order to

The study presented a methodology that assess and optimize an expanded system, including multiple water users and offers to local managers simple yet versatile tools to

1. Observe the legal framework governing a river basin but adopt a flexible approach, tailored to the area studied – legislation cannot include all the particular aspects of a given case. Stakeholders' actions should therefore be complementary and implement

2. Organize the task force that will carry out the Project, identify stakeholders, set up a Project Advisory Board; it is important that all major consumers of water in the area are

3. Establish communication procedures, encourage transparency, dialogue, identify potential sources of conflict and be prepared to solve such conflicts. An external facilitator could prove essential for such instances since it is presumed that the facilitator has no interests in the area and his judgement will remain fair and objective;

Jan 2011 105,672 114,091.00 -8,419 -7.38 Feb 107,696 113,637.00 -5,941 -5.23 Mar 118,487 124,225.00 -5,738 -4.62 Apr 114,587 121,675.00 -7,088 -5.83 May 112,175 122,339.00 -10,164 -8.31 Jun 124,466 121,953.00 2,513 2.06 Total 683,082 717,920 -34,838 -4.85

2011. Results are presented in Table 8.

order to make the index more accurate).

analyze various scenarios for their businesses.

A synthetic outline of the methodology follows:

attracted in the Project;

the general norms in their letter and in their spirit.

**8. Conclusions** 

In order to test the seasonal index, it is used to predict the consumptions in the first half of

**deviation** 

**Relative deviation, %** 


The main advantages and disadvantages of the methodology and its are summarized below:


as well as the water allocation keys in cases this resource is scarce (drought, long and heavy winters);

Integrated Water Management Around a Large Chemical Platform 261

[4] Blackstock, K.L. et al (2012), "Linking Process to Outcomes – Internal and External Criteria for A Stakeolder Involvement In River Basin Management Planning",

[5] Asian Develppment Bank Project #40687 Report (2008), "River Basin Water Resource

[6] Watson, N. (2004), "Integrated River Basin management – A Case for Collaboration",

[7] Biswas, A.K. (2004). "Integrated Water Resources Management: A Reassessment."

[8] Gallego-Ayala, J. and Juízo, D. (2011), "Strategic Implementation of Integrated Water Resources Management in Mozambique", Physics and Chemistry of the Earth, Parts

[9] Yuqiong Liu et al (2008), "Linking Science with Environmental Decision Making: Experiences from an Integrated Modeling Approach to Supporting Sustainable Water

[11] Klemes, J.J.(2012), "Industrial Water Recycle-Reuse", Chemical Engineering (in press),

main.pdf?\_tid=11a573affe374f04f4e2d7c67eea5dc2&acdnat=1335276236\_f52a24741b3899

http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2008:024:0008:0029:en:PDF

http://enviro.lclark.edu:8002/rid=1145949501662\_742777852\_522/DPSIR%20Overview.p

http://www.unido.org/fileadmin/import/26164\_EMApartIcropped.5.pdf accessed Feb 3,

http://www.smthacker.co.uk/introduction\_to\_benchmarking.htm Accessed Feb 3, 2012. [16] WEAP (2012) - Water Evaluation and Planning System Software. Details available at

[18] Triana, E. et al (2010), "Neural Networks Approach to Stream Aquifer Modeling for Improved River Basin Management", Journal of Hydrology, 391(3-4): 235-247.

Resources Management", Environmental Modelling & Software, 23(7): 846-858. [10] BAT/BREF, (2012), "Common Waste Water and Waste Gas Treatment/Management Systems in the Chemical Sector", European Commission, Joint Research Centre,

Institute for Prospective Technological Studies. Seville, Spain, www.eippcb.jrc.es/reference/cww.html , Accessed Apr 15, 2012.

http://ac.els-cdn.com/S2211339812000214/1-s2.0-S2211339812000214-

http://www.hydromantis.com/products.html , Accessed Feb 3, 2012.

http://www.sciencedirect.com/science/article/pii/S0921800912000791 Accessed April 15,

Ecological Economics (in press), available at

Intl J. River Basin Management 2(4): 243-257.

5e754988d3f4bbab22 Accessed Apr 15, 2012.

[12] DIRECTIVE 2008/1/EC (The IPPC Directive), available at

[13] Kristensen, P. (2012), The DPSIR Framework, available at

[14] Environmental Management Accounting (2012), available at

[15] An Introduction to Benchmarking (2012), available at

http://www.weap21.org/ Accessed Feb 3, 2012. [17] Hydromantis Software (2012). Information available at

Allocation and Management Policy".

*Water International* 29 (2): 248–56.

A/B/C, 36(14-15): 1103-1111.

available at

2012.

Accessed Feb 3, 2012.

df Accessed Feb 1, 2012.

2012.


## **Author details**

Cristian Teodorescu, Margareta Nicolau, Adriana Cuciureanu, Marinela Petrescu and Doina Guta *INCD-ECOIND, Sector 6, Bucharest, Romania* 

Ciprian Tetiu and Rodica Baciu *VIROMET S.A., Victoria, Brasov County, Romania* 

## **9. References**


[4] Blackstock, K.L. et al (2012), "Linking Process to Outcomes – Internal and External Criteria for A Stakeolder Involvement In River Basin Management Planning", Ecological Economics (in press), available at http://www.sciencedirect.com/science/article/pii/S0921800912000791 Accessed April 15, 2012.

260 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

profit, procedures should be in place to give them a fair compensation;

heavy winters);

easily implemented on most computers;

to some new allocation rules;

Cristian Teodorescu, Margareta Nicolau,

Ciprian Tetiu and Rodica Baciu

Accessed Feb 3, 2012.

*INCD-ECOIND, Sector 6, Bucharest, Romania* 

*VIROMET S.A., Victoria, Brasov County, Romania* 

[2] WFD Portal (2012), Guidance Documents,

uments&vm=detailed&sb=Title Accessed April 15, 2012.

Adriana Cuciureanu, Marinela Petrescu and Doina Guta

the water system;

**Author details** 

**9. References** 

demand, planning maintenance and revisions, etc.);

arrangements among all the users of the mathematical model.

as well as the water allocation keys in cases this resource is scarce (drought, long and







[1] Directive 2000/60/EC (The Water Framework Directive) (2000), available at http://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=CONSLEG:2000L0060:20011216:EN:PDF

http://circa.europa.eu/Public/irc/env/wfd/library?l=/framework\_directive/guidance\_doc

[3] Heaven, S. et al. (2002), "Water Resources Management in the Aral Basin: A River Basin Management Model for the Syr Darya", Irrigation and Drainage, 51(2): 109-118.


main.pdf?\_tid=11a573affe374f04f4e2d7c67eea5dc2&acdnat=1335276236\_f52a24741b3899 5e754988d3f4bbab22 Accessed Apr 15, 2012.

	- [19] Thie, P R and Keough G E (2010), "An Introduction to Linear Programming and Game Theory", 3rd Edition, Wiley & Sons, Chichester, New-York, USA, 460pp.

**Chapter 12** 

© 2012 Teodorescu et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Teodorescu et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**Knowledge-Based** 

http://dx.doi.org/10.5772/47437

productivity gains);

**1. Introduction** 

Cristian Teodorescu, Lucian Constantin,

Additional information is available at the end of the chapter

**Development in Small Communities –** 

Margareta Nicolau, Aurelia Ballo and Cristiana Cosma

**Efficient Management Based on Local Expertize** 

The "Lisbon Strategy" was adopted in 2000 by EU countries as a response to the challenges of globalisation and ageing. It set the strategic goal for EU "to become the most dynamic and competitive knowledge-based economy in the world by 2010, capable of sustainable economic growth with more and better jobs and greater social cohesion and respect for the environment" [1]. As the deadline approached, it became clearer that the above strategic goal will not be attained and the Strategy as a whole will be a failure. The main findings of a





lesson needed to be taken into account by the new Europe 2020 strategy.

thorough analysis of this failure, carried out by EU officials were, among others [2]:

probably the same, without having a "Lisbon Strategy";

remained weak at EU and at national level;


## **Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize**

Cristian Teodorescu, Lucian Constantin, Margareta Nicolau, Aurelia Ballo and Cristiana Cosma

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/47437

## **1. Introduction**

262 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Theory", 3rd Edition, Wiley & Sons, Chichester, New-York, USA, 460pp.

q=kibbutz%20water%20management&f=false Accessed March 2, 2012. [21] Hall O P, Adelman, H E, (1991), "Business Statistics", Irwin, Boston, USA, 797pp.

Drl&sig=zQEy\_23nhs9PpP7xNCiGFFYthRA&hl=en&ei=-

[19] Thie, P R and Keough G E (2010), "An Introduction to Linear Programming and Game

[20] Lipchin C. et al (2009), Integrated water resources management and security in the Middle East, Google Book, available at http://books.google.com/books?id=7rgHmpppZwC&pg=PA261&lpg=PA261&dq=kibbutz+water+management&source=bl&ots=E8vbgpi

bPBSqe1KYue4QbGsqmLCA&sa=X&oi=book\_result&ct=result&resnum=4#v=onepage&

The "Lisbon Strategy" was adopted in 2000 by EU countries as a response to the challenges of globalisation and ageing. It set the strategic goal for EU "to become the most dynamic and competitive knowledge-based economy in the world by 2010, capable of sustainable economic growth with more and better jobs and greater social cohesion and respect for the environment" [1]. As the deadline approached, it became clearer that the above strategic goal will not be attained and the Strategy as a whole will be a failure. The main findings of a thorough analysis of this failure, carried out by EU officials were, among others [2]:


The main idea emerging from the above remarks is that the Lisbon Strategy has failed not because of its generous, munificent objectives but because of inadequate operational implementation, lack of organizational measures and reforms, hesitation to generate and accept new solutions to the new challenges of globalization and economic crisis.

Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize 265

work when it comes to real people, to apply unavoidable austerity measures, to changing mentalities and modify habits in a 10-year interval, etc. Such an approach will probably encourage bureaucracy and corruption, asking for larger spending (from the money

The present study recognizes and accepts the high-value of the general objectives included in the Europe 2020 Strategy but presents a case of a possible *bottom-up* approach in building of a knowledge-based EU, starting from the lower level, of rural communities. It presents the results of a Pilot Project carried out in the period 2009-2011 in a small rural area of Romania, in the Suceava County. The Project was led by the Romanian National R&D Institute for Industrial Ecology (INCD-ECOIND, Bucharest) that provided the facilitators,

1. Identifying the driving forces for the Project and their particularities for Romania;

4. Detailing the approach for implementing elements of knowledge-based development in the selected focal area: how to evaluate, mobilize and articulate the local expertize and

5. Description of main results of the Project in 2 Projects addressing energy and

The literature in the field is huge but it deals mainly with recognized centres of knowledge (urban environment where the intellectual capital is concentrated) and with knowledgebased development metrics [4-9]. Both aspects are important: the first, because it may illustrate more rapidly the benefits and the limits of knowledge-based development there where the intellectual capital is more active and reacts more swiftly, the second because knowledge-based development management does not have its recognized metrics, which is an absolutely essential tool to assess the correctness of the approach. Measuring, comparing knowledge and making decisions in these circumstances is difficult because the intangible,

Though not as spectacular as new inventions or breathtaking discoveries, the Project demonstrates that there is an important amount of latent knowledge and expertise in small communities that could contribute, even in the short term, to the well-being of local people. It is important to create a friendly environment for dialogue and communication, to involve local people to the decision making process, to build on their ideas and perception, to generate communities of practice. This knowledge is not necessarily about advanced physics or nanotechnologies but can generate satisfaction and well-being, can contribute to a better

Aligning the Romanian society to the quality of life standards of other EU members requires much more than a bunch of legal norms, much more than Agencies and Commissions for

3. A discussion of the sources of sustainable knowledge-based development;

provided by the EU tax-payers) to prevent such consequences.

experts, laboratory infrastructure, background information.

2. Defining essential concepts (development vs. growth);

The main lines of the present work are:

energies to contribute to the Project;

environmental issues in the focal area.

weightless character of knowledge [10, 12].

**2. Driving forces for the project** 

life of communities.

EU is now on the way to implement a new 10-year strategy, the "Europe 2020" [3].

There are three main priorities in the new EU targets for 2020:


In trying to give a substantial answer to the simple question: "where does EU want to be by 2020?" the European Commission proposes the following headline targets for 2020:


Though these intentions show that the future instruments meant to implement the Europe 2020 Strategy may be better structured than those accompanying the Lisbon Strategy, they are mainly regarding the actions to be carried out at EU central level and by Member States. The approach for implementing the new strategy does not differ much from the Lisbon Strategy operational implementation: framing the general action plans by the Commission and asking Member States to take measures they believe appropriate, in line with the actions set up by the Commission. This is essentially a top-down, *ex-cathedra*, approach that may work when it is about labelling products, eliminating food additives, limiting the use of some pesticides, setting up new standards for the TV broadcasting but it certainly will not work when it comes to real people, to apply unavoidable austerity measures, to changing mentalities and modify habits in a 10-year interval, etc. Such an approach will probably encourage bureaucracy and corruption, asking for larger spending (from the money provided by the EU tax-payers) to prevent such consequences.

The present study recognizes and accepts the high-value of the general objectives included in the Europe 2020 Strategy but presents a case of a possible *bottom-up* approach in building of a knowledge-based EU, starting from the lower level, of rural communities. It presents the results of a Pilot Project carried out in the period 2009-2011 in a small rural area of Romania, in the Suceava County. The Project was led by the Romanian National R&D Institute for Industrial Ecology (INCD-ECOIND, Bucharest) that provided the facilitators, experts, laboratory infrastructure, background information.

The main lines of the present work are:

264 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

accept new solutions to the new challenges of globalization and economic crisis.

There are three main priorities in the new EU targets for 2020:




role of knowledge is the most important;

economy;

territorial cohesion.

notably for SMEs;


EU is now on the way to implement a new 10-year strategy, the "Europe 2020" [3].

The main idea emerging from the above remarks is that the Lisbon Strategy has failed not because of its generous, munificent objectives but because of inadequate operational implementation, lack of organizational measures and reforms, hesitation to generate and




In trying to give a substantial answer to the simple question: "where does EU want to be by




Though these intentions show that the future instruments meant to implement the Europe 2020 Strategy may be better structured than those accompanying the Lisbon Strategy, they are mainly regarding the actions to be carried out at EU central level and by Member States. The approach for implementing the new strategy does not differ much from the Lisbon Strategy operational implementation: framing the general action plans by the Commission and asking Member States to take measures they believe appropriate, in line with the actions set up by the Commission. This is essentially a top-down, *ex-cathedra*, approach that may work when it is about labelling products, eliminating food additives, limiting the use of some pesticides, setting up new standards for the TV broadcasting but it certainly will not


2020?" the European Commission proposes the following headline targets for 2020:



The literature in the field is huge but it deals mainly with recognized centres of knowledge (urban environment where the intellectual capital is concentrated) and with knowledgebased development metrics [4-9]. Both aspects are important: the first, because it may illustrate more rapidly the benefits and the limits of knowledge-based development there where the intellectual capital is more active and reacts more swiftly, the second because knowledge-based development management does not have its recognized metrics, which is an absolutely essential tool to assess the correctness of the approach. Measuring, comparing knowledge and making decisions in these circumstances is difficult because the intangible, weightless character of knowledge [10, 12].

Though not as spectacular as new inventions or breathtaking discoveries, the Project demonstrates that there is an important amount of latent knowledge and expertise in small communities that could contribute, even in the short term, to the well-being of local people. It is important to create a friendly environment for dialogue and communication, to involve local people to the decision making process, to build on their ideas and perception, to generate communities of practice. This knowledge is not necessarily about advanced physics or nanotechnologies but can generate satisfaction and well-being, can contribute to a better life of communities.

## **2. Driving forces for the project**

Aligning the Romanian society to the quality of life standards of other EU members requires much more than a bunch of legal norms, much more than Agencies and Commissions for

Development, Sustainability, Human Rights, Environment, Social Inclusions, etc., even if these institutions have a role to play and are aligned to the EU legal system, Agencies and Commissions.

Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize 267

Attaining a level of personal satisfaction and well-being does not necessarily reduce to growth and in many cases it does not imply growth at all. *Development* is a systemic policy intervention aiming at the economic, cultural, health, security and social well-being of people. *Growth* is connected mainly to market productivity and rise in GDP, being only one

The findings of recent EU documents on sustainable consumption [15, 25] are relevant for







It is hard to believe that the economic *growth* could be the solution to these facts. Using fewer resources, generating less waste, travelling less, building smaller houses, throwing away less food will not prompt up the growth of production in the corresponding industrial sectors. Even increasing the amount of recycled waste is not the right solution because the main problem is not to generate the same amount of waste and recycle as much as possible

What EU should look for is a new state of mind that accepts that well-being does not mean growth in production and associated consumerism but longer-lasting appliances, repair services, less owning, more sharing options. Some of these options are unacceptable

The conclusion is that the term "growth" should be better defined or replaced by a more

The driving force for sustainable progress being the present distance of the Romanian Society to the correct and inspiring objectives included in the Lisbon and Europe 2020 Strategies (conveniently updated, as already discussed), the present study will detail a practitioner view, a *modus operandi* that will try to translate them in practice in a way that

connotations of well-being, nowadays. Abundance, maybe – waste, no thanks!

aspect of the process of economic development [14].

and biomass were approximately 25% each.

more kilometres are driven (rebound effects).

of it but generating less and less waste in the first place.

appropriate term (development).

and 41% think that their household produces too much waste.

number of people per household decreased from 2.8 to 2.4.

generated 5.2 tonnes of waste in the European economy.

the matter:

per citizen).

Europe 2020 will succeed if and only if its advantages will reach, in the short term, every level of the society, if and only if every small community and its members will be convinced to act along the Europe 2020 objectives because they will be the first and most important beneficiaries.

What the Lisbon Strategy and the Europe 2020 lack is to stress that implementation calls for dedicated specialists not staying at a desk, setting up questionnaires, action plans, producing tons of deliverables and intensively using the internet capabilities but going down, innovating and generating new approaches for communicating, convincing, campaigning, working with people, understanding their needs, building on what they already have, respecting them, fighting bureaucracy, inertia, poverty. The Europe 2020 will be a success only if it will be more than a Strategy but a Crusade against poverty and exclusion.

In general for the Eastern Europe and in particular for Romania, now included in the EU, the last 50 year history presents a heavy legacy.

In its earliest stage, the Communist Regime destroyed the traditional social structures that proved their value and sustainability for centuries; it levelled the society and replaced old structures by central planning and governance. Small communities had not had to think – taking initiatives was considered insidious. They simply had to wait from the Central Government and from the Communist Party structures (the only legitimate depositaries of what is good and necessary) what they have to do. Before coming with Europe 2020 action plans in a Society that has lost its habits and capacity for self-governance and its appetite for change and innovation, it is important to adapt such action plans and take the right measures to re-build the necessary social bonds that will accept and implement the action plans.

Along the recent developments in anthropology research (e.g., the concept of "community of practice", coined by Wenger [13]), one can say that there is a lot of work to do in the field of re-structuring Romanian communities, in transforming them in live, dynamic, fullfledged organisms, aware of their capabilities and potential, ready to take action, to aggregate in communities of practice rather than of interest. This takes time and dedication.

## **3. Knowledge-based development of small communities**

#### Development or growth?

While the Europe 2020 document includes in its title the term "growth", the term "development" would probably be more appropriate. The Strategy itself uses both terms: "sustainable growth" (starting with its title) and "sustainable development" [3, page 20] without making any difference and this can generate confusion.

Attaining a level of personal satisfaction and well-being does not necessarily reduce to growth and in many cases it does not imply growth at all. *Development* is a systemic policy intervention aiming at the economic, cultural, health, security and social well-being of people. *Growth* is connected mainly to market productivity and rise in GDP, being only one aspect of the process of economic development [14].

266 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Commissions.

beneficiaries.

exclusion.

plans.

Development or growth?

the last 50 year history presents a heavy legacy.

Development, Sustainability, Human Rights, Environment, Social Inclusions, etc., even if these institutions have a role to play and are aligned to the EU legal system, Agencies and

Europe 2020 will succeed if and only if its advantages will reach, in the short term, every level of the society, if and only if every small community and its members will be convinced to act along the Europe 2020 objectives because they will be the first and most important

What the Lisbon Strategy and the Europe 2020 lack is to stress that implementation calls for dedicated specialists not staying at a desk, setting up questionnaires, action plans, producing tons of deliverables and intensively using the internet capabilities but going down, innovating and generating new approaches for communicating, convincing, campaigning, working with people, understanding their needs, building on what they already have, respecting them, fighting bureaucracy, inertia, poverty. The Europe 2020 will be a success only if it will be more than a Strategy but a Crusade against poverty and

In general for the Eastern Europe and in particular for Romania, now included in the EU,

In its earliest stage, the Communist Regime destroyed the traditional social structures that proved their value and sustainability for centuries; it levelled the society and replaced old structures by central planning and governance. Small communities had not had to think – taking initiatives was considered insidious. They simply had to wait from the Central Government and from the Communist Party structures (the only legitimate depositaries of what is good and necessary) what they have to do. Before coming with Europe 2020 action plans in a Society that has lost its habits and capacity for self-governance and its appetite for change and innovation, it is important to adapt such action plans and take the right measures to re-build the necessary social bonds that will accept and implement the action

Along the recent developments in anthropology research (e.g., the concept of "community of practice", coined by Wenger [13]), one can say that there is a lot of work to do in the field of re-structuring Romanian communities, in transforming them in live, dynamic, fullfledged organisms, aware of their capabilities and potential, ready to take action, to aggregate in communities of practice rather than of interest. This takes time and dedication.

While the Europe 2020 document includes in its title the term "growth", the term "development" would probably be more appropriate. The Strategy itself uses both terms: "sustainable growth" (starting with its title) and "sustainable development" [3, page 20]

**3. Knowledge-based development of small communities** 

without making any difference and this can generate confusion.

The findings of recent EU documents on sustainable consumption [15, 25] are relevant for the matter:


It is hard to believe that the economic *growth* could be the solution to these facts. Using fewer resources, generating less waste, travelling less, building smaller houses, throwing away less food will not prompt up the growth of production in the corresponding industrial sectors. Even increasing the amount of recycled waste is not the right solution because the main problem is not to generate the same amount of waste and recycle as much as possible of it but generating less and less waste in the first place.

What EU should look for is a new state of mind that accepts that well-being does not mean growth in production and associated consumerism but longer-lasting appliances, repair services, less owning, more sharing options. Some of these options are unacceptable connotations of well-being, nowadays. Abundance, maybe – waste, no thanks!

The conclusion is that the term "growth" should be better defined or replaced by a more appropriate term (development).

The driving force for sustainable progress being the present distance of the Romanian Society to the correct and inspiring objectives included in the Lisbon and Europe 2020 Strategies (conveniently updated, as already discussed), the present study will detail a practitioner view, a *modus operandi* that will try to translate them in practice in a way that

could inspire other practitioners and, perhaps, will suggest some modification of the Europe 2020 Strategy that refers explicitly to its operational implementation. Most documents and studies addressing KBD refers to where knowledge is supposed to be concentrated, (academic media, renown universities, large IT companies, laboratories for nanotechnologies, nuclear physics, space technology, large urban areas, etc.). It seems there is a gap between these entities and the communities, especially small communities. Knowledge seems to flow from the large knowledge generating structures mentioned above toward the rest of the society that has only to wait and enjoy the results of scientific studies and experiments carried out in R&D entities.

Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize 269

compromising the ability of future generations and of neighbouring communities to meet

History and the present time is full of examples of small, powerful communities across Europe and in the Mediterranean space that sustain the remarks above, not only for entire entities (villages, communes, cities) but also for segments of larger cities [16]. Large EUfinanced Projects are also directed to evaluate and build upon the know-how of small

A constructive study dedicated to what is the level of preparation of Croatia to align to the knowledge-based society [18], as illustrated in the new EU documents gives a very

"A knowledge-based economy is one in which the generation and exploitation of knowledge play the predominant part in the creation of wealth. A knowledge economy is not an economy of scarcity, but rather of abundance because information and knowledge can be shared, and actually grow through application. A key component in a knowledge-based economy is human capital, or, more accurately, its competencies. In traditional industries most jobs require employees to learn how to perform routine functions, which, for the most part, remain constant over time. In the knowledge-based economy, rapid changes force workers constantly

Knowledge translated in: applications, information, human capital, competencies – wherever these keywords characterize a community, there are good premises for well-being. An interesting experience in how to develop a sustainable strategy for a local community [19], as a primary tool for common action, provides a number of questions discussed by local people, questions that give substance to the concept of knowledge-based approach:


Evaluating the experience of the mentioned communities in EU as well as from other part of the world [5, 6, 20] led to a handful of results expected by local people from knowledge-

1. Integrated communal services (water, sanitation, IT, cable TV, good education, health assistance, transportation, etc.), dependable and of high quality, acting proactively toward prevention of risk materialization by using communication, by protecting

2. Sustainability, environmentally sound development, job creation inside the community; 3. Increase in the quality of life should maintain, preserve and develop the local specific

4. An increased decision power and more resources allocated to communities. People

communities in managing a valuable resource like water, in Northern Africa [17].

to acquire new skills and to update their skills throughout their lifetimes".


that differentiates a given community from its neighbours;


based development of their small communities:

want to take their fate in their own hands.

vulnerable people;

comprehensive definition of knowledge-based economy:

their own needs".

The authors believe that:


An adapted definition of sustainability, on what small communities have lived for centuries may be derived from the well-known Brundtland Report, could be: "Sustainable development is development that meets the community needs of the present without compromising the ability of future generations and of neighbouring communities to meet their own needs".

History and the present time is full of examples of small, powerful communities across Europe and in the Mediterranean space that sustain the remarks above, not only for entire entities (villages, communes, cities) but also for segments of larger cities [16]. Large EUfinanced Projects are also directed to evaluate and build upon the know-how of small communities in managing a valuable resource like water, in Northern Africa [17].

A constructive study dedicated to what is the level of preparation of Croatia to align to the knowledge-based society [18], as illustrated in the new EU documents gives a very comprehensive definition of knowledge-based economy:

"A knowledge-based economy is one in which the generation and exploitation of knowledge play the predominant part in the creation of wealth. A knowledge economy is not an economy of scarcity, but rather of abundance because information and knowledge can be shared, and actually grow through application. A key component in a knowledge-based economy is human capital, or, more accurately, its competencies. In traditional industries most jobs require employees to learn how to perform routine functions, which, for the most part, remain constant over time. In the knowledge-based economy, rapid changes force workers constantly to acquire new skills and to update their skills throughout their lifetimes".

Knowledge translated in: applications, information, human capital, competencies – wherever these keywords characterize a community, there are good premises for well-being.

An interesting experience in how to develop a sustainable strategy for a local community [19], as a primary tool for common action, provides a number of questions discussed by local people, questions that give substance to the concept of knowledge-based approach:


268 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

and experiments carried out in R&D entities.

The authors believe that:

small communities;

next year too, etc.;

small communities;

and technology to their existing way of life.

all odds;

could inspire other practitioners and, perhaps, will suggest some modification of the Europe 2020 Strategy that refers explicitly to its operational implementation. Most documents and studies addressing KBD refers to where knowledge is supposed to be concentrated, (academic media, renown universities, large IT companies, laboratories for nanotechnologies, nuclear physics, space technology, large urban areas, etc.). It seems there is a gap between these entities and the communities, especially small communities. Knowledge seems to flow from the large knowledge generating structures mentioned above toward the rest of the society that has only to wait and enjoy the results of scientific studies







An adapted definition of sustainability, on what small communities have lived for centuries may be derived from the well-known Brundtland Report, could be: "Sustainable development is development that meets the community needs of the present without

technology, nanoparticles or advanced ultrapure materials;


Evaluating the experience of the mentioned communities in EU as well as from other part of the world [5, 6, 20] led to a handful of results expected by local people from knowledgebased development of their small communities:


In Romania, a recent study addresses the possibilities of knowledge-based development at the strategic level [21]:

Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize 271

6. Feedback: all applications, improvements, adaptations of techniques and products inspired from the know-how of a community should come back and be presented to the

7. Implementing knowledge-based development in small communities is a multidisciplinary endeavour; all the work needed will be carried out by a team of engineers, economists, ecologists, analysts with many years of experience in as many as

The study examined five sources of sustainable, knowledge-based development of small

Table 1 details also what could be the contribution of supplementary R&D work in order to assess and certify that traditional materials, products, techniques are in line with current

**Category Details Contribution of R&D work Remarks Material and Energy Resources** 

> renewables. Evaluate the waste generation processes and methods for waste use and

disposal.

funds

Characterization of materials and processes against present EU health and safety standards. Material, energy balances for processes, comparison to BAT. Suggestions for using

Comparing the traditional approach to the principles of ecology, accepted by EU. Help and train local people and business to access EU

Traditional products still constitute curiosities at national or international fairs. Communication and dissemination will help their spreading, export. RISK: traditional industry could use newer, environmentally aggressive but more profitable techniques (electroplating, synthetic

Codes of practices needed at EU level to protect and promote traditional agriculture and animal breeding, targeting SMEs and small communities, to develop bio-economy

dyes, etc.)

methods.

**5. Sources of sustainable knowledge based development** 

same community;



Crafts, adding value to local materials and products

Traditional farming and animal breeding

diverse projects as possible.

communities (subsequently detailed din Table 1):




environmental, health and safety or other similar regulations.

New life to traditional skills (glass, leather, wood processing, painting, engraving, sculpture, dwelling, etc.) and use of local ceramic ware, traditional tableware, textiles and

Reviving the production and processing of flax, hemp, silk. Traditional dyes, detergents, chemical mixtures, drugs from

Identification of traditional methods in agriculture and

Identify plants that do not need fertilizers and pesticides. Respecting the traditional calendar of agricultural works. Traditional methods for plant and animal protection.

clothing, etc.

plants, etc.

animal farming


A mix of these approaches, adapted to a given community and a given business and cultural environment will probably be the best solution for a given case. The present study will use mainly the bargaining approach, with some help from the experts' and heuristic strategies.

## **4. Fundamental principles**

In putting local know-how and expertise to work for the benefits of the community itself, the following principles should be observed:


## **5. Sources of sustainable knowledge based development**

The study examined five sources of sustainable, knowledge-based development of small communities (subsequently detailed din Table 1):


270 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

1. *Top-down strategies* that neglect the feelings and specific wishes of the subjects;

the strategic level [21]:

bargaining;

areas and communities;

to their own problems;

**4. Fundamental principles** 

patents or trade-marks;

the following principles should be observed:

fairly acknowledged and rewarded;

know-how to younger generations, e.g., in schools;

the right option.

In Romania, a recent study addresses the possibilities of knowledge-based development at

2. *Expert strategies,* generating purely technical solutions, identified by experts for given

3. *Bargaining strategies*, based upon negotiations, compromise among all stakeholders. This category includes the *"bottom-up approach"* by which local decision makers identify problems and barriers, call for consultations among all community members, collect ideas and solutions and decide which are the best ones by the same mechanism of

4. *Heuristic strategies*, having a high degree of rational and affective content. They come out from dialogue, participation, in the presence of experts, with community members. Community members will feel that they themselves have discovered the right solutions

5. *Participatory strategies,* based essentially on voting. The obvious disadvantages are that in small communities, this voting process can be easily manipulated and that not all the members of the same community have the same education and can discern and choose

A mix of these approaches, adapted to a given community and a given business and cultural environment will probably be the best solution for a given case. The present study will use mainly the bargaining approach, with some help from the experts' and heuristic strategies.

In putting local know-how and expertise to work for the benefits of the community itself,

1. Equity in distributing profits and benefits generated by the knowledge-based development. A special code of good practices should be in operation at EU level to

2. The depositary of traditional know-how may be individuals or groups. They should be

3. The knowledge heritage of a community is dynamic, upgrading, adapting. This will help implementing rapid changes required by the Europe 2020 strategy. Yet changes should be understood and accepted by the community, before being implemented. This approach would be applied to tangible matters (local products, handicrafts) and to

4. Whenever possible, know-how and expertise of local people should be protected by

5. The mechanism for transmitting knowledge and expertise to future generations should be improved and institutionalized. Good practices generated in a community should be disseminated. Elderly people, known for their skills, should be able to transfer their

intangibles (habits, healthy life, institutions, attitude toward deviants, etc.);

encourage and motivate innovative producers in small communities;


Table 1 details also what could be the contribution of supplementary R&D work in order to assess and certify that traditional materials, products, techniques are in line with current environmental, health and safety or other similar regulations.


Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize 273

and value.

Assessing the content of such heritage elements and keeping them clean from influences that would compromise their existence

Educated people from the community (teachers, doctors, priests, technicians, other specialists) should promote permanent dialogue inside the community.

Identifying and using local skilled computer specialists to devise tools for egovernance.

Help training local people. Assess emergency plans for environmental accidents.

Solutions for turning waste from local or adjacent sources to valuable

Transferring expertise for strategic management.

Include them in the strategy; make them contributors to

the social bond.

resources

Reviving the authentic traditions and culture.

Sanctions issued by communities should be complementary and not contradicting the legal conviction. Search for proactive, preventing rather than coercive initiatives

and actions

specific

IT, GSM, Cable TV should remain a valuable tool to promote and develop local

Encouraging local ideas and solutions for zerowaste communities

Co-operation with other communities to be institutionalized

Strategy should be the result of local people

Old institutions are intrinsic sources of local legitimacy and should be used to govern local communities

complementary to older ones, familiar to local

initiatives.

Assess their efficiency. New managerial tools are

people.

**Category Details Contribution of R&D work Remarks** 

**INTANGIBLES** 

Participation, communication, social inclusion and

**Environment**  Environmental Protection, biodiversity, climatic change

**Strategy and tools** 

cohesion

Cultural Heritage Habits, customs, religious and

IT, GSM, Cable TV Should not replace traditional

to disasters.

stakeholders

Strategy Establish objectives, priorities

specific

Management Traditional methods for

gatherings, celebrations of some agricultural events, etc., should be complementary to

existing institutions

consultation, option generation, decision making.

**Table 1.** Sources of sustainable, knowledge based development of small communities

Institutions Guilds, religious

Symbiosis Re-build traditional

other traditional holidays. Conservation of institutions, ethnographic particularities.

Traditionally, an Elderly Council, enjoying an intrinsic legitimacy overviewed and solved many conflict inside the community. Community Gatherings should be revived and given decision power.

direct contact of people, social events, gatherings, etc.

Traditional methods for sustainable management of forests, pastures, rivers. Evaluate traditional responses

connections for exchange of materials, services, products, expertise among all interested

in accordance with the local


Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize 273

272 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Diet Traditional diets, food and drinks

Pensions, hotels conserving

Traditional occupations could serve to develop new sport activities (river rafting supervised by local people that usually take the timber down

Techniques for increasing the energy efficiency. Arranging households along traditional experience and habits. Respecting the specific local

the local specific. Gaming and fishing.

the rivers)

architecture.

water sources, water management techniques leading to the protection of rivers, lakes, underground

Small communities could become self-sufficient energetically.

Water management Identification of traditional

water.

Health Traditional medicine,

Education Complementary to schools,

practices, drugs

in churches, etc.)

communities should transfer know-how and experience through traditional methods (apprenticeship, social events, fairs, Sunday schools

Tourism, commerce, other services

Traditional buildings and households

Energy management

**The Human Factor** 

**Category Details Contribution of R&D work Remarks** 

Analysis of products and scientific evaluation of diet. Comparison to quality standards required in EU. Encourage and support local community to acquire ISO, HACCP certifications and register their trade-marks.

Services at EU levels of quality standards. Encourage local owners to apply for certification, quality auditing, etc.

Evaluating energy efficiency

and environmental footprints (Life Cycle Assessment, [26]).

Water quality analyses. Solutions for wastewater treatment and sanitation. Evaluating the potential of recycling wastewater.

Identification of solutions for producing and saving

Scientifically assess the efficiency and risk of practices and drugs

energy

Traditionally, food and drinks are produced by bio-techniques with no chemicals or additives. Promoting and disseminating activities

Encourage associations. Local, foreign language speaking guides for tourists needed.

Preserving what differentiates a community from its neighbours

The Water Framework Directive [22] and lessons learned from the EU Zer0 Project [17] should be carefully observed.

Larger projects (e.g., wind turbines or microhydropower stations) could ask for more than one community to be implemented

Intellectual protection of

people in the educational process. Kindergartens managed with the aid of elderly, educated people.

products

Assessing curriculum. Mobilizing local learned

needed


**Table 1.** Sources of sustainable, knowledge based development of small communities

## **6. Project vision and objectives**

The Project Vision was: "the identification of small communities needs for adding value to their human, material, scientific and cultural capital, in order to sustainably increase their quality of life, in harmony with the environment".

Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize 275





Contrary to what someone could expect from a local community, lost in a beautiful landscape in the rural area of Bucovina (the historical name of the region), there was no need for instructing local people in order to carry out a meticulous and painstaking SWOT analysis. Young educated people took part with great interest in the action and produced

Table 2 illustrates the SWOT analysis of the Ilisesti commune as it came from the local specialists. Little intervention has been made (elimination of some repetition, reformulation of some findings). Most of the suggestions of this Table can be found in SWOT analyses conducted in other communities so Table 2 may be considered representative for what


cultures are fragmented;

local products; - No irrigation systems;





The stakeholders identified during the Project were:


high value documents for the initial diagnostic of the area.

**Strengths Weaknesses**


techniques against BAT, evaluate potential use of waste, etc.).


for starting new projects; - Successful businessmen - Educated retired people.

The role of the Project coordinator was:

and solve conflicts, if need be;

**8. The SWOT analysis** 

happens in all the focal area.

pastures, orchards);

**Section 1: Agriculture, forests, rural development**




do;

The operational objectives of the Project were:


## **7. The focal area**

The Focal Area of the Pilot Project covered the territory of several communes in the Suceava County, in the Northern part of Romania. Initially, the communes of Ilisesti and Balaceana were envisaged but, during the Project, it attracted a number of other communities in the same County that took part, more or less actively: Scheia, Ciprian Porumbescu, Veresti, and Stroiesti. Some of these communes have more than one village. The total number of inhabitants is estimated at 20000.

Once some local projects started, their immediate success acted like attractors, like a critical mass for some more communes. So, at the end of the project, there were 11 communes involved and the number is increasing.

A Project Advisory Board was set up that included mayors of the above mentioned communes but also specialists and even a priest. The Project co-ordinator (INCD-ECOIND-Bucharest) underlined that the Project should and shall stay absolutely free of any political involvement or connotation. The role of the PAB was essentially a honorific one – members of the PAB were in no way remunerated for their participation but their contribution was essential because:


The stakeholders identified during the Project were:


274 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

The Project Vision was: "the identification of small communities needs for adding value to their human, material, scientific and cultural capital, in order to sustainably increase their

1. Selecting the focal area, establish a Project Advisory Board (subsequently PAB) and carrying out a preliminary diagnostic, by using tools like SWOT, in the focal area;

3. Selecting a number of agreed projects that will demonstrate the advantages of the approach and the potential of knowledge-based development of the focal area; 4. Know-how transfer to the local people, complementary to what expertise is already present in the focal area. This led to the application of some modern tools for strategic

5. Evaluating, where possible, the success of the Project by comparison to national or EU

The Focal Area of the Pilot Project covered the territory of several communes in the Suceava County, in the Northern part of Romania. Initially, the communes of Ilisesti and Balaceana were envisaged but, during the Project, it attracted a number of other communities in the same County that took part, more or less actively: Scheia, Ciprian Porumbescu, Veresti, and Stroiesti. Some of these communes have more than one village. The total number of

Once some local projects started, their immediate success acted like attractors, like a critical mass for some more communes. So, at the end of the project, there were 11 communes

A Project Advisory Board was set up that included mayors of the above mentioned communes but also specialists and even a priest. The Project co-ordinator (INCD-ECOIND-Bucharest) underlined that the Project should and shall stay absolutely free of any political involvement or connotation. The role of the PAB was essentially a honorific one – members of the PAB were in no way remunerated for their participation but their contribution was






preserve them, how to take the most out of them;

**6. Project vision and objectives** 

quality of life, in harmony with the environment".

2. Interactive generation of options for development;

The operational objectives of the Project were:

management of small communities;

practices, etc.

**7. The focal area** 

essential because:

inhabitants is estimated at 20000.

given part of the project;

involved and the number is increasing.


The role of the Project coordinator was:


## **8. The SWOT analysis**

Contrary to what someone could expect from a local community, lost in a beautiful landscape in the rural area of Bucovina (the historical name of the region), there was no need for instructing local people in order to carry out a meticulous and painstaking SWOT analysis. Young educated people took part with great interest in the action and produced high value documents for the initial diagnostic of the area.

Table 2 illustrates the SWOT analysis of the Ilisesti commune as it came from the local specialists. Little intervention has been made (elimination of some repetition, reformulation of some findings). Most of the suggestions of this Table can be found in SWOT analyses conducted in other communities so Table 2 may be considered representative for what happens in all the focal area.


Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize 277

infrastructure

mountains);

inadequate

the 8 grade stage.

grandparents' care);





All the SWOT tables from the focal area were consolidated with the contribution of local specialists and PAB. In the process, some issues were dropped, some others were moved









**Section 4: Tourism**



kindergarten; - A large public library;

not only in schools;

**Table 2.** SWOT Analysis findings.

active;

**Section 5: Education and Culture**



**Strengths Weaknesses**

**Opportunities Threats** 

**Strengths Weaknesses**




**Opportunities Threats**

The conclusions of the first stage in the SWOT analysis are:



the SWOT submitted by local specialists to the Project Team;


**9. Generating options for community development** 

from one category to another, some others were rephrased.

cohesion (farming, traditional food and drink, habits, fairs, etc.);


regions with ethanol from potatoes, wind energy, traditional products;

system, separation of families and parents going to work abroad).




Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize 277


**Table 2.** SWOT Analysis findings.

276 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management


















of local products to EU markets; - Unpredictable, constantly changing legal

domestic agriculture, SMEs;

system;

cooperation;

treatment facility;


protection;

needs;

to landslides, floods;


pollution (Chernobyl).

industry;

before 1990;

investors;


**Opportunities Threats**

**Strengths Weaknesses**




**Section 2: Infrastructure and Environment** 









**Opportunities Threats**

**Strengths Weaknesses**

**Opportunities Threats**


local Agricultural Chamber;

the energy bill of farmers; - Large potential for bio-products.

domestic fuel and for cars;

Romania are only 40 km away;

operates in the commune;

GSM and Cable TV networks.


clinic and a pharmacy;

commune;

**Section 3: Economic**

traditional cuisine

animal products; - Highly skilled workforce.

for industrial development.

organizations;

The conclusions of the first stage in the SWOT analysis are:


## **9. Generating options for community development**

All the SWOT tables from the focal area were consolidated with the contribution of local specialists and PAB. In the process, some issues were dropped, some others were moved from one category to another, some others were rephrased.

A single table resulted after intense interactive work and discussions. It was an excellent opportunity for the local specialists to meet and learn to work together for the benefit of the communities. This was one of the most important intangible benefits of the Project.

Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize 279

**activities Social Cohesion Institutional** 

Local companies should hire local people first

Creating jobs for people with disabilities, elderly

Collecting facts and objects illustrating commune history and specific

Expanding schools

Building a retirement home and a facility for people with disabilities

Educational programmes for adult and young

Building a larger kindergarten

Financial support for young families to build their houses.

people

Increase environmental awareness

**framework** 

Devising a Sustainable

Cooperation with all stakeholders, neighbouring communes

Assisting families having members working abroad

Church to become involved in solving social problems, fight criminal behaviour

Defining and

registering the BRAND of the Commune

Lobby activities at local and central level for promoting interests of communities.

Commune Meetings to be revived and become legitimate critics of the

Asking for the status of

Church and monasteries to create housing services for retired people to live and work.

local people

town

Strategy

 **Infrastructure Profit generating** 

Marketing and promotion of local products, services

products

services

resources

sources

products)

Waste recycling

Add value to local resources: Fruit processing units, brewery, and trout breeding.

Produce / distribute stoves, small scale boilers operating on wooden-chips.

Valuables from waste (pet-food and collagen from animal waste)

Incineration of waste with energy recovery and use in a greenhouse

Trade marks for local

Symbiotic connections for adding value to local materials and

Adding value to local

Promoting the use of renewables as energy

New processing facilities for

agricultural and animal products (traditional

Landscaping

and neat

floods

River Banks maintenance against

Keep public spaces clean

Water supply network

Acquiring a special bulldozer for cleaning the snow on the roads

Upgrading the IT infrastructure in schools,

kindergartens

Reforestation

network

floods

station

Modernize the road

Large work along rivers for protection against

Wastewater treatment

Ecological landfill

**A options** 

**B options** 

**C options** 

The SWOT Table was further re-organized in the following manner. First, local specialists were asked to give each SWOT finding 2 scores, in the interval 1 – 10:


Knowledge that came with the Project co-ordinator was included in this score.

An aggregate score has been subsequently derived, based on the two scores given to each SWOT finding, using the formula:

$$\text{Aggregate Score} = \frac{2}{\frac{1}{\text{Score 1}} + \frac{1}{\text{Score 2}}}$$

The resulted aggregate scores are in the same interval 1 (worse) – 10 (best). The formula, inspired from chemical engineering (series of resistances to heat or mass transfer) ensures that a SWOT finding will result highly opportune and feasible only if both *Score 1* and *Score 2* are high, because the aggregate score calculated with this formula is less than the lowest values of *Score 1* and *Score 2*.

Using these aggregate scores, the SWOT findings, reformulated and detailed as options for local development during interactive analysis, were classified in 4 categories, in the same way the options for cleaner production are usually classified:


These options are presented in Table 3. They are organized in 4 main chapters (infrastructure, profit generation, social cohesion, and institutional framework)

Table 3 includes some particularities:


communities. This was one of the most important intangible benefits of the Project.

Knowledge that came with the Project co-ordinator was included in this score.

*Aggregate Score*

way the options for cleaner production are usually classified:


strategy) is obvious and well structured;

were asked to give each SWOT finding 2 scores, in the interval 1 – 10:

least important; 10 = very important);

required means are available).

SWOT finding, using the formula:

values of *Score 1* and *Score 2*.

the local communities

Table 3 includes some particularities:

A single table resulted after intense interactive work and discussions. It was an excellent opportunity for the local specialists to meet and learn to work together for the benefit of the

The SWOT Table was further re-organized in the following manner. First, local specialists



An aggregate score has been subsequently derived, based on the two scores given to each

The resulted aggregate scores are in the same interval 1 (worse) – 10 (best). The formula, inspired from chemical engineering (series of resistances to heat or mass transfer) ensures that a SWOT finding will result highly opportune and feasible only if both *Score 1* and *Score 2* are high, because the aggregate score calculated with this formula is less than the lowest

Using these aggregate scores, the SWOT findings, reformulated and detailed as options for local development during interactive analysis, were classified in 4 categories, in the same


These options are presented in Table 3. They are organized in 4 main chapters




(infrastructure, profit generation, social cohesion, and institutional framework)

2 1 1 1 2

*Score Score*



Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize 281

A-options have been adopted by local authorities and institutions and will be implemented in the near future. Their implementation does not need the help of the Project Coordinator.

The many business ideas (especially C-options) will constitute the priority for future business development in the area because they are generated and endorsed by local specialists and managers and, as the analyses carried out during the project, they are sustainable solutions for the problems in the communities. Working together for their implementation will test the value of the approach used to generate such options and

Option 5 needs a special training programme that will be devised by local specialists, teachers, retired experts, in order to identify and centralize all the environmental problems that confront each community, to analyze their consequences and to increase the awareness of local people. It is important that discussions should take place in the months to come with

Option 6 represents a very tough issue though its solution could be simple. Co-operation with County Authorities and with Child Protection Institutions is needed. Local families without children or single people have expressed their availability to take care of the children left alone by parents working in Spain, Italy or elsewhere but, though the problem is pressing (at national level several cases of suicides were recorded) all arrangements need a detailed case-by-case auditing and a formal, legal approval of child protection authorities. Option 7 is the task of local experts that know best what differentiate local products from

In the subsequent paragraphs, the implementation of Options 1, 2, and 3 will be detailed.

The paragraph details how the sustainable strategy of local communities was set up during

In interacting with local experts and decision-making authorities, all the elements needed to

The building of the strategy started with adopting the Vision / Mission / Fundamental

The Vision identifies what local authorities and stakeholders will value most about the


community. Example of Vision phrases suggested to local authorities were:


the County Environmental Protection Agency and the Local Environmental Guard.

**10. Implementation of the selected options** 

similar products of other areas.

the Project.

Values.

**11. Sustainable community strategy** 


beauty of the surrounding landscape"

set up a sustainable strategy for the community were detailed.

confirm the importance of Wenger's "communities of practice" [13].




Based upon the mentioned aggregate scores, a short list of options emerged (Table 4).


## **10. Implementation of the selected options**

280 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Ethanol from potatoes

Building a sport and entertainment park


and an encouraging business environment and an articulated marketing policy; - There are some domains not covered by local specialists: marketing, economists familiar with EU funding, ecologists, etc. This should be a signal of concern for highschools and universities, to pay attention to real needs of communities and adapt their



the good of all the community.

8.7 Helps local decision factors, specialists, SMEs to act coherently for

8.4 In line with the 20/20/20 targets of EU. Tries to find knowledgebased, efficient solutions to the energy sector, at the community

7.4 The SWOT has shown deficit in understanding and preventing

6.9 A social problems for hundred of thousands of families in Romania

6.8 Needs expertise and extended work for setting up the application

development decoupled from the use of resources

knowledge and some savings that could be of great help for the community;

Based upon the mentioned aggregate scores, a short list of options emerged (Table 4).

3. Recycling domestic waste 8.1 Adds value to waste and implements the requirements of

for the trade mark

7.3 Important social consequences

environmental aggression.

**No. Option Score Remarks** 

**Table 4.** The shortlist of development options for local communities

scale

**activities Social Cohesion Institutional** 

Building a new Commune centre, a Museum of ethnography

**framework** 

Local e-governance

 **Infrastructure Profit generating** 

**Table 3.** Classification of options for community development

Wind energy park

Micro hydropower installations

curricula accordingly;

1. Devising the sustainable strategy for the communes

4. Local companies should hire local people first

5. Increase environmental

6. Assisting families having members working abroad

7. Trade marks for local

2. Promoting the use of renewables as energy

sources

awareness

products

get more involved in the social life).

**D options**  A-options have been adopted by local authorities and institutions and will be implemented in the near future. Their implementation does not need the help of the Project Coordinator.

The many business ideas (especially C-options) will constitute the priority for future business development in the area because they are generated and endorsed by local specialists and managers and, as the analyses carried out during the project, they are sustainable solutions for the problems in the communities. Working together for their implementation will test the value of the approach used to generate such options and confirm the importance of Wenger's "communities of practice" [13].

Option 5 needs a special training programme that will be devised by local specialists, teachers, retired experts, in order to identify and centralize all the environmental problems that confront each community, to analyze their consequences and to increase the awareness of local people. It is important that discussions should take place in the months to come with the County Environmental Protection Agency and the Local Environmental Guard.

Option 6 represents a very tough issue though its solution could be simple. Co-operation with County Authorities and with Child Protection Institutions is needed. Local families without children or single people have expressed their availability to take care of the children left alone by parents working in Spain, Italy or elsewhere but, though the problem is pressing (at national level several cases of suicides were recorded) all arrangements need a detailed case-by-case auditing and a formal, legal approval of child protection authorities.

Option 7 is the task of local experts that know best what differentiate local products from similar products of other areas.

In the subsequent paragraphs, the implementation of Options 1, 2, and 3 will be detailed.

## **11. Sustainable community strategy**

The paragraph details how the sustainable strategy of local communities was set up during the Project.

In interacting with local experts and decision-making authorities, all the elements needed to set up a sustainable strategy for the community were detailed.

The building of the strategy started with adopting the Vision / Mission / Fundamental Values.

The Vision identifies what local authorities and stakeholders will value most about the community. Example of Vision phrases suggested to local authorities were:


A Mission Statement defines what should be the community primary objective. Its prime function is internal and its prime audience, the community leaders and community representative people. The Mission Statement communicates what the local community represents and how would it contribute to its welfare.

Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize 283

specific matters but the majority of them could probably be added to the list of operational

*Vision-Mission, Destination Statement*

Add value to traditional habits, products, services, landscape, historical heritage

Business community to invest, apply corporate social responsibility

Conserving, reconstructing the social bond The Church to contribute to reduce criminal deviances

Support elderly, helpless, people in need, children left alone by parents gone to work abroad

*Economic Social Environmental*

**3 pillars of sustainable development**

Such a structure of the strategic map commits the experts and the policy makers at the community level to address all the essential aspects of their community, its structure, its connections, its capabilities and its future, but also the 3 factors that should be considered in

Once they chose to organize their strategic objectives in this way, these objectives must fill in every cell, in order to show the dedication of local decision makers to set up a comprehensive strategy that covers all the issues. Also, they must be relevant and make

Filling in just a page, the map is a powerful vector for communicating the strategy, the intentions of local community representatives to all stakeholders, to all interested persons or organizations. It constitutes the most visible part of the strategy, submitted to public

Benefits from waste Green community

Cooperation and common, focused action for a better environment

Decoupling development from resources.

Awareness

objectives.

*Budget*

*Internal processes* 

*Learning & growth* 

any sustainable development process.

sense for the local people, answer to their expectations.

Implementing the strategy calls for hard work directed to:

*Stakeholders* Public-private

Adding value to local resources Absorbing EU and similar funds

partnerships

Identify and develop local expertise Motivate local skilled people to stay and work in the community

Continual education. e-Governance

**Table 5.** Strategic map with examples of objectives for sustainable development.

**Perspectives** 

scrutiny.

Example: "We promote innovative and responsible initiatives that:


The Fundamental Values of the Strategy (a "Constitution" of the commune) must come from what elderly people and PAB believe are the most important values (old, cherished, respected, shared by all)

The strategic objectives must come out from the SWOT and subsequent analyses and must be accepted by the majority of the local people.

Contribution and critics are more than welcome at this stage, in order to set up a list of objectives understood by all community representatives in the Project.

Strategic objectives must address the three pillars of sustainable development (economic, environmental, and social) and also be aligned to the 4 perspectives that constitute the horizon of local communities:


These four perspectives have been taken from the celebrated *Balanced Scorecard* developed by Kaplan and Norton [24], completed to take into account the three pillars of sustainable development. Such an approach leads to a specific structure of the associated strategy map, illustrated in Table 5.

At the intersection of lines with columns one will find in each cell one or more strategic objectives for the sustainable development of the community. Table 5 already includes some examples of strategic objectives but the final ones will be devised by local communities, after intense consultation and interaction with the local people.

Arrows may be added to the map in Table 5, interconnecting objectives and showing how one issue determines the fulfilment of another.

Also, a system of classification can be adopted (e.g., 1 to 5 stars) and mentioned in the strategic map, denoting how important a strategic objective is.

It was stressed that the number of strategic objectives should be kept at a minimum possible (15-25). Of course, a community could have more than 25 objectives, addressing more specific matters but the majority of them could probably be added to the list of operational objectives.

282 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

represents and how would it contribute to its welfare.

2. Will protect the environment for future generations; 3. Will encourage co-operation with our neighbours;

be accepted by the majority of the local people.

3. The internal processes and capabilities perspective;

intense consultation and interaction with the local people.

strategic map, denoting how important a strategic objective is.

one issue determines the fulfilment of another.

4. The learning and growth perspective.

respected, shared by all)

horizon of local communities: 1. The Budget perspective; 2. The Stakeholders perspective;

illustrated in Table 5.

Example: "We promote innovative and responsible initiatives that:

1. Will generate new economic opportunities based upon our heritage;

4. Will respect and value the dignity of elderly and helpless people.

objectives understood by all community representatives in the Project.

A Mission Statement defines what should be the community primary objective. Its prime function is internal and its prime audience, the community leaders and community representative people. The Mission Statement communicates what the local community

The Fundamental Values of the Strategy (a "Constitution" of the commune) must come from what elderly people and PAB believe are the most important values (old, cherished,

The strategic objectives must come out from the SWOT and subsequent analyses and must

Contribution and critics are more than welcome at this stage, in order to set up a list of

Strategic objectives must address the three pillars of sustainable development (economic, environmental, and social) and also be aligned to the 4 perspectives that constitute the

These four perspectives have been taken from the celebrated *Balanced Scorecard* developed by Kaplan and Norton [24], completed to take into account the three pillars of sustainable development. Such an approach leads to a specific structure of the associated strategy map,

At the intersection of lines with columns one will find in each cell one or more strategic objectives for the sustainable development of the community. Table 5 already includes some examples of strategic objectives but the final ones will be devised by local communities, after

Arrows may be added to the map in Table 5, interconnecting objectives and showing how

Also, a system of classification can be adopted (e.g., 1 to 5 stars) and mentioned in the

It was stressed that the number of strategic objectives should be kept at a minimum possible (15-25). Of course, a community could have more than 25 objectives, addressing more


**Table 5.** Strategic map with examples of objectives for sustainable development.

Such a structure of the strategic map commits the experts and the policy makers at the community level to address all the essential aspects of their community, its structure, its connections, its capabilities and its future, but also the 3 factors that should be considered in any sustainable development process.

Once they chose to organize their strategic objectives in this way, these objectives must fill in every cell, in order to show the dedication of local decision makers to set up a comprehensive strategy that covers all the issues. Also, they must be relevant and make sense for the local people, answer to their expectations.

Filling in just a page, the map is a powerful vector for communicating the strategy, the intentions of local community representatives to all stakeholders, to all interested persons or organizations. It constitutes the most visible part of the strategy, submitted to public scrutiny.

Implementing the strategy calls for hard work directed to:


Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize 285

environment, obstructs streams and cause floods or landslides. The sawdust modifies the Carbon/Nitrogen balance in waters and soil and induces modifications in the

During the Project, an opportunity for funding was identified, from a Norwegian Fund. With Norwegian help, a local company acquired a second-hand truck with a special crane that collects wooden waste from remote places. Local specialists managed to repair the equipment and put it back in operation, in excellent conditions. Thus, local competences helped local company to expand and add value to waste, a rather new business in the area. In addition, it solves an important environmental problem and reinserts in the economic chain a valuable resource (firewood), saving important quantities of virgin resources (wood

Appreciations came from HE the Norwegian Ambassador in Romania who visited the area.

Total Jul 2010-Jun 2011 5659

The benefits generated by using wooden waste as fire wood or for producing briquettes

**Characteristics Value Units** 

Biomass as a fuel is a sustainable solution for the energy balance of local communities.

Total biomass collected 4527.2 Tons Virgin resources saved (forests) 26 ha Main briquette characteristics: Higher Calorific Value 4443 kcal/kg VOC content 80.3 g/kg Sulphur 0.02 g/kg Ash (may be used as fertilizer) 0.43 g/kg Fossil fuel replaced (spared): Methane 536 Tons

Jul 2010 451 Aug 315 Sep 544 Oct 1004 Nov 519 Dec 437 Jan 2011 184 Feb 381 Mar 569 Apr 290 May 694 Jun 271

microorganism population, alters the quality of surface and ground waters.

Table 6 centralizes the volume of wooden waste collected in 12 months.

is the main source of energy for local communities).

**Table 6.** Wooden waste collected, m3 (July 2010 – June 2011).

from sawdust, at a local manufacturing unit are shown in Table 7.


If need be, some of these elements could be confidential or made available to a limited number of people (e.g., stipulations of some public-private contracts).

Each strategic objective should be accompanied by one or more key performance indicators (KPIs).

Devising a list of KPIs constitutes the most difficult and delicate operation in the implementation of the strategy. They form the metrics of the strategy, the essential tools for evaluating how progress is made.

For a sound system of KPIs:


KPIs must be accompanied by transparent targets and deadlines in order to assess the progress or the flaws in the strategy.

Examples of KPIs:


A final form of the community strategy will be produced by local authorities after consulting and interacting with all stakeholders.

## **12. Promoting the use of renewables as energy sources**

The paragraph illustrates the implementation of one sustainable development option, based on local resources and expertise and addressing the energy domain. Forest people and timber producing companies in the Suceava County generate huge amounts of wooden waste (trunks with no economic value, branches, bark, and sawdust). The local Forest Authority asked for help from local companies to solve the problem of wooden waste left in forests, along the rivers, roads, etc. This waste currently alters the state of the local environment, obstructs streams and cause floods or landslides. The sawdust modifies the Carbon/Nitrogen balance in waters and soil and induces modifications in the microorganism population, alters the quality of surface and ground waters.

During the Project, an opportunity for funding was identified, from a Norwegian Fund. With Norwegian help, a local company acquired a second-hand truck with a special crane that collects wooden waste from remote places. Local specialists managed to repair the equipment and put it back in operation, in excellent conditions. Thus, local competences helped local company to expand and add value to waste, a rather new business in the area. In addition, it solves an important environmental problem and reinserts in the economic chain a valuable resource (firewood), saving important quantities of virgin resources (wood is the main source of energy for local communities).

Appreciations came from HE the Norwegian Ambassador in Romania who visited the area.


Table 6 centralizes the volume of wooden waste collected in 12 months.

284 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management



number of people (e.g., stipulations of some public-private contracts).


If need be, some of these elements could be confidential or made available to a limited

Each strategic objective should be accompanied by one or more key performance indicators

Devising a list of KPIs constitutes the most difficult and delicate operation in the implementation of the strategy. They form the metrics of the strategy, the essential tools for



KPIs must be accompanied by transparent targets and deadlines in order to assess the

A final form of the community strategy will be produced by local authorities after

The paragraph illustrates the implementation of one sustainable development option, based on local resources and expertise and addressing the energy domain. Forest people and timber producing companies in the Suceava County generate huge amounts of wooden waste (trunks with no economic value, branches, bark, and sawdust). The local Forest Authority asked for help from local companies to solve the problem of wooden waste left in forests, along the rivers, roads, etc. This waste currently alters the state of the local


accomplishment of a given strategic objective;


evaluating how progress is made.

available at the community level;


consulting and interacting with all stakeholders.

progress or the flaws in the strategy.



**12. Promoting the use of renewables as energy sources** 

For a sound system of KPIs:

waste);

Examples of KPIs:



(KPIs).

**Table 6.** Wooden waste collected, m3 (July 2010 – June 2011).

The benefits generated by using wooden waste as fire wood or for producing briquettes from sawdust, at a local manufacturing unit are shown in Table 7.

Biomass as a fuel is a sustainable solution for the energy balance of local communities.



Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize 287

figure in August 2012, 35 times more than the national recycling rate (1%). Currently,

6 communes (13 villages) in the focal area They produce approx 2000 m3/month domestic

waste. At 150kg/m3

of 54000 Euro/yr.

90000Euro/yr

of baled waste).

Environmental benefits At least 540 tons waste diverted from landfill

Mar 4673 29290 1420 35383 Arrangements made with a metal recycler Apr <sup>6099</sup> 50680 2525 <sup>467</sup> <sup>59771</sup> A plastic sheet recycler was identified. More

Table 9 illustrates continual efforts by local specialists and managers to diversify, to identify new smart and simple sources for adding value to the collected waste. In some cases efforts are still on the way (e.g., glass, textiles) because either the recycling infrastructure in Romania cannot process some kind of waste, either the recycler is too far from the focal area (transportation costs are too high). This leaves the door open for local managers to start or

expand their businesses, to value locally the recycled waste available.

**sheet Metal TOTAL Remarks** 

Social benefits 5 new jobs, healthier environment

density, this means 3600 tons/yr

Sorted waste can be sold, leading to an income

Communities save 36000 Euro taxes and earn 54000 Euro from selling sorted waste =

The local company that sorts and bales the waste earns extra 104000 Euro/yr (300 Euro/ton

and reinserted in the value chain

added value to collected plastic

value to PET waste collected

Starting with May 2011 PET are segregated in "white" and "coloured", adding supplementary

monthly recycling rates are 30-34%.

If 15% of the collected domestic waste is not sorted and segregated, communities have to

If minimum 15% of waste is sorted, 36000 Euro

**Table 8.** Benefits from recycling domestic waste.

Feb 7360 16580 23940

May 2420 55020 920 1470 59830

Jun 42760 57340 22462 4540 127102

**Table 9.** Waste sent to recyclers (kg)

**and paper PET Plastic**

taxes are not paid and remain in the

for the 15% share of the amount

pay 1 Euro/m3

**Month (2011)** 

**Cardboard**

of waste sent to landfill

Community budget

**Table 7.** Benefits of wooden waste reinsertion in the economic cycle.

## **13. Recycling domestic waste**

In Romania, only some 1% of the collected domestic waste is recycled (compare to EU level: 25- 28%). The paragraph illustrates how a sensitive issue was sorted out during the Project, based on local ideas, resources and expertize. During the implementation phase of the Project, a second-hand waste sorting station (manufactured in 1980) and a baler were identified and bought by a local company. The equipment needed capital repair and maintenance to become operational again but this was done by using the skills and ability of local specialists. It is worth noting that the mentioned equipment was the first of its kind in the area but repairing and maintaining has been carried out smoothly by local skilled technicians. Using the sorting station and the baler, domestic waste collected from the focal area (6 communes in the initial phase, 11 communes at the end of the Project) was sorted and prepared to be taken by recyclers.

Detailed discussions with local managers led to a modern solution of "upcycling" some of the waste (PET bottles) to fibres, instead of "downcycling" (incineration or conversion to lower quality goods).

Table 8 presents the benefits of recycling the domestic waste, in a public-private partnership, a novel approach for the focal area but a sound option in the view of the Europe 2020 strategy.

Table 9 shows the amounts of waste sent to recyclers in the first half of 2011.

The efforts of identifying funds, equipment, retrofitting it, starting a new business are rewarding, as Table 9 illustrates.

In addition, a simple benchmarking operation pointed out that the recycling rate of domestic waste in the focal area was not 15% but increased steadily and attained a 35% figure in August 2012, 35 times more than the national recycling rate (1%). Currently, monthly recycling rates are 30-34%.



286 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Social benefits: Jobs created 26

Benign CO2 generated by burning 4527.2 tons biomass replaces the CO2

**Table 7.** Benefits of wooden waste reinsertion in the economic cycle.

**13. Recycling domestic waste** 

lower quality goods).

rewarding, as Table 9 illustrates.

strategy.

Lignite (1.5%S; 25% Ash) 1184 Tons Fuel oil 688 Tons

generated by the following amounts of fossil fuels: Methane 1524.31 Tons coal (lignite) 3352.39 Tons fuel oil 1946.7 Tons SOx from 4527.2 tons biomass 0.064 Tons SOx from equivalent coal (lignite) 35.52 Tons SOx from equivalent fuel oil (0.5% S) 6.88 Tons Ash from equivalent lignite (to landfill) 296 Tons Ash from equivalent fuel oil (to landfill) 13.76 Tons

Cost of 1 Gcal produced by burning biomass 50 Euro Cost of 1 Gcal produced in power plants and delivered in the heating system 60-150 Euro

In Romania, only some 1% of the collected domestic waste is recycled (compare to EU level: 25- 28%). The paragraph illustrates how a sensitive issue was sorted out during the Project, based on local ideas, resources and expertize. During the implementation phase of the Project, a second-hand waste sorting station (manufactured in 1980) and a baler were identified and bought by a local company. The equipment needed capital repair and maintenance to become operational again but this was done by using the skills and ability of local specialists. It is worth noting that the mentioned equipment was the first of its kind in the area but repairing and maintaining has been carried out smoothly by local skilled technicians. Using the sorting station and the baler, domestic waste collected from the focal area (6 communes in the initial phase, 11

communes at the end of the Project) was sorted and prepared to be taken by recyclers.

Table 9 shows the amounts of waste sent to recyclers in the first half of 2011.

Detailed discussions with local managers led to a modern solution of "upcycling" some of the waste (PET bottles) to fibres, instead of "downcycling" (incineration or conversion to

Table 8 presents the benefits of recycling the domestic waste, in a public-private partnership, a novel approach for the focal area but a sound option in the view of the Europe 2020

The efforts of identifying funds, equipment, retrofitting it, starting a new business are

In addition, a simple benchmarking operation pointed out that the recycling rate of domestic waste in the focal area was not 15% but increased steadily and attained a 35%

**Characteristics Value Units** 


**Table 9.** Waste sent to recyclers (kg)

Table 9 illustrates continual efforts by local specialists and managers to diversify, to identify new smart and simple sources for adding value to the collected waste. In some cases efforts are still on the way (e.g., glass, textiles) because either the recycling infrastructure in Romania cannot process some kind of waste, either the recycler is too far from the focal area (transportation costs are too high). This leaves the door open for local managers to start or expand their businesses, to value locally the recycled waste available.

## **14. Conclusions**

The study showed the great potential of small community development based upon ideas, skills and efforts of the same communities, without waiting for miracle panacea from Central Authorities.

Knowledge-Based Development in Small Communities – Efficient Management Based on Local Expertize 289

[3] Europe 2020 (2010), A European Strategy for Smart, Sustainable and Inclusive Growth,

[4] Carillo, F.J., Batre S., (2012), "Understanding and Measurement: Perspectives on the Evolution of Knowledge-Based Development", International Journal of Knowledge-

[5] Tan Yigitcanlar (2011), "Position Paper: Redefining Knowledge-Based Urban Development", International Journal of Knowledge-Based Development, 2(4): 340-356. [6] Shrestha, K.K. and Z. Mahjabeen (2011), "Civic Science, Community Participation and Planning for Knowledge-Based Development: Analysis of Sydney Metropolitan Strategy", International Journal of Knowledge-Based Development, 2(4): 412-432. [7] Badenhorst, Anne and Charlotte Scarf (2011), "Local action to support knowledgebased development", International Journal of Knowledge-Based Development, 2(3):

[8] Mansell, R. et al (1999), "Opportunities for Knowledge-Based Development: Capabilities, Infrastructure, Investment and Policy", Science and Public Policy, 26(2):

[9] Metaxiotis, K et al., "Knowledge-Based Development for Cities and Societies: Integrated Multi-Level Approaches", IGI Global (2010). Online book chapters available at

[10] Bandyopadhyay, S.(2009), "Knowledge-Based Economic Development: Mass Media and the Weightless Economy", The Toyota Centre, Suntory and Toyota International Centres for Economics and Related Disciplines, London School of Economics, available

[11] Gudes, O. et al.(2011), "Using a Knowledge-Based Approach: the Way Healthy Communities Make Decisions", Queensland University of Technology, Brisbane, available at http://eprints.qut.edu.au/46539/1/KCWS\_2011\_Proceeding\_Gudess.pdf ,

[12] Becca, A. et al (2006), "The New Fundamentals in Planning for Local Economic Development: Knowledge-Based Communities", Georgia Institute of Technology, available at http://www.pled.gatech.edu/pages/PLED\_Report/2006/PLED\_Knowledge-

[13] Wenger, E., "Community of Practice – A Brief Introduction", available at

[15] "Our Common Future" (1987), available at http://www.un-documents.net/wced-

http://www2.harrow.gov.uk/mgConvert2PDF.aspx?ID=63118&J=1 accessed March 5,

http://www.igi-global.com/book/knowledge-based-development-cities-

at http://sticerd.lse.ac.uk/dps/darp/DARP74.pdf accessed April 15, 2012.

Based\_Communities\_-\_Fall\_2006.pdf , accessed April 15, 2012.

[16] Harrow Core Strategy Preferred Options (2006), available at

http://www.ewenger.com/theory/index.htm , accessed April 15, 2012. [14] Sen, A (1983), "Which Way Now?", Economic Journal, Vol. 93(372): 745-762.

societies/37271&f=e-book, accessed April 15, 2012.

http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2010:2020:FIN:EN:PDF ,

Communication from the Commission. Available at

accessed March 5, 2012.

316-333.

91–100.

accessed April 15, 2012.

ocf.htm, accessed March 5, 2012.

2012.

Based Development, 3(1): 1-16.

Knowledge-based development means a lot more than looking for and implementing last minute cutting-edge technologies. It means working together with local people, evaluating their problems, looking for local, up-to-date, smart and efficient solutions that contribute to the well-being of communities. The role of external facilitators (the Project coordinator, in this study) is to provoke a substantial dialogue, to suggest possible solutions, to assess the efficiency of the solutions generated, to mobilize all local specialists, to help finding financial support, to smoothen communication and co-operation among stakeholders.

Apart of some material successes (35% recycle rate of local domestic waste, 31 new jobs, more than 4500 tons of biomass reinserted in the value chain, saving the equivalent amounts of fossil fuels, etc.), the project generated the lines for future development of the communities:


The project underlined the need of meticulous, in-depth work and co-operation of all stakeholders, of all those called to implement the generous objectives like those in the Europe 2020 Strategy and proves that innovation should not be limited to high-speed, efficient electric cars, IT stuff or high-yield solar panels. The approach of implementing the Europe 2020 Strategy should also be innovative and original in what regards commitment, organization, resources used, and human touch.

## **Author details**

Cristian Teodorescu, Lucian Constantin, Margareta Nicolau, Aurelia Ballo and Cristiana Cosma *INCD-ECOIND, Sector 6, Bucharest, Romania* 

## **15. References**


[3] Europe 2020 (2010), A European Strategy for Smart, Sustainable and Inclusive Growth, Communication from the Commission. Available at http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2010:2020:FIN:EN:PDF , accessed March 5, 2012.

288 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

support, to smoothen communication and co-operation among stakeholders.

most suitable for the resources and know-how existing in the area; - A framework of cooperation and dialogue, essential for future replication.

The study showed the great potential of small community development based upon ideas, skills and efforts of the same communities, without waiting for miracle panacea from

Knowledge-based development means a lot more than looking for and implementing last minute cutting-edge technologies. It means working together with local people, evaluating their problems, looking for local, up-to-date, smart and efficient solutions that contribute to the well-being of communities. The role of external facilitators (the Project coordinator, in this study) is to provoke a substantial dialogue, to suggest possible solutions, to assess the efficiency of the solutions generated, to mobilize all local specialists, to help finding financial

Apart of some material successes (35% recycle rate of local domestic waste, 31 new jobs, more than 4500 tons of biomass reinserted in the value chain, saving the equivalent amounts of fossil fuels, etc.), the project generated the lines for future development of the


The project underlined the need of meticulous, in-depth work and co-operation of all stakeholders, of all those called to implement the generous objectives like those in the Europe 2020 Strategy and proves that innovation should not be limited to high-speed, efficient electric cars, IT stuff or high-yield solar panels. The approach of implementing the Europe 2020 Strategy should also be innovative and original in what regards commitment,

http://europa.eu/legislation\_summaries/education\_training\_youth/general\_framework/

[2] Lisbon Strategy Evaluation Document Commission Staff Working Document (2010), Available at http://ec.europa.eu/europe2020/pdf/lisbon\_strategy\_evaluation\_en.pdf ,

**14. Conclusions** 

Central Authorities.

communities:

**Author details** 

**15. References** 



organization, resources used, and human touch.

Margareta Nicolau, Aurelia Ballo and Cristiana Cosma

Cristian Teodorescu, Lucian Constantin,

*INCD-ECOIND, Sector 6, Bucharest, Romania* 

[1] The Lisbon Strategy (2000), available at

accessed March 5, 2012.

c10241\_en.htm accessed March 5, 2012.

	- [17] Zer0 (2009), EU Zero Outflow Community Project: http://www.zer0-m.org/ accessed March 5, 2012.

**Chapter 13** 

© 2012 Daddi et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Daddi et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**Industrial Clusters and Environmental** 

The "territorial approach" to Environmental Management began in the European context at the end of the Nineties [1, 2, 3]. These experimentations showed the possibility of a new application of the EMAS (Reg. EC/761/2001, modified today in the EC/1221/2009) requirements to territorial contexts in which many similar SMEs are "aggregated", and not only to a single organization or productive site. This interpretation lead to applications in industrial areas (a group of industrial companies located in a limited and constraintable

This wider applicability of EMAS gave the possibility of considering the Regulation a new available policy tool able to integrate the environmental managerial needs of enterprises (and in particular SMEs, suffering of a lack of human, technical and economic resources for the application of an Environmental Management System) and the interest of a Local Government to improve the environmental performances of a governed area [1, 5, 6, 7, 8, 9]. The adoption of EMSs represents a relevant opportunity for SMEs facing with challenges of globalization processes and the increased (and increasing) social attention and sensitiveness towards environmental protection [10, 11, 12]; on the other side, a new approach to territorial management is needed to overcome the limits showed by the traditional policy

tools available for Local Governments, such as the Agenda 21 Local processes [13].

In this perspective, a "territorial" approach based on EMAS can be considered as a new opportunity to integrate industrial, territorial and environmental policies; in particular, this approach gains a great importance if we consider specific territorial and productive systems, known as *industrial clusters1 and districts*. These contexts are characterized by the presence of

1 Clusters have been officially defined by the Final Report of European Commission Export Group on enterprise clusters and network as follows: "*groups of independent companies and associated institutions that are collaborating and* 

Massimo Battaglia, Tiberio Daddi and Francesco Testa

area), but was not applicable as such to a wider territorial cluster [3, 4].

Additional information is available at the end of the chapter

**Management** 

http://dx.doi.org/10.5772/45886

**1. Introduction** 


## **Industrial Clusters and Environmental Management**

Massimo Battaglia, Tiberio Daddi and Francesco Testa

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45886

## **1. Introduction**

290 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

[19] Chichester Sustainable Community Strategy, available at

[22] The Water Framework Directive (2000), available at

[25] Sustainable Consumption in a Time of Crisis (2012),

March 5, 2012.

College, Hyderabad.

March 5, 2012

March 5, 2012.

March 5, 2012.

15, 2012.

Management, 3(7):1-10.

5, 2012

[17] Zer0 (2009), EU Zero Outflow Community Project: http://www.zer0-m.org/ accessed

[18] Bejakovic, P (2005), "How Prepared is Croatia for a Knowledge Based Society" Zagreb.

[20] Bhargava, P.M., (2009), "How to Make India a Knowledge Based Society?" Furqan

[21] Moldoveanu, G. and Dobrin C.(2008), Theoretical and Empirical Researches in Urban

http://ec.europa.eu/environment/water/water-framework/index\_en.html, accessed

[23] Zer0 (2009), EU Zero Outflow Community Project: http://www.zer0-m.org/ accessed

[24] The Balanced Scorecard Institute (2012), http://www.balancedscorecard.org/ accessed

http://www.clickgreen.org.uk/analysis/business-analysis/123320-europe-looks-to-break-

[26] Life Cycle Thinking and Assessment (2012), http://lct.jrc.ec.europa.eu/ accessed April

cycle-of-unsustainable-consumption.html , Accessed March 17, 2012.

http://www.chichesterinpartnership.org.uk/index.cfm?articleid=9287 , accessed March

The "territorial approach" to Environmental Management began in the European context at the end of the Nineties [1, 2, 3]. These experimentations showed the possibility of a new application of the EMAS (Reg. EC/761/2001, modified today in the EC/1221/2009) requirements to territorial contexts in which many similar SMEs are "aggregated", and not only to a single organization or productive site. This interpretation lead to applications in industrial areas (a group of industrial companies located in a limited and constraintable area), but was not applicable as such to a wider territorial cluster [3, 4].

This wider applicability of EMAS gave the possibility of considering the Regulation a new available policy tool able to integrate the environmental managerial needs of enterprises (and in particular SMEs, suffering of a lack of human, technical and economic resources for the application of an Environmental Management System) and the interest of a Local Government to improve the environmental performances of a governed area [1, 5, 6, 7, 8, 9]. The adoption of EMSs represents a relevant opportunity for SMEs facing with challenges of globalization processes and the increased (and increasing) social attention and sensitiveness towards environmental protection [10, 11, 12]; on the other side, a new approach to territorial management is needed to overcome the limits showed by the traditional policy tools available for Local Governments, such as the Agenda 21 Local processes [13].

In this perspective, a "territorial" approach based on EMAS can be considered as a new opportunity to integrate industrial, territorial and environmental policies; in particular, this approach gains a great importance if we consider specific territorial and productive systems, known as *industrial clusters1 and districts*. These contexts are characterized by the presence of

<sup>1</sup> Clusters have been officially defined by the Final Report of European Commission Export Group on enterprise clusters and network as follows: "*groups of independent companies and associated institutions that are collaborating and* 

a large number of SMEs operating in the same productive sector and characterized by specific technical and social relationships among private and public actors. The cluster "organizational structure" and entrepreneurial culture is characterized by the presence of systematic business and non-business relations among the local actors, sharing technical solutions for integrating the processes and technologies in a common value vision [14, 15, 16, 17, 18, 19]. Also in an "environmental management" perspective, within these territorial agglomerations the high concentration of similar pollutant production processes of industrial activities causes similar and increasing environmental problems: firms in an industrial cluster, because of operating in the same sector, affect in a cumulative way the same local ecosystem, get environmental pressures on the same targets, and interact with the same local communities and authorities. In order to limit and efficiently manage their impacts, enterprises (mostly SMEs) operating in industrial clusters tend to cooperate strictly amongst themselves and with the other local stakeholders (local authorities, local trade associations, and other local intermediary institutions) [1, 3, 20, 21, 22].

Industrial Clusters and Environmental Management 293

coordination among the different local actors. The Promotion Committee identifies the priorities, the main actions for the improvement and the possible ways of their implementation; it should express the main public and private interests existing in the cluster. The members of the Committee should be the representatives of all the relevant public bodies involved in the environmental regulation and control (such as the Local Government carrying out territorial planning and local Agencies for the Environmental Protection) and the representatives of SMEs operating in the local productive sector (such as trade associations or local consortia of enterprises), legitimated to act on their behalf as a whole. The Committee should fix specific rules concerning, at least, the appointment of its members, the decision making process and the organisational rules guaranteeing the active role of the Committee. These rules should be formalized in a voluntary agreement signed by

The second step consists in carrying out a *Cluster Environmental Review* by the Promotion Committee. It should represent a useful tool for SMEs operating in the cluster, to support them in the identification of the environmental aspects that are important for them. represent a useful tool for SMEs operating in the cluster, to support them in the identification of the environmental aspects that are important for them. An effective and satisfying Cluster Environmental Review should provide a thorough and in-depth description of the cluster territorial area, both from a geo-morphological point of view and from a socio – economic one, identify the main environmental problems of the area, analyse the local production processes, evaluate all the environmental aspects directly and indirectly linked with each phase of these processes, and, finally, provide an overall picture of the projects and initiatives carried out up to that time. The evaluation process aims at identifying the main critical environmental aspects characterizing the cluster area and measuring the contribution of the characterizing productive sector in terms of pressure exerted on the environment. From this point of view it's important to focus on the role of the Promotion Committee in fixing the criteria for evaluating the local environmental aspects and establishing the weight of each one in the final algorithm. Because of this, the evaluation process is the result of a multicriteria analysis [25, 26], in which the opinions of the participants of the Promotion Committee can influence significantly the final result and the

The following step in the "cluster approach" to environmental management concerns the drafting of a *Cluster Environmental Policy* that includes the commitment of all the main local actors towards the continuous improvement of the environmental performances within the cluster. This Policy is developed by the Promotion Committee and has to be strictly consistent with the territorial and sectorial contexts and based on the results emerged by the previous evaluation process. The Cluster Environmental Policy is the milestone for all the environmental actions to be carried out in the cluster, and the point of reference for the policies to be drafted by every company operating in the cluster interested to contribute to these actions. On the basis of the Environmental Policy, a *Cluster Environmental Programme* is subsequently elaborated by the Promotion Committee. The Programme details the commitments for carrying out strategic actions for environmental improvement in the

the members of the Committee.

following planning phase.

On the basis of these premises, a new model of diffusion of voluntary management tools has been developed (named cluster approach), involving also (but not only) the environmental dimension [23, 24]. Specifically, in this contribution the proposed methodology fosters a cooperative and integrated approach for environmental management at the cluster level, based on the relationships existing between territorial environmental performances and proximity between firms and other local actors and stakeholders. This approach encompasses the implementation of the different steps foreseen by the EMAS Regulation at the cluster level [3, 4]; in particular the foreseen phases are the following:


The first step concerns the *creation of a Promotion Committee*, able to co-ordinate and integrate environmental issues within the cluster. This Committee must favor the synergies and

*competing; geographically concentrated in one or several regions, even though the cluster may have global extensions, specialized in a particular field, linked by common technologies and skills, either science-based or traditional; clusters can be either institutionalized (they have a proper cluster manager) or non-institutionalized. The cluster has a positive influence on: innovation and competitiveness, skill formation and information and growth and long-term business dynamics".*

coordination among the different local actors. The Promotion Committee identifies the priorities, the main actions for the improvement and the possible ways of their implementation; it should express the main public and private interests existing in the cluster. The members of the Committee should be the representatives of all the relevant public bodies involved in the environmental regulation and control (such as the Local Government carrying out territorial planning and local Agencies for the Environmental Protection) and the representatives of SMEs operating in the local productive sector (such as trade associations or local consortia of enterprises), legitimated to act on their behalf as a whole. The Committee should fix specific rules concerning, at least, the appointment of its members, the decision making process and the organisational rules guaranteeing the active role of the Committee. These rules should be formalized in a voluntary agreement signed by the members of the Committee.

292 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

associations, and other local intermediary institutions) [1, 3, 20, 21, 22].

the cluster level [3, 4]; in particular the foreseen phases are the following:

of view

a large number of SMEs operating in the same productive sector and characterized by specific technical and social relationships among private and public actors. The cluster "organizational structure" and entrepreneurial culture is characterized by the presence of systematic business and non-business relations among the local actors, sharing technical solutions for integrating the processes and technologies in a common value vision [14, 15, 16, 17, 18, 19]. Also in an "environmental management" perspective, within these territorial agglomerations the high concentration of similar pollutant production processes of industrial activities causes similar and increasing environmental problems: firms in an industrial cluster, because of operating in the same sector, affect in a cumulative way the same local ecosystem, get environmental pressures on the same targets, and interact with the same local communities and authorities. In order to limit and efficiently manage their impacts, enterprises (mostly SMEs) operating in industrial clusters tend to cooperate strictly amongst themselves and with the other local stakeholders (local authorities, local trade

On the basis of these premises, a new model of diffusion of voluntary management tools has been developed (named cluster approach), involving also (but not only) the environmental dimension [23, 24]. Specifically, in this contribution the proposed methodology fosters a cooperative and integrated approach for environmental management at the cluster level, based on the relationships existing between territorial environmental performances and proximity between firms and other local actors and stakeholders. This approach encompasses the implementation of the different steps foreseen by the EMAS Regulation at

a. set up of a *Promotion Committee*, coordinating environmental management initiatives of the different local actors and driving all planning actions at the cluster level; this must

c. definition by Committee, of a *Cluster Environmental Policy*, identifying the commitment towards the continual improvement of the environmental performances within the cluster; elaboration of a *Cluster Environmental Programme*, based on the results of the Cluster Environmental Review, containing the concrete and measurable commitments

d. promotion of collective initiatives addressed to local actors (SMEs, Local Authorities, suppliers, etc.) aimed at satisfying the commitments of the shared Programme.

The first step concerns the *creation of a Promotion Committee*, able to co-ordinate and integrate environmental issues within the cluster. This Committee must favor the synergies and

*competing; geographically concentrated in one or several regions, even though the cluster may have global extensions, specialized in a particular field, linked by common technologies and skills, either science-based or traditional; clusters can be either institutionalized (they have a proper cluster manager) or non-institutionalized. The cluster has a positive influence on: innovation* 

be representative of all the relevant public and sectorial interests of the cluster b. carrying out a *Cluster Environmental Review,* identifying and assessing the main environmental criticalities of the cluster, by a territorial, sectorial and perceptive points

for carrying out strategic and high-priority intervention for the cluster

*and competitiveness, skill formation and information and growth and long-term business dynamics".*

The second step consists in carrying out a *Cluster Environmental Review* by the Promotion Committee. It should represent a useful tool for SMEs operating in the cluster, to support them in the identification of the environmental aspects that are important for them. represent a useful tool for SMEs operating in the cluster, to support them in the identification of the environmental aspects that are important for them. An effective and satisfying Cluster Environmental Review should provide a thorough and in-depth description of the cluster territorial area, both from a geo-morphological point of view and from a socio – economic one, identify the main environmental problems of the area, analyse the local production processes, evaluate all the environmental aspects directly and indirectly linked with each phase of these processes, and, finally, provide an overall picture of the projects and initiatives carried out up to that time. The evaluation process aims at identifying the main critical environmental aspects characterizing the cluster area and measuring the contribution of the characterizing productive sector in terms of pressure exerted on the environment. From this point of view it's important to focus on the role of the Promotion Committee in fixing the criteria for evaluating the local environmental aspects and establishing the weight of each one in the final algorithm. Because of this, the evaluation process is the result of a multicriteria analysis [25, 26], in which the opinions of the participants of the Promotion Committee can influence significantly the final result and the following planning phase.

The following step in the "cluster approach" to environmental management concerns the drafting of a *Cluster Environmental Policy* that includes the commitment of all the main local actors towards the continuous improvement of the environmental performances within the cluster. This Policy is developed by the Promotion Committee and has to be strictly consistent with the territorial and sectorial contexts and based on the results emerged by the previous evaluation process. The Cluster Environmental Policy is the milestone for all the environmental actions to be carried out in the cluster, and the point of reference for the policies to be drafted by every company operating in the cluster interested to contribute to these actions. On the basis of the Environmental Policy, a *Cluster Environmental Programme* is subsequently elaborated by the Promotion Committee. The Programme details the commitments for carrying out strategic actions for environmental improvement in the cluster. Such a Programme establishes these actions at the operational level and contains the detailed planning for their implementation. The Programme should be continuously monitored, revised and updated.

Industrial Clusters and Environmental Management 295

*Coordination organism of the paper Lucca Cluster*, an NGO representative of local paper

Powers, responsibilities and functioning rules of the Committee have been fixed in an

After constituting the Promotion Committee and detailing the powers, its first action was




After the previous data and information collection, a methodology of evaluation was

These criteria were applied to the different levels of analysis, and by the integration of the

In the following paragraph a focus concerning the indicators used in the "Cluster

On the basis of the Analysis results, a Cluster Environmental Policy was defined by the Promotion Committee; this Policy has been shared by the Agenda 21 Local Forum and

On the basis of the principles fixed in the Policy, a Lucca Cluster Environmental Programme was defined by the Promotion Committee; this Programme included 17 objectives and 50

formally approved by all members of the Committee on the 24th of September 2004 .



industry and expression of the Lucca cluster development policies.

the Cluster Environmental Review; it focused on three levels of analysis:

official statute signed by all its members.

environmental performances were measured

prepared. The criteria of evaluation were the following ones:


detailed targets and was formally approved on March 2005.

results a list of significant cluster environmental aspects was drafted.

Environmental Review" and the evaluation methodology will be proposed.

The Lucca Cluster Environmental Programme specifies the following items:


Indicators)

The final step consists in the implementation of initiatives for a *Cluster Environmental Management*; in order to achieve the Programme targets and objectives, the Promotion Committee can promote and implement a number of managerial, technical and organizational initiatives addressed to local actors. These cluster initiatives should consist both in direct implementation of tools addressed to local SMEs aiming at facilitating their single adhesion to EMAS requirements, and in developing and promoting activities aiming at monitor the compliance to targets and actions detailed in the Cluster Environmental Programme. This process should be implemented such as an Environmental Management System adopted by a single organization, with an orientation to a cyclic PCDA process based on checking the planned results and on monitoring, year after year, the real improvement of the local environmental performances.

## **2. Description of the case study**

The described methodological approach was experimented in a pilot project co-financed by the European Commission (Environment GD), length 28 months and ended on February 2006, involving the Lucca paper Cluster. This project, named PIONEER project – "Paper Industry Operating in Network: an Experiment for EMAS Revision" (www.lifepioneer.info), was financed within the LIFE Action Programme. The methodology of the PIONEER project encompassed the implementation of the different steps foreseen by the EMAS Regulation at the cluster level, so to create a common basis for facing the local environmental problems and supporting all the individual organisations operating in the cluster that intended to use collective resources to achieve an individual EMAS Registration [3, 4]. The involved territorial area was the paper industrial cluster of Lucca, in the Tuscany region. This area is extended on a geographical surface of 750 km2, including the territories governed by 12 Municipalities. More than 100 companies, located in this area, operate in the local sectorial supply-chain (most of which SMEs), with a high level of aggregation, a considerable density per km2 and with an occupational capability of more than 5.000 employees. In this area, concentrating more than 80% of the Italian production of tissue paper, the industrial activities are deeply rooted in the social and institutional local context, and the production sites are mixed and integrated with many other civil, commercial, logistic, administrative and services activities.

The first step was the set up of a Promotion Committee for EMAS, aiming at designing and implementing an Environmental Management System for the paper cluster. The members of the Lucca Cluster Committee are:


 *Coordination organism of the paper Lucca Cluster*, an NGO representative of local paper industry and expression of the Lucca cluster development policies.

Powers, responsibilities and functioning rules of the Committee have been fixed in an official statute signed by all its members.

After constituting the Promotion Committee and detailing the powers, its first action was the Cluster Environmental Review; it focused on three levels of analysis:


After the previous data and information collection, a methodology of evaluation was prepared. The criteria of evaluation were the following ones:


294 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

monitored, revised and updated.

improvement of the local environmental performances.

**2. Description of the case study** 

logistic, administrative and services activities.

representative of local paper producers

the Lucca Cluster Committee are:

cluster. Such a Programme establishes these actions at the operational level and contains the detailed planning for their implementation. The Programme should be continuously

The final step consists in the implementation of initiatives for a *Cluster Environmental Management*; in order to achieve the Programme targets and objectives, the Promotion Committee can promote and implement a number of managerial, technical and organizational initiatives addressed to local actors. These cluster initiatives should consist both in direct implementation of tools addressed to local SMEs aiming at facilitating their single adhesion to EMAS requirements, and in developing and promoting activities aiming at monitor the compliance to targets and actions detailed in the Cluster Environmental Programme. This process should be implemented such as an Environmental Management System adopted by a single organization, with an orientation to a cyclic PCDA process based on checking the planned results and on monitoring, year after year, the real

The described methodological approach was experimented in a pilot project co-financed by the European Commission (Environment GD), length 28 months and ended on February 2006, involving the Lucca paper Cluster. This project, named PIONEER project – "Paper Industry Operating in Network: an Experiment for EMAS Revision" (www.lifepioneer.info), was financed within the LIFE Action Programme. The methodology of the PIONEER project encompassed the implementation of the different steps foreseen by the EMAS Regulation at the cluster level, so to create a common basis for facing the local environmental problems and supporting all the individual organisations operating in the cluster that intended to use collective resources to achieve an individual EMAS Registration [3, 4]. The involved territorial area was the paper industrial cluster of Lucca, in the Tuscany region. This area is extended on a geographical surface of 750 km2, including the territories governed by 12 Municipalities. More than 100 companies, located in this area, operate in the local sectorial supply-chain (most of which SMEs), with a high level of aggregation, a considerable density per km2 and with an occupational capability of more than 5.000 employees. In this area, concentrating more than 80% of the Italian production of tissue paper, the industrial activities are deeply rooted in the social and institutional local context, and the production sites are mixed and integrated with many other civil, commercial,

The first step was the set up of a Promotion Committee for EMAS, aiming at designing and implementing an Environmental Management System for the paper cluster. The members of

 *Lucca Province – Environmental Department*, expression of the public interests and representative of citizens; the Lucca Province was the applicant of the project, too. *Association of the Industrials in the Lucca Province*, expression of the private interests and - results of the survey about the environmental perception of local communities

These criteria were applied to the different levels of analysis, and by the integration of the results a list of significant cluster environmental aspects was drafted.

In the following paragraph a focus concerning the indicators used in the "Cluster Environmental Review" and the evaluation methodology will be proposed.

On the basis of the Analysis results, a Cluster Environmental Policy was defined by the Promotion Committee; this Policy has been shared by the Agenda 21 Local Forum and formally approved by all members of the Committee on the 24th of September 2004 .

On the basis of the principles fixed in the Policy, a Lucca Cluster Environmental Programme was defined by the Promotion Committee; this Programme included 17 objectives and 50 detailed targets and was formally approved on March 2005.

The Lucca Cluster Environmental Programme specifies the following items:

 *Objectives*: medium–term targets referred to the cluster territory, aiming at improving the Cluster most significant environmental aspects

Industrial Clusters and Environmental Management 297

defined in the first phase of the process (during the *Cluster Environmental Review*) by the Promotion Committee for evaluating the local environmental performances, and then they were inserted in the local environmental performance monitoring procedure. In the next paragraphs a particular attention will be focused on the process adopted in the PIONEER project by the Promotion Committee for selecting the indicators in the Cluster Environmental Review and for the identification of the most critical local environmental aspects (multi criteria methodology for the evaluation process); moreover a framework of environmental

The first phase of the process of adhesion to EMAS for a single organization is the occasion for evaluating the level of its impacts on environment and identifying the priorities of action in terms of improvement of environmental performances. In accordance with the EMAS Regulation requirements, in the Environmental Review each single organization has to analyze its territorial context and the environmental issues characterizing the area; moreover the single organization, for each phase of its productive process, has to identify the connected environmental aspects and to evaluate their significance on the basis of specific defined evaluation criteria. These criteria have to be objective, repeatable and they

These requirements, in the cluster approach to EMAS, can be satisfied by the application of a specific objective methodology, shared by the members of the Promotion Committee, able to interpret the environmental significant aspects from territorial and sectorial points of view

The first step of the PIONEER approach was a detailed environmental analysis of the local territorial context and subsequent selection of State indicators representative of the whole cluster area; the considered territorial aspects were**:** quality of air, water pollution, water availability, levels of wastes production, level of energy consumption, biodiversity, traffic and mobility, soil pollution, electromagnetism, noise pollution. For each aspect a specific set of performance indicators was selected; this selection was carried out by the Promotion Committee on the basis of the existing methodologies of environmental reporting and analysis (OCSE, United Nations, European Commission, Global Reporting Initiatives) [29].

Table 1 shows the territorial indicators used in the PIONEER project (with indication of the

These indicators were used by the Promotion Committee for drafting the Cluster Environmental Review; later on, in the phase of implementation of the cluster managerial activities, they were inserted in the Cluster Monitoring System (with a triennial term for

At the same time, the second level analysis started; a data collection process was implemented by the Promotion Committee with the aim of selecting a basket of sectorial

(evaluated also on the basis of the points of view of the stakeholders) [27, 28].

performances at local level measured by the selected indicators will be detailed.

**3. Focus on cluster environmental indicators** 

have to consider the views of interested parties.

environmental issue and its unit of measurement).

monitoring them).

performance indicators.


The Lucca Cluster Environmental Programme was formalized by one voluntary agreement among all the most representative actors of the cluster who will be in charge of the fulfilment of the targets and objectives.

The following step of the project regarded the implementation of initiatives for the Lucca Environmental Cluster Management System. The main actions developed during the project can be summarised as follows:


During all the previously described process, a very relevant role was represented by the definition of a basket of Cluster Key Performance Indicators; these indicators were, at first, defined in the first phase of the process (during the *Cluster Environmental Review*) by the Promotion Committee for evaluating the local environmental performances, and then they were inserted in the local environmental performance monitoring procedure. In the next paragraphs a particular attention will be focused on the process adopted in the PIONEER project by the Promotion Committee for selecting the indicators in the Cluster Environmental Review and for the identification of the most critical local environmental aspects (multi criteria methodology for the evaluation process); moreover a framework of environmental performances at local level measured by the selected indicators will be detailed.

## **3. Focus on cluster environmental indicators**

296 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

the Cluster most significant environmental aspects

in order to achieve the foreseen objectives and targets

*Timetable*: specification of the deadlines for each objective and target

actors operating in the cluster

to carry out each action

actions for each target

can be summarised as follows:

territorial cluster

public actors;

fulfilment of the targets and objectives.

industrial cluster and make it more effective

laws for the local production, etc.)

information among the local actors

*Objectives*: medium–term targets referred to the cluster territory, aiming at improving

 *Targets*: short–term targets, consistent with the objectives, that are quantified and measurable whenever possible, and clarifies the implementation responsibilities for the

*Actions and sub – actions*: the Programme design in detail the activities to be carried out

*Resources*: definition of the human, economic and technical resources that are necessary

 *Actors involved*: definition of the local actors (institutional or private ones, single companies or their consortia, etc.) that should be involved in carrying out the described

The Lucca Cluster Environmental Programme was formalized by one voluntary agreement among all the most representative actors of the cluster who will be in charge of the

The following step of the project regarded the implementation of initiatives for the Lucca Environmental Cluster Management System. The main actions developed during the project







During all the previously described process, a very relevant role was represented by the definition of a basket of Cluster Key Performance Indicators; these indicators were, at first, The first phase of the process of adhesion to EMAS for a single organization is the occasion for evaluating the level of its impacts on environment and identifying the priorities of action in terms of improvement of environmental performances. In accordance with the EMAS Regulation requirements, in the Environmental Review each single organization has to analyze its territorial context and the environmental issues characterizing the area; moreover the single organization, for each phase of its productive process, has to identify the connected environmental aspects and to evaluate their significance on the basis of specific defined evaluation criteria. These criteria have to be objective, repeatable and they have to consider the views of interested parties.

These requirements, in the cluster approach to EMAS, can be satisfied by the application of a specific objective methodology, shared by the members of the Promotion Committee, able to interpret the environmental significant aspects from territorial and sectorial points of view (evaluated also on the basis of the points of view of the stakeholders) [27, 28].

The first step of the PIONEER approach was a detailed environmental analysis of the local territorial context and subsequent selection of State indicators representative of the whole cluster area; the considered territorial aspects were**:** quality of air, water pollution, water availability, levels of wastes production, level of energy consumption, biodiversity, traffic and mobility, soil pollution, electromagnetism, noise pollution. For each aspect a specific set of performance indicators was selected; this selection was carried out by the Promotion Committee on the basis of the existing methodologies of environmental reporting and analysis (OCSE, United Nations, European Commission, Global Reporting Initiatives) [29].

Table 1 shows the territorial indicators used in the PIONEER project (with indication of the environmental issue and its unit of measurement).

These indicators were used by the Promotion Committee for drafting the Cluster Environmental Review; later on, in the phase of implementation of the cluster managerial activities, they were inserted in the Cluster Monitoring System (with a triennial term for monitoring them).

At the same time, the second level analysis started; a data collection process was implemented by the Promotion Committee with the aim of selecting a basket of sectorial performance indicators.


Industrial Clusters and Environmental Management 299

%

%

%

**Issue Selected indicators Unit of measurement** 

surface and total agricultural one %

Subterranean Water ESSW Index






vehicles %



The sector of reference was the paper one; a questionnaire concerning the environmental aspects and performances was sent to all paper firms operating in the Lucca cluster (with information concerning their emission to air, quality and quantity of their water discharges, typologies and quantities of produced wastes, water and raw materials consumptions, and so on). On the basis of the obtained answers (about 70% of sent questionnaires were compiled, representing more than 80% of the whole cluster paper production), the Promotion Committee, for each environmental aspect characterizing the paper productive

total one %

cluster rivers LIM Italian Index of quality

cluster rivers IBE Italian Index of quality










Source: Cluster Environmental Review, PIONEER project – *www.life-pioneer.info*

**Biodiversity** - Protected areas mq

**Use of soil** 

**Quality of surface water** 

**Wastes** 

**Quality of soil and subsurface** 

**Traffic and transportation** 

**Table 1.** Territorial indicators



Source: Cluster Environmental Review, PIONEER project – *www.life-pioneer.info*

**Table 1.** Territorial indicators

298 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management


















**Quality of air** 

**Noise** 

**Electromagnetism** 

Energy

**Water availability** 

**Quality of subterranean water** 

**Issue Selected indicators Unit of measurement** 


acoustic classification of the territory % of classified territory

the last three years V/m

installed in each municipality N° for each year

petrol l/ inhabitant

methane mc/ inhabitant

combustible oil kg/ inhabitant

consumptions mc/ inhabitant



monitored in the last three years <sup>μ</sup><sup>T</sup>

CO: mg/mc ; NO2: μg/mc PM10: μg/mc ; O3: μg/mc

Number per year

diurnal and nocturnal levels of dB(A) monitored

kWh/inhabitant

l/ inhabitant

N°/year

N°/year

μg/l e mg/l

*of Air Purity* % of territory with IAP < 25,5

The sector of reference was the paper one; a questionnaire concerning the environmental aspects and performances was sent to all paper firms operating in the Lucca cluster (with information concerning their emission to air, quality and quantity of their water discharges, typologies and quantities of produced wastes, water and raw materials consumptions, and so on). On the basis of the obtained answers (about 70% of sent questionnaires were compiled, representing more than 80% of the whole cluster paper production), the Promotion Committee, for each environmental aspect characterizing the paper productive

process, defined a basket of sectorial environmental performance indicators (many of these couched in terms of *coefficient of emission*). These indicators (as the territorial ones) were inserted in the monitoring plan defined by the Promotion Committee. In the following table environmental sectorial aspects and the selected indicators.

Industrial Clusters and Environmental Management 301

interested parties". Two questions addressed to citizens were used as criteria in the

Which are, in your opinion, the two most serious issues characterizing this territorial

Which are, in your opinion, the two most significant environmental issues inducted by

**Territorial section of the analysis**

National performance

**Sectorial section of the analysis**

The standards were:

performances Last three years trend of selected performance indicators


clusters in Italy and Europe]

The first question was used as evaluation criterion in the territorial section of analysis; the second one was used as measure of perception of local communities of pressures produced by paper industry on environment. After selecting the performance indicators and

performances Last three years trend of selected performance indicators

The comparison was carried out in respect to Regional and

The comparison was carried in respect to standard legislation fixed by EU Directives and national laws

environmental perception of local communities.


The question was: Which are, in your opinion, the two most serious issues characterizing this territorial area?

The indictments of citizens to Public Authorities in the last three years represented another indirect indication of


The legislative references were national and European ones

The question was: Which are, in your opinion, the two most significant environmental issues inducted by the large presence of enterprises operating in the paper industry?

significance evaluation process of cluster environmental aspects and issues:

the large presence of enterprises operating in the paper industry?

**Criterion of evaluation Description of the criterion**

area?

Intertemporal trend of

Comparison with overterritorial contexts

Comparison with quality standards and legislative limits

Results of survey about environmental perception

Indictments of citizens

Intertemporal trend of

Comparison with objective sectorial benchmark

Presence of environmental laws concerning that specific environmental aspect

Results of survey about environmental perception

**Table 3.** Criteria of evaluation

Source: Cluster Environmental Review, PIONEER project – *www.life-pioneer.info* 


Source: Cluster Environmental Review, PIONEER project – *www.life-pioneer.info* 

**Table 2.** Selected sectorial indicators

The third phase, transversal to the previous ones, was characterized by a survey about environmental perception of local communities, with direct interviews to 700 cluster inhabitants. The survey focused on ways of perception of both environmental territorial issues and the entity of pressures produced on environment from paper enterprises. As academic literature shows [30, 31], for many environmental aspects a big difference exists between real risk and perceived one: in a territorial perspective, the community perception of environmental issues represents an interesting way for learning the "point of view of the interested parties". Two questions addressed to citizens were used as criteria in the significance evaluation process of cluster environmental aspects and issues:



Source: Cluster Environmental Review, PIONEER project – *www.life-pioneer.info* 

**Table 3.** Criteria of evaluation

300 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

 CO [kg/ton of produced paper] NOx [kg/ton of produced paper]

*Noise*  Levels of max dB[A] monitored on the firm perimeter

*Water consumption*  Specific water consumption [mc/ton of produced paper] *Effluents on water*  Specific water emission [mc/ton of produced paper] BOD [kg/ton of produced paper] COD [kg/ton of produced paper] SST [kg/ton of produced paper]

mc of asbestos/number of firms

*Transportation*  Number of IN-OUT vehicles/ton of produced paper

substances /ton of produced paper]

The third phase, transversal to the previous ones, was characterized by a survey about environmental perception of local communities, with direct interviews to 700 cluster inhabitants. The survey focused on ways of perception of both environmental territorial issues and the entity of pressures produced on environment from paper enterprises. As academic literature shows [30, 31], for many environmental aspects a big difference exists between real risk and perceived one: in a territorial perspective, the community perception of environmental issues represents an interesting way for learning the "point of view of the

 Emission of N [kg/ton of produced paper] Emission of P [kg/ton of produced paper] Chloride [kg/ton of produced paper]

*Wastes*  Specific production of wastes [kg of wastes/ton of produced

Chemical substances specific consumption [kg of chemical

 Virgin fiber specific consumption [ton/ton of produced paper] Package specific consumption [kg /ton of produced paper]

*Energy*  Annual consumptions of methane [mc/ton of produced paper]

Annual consumptions of electric energy [kWh/ton of produced

environmental sectorial aspects and the selected indicators.

**Environmental aspect Selected indicators** *Emission on air*  PM10 [kg/ton of produced paper]

paper]

*Hazardous materials*  mc of asbestos/number of employed

paper]

Source: Cluster Environmental Review, PIONEER project – *www.life-pioneer.info* 

*Raw materials consumption* 

**Table 2.** Selected sectorial indicators

process, defined a basket of sectorial environmental performance indicators (many of these couched in terms of *coefficient of emission*). These indicators (as the territorial ones) were inserted in the monitoring plan defined by the Promotion Committee. In the following table

> The first question was used as evaluation criterion in the territorial section of analysis; the second one was used as measure of perception of local communities of pressures produced by paper industry on environment. After selecting the performance indicators and

summarizing the results of the survey about environmental perception of local communities, the Promotion Committee fixed a list of evaluation criteria for the identified environmental issues and aspects. In the Table 3 the list of evaluation criteria adopted in the PIONEER project.

Industrial Clusters and Environmental Management 303

**performance Comments** 

General improvement of performance

improvement

already in compliance with regulation

situation (not

sectorial environmental aspects (representing the entity of environmental pressures from local paper enterprises). On the basis of the collected evidences, the Promotion Committee established initiatives to be acted at cluster level and the incidental new targets of improvement to be integrated within the Programme. Nevertheless, what relevant in this paper is not the framework of developed initiatives after the end of the project, but the trend of environmental performances characterizing the cluster from 2006 to today. This framework of performances has to be interpreted with respect both to local environmental

In the tables 5 and 6 we have selected in a synthetic way the trend of the monitored indicators from 2006 to 2011. The monitored indicators can be found in the "Updating charts of Lucca paper industrial cluster" available at www.life-pioneer.it. Last monitoring updating was November 2011; not all indicators are collected annually, and the trends refer

Trends evaluation has been carried out by 5 different categories of data:

**Issue Selected indicators Period Trend of** 

Annual average concentrations 2006 - 2010 **+**

levels of standard quality 2006 - 2010 +

Emission on air 2005 - 2007 =

Levels of noise monitored 2007 - 2010 +

induction monitored 2006 -2010 <sup>=</sup> Number of new radio stations 2006 - 2010 -

fuels 2003 - 2008 =

monitored /

monitored 2006 -2010 = Initial situation

electric energy 2003 - 2008 - Steady

critical) Pro – capite consumption of

2006 - 2011 ++ Relevant

**++**  relevant improvement of the performance **+** slight improvement of the performance

N° of events exceeding the

N° of municipalities with approved acoustic classification

Levels of electric field

Levels of electromagnetic

Pro – capite consumption of

Biomonitoring process results Not

**-** slight decrease of the performance **--** relevant decrease of the performance

conditions and to impacts of paper enterprises.

to different periods.

**Quality of air** 

**Noise** 

**Electromagnetism** 

**Energy** 

**=** steady condition

The Promotion Committee, after approving the previous criteria, defined the weights to assign to each criterion in the evaluation algorithms of environmental significance. The application of the alghoritms to the baskets of territorial and sectorial indicators gave as result the list of significant environmental aspects and issues of the cluster. The shared algorithms were the result of opinions and interests expressed by the members of the Promotion Committee (in its turn representative of public, private and sectorial local interests).

The last step of the assessment phase was the integration of results of significance concerning the territorial section of the cluster analysis with the results of the sectorial section, with the aim of obtaining a measure of the pressure produced by the paper industry on environment in the cluster. The scheme of integration is represented in Table 4.


Source: Cluster Environmental Review, PIONEER project – *www.life-pioneer.info* 

**Table 4.** Correspondence table

On the basis of the emerged results by integration of environmental issues and aspects (also in this case the weight assigned to each dimension was the result of a shared process among members of the Promotion Committee), the Cluster Environmental Programme was drafted.

## **4. The monitoring system and trend of performances**

After the end of the project (February 2006), at cluster level the activities continued and the local Promotion Committee pursued to carry out its ordinary activities. In the environmental monitoring procedure the Promotion Committee established to monitor the cluster environmental performances at least biennially. This monitoring system involves both issue indicators (representing local environmental conditions), and indicators related to sectorial environmental aspects (representing the entity of environmental pressures from local paper enterprises). On the basis of the collected evidences, the Promotion Committee established initiatives to be acted at cluster level and the incidental new targets of improvement to be integrated within the Programme. Nevertheless, what relevant in this paper is not the framework of developed initiatives after the end of the project, but the trend of environmental performances characterizing the cluster from 2006 to today. This framework of performances has to be interpreted with respect both to local environmental conditions and to impacts of paper enterprises.

In the tables 5 and 6 we have selected in a synthetic way the trend of the monitored indicators from 2006 to 2011. The monitored indicators can be found in the "Updating charts of Lucca paper industrial cluster" available at www.life-pioneer.it. Last monitoring updating was November 2011; not all indicators are collected annually, and the trends refer to different periods.

Trends evaluation has been carried out by 5 different categories of data:


302 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

turn representative of public, private and sectorial local interests).

Source: Cluster Environmental Review, PIONEER project – *www.life-pioneer.info* 

**4. The monitoring system and trend of performances** 

**Table 4.** Correspondence table

PIONEER project.

summarizing the results of the survey about environmental perception of local communities, the Promotion Committee fixed a list of evaluation criteria for the identified environmental issues and aspects. In the Table 3 the list of evaluation criteria adopted in the

The Promotion Committee, after approving the previous criteria, defined the weights to assign to each criterion in the evaluation algorithms of environmental significance. The application of the alghoritms to the baskets of territorial and sectorial indicators gave as result the list of significant environmental aspects and issues of the cluster. The shared algorithms were the result of opinions and interests expressed by the members of the Promotion Committee (in its

The last step of the assessment phase was the integration of results of significance concerning the territorial section of the cluster analysis with the results of the sectorial section, with the aim of obtaining a measure of the pressure produced by the paper industry

> Emission on air Quality of air Effluents on water Quality of surface water

Water consumptions Availability of water resources Wastes Wastes Transportations Traffic and transportation Noise Noise Odours Odours Visual impact Use of soil

Hazardous materials Quality of soil and subsurface

On the basis of the emerged results by integration of environmental issues and aspects (also in this case the weight assigned to each dimension was the result of a shared process among members of the Promotion Committee), the Cluster Environmental Programme was drafted.

After the end of the project (February 2006), at cluster level the activities continued and the local Promotion Committee pursued to carry out its ordinary activities. In the environmental monitoring procedure the Promotion Committee established to monitor the cluster environmental performances at least biennially. This monitoring system involves both issue indicators (representing local environmental conditions), and indicators related to

on environment in the cluster. The scheme of integration is represented in Table 4.

**Environmental aspect Issue**

Energy consumptions Energy



Industrial Clusters and Environmental Management 305

= - Steady

**Tissue Packaging**


+ -


**Comments** 

situation, influenced by a decrease of production in the period

Worse performance, influenced by a decrease of production

General steady situation

**Environmental** 

**Emission on air**

**Noise** 

**Energy** 

**Water consumption** 

**Effluents on water** 

**aspect Selected indicators Period Type of product**

2006 - 2010

Not

2006-2010

2006-2010

produced paper] = =

produced paper] = +

of produced paper] = -

of produced paper] = =

produced paper] = -

monitored / /

General steady Annual consumptions situation

2006-2010 - - =

produced paper] = +

produced paper] - /

NOx [kg/ton of produced paper]

CO [kg/ton of

PM10 [kg/ton of

perimeter

Levels of max dB[A] monitored on the firm

Annual consumptions of methane [mc/ton of produced paper]

of electric energy [kWh/ton of produced

Specific water

BOD [kg/ton of produced paper]

COD [kg/ton of

SST [kg/ton of

Emission of N [kg/ton

Emission of P [kg/ton

Chloride [kg/ton of

consumption [mc/ton of produced paper]

paper]


Source: Updating charts of Lucca paper industrial cluster

**Table 5.** Trend of territorial performance indicators


**Issue Selected indicators Period Trend of** 

Annual average concentrations 2006 - 2010 +

Subterranean Water 2007-2010 =

the total one 2004 - 2007 -

main cluster rivers 2006 - 2011 +

Pro – capite urban wastes 2007 - 2010 +

Differentiated level of wastes 2007 - 2010 ++ Per employed special wastes 2007-2009 ++

wastes 2007-2009 =

forced to reclamation 2006-2011 - -

Motorization rate 2006 – 2010 -

vehicles 2006 – 2010 -

Density of streets in the cluster Not

Territorial density of vehicles Not

Level of registered industrial

Source: Updating charts of Lucca paper industrial cluster **Table 5.** Trend of territorial performance indicators

N° of events exceeding the

Environmental State of

surface and total one

Ratio between used agricultural

Wooded surface in respect to

Chemical monitoring of the

Level of hazardous produced

Level of recovered special

Surface of industrial sites

wastes

Built surface Not

Levels of water stratum 2006 - 2008 = Steady

(critical) Pro – capite water pickings Not monitored

levels of standard quality 2006 - 2010 ++ General

Not

main cluster rivers 2006- 2008 = General

of performance Biological monitoring of the

Not

N° of sites forced to reclamation 2006 - 2011 - - Relevant

Protected areas 2006-2011 = Steady Agroforestal biodiversity situation Not

monitored /

monitored /

monitored /

monitored /

monitored /

monitored /

**Water availability** 

**Quality of subterranean water** 

**Use of soil** 

**Quality of surface water** 

**Wastes** 

**Quality of soil and subsurface** 

**Biodiversity** 

**Traffic and transportation**  **performance Comments** 

situation

improvement of performance

Decrease of performance (but not critical)

improvement

General improvement of performance

decrease of performance

Decrease of performance (critical aspect)

Industrial Clusters and Environmental Management 307

From the PIONEER experience we can draw two different levels of conclusions; the first one (technical) regards the specific results obtained by the PIONEER project, while the second one regards the fallouts of the proposed methodological approach on territorial clusters and

From the first point of view, the PIONEER project produced results in terms of a high participation in EMAS by a relevant number of organisations; in fact, within the end of the project, 18 organizations obtained the individual EMAS Registration and, since 2007, the Promotion Committee obtained the award promoted by the Italian Competent Body for industrial clusters with a well implemented process for simplification of EMAS registration of local SMEs. Moreover, as described in the previous paragraph, local environmental conditions improved and pressures of enterprises (although in a recession phase) didn't

From the second point of view, the comparison with other EU territorial contexts showed an high potential of transferability of the methodological approach; in fact, the PIONEER experience showed that there is a high number of synergies that can be obtained at the managerial and technological level to promote the inclusion and diffusion of innovative elements based on the partnership between the different firms operating within the same area. It is a question of exploiting the "co-opetition" attitude (co-operation between firms which also compete) and the collaboration between the enterprises and the other economic and institutional actors. These issues are the same for every industrial cluster, making the project methodology reproducible in each of these homogenous areas, characterizing the productive systems of many EU countries, in Italy, Spain, Portugal, Denmark, France, Finland and the UK. Moreover the project showed the operational feasibility of the methodological approach previously described, fostering an innovative approach to decision-making, based on multistakeholder involvement. According to this approach, EMAS has become a real territorial policy instrument, able to integrate industrial development targets and environmental quality

its reproducibility in other territorial and sectorial contexts.

ones, with a key–role played by the Promotion Committee.

*Scuola Superiore Sant'Anna, Institute of Management, Pisa, Italy* 

[1] Iraldo F. (2002). Ambiente, impresa e distretti industriali. Franco Angeli, Milan

**5. Conclusions** 

increase.

**Author details** 

Massimo Battaglia

**6. References** 

\*2Corresponding Author

Tiberio Daddi\*2and Francesco Testa

*Sant'Anna School of Advanced Studies, Pisa, Italy* 


Source: Updating charts of Lucca paper industrial cluster

**Table 6.** Trend of sectorial performance indicatorS

Data show an orientation to improvement of environmental conditions at cluster level, with respect to local cluster conditions (the only one decreasing datum refers to quality of soils and subsurface). On the contrary, with respect to data related to paper industry performances, we have a general steady of performances in the period 2006-2010, by the way in a period characterized by recession and decrease of productions.

## **5. Conclusions**

306 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**aspect Selected indicators Period Type of product**

Not

Not

2006 – 2010

Data show an orientation to improvement of environmental conditions at cluster level, with respect to local cluster conditions (the only one decreasing datum refers to quality of soils and subsurface). On the contrary, with respect to data related to paper industry performances, we have a general steady of performances in the period 2006-2010, by the

way in a period characterized by recession and decrease of productions.

of performance Virgin fiber specific

monitored / /

monitored / /

**Comments** 

situation

Light decrease

**Tissue Packaging**

2006-2010 + = General steady


+ /

/ =

**Environmental** 

**Hazardous materials** 

**Wastes** 

**Transportation**

**Raw materials consumption** 


firms

employed - mc of

wastes [kg of wastes/ton of produced paper]

asbestos/number of

asbestos/number of

Specific production of

Number of IN-OUT vehicles/ton of produced paper

Chemical substances

specific consumption [kg of chemical substances /ton of

produced paper]

consumption

Package specific consumption

paper]

paper]

Source: Updating charts of Lucca paper industrial cluster **Table 6.** Trend of sectorial performance indicatorS

[ton/ton of produced

[kg /ton of produced

From the PIONEER experience we can draw two different levels of conclusions; the first one (technical) regards the specific results obtained by the PIONEER project, while the second one regards the fallouts of the proposed methodological approach on territorial clusters and its reproducibility in other territorial and sectorial contexts.

From the first point of view, the PIONEER project produced results in terms of a high participation in EMAS by a relevant number of organisations; in fact, within the end of the project, 18 organizations obtained the individual EMAS Registration and, since 2007, the Promotion Committee obtained the award promoted by the Italian Competent Body for industrial clusters with a well implemented process for simplification of EMAS registration of local SMEs. Moreover, as described in the previous paragraph, local environmental conditions improved and pressures of enterprises (although in a recession phase) didn't increase.

From the second point of view, the comparison with other EU territorial contexts showed an high potential of transferability of the methodological approach; in fact, the PIONEER experience showed that there is a high number of synergies that can be obtained at the managerial and technological level to promote the inclusion and diffusion of innovative elements based on the partnership between the different firms operating within the same area. It is a question of exploiting the "co-opetition" attitude (co-operation between firms which also compete) and the collaboration between the enterprises and the other economic and institutional actors. These issues are the same for every industrial cluster, making the project methodology reproducible in each of these homogenous areas, characterizing the productive systems of many EU countries, in Italy, Spain, Portugal, Denmark, France, Finland and the UK. Moreover the project showed the operational feasibility of the methodological approach previously described, fostering an innovative approach to decision-making, based on multistakeholder involvement. According to this approach, EMAS has become a real territorial policy instrument, able to integrate industrial development targets and environmental quality ones, with a key–role played by the Promotion Committee.

## **Author details**

Massimo Battaglia *Scuola Superiore Sant'Anna, Institute of Management, Pisa, Italy* 

Tiberio Daddi\*2and Francesco Testa *Sant'Anna School of Advanced Studies, Pisa, Italy* 

## **6. References**

[1] Iraldo F. (2002). Ambiente, impresa e distretti industriali. Franco Angeli, Milan

<sup>\*2</sup>Corresponding Author

[2] Battaglia, M. (2008) Approccio metodologico per i sistemi produttivi territoriali, in: M. Frey & F. Iraldo (Eds) Il management dell'ambiente e della sostenibilita` oltre i confini aziendali, pp. 244–277 (Milano: FrancoAngeli).

Industrial Clusters and Environmental Management 309

[16] Becattini G. (1990). The Marshallian District as a Socio – Economic notion in Pyke F., Becattini G., Sengenberger W. "Industrial Sectors and Inter-firm Cooperation in Italy".

[17] Ferrucci L, Varaldo R. 1996. The evolutionary nature of the fi rm within industrial

[18] Ferrucci L., Varaldo R. (1997) a cura di. Il distretto industriale tra logiche di impresa e

[19] Prusak, L., Cohen, D., 2001. How to Invest in Social Capital. Harvard Business Review.

[20] Arrighetti A, Seravalli G. (a cura di) (1999), Istituzioni intermedie e sviluppo locale.

[21] Montini A., Zoboli R. (2003). Environmental impact and innovation in industrial districts in Cainelli G, Zoboli R. (Eds) "The evolution of Industrial Districts" Physica –

[23] Battaglia, M., Bianchi, L., Frey, M., Iraldo, F., 2010. An innovative model to promote CSR among SMEs operating in industrial clusters: evidence from an EU project. Corporate Social Responsibility and Environmental Management (CSR&EM), 17(3),

[24] Von Weltzien Høivik, H., Shankar, D., 2011. How Can SMEs in a Cluster Respond to Global Demands for Corporate Responsibility? Journal of Business Ethics, 101 (6), pp.

[25] Petri F. (1990). Who is afraid of choices? A proposal for multi – criteria analysis as a tool for decision-making support in development planning. Journal of international

[26] Roy B. (1996). Multicriteria methodology for decision analysis. Kluwer Academic

[27] Daddi, T., Rizzi, F. (2008) Strumenti conoscitivi e sistemi informativi, in: M. Frey & F. Iraldo (Eds) Il Management dell'ambiente e della sostenibilita` oltre i confini aziendali,

[28] Battaglia, M., Daddi, T., Rizzi, F. (2012): Sustainable Tourism Planning and Consultation: Evidence from the Project INTER.ECO.TUR, European Planning Studies,

[29] Niemeijer, D., Groot, R.D., Framing environmental indicators: moving from casual chain to casual networks in environment, Development and Sustainability 10 (2008) 89–

[30] Sunstein R. (2004), La sicurezza ambientale tra percezione e approccio razionale,

[31] Maiello, A., Battaglia, M., Daddi, T., Frey, M. (2011), Urban Sustainability and knowledge: theoretical heterogeneity and need of a transdisciplinary framework. A tale

of four towns, in Futures Vol. 43, Issue 10 ISSN 0016-3287

districts. European Planning Studies February, 4(1): 27–34.

[22] Istituto AmbienteItalia (2003). Rapporto Ecodistretti, Milan

logiche di sistema. Franco Angeli, Milan

ILO; Geneva

79 (June), pp.86–93

Donzelli, Roma

Verlag

pp.133-141

175–195

development

pp. 244–277 (Milano: FrancoAngeli)

Edizioni Ambiente, Milano

Publishers

20:2, 193-211


aziendali, pp. 244–277 (Milano: FrancoAngeli).

Theobald, Nova Publisher - USA

23: 939-948.

Economics 57 (1), pp. 45- 59

Production, 17, pp.1444–1452.

Industriale 1

sostenibile, Ambiente e Sviluppo n. 5

273

confini aziendali (Milano: FrancoAngeli).

accordi volontari. Franco Angeli, Milano

Management Systems. Routledge, London.

[2] Battaglia, M. (2008) Approccio metodologico per i sistemi produttivi territoriali, in: M. Frey & F. Iraldo (Eds) Il management dell'ambiente e della sostenibilita` oltre i confini

[3] Battaglia M., Daddi T., Ridolfi R. (2008), Environmental Territorial Management: A New Approach for Industrial Clusters, in "Environmental Management" Editors: Robert H.

[4] Frey, M. & Iraldo, F. (2008) Il Management dell'Ambiente e della sostenibilita` oltre i

[5] Amadei P., Croci E. e G. Pesaro (1998), Nuovi strumenti di politica ambientale – Gli

[6] Hillary, R. (1999). Evaluation of Study Reports on the Barriers, Opportunities and Drivers for Small and Medium Sized Enterprises in the Adoption of Environmental

[7] Biondi V., Frey M., Iraldo F. (2000). Environmental management systems and SMEs: barriers, opportunities and constraints. Greener Management International, n. 29 [8] Del Brío JA, Junquera B (2003). A review of the literature on environmental innovation management in SMEs: implications for public policies. Technovation,

[9] Lepoutre, J., Heene, A., 2006. Investigating the impact of firm size on Small Business Social Responsibility: A critical review. Journal of Business Ethics, 67(3), pp. 257-

[10] Steger, U. (2000). Environmental Management Systems: Empirical Evidence and Further

[11] Rennings, K., Ziegler, A., Ankele, K., Hoffmann, E., 2005. The Influence of Different Characteristics of the EU Environmental Management and Auditing Scheme on Technical Environmental Innovations and Economic Performance. Ecological

[12] Iraldo, F., Testa, F., Frey, M., 2009. Is an environmental management system able to influence environmental and competitive performance? The case of the ecomanagement and audit scheme (EMAS) in the European union. Journal of Cleaner

[13] Baldizzone G. (2000), L'Agenda 21 come strumento cardine delle politiche di sviluppo

[14] Becattini G. (1979) Dal settore industriale al distretto industriale. Alcune considerazioni sull'unità di indagine dell'economia industriale. Rivista di Economia e Politica

[15] Putnam RD, Leonardi R, Nanetti R. 1993. Making democracy work: Civic traditions in

Modern Italy. NJ Princeton University Press: Princeton, NJ

Perspectives. European Management Journal, Vol. 18 No. 1, 23-37.

	- [32] http://www.life-pioneer.info PIONEER project reports and documentation, by Province of Lucca, IEFE Bocconi and Sant'Anna School of Advanced Studies

**Chapter 14** 

© 2012 Testa et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Testa et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**Overview of Past and Ongoing Experiences** 

Small and medium-sized enterprises make up a large part of Europe's economy, representing some 99% of all enterprises and 57% of the economy's added value (COM (2005) 551 fin). Therefore they also play a primary role in shifting the European economy to more sustainable production and consumption patterns. SMEs can have considerable impact on the environment, not necessarily through individual pressure, but through their combined total impact across sectors. It is widely accepted that it would be too complex and burdensome for companies and public authorities to determine the detailed contribution made by SMEs to pollution (e.g. air pollution), in terms of the environmental load from different types of pollutants (e.g. CO2, SOx, NOx, etc.) in each Member State. Indeed, in many cases the data does not exist. Nevertheless, the often quoted rough figure of a contribution of 70% of industrial pollution in Europe seems reliable, and a number of studies attempt to provide 'insights' into particular environmental problems deriving from SMEs for specific countries. For example, a British report estimated that SMEs accounted for 60% of total carbon dioxide emissions from businesses in the UK and concluded that there was substantial room for improvement in energy efficiency and emissions reductions among SMEs. Again, estimates from the Netherlands and United Kingdom suggest that the commercial and industrial waste from SMEs represents on average 50% of the total. These studies further support the claim that SMEs can exert considerable pressures on the environment (SEC (2007) 907). Numerous regional and national studies show that the majority of SMEs have low awareness of their environmental impacts and how to manage them. Most SMEs are 'vulnerably compliant', since they do not always know enough about legislation to ensure that they are compliant. This is mostly due to lack of awareness of the environmental impacts of their own activities, ignorance of environmental legislation,

**Dealing with the Environmental** 

Francesco Testa, Tiberio Daddi, Fabio Iraldo and Marco Frey

**Management at Cluster Level** 

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/47172

**1. Introduction** 

## **Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level**

Francesco Testa, Tiberio Daddi, Fabio Iraldo and Marco Frey

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/47172

## **1. Introduction**

310 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

[32] http://www.life-pioneer.info - PIONEER project reports and documentation, by

Province of Lucca, IEFE Bocconi and Sant'Anna School of Advanced Studies

Small and medium-sized enterprises make up a large part of Europe's economy, representing some 99% of all enterprises and 57% of the economy's added value (COM (2005) 551 fin). Therefore they also play a primary role in shifting the European economy to more sustainable production and consumption patterns. SMEs can have considerable impact on the environment, not necessarily through individual pressure, but through their combined total impact across sectors. It is widely accepted that it would be too complex and burdensome for companies and public authorities to determine the detailed contribution made by SMEs to pollution (e.g. air pollution), in terms of the environmental load from different types of pollutants (e.g. CO2, SOx, NOx, etc.) in each Member State. Indeed, in many cases the data does not exist. Nevertheless, the often quoted rough figure of a contribution of 70% of industrial pollution in Europe seems reliable, and a number of studies attempt to provide 'insights' into particular environmental problems deriving from SMEs for specific countries. For example, a British report estimated that SMEs accounted for 60% of total carbon dioxide emissions from businesses in the UK and concluded that there was substantial room for improvement in energy efficiency and emissions reductions among SMEs. Again, estimates from the Netherlands and United Kingdom suggest that the commercial and industrial waste from SMEs represents on average 50% of the total. These studies further support the claim that SMEs can exert considerable pressures on the environment (SEC (2007) 907). Numerous regional and national studies show that the majority of SMEs have low awareness of their environmental impacts and how to manage them. Most SMEs are 'vulnerably compliant', since they do not always know enough about legislation to ensure that they are compliant. This is mostly due to lack of awareness of the environmental impacts of their own activities, ignorance of environmental legislation,

© 2012 Testa et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Testa et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

inability to tackle their environmental impacts, and sometimes the excessive administrative and financial burden of compliance. Compliance is further hindered by the perception that environmental protection is costly and has little benefit for the business (SEC (2007) 907).

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 313

highlighted its commitment to promote and encourage the use of EMAS in industrial clusters or districts of SMEs, using specific cluster- or supply chain- oriented approaches, since they can reduce consultancy and audit/verification costs for SMEs, and facilitate

The effectiveness of the networking approach is clear among organisations operating in the same sector (such as the industrial sector, but also service sectors such as tourism or public institutions operating at different levels) and among organisations operating in the same

In the first case, enterprises can co-operate by identifying and assessing similar environmental aspects and by finding technological and operational solutions that can be applied to similar production processes and products, as well as by defining organisational structures suitable for the same kind of production cycles. In the second case, co-operation is facilitated by the 'physical contiguousness' and there are synergies both in improving the environmental impact on the same local eco-system, and in interacting and communicating

In some experiences, a network has been created among SMEs within a 'cluster', in order to foster information exchange and experience diffusion and to define and apply common solutions to similar environmental, technical and/or organisational problems, or to share environmental management resources (Iraldo & Frey, 2007). A specific kind of co-operation within a cluster of organisations takes place in the supply-chain: when a large customer is willing to support small suppliers in the EMS implementation process, then all the smaller organisations involved in the supply chain can benefit greatly from networking. This approach proved effective in some Member States such as Germany ("Konvoi" approach), Spain (co-operation in the tourism supply chain), Nordic Countries (Denmark and Sweden). In Italy it has shown a real effectiveness in promoting the environmental compliance of

This study aims at collecting and describing the most important international experiences

To analyze some excellent experiences on shared and collective management of

The structure of this chapter is organised in sections according to the different types of clusters considered. After a brief introduction on the methodological approach, each section

The first section focuses on the identification and analysis of the definition of cluster to which we refer, outlining its key features and describing the cooperative dynamics that

 To give information on the diffusion of the cluster approach at international level; To understand possible correlations between cluster approach and environmental

additional sharing of knowledge and exchange of experience among participants.

with the same stakeholders (local population, authorities, etc..).

SMEs by means of the so-called APO "Ambiti Produttivi Omogenei".

To analyse different types of inter-company dynamics in the cluster;

concerning the cluster approach, with the following objectives:

analyses the various forms of cluster with the following structure.

region (or territorial area).

issues management;

environmental aspects.

This scenario shows:


Generally, the issues are related to the environmental impact of the SMEs production activities and services, involving all the environmental aspects (air, water, soil and sub-soil, biodiversity, noise, land, etc.) normally/usually disciplined by the EU and the national and local legislation. They also include crucial new challenges that the EU is facing, regarding global warming, energy efficiency, renewable energy sources, sustainable use of resources, waste reduction, re-use and recycling.

All these considerations have stimulated the development of the so-called "cluster approach" to manage the environmental issues of a large number of SMEs located in limited territorial areas. In recent years, the "cluster approach" has been mentioned in some important official documents of the European Union, such as:


Networking and cooperation among organisations emerge from several studies and empirical evidence as some of the most important factors fostering the dissemination of formal EMS (such as EMAS). Many authors (inter alia:Biondi et al. 2000, Hillary 2004) emphasise that working with groups of companies is an useful and efficient way of adopting EMAS, particularly for SMEs. Moreover, the European Commission has recently confirmed the key role of networking for overcoming the constraints and barriers for EMS adoption among SMEs (European Commission 2007). In fact, the Commission has highlighted its commitment to promote and encourage the use of EMAS in industrial clusters or districts of SMEs, using specific cluster- or supply chain- oriented approaches, since they can reduce consultancy and audit/verification costs for SMEs, and facilitate additional sharing of knowledge and exchange of experience among participants.

312 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management


burdens, availability of shared tools.

waste reduction, re-use and recycling.

documents of the European Union, such as:

clusters applying for EMAS registration.

This scenario shows:

inability to tackle their environmental impacts, and sometimes the excessive administrative and financial burden of compliance. Compliance is further hindered by the perception that environmental protection is costly and has little benefit for the business (SEC (2007) 907).



Generally, the issues are related to the environmental impact of the SMEs production activities and services, involving all the environmental aspects (air, water, soil and sub-soil, biodiversity, noise, land, etc.) normally/usually disciplined by the EU and the national and local legislation. They also include crucial new challenges that the EU is facing, regarding global warming, energy efficiency, renewable energy sources, sustainable use of resources,

All these considerations have stimulated the development of the so-called "cluster approach" to manage the environmental issues of a large number of SMEs located in limited territorial areas. In recent years, the "cluster approach" has been mentioned in some important official


Networking and cooperation among organisations emerge from several studies and empirical evidence as some of the most important factors fostering the dissemination of formal EMS (such as EMAS). Many authors (inter alia:Biondi et al. 2000, Hillary 2004) emphasise that working with groups of companies is an useful and efficient way of adopting EMAS, particularly for SMEs. Moreover, the European Commission has recently confirmed the key role of networking for overcoming the constraints and barriers for EMS adoption among SMEs (European Commission 2007). In fact, the Commission has

clusters or districts of SMEs, using specific cluster or supply chain approaches; - the new Regulation (EC) no. 1221/2009 (EMAS III), which in article 37 mentions SMEs The effectiveness of the networking approach is clear among organisations operating in the same sector (such as the industrial sector, but also service sectors such as tourism or public institutions operating at different levels) and among organisations operating in the same region (or territorial area).

In the first case, enterprises can co-operate by identifying and assessing similar environmental aspects and by finding technological and operational solutions that can be applied to similar production processes and products, as well as by defining organisational structures suitable for the same kind of production cycles. In the second case, co-operation is facilitated by the 'physical contiguousness' and there are synergies both in improving the environmental impact on the same local eco-system, and in interacting and communicating with the same stakeholders (local population, authorities, etc..).

In some experiences, a network has been created among SMEs within a 'cluster', in order to foster information exchange and experience diffusion and to define and apply common solutions to similar environmental, technical and/or organisational problems, or to share environmental management resources (Iraldo & Frey, 2007). A specific kind of co-operation within a cluster of organisations takes place in the supply-chain: when a large customer is willing to support small suppliers in the EMS implementation process, then all the smaller organisations involved in the supply chain can benefit greatly from networking. This approach proved effective in some Member States such as Germany ("Konvoi" approach), Spain (co-operation in the tourism supply chain), Nordic Countries (Denmark and Sweden). In Italy it has shown a real effectiveness in promoting the environmental compliance of SMEs by means of the so-called APO "Ambiti Produttivi Omogenei".

This study aims at collecting and describing the most important international experiences concerning the cluster approach, with the following objectives:


The structure of this chapter is organised in sections according to the different types of clusters considered. After a brief introduction on the methodological approach, each section analyses the various forms of cluster with the following structure.

The first section focuses on the identification and analysis of the definition of cluster to which we refer, outlining its key features and describing the cooperative dynamics that

consolidate within it. The second section explains the presence of the abovementioned type of cluster in Italy, describing its prevalence and relevance for the national economy. The third section aims at outlining the European framework and offers a comparison with the information applied to the national context. The last section identifies the elements that characterise the management of environmental issues (in a cooperative logic) in the type of cluster analysed,

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 315

industrial areas such as the environmentally equipped production areas "APEA", as well as industrial parks up to the interactions along the supply chain. While being characterized by the presence of elements linked to the cluster, these network systems show major differences

For example, the Industrial District is a local system with the presence of a prevalent production carried out by a group of small independent firms highly specialized in different stages of the same production process. Production Areas instead represent an organizational model characterized by the territorial element but, unlike the District, they are concentrated in areas more easily defined and circumscribed geographically, and do not necessarily show

Another organizational model that meets the definition of cluster is the supply chain: a network involving all stakeholders in the production chain, from the company that produces raw materials to the processing company, from carriers to distributors, from wholesale to retail. The feature of the production chain is the interaction between SMEs involved in a process of production, among which the exchange of information can flourish and the development of projects and a relationships based on trust may be encouraged. Compared to Districts and Production Areas the less important aspect in this context is the

The distinction between different aspects of the concept of clusters led to the identification of three inter-organizational interaction models on which to focus the analysis, particularly emphasizing the organizational arrangements implemented to manage common

 Supply chain management which aims to produce stable benefits for the companies that are part of the supply chain (buyers and suppliers) through process integration and

In literature, the industrial district is represented by a local system characterized by a main production activity performed by a group of small independent firms, highly specialized in different stages of the same production process. This peculiar entrepreneurial organizational model can develop synergies that result in a more efficient production than would occur within a single large plant. At the end of the XIX century Marshall (1890) had already highlighted the benefits coming from the agglomeration of economic activities in terms of availability of skilled labour and high level of specialization. Similarly, the Austrian economist Schumpeter in the first half of last century stated the existence of competitive advantages deriving from a business cluster. A significant contribution to the study of industrial districts and of internal relationship mechanisms able to generate competitive

that allow to distinguish three main approaches within which to investigate.

the presence of one or more specialised production sectors.

territorial delimitation and the concentration of enterprises.

Industrial districts, closely related to production;

long term relationships.

**3. Industrial district cluster** 

environmental problems. In detail, the types of clusters in this study are:

Ecologically equipped productive areas APEA and Industrial Parks;

**3.1. "Industrial districts" cluster: Definition and boundaries** 

This study is based on the results emerged from a research carried out within the ECCELSA (Environmental Compliance based on Cluster Experiences and Local Sme-oriented Approaches) Life project. For this reason the authors acknowledge all project partners1 who contributed to the results presented in this chapter.

## **2. The methodological approach**

The first references to the "Cluster organizational model", as an approach that can develop synergies resulting in more efficient production than would occur within a single large plant, are found in Marshall at the end of the XIX century. In the first half of the XX century the benefits of agglomeration of economic activities were also confirmed by Austrian economist Shumpeter, who stressed the importance of the cluster system in terms of business competitiveness. In 1991, Michael Porter in his *Competitive Advantage of Nations* (1991), stated the "cluster theory" in which he identified the most potential for growth and development for industrial clusters as opposed to the single enterprises, thanks to the presence of vertical relations *[customer/supplier*] and horizontal relations *[common customers, technology, channels*]*.* 

At European level, clusters have been formally recognized and defined in the Final Report of the 'European Commission Expert Group on Enterprise Clusters and Networks which offers a first "census" of the phenomenon, and in communication No. 652, October 20082.

In those documents, clusters are defined as "geographic concentrations of specialized companies that have workforce with advanced abilities and skills, and "support" institutions that make possible the spreading of knowledge and indirect positive effects as a result of their proximity".

According to this definition, the elements that characterize the cluster concept can be identified in *geographic proximity, specialization in production* and *interaction among different actors* in the cluster. Therefore, the definition of cluster is not restrictive; it covers a wide variety of approaches in which those elements are more or less relevant. In fact, the concept includes the classical configuration of the industrial district and the geographically confined

<sup>1</sup> The authors specifically acknowledge Sara Tessitore and Valentina Toschi (SSSUP); Besides Sant'Anna School of Advanced Studies (coordinator of the project) the other partners are: Ambiente Italia – Istituto di Ricerca, ERVET - Emilia Romagna Valorizzazione Economica del Territorio, IEFE Bocconi - Istituto di Economia e Politica dell'Energia e dell'Ambiente, SIGE - Servizi Industriali Genova, Gemini - Innovazione Sviluppo e Trasferimento Tecnologico.

<sup>2</sup> Communication from the commission to the Council, the European Parliament, the European Economic and Social Committee and the committees of the region 'Towards world-class clusters in the European Union: Implementing the broad-based innovation strategy ".

industrial areas such as the environmentally equipped production areas "APEA", as well as industrial parks up to the interactions along the supply chain. While being characterized by the presence of elements linked to the cluster, these network systems show major differences that allow to distinguish three main approaches within which to investigate.

For example, the Industrial District is a local system with the presence of a prevalent production carried out by a group of small independent firms highly specialized in different stages of the same production process. Production Areas instead represent an organizational model characterized by the territorial element but, unlike the District, they are concentrated in areas more easily defined and circumscribed geographically, and do not necessarily show the presence of one or more specialised production sectors.

Another organizational model that meets the definition of cluster is the supply chain: a network involving all stakeholders in the production chain, from the company that produces raw materials to the processing company, from carriers to distributors, from wholesale to retail. The feature of the production chain is the interaction between SMEs involved in a process of production, among which the exchange of information can flourish and the development of projects and a relationships based on trust may be encouraged. Compared to Districts and Production Areas the less important aspect in this context is the territorial delimitation and the concentration of enterprises.

The distinction between different aspects of the concept of clusters led to the identification of three inter-organizational interaction models on which to focus the analysis, particularly emphasizing the organizational arrangements implemented to manage common environmental problems. In detail, the types of clusters in this study are:


## **3. Industrial district cluster**

314 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

cluster analysed,

*technology, channels*]*.* 

their proximity".

broad-based innovation strategy ".

contributed to the results presented in this chapter.

**2. The methodological approach** 

consolidate within it. The second section explains the presence of the abovementioned type of cluster in Italy, describing its prevalence and relevance for the national economy. The third section aims at outlining the European framework and offers a comparison with the information applied to the national context. The last section identifies the elements that characterise the management of environmental issues (in a cooperative logic) in the type of

This study is based on the results emerged from a research carried out within the ECCELSA (Environmental Compliance based on Cluster Experiences and Local Sme-oriented Approaches) Life project. For this reason the authors acknowledge all project partners1 who

The first references to the "Cluster organizational model", as an approach that can develop synergies resulting in more efficient production than would occur within a single large plant, are found in Marshall at the end of the XIX century. In the first half of the XX century the benefits of agglomeration of economic activities were also confirmed by Austrian economist Shumpeter, who stressed the importance of the cluster system in terms of business competitiveness. In 1991, Michael Porter in his *Competitive Advantage of Nations* (1991), stated the "cluster theory" in which he identified the most potential for growth and development for industrial clusters as opposed to the single enterprises, thanks to the presence of vertical relations *[customer/supplier*] and horizontal relations *[common customers,* 

At European level, clusters have been formally recognized and defined in the Final Report of the 'European Commission Expert Group on Enterprise Clusters and Networks which offers a first "census" of the phenomenon, and in communication No. 652, October 20082.

In those documents, clusters are defined as "geographic concentrations of specialized companies that have workforce with advanced abilities and skills, and "support" institutions that make possible the spreading of knowledge and indirect positive effects as a result of

According to this definition, the elements that characterize the cluster concept can be identified in *geographic proximity, specialization in production* and *interaction among different actors* in the cluster. Therefore, the definition of cluster is not restrictive; it covers a wide variety of approaches in which those elements are more or less relevant. In fact, the concept includes the classical configuration of the industrial district and the geographically confined

1 The authors specifically acknowledge Sara Tessitore and Valentina Toschi (SSSUP); Besides Sant'Anna School of Advanced Studies (coordinator of the project) the other partners are: Ambiente Italia – Istituto di Ricerca, ERVET - Emilia Romagna Valorizzazione Economica del Territorio, IEFE Bocconi - Istituto di Economia e Politica dell'Energia e dell'Ambiente, SIGE - Servizi Industriali Genova, Gemini - Innovazione Sviluppo e Trasferimento Tecnologico. 2 Communication from the commission to the Council, the European Parliament, the European Economic and Social Committee and the committees of the region 'Towards world-class clusters in the European Union: Implementing the

## **3.1. "Industrial districts" cluster: Definition and boundaries**

In literature, the industrial district is represented by a local system characterized by a main production activity performed by a group of small independent firms, highly specialized in different stages of the same production process. This peculiar entrepreneurial organizational model can develop synergies that result in a more efficient production than would occur within a single large plant. At the end of the XIX century Marshall (1890) had already highlighted the benefits coming from the agglomeration of economic activities in terms of availability of skilled labour and high level of specialization. Similarly, the Austrian economist Schumpeter in the first half of last century stated the existence of competitive advantages deriving from a business cluster. A significant contribution to the study of industrial districts and of internal relationship mechanisms able to generate competitive

advantages for the cluster firms comes from G. Becattini who, in his article "From industrial sectors to industrial districts" introduced the concept of industrial district as a tool to support regional policies for territorial development.

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 317

The district approach has spread as a result of economic support programmes promoted at first at regional level (eg. I-C@AST programm - a textile project being reorganized - Lombardy 2006), and later by the Ministry of Economic Development (2003-2005 -2008)3. Art.3 of Law 266/1997 (so-called Bersani Law) for the first time establishes state funding for the Regions to be used in Industrial Districts identified on the basis of Law No. 317/1991, to

Another important intervention of industrial policy in favour of Districts was carried out under the Decree for the liberalization of the electricity market, which envisaged the opportunity for those entities defined as "eligible customers" in Article 2 to sign supply contracts with any producer, distributor or wholesaler in Italy and abroad. Among those considered for this option are groups formed by companies whose total consumption reaches a value greater than 30 GWh, located exclusively in the same municipality or contiguous municipalities, or in areas identified with specific acts of regional planning. New policies to support technological development in the Districts were approved in 2001 and in 2005. The last supportive action took place under the 2008 Budget which included a call for bids to grant funding to districts also engaged in improving environmental performances at level of production area. Surveys by research bodies such as the "Districts Club" and the "IPI-Institute for Industrial Promotion" reported data showing a significant presence of the district system in Italy. Here is some information resulting from the last industry census carried out by ISTAT in 2000. In Italy there are 155 districts mostly located in the Northern regions. This model of production organization involves 4,929,721 employees and 1,180,042 businesses of the manufacturing, services and trade sectors4. The areas where this approach is prevailing are textiles with 45 districts, mechanics (38), household goods (35) and the tanning industry (20). Districts are less common in the production of paper and paperboard,

The regions with greater presence of industrial districts (2001 data) are Lombardy (27), Marche (27), Veneto (22), Tuscany (15) and Emilia Romagna (13)5. Among the 27 districts of Lombardy the most important sectors are textiles and engineering, while in the Veneto and Marche regions districts are more present in the production of household goods. In Tuscany, along with textiles the most important districts are tanning and paper, while in Emilia Romagna the presence of districts in the mechanical industry is accompanied by the food

When comparing the characteristics of Industrial Districts as previously mentioned with the concept of cluster at European level, three important common characteristics emerge. Firstly, clusters are seen as *geographic concentrations* of specialized firms, of highly skilled

fund programmes that improve service networks, in particular in the ITC sector.

in the food industry, chemicals and plastics.

industry and the production of household goods.

3 Europe INNOVA Cluster Mapping Project: Report Italy Available in: http://www.clusterobservatory.eu/upload/Policy\_Report\_Italy\_20080116.pdf>

**3.3. The "Industrial districts" in Europe** 

4 Club Distretti, Map of Italian districts, 2005.

5 ISTAT, Industry Census 2000.

Without any attempt to reorder the taxonomies in the field of industrial districts (which can be found in the literature according to the various configurations that such systems engage in), we mention some definitions and acronyms that have slightly different interpretation and, as a result, partially conflicting definitions of local systems with a high concentration of businesses: from industrial districts to system-sectors, from milieu to TPS (territorial production systems), to the RESS (regional economic and social systems). Connecting all the approaches underlying these concepts is the identification as the common element of the analysis of a system of usually small and medium enterprises operating in a homogeneous sector (or in sectors known as "auxiliary") and located in a limited socio-territorial area in which they have deep-seated social and economic relationships. The role which an industrial district can have in a competitive development of local production has stimulated in some national contexts the interest of policy makers. In Italy, Law 140, 1990, enacted to simplify and facilitate the set up of district areas, also fostered an institutional definition of the concept of Local Production System (LPS), which is an area characterized by:


Based on that definition, the industrial district can be considered a specific LPS featuring:


## **3.2. The "industrial districts" cluster in Italy**

Law No 317 of 1991 "Action for innovation and development of small enterprises" introduced in Italy the concept of industrial district (art. 36) taken up and extended by Law No 140, 1999 with reference to the Local Production System. National legislation has given regional administrations the task to define criteria and procedures for the recognition of clusters and the legal form they should have once approved.

The Region of Lombardy under Regional Law (L.R.) 7 of 1993 and Regional Law 1 of 2000 regulates the procedures for the geographical boundaries of Industrial Districts, sets up the provision of development programmes in individual districts and the creation of innovative projects for the enterprises that belong to them. In 2000 Tuscany adopted Resolution No. 69 which defines districts as "monosectorial production systems with a high presence of small medium industrial manufacturers having a strong supply chain, social and institutional relationships also present in interprovincial areas". Italian Regions did not issue any rules to formally and rigidly acknowledge districts, so it remains a very flexible approach which is closely related to the characteristics of the area and primarily addressed to contexts consisting of SMEs.

The district approach has spread as a result of economic support programmes promoted at first at regional level (eg. I-C@AST programm - a textile project being reorganized - Lombardy 2006), and later by the Ministry of Economic Development (2003-2005 -2008)3. Art.3 of Law 266/1997 (so-called Bersani Law) for the first time establishes state funding for the Regions to be used in Industrial Districts identified on the basis of Law No. 317/1991, to fund programmes that improve service networks, in particular in the ITC sector.

Another important intervention of industrial policy in favour of Districts was carried out under the Decree for the liberalization of the electricity market, which envisaged the opportunity for those entities defined as "eligible customers" in Article 2 to sign supply contracts with any producer, distributor or wholesaler in Italy and abroad. Among those considered for this option are groups formed by companies whose total consumption reaches a value greater than 30 GWh, located exclusively in the same municipality or contiguous municipalities, or in areas identified with specific acts of regional planning. New policies to support technological development in the Districts were approved in 2001 and in 2005. The last supportive action took place under the 2008 Budget which included a call for bids to grant funding to districts also engaged in improving environmental performances at level of production area. Surveys by research bodies such as the "Districts Club" and the "IPI-Institute for Industrial Promotion" reported data showing a significant presence of the district system in Italy. Here is some information resulting from the last industry census carried out by ISTAT in 2000. In Italy there are 155 districts mostly located in the Northern regions. This model of production organization involves 4,929,721 employees and 1,180,042 businesses of the manufacturing, services and trade sectors4. The areas where this approach is prevailing are textiles with 45 districts, mechanics (38), household goods (35) and the tanning industry (20). Districts are less common in the production of paper and paperboard, in the food industry, chemicals and plastics.

The regions with greater presence of industrial districts (2001 data) are Lombardy (27), Marche (27), Veneto (22), Tuscany (15) and Emilia Romagna (13)5. Among the 27 districts of Lombardy the most important sectors are textiles and engineering, while in the Veneto and Marche regions districts are more present in the production of household goods. In Tuscany, along with textiles the most important districts are tanning and paper, while in Emilia Romagna the presence of districts in the mechanical industry is accompanied by the food industry and the production of household goods.

## **3.3. The "Industrial districts" in Europe**

When comparing the characteristics of Industrial Districts as previously mentioned with the concept of cluster at European level, three important common characteristics emerge. Firstly, clusters are seen as *geographic concentrations* of specialized firms, of highly skilled

316 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

the concept of Local Production System (LPS), which is an area characterized by:

Based on that definition, the industrial district can be considered a specific LPS featuring:

Law No 317 of 1991 "Action for innovation and development of small enterprises" introduced in Italy the concept of industrial district (art. 36) taken up and extended by Law No 140, 1999 with reference to the Local Production System. National legislation has given regional administrations the task to define criteria and procedures for the recognition of

The Region of Lombardy under Regional Law (L.R.) 7 of 1993 and Regional Law 1 of 2000 regulates the procedures for the geographical boundaries of Industrial Districts, sets up the provision of development programmes in individual districts and the creation of innovative projects for the enterprises that belong to them. In 2000 Tuscany adopted Resolution No. 69 which defines districts as "monosectorial production systems with a high presence of small medium industrial manufacturers having a strong supply chain, social and institutional relationships also present in interprovincial areas". Italian Regions did not issue any rules to formally and rigidly acknowledge districts, so it remains a very flexible approach which is closely related to the characteristics of the area and primarily addressed to contexts

support regional policies for territorial development.

 Homogeneous production contexts; High concentration of enterprises; Specific internal organization.


**3.2. The "industrial districts" cluster in Italy** 

consisting of SMEs.

clusters and the legal form they should have once approved.

advantages for the cluster firms comes from G. Becattini who, in his article "From industrial sectors to industrial districts" introduced the concept of industrial district as a tool to

Without any attempt to reorder the taxonomies in the field of industrial districts (which can be found in the literature according to the various configurations that such systems engage in), we mention some definitions and acronyms that have slightly different interpretation and, as a result, partially conflicting definitions of local systems with a high concentration of businesses: from industrial districts to system-sectors, from milieu to TPS (territorial production systems), to the RESS (regional economic and social systems). Connecting all the approaches underlying these concepts is the identification as the common element of the analysis of a system of usually small and medium enterprises operating in a homogeneous sector (or in sectors known as "auxiliary") and located in a limited socio-territorial area in which they have deep-seated social and economic relationships. The role which an industrial district can have in a competitive development of local production has stimulated in some national contexts the interest of policy makers. In Italy, Law 140, 1990, enacted to simplify and facilitate the set up of district areas, also fostered an institutional definition of

<sup>3</sup> Europe INNOVA Cluster Mapping Project: Report Italy Available in:

http://www.clusterobservatory.eu/upload/Policy\_Report\_Italy\_20080116.pdf>

<sup>4</sup> Club Distretti, Map of Italian districts, 2005.

<sup>5</sup> ISTAT, Industry Census 2000.

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 319

*social cohesion tools",* which link the different and interconnected actors, thus facilitating a

At European level, two different approaches are used to identify clusters. The best known is based on *"case studies",* the gathering of *qualitative information* through interviews with local experts or research on documents and publications. The second approach regards the various *quantitative techniques* that rely on the most sophisticated economic models and are based on statistical methods which encourage to identify clusters indirectly, by measuring

There are hundreds of case studies that document the history, activities and impact of clusters on regional development, on employment and innovation. The European Cluster Observatory6 has published 25 case studies of European clusters, related to the areas and the

Through the collection of "case studies" each cluster tells "its own story" and sometimes it is difficult to compare different results. Furthermore, due to the rapid changes occurring in clusters, the results may arise from old data. Therefore, by describing relationships, processes and interactions among actors this methodology becomes an excellent tool that can be used to complement statistical analysis. With regard to *quantitative techniques,* the approach used by the European Cluster Observatory is based on indirect measurement of the effects revealed by coordinated localization of those elements that are assumed to be detectable in the presence of a cluster, such as the concentration of workers or high productivity. There are other techniques for quantitative mapping of clusters but, unlike the operational methodology7 of the European Cluster Observatory, they are not constantly

The first results came in June 2007 with the establishment of a framework of regional clusters in 31 countries, divided into 38 areas. For the first time, the quantitative analysis performed is based on a fully comparable and consistent methodology in all European countries.This method identifies clusters based on regional employment data collected by EUROSTAT and national and regional statistical sources. The approach used is deliberately based on the measurement of the effects that relationships and spillover have on the companies' choice of location, and not on the direct measurement of the dynamic

The quality and quantity of the knowledge that circulate and the *spillover* among firms located in a cluster depend on the size of the cluster, on its degree of specialization and on how well the areas are equipped and focused on the production in the main industries that make up the cluster. Therefore, the three factors *size, specialization* and *focus* can be chosen to assess whether the cluster has reached a "specialized critical mass" likely to *spillover* and develop positive relationships. Statistical mapping of Clusters by the European Cluster Observatory identifies over 2,000 regional clusters in Europe, among which clusters

7 Cluster Mapping methodology developed by the Institute for Strategy and Competitiveness, Harvard Business

the effects that are supposed to be detectable in the presence of a cluster.

updated according to changes which take place in the countries analyzed.

6 The European Cluster Observatory was founded in September 2006 by Europe INNOVA.

interactions among the forces driving the cluster.

School.

closer cooperation and interaction between them.

sectors indicated in the picture below.


Source: ISTAT 2001

**Table 1.** Presence of manufacturing districts in Italy


Source: ISTAT 2001

**Table 2.** Types of industrial districts in Italy

and capable workforce, and of supportive institutions that improve the flow and the spillover of knowledge. Secondly, the cluster is useful to reach the functional objective to *provide a range of specialized and customized services* to a specific group of firms. Finally, clusters are characterized by some social and organizational elements, called *"institutional*  *social cohesion tools",* which link the different and interconnected actors, thus facilitating a closer cooperation and interaction between them.

318 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Source: ISTAT 2001

Source: ISTAT 2001

**Table 1.** Presence of manufacturing districts in Italy

**Table 2.** Types of industrial districts in Italy

**Industry Industrial**

**Districts** 

Textile and clothing 45 63,954 537,435 Mechanics 38 56,816 587,320 Household goods 32 42,287 382,332 tanning and footwear 20 23,441 186,680 Food 7 3,781 33,304 Jewelry and musical instruments 6 13,010 116,950 Paperrmaking and printing 4 4,342 35,996 Rubber and plastic 4 4,779 48,585 **TOTAL 156 212,410 1,928,602** 

and capable workforce, and of supportive institutions that improve the flow and the spillover of knowledge. Secondly, the cluster is useful to reach the functional objective to *provide a range of specialized and customized services* to a specific group of firms. Finally, clusters are characterized by some social and organizational elements, called *"institutional* 

**Local manufacturing units** 

**Workers** 

Piedmont 12 297,034 Lombardy 27 1,745,042 Trentino-Alto Adige 4 46,814 Veneto 22 861,546 Friuli-Venezia Giulia 3 123,244 Emilia-Romagna 13 574,432 Tuscany 15 466,494 Umbria 5 61,823 MarcheMarche 27 435,063 Lazio 2 31,542 Abruzzo 6 96,859 Molise 2 4307 Campania 6 26,177 Apulia 8 144,096 Basilicata 1 9,927 Sicily 2 3,236 Sardinia 1 2,085 **ITALY 156 4,929,721** 

**Region No Districts Workers** 

At European level, two different approaches are used to identify clusters. The best known is based on *"case studies",* the gathering of *qualitative information* through interviews with local experts or research on documents and publications. The second approach regards the various *quantitative techniques* that rely on the most sophisticated economic models and are based on statistical methods which encourage to identify clusters indirectly, by measuring the effects that are supposed to be detectable in the presence of a cluster.

There are hundreds of case studies that document the history, activities and impact of clusters on regional development, on employment and innovation. The European Cluster Observatory6 has published 25 case studies of European clusters, related to the areas and the sectors indicated in the picture below.

Through the collection of "case studies" each cluster tells "its own story" and sometimes it is difficult to compare different results. Furthermore, due to the rapid changes occurring in clusters, the results may arise from old data. Therefore, by describing relationships, processes and interactions among actors this methodology becomes an excellent tool that can be used to complement statistical analysis. With regard to *quantitative techniques,* the approach used by the European Cluster Observatory is based on indirect measurement of the effects revealed by coordinated localization of those elements that are assumed to be detectable in the presence of a cluster, such as the concentration of workers or high productivity. There are other techniques for quantitative mapping of clusters but, unlike the operational methodology7 of the European Cluster Observatory, they are not constantly updated according to changes which take place in the countries analyzed.

The first results came in June 2007 with the establishment of a framework of regional clusters in 31 countries, divided into 38 areas. For the first time, the quantitative analysis performed is based on a fully comparable and consistent methodology in all European countries.This method identifies clusters based on regional employment data collected by EUROSTAT and national and regional statistical sources. The approach used is deliberately based on the measurement of the effects that relationships and spillover have on the companies' choice of location, and not on the direct measurement of the dynamic interactions among the forces driving the cluster.

The quality and quantity of the knowledge that circulate and the *spillover* among firms located in a cluster depend on the size of the cluster, on its degree of specialization and on how well the areas are equipped and focused on the production in the main industries that make up the cluster. Therefore, the three factors *size, specialization* and *focus* can be chosen to assess whether the cluster has reached a "specialized critical mass" likely to *spillover* and develop positive relationships. Statistical mapping of Clusters by the European Cluster Observatory identifies over 2,000 regional clusters in Europe, among which clusters

<sup>6</sup> The European Cluster Observatory was founded in September 2006 by Europe INNOVA.

<sup>7</sup> Cluster Mapping methodology developed by the Institute for Strategy and Competitiveness, Harvard Business School.

classified as *"industrial districts"* are 13808. The following table shows the geographical distribution of "industrial districts" clusters.

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 321

2,5% 2,9% AUTOMOTIVE AEROSPACE APPAREL BIOPHARMA BUILDING FIXTURES CHEMICAL COMMUNICATIONS CONSTR. MATERIALS CONSTRUCTION FOOD FOOTWEAR FOREST FURNITURE HEAVY MACHINERY INSTRUMENTS IT JEWELRY LEATHER LIGHTING MEDICAL METAL OIL & GAS PLASTICS POWER PRODUCTION TECH. PUBLISHING TEXTILES TOBACCO

3,0%

2,6% 2,9% 2,7%

15,5%

Even taking into account the different spatial dimensions of the European countries analyzed, the table and the graph above show a greater presence of clusters in Germany, Italy, Spain and France. Within the above mentioned countries, there is a predominance of the Construction and Food sectors with 15.5% and 10.7% respectively on the total number of districts. The Construction sector is more prevalent in Germany (27 out of 269 districts), in Italy (21 out of 158), and Spain (17 out of 104). In France, however, the greatest number of

In recent years, many initiatives have been implemented in Europe in order to create favourable conditions for the establishment of new clusters and strengthen existing ones. To date, more than 130 specific national measures in support of clusters were identified in 31 European countries and registered by the INNO-Policy Trend Chart9. Nowadays, almost all European countries have specific measures for clusters or programmes developed at national and/or regional level, suggesting that they are a key element of the national and

10,7% 3,0%

3,5%

1,8% 2,5%

3,2% 2,7%

3,3% 2,4% 2,4% 3,0% 2,8% 6,3% 2,5%

The size of clustering in a local context has critical relevance in the analysis of the environmental impact of industrial activities. When assessing the impacting factors related to a particular type of production, the characteristics of different local contexts in which that type of production produces its environmental effects have to be taken into account. Italy clearly shows how the environmental impact of some industrial sectors (textiles, tanning, ceramic) is localized around some areas where there is a high concentration of industries

**3.4. Cluster approach in the management of environmental issues** 

9 More detailed information in <http://www.proinno-europe.eu> and <http://cordis.europa.eu/erawatch>

districts is in the Food sector, with 19 out of 103 districts.

3,0%

2,8% 1,9% 2,8%

2,7%

2,5% 2,3%

Source: European Cluster Observatory

**Figure 1.** Number of Districts by Industry

regional strategies in support of innovation


Source: European Cluster Observatory

**Table 3.** Geographic Distribution of "Industrial Districts" clusters

<sup>8</sup> Clusters that do not comply with the definition of Industrial Districts were not included in the total number of clusters considered by the European Cluster Observatory. Specifically, they are: Agricultural, Business services, Distribution, Education, Entertainement, Finance, Fishing, Hospitality, Sporting, Transportation.

Even taking into account the different spatial dimensions of the European countries analyzed, the table and the graph above show a greater presence of clusters in Germany, Italy, Spain and France. Within the above mentioned countries, there is a predominance of the Construction and Food sectors with 15.5% and 10.7% respectively on the total number of districts. The Construction sector is more prevalent in Germany (27 out of 269 districts), in Italy (21 out of 158), and Spain (17 out of 104). In France, however, the greatest number of districts is in the Food sector, with 19 out of 103 districts.

Source: European Cluster Observatory

320 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

distribution of "industrial districts" clusters.

Source: European Cluster Observatory

**Table 3.** Geographic Distribution of "Industrial Districts" clusters

8 Clusters that do not comply with the definition of Industrial Districts were not included in the total number of clusters considered by the European Cluster Observatory. Specifically, they are: Agricultural, Business services,

Distribution, Education, Entertainement, Finance, Fishing, Hospitality, Sporting, Transportation.

classified as *"industrial districts"* are 13808. The following table shows the geographical

European States No Industrial Districts Percentage of total Austria 34 2.5% Belgium 19 1.4% Bulgaria 33 2.4% Cyprus 2 0.1% Denmark 18 1.3% Estonia 6 0.4% Finland 16 1.2% France 103 7.5% Germany 269 19.5% Greece 18 1.3% Ireland 7 0.5% Iceland 2 0.1% Italy 158 11.4% Latvia 3 0.2% Lithuania 9 0.7% Luxembourg 1 0.1% Malta 4 0.3% Norway 12 0.9% Netherlands 29 2.1% Poland 97 7% Portugal 27 2% United Kingdom 58 4.2% Czech Republic 61 4.4% Romania 75 5.4% Slovakia 23 1.7% Slovenia 8 0.6% Spain 104 7.5% Sweden 27 2% Switzerland 34 2.5% Turkey 83 6% Hungary 40 2.9%

In recent years, many initiatives have been implemented in Europe in order to create favourable conditions for the establishment of new clusters and strengthen existing ones. To date, more than 130 specific national measures in support of clusters were identified in 31 European countries and registered by the INNO-Policy Trend Chart9. Nowadays, almost all European countries have specific measures for clusters or programmes developed at national and/or regional level, suggesting that they are a key element of the national and regional strategies in support of innovation

## **3.4. Cluster approach in the management of environmental issues**

The size of clustering in a local context has critical relevance in the analysis of the environmental impact of industrial activities. When assessing the impacting factors related to a particular type of production, the characteristics of different local contexts in which that type of production produces its environmental effects have to be taken into account. Italy clearly shows how the environmental impact of some industrial sectors (textiles, tanning, ceramic) is localized around some areas where there is a high concentration of industries

<sup>9</sup> More detailed information in <http://www.proinno-europe.eu> and <http://cordis.europa.eu/erawatch>

from those sectors. In these cases local dimension becomes a key determinant of the significance of environmental issues for the entire industry sector and, at the same time, a key variable in coordinating an effective response by the companies.

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 323

The relational dynamics among companies and external stakeholders therefore become a crucial pressure factor to foster awareness on environmental issues within the district. By acting the same way and with the same incisiveness on a large number of similar businesses, it reinforces itself and strengthens its effects. For example, if the local population shows particular sensitivity to environmental issues, all enterprises in the district will undergo a high degree of examination from the public (which leads them to ensure continued compliance to regulations) and will be encouraged to use tools to enhance their

Other important partners for companies in the district are local institutions. Sometimes companies interact with local authorities and supervisory bodies who are open to dialogue and willing to leave some room for negotiation, or with institutions that are particularly strict as regards law enforcement and extremely demanding on the compliance with obligations and deadlines. The different attitude of institutions can mitigate or amplify the context pressure, acting in the same direction for all firms in the district. Firms can be challenged with requests from local authorities that may focus on some environmental aspects (making them more problematic) or that may promote the application of certain

Local institutions may also prove to be particularly active in promoting common solutions (subsidiaries or consortium) to the most demanding and urgent environmental problems in the district, acting as a catalyst to encourage collaboration among businesses and promoting

The local dimension represents an essential key in understanding environmental issues also because the same solution to environmental problems can be managed at district level. For example, the infrastructural equipment of a purification plant helps the industrial system in reducing the environmental impact. However, enterprises may find themselves having to directly invest in the installation of small treatment plants, which is known to result in a

Increasing awareness to environmental issues by the actors with whom the company

This is especially significant for SMEs operating within an industrial district. In fact, efforts in the direction of environmental improvement by an individual company are here associated with new knowledge and with the onset of difficulties (the environment, as we have seen, is a challenge or new "turbulence") that once overcome constitute know-how that can be shared with other firms in the district. In this process of growth also appears/arises the need for support from (and relationships with) external actors, a need common to most SMEs, which fosters the development of new "answers" to the emerging needs/demands. In a territorial dimension the resulting "networking" takes peculiar forms, leading to the development of somewhat common solutions (i.e. based on sharing tangible or intangible resources) that are tied to the specific local environment in which businesses in the district

"scattered" distribution of facilities rather than in a systematic and consistent process.

environmental commitment to the local community.

environmental policy tools (e.g.: voluntary agreements at local level).

synergy in the commitment of human, technical and financial resources.

interacts implies the need to meet certain "environmental questions".

interact.

There is no doubt that in terms of impacts on the environment, companies that operate in an industrial district have many elements in common.

First of all settlement, production and sales activities of these enterprises influence the same local ecosystem, characterized by specific and defined environmental aspects. Moreover, companies operating in one district often face similar environmental problems, because they dump the emissions from their production processes into the same receptacle: waste water that drains into the same river (eg the Bisenzio river that runs through the entire Prato textile area, or the Sarno in the Salerno tomato district) or solid waste that goes into the same landfill.

On the other hand, the high specialization of production and the usually very small size of enterprises (with all the implications in terms of limited availability of human, technical and financial resources) allows us to think of the district as an industrial area sufficiently homogeneous also in terms of production methods, degree of technology and organizational and managerial choices. The same technological and organizational matrix of the businesses in the district may show in common environmental problems that are related, for example, to the inefficiency and ineffectiveness of facilities to reduce pollution, to technology obsolescence, to inadequate structures for environmental management, cultural lag and so on.

Even relations with suppliers of equipment and components, according to the logic of "vertically integrated industry" that characterizes many districts, are often played at local level, thus also affecting the availability and appropriateness of the most innovative and advanced technological solutions for pollution prevention (think of the crucial role companies of the so-called mechano-ceramic play in the district of Sassuolo, as the almost exclusive repositories of technological know-how and, therefore, appointed to develop and propose new 'clean technology' to the ceramic businesses in the district).

A final aspect to highlight is the relationship with local stakeholders: for businesses in the district, interacting with the same community, the same institutions, the same local supervisory bodies means to deal with the same needs and requests concerning the quality of the environment. This is of fundamental importance if we consider that the significance of an environmental problem depends on the way in which it is perceived socially. The local dimension is a context where the relationship with company stakeholders is intensified, it becomes more straightforward (given the coexistence in the same area), more immediate (e.g. relationships with local institutions are more frequent than with national institutions), closer (just consider the number of residents employed by enterprises in the district). Besides, given the homogeneity of industrial activities, the physical proximity and frequent inability to attribute the environmental effects to any one production unit, enterprises in the district are considered by local partners almost as single entity.

The relational dynamics among companies and external stakeholders therefore become a crucial pressure factor to foster awareness on environmental issues within the district. By acting the same way and with the same incisiveness on a large number of similar businesses, it reinforces itself and strengthens its effects. For example, if the local population shows particular sensitivity to environmental issues, all enterprises in the district will undergo a high degree of examination from the public (which leads them to ensure continued compliance to regulations) and will be encouraged to use tools to enhance their environmental commitment to the local community.

322 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

key variable in coordinating an effective response by the companies.

industrial district have many elements in common.

landfill.

on.

from those sectors. In these cases local dimension becomes a key determinant of the significance of environmental issues for the entire industry sector and, at the same time, a

There is no doubt that in terms of impacts on the environment, companies that operate in an

First of all settlement, production and sales activities of these enterprises influence the same local ecosystem, characterized by specific and defined environmental aspects. Moreover, companies operating in one district often face similar environmental problems, because they dump the emissions from their production processes into the same receptacle: waste water that drains into the same river (eg the Bisenzio river that runs through the entire Prato textile area, or the Sarno in the Salerno tomato district) or solid waste that goes into the same

On the other hand, the high specialization of production and the usually very small size of enterprises (with all the implications in terms of limited availability of human, technical and financial resources) allows us to think of the district as an industrial area sufficiently homogeneous also in terms of production methods, degree of technology and organizational and managerial choices. The same technological and organizational matrix of the businesses in the district may show in common environmental problems that are related, for example, to the inefficiency and ineffectiveness of facilities to reduce pollution, to technology obsolescence, to inadequate structures for environmental management, cultural lag and so

Even relations with suppliers of equipment and components, according to the logic of "vertically integrated industry" that characterizes many districts, are often played at local level, thus also affecting the availability and appropriateness of the most innovative and advanced technological solutions for pollution prevention (think of the crucial role companies of the so-called mechano-ceramic play in the district of Sassuolo, as the almost exclusive repositories of technological know-how and, therefore, appointed to develop and

A final aspect to highlight is the relationship with local stakeholders: for businesses in the district, interacting with the same community, the same institutions, the same local supervisory bodies means to deal with the same needs and requests concerning the quality of the environment. This is of fundamental importance if we consider that the significance of an environmental problem depends on the way in which it is perceived socially. The local dimension is a context where the relationship with company stakeholders is intensified, it becomes more straightforward (given the coexistence in the same area), more immediate (e.g. relationships with local institutions are more frequent than with national institutions), closer (just consider the number of residents employed by enterprises in the district). Besides, given the homogeneity of industrial activities, the physical proximity and frequent inability to attribute the environmental effects to any one production unit, enterprises in the

propose new 'clean technology' to the ceramic businesses in the district).

district are considered by local partners almost as single entity.

Other important partners for companies in the district are local institutions. Sometimes companies interact with local authorities and supervisory bodies who are open to dialogue and willing to leave some room for negotiation, or with institutions that are particularly strict as regards law enforcement and extremely demanding on the compliance with obligations and deadlines. The different attitude of institutions can mitigate or amplify the context pressure, acting in the same direction for all firms in the district. Firms can be challenged with requests from local authorities that may focus on some environmental aspects (making them more problematic) or that may promote the application of certain environmental policy tools (e.g.: voluntary agreements at local level).

Local institutions may also prove to be particularly active in promoting common solutions (subsidiaries or consortium) to the most demanding and urgent environmental problems in the district, acting as a catalyst to encourage collaboration among businesses and promoting synergy in the commitment of human, technical and financial resources.

The local dimension represents an essential key in understanding environmental issues also because the same solution to environmental problems can be managed at district level. For example, the infrastructural equipment of a purification plant helps the industrial system in reducing the environmental impact. However, enterprises may find themselves having to directly invest in the installation of small treatment plants, which is known to result in a "scattered" distribution of facilities rather than in a systematic and consistent process.

Increasing awareness to environmental issues by the actors with whom the company interacts implies the need to meet certain "environmental questions".

This is especially significant for SMEs operating within an industrial district. In fact, efforts in the direction of environmental improvement by an individual company are here associated with new knowledge and with the onset of difficulties (the environment, as we have seen, is a challenge or new "turbulence") that once overcome constitute know-how that can be shared with other firms in the district. In this process of growth also appears/arises the need for support from (and relationships with) external actors, a need common to most SMEs, which fosters the development of new "answers" to the emerging needs/demands. In a territorial dimension the resulting "networking" takes peculiar forms, leading to the development of somewhat common solutions (i.e. based on sharing tangible or intangible resources) that are tied to the specific local environment in which businesses in the district interact.

Recent decades have shown the dynamic of those "common solutions" in industrial districts, connected to the different inputs and external forces that have enabled the development of strategies and tools to start up environmental management processes that could involve the whole district

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 325

new design or redevelopment of infrastructures, and planning of the production area, cleaner production, protection from pollution, energy efficiency and cooperation among enterprises. The early theorists of the concept of industrial ecology as we consider it today were scientists Robert Frosch and Nicholas Gallopolus, who in an article published in Scientific American in September 1989 defined a new strategy for the manufacturing industry: "the traditional model of industrial activity, in which production processes generate products for sale and waste for disposal, must be transformed into a more integrated model: an industrial ecosystem. This system optimizes energy and raw materials consumption up to

Other important researchers (Tibbs, Allenby, Graedel, Lowe, Holmes, Moran) contributed to the development of the concept of industrial ecology. They developed industrial ecology into a discipline based on multidisciplinary contributions aiming at the improvement of the industry-environment relationship. In 1992 Tibbs, another important pioneer, held that "*in natural systems there is no waste, meaning something that can not be absorbed constructively elsewhere in the system" coming to a key concept which is closing cycles: "...making maximum use of recycled materials in new products, optimizing the use of integrated materials and energy,* 

Thus industrial ecology considers the flow of matter and energy with the aim of significantly reducing the use of resources and pollution. It suggests the application to industrial systems and their processing/production cycles of the rules and principles that determine the functioning of non-human biological systems, of ecosystems that are characterized by symbiotic relationships and by the absence of the concept of waste. Every scrap is reintroduced into the cycle to generate energy or as raw material to start another

Both types of production area (APEA and EIP), therefore, aim at the so-called "closing cycles" of material, water and energy; they aim at sharing key environmental services (water, energy, waste) and at optimizing the organization of activities that have an impact

 The adoption of collective systems and infrastructures within the industrial area (e.g. purification plant, centralized area for storing waste, industrial water supply systems,

 The identification of a single production manager that deals with common services within the production area (e.g. collective management of waste, energy, security).

As mentioned above, Italian legislation lets the regions regulate the issue of environmentally

**4.2. Cluster "Environmentally equipped production areas and eco-industrial** 

using residues from one process...to feed other processes".

process that is essential to maintaining the overall balance.

**The cooperative approach** can be seen mainly in two basic aspects:

on the environment.

**parks" in Italy** 

power generators for the area);

equipped areas on their territory.

*minimizing waste and recovering waste as raw materials for other processes*".

## **4. Environmentally Equipped Industrial Areas (EEIA) Cluster**

## **4.1. Cluster "Environmentally equipped production areas and eco-industrial parks: definition and boundaries"**

"Industrial area" means an area with specific land uses, geographically limited, that is near or on the periphery of urban centers. The industrial area can affect one or more municipalities. "Environmentally equipped areas" were introduced in Italy by Legislative Decree no. 112/98 (the so-called "Bassanini Decree") that in Article 26 states: "The regions and the autonomous provinces of Trento and Bolzano govern, with their own laws, industrial areas and environmentally equipped areas, with infrastructures and systems necessary to guarantee the protection of health, safety and environment. The same laws govern the forms of single management of infrastructures and services in ecologically equipped areas by public or private actors... omission ... and procedures for land acquisition included in industrial areas,...omission .... The production plants located in ecologically equipped areas are exempt from the acquisition of permits concerning the use of services therein. The regions and autonomous provinces identify areas ... omission ...mainly choosing among already existing areas, zones or centres, even if partially or totally abandoned. The local authorities concerned participate in this identification procedure".

Hence, national legislation gives the individual regions the task to regulate the matter, giving some basic points of reference:


A different approach must be used as regards the so-called "eco-industrial parks" (EIP), which are spread across Europe and the world and are in a way similar to Environmentally Equipped Areas, but are usually voluntary initiatives. Eco Industrial Parks as theorized by Lowe, Moran, and Holmes are communities of manufacturing and services firms linked by a common management, and they seek to improve their environmental, economic and social performances by collaborating when addressing environmental issues and using the resources (including energy, water and materials). This integrated approach aims to achieve collective benefits that exceed the sum of individual benefits each company would separately have from the optimization of its performances. The path to achieving this goal includes a new design or redevelopment of infrastructures, and planning of the production area, cleaner production, protection from pollution, energy efficiency and cooperation among enterprises.

324 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**4. Environmentally Equipped Industrial Areas (EEIA) Cluster** 

**4.1. Cluster "Environmentally equipped production areas and eco-industrial** 

"Industrial area" means an area with specific land uses, geographically limited, that is near or on the periphery of urban centers. The industrial area can affect one or more municipalities. "Environmentally equipped areas" were introduced in Italy by Legislative Decree no. 112/98 (the so-called "Bassanini Decree") that in Article 26 states: "The regions and the autonomous provinces of Trento and Bolzano govern, with their own laws, industrial areas and environmentally equipped areas, with infrastructures and systems necessary to guarantee the protection of health, safety and environment. The same laws govern the forms of single management of infrastructures and services in ecologically equipped areas by public or private actors... omission ... and procedures for land acquisition included in industrial areas,...omission .... The production plants located in ecologically equipped areas are exempt from the acquisition of permits concerning the use of services therein. The regions and autonomous provinces identify areas ... omission ...mainly choosing among already existing areas, zones or centres, even if partially or totally abandoned. The local authorities concerned participate in this identification procedure".

Hence, national legislation gives the individual regions the task to regulate the matter,

1. environmentally equipped areas have infrastructure and systems necessary to protect

2. environmentally equipped areas are characterized by forms of centralized management

3. manufacturing plants located in environmentally equipped areas are exempt from the acquisition of permits concerning the use of services therein. [eliminato, era un copia e

A different approach must be used as regards the so-called "eco-industrial parks" (EIP), which are spread across Europe and the world and are in a way similar to Environmentally Equipped Areas, but are usually voluntary initiatives. Eco Industrial Parks as theorized by Lowe, Moran, and Holmes are communities of manufacturing and services firms linked by a common management, and they seek to improve their environmental, economic and social performances by collaborating when addressing environmental issues and using the resources (including energy, water and materials). This integrated approach aims to achieve collective benefits that exceed the sum of individual benefits each company would separately have from the optimization of its performances. The path to achieving this goal includes a

whole district

**parks: definition and boundaries"** 

giving some basic points of reference:

health, safety and environment;

of infrastructure and services;

incolla che ripeteva la frase del punto 2).

Recent decades have shown the dynamic of those "common solutions" in industrial districts, connected to the different inputs and external forces that have enabled the development of strategies and tools to start up environmental management processes that could involve the

The early theorists of the concept of industrial ecology as we consider it today were scientists Robert Frosch and Nicholas Gallopolus, who in an article published in Scientific American in September 1989 defined a new strategy for the manufacturing industry: "the traditional model of industrial activity, in which production processes generate products for sale and waste for disposal, must be transformed into a more integrated model: an industrial ecosystem. This system optimizes energy and raw materials consumption up to using residues from one process...to feed other processes".

Other important researchers (Tibbs, Allenby, Graedel, Lowe, Holmes, Moran) contributed to the development of the concept of industrial ecology. They developed industrial ecology into a discipline based on multidisciplinary contributions aiming at the improvement of the industry-environment relationship. In 1992 Tibbs, another important pioneer, held that "*in natural systems there is no waste, meaning something that can not be absorbed constructively elsewhere in the system" coming to a key concept which is closing cycles: "...making maximum use of recycled materials in new products, optimizing the use of integrated materials and energy, minimizing waste and recovering waste as raw materials for other processes*".

Thus industrial ecology considers the flow of matter and energy with the aim of significantly reducing the use of resources and pollution. It suggests the application to industrial systems and their processing/production cycles of the rules and principles that determine the functioning of non-human biological systems, of ecosystems that are characterized by symbiotic relationships and by the absence of the concept of waste. Every scrap is reintroduced into the cycle to generate energy or as raw material to start another process that is essential to maintaining the overall balance.

Both types of production area (APEA and EIP), therefore, aim at the so-called "closing cycles" of material, water and energy; they aim at sharing key environmental services (water, energy, waste) and at optimizing the organization of activities that have an impact on the environment.

**The cooperative approach** can be seen mainly in two basic aspects:


## **4.2. Cluster "Environmentally equipped production areas and eco-industrial parks" in Italy**

As mentioned above, Italian legislation lets the regions regulate the issue of environmentally equipped areas on their territory.

The spread of APEA in Italy depends on the choices promoted by each region. To date, the regions that have issued laws and regulations are:

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 327

In the various Regions there is the enactment of laws and technical regulations, the implementation of experimental projects and (albeit only recently) financing, but the reality

It is therefore difficult to identify APEAs in Italy. To date, the most advanced experiences are in Tuscany, where it is possible to identify 12 production areas involved in a qualification path towards APEA, and in Emilia Romagna, with a process of public funding

This gradual development is also linked to the fact that the different regional regulations provide for environmentally equipped areas a very broad field of application, stating that issues such as waste management, water resources, transport and logistics, security, etc.

However, some environmentally equipped areas are precursors, i.e. industrial areas that implemented solutions fully in line with the contents of Legislative Decree No 112, 1998.

For these areas the definition 'eco-industrial parks' is more correct, since they are production areas that do not fully comply with regulatory requirements of APEAs, but where environmental management initiatives such as collective management of certain

These experiences represent case studies with established characteristics in the review of Italian good practices, while actual cases of APEA will be mostly developing initiatives.

Eco industrial parks are not identical to the Italian environmentally equipped areas, but they

First, the reference cluster, identified in the industrial area intended as a geographically defined and limited area, with production activities; then the adoption of engineering and management solutions designed to reduce environmental impacts, in fact making the

Indeed, the main difference between APEAs and EIPs is that while the former are governed by technical and planning rules, often involving public entities, the latter are usually created

The involvement of the public administration is also less frequent, although it still

Eco-industrial parks are spread globally, and it is possible to find examples of success in Europe, North America and Asia. Although it is difficult to define the categories, it is interesting to highlight some elements that differentiate the European EIP from the

of APEAs in Italy has not yet established itself in terms of actual implementation.

should be dealt with, thus covering all environmental issues in a systematic way.

environmental problems (not all) were activated, or collective facilities were built.

**4.3. Environmentally equipped production areas and eco-industrial parks** 

for APEA which saw the application of 42 industrial areas.

**Cluster in Europe** 

certainly show strong similarities.

on the basis of future economic gain.

American or Asian EIP.

constitutes a major subject in many cases.

environment variable a lever for competitiveness.


In other Italian regions in which there are no laws specifically dedicated to APEA, there are other standards that facilitate the environmental management of industrial areas or the creation of EIP. It is the case with regional laws governing consortia of industrial development which are suitable structures for the collective management of a number of issues in the area, including environmental issues (eg, Friuli Venezia Giulia, Sicily).

In other cases, although APEA characteristics are not regulated by regional standards, they are often referred to in regional planning documents (eg. DOCUP 2000-2006 Regione Piemonte).

An analysis of the related regional legislation shows that regulations concerning the management of industrial areas come from different disciplines, especially laws related to planning and environmental and production activities.

In some regions the choice to go towards an APEA is compulsory, since it was decided in urban planning (e.g. Emilia Romagna), while in others the choice is voluntary (e.g.Tuscany). Although the national law was enacted over 10 years ago, its application in different regions is not settled yet, but still under development.

APEAs could potentially become a very popular model of production area in Italy, but to date there are only few cases of full implementation.

In the various Regions there is the enactment of laws and technical regulations, the implementation of experimental projects and (albeit only recently) financing, but the reality of APEAs in Italy has not yet established itself in terms of actual implementation.

326 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

440 Definition of the discipline of "Environmentally equipped areas").

Consortia for Areas, Centres and Industrial Development Zones);

regions that have issued laws and regulations are:

equipped areas in Emilia-Romagna).

Region").

areas).

Piemonte).

The spread of APEA in Italy depends on the choices promoted by each region. To date, the

 Abruzzo (R.G.D. October 10, 2003, No. 1122, "Leg. Decree March 31, 1998, number 112 - P.R.D October 20, 1998, No. 447 as amended by Presidential Decree March 31, 2000, No

Calabria (Regional Law December 24, 2001. Number 38 "New legal system for

 Emilia Romagna (Regional Law No 20/00 "General framework on the protection and use of the territory", Legislative Assembly Resolution No. 118/07 "Adoption of the Guidelines Act and technical coordination on the implementation of ecologically

 Liguria (Regional Council Resolution of December 28, 2000 No 1486 "Criteria, parameters and methods on the industrial areas and environmentally equipped areas) Marche (Regional Law n. 16/05 "Regulation of urban redevelopment and guidelines for the environmentally equipped production areas", and DGR n. 157 of 07/02/2005 "Guidelines for the ecologically equipped production areas (APEA) of Marche

 Puglia (Regional Law January 31, 2003, No. 2 "Guidelines on actions for economic development, production activities, industrial areas and environmentally equipped

Tuscany (Tuscany Regional Law No. 87 of 22/12/2003 "Ecologically equipped

In other Italian regions in which there are no laws specifically dedicated to APEA, there are other standards that facilitate the environmental management of industrial areas or the creation of EIP. It is the case with regional laws governing consortia of industrial development which are suitable structures for the collective management of a number of

In other cases, although APEA characteristics are not regulated by regional standards, they are often referred to in regional planning documents (eg. DOCUP 2000-2006 Regione

An analysis of the related regional legislation shows that regulations concerning the management of industrial areas come from different disciplines, especially laws related to

In some regions the choice to go towards an APEA is compulsory, since it was decided in urban planning (e.g. Emilia Romagna), while in others the choice is voluntary (e.g.Tuscany). Although the national law was enacted over 10 years ago, its application in different regions

APEAs could potentially become a very popular model of production area in Italy, but to

production areas. Changes to the regional law December 1, 1998, No 87").

issues in the area, including environmental issues (eg, Friuli Venezia Giulia, Sicily).

planning and environmental and production activities.

is not settled yet, but still under development.

date there are only few cases of full implementation.

It is therefore difficult to identify APEAs in Italy. To date, the most advanced experiences are in Tuscany, where it is possible to identify 12 production areas involved in a qualification path towards APEA, and in Emilia Romagna, with a process of public funding for APEA which saw the application of 42 industrial areas.

This gradual development is also linked to the fact that the different regional regulations provide for environmentally equipped areas a very broad field of application, stating that issues such as waste management, water resources, transport and logistics, security, etc. should be dealt with, thus covering all environmental issues in a systematic way.

However, some environmentally equipped areas are precursors, i.e. industrial areas that implemented solutions fully in line with the contents of Legislative Decree No 112, 1998.

For these areas the definition 'eco-industrial parks' is more correct, since they are production areas that do not fully comply with regulatory requirements of APEAs, but where environmental management initiatives such as collective management of certain environmental problems (not all) were activated, or collective facilities were built.

These experiences represent case studies with established characteristics in the review of Italian good practices, while actual cases of APEA will be mostly developing initiatives.

## **4.3. Environmentally equipped production areas and eco-industrial parks Cluster in Europe**

Eco industrial parks are not identical to the Italian environmentally equipped areas, but they certainly show strong similarities.

First, the reference cluster, identified in the industrial area intended as a geographically defined and limited area, with production activities; then the adoption of engineering and management solutions designed to reduce environmental impacts, in fact making the environment variable a lever for competitiveness.

Indeed, the main difference between APEAs and EIPs is that while the former are governed by technical and planning rules, often involving public entities, the latter are usually created on the basis of future economic gain.

The involvement of the public administration is also less frequent, although it still constitutes a major subject in many cases.

Eco-industrial parks are spread globally, and it is possible to find examples of success in Europe, North America and Asia. Although it is difficult to define the categories, it is interesting to highlight some elements that differentiate the European EIP from the American or Asian EIP.

Although there are exceptions, in general in European countries the initiator of the development process of the production area is a public actor which promotes the EIP as a solution to territorial problems. The involvement may be associated with a form of local governance. On the contrary, in Asia EIPs are usually linked to the economic value related to the application of the principles of industrial ecology, especially as concerns the issue of waste.

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 329

important aspects: urban planning, plant and infrastructure equipment, and

The search for performance excellence starts with the way in which the spaces within the industrial area are designed. The second aspect is based on using the best available techniques (eg. dual networks for the water cycle, own production of energy from cogeneration or from renewable sources) in line with national and EC legislation on Environmental Integrated Authorization (IPPC Integrated Pollution Prevention and Control) and on common spaces and facilities instead of individual ones (e.g. industrial sewage treatment plant for the entire area, common waste storage areas, centralized basins

The third aspect provides for the optimization of synergies already existing among the various businesses and the unified management of spaces and of centralized systems (e.g. provision of a grant for the recovery of waste among the firms located in the area, area

A collective management is the heart and engine of improving the environmental performance of the production area. Through the use of collective facilities and infrastructure it makes it possible to provide businesses with services that allow greater

The manager is generally an expression of the realities present on the territory, and it may

The single production manager is also responsible for the definition and implementation of an area environmental programme and for monitoring the environmental performance of the area. The Area Environmental Programme starts by analysing the existing issues and proposes solutions involving relevant local stakeholders (e.g. government, companies, trade

Existing initiatives concern the activation of virtuous mechanisms among firms (sharing of human and technological resources, materials and energy flows in an industrial environmental perspective), the delivery of services to companies by the subject tha manages the area, the infrastructural and plant elements available to the production areas.

The following table shows the main solutions of good environmental management

10 Eco-industrial park of Devens (USA); Burnside Industrial Park (Canada); Kokubo (Japan), Naroda Industrial Estate (India), LIK (Indonesia); Kalundborg (Denmark), Parc Industriel Plaine de l'Ain, Sphere EcoIndustrie D'Alsace, Syndival Lancadcres (France); Crewe Business Park, Sustainable Growth Park (U.K); Ecopark Hartberg (Austria); Vreten (Sweden); Value Park (Germany); S.Perpetua di Magoda, Parque Tecnologico de Reciclado Lopez Soriano. 11 1° Macrolotto Industriale di Prato, Z.I. Ponterosso - San Vito al Tagliamento (PN), Z.I.P. Padova, Z.I. Udine Sud, Z.I. Castello Lucento – Torino, Z.I. Valle del Biferno – Termoli, APO Ferrara, APO Ravenna, APEA Monte S. Vito (AN), APEA Pianvallico (FI), APEA Navicelli (PI), APEA Scandicci, APEA Ozzano (BO), APEA Ostellato (FE), APEA

identified in the 32 analyzed cases (17 international cases10 and 15 Italian cases11)

management.

for the collection and treatment of stormwater).

mobility management, area energy management).

be a public, private or mixed actor.

Colbordolo (PU).

associations, managers of public services).

protection and environmental control and a reduction in costs.

Another difference is related to the size of industrial areas (much bigger in Asia), which makes it easier to trade secondary raw materials. In Europe, collective solutions are usually linked to the sharing of financial and human resources (services, collective facilities).

The EIPs in North America are more similar to the European ones, although the public presence in developing the production area is lower.

A further difference between the eco-industrial parks in Europe and those outside Europe is that in Europe there are many technology parks that are classified as eco-industrial parks, i.e. areas that are not strictly involved in production, but which play a role in research, communication and promotion for the development of environmental technologies and sustainable management solutions in the production industry. It is difficult to gain a thorough knowledge of the distribution of eco-industrial parks in Europe, America and Asia since there are no institutional structures of reference.

The summary of the presence of eco industrial parks in the world was based on data collected from studies, networks and devoted sites.

A study by the University of Patras (Greece) in 2003 on the state of the art of eco-industrial parks in the world identified over 100 cases, of which 42% in the U.S., 36% in Europe, 11% in Asia and 6% in Canada. In Europe, eco-industrial parks are mainly concentrated in the North-West, especially in England, France and Scandinavia.

The geographic department of Hull University mapped a distribution of about 30 ecoindustrial parks in Europe. It points out that in some cases they are not actual industrial parks but science and technology parks or initiatives and programmes aimed at sustainable management of production areas.

In a Finnish study on eco industrial parks conducted in 2006, data on the number of ecoindustrial parks in Europe is lower and equal to 20, while North American EIPs are 36.

An investigation conducted by the Chinese 'National Commission for Development and Reform' (presented on the website of *Cleaner Production in China*) analyzed the Eco Industrial Parks initiatives undertaken in Asia. There are about 40 initiatives for environmental industrial networking or Environmental Management. These initiatives were launched in eastern Asia: China, India, Japan, Philippines, Malaysia, Taiwan, Vietnam, Thailand, Sri Lanka.

### **4.4. Features of the cluster approach in the management of environmental issues**

The environmental performances of an APEA, both in consumption of non-renewable resources and in emission of pollutants in the air, water and soil, are based on three important aspects: urban planning, plant and infrastructure equipment, and management.

328 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

linked to the sharing of financial and human resources (services, collective facilities).

presence in developing the production area is lower.

since there are no institutional structures of reference.

collected from studies, networks and devoted sites.

management of production areas.

Lanka.

North-West, especially in England, France and Scandinavia.

The EIPs in North America are more similar to the European ones, although the public

A further difference between the eco-industrial parks in Europe and those outside Europe is that in Europe there are many technology parks that are classified as eco-industrial parks, i.e. areas that are not strictly involved in production, but which play a role in research, communication and promotion for the development of environmental technologies and sustainable management solutions in the production industry. It is difficult to gain a thorough knowledge of the distribution of eco-industrial parks in Europe, America and Asia

The summary of the presence of eco industrial parks in the world was based on data

A study by the University of Patras (Greece) in 2003 on the state of the art of eco-industrial parks in the world identified over 100 cases, of which 42% in the U.S., 36% in Europe, 11% in Asia and 6% in Canada. In Europe, eco-industrial parks are mainly concentrated in the

The geographic department of Hull University mapped a distribution of about 30 ecoindustrial parks in Europe. It points out that in some cases they are not actual industrial parks but science and technology parks or initiatives and programmes aimed at sustainable

In a Finnish study on eco industrial parks conducted in 2006, data on the number of ecoindustrial parks in Europe is lower and equal to 20, while North American EIPs are 36.

An investigation conducted by the Chinese 'National Commission for Development and Reform' (presented on the website of *Cleaner Production in China*) analyzed the Eco Industrial Parks initiatives undertaken in Asia. There are about 40 initiatives for environmental industrial networking or Environmental Management. These initiatives were launched in eastern Asia: China, India, Japan, Philippines, Malaysia, Taiwan, Vietnam, Thailand, Sri

**4.4. Features of the cluster approach in the management of environmental issues** 

The environmental performances of an APEA, both in consumption of non-renewable resources and in emission of pollutants in the air, water and soil, are based on three

Although there are exceptions, in general in European countries the initiator of the development process of the production area is a public actor which promotes the EIP as a solution to territorial problems. The involvement may be associated with a form of local governance. On the contrary, in Asia EIPs are usually linked to the economic value related to the application of the principles of industrial ecology, especially as concerns the issue of waste. Another difference is related to the size of industrial areas (much bigger in Asia), which makes it easier to trade secondary raw materials. In Europe, collective solutions are usually

The search for performance excellence starts with the way in which the spaces within the industrial area are designed. The second aspect is based on using the best available techniques (eg. dual networks for the water cycle, own production of energy from cogeneration or from renewable sources) in line with national and EC legislation on Environmental Integrated Authorization (IPPC Integrated Pollution Prevention and Control) and on common spaces and facilities instead of individual ones (e.g. industrial sewage treatment plant for the entire area, common waste storage areas, centralized basins for the collection and treatment of stormwater).

The third aspect provides for the optimization of synergies already existing among the various businesses and the unified management of spaces and of centralized systems (e.g. provision of a grant for the recovery of waste among the firms located in the area, area mobility management, area energy management).

A collective management is the heart and engine of improving the environmental performance of the production area. Through the use of collective facilities and infrastructure it makes it possible to provide businesses with services that allow greater protection and environmental control and a reduction in costs.

The manager is generally an expression of the realities present on the territory, and it may be a public, private or mixed actor.

The single production manager is also responsible for the definition and implementation of an area environmental programme and for monitoring the environmental performance of the area. The Area Environmental Programme starts by analysing the existing issues and proposes solutions involving relevant local stakeholders (e.g. government, companies, trade associations, managers of public services).

Existing initiatives concern the activation of virtuous mechanisms among firms (sharing of human and technological resources, materials and energy flows in an industrial environmental perspective), the delivery of services to companies by the subject tha manages the area, the infrastructural and plant elements available to the production areas.

The following table shows the main solutions of good environmental management identified in the 32 analyzed cases (17 international cases10 and 15 Italian cases11)

<sup>10</sup> Eco-industrial park of Devens (USA); Burnside Industrial Park (Canada); Kokubo (Japan), Naroda Industrial Estate (India), LIK (Indonesia); Kalundborg (Denmark), Parc Industriel Plaine de l'Ain, Sphere EcoIndustrie D'Alsace, Syndival Lancadcres (France); Crewe Business Park, Sustainable Growth Park (U.K); Ecopark Hartberg (Austria); Vreten (Sweden); Value Park (Germany); S.Perpetua di Magoda, Parque Tecnologico de Reciclado Lopez Soriano.

<sup>11 1°</sup> Macrolotto Industriale di Prato, Z.I. Ponterosso - San Vito al Tagliamento (PN), Z.I.P. Padova, Z.I. Udine Sud, Z.I. Castello Lucento – Torino, Z.I. Valle del Biferno – Termoli, APO Ferrara, APO Ravenna, APEA Monte S. Vito (AN), APEA Pianvallico (FI), APEA Navicelli (PI), APEA Scandicci, APEA Ozzano (BO), APEA Ostellato (FE), APEA Colbordolo (PU).

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 331

*Eco – efficiency centers* Technical assistance and training to companies to improve their

SETTING UP OF BUSINESSES

of land or on behalf of the local authority.

Environmental Management System.

*Landscape protection* Preserving the environment and integrating the business with the

development of the production area. INNOVATIVE MANAGEMENT SOLUTION

of waste.

policy.

environmental taxes.

environmental program.

facilities available

in charge of the area.

construction).

*Environmental remarks in the selection of companies that wish to settle in the area* 

*Checking the companies status of compliance in terms of environmental* 

*environmental clauses in the contracts of sale for* 

*Urban-environmental* 

*Implementation of environmental management system* 

*Creation of a territorial information system of the* 

*Agenda 21 meeting to define the action for* 

*industrial* 

*cluster* 

*requirements* 

*Envisaging* 

*parcels* 

*advantages* 

safety regulations. Training and information activities for companies in the area offered directly or through third parties.

Generally carried out by drafting a questionnaire that the interested companies are required to fill in. The area manager is responsible for the selection as actor in charge of selling parcels

visits to the site at the time of installation. This service is

energy and water efficiency and in the production and disposal

Check up the relevant documentation prior to the settlement and

successfully carried out where companies have adopted an area

Provision of specific environmental clauses in contracts of sale for land parcels (e.g. when planning the areas for material handling or storage of waste) or request to adhere to the environmental

Removal of infrastructure costs, reduction of safety, health, and

surrounding landscape through a centralized management of the

Implementing an Environmental Management System complies with regulatory standards (ISO 14001 or EMAS) by the subject that manages the area. The EMS can provide a business

involvement in varying degrees, for example in the adoption of

common procedures or construction of a participatory

These elements also depend on the area of infrastructural

Development of a GIS on-line with all spatial information (geographical, cadastral and possibly environmental). The GIS is accessible by the companies settled and may represent a georeferenced base that allows performance monitoring of the area. The management of the SIT is borne by the operator or company

Organise meetings within the local Agenda 21 to encourage the productive area to address environmental sustainability issues (energy supply, waste management, cleaning, transport and


*Good management of waste from construction* 

*Collective organization of* 

*Promoting the principles of industrial ecology* 

*activities* 

*waste disposal* 

*Fostering of clean production technologies* 

*Interface between companies in the area* 

*Environment info desk*

*Support to businesses for investment and funding*

*Agreements with the provider of local public* 

*Car sharing and car* 

*environmental issues* 

*transportation* 

*pooling* 

*Training on* 

*for businesses* 

*and public administration* 

RAW MATERIAL CONSUMPTION AND WASTE MATERIALS

Implementation Standards of Urban Planning.

companies with synergic production processes.

SPREADING OF CLEAN TECHNOLOGIES

ADMINISTRATIVE SUPPORT FOR COMPANIES

by the Municipality.

and stops.

of environmental certification.

TRANSPORTATION

in both commuting and missions.

TRAINING AND TECHNICAL SUPPORT

more frequently, by third parties.

Recovery and safe disposal of waste generated during

It refers in particular to the special waste collection from businesses, which can be performed by the area operator or,

Exchange activities among enterprises from the perspective of recovery and reuse of waste used as secondary raw materials. Usually there are specific agreements among a limited number of

Provision of research facilities; promotion of innovative solutions also through exhibition spaces; activation of pilot projects. Initiatives are generally aimed at creating of new jobs.

The area manager acts as mediator between businesses and the public administration with regard to administrative proceedings. The service can be simply informative (the manager contacts the

local authority to obtain information and passes on said information to the interested companies) or it may concern the drafting of forms or the actual issuance of permits as delegated

Setting up an information service on environmental issues regarding regulatory obligations and as support for the processes

Activities carried out by the area manager for businesses as regards investments and research of grants and funding.

Study of traffic flows and routes from home to work, on the basis of which the single manager signs agreements with the provider of public transport to improve the service in terms of frequency

Setting up a system of vehicles to stimulate the activation of a system of collective transport, as an alternative to the use of individual private vehicles. The initiative aims at reducing traffic

Courses for technical business personnel organized by the area manager, aimed at a proper application of environmental and

construction activities. The Italian experience demonstrates the success of the initiative when the monitoring activity carried out by the operator is accompanied by specific requirements in the



Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 333

supply management theory13 (De Witt et al., 2006; Mentzer et al., 2001). In fact, supply chain management aims at producing benefits for companies that are part of the chain through process integration and the set up of long term relationships (cooperation, trust) among companies. When companies belonging to the same supply chain operate in the same geographical context, they benefit from coordination and from the boost to competitiveness and innovation that comes from their geographical proximity (Mentzer et

To sum up, according to Porter the factors that characterize the cluster can be identified in geographical proximity, production specialization and in the interaction among the different

In this sense and for the purposes of our analysis it is relevant to note that proximity both upstream and downstream the supply chain is what facilitates interaction and promotes a

Some studies aimed at providing empirical evidence of the existence of positive synergies, in terms of the impact on competitive performances that arises from belonging to a cluster. According to De Witt et al. (2001), the geographical proximity of firms belonging to a supply chain allows long-term competitive advantages that are more stable than those achieved by outsourcing to distant companies. Other studies highlight that the relational factors that characterize the relationship between buyers and suppliers belonging to the same cluster are able to enhance their performance in the long run (Noordewier *et al*. 1990; Corsten and Kumar, 2005). More specifically, the key elements that determine long-term competitive advantages are the *interdependence*, the mutual *trust* and *shared goals and commitments* that pervade the relationship among actors in the chain within a cluster, and the reduction of conflicts among

the actors themselves (Ganeson, 1994, Doney and Cannon, 1997, Kumar et al., 1995).

A second important connecting element between cluster and supply chain refers to a particular connotation of the cluster, defined by the presence of a large multinational company surrounded by a 'halo' of suppliers ("A large demanding purchaser, such as a major multinational firm […] surrounded by a 'halo' of suppliers", Johnston, 2003). In this respect, territorial location still plays a central role in the competitive dynamics of the cluster: the proximity of suppliers of a large enterprise allows for the development of agglomeration economies thanks to the direct or indirect links that are established between

13 In spite of the popularity of the *supply chain management* both in theory and in practice, there is no unanimous agreement on its meaning, also because its development in the managerial and academic fields is relatively recent. In his important work of 2001 ('*Defining Supply Chain Management'*), Mentzer defines the supply chain management, or management of the supply chain, *'a systemic, strategic coordination of the traditional business functions within a particular company and across businesses within the supply chain, for the purposes of improving the long-term performance of the individual companies and the supplu chain as a whole'* (Mentzer, 2001). With 'supply chain' he means '*a set of three or more companies directly linked by one or more of the upstream and downstream flows of products, services, finances, and information from the* 

al., 2001).

actors in the cluster.

continuous exchange of ideas and innovations.

the economic activities upstream and downstream.

*source to the ultimate customer*' (Mentzer, 2001).

**Table 4.** Solutions for good environmental management

## **5. Cluster supply chain**

## **5.1. Cluster "supply chain": definition and boundaries**

The concept of this kind of cluster is not yet an 'autonomous' element in the economic literature, as is rather the case for other types of clusters (for example the large and consolidated strand of economic literature on *industrial districts*, or the most recent and innovative one on *environmentally equipped production areas*).

Although the meaning has not been conceptually developed yet, references to the 'supply chain' cluster are widespread and detectable in several contexts, both legal and academical.

Starting from Porter's remarks (1990), the *cluster theory* originally focused on identifying the key features of the 'cluster entity', with the aim of analyzing the ways in which its operation functioning mechanisms and its internal dynamics are able to determine a competitive advantage for businesses/industries belonging to the cluster itself. According to Porter, clusters are geographic concentrations of interconnected companies, specialized providers, service providers, and associated institutions in a particular field12. Firms located in the same area have the opportunity to operate with ease, in coordination along the value chain. The cluster is based not only on goods and *material* resources, but also on *intangible* resources such as development and exchange of knowledge, expertise, and relationships. These elements make a territorial area unique, an area in which human factor and knowledge make the difference when compared to any other area.

In other words, the supply chain is conceived as a geographically defined element within the cluster. This approach is confirmed by that part of literature aimed at investigating the connections between cluster theory, supply chain and supply chain management theory. This is a trend not developed theoretically and empirically yet, but which contributes to clarify some important aspects of the relationship between cluster and supply chain. Some authors observe that one of the key elements of Porter's cluster theory - the benefit deriving from knowledge exchange and cooperation between firms - is shared by the theorists of the

<sup>12 &</sup>quot;*A cluster is a geographically proximate group of interconnected companies and associated institutions in a particular field, linked by commonalities and complementarities*" (Porter, 1998).

supply management theory13 (De Witt et al., 2006; Mentzer et al., 2001). In fact, supply chain management aims at producing benefits for companies that are part of the chain through process integration and the set up of long term relationships (cooperation, trust) among companies. When companies belonging to the same supply chain operate in the same geographical context, they benefit from coordination and from the boost to competitiveness and innovation that comes from their geographical proximity (Mentzer et al., 2001).

332 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

associations) and citizens.

**Table 4.** Solutions for good environmental management

**5.1. Cluster "supply chain": definition and boundaries** 

innovative one on *environmentally equipped production areas*).

knowledge make the difference when compared to any other area.

*linked by commonalities and complementarities*" (Porter, 1998).

*Definition of an environmental action plan based on* 

*performance standards* 

**5. Cluster supply chain** 

Through working groups involving representatives of companies

Participation of local communities and businesses in programs of environmental action through the application of standards of

certification. The standards are defined by a committee made up

can address problems related to environmental issues and

identify solutions that best suited for that territory.

environmental, social and economic performance and

of representatives of local production activities (trade

The concept of this kind of cluster is not yet an 'autonomous' element in the economic literature, as is rather the case for other types of clusters (for example the large and consolidated strand of economic literature on *industrial districts*, or the most recent and

Although the meaning has not been conceptually developed yet, references to the 'supply chain' cluster are widespread and detectable in several contexts, both legal and academical.

Starting from Porter's remarks (1990), the *cluster theory* originally focused on identifying the key features of the 'cluster entity', with the aim of analyzing the ways in which its operation functioning mechanisms and its internal dynamics are able to determine a competitive advantage for businesses/industries belonging to the cluster itself. According to Porter, clusters are geographic concentrations of interconnected companies, specialized providers, service providers, and associated institutions in a particular field12. Firms located in the same area have the opportunity to operate with ease, in coordination along the value chain. The cluster is based not only on goods and *material* resources, but also on *intangible* resources such as development and exchange of knowledge, expertise, and relationships. These elements make a territorial area unique, an area in which human factor and

In other words, the supply chain is conceived as a geographically defined element within the cluster. This approach is confirmed by that part of literature aimed at investigating the connections between cluster theory, supply chain and supply chain management theory. This is a trend not developed theoretically and empirically yet, but which contributes to clarify some important aspects of the relationship between cluster and supply chain. Some authors observe that one of the key elements of Porter's cluster theory - the benefit deriving from knowledge exchange and cooperation between firms - is shared by the theorists of the

12 "*A cluster is a geographically proximate group of interconnected companies and associated institutions in a particular field,* 

To sum up, according to Porter the factors that characterize the cluster can be identified in geographical proximity, production specialization and in the interaction among the different actors in the cluster.

In this sense and for the purposes of our analysis it is relevant to note that proximity both upstream and downstream the supply chain is what facilitates interaction and promotes a continuous exchange of ideas and innovations.

Some studies aimed at providing empirical evidence of the existence of positive synergies, in terms of the impact on competitive performances that arises from belonging to a cluster. According to De Witt et al. (2001), the geographical proximity of firms belonging to a supply chain allows long-term competitive advantages that are more stable than those achieved by outsourcing to distant companies. Other studies highlight that the relational factors that characterize the relationship between buyers and suppliers belonging to the same cluster are able to enhance their performance in the long run (Noordewier *et al*. 1990; Corsten and Kumar, 2005). More specifically, the key elements that determine long-term competitive advantages are the *interdependence*, the mutual *trust* and *shared goals and commitments* that pervade the relationship among actors in the chain within a cluster, and the reduction of conflicts among the actors themselves (Ganeson, 1994, Doney and Cannon, 1997, Kumar et al., 1995).

A second important connecting element between cluster and supply chain refers to a particular connotation of the cluster, defined by the presence of a large multinational company surrounded by a 'halo' of suppliers ("A large demanding purchaser, such as a major multinational firm […] surrounded by a 'halo' of suppliers", Johnston, 2003). In this respect, territorial location still plays a central role in the competitive dynamics of the cluster: the proximity of suppliers of a large enterprise allows for the development of agglomeration economies thanks to the direct or indirect links that are established between the economic activities upstream and downstream.

<sup>13</sup> In spite of the popularity of the *supply chain management* both in theory and in practice, there is no unanimous agreement on its meaning, also because its development in the managerial and academic fields is relatively recent. In his important work of 2001 ('*Defining Supply Chain Management'*), Mentzer defines the supply chain management, or management of the supply chain, *'a systemic, strategic coordination of the traditional business functions within a particular company and across businesses within the supply chain, for the purposes of improving the long-term performance of the individual companies and the supplu chain as a whole'* (Mentzer, 2001). With 'supply chain' he means '*a set of three or more companies directly linked by one or more of the upstream and downstream flows of products, services, finances, and information from the source to the ultimate customer*' (Mentzer, 2001).

More recently, the literature recognizes the need to introduce a new meaning of the word cluster alongside its more 'traditional' concept. Nowadays, the technological improvement of communication systems and of distribution networks at global level makes it possible to talk of 'virtual' clusters, where the element of geographical proximity is missing while emphasis is placed on features such as exchange and sharing of information and knowledge among the actors in the cluster (Johnston, 2003).

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 335

The literature recognizes a strong similarity between this role and the one that in the context of the supply chain management theory is played by the Supply Chain Facilitator (SCF), the person that guides the relationships among actors in a supply chain, and encourages the development of relationships and cooperation among them. If this role was originally played by the large multinational company, in the context of the current '"knowledge-based economy'" its function can be successfully carried out by other bodies - such as universities, associations, local institutions, *ad hoc* coordinating organizations - that belong to the same

As abovementioned, for the purposes of this analysis we should highlight how within this theoretical model it is possible to trace a first description of cluster as a type of "supply chain", relating to a local chain dimension, coinciding or included in the 'classic' industrial district, physically located in a given territorial area. The cluster supply chain is especially notable for the presence of a primary industry supported by several companies specializing in various phases of the industry. Thanks to territorial proximity and the presence of a socially cohesive community, these companies have the ability to easily operate by

With respect to this first description, the literature emphasizes how clusters linked to local industries represent an area of strong identification and specialization in the economy of many Italian regions, although generally the cluster does not reach the regional dimension (Bardi, Bertini, 2005 ). In many contexts, some leading companies' ability to grow and export can foster local induced activities and is an example increasingly imitated by dynamic new small businesses, a catalyst of growth processes and territorial specialization. Examples of chains related to this meaning may be found in many traditional Italian industrial districts. Consider, for example, the area between Carpi and Reggio Emilia for knitwear and clothing, the area of Forlì and Cesena for the food industry, the Bassa Bresciana for shoe

More recently, the literature shows how in many cases this type of articulation of the cluster supply chain reached maturity during the 90s, and how the highest degree of complexity of the industry and the increased competition on international markets led to an expansion of the classical concept of district, which meant an area in which a single homogeneous production chain was focused. To respond to these changes, the new articulation of a cluster is as metadistrict, that is a territorial chain not concentrated locally, but that creates a widespread, sectorially specialized network - on a regional, multi-regional or national scale with strong interaction/interdependence/competition among the business realities belonging to it. In many cases this connotation can be traced back to the development of products that identify the so-called 'Made in Italy' in some specific areas (typically the North East of the country and Tuscany), mainly focusing on sectors such as fashion, home, typical food products (e.g, buffalo mozzarella in Campania, bresaola of the Valtellina), light engineering

manufacturers, the furniture chain located between Matera and Puglia, etc.

(e.g. the biomedical field in Emilia-Romagna) (Rullani, 2002).

cluster as the socio-economic actors in the supply chain (Sureephong *et al.* 2008).

**5.2. Supply chain cluster in Italy** 

coordinating along the value chain (Sacco, Ferilli, 2006).

According to Rullani14, this new type of cluster is characterized by an "evolved" form of proximity, not only physical but also virtual, among people and businesses that use technological mediation to develop 'close relationships' (easy, frequent, reliable, complex) even when they are physically distant from each other, thus replicating in a virtual space the benefits of proximity that in the past were a typical (and almost exclusive) characteristic of the territory.

The academic theory of virtual clusters is joined by their institutional recognition. In its working paper annexed to the EC Communication "Towards world-class clusters in the European Union: Implementing the broad-based innovation strategy" [COM(2008)652]15, the European Commission, while recognizing that most definitions of cluster focus on two factors - the concentration of one or more sectors in a given geographical area and the importance of networking and cooperation among enterprises and institutions - indicates that the spatial dimension of a cluster is variable and not necessarily limited to certain geographic boundaries, depending, among other things, on the ability and willingness of its actors to perform changes that are functional for the development and preservation of relationships that feed the cluster itself.

The definition of clusters developed by the OECD makes the "release" of the concept from the element of geographical proximity even more explicit, emphasizing once again the production and exchange of knowledge within the value chain as a key element of identity of the cluster "Clusters are characterised as networks of production of strongly interdependent firms, knowledge-producing agents and customers linked to each other in a value-adding production chain" (OECD, 1999).

A final element of analysis comes from recent literature aimed at defining the links between the concepts of cluster and supply chain in the context of today's 'knowledge-based economy''. If it is true that the cluster theory in general takes a macroeconomic perspective in which the theories on supply chain refer to a purely microeconomic level, it is possible to recognize some key elements the two theories share and that can lead to the identification of significant similarities between the two concepts (Sureephong et al., 2008). In particular, the success of a cluster is often due to the presence of a Cluster Development Agent (CDA), an organizational entity that represents the different socio-economic actors in a cluster, acts as coordinator and facilitator of cooperative dynamics among the actors, promoting knowledge sharing, innovation, the ability to communicate and the mutual recognition and trust16.

<sup>14</sup> Enzo Rullani, *Cluster: tendenze e scenari nell'economia globalizzata*, "Pattern of clusters evolutions" conference proceedings, Venezia.

<sup>15</sup> European Commission (2008b).

<sup>16</sup> Notice how this role and functions correspond to what in the context of E.U. policies are the tasks of the governing body of a cluster that is established when a cluster is 'institutionalized' (Cfr.: CE, 2002).

The literature recognizes a strong similarity between this role and the one that in the context of the supply chain management theory is played by the Supply Chain Facilitator (SCF), the person that guides the relationships among actors in a supply chain, and encourages the development of relationships and cooperation among them. If this role was originally played by the large multinational company, in the context of the current '"knowledge-based economy'" its function can be successfully carried out by other bodies - such as universities, associations, local institutions, *ad hoc* coordinating organizations - that belong to the same cluster as the socio-economic actors in the supply chain (Sureephong *et al.* 2008).

## **5.2. Supply chain cluster in Italy**

334 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

among the actors in the cluster (Johnston, 2003).

relationships that feed the cluster itself.

value-adding production chain" (OECD, 1999).

proceedings, Venezia.

15 European Commission (2008b).

More recently, the literature recognizes the need to introduce a new meaning of the word cluster alongside its more 'traditional' concept. Nowadays, the technological improvement of communication systems and of distribution networks at global level makes it possible to talk of 'virtual' clusters, where the element of geographical proximity is missing while emphasis is placed on features such as exchange and sharing of information and knowledge

According to Rullani14, this new type of cluster is characterized by an "evolved" form of proximity, not only physical but also virtual, among people and businesses that use technological mediation to develop 'close relationships' (easy, frequent, reliable, complex) even when they are physically distant from each other, thus replicating in a virtual space the benefits of proximity that in the past were a typical (and almost exclusive) characteristic of the territory. The academic theory of virtual clusters is joined by their institutional recognition. In its working paper annexed to the EC Communication "Towards world-class clusters in the European Union: Implementing the broad-based innovation strategy" [COM(2008)652]15, the European Commission, while recognizing that most definitions of cluster focus on two factors - the concentration of one or more sectors in a given geographical area and the importance of networking and cooperation among enterprises and institutions - indicates that the spatial dimension of a cluster is variable and not necessarily limited to certain geographic boundaries, depending, among other things, on the ability and willingness of its actors to perform changes that are functional for the development and preservation of

The definition of clusters developed by the OECD makes the "release" of the concept from the element of geographical proximity even more explicit, emphasizing once again the production and exchange of knowledge within the value chain as a key element of identity of the cluster "Clusters are characterised as networks of production of strongly interdependent firms, knowledge-producing agents and customers linked to each other in a

A final element of analysis comes from recent literature aimed at defining the links between the concepts of cluster and supply chain in the context of today's 'knowledge-based economy''. If it is true that the cluster theory in general takes a macroeconomic perspective in which the theories on supply chain refer to a purely microeconomic level, it is possible to recognize some key elements the two theories share and that can lead to the identification of significant similarities between the two concepts (Sureephong et al., 2008). In particular, the success of a cluster is often due to the presence of a Cluster Development Agent (CDA), an organizational entity that represents the different socio-economic actors in a cluster, acts as coordinator and facilitator of cooperative dynamics among the actors, promoting knowledge sharing, innovation, the ability to communicate and the mutual recognition and trust16.

14 Enzo Rullani, *Cluster: tendenze e scenari nell'economia globalizzata*, "Pattern of clusters evolutions" conference

16 Notice how this role and functions correspond to what in the context of E.U. policies are the tasks of the governing

body of a cluster that is established when a cluster is 'institutionalized' (Cfr.: CE, 2002).

As abovementioned, for the purposes of this analysis we should highlight how within this theoretical model it is possible to trace a first description of cluster as a type of "supply chain", relating to a local chain dimension, coinciding or included in the 'classic' industrial district, physically located in a given territorial area. The cluster supply chain is especially notable for the presence of a primary industry supported by several companies specializing in various phases of the industry. Thanks to territorial proximity and the presence of a socially cohesive community, these companies have the ability to easily operate by coordinating along the value chain (Sacco, Ferilli, 2006).

With respect to this first description, the literature emphasizes how clusters linked to local industries represent an area of strong identification and specialization in the economy of many Italian regions, although generally the cluster does not reach the regional dimension (Bardi, Bertini, 2005 ). In many contexts, some leading companies' ability to grow and export can foster local induced activities and is an example increasingly imitated by dynamic new small businesses, a catalyst of growth processes and territorial specialization. Examples of chains related to this meaning may be found in many traditional Italian industrial districts. Consider, for example, the area between Carpi and Reggio Emilia for knitwear and clothing, the area of Forlì and Cesena for the food industry, the Bassa Bresciana for shoe manufacturers, the furniture chain located between Matera and Puglia, etc.

More recently, the literature shows how in many cases this type of articulation of the cluster supply chain reached maturity during the 90s, and how the highest degree of complexity of the industry and the increased competition on international markets led to an expansion of the classical concept of district, which meant an area in which a single homogeneous production chain was focused. To respond to these changes, the new articulation of a cluster is as metadistrict, that is a territorial chain not concentrated locally, but that creates a widespread, sectorially specialized network - on a regional, multi-regional or national scale with strong interaction/interdependence/competition among the business realities belonging to it. In many cases this connotation can be traced back to the development of products that identify the so-called 'Made in Italy' in some specific areas (typically the North East of the country and Tuscany), mainly focusing on sectors such as fashion, home, typical food products (e.g, buffalo mozzarella in Campania, bresaola of the Valtellina), light engineering (e.g. the biomedical field in Emilia-Romagna) (Rullani, 2002).

In this respect, the cluster supply chain is characterized by the different role of territorial contiguity of businesses with regard to cooperative and competitive dynamics that characterize it. Studies and remarks note how the metadistrict was established to overcome the old links among companies - where proximity is a prerequisite for the existence of relationships that can trigger processes of technological exchange and learning – by creating new links related to the development of new technologies and services necessary to keep those companies competitive. Globalization and new information technologies do not "disengage" companies from the territory, but help to provide the cluster with another operational dimension, in addition to and not as a replacement of the local dimension (Zucchetti, 2003).

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 337

and expanded through access to that global network of virtual proximity and

If, in general, our country sees setbacks in the rise of virtual clusters (mainly due to the difficulty for the traditional districts/clusters of SMEs to evolve rapidly19), the third path here outlined leads to the identification of a third type of supply chain cluster in Italy, defined in terms of **'trade mark' (or 'brand') industry.** The connotation, though not prevalent in the Italian production reality (characterized by a structure of small and medium enterprises), can be recognized in all those cases in which large companies and/or multinational companies or large chains (whether the property be domestic or foreign) operate on a national scale through a widespread and 'loyal' network of suppliers and subcontractors. The following section presents in detail this specific type of supply chain

While in Italy the patterns adopted by the supply chain cluster are significantly influenced by the specificity of the economic and social fabric, in the rest of Europe chain clusters are generally configured as business combinations, often multi-sectoral, linked by supply relationships (of goods and services) at different levels with large leading companies and/or

Due to globalization, in recent decades the European context has wirnessed the emergence of the concept of cluster supply chain in terms of virtual aggregation. As anticipated, this type developes around large companies that become a drive of the territorial development of some industrial areas at regional level, through processes of "virtualization" of the flow of information and of internationalization of the supply and distribution networks. These companies are able to stimulate and support the growth of competitiveness poles of global significance, within which operate production chains belonging to one or more related

Many corporations belonging to different sectors, such as IKEA, Ericsson, ABB, H&M,

Therefore, in this type of cluster the globalization of the supply chain and of innovation goes hand in hand with the strategic importance of the so-called *'local environments'*. While local markets seem to have exhausted their function of driving force for most goods and services, the local concentration of activities related to various production sectors (old and new) continues to act as a driver of (multinational) business innovation. In other words, the multinational companies' ability to compete is linked to their ability to act as *"insiders"* (through their branches or subsidiaries) within the most dynamic regional clusters, and to

19 Among the main factors that hinder the 'virtual' development of Italian districts and clusters, the literature identifies chronic saturation of work environment (full employment), of infrastructures (congestion), of free space (crowding),

coexistence made possible by the multinational company itself.

cluster, widely present in the European and international context.

**5.3. Supply chain cluster in Europe** 

multinational corporations.

manufacturing sectors.

Volvo, belong to this type of cluster (Sölvell, 2006).

and of environmental tolerances (with balanced under constant stress) (Rullani, ib.).

The change of competitive scenarios also influence the *nature of relationships among companies within the supply chains and production chains*. While within the traditional districts of the '70s and '80s the relationships among companies along the supply chain are basically egalitarian, mostly informal and usually direct, beginning from the '90s these characteristics deeply change. The stability of the suppliers' relationship with a limited number of clients, typically located within the district, is no longer a 'dogma', i.e. the degree of 'mobility' of the system is increasing.

Furthermore, to support the internationalization and export activity aimed at enhancing the 'Made in Italy', territorial production chains sometimes adopt a form of 'twinning' among the original industrial districts. Aggregation, in these cases, also aims at improving the awareness of belonging to a quality industry, promoting high visibility of the territories, increasing transparency and credibility with all stakeholders - investors, tour operators, consumers, etc. - and especially at increasing cooperation among industrial districts within a sector at national level17 (Fontana, 2007). Consider, for example, the chain of leather products for shoes and clothing in Tuscany, or the textile chain in Lombardy.

Finally, the literature recognizes that even in our country the previously defined *virtual clusters* are taking shape. According to Rullani18, a virtual cluster may arise from very different evolutionary paths:


<sup>17</sup> An example is the 'agro-ichthyc-food industry' twinning between the districts of *San Daniele del Friuli* (famous for the prosciutto *Dop*), *Nocera Inferiore-Gragnano* (famous for its tomatoes and pasta), *Mazara del Vallo Co.S.Va.P.* (fisheries) and *Vulture* (specialized in wine, fruit and vegetables, olive oil, cheeses and dairy products) (Fontana, 2007). <sup>18</sup> *Ibidem.* 

and expanded through access to that global network of virtual proximity and coexistence made possible by the multinational company itself.

If, in general, our country sees setbacks in the rise of virtual clusters (mainly due to the difficulty for the traditional districts/clusters of SMEs to evolve rapidly19), the third path here outlined leads to the identification of a third type of supply chain cluster in Italy, defined in terms of **'trade mark' (or 'brand') industry.** The connotation, though not prevalent in the Italian production reality (characterized by a structure of small and medium enterprises), can be recognized in all those cases in which large companies and/or multinational companies or large chains (whether the property be domestic or foreign) operate on a national scale through a widespread and 'loyal' network of suppliers and subcontractors. The following section presents in detail this specific type of supply chain cluster, widely present in the European and international context.

## **5.3. Supply chain cluster in Europe**

336 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

(Zucchetti, 2003).

increasing.

<sup>18</sup> *Ibidem.* 

different evolutionary paths:

In this respect, the cluster supply chain is characterized by the different role of territorial contiguity of businesses with regard to cooperative and competitive dynamics that characterize it. Studies and remarks note how the metadistrict was established to overcome the old links among companies - where proximity is a prerequisite for the existence of relationships that can trigger processes of technological exchange and learning – by creating new links related to the development of new technologies and services necessary to keep those companies competitive. Globalization and new information technologies do not "disengage" companies from the territory, but help to provide the cluster with another operational dimension, in addition to and not as a replacement of the local dimension

The change of competitive scenarios also influence the *nature of relationships among companies within the supply chains and production chains*. While within the traditional districts of the '70s and '80s the relationships among companies along the supply chain are basically egalitarian, mostly informal and usually direct, beginning from the '90s these characteristics deeply change. The stability of the suppliers' relationship with a limited number of clients, typically located within the district, is no longer a 'dogma', i.e. the degree of 'mobility' of the system is

Furthermore, to support the internationalization and export activity aimed at enhancing the 'Made in Italy', territorial production chains sometimes adopt a form of 'twinning' among the original industrial districts. Aggregation, in these cases, also aims at improving the awareness of belonging to a quality industry, promoting high visibility of the territories, increasing transparency and credibility with all stakeholders - investors, tour operators, consumers, etc. - and especially at increasing cooperation among industrial districts within a sector at national level17 (Fontana, 2007). Consider, for example, the chain of leather

Finally, the literature recognizes that even in our country the previously defined *virtual clusters* are taking shape. According to Rullani18, a virtual cluster may arise from very

1. From *previously existent clusters* that learn to master new technologies, combining the advantages of the existing local network with the advantages deriving from long

2. From *medium enterprises*, once "plunged" in a regional system, that use new information technologies to extend their supply and distribution networks in the global circuit

 From *multinational companies*, that discover the importance of differences and specificities of each territory they have access to, eventually anchoring themselves permanently to certain territorial specializations. These specializations are enhanced

17 An example is the 'agro-ichthyc-food industry' twinning between the districts of *San Daniele del Friuli* (famous for the prosciutto *Dop*), *Nocera Inferiore-Gragnano* (famous for its tomatoes and pasta), *Mazara del Vallo Co.S.Va.P.* (fisheries) and

*Vulture* (specialized in wine, fruit and vegetables, olive oil, cheeses and dairy products) (Fontana, 2007).

products for shoes and clothing in Tuscany, or the textile chain in Lombardy.

distance relationships and multi-territorial sharing;

(without losing their roots in the area of origin);

While in Italy the patterns adopted by the supply chain cluster are significantly influenced by the specificity of the economic and social fabric, in the rest of Europe chain clusters are generally configured as business combinations, often multi-sectoral, linked by supply relationships (of goods and services) at different levels with large leading companies and/or multinational corporations.

Due to globalization, in recent decades the European context has wirnessed the emergence of the concept of cluster supply chain in terms of virtual aggregation. As anticipated, this type developes around large companies that become a drive of the territorial development of some industrial areas at regional level, through processes of "virtualization" of the flow of information and of internationalization of the supply and distribution networks. These companies are able to stimulate and support the growth of competitiveness poles of global significance, within which operate production chains belonging to one or more related manufacturing sectors.

Many corporations belonging to different sectors, such as IKEA, Ericsson, ABB, H&M, Volvo, belong to this type of cluster (Sölvell, 2006).

Therefore, in this type of cluster the globalization of the supply chain and of innovation goes hand in hand with the strategic importance of the so-called *'local environments'*. While local markets seem to have exhausted their function of driving force for most goods and services, the local concentration of activities related to various production sectors (old and new) continues to act as a driver of (multinational) business innovation. In other words, the multinational companies' ability to compete is linked to their ability to act as *"insiders"* (through their branches or subsidiaries) within the most dynamic regional clusters, and to

<sup>19</sup> Among the main factors that hinder the 'virtual' development of Italian districts and clusters, the literature identifies chronic saturation of work environment (full employment), of infrastructures (congestion), of free space (crowding), and of environmental tolerances (with balanced under constant stress) (Rullani, ib.).

globally coordinate activities in order to connect in large-scale networks global markets and the innovative thrust deriving from local clusters20 (Sölvell, 2002).

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 339

As previously stated, the first trend refers to the so-called Green Supply Chain Management, or that part of the literature born by integrating and "contaminating" environmental management and supply chain management studies, and targeted at investigating supply chain approaches and management logic from an environmental point of view (Srivastava, 2007)22. This is a trend literature regards as underdeveloped although potentially fertile for investigation, and so far studied in depth only in relation to certain phases or activities of the supply chain *viewed individually* (eg. green design, green procurement, reverse logistics, etc.) (Srivastava, 2007; Sharfman *et al.,* 2009). Conversely, the same literature agrees in giving particular importance to studies and contributions that on the one hand account for the reasons for adopting environmental supply chain management practices, and on the other hand account for the benefits and difficulties related to the

At the empirical level, studies have shown the existence of a wide range of internal and external factors that may push companies to expand the environmental management to upstream and downstream supply chain activities: from the need to respond to increasing *pressures from external stakeholders* (e.g. consumers or institutions), to the need to *ensure compliance to more stringent environmental regulatory requirements*, to reasons of a *strategic nature*, or related to the opportunity to gain a competitive advantage (Sharfman *et al*. 2009; Darnall *et al.* 2008; Nawrocka, 2008). Corbett and Decroix (2001) affirm that nowadays the need to extend environmental management practices to the supply chain to improve performances is so recurrent in studies it has become a 'mantra' ("We have heard [...] various versions of the 'mantra': 'the next step forward in environmental improvement lies in

Important for the purposes of this analysis are those studies that investigate the reasons that push companies to extend the environmental management to the supply chain under a cooperative approach. In this context, the empirical contributions emphasize how - beyond the reasons more closely tied to a proactive and '"value-driven"' environmental management - the key element that pushes companies towards a logic of cooperation with suppliers is mainly due to the uncertainty of information that governs the nature and extent of environmental impacts associated with the production process upstream and downstream activities, and the complexity and difficulty of decision-making processes frequently created

In the context of a relatively scarce literature it is significant to note that some recent studies focus on the relationship linking the adoption and implementation of an Environmental Management System and the development of supply chain management practices, with the main objective to investigate (i) if and what kind of correlation exists in the adoption of these management practices, that is (ii) if and to what extent the adoption of one practice

The process of gradual 'opening' of EMS and their redefinition in inter-organizational terms is recognized by the literature as a significant innovation in environmental management

implementation of the same practices.

supply-chain coordination', Corbett and Decroix, 2001).

by this uncertainty (Vermeulen and Ras, 2006 ; Sharfman et al., 2009).

influences the adoption of the other (Darnall et al. 2008; Nawrocka 2008).

22 Srivastava's work (2007) offers a very detailed review of GSCM literature.

In summary, the literature recognizes in this type of cluster the persistence of some distinctive features of the supply chain cluster, except for the element of proximity, now redefined on a virtual basis. The specialization of production and the interaction among actors in the production chain continue to classify the cluster, developing through a virtualization of the flows of knowledge that stimulates the constant change and "upgrading" of products and services, thus creating the bases for advanced supply chains that are diversified geographically as well.

## **5.4. Features of the cluster approach in the management of environmental issues**

This paragraph analyzes the characteristics of the "supply chain" cluster with reference to the elements that characterize its management from an environmental point of view. To this end we gathered a review of existing theoretical and empirical studies, oriented along the three trends of literature identified as priority areas of investigation about the connections between *cluster approach*, e*nvironmental management* and *supply chain management*:


These three trends have in common (albeit with different meanings at times) the acknowledgement of the need to adopt an inter-organizational approach to environmental management based on coordination and co-operation among different actors in the sector and not necessarily linked the territory. This need is the culmination of an evolution in the application of environmental management tools, characterized by the progressive recognition and assimilation by the businesses of a management approach inspired by the so-called life cycle thinking21, marked by a greater sense of awareness and responsibility towards the environmental impacts that their activities have outside the confines of the production site (Carnimeo et al., 2002).

<sup>20</sup> In literature such clusters are sometimes called "*Hollywoods*" with reference to the californian cluster, world leader in the *entertainment* industry.

<sup>21</sup> In summary, *Life Cycle Thinking* can be defined as a 'cultural' approach that aims at focusing all management aspects of a product through a single 'magnifying glass': its life cycle. Under this approach, the environmental impacts (actual or potential) generated during the life cycle should be considered in an integrated manner when designing, developing and managing a product. For further reading see: Carnimeo, Frey, Iraldo (2002).

As previously stated, the first trend refers to the so-called Green Supply Chain Management, or that part of the literature born by integrating and "contaminating" environmental management and supply chain management studies, and targeted at investigating supply chain approaches and management logic from an environmental point of view (Srivastava, 2007)22. This is a trend literature regards as underdeveloped although potentially fertile for investigation, and so far studied in depth only in relation to certain phases or activities of the supply chain *viewed individually* (eg. green design, green procurement, reverse logistics, etc.) (Srivastava, 2007; Sharfman *et al.,* 2009). Conversely, the same literature agrees in giving particular importance to studies and contributions that on the one hand account for the reasons for adopting environmental supply chain management practices, and on the other hand account for the benefits and difficulties related to the implementation of the same practices.

338 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

the innovative thrust deriving from local clusters20 (Sölvell, 2002).

that are diversified geographically as well.

product;

the *entertainment* industry.

production site (Carnimeo et al., 2002).

globally coordinate activities in order to connect in large-scale networks global markets and

In summary, the literature recognizes in this type of cluster the persistence of some distinctive features of the supply chain cluster, except for the element of proximity, now redefined on a virtual basis. The specialization of production and the interaction among actors in the production chain continue to classify the cluster, developing through a virtualization of the flows of knowledge that stimulates the constant change and "upgrading" of products and services, thus creating the bases for advanced supply chains

**5.4. Features of the cluster approach in the management of environmental issues** 

This paragraph analyzes the characteristics of the "supply chain" cluster with reference to the elements that characterize its management from an environmental point of view. To this end we gathered a review of existing theoretical and empirical studies, oriented along the three trends of literature identified as priority areas of investigation about the connections

 The trend of the so-called **Green Supply Chain Management,** or the development of supply chain management practices in environmental terms and their connections with

 Studies and experience related to the adoption and implementation of **strongly product-oriented EMS**, so-called **POEMS** (*'Product-Oriented Environmental Management Systems'*), mainly based on the need to identify, assess and manage the so-called "indirect environmental aspects" (introduced by EMAS II Regulation) related to the

The literature on the application of the concept and methodologies of **Life Cycle** 

These three trends have in common (albeit with different meanings at times) the acknowledgement of the need to adopt an inter-organizational approach to environmental management based on coordination and co-operation among different actors in the sector and not necessarily linked the territory. This need is the culmination of an evolution in the application of environmental management tools, characterized by the progressive recognition and assimilation by the businesses of a management approach inspired by the so-called life cycle thinking21, marked by a greater sense of awareness and responsibility towards the environmental impacts that their activities have outside the confines of the

20 In literature such clusters are sometimes called "*Hollywoods*" with reference to the californian cluster, world leader in

21 In summary, *Life Cycle Thinking* can be defined as a 'cultural' approach that aims at focusing all management aspects of a product through a single 'magnifying glass': its life cycle. Under this approach, the environmental impacts (actual or potential) generated during the life cycle should be considered in an integrated manner when designing, developing

between *cluster approach*, e*nvironmental management* and *supply chain management*:

the application of Environmental Management Systems (EMS);

**Assessment (LCA) in line with the chain/supply chain.** 

and managing a product. For further reading see: Carnimeo, Frey, Iraldo (2002).

At the empirical level, studies have shown the existence of a wide range of internal and external factors that may push companies to expand the environmental management to upstream and downstream supply chain activities: from the need to respond to increasing *pressures from external stakeholders* (e.g. consumers or institutions), to the need to *ensure compliance to more stringent environmental regulatory requirements*, to reasons of a *strategic nature*, or related to the opportunity to gain a competitive advantage (Sharfman *et al*. 2009; Darnall *et al.* 2008; Nawrocka, 2008). Corbett and Decroix (2001) affirm that nowadays the need to extend environmental management practices to the supply chain to improve performances is so recurrent in studies it has become a 'mantra' ("We have heard [...] various versions of the 'mantra': 'the next step forward in environmental improvement lies in supply-chain coordination', Corbett and Decroix, 2001).

Important for the purposes of this analysis are those studies that investigate the reasons that push companies to extend the environmental management to the supply chain under a cooperative approach. In this context, the empirical contributions emphasize how - beyond the reasons more closely tied to a proactive and '"value-driven"' environmental management - the key element that pushes companies towards a logic of cooperation with suppliers is mainly due to the uncertainty of information that governs the nature and extent of environmental impacts associated with the production process upstream and downstream activities, and the complexity and difficulty of decision-making processes frequently created by this uncertainty (Vermeulen and Ras, 2006 ; Sharfman et al., 2009).

In the context of a relatively scarce literature it is significant to note that some recent studies focus on the relationship linking the adoption and implementation of an Environmental Management System and the development of supply chain management practices, with the main objective to investigate (i) if and what kind of correlation exists in the adoption of these management practices, that is (ii) if and to what extent the adoption of one practice influences the adoption of the other (Darnall et al. 2008; Nawrocka 2008).

The process of gradual 'opening' of EMS and their redefinition in inter-organizational terms is recognized by the literature as a significant innovation in environmental management

<sup>22</sup> Srivastava's work (2007) offers a very detailed review of GSCM literature.

practices, characterized by the gradual assimilation by enterprises of the management logic inspired by the so.called life cycle thinking. This trend is identified by some authors with the gradual extension of the objectives and scope of management systems to environmental issues related to the lifecycle of the product (or service). The result of this "integration" is called POEMS - Product Oriented Environmental Management Systems (Klinkers et al., 1999).

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 341

In Italy as well several POEMS experiences were carried out in medium-large businesses, or under programme agreements with public institutions (Ardente et al., 2006; Andriola et al., 2003a). Overall, the Italian experiences and the experimental applications in Europe (mainly in the Netherlands, France and Denmark) have not led to a 'coding' of POEMS by any international or Community standard. However, it must be noted how these experiences have contributed significantly to the development of methodological and management tools aimed not only at accounting for the impacts associated with the lifecycle of the product, but also at involving the suppliers in the assessment and quantification dynamics of these impacts. Among these tools, the methodologies of Life Cycle Assessment (LCA) are

A vast literature deals with the technical and methodological aspects as well as with numerous case studies and methods of dissemination of the LCA in Italy and in other advanced countries. For the purposes of this analysis, it is particularly important to observe the studies that investigate the role and mode of application of the LCA in the context of the management of supply chain relationships and management. In this respect, the literature recognizes that the potential of a LCA is revealed mainly in the form of a methodology capable of triggering an inter-organizational and networking approach within the chain. In fact, the steps that make up the tool25 imply the need to activate along the entire supply chain the information and communicational channels necessary to collect and process data and information that allow to quantify the interactions between the 'product system' analized and the environment (Pesonen, 2001, Lefebvre 2000, Krikke et al. 2004; Sarkis, 2001;

Finally, it is important to note that some studies go further in analyzing the relationship between LCA and supply chain. They apply the methodology of Life Cycle Assessment as an opportunity to "restructure" the supply chain, with the aim of improving the environmental performance associated with a specific "product system". It is essential to take into account a number of factors for the LCA to be able to effectively contribute to

24 The most common definition of this method comes from the Society of Environmental Toxicology and Chemistry (SETAC): *"a LCA is a process to evaluate the environmental burdens associated with a product […] by identifying and quantifying energy and materials used and wastes released to the environment to assess the impact of those energy and materials used and releases to the environment; and to identify and evaluate opportunities to affect environmental improvements. The assessment includes the entire life cycle of the product […] encompassing, extracting and processing raw materials; manufacturing, transportation and distribution; use, re-use, recycling, and final disposal"* (SETAC, 1993). If the interorganizational approach of the POEMS consists in considering the product-system as "*a network of operations linked together by flows of materials and energy […] that ties activities and processes in different organizational contexts"* (Heiskanen, 2000), the use of a LCA proves itself extremely useful, since it can be aimed at finding the optimal solutions for the entire product-system, regardless of what would be preferable from an environmental point of view for each single

25 The structure of the LCA derives from the scheme set up by SETAC in the early '90s with the aim of proposing a common approach for all the analyses carried out until then. This format is still the basic structure from which the subsequent changes and amendments derived. Internationally, the scheme proposed by SETAC was complemented by the ISO Regulations 14040 series, which rule the drafting of LCA studies. According to the ISO general regulation, the assessment of the life cycle must include the following steps: 1) definition of the objective and scope of the study, 2)

predominant24.

Sroufe et al., 2000).

process (or single organization) (Carnimeo *et al.,* 2000).

inventory analysis, 3) impact assessment; 4 ) interpretation of results.

The links between environmental impacts related to production and product make the environmental management tools within the company ineffective by shifting the emphasis on the relationships the company itself has with the actors that influence those impacts. By this logic, the goal of the management system is not only to ensure the implementation of the company's environmental policy by governing the processes and internal resources, but also to manage relations with the outside world, to foster and promote dissemination of that policy to other actors that share it. In other words, the scope of implementation of the management system becomes that of the actions and interactions through which many actors manage the impacts related to the different stages of the product's lifecycle (Sharfman et al., 1997).

The literature on POEMS highlights the benefits and limitations of these tools. In fact, although taking into account the entire lifecycle can provide more opportunities to reduce the environmental impact associated with the products - either through actions on specific issues and joint efforts involving different stakeholders along the chain - (Sharfman et al., 2009), thus contributing to the achievement of tangible improvements in performance (van Berkel et al. 1999; Charter and Belmane, 1999; Brezet and Rocha, 2001), the process of 'opening up' the environmental management systems is not immediate or 'painless' for businesses.

At European level, some experiences of POEMS developed since the '90s. In the Netherlands the signing of voluntary agreements between various industries and local authorities has allowed the development and funding of some pilot projects for product-oriented EMS. A study of sixty Dutch companies shows that the most sensitive element in the development of such tools is the difficulty for organizations to obtain the necessary information from their suppliers, because of the other companies' unfamiliarity with POEMS and the little influence of single organizations, especially small ones, on the whole product chain. Other experiences have demonstrated the 'compatibility' of the approaches and the requirements of international and European standards on environmental management systems (ISO 14001 and EMAS) and POEMS.

In France, a project to develop product environmental management in the automotive sector involved 250 companies, mostly SMEs, with the aim of honing tools and methodologies for the development of POEMS in organizations belonging to the sector. In this case the main project stimulus was of a regulatory nature, in connection with the requirements of the European Directive End of Life Vehicle, which demands specific knowledge of the supply chain23 (Andriola et al., 2003a).

<sup>23</sup> Directive 2000/53/CE.

In Italy as well several POEMS experiences were carried out in medium-large businesses, or under programme agreements with public institutions (Ardente et al., 2006; Andriola et al., 2003a). Overall, the Italian experiences and the experimental applications in Europe (mainly in the Netherlands, France and Denmark) have not led to a 'coding' of POEMS by any international or Community standard. However, it must be noted how these experiences have contributed significantly to the development of methodological and management tools aimed not only at accounting for the impacts associated with the lifecycle of the product, but also at involving the suppliers in the assessment and quantification dynamics of these impacts. Among these tools, the methodologies of Life Cycle Assessment (LCA) are predominant24.

340 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

1999).

businesses.

and EMAS) and POEMS.

chain23 (Andriola et al., 2003a).

23 Directive 2000/53/CE.

practices, characterized by the gradual assimilation by enterprises of the management logic inspired by the so.called life cycle thinking. This trend is identified by some authors with the gradual extension of the objectives and scope of management systems to environmental issues related to the lifecycle of the product (or service). The result of this "integration" is called POEMS - Product Oriented Environmental Management Systems (Klinkers et al.,

The links between environmental impacts related to production and product make the environmental management tools within the company ineffective by shifting the emphasis on the relationships the company itself has with the actors that influence those impacts. By this logic, the goal of the management system is not only to ensure the implementation of the company's environmental policy by governing the processes and internal resources, but also to manage relations with the outside world, to foster and promote dissemination of that policy to other actors that share it. In other words, the scope of implementation of the management system becomes that of the actions and interactions through which many actors manage the

impacts related to the different stages of the product's lifecycle (Sharfman et al., 1997).

The literature on POEMS highlights the benefits and limitations of these tools. In fact, although taking into account the entire lifecycle can provide more opportunities to reduce the environmental impact associated with the products - either through actions on specific issues and joint efforts involving different stakeholders along the chain - (Sharfman et al., 2009), thus contributing to the achievement of tangible improvements in performance (van Berkel et al. 1999; Charter and Belmane, 1999; Brezet and Rocha, 2001), the process of 'opening up' the environmental management systems is not immediate or 'painless' for

At European level, some experiences of POEMS developed since the '90s. In the Netherlands the signing of voluntary agreements between various industries and local authorities has allowed the development and funding of some pilot projects for product-oriented EMS. A study of sixty Dutch companies shows that the most sensitive element in the development of such tools is the difficulty for organizations to obtain the necessary information from their suppliers, because of the other companies' unfamiliarity with POEMS and the little influence of single organizations, especially small ones, on the whole product chain. Other experiences have demonstrated the 'compatibility' of the approaches and the requirements of international and European standards on environmental management systems (ISO 14001

In France, a project to develop product environmental management in the automotive sector involved 250 companies, mostly SMEs, with the aim of honing tools and methodologies for the development of POEMS in organizations belonging to the sector. In this case the main project stimulus was of a regulatory nature, in connection with the requirements of the European Directive End of Life Vehicle, which demands specific knowledge of the supply A vast literature deals with the technical and methodological aspects as well as with numerous case studies and methods of dissemination of the LCA in Italy and in other advanced countries. For the purposes of this analysis, it is particularly important to observe the studies that investigate the role and mode of application of the LCA in the context of the management of supply chain relationships and management. In this respect, the literature recognizes that the potential of a LCA is revealed mainly in the form of a methodology capable of triggering an inter-organizational and networking approach within the chain. In fact, the steps that make up the tool25 imply the need to activate along the entire supply chain the information and communicational channels necessary to collect and process data and information that allow to quantify the interactions between the 'product system' analized and the environment (Pesonen, 2001, Lefebvre 2000, Krikke et al. 2004; Sarkis, 2001; Sroufe et al., 2000).

Finally, it is important to note that some studies go further in analyzing the relationship between LCA and supply chain. They apply the methodology of Life Cycle Assessment as an opportunity to "restructure" the supply chain, with the aim of improving the environmental performance associated with a specific "product system". It is essential to take into account a number of factors for the LCA to be able to effectively contribute to

<sup>24</sup> The most common definition of this method comes from the Society of Environmental Toxicology and Chemistry (SETAC): *"a LCA is a process to evaluate the environmental burdens associated with a product […] by identifying and quantifying energy and materials used and wastes released to the environment to assess the impact of those energy and materials used and releases to the environment; and to identify and evaluate opportunities to affect environmental improvements. The assessment includes the entire life cycle of the product […] encompassing, extracting and processing raw materials; manufacturing, transportation and distribution; use, re-use, recycling, and final disposal"* (SETAC, 1993). If the interorganizational approach of the POEMS consists in considering the product-system as "*a network of operations linked together by flows of materials and energy […] that ties activities and processes in different organizational contexts"* (Heiskanen, 2000), the use of a LCA proves itself extremely useful, since it can be aimed at finding the optimal solutions for the entire product-system, regardless of what would be preferable from an environmental point of view for each single process (or single organization) (Carnimeo *et al.,* 2000).

<sup>25</sup> The structure of the LCA derives from the scheme set up by SETAC in the early '90s with the aim of proposing a common approach for all the analyses carried out until then. This format is still the basic structure from which the subsequent changes and amendments derived. Internationally, the scheme proposed by SETAC was complemented by the ISO Regulations 14040 series, which rule the drafting of LCA studies. According to the ISO general regulation, the assessment of the life cycle must include the following steps: 1) definition of the objective and scope of the study, 2) inventory analysis, 3) impact assessment; 4 ) interpretation of results.

improve the environmental performances associated with the implementation of a product or service which combine multiple actors along the value chain (Hagelaar G. and van der Vorst J., 2001):

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 343

particularly relevant indirect aspects and to determine the connections among the various business activities of companies operating at different stages of the supply chain, in order to focus on critical points on which it was then possible to work with joint programmes and

LCA can be applied effectively in the supply chain environmental management also in the pursuit of ways to improve eco-efficiency. The so-called Life Cycle Costing (LCC), for example, provides guidance on how to integrate "conventional" accounting with an approach that allows to identify longer-term strategic opportunities and efficiency margins. An interesting example of application of LCC is that of the logistics of the large company Xerox (Bennet, James, 1999). Careful analysis of logistics costs by the company (related to product distribution and the recovery of remains to be reused) showed efficiency margins in its supply chain. However, in order to seize these opportunities some interventions were needed to design, manage and reorganize logistics flows which would mean a different allocation of costs and benefits among the different stakeholders (Xerox suppliers and

Examples of these solutions were the internalization of the costs of packaging (including disposal) in accordance with the suppliers, and the standardization of packages so that they were adaptable to every product and, above all, reusable by customers to pack the product being replaced (and returned) at end of life. With an initial investment of 4-5 million dollars, Xerox estimated annual savings of \$1.2, to which some "intangible" benefits (e.g. in the management and organizatin of logistics: handling of homogeneous packaging, reduction of operations' time, etc.) added up. Although the overall comparison gave a positive outcome, some phases of the chain showed an increase in costs. Had the company not analyzed costs and potential benefits in the different stages of the lifecycle using the LCC method and reasoning in terms of actions promoted and coordinated by Xerox in an integrated logic with the other industry players, they would have never independently decided to engage in

There are other examples that show how attention to the product under a "supply chain" environmental management system driven by the logic of the life cycle can constitute a solid basis on which to build a strategy oriented to an "environmental" customer satisfaction27. An interesting case is that of Baxter International. After stating in its policy that "we will work with our clients to help them tackle their environmental problems", the company managed to translate this principle at the operational level by applying an approach heavily oriented towards the green supply chain management. Resolutely going beyond the boundaries of its organization, management at Baxter decided to take charge of the issues related to the disposal of waste that results from the use of intermediate products in the "downstream" activities. By this logic, a waste auditing service was activated with the aim to

27 Although the concept of environmental *customer satisfaction* is not totally alien to the logic of a management system, it is usually related to social actors, since the main "customer" in environmental terms is the one that suffers the externalities of production. When this customer coincides with the traditional customer, however, the dynamics with

which relationships can be managed differ from those that govern relationships with social *stakeholders*.

improvements.

customers).

the improvement programme.


In conclusion, it is possible to account for some empirical evidence related to the implementation of tools linked to *Life Cycle Thinking* in the logic of supply chain management. When LCA is integrated into the environmental management system in a logic of supply chain dynamics management, it is to be assumed that companies that use and promote this approach are able to affect the environmental impacts or influence the behaviour of actors that are external to the "boundaries" of the companies' organization. This is a pre-condition for the integration of product logic to be effective. If this precondition occurs, the use of LCA within the supply chain relationships provides important contact points, synergies and complementarity with an "extended" environmental management system. The above mentioned approach of "indirect environmental aspects" introduced by the EMAS II Regulation is well suited to be the "leverage" through which to introduce these tools.

The experiences in the analyzed scenario refer to the implementation of a LCA aimed at including *product-oriented* logic in an environmental management system. A first empirical evidence refers to the transition from a single company to a supply chain perspective, in the implementation of the Initial Environmental Analysis (as provided by ISO 14001 and EMAS) that crosses the company's boundaries and allows to identify and properly assess the indirect environmental aspects thanks to the adoption of the LCA. Although in practice the EMAS Regulation does not require the company to conduct a thorough LCA, it is clear that knowledge of these impacts is necessary, especially when it is functional to the identification of the most significant indirect environmental aspects. Understanding the impacts of product disposal, or of the product's packaging, may be decisive for a company that uses large distribution channels and targets/is addressed to the final market.

The same applies when a company uses a transport network for the delivery of its products to intermediate customers "spread" on the territory. This activity can be carried out as part of a chain. In the case of the local supply chain that drove the PIONEER project26, for example, a simplified LCA of paper products was implemented (streamlined or screening LCA, to use English terminology), useful to companies in the supply chain to identify

<sup>26</sup> The Life PIONEER Project (2003-2006) had the objective to define and experimentally implement a methodology based on the EMAS Regulation to the paper industry district of Lucca. The methodology has promoted a cooperative and integrated approach to the environmental management at local level, aimed at involving all stakeholders in actions to improve the environmental performance of the territory. For further reading, see: Frey and Iraldo, 2008 and the website www.life-pioneer.info

particularly relevant indirect aspects and to determine the connections among the various business activities of companies operating at different stages of the supply chain, in order to focus on critical points on which it was then possible to work with joint programmes and improvements.

342 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

and scope of this tool that are set at the startup of the evaluation process;

Vorst J., 2001):

introduce these tools.

the website www.life-pioneer.info

improve the environmental performances associated with the implementation of a product or service which combine multiple actors along the value chain (Hagelaar G. and van der

The results of the LCA methodology are closely tied to the definition of the objectives

 The application of LCA in the perspective of the supply chain involves strong cooperation among all actors involved, not only in terms of trust and openness, but also

In conclusion, it is possible to account for some empirical evidence related to the implementation of tools linked to *Life Cycle Thinking* in the logic of supply chain management. When LCA is integrated into the environmental management system in a logic of supply chain dynamics management, it is to be assumed that companies that use and promote this approach are able to affect the environmental impacts or influence the behaviour of actors that are external to the "boundaries" of the companies' organization. This is a pre-condition for the integration of product logic to be effective. If this precondition occurs, the use of LCA within the supply chain relationships provides important contact points, synergies and complementarity with an "extended" environmental management system. The above mentioned approach of "indirect environmental aspects" introduced by the EMAS II Regulation is well suited to be the "leverage" through which to

The experiences in the analyzed scenario refer to the implementation of a LCA aimed at including *product-oriented* logic in an environmental management system. A first empirical evidence refers to the transition from a single company to a supply chain perspective, in the implementation of the Initial Environmental Analysis (as provided by ISO 14001 and EMAS) that crosses the company's boundaries and allows to identify and properly assess the indirect environmental aspects thanks to the adoption of the LCA. Although in practice the EMAS Regulation does not require the company to conduct a thorough LCA, it is clear that knowledge of these impacts is necessary, especially when it is functional to the identification of the most significant indirect environmental aspects. Understanding the impacts of product disposal, or of the product's packaging, may be decisive for a company that uses

The same applies when a company uses a transport network for the delivery of its products to intermediate customers "spread" on the territory. This activity can be carried out as part of a chain. In the case of the local supply chain that drove the PIONEER project26, for example, a simplified LCA of paper products was implemented (streamlined or screening LCA, to use English terminology), useful to companies in the supply chain to identify

<sup>26</sup> The Life PIONEER Project (2003-2006) had the objective to define and experimentally implement a methodology based on the EMAS Regulation to the paper industry district of Lucca. The methodology has promoted a cooperative and integrated approach to the environmental management at local level, aimed at involving all stakeholders in actions to improve the environmental performance of the territory. For further reading, see: Frey and Iraldo, 2008 and

large distribution channels and targets/is addressed to the final market.

of *transparency in the shared data and information* and of *consistency in their policies*.

LCA can be applied effectively in the supply chain environmental management also in the pursuit of ways to improve eco-efficiency. The so-called Life Cycle Costing (LCC), for example, provides guidance on how to integrate "conventional" accounting with an approach that allows to identify longer-term strategic opportunities and efficiency margins. An interesting example of application of LCC is that of the logistics of the large company Xerox (Bennet, James, 1999). Careful analysis of logistics costs by the company (related to product distribution and the recovery of remains to be reused) showed efficiency margins in its supply chain. However, in order to seize these opportunities some interventions were needed to design, manage and reorganize logistics flows which would mean a different allocation of costs and benefits among the different stakeholders (Xerox suppliers and customers).

Examples of these solutions were the internalization of the costs of packaging (including disposal) in accordance with the suppliers, and the standardization of packages so that they were adaptable to every product and, above all, reusable by customers to pack the product being replaced (and returned) at end of life. With an initial investment of 4-5 million dollars, Xerox estimated annual savings of \$1.2, to which some "intangible" benefits (e.g. in the management and organizatin of logistics: handling of homogeneous packaging, reduction of operations' time, etc.) added up. Although the overall comparison gave a positive outcome, some phases of the chain showed an increase in costs. Had the company not analyzed costs and potential benefits in the different stages of the lifecycle using the LCC method and reasoning in terms of actions promoted and coordinated by Xerox in an integrated logic with the other industry players, they would have never independently decided to engage in the improvement programme.

There are other examples that show how attention to the product under a "supply chain" environmental management system driven by the logic of the life cycle can constitute a solid basis on which to build a strategy oriented to an "environmental" customer satisfaction27. An interesting case is that of Baxter International. After stating in its policy that "we will work with our clients to help them tackle their environmental problems", the company managed to translate this principle at the operational level by applying an approach heavily oriented towards the green supply chain management. Resolutely going beyond the boundaries of its organization, management at Baxter decided to take charge of the issues related to the disposal of waste that results from the use of intermediate products in the "downstream" activities. By this logic, a waste auditing service was activated with the aim to

<sup>27</sup> Although the concept of environmental *customer satisfaction* is not totally alien to the logic of a management system, it is usually related to social actors, since the main "customer" in environmental terms is the one that suffers the externalities of production. When this customer coincides with the traditional customer, however, the dynamics with which relationships can be managed differ from those that govern relationships with social *stakeholders*.

verify the needs in the waste management of their intermediate customers. The activity developed by this service has produced a set of suggestions/recommendations, then implemented through a thorough and extensive redesign of products and services in order to minimize their impact downstream of the production process (Fuller, 1999).

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 345

communities exerted by a single SME), but it pertains to their combined and cumulative impact across sectors. Therefore. these companies are responsible for a large share of

These observations have stimulated the development of the so-called "cluster approach" to manage the environmental issues of a large number of SMEs located in limited territorial areas. As above mentioned, this concept is not limited to the classical configuration of the industrial district (geographically confined industrial areas) but it also encompasses environmentally equipped production areas ("APEA"), or industrial parks up to the

For example, the Industrial District is a local system with the presence of a prevalent production activity carried out by a group of small independent firms highly specialized in different stages of the same production process. On the contrary, Production Areas represent an organizational model characterized by the territorial element but, unlike the District, they are concentrated in areas that are easier to define and circumscribe geographically, and do not necessarily show the presence of one or more specialised

The networking approach allows enterprises to co-operate by identifying and assessing similar environmental aspects and by finding technological and operational solutions that can be applied to similar production processes and products, as well as by defining

In the APEA case, co-operation is facilitated by the 'physical contiguousness' and there are synergies both in improving the environmental impact on the same local eco-system, and in interacting and communicating with the same stakeholders (local population, authorities,

In some cases, a network was created among SMEs within a 'cluster' in order to foster information exchange and experience dissemination and to define and apply common solutions to similar environmental, technical and/or organisational problems, or to share environmental management resources (Iraldo & Frey, 2007). A specific kind of co-operation within a cluster of organisations takes place in the supply-chain: when a large customer is willing to support small suppliers in the EMS implementation process, then all the smaller organisations involved in the supply chain can greatly benefit from networking. This approach proved to be effective in some Member States such as Germany ("Konvoi" approach), Spain (co-operation in the tourism supply chain), Nordic Countries (Denmark and Sweden) but in particular in Italy, where by means of the so-called APO "Ambiti Produttivi Omogenei", it has shown its effectiveness in promoting the environmental

Therefore, we collected some empirical cases to demonstrate how the innovative approach to environmental management called "cluster approach" can be an effective tool available to SMEs in order to improve their environmental performance and find innovative

organisational structures suitable for the same kind of production cycles

business environmental impacts.

interactions along the supply chain.

production sectors.

compliance of SMEs.

management solutions.

etc.).

Another interesting case is that of the initiatives undertaken by a group of U.S. chemical companies in a "horizontal supply chain" (Elwood and Case, 2000) for the management of orders from customers in a logic of eco-efficiency. In this case, the needs of production efficiency go together with the attempt by the manufacturers to reduce the environmental impacts of their products in all stages of the lifecycle.

The examples here reported show some approaches that were made possible only through the cooperative relationship among the companies in the supply chain and, although not directly related to the application of LCA, they clarify that a product-oriented logic can effectively engage on the environmental management system of a company that operates as a producer or as a customer in any type of supply chain. This logic provides crucial support for the management of customer relationships, and bridges the gaps of the system when it comes to identifying the customers' needs, defining interaction modes, handling complaints and returns (for environmental reasons), reviewing the contract (which can include requirements concerning the product's impact) and measuring customers' satisfaction, which is essential in order to assess the environmental competitiveness and "green" marketing strategies implemented by the company itself.

In terms of marketing and environmental communication, there is another interesting example of application of product logic within a supply chain. It is the opportunity, now available and potentially very effective, to certify the environmental impact of a product of a "local" chain or a group of producers on the basis of an international scheme based on the ISO standard. The EPD international system (Environmental Product Declaration), currently managed by a body comprising representatives of some EU countries (including Italy) was born with the objective to certify the environmental performances of a product or service of a single firm.

Because of the evolution of the system and its gradual spreading (currently it counts more than 100 companies) there is the the need to promote products and services that come from an entire production system (i.e. a "cluster" or chain of companies) precisely because of environmental marketing objectives of a typical product or a product tied to a "brand". Thanks to the recent amendment of the EPD certification system groups of producers (from a district, a chain, a geographical area) were offered the opportunity to develop an *Environmental Product Declaration* that can enhance the excellent environmental performances of their "average" product.

## **6. Conclusion**

SMEs are to be considered a crucial target if policy makers really want to pursue sustainable development. The environmental problem does not fully emerge if one considers individual firms (although in some cases there can be serious impacts on local environments and communities exerted by a single SME), but it pertains to their combined and cumulative impact across sectors. Therefore. these companies are responsible for a large share of business environmental impacts.

344 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

to minimize their impact downstream of the production process (Fuller, 1999).

impacts of their products in all stages of the lifecycle.

marketing strategies implemented by the company itself.

performances of their "average" product.

**6. Conclusion** 

verify the needs in the waste management of their intermediate customers. The activity developed by this service has produced a set of suggestions/recommendations, then implemented through a thorough and extensive redesign of products and services in order

Another interesting case is that of the initiatives undertaken by a group of U.S. chemical companies in a "horizontal supply chain" (Elwood and Case, 2000) for the management of orders from customers in a logic of eco-efficiency. In this case, the needs of production efficiency go together with the attempt by the manufacturers to reduce the environmental

The examples here reported show some approaches that were made possible only through the cooperative relationship among the companies in the supply chain and, although not directly related to the application of LCA, they clarify that a product-oriented logic can effectively engage on the environmental management system of a company that operates as a producer or as a customer in any type of supply chain. This logic provides crucial support for the management of customer relationships, and bridges the gaps of the system when it comes to identifying the customers' needs, defining interaction modes, handling complaints and returns (for environmental reasons), reviewing the contract (which can include requirements concerning the product's impact) and measuring customers' satisfaction, which is essential in order to assess the environmental competitiveness and "green"

In terms of marketing and environmental communication, there is another interesting example of application of product logic within a supply chain. It is the opportunity, now available and potentially very effective, to certify the environmental impact of a product of a "local" chain or a group of producers on the basis of an international scheme based on the ISO standard. The EPD international system (Environmental Product Declaration), currently managed by a body comprising representatives of some EU countries (including Italy) was born with the objective

Because of the evolution of the system and its gradual spreading (currently it counts more than 100 companies) there is the the need to promote products and services that come from an entire production system (i.e. a "cluster" or chain of companies) precisely because of environmental marketing objectives of a typical product or a product tied to a "brand". Thanks to the recent amendment of the EPD certification system groups of producers (from a district, a chain, a geographical area) were offered the opportunity to develop an *Environmental Product Declaration* that can enhance the excellent environmental

SMEs are to be considered a crucial target if policy makers really want to pursue sustainable development. The environmental problem does not fully emerge if one considers individual firms (although in some cases there can be serious impacts on local environments and

to certify the environmental performances of a product or service of a single firm.

These observations have stimulated the development of the so-called "cluster approach" to manage the environmental issues of a large number of SMEs located in limited territorial areas. As above mentioned, this concept is not limited to the classical configuration of the industrial district (geographically confined industrial areas) but it also encompasses environmentally equipped production areas ("APEA"), or industrial parks up to the interactions along the supply chain.

For example, the Industrial District is a local system with the presence of a prevalent production activity carried out by a group of small independent firms highly specialized in different stages of the same production process. On the contrary, Production Areas represent an organizational model characterized by the territorial element but, unlike the District, they are concentrated in areas that are easier to define and circumscribe geographically, and do not necessarily show the presence of one or more specialised production sectors.

The networking approach allows enterprises to co-operate by identifying and assessing similar environmental aspects and by finding technological and operational solutions that can be applied to similar production processes and products, as well as by defining organisational structures suitable for the same kind of production cycles

In the APEA case, co-operation is facilitated by the 'physical contiguousness' and there are synergies both in improving the environmental impact on the same local eco-system, and in interacting and communicating with the same stakeholders (local population, authorities, etc.).

In some cases, a network was created among SMEs within a 'cluster' in order to foster information exchange and experience dissemination and to define and apply common solutions to similar environmental, technical and/or organisational problems, or to share environmental management resources (Iraldo & Frey, 2007). A specific kind of co-operation within a cluster of organisations takes place in the supply-chain: when a large customer is willing to support small suppliers in the EMS implementation process, then all the smaller organisations involved in the supply chain can greatly benefit from networking. This approach proved to be effective in some Member States such as Germany ("Konvoi" approach), Spain (co-operation in the tourism supply chain), Nordic Countries (Denmark and Sweden) but in particular in Italy, where by means of the so-called APO "Ambiti Produttivi Omogenei", it has shown its effectiveness in promoting the environmental compliance of SMEs.

Therefore, we collected some empirical cases to demonstrate how the innovative approach to environmental management called "cluster approach" can be an effective tool available to SMEs in order to improve their environmental performance and find innovative management solutions.

The goal for future research and experimental initiatives should be the development of the cluster approach and its structural inclusion in policy-making.

Overview of Past and Ongoing Experiences Dealing with the Environmental Management at Cluster Level 347

Corsten D., Kumar N. (2005), Do suppliers benefit from collaborative relationships with large retailers? An empirical investigation of efficient consumer response adoption,

Darnall N., Jolley G. J., Handfield R. (2008), Environmental Management Systems and Green Supply Chain Management: Complements for Sustainability?, Business Strategy and

De Witt T., Giunipero L. C., Melton H. L. (2006), Clusters and supply chain management: the Amish experience, International Journal of Physical Distribution & Logistics

Doney P.M., Cannon, J.P. (1997), An examination of the nature of trust in buyer-seller

ENEA - Progetto Life-Siam (2007), Linee Guida per l'insediamento e la gestione di aree produttive sostenibili [on line], disponibile su <http://www.life-siam.bologna.enea.it/>

Fontana D. (2007), Distretti Italiani in quindici anni di vita di strada ne ha fatta,

Frosch R. e Gallopolus N., (1989), Strategies for manufacturing, Scientific American, 261: 94 Fuller D.A. (1999), New decision boundaries: the product system life cycle, in Sustainable

Ganeson S. (1994), Determinants of long-term orientation in buyer-seller relationships,

Graedel T.E. and Allenby B.R., (2002), "Industrial Ecology", Prentice Hall, 363 http://www.chinacp.org.cn, Cleaner Production in China, [data dell'ultima

Hagelaar G., van der Vorst J. (2001), Environmental Supply Chain Management: using Life Cycle Assessment to structure supply chains, Paper IAMA 2001, Sydney, Australia. Heiksanen E, (2000), Managers'interpretation of LCA: enlightment and responsibility or

Marceau J., Dodgson M., (1999) Systems of Innovation, Paper N. 1, Innovation Summit,

Marshall C. (1998). Report for HM Treasury.Economic Instruments and the Business Use of

Mentzer J.T., DeWitt W., Keebler J.S., Nix N.W., Smith C.D., Zacharia, Z.G. (2001), "Defining

Morikawa M., (2000), Eco–industrial development in Japan, Indigo Development Center Nawrocka D. (2008), Inter-Organizational Use of EMSs in Supply Chain Management: Some Experiences from Poland and Sweden, Corporate Social Responsibility and

Marketing, SAGE Publications, Thousand Oaks, London, New Delhi.

conflusion and denial, Business Strategy and the Environment, Vol. 9

Marshall A., (1980). Principles of Economics: an Introductory Volume. London.

supply chain management", Journal of Business Logistics, Vol. 22 No. 2.

Department of Industry, Science and Resources, Canberra

Johnston R. (2003), Clusters: A Review, The Australian Centre for Innovation Limited. Lowe, E.A., Moran S.R. and Holmes D.B. (1996). Fieldbook for the development of Eco –

Journal of Marketing, Vol. 69, n.3

the Environment, n.18

Management, Vol. 36, n 4.

[data di accesso: 23 marzo 2009]

Journal of Marketing, Vol. 58

consultazione: 25 marzo 2009]

Industrial Park, final report, Washington

Energy. The Stationary Office, London.

Environmental Management, n. 15

relationships, Journal of Marketing, Vol. 61, 1997.

Amministrazione & Finanza, n. 22/2007, Inserto

## **Author details**

Francesco Testa1,\*, Tiberio Daddi1, Fabio Iraldo1,2 and Marco Frey1,2 *1Sant'Anna School of Advanced Studies, Pisa, Italy 2IEFE – Institute for Environmental and Energy Policy and Economics, Milano* 

## **7. References**

ADEME (2007). L'environnement et la maîtrise de l'énergie dans les PME, Paris.


<sup>\*</sup> Corresponding Author

Corsten D., Kumar N. (2005), Do suppliers benefit from collaborative relationships with large retailers? An empirical investigation of efficient consumer response adoption, Journal of Marketing, Vol. 69, n.3

346 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

cluster approach and its structural inclusion in policy-making.

Francesco Testa1,\*, Tiberio Daddi1, Fabio Iraldo1,2 and Marco Frey1,2

prodotto: POEMS, un nuovo strumento', Ambiente, n. 8

*2IEFE – Institute for Environmental and Energy Policy and Economics, Milano* 

ADEME (2007). L'environnement et la maîtrise de l'énergie dans les PME, Paris.

Andriola L., Luciani R., Sibilio S. (2003b), 'I sistemi di gestione ambientale orientati al

Bardo A., Bertini S. (a cura di) (2005), Dinamiche territoriali e nuova industria, Dai distretti alle filiere, V Rapporto della Fondazione istituto per il Lavoro, Maggioli Editore,

Becattini G. (1979). "Dal 'settore' industriale al 'distretto' industriale. Alcune considerazioni sull'unità di indagine dell'economia industriale", Rivista di economia e politica

Calcagno D., Del Borghi A., Gaggero P.L., Sacerdote I. (2006), The contribution of LCA methodology to the environmental sustainability of cement production, 15th International Symposium on Mine Planning & Equipment Selection MPES, Torino -

Cancila E., Bosso A. e Ottolenghi M. (a cura di), (2006), La gestione sostenibile delle aree produttive. Una scelta possibile per il governo del territorio e per il rilancio delle

Carnimeo G., Frey M., Iraldo F. (2002), Gestione del Prodotto e Sostenibilità, Le imprese di fronte alle nuove prospettive delle politiche ambientali comunitarie e della IPP

Charter M., Belmane I., (1999), Integrated Product Policy (IPP) and Eco-Product

Communication from the European Commission to the Council, the European Parliament, the european economic and social committee and the committee of the region "Towards world-class clusters in the European Union:Implementing the broad-based innovation

Corbett C. J., DeCroix G. A., (2001), Shared-Savings Contracts for Indirect Materials in Supply Chains: Channel profits and Environmental Impacts, Management Science, Vol.

*1Sant'Anna School of Advanced Studies, Pisa, Italy* 

**Author details** 

**7. References** 

Milano.

industriale, n. 1,

Italy, September 20 - 22, 2006

strategy" (COM (2008) 652).

47, n. 7

Corresponding Author

 \*

politiche industriali, Ervet, Bologna.

(Integrated Product Policy), Franco Angeli, Milano

Development (EPD), Journal of Sustainable Product Design.

The goal for future research and experimental initiatives should be the development of the

	- Noordewier T.G., John G., Nevin J.R. (1990), Performance outcomes of purchasing arrangements in industrial buyer-vendor relationships, Journal of Marketing, Vol. 54

**Chapter 15** 

© 2012 Yang et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Yang et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**Beach Erosion Management with the** 

Ray-Yeng Yang, Ying-Chih Wu and Hwung-Hweng Hwung

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45883

**1. Introduction** 

**Application of Soft Countermeasure in Taiwan** 

The total length of Taiwan's shoreline is approximately 1,100 kilometers including sand, rock, cliff, gravel and reef coasts (see Figure 1). Almost half of the shoreline has been protected by seawalls. From the viewpoint of shore protection in coastal area, these seawalls actually play an important role of costal protection that prevents people and infrastructure from coastal disasters. Furthermore, detached breakwater and groyne are built to protect the coastal area with serious erosion problem. These efforts made our land safe over the last fifty years to some extent. Due to the martial law, it was not so easy for people to walk or visit near the coastal area in Taiwan during 1949 to 1987. However, after 1987 people gradually valued the coastline for environmental protection and, recreational use as well as the economic activity. The purpose of the coastal protection is diversified by these new demands. In this study, we will introduce environmentally and user-oriented coastal protection works as well as technically sound creditable coastal protection works to meet these new trends. Therefore, the purpose of this study is to evaluate on how to join soft solution strategies into current shore protection system throughout Taiwan's coast. Moreover, a feasible application for hard solutions complemented by soft issues for beach erosion management has also been evaluated. In Taiwan, beach erosion has become more serious in the recent past. The time for this beach erosion to become apparent chiefly depends on how fast the rate of longshore sediment transport decreased from the up-coast area and on the river sediment supply. Many industrial, commercial and fishery harbor construction projects were also observed to have disturbed the continuity of littoral sediment transport, and lead to the retreat of the shoreline in the downcoast area. However, sufficient knowledge on nearshore hydrodynamic forcing (incoming wave energy, waveinduced currents in the surf zone and tidal range), sediment transport processes and morphological features along coasts, will be helpful to the improvement of shore protection work. Countermeasures for beach erosion control should depend on the local conditions of


## **Beach Erosion Management with the Application of Soft Countermeasure in Taiwan**

Ray-Yeng Yang, Ying-Chih Wu and Hwung-Hweng Hwung

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45883

## **1. Introduction**

348 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Porter M. E., (1998). On Competition, Harvard Business School Press, Boston. Porter, M.E. (1990). The Competitive Advantage of Nations, Macmillan, London.

Conference Proceedings, 28-31 Ottobre 2002, OECD, LEED, Udine.

Schumpeter J.A. (1971), Teoria dello Sviluppo economico, Sansoni, Firenze.

oriented environmental management, Business Horizons, vol. 40

– industrial park project at Ratasalmi – Interreg IIIB.

WP WORKING PAPERS DADI/ WP\_4/06.

Strategy and the Environment, n. 18.

Economics

Katmandu, Nepal.

Production, n.7(6)

Review, 4 - 19

Stockholm, 19th January 2006.

Noordewier T.G., John G., Nevin J.R. (1990), Performance outcomes of purchasing arrangements in industrial buyer-vendor relationships, Journal of Marketing, Vol. 54 Pesonen H-L. (2006), Multinational Corporations and Clusters, Vinnova Conference Proceedings "Challenges to National Innovation Systems in a Globalizing World",

Regional Council of Etela – Savo, (2006), Eco Industrial Parks, background report for the eco

Rullani E. (2002), Dallo sviluppo per accumulazione allo sviluppo per propagazione: piccole imprese, clusters e capitale sociale nella nuova Europa in formazione, East West Cluster

Sacco P., Ferilli G. (2006), Il distretto culturale evoluto nell'economia post industriale, Università Iuav di Venezia, DADI Dipartimento delle Arti e del Disegno Industriale,

Sharfman M.P., Ellington R.T., Meo M. (1997), The next step in becoming "green": life-cycle

Sharfman M.P., Shaft T. M., Anex R. P. Jr (2009), The Road to Cooperative Supply-Chain Environmental Management: Trust and Uncertainty Among Pro-Active Firms, Business

Sinding K. (2000), Environmental management beyond the boundaries of the firm: definitions and costraints, Business Strategy and the Environment, Vol. 9, n. 2 Sölvell Ö. (2002), The Multi-Home Based Multinational – Combining Global Compentencies and Local Innovativeness, Institute of International Business – Stockolm School of

Srivastava S. K. (2007), Green supply-chain management: A state-of-the-art literature

Sureephong P., Chakpitak N., Buzon L., Bouras A. (2008), Cluster Development and Knowledge Exchange in Supply Chain, The Proceeding of International Conference on Software Knowledge Information Management and Applications (SKIMA 2008),

Tibbs B.C, (1992), Industrial Ecology: an Environmental Agenda for industry, Whole Earth

Van Berkel R., van Kampen M., Kortman J. (1999), Opportunities and constraints for Product-oriented Environmental Management Systems (P-EMS), Journal of Cleaner

Vermeulen W. J. V., Ras P. J.,(2006),The Challenge of Greening Global Product Chains:

Zucchetti S. (2003), Una nuova generazione di distretti industriali, Impresa & Stato.

Meeting Both End, Sustainable Development, vol. 14.

review, International Journal of Management Reviews, Vol. n. 9, Issue 1

The total length of Taiwan's shoreline is approximately 1,100 kilometers including sand, rock, cliff, gravel and reef coasts (see Figure 1). Almost half of the shoreline has been protected by seawalls. From the viewpoint of shore protection in coastal area, these seawalls actually play an important role of costal protection that prevents people and infrastructure from coastal disasters. Furthermore, detached breakwater and groyne are built to protect the coastal area with serious erosion problem. These efforts made our land safe over the last fifty years to some extent. Due to the martial law, it was not so easy for people to walk or visit near the coastal area in Taiwan during 1949 to 1987. However, after 1987 people gradually valued the coastline for environmental protection and, recreational use as well as the economic activity. The purpose of the coastal protection is diversified by these new demands. In this study, we will introduce environmentally and user-oriented coastal protection works as well as technically sound creditable coastal protection works to meet these new trends. Therefore, the purpose of this study is to evaluate on how to join soft solution strategies into current shore protection system throughout Taiwan's coast. Moreover, a feasible application for hard solutions complemented by soft issues for beach erosion management has also been evaluated. In Taiwan, beach erosion has become more serious in the recent past. The time for this beach erosion to become apparent chiefly depends on how fast the rate of longshore sediment transport decreased from the up-coast area and on the river sediment supply. Many industrial, commercial and fishery harbor construction projects were also observed to have disturbed the continuity of littoral sediment transport, and lead to the retreat of the shoreline in the downcoast area. However, sufficient knowledge on nearshore hydrodynamic forcing (incoming wave energy, waveinduced currents in the surf zone and tidal range), sediment transport processes and morphological features along coasts, will be helpful to the improvement of shore protection work. Countermeasures for beach erosion control should depend on the local conditions of

© 2012 Yang et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Yang et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

hydrodynamic forcing characteristics, littoral sediment transport and various morphologies. Therefore better applications of the various soft methodologies available for beach erosion management will be proposed in this study.

Beach Erosion Management with the Application of Soft Countermeasure in Taiwan 351

soft engineering structures should be conducted in advance. The evaluation of soft countermeasure includes beach nourishment, near shore disposal berms, geosystems,

Beach nourishment is the mechanical or hydraulic placement of sand on the beach and/or shoreface to advance the shoreline or to maintain the volume of sand in the littoral. It is a soft protective and remedial measure that leaves a beach in a more natural state than hard structures and preserves its recreational value. Of the many remedial measures for beach erosion, beach nourishment is the only approach that introduces additional sand sources into the coastal system. Without the construction of coastal structures, beach nourishment seldom causes damage to the landscape, and can flexibly responds to changes of the littoral environment. Beach nourishment, with its expected widening of beach, is used to accomplish several goals as follows: formation of additional recreational area; land reclamation; maintenance of shoreline; reinforcement of dunes against breaching; protection of coastal structures; reduction of the wave energy near shore and creation of a sacrificial beach to be eroded during a storm; provide, in some cases, environmental habitat for

Sand nourishment can be carried out at various locations in the profile or along the shoreline. The options of nourishments in cross-shore profile are shoreface (underwater nourishment or profile nourishment), dune zone (landward and seaward above dune toe), beach and swash zone. Leonard et al., 1990 evaluated 155 beach nourishment projects in the U.S.A. In all, about 300 million <sup>3</sup> *m* of sand was placed along 700km of shoreline (470km along Atlantic coasts, 180km along Gulf coasts and 50km along Pacific coasts). In 1996, Rijkswaterstaat also evaluated nine nourishment projects (volumes between 50 and 100 <sup>3</sup> *m m yr* / / ; sand size between 0.15 and 0.3mm) carried out along the coasts (tidal range of about 2m) of the Netherlands in the period 1975-1994. Several characteristics, including ratio of design nourishment volume and required volume to compensate annual erosion volume in active zone before nourishment and after nourishment, were analyzed in his evaluation. Leo C. van Rijn, 1998 summarized the sand nourishment characteristics under micro and meso-tidal conditions in great detail from five projects (Delft Hydr., 1987; Dette & Raudkivi, 1994; Mφller, 1990; Rijksw, 1996; Work & Dean, 1991). From his result, it shows that beach nourishment can be mostly utilized on coastal areas of low or moderate wave energy with micro-tidal condition. Meanwhile, the three basic elements including the eroded area, the borrow area and the transportation/ dumping methods should be investigated in detail when sand nourishment is applied to beach erosion control. Dean, 1986 recommended a mitigative approach for armoring on an eroding coastline that calls for the placement of sand annually in the amount that has been prevented from entering the system by the armoring structure. This approach maintains a more natural littoral system. Often, the nourishment scheme is remedial rather than preventive (Hamm et al., 1998). In summary, beach nourishment is the approach that directly addresses the deficit of sand in the coastal

artificial oyster reef, fluid-elastic sheet and aquatic vegetation.

**2.1. Beach nourishment** 

endangered species.

**Figure 1.** Different types of coasts in Taiwan

## **2. Evaluation of soft engineering structures**

The protection of beaches against erosion has always been an important aspect of coastal engineering works in Taiwan. History is replete with the loss of valuable coastal lands such as beaches, reclamation areas, harbors, and other valuable coastal property to erosion induced by sea encroaching. On the other hand, there are also some cases of harbors being abandoned because of infilling by sediments, which is quite a different coastal engineering problem but a significant one. Erosion control measures should incorporate a reduction in the cause of the beach erosion where possible, when, for example, the erosion is caused by human activities along the coastal areas such as hard engineering structures or harbors. For each coastal erosion mitigation measure, it is important to know how they work. In fact, some of the mitigation schemes are able to reduce the wave energy at the shoreline, or simply provide a sacrificial beach, whereas others try to impede the long shore transport of sand. In a particular situation, one mitigation scheme will work better than some others owing to the difference in operation. In fact, some methods will fail in one situation and do very well in others. Therefore, in order to mitigate the erosion problems due to the current hard shore protection system around Taiwan coast, detailed evaluation of various feasible soft engineering structures should be conducted in advance. The evaluation of soft countermeasure includes beach nourishment, near shore disposal berms, geosystems, artificial oyster reef, fluid-elastic sheet and aquatic vegetation.

#### **2.1. Beach nourishment**

350 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

management will be proposed in this study.

**Figure 1.** Different types of coasts in Taiwan

**2. Evaluation of soft engineering structures** 

hydrodynamic forcing characteristics, littoral sediment transport and various morphologies. Therefore better applications of the various soft methodologies available for beach erosion

The protection of beaches against erosion has always been an important aspect of coastal engineering works in Taiwan. History is replete with the loss of valuable coastal lands such as beaches, reclamation areas, harbors, and other valuable coastal property to erosion induced by sea encroaching. On the other hand, there are also some cases of harbors being abandoned because of infilling by sediments, which is quite a different coastal engineering problem but a significant one. Erosion control measures should incorporate a reduction in the cause of the beach erosion where possible, when, for example, the erosion is caused by human activities along the coastal areas such as hard engineering structures or harbors. For each coastal erosion mitigation measure, it is important to know how they work. In fact, some of the mitigation schemes are able to reduce the wave energy at the shoreline, or simply provide a sacrificial beach, whereas others try to impede the long shore transport of sand. In a particular situation, one mitigation scheme will work better than some others owing to the difference in operation. In fact, some methods will fail in one situation and do very well in others. Therefore, in order to mitigate the erosion problems due to the current hard shore protection system around Taiwan coast, detailed evaluation of various feasible Beach nourishment is the mechanical or hydraulic placement of sand on the beach and/or shoreface to advance the shoreline or to maintain the volume of sand in the littoral. It is a soft protective and remedial measure that leaves a beach in a more natural state than hard structures and preserves its recreational value. Of the many remedial measures for beach erosion, beach nourishment is the only approach that introduces additional sand sources into the coastal system. Without the construction of coastal structures, beach nourishment seldom causes damage to the landscape, and can flexibly responds to changes of the littoral environment. Beach nourishment, with its expected widening of beach, is used to accomplish several goals as follows: formation of additional recreational area; land reclamation; maintenance of shoreline; reinforcement of dunes against breaching; protection of coastal structures; reduction of the wave energy near shore and creation of a sacrificial beach to be eroded during a storm; provide, in some cases, environmental habitat for endangered species.

Sand nourishment can be carried out at various locations in the profile or along the shoreline. The options of nourishments in cross-shore profile are shoreface (underwater nourishment or profile nourishment), dune zone (landward and seaward above dune toe), beach and swash zone. Leonard et al., 1990 evaluated 155 beach nourishment projects in the U.S.A. In all, about 300 million <sup>3</sup> *m* of sand was placed along 700km of shoreline (470km along Atlantic coasts, 180km along Gulf coasts and 50km along Pacific coasts). In 1996, Rijkswaterstaat also evaluated nine nourishment projects (volumes between 50 and 100 <sup>3</sup> *m m yr* / / ; sand size between 0.15 and 0.3mm) carried out along the coasts (tidal range of about 2m) of the Netherlands in the period 1975-1994. Several characteristics, including ratio of design nourishment volume and required volume to compensate annual erosion volume in active zone before nourishment and after nourishment, were analyzed in his evaluation. Leo C. van Rijn, 1998 summarized the sand nourishment characteristics under micro and meso-tidal conditions in great detail from five projects (Delft Hydr., 1987; Dette & Raudkivi, 1994; Mφller, 1990; Rijksw, 1996; Work & Dean, 1991). From his result, it shows that beach nourishment can be mostly utilized on coastal areas of low or moderate wave energy with micro-tidal condition. Meanwhile, the three basic elements including the eroded area, the borrow area and the transportation/ dumping methods should be investigated in detail when sand nourishment is applied to beach erosion control. Dean, 1986 recommended a mitigative approach for armoring on an eroding coastline that calls for the placement of sand annually in the amount that has been prevented from entering the system by the armoring structure. This approach maintains a more natural littoral system. Often, the nourishment scheme is remedial rather than preventive (Hamm et al., 1998). In summary, beach nourishment is the approach that directly addresses the deficit of sand in the coastal

system without at least the potential of causing adverse effects on adjacent property. Bridges & Dean, 1996 concluded that beach nourishment is the most benign and acceptable approach to beach erosion mitigation. However from the new demands of shore protection now in Taiwan, beach nourishment can not be the only option of beach erosion control.

Beach Erosion Management with the Application of Soft Countermeasure in Taiwan 353

block mats, asphalt, etc.) are: a reduction in work volume, execution time and cost, the use of local materials, low-skilled labour and locally available equipment. However, until now, geosystems were mostly applied as temporary structures. The reason for that was their relatively low resistance to the loading of waves and currents, the lack of proper design

There is increasing interest in oyster reefs used to restore eroding coastlines. Occasionally, subtidal oyster reefs can be found offshore. These immense natural submerged breakwaters protect the beaches from storms and wave erosion by dissipating wave energy. The study of how artificial and natural reefs have protected shorelines has been conducted by Hamaguchi et al., 1991. They investigated the effects of an artificial reef on the Niigata coast in Japan. It was found that a significant amount of sand was deposited landward of this artificial reef. This reef was developed to mimic the effect of the natural coral reefs in the area. There has been an effort to find different methods of restoring oyster reefs in various estuaries around the world. O'Beirn et al., 2000 conducted the experiments by using oyster shell, concrete, and rubber tire chips as oystercultch material. A structure termed an "oysterbreak" was designed to stimulate the growth of biological structures in an optimal shape to serve as submerged breakwaters (Foret, 2002). Oysterbreak can form immense structures that can protect shorelines and coastal communities by reducing wave energy.

Currently, mineral accretion amelioration on gabion that was filled with oyster cultch & rock to form a new biological unit has been investigated in field experiment by Hwung et al., 2008. It is hoped that this combination of oyster cultch, mineral accretion and cage meshed into berm breakwater can improve the toe revetment and berm advance, and

Fluid-plate hydro-elastic interaction problems have been of common interest for a long time because of their engineering applications. During the past decades, for instance, there has been a gradual increase in interest in the use of flexible plates or membranes as alternative effective inexpensive wave barriers in a beach zone. Currently, developing of the new design of floating wave breakers in a beach zone using coating of the sea surface by an elastic plate, which absorbing the energy of sea waves, is investigated by Hwung et al., 2008. A properly designed horizontal flexible membrane can be a very effective wave barrier and its optimal design can be found through a comprehensive parametric study using the experiments, theory and computer programs developed. In particular, the membrane is light and rapidly deployable; thus, it may be an ideal candidate as a portable temporary breakwater. Since a horizontal membrane does not directly block incoming waves, the transmitted and motion-induced waves need to be properly cancelled for it to be an effective

simultaneously enrich the local environment to a higher level.

criteria, and a low durability in respect to UV-radiation and vandalism.

**2.4. Artificial oyster reef** 

**2.5. Fluid-elastic sheet** 

wave barrier.

## **2.2. Near shore disposal berms**

Open-water disposal of dredged material has been practiced worldwide for over sixty years. The initial attempts have arisen from the search for a beneficial use of the large amounts of dredged material obtained from navigation channel maintenance operations. The removed material which varies in size and quantity has been placed in nearshore disposal sites seaward of the surf zone. A major cost savings often accrues if beach fill material can be placed offshore rather than on the beach in the expectation that natural processes will move the material to the beach. The performance of underwater berms has been investigated both in the laboratory and through field monitoring programs. Hands, 1991 provided a thorough review of the behavior of 11 berms and their performance. Furthermore, Otay, 1994 presented a summary of submerged berms and their characteristics, including whether they were judged to be stable or migrated. Of the berms placed to benefit the landward beaches, possible designs could be a feeder berm, in which sand would be transported to the beach from an active berm or as a stable berm that causes damping of the waves and thus sheltering of the landward beach. In his research, Otay also described the monitoring results of an underwater berm placed off Perdido Key, Florida. Monitoring included repetitive beach profiles and wave measurements. His result showed that the berm had exerted a stabilizing effect on the beach leeward of the berm.

### **2.3. Geosystems**

Geosystems (tubes, containers) have already found various applications in coastal engineering. The tubes and containers are mainly applicable for construction of groynes, perched beaches, and offshore breakwaters, and as bunds for reclamation works. Application of these systems has executed by a number of projects in the Netherland, Germany, Japan and U.S. Some information on U.S. experience with geotubes can be found in Fowler et al., 1995 including the application of geotubes for dewatering of contaminated maintenance dredged material. Geosystems have much applicability in erosion control, water control (small weirs and reservoirs), flood control, etc. For example, breakwaters made of sandbags, geotubes, etc, have been used successfully in the United States of America under conditions for low tidal range and low wave activity (Krystian, 2000). Under gentle wave climates such structures may not only attenuate waves, but can also encourage the accretion of sediment between them and the shore. Geotube can also be used to assist in dike, groin and breakwater construction. Krystian summarized the examples of application of geotube, as dune reinforcement, core of breakwater, and bunds for dike construction, from a number of projects executed in the Netherlands and Germany. The main advantages of geosystems in comparison with more traditional methods (rock, concrete armor units, block mats, asphalt, etc.) are: a reduction in work volume, execution time and cost, the use of local materials, low-skilled labour and locally available equipment. However, until now, geosystems were mostly applied as temporary structures. The reason for that was their relatively low resistance to the loading of waves and currents, the lack of proper design criteria, and a low durability in respect to UV-radiation and vandalism.

## **2.4. Artificial oyster reef**

352 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**2.2. Near shore disposal berms** 

stabilizing effect on the beach leeward of the berm.

**2.3. Geosystems** 

system without at least the potential of causing adverse effects on adjacent property. Bridges & Dean, 1996 concluded that beach nourishment is the most benign and acceptable approach to beach erosion mitigation. However from the new demands of shore protection now in Taiwan, beach nourishment can not be the only option of beach erosion control.

Open-water disposal of dredged material has been practiced worldwide for over sixty years. The initial attempts have arisen from the search for a beneficial use of the large amounts of dredged material obtained from navigation channel maintenance operations. The removed material which varies in size and quantity has been placed in nearshore disposal sites seaward of the surf zone. A major cost savings often accrues if beach fill material can be placed offshore rather than on the beach in the expectation that natural processes will move the material to the beach. The performance of underwater berms has been investigated both in the laboratory and through field monitoring programs. Hands, 1991 provided a thorough review of the behavior of 11 berms and their performance. Furthermore, Otay, 1994 presented a summary of submerged berms and their characteristics, including whether they were judged to be stable or migrated. Of the berms placed to benefit the landward beaches, possible designs could be a feeder berm, in which sand would be transported to the beach from an active berm or as a stable berm that causes damping of the waves and thus sheltering of the landward beach. In his research, Otay also described the monitoring results of an underwater berm placed off Perdido Key, Florida. Monitoring included repetitive beach profiles and wave measurements. His result showed that the berm had exerted a

Geosystems (tubes, containers) have already found various applications in coastal engineering. The tubes and containers are mainly applicable for construction of groynes, perched beaches, and offshore breakwaters, and as bunds for reclamation works. Application of these systems has executed by a number of projects in the Netherland, Germany, Japan and U.S. Some information on U.S. experience with geotubes can be found in Fowler et al., 1995 including the application of geotubes for dewatering of contaminated maintenance dredged material. Geosystems have much applicability in erosion control, water control (small weirs and reservoirs), flood control, etc. For example, breakwaters made of sandbags, geotubes, etc, have been used successfully in the United States of America under conditions for low tidal range and low wave activity (Krystian, 2000). Under gentle wave climates such structures may not only attenuate waves, but can also encourage the accretion of sediment between them and the shore. Geotube can also be used to assist in dike, groin and breakwater construction. Krystian summarized the examples of application of geotube, as dune reinforcement, core of breakwater, and bunds for dike construction, from a number of projects executed in the Netherlands and Germany. The main advantages of geosystems in comparison with more traditional methods (rock, concrete armor units, There is increasing interest in oyster reefs used to restore eroding coastlines. Occasionally, subtidal oyster reefs can be found offshore. These immense natural submerged breakwaters protect the beaches from storms and wave erosion by dissipating wave energy. The study of how artificial and natural reefs have protected shorelines has been conducted by Hamaguchi et al., 1991. They investigated the effects of an artificial reef on the Niigata coast in Japan. It was found that a significant amount of sand was deposited landward of this artificial reef. This reef was developed to mimic the effect of the natural coral reefs in the area. There has been an effort to find different methods of restoring oyster reefs in various estuaries around the world. O'Beirn et al., 2000 conducted the experiments by using oyster shell, concrete, and rubber tire chips as oystercultch material. A structure termed an "oysterbreak" was designed to stimulate the growth of biological structures in an optimal shape to serve as submerged breakwaters (Foret, 2002). Oysterbreak can form immense structures that can protect shorelines and coastal communities by reducing wave energy.

Currently, mineral accretion amelioration on gabion that was filled with oyster cultch & rock to form a new biological unit has been investigated in field experiment by Hwung et al., 2008. It is hoped that this combination of oyster cultch, mineral accretion and cage meshed into berm breakwater can improve the toe revetment and berm advance, and simultaneously enrich the local environment to a higher level.

## **2.5. Fluid-elastic sheet**

Fluid-plate hydro-elastic interaction problems have been of common interest for a long time because of their engineering applications. During the past decades, for instance, there has been a gradual increase in interest in the use of flexible plates or membranes as alternative effective inexpensive wave barriers in a beach zone. Currently, developing of the new design of floating wave breakers in a beach zone using coating of the sea surface by an elastic plate, which absorbing the energy of sea waves, is investigated by Hwung et al., 2008. A properly designed horizontal flexible membrane can be a very effective wave barrier and its optimal design can be found through a comprehensive parametric study using the experiments, theory and computer programs developed. In particular, the membrane is light and rapidly deployable; thus, it may be an ideal candidate as a portable temporary breakwater. Since a horizontal membrane does not directly block incoming waves, the transmitted and motion-induced waves need to be properly cancelled for it to be an effective wave barrier.

Beach Erosion Management with the Application of Soft Countermeasure in Taiwan 355

Hs,am<0.6m 0.6m <Hs,am<1.5m Hs,am>1.5m

TR<2m 2m<TR<4m TR>4m

Wave Energy-dominated TR/ Hs,am=0.5~1 Tide Energy-dominated TR/ Hs,am>3 Mixed Energy 1<TR/ Hs,am<3

Regarding the long-term marine observation data, we refer to the research reports analyzed by Tainan Hydraulics Laboratory [THL], 2002 and then summarize the hydrodynamic energy classification of Taiwan coast shown as Figure 2 and Figure 3. Therefore based on Davis and Hayes's classification, the results show that northeastern coast, east coast and south coast of Taiwan belong to micro-tidal coast. However, Yun-Lin, Changhua (midwestern coast) and north coast are meso-tidal coast. As mentioned about classification of wave energy coast, the coast from Taipei county to Hsinchu county (northwestern coast), and coast between Yun-Lin county and Tainan county (west coast) are moderate wave

Wave Energy low moderate high

Tidal Energy micro-tidal meso- tidal Macro- tidal

Coastal classification based on hydrodynamic energy

energy coast.

**Table 1.** Hydrodynamic forcing in the coastal zone

**Figure 2.** Tidal energy classification of Taiwan coast

## **2.6. Aquatic vegetation**

Aquatic vegetation provides important ecosystem services to coastal marine systems. They influence their environments through wave attenuation, the stabilization of sediments, increased setting of the suspended particulate particle and nutrient cycling. For environmental and esthetic purposes, projects on natural development of wetlands and restoration of river basins toward natural development have been promoted recently. The growth of vegetation in these areas is favored. Such vegetation increases the resistance of the watercourse, leading to an increase in water depth and reduction of flow velocity. In estuarine and coastal areas with vegetation, in addition to freshwater flow upstream, waves and tidal currents exist and will play a significant role in the hydrodynamics and mixing processes. Waves over vegetation will be attenuated due to the resistance offered by the vegetation. The bidirectional nature of wave motion will increase the mixing between the water column and that within the vegetation (Li & Yan, 2007). Wave motion tends to be highest in the shallow waters where, in combination with tidal currents, water movement imposes a shear stress on bottom sediments. If bottom shear stress exceeds a critical value, sediment will be resuspended, increasing turbidity and light attenuation (Wright, 1995).

For waves propagating over vegetation, Kobayashi et al., 1993 developed an analytical model to predict wave attenuation over vegetation by assuming an exponential decay of incoming regular waves. Vegetation meadows can reduce suspended sediment concentrations; friction from vegetation leaves reduces current velocity and attenuates waves, thus reducing the stress on bottom sediments, decreasing resuspension, and promoting sediment settling within the vegetation bed (Fonseca & Cahalan, 1992; Rybicki et al., 1997). Vegetation beds may also increase particle settling shoreward of the bed (Chen et al., 2007).

## **3. Hydrodynamic energy and morphology classification of Taiwan coast**

The hydrodynamic and morphological processes in the coastal zone are governed by two primary phenomena, namely, winds and tides. The winds are directly responsible for the transport of sand on the dry beach and for the generation of waves, currents and water-level fluctuations, while the tides express themselves in a periodic rising and falling of the water and in tidal currents. Therefore, coastal classification based on hydrodynamic energy was presented by Davis & Hayes, 1984. The classification is shown in Table 1. The wave climate is generally characterized, as: low wave energy, if annual mean significant wave height at edge of surf zone (say, depth of 6m) is Hs,am<0.6m; moderate wave energy, if Hs,am between 0.6m and 1.5m; high wave energy, if Hs,am>1.5m.

However, tides are classified as micro-tidal, if the tidal range (TR) <2m, meso-tidal for TR between 2m and 4m and macro-tidal for TR>4m. Furthermore, the relative strength of tideinduced (tidal range TR) and wave-induced forces (mean annual nearshore wave height H) acting in coastal system, the following classification may also be given as: wave energydominated coasts (TR/H=0.5 to 1.0), tide energy-dominated coasts (TR/H>3); mixed energy coasts (TR/H=1 to 3).

Regarding the long-term marine observation data, we refer to the research reports analyzed by Tainan Hydraulics Laboratory [THL], 2002 and then summarize the hydrodynamic energy classification of Taiwan coast shown as Figure 2 and Figure 3. Therefore based on Davis and Hayes's classification, the results show that northeastern coast, east coast and south coast of Taiwan belong to micro-tidal coast. However, Yun-Lin, Changhua (midwestern coast) and north coast are meso-tidal coast. As mentioned about classification of wave energy coast, the coast from Taipei county to Hsinchu county (northwestern coast), and coast between Yun-Lin county and Tainan county (west coast) are moderate wave energy coast.


**Table 1.** Hydrodynamic forcing in the coastal zone

354 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Aquatic vegetation provides important ecosystem services to coastal marine systems. They influence their environments through wave attenuation, the stabilization of sediments, increased setting of the suspended particulate particle and nutrient cycling. For environmental and esthetic purposes, projects on natural development of wetlands and restoration of river basins toward natural development have been promoted recently. The growth of vegetation in these areas is favored. Such vegetation increases the resistance of the watercourse, leading to an increase in water depth and reduction of flow velocity. In estuarine and coastal areas with vegetation, in addition to freshwater flow upstream, waves and tidal currents exist and will play a significant role in the hydrodynamics and mixing processes. Waves over vegetation will be attenuated due to the resistance offered by the vegetation. The bidirectional nature of wave motion will increase the mixing between the water column and that within the vegetation (Li & Yan, 2007). Wave motion tends to be highest in the shallow waters where, in combination with tidal currents, water movement imposes a shear stress on bottom sediments. If bottom shear stress exceeds a critical value, sediment will be resuspended, increasing turbidity and light attenuation (Wright, 1995).

For waves propagating over vegetation, Kobayashi et al., 1993 developed an analytical model to predict wave attenuation over vegetation by assuming an exponential decay of incoming regular waves. Vegetation meadows can reduce suspended sediment concentrations; friction from vegetation leaves reduces current velocity and attenuates waves, thus reducing the stress on bottom sediments, decreasing resuspension, and promoting sediment settling within the vegetation bed (Fonseca & Cahalan, 1992; Rybicki et al., 1997). Vegetation beds may also increase particle settling shoreward of the bed (Chen et

**3. Hydrodynamic energy and morphology classification of Taiwan coast** 

The hydrodynamic and morphological processes in the coastal zone are governed by two primary phenomena, namely, winds and tides. The winds are directly responsible for the transport of sand on the dry beach and for the generation of waves, currents and water-level fluctuations, while the tides express themselves in a periodic rising and falling of the water and in tidal currents. Therefore, coastal classification based on hydrodynamic energy was presented by Davis & Hayes, 1984. The classification is shown in Table 1. The wave climate is generally characterized, as: low wave energy, if annual mean significant wave height at edge of surf zone (say, depth of 6m) is Hs,am<0.6m; moderate wave energy, if Hs,am

However, tides are classified as micro-tidal, if the tidal range (TR) <2m, meso-tidal for TR between 2m and 4m and macro-tidal for TR>4m. Furthermore, the relative strength of tideinduced (tidal range TR) and wave-induced forces (mean annual nearshore wave height H) acting in coastal system, the following classification may also be given as: wave energydominated coasts (TR/H=0.5 to 1.0), tide energy-dominated coasts (TR/H>3); mixed energy

between 0.6m and 1.5m; high wave energy, if Hs,am>1.5m.

**2.6. Aquatic vegetation** 

al., 2007).

coasts (TR/H=1 to 3).

**Figure 2.** Tidal energy classification of Taiwan coast

However, southwestern coast from Tainan city, Kaohsiung to Ping-Tung county belong to low or moderate wave energy coast. Regarding to the east coast of Taiwan, besides partial coast of Taitung county is moderate wave energy coast, most parts of the east coast, (Hualien, Yi-Lan) and northeastern coast, are high wave energy coasts. For morphology classification, the slopes of beach profiles around Taiwan coast are shown in Figure 4. Due to these hydrodynamic energy and morphology classification of Taiwan coast, a strategic management proposal can be made to integrate soft countermeasure into the current hard shore protection system around Taiwan coast.

Beach Erosion Management with the Application of Soft Countermeasure in Taiwan 357

**4. Discussion on application of combining hard and soft solutions for** 

Water Resource Agency, Taiwan, has claimed nearly 95 percent of fulfillment on coastal protection after more than 30 years' efforts. However, under the disaster prevention demand in earlier days, coastal protection has been accomplished mostly be lining up the hard engineering structures such as seawalls, groyne and armour units along the coastlines. Until now, the constriction of the seawalls for shore protection does not always work well on each coast around Taiwan. Some shores still get eroded seriously with seawalls being damaged partially. Meanwhile, the coastal engineering development in Taiwan currently has changed the previous strategy, only focused on shore protection, to a new one taking into consideration several aspects like safety, economy, construction, recreation, landscape and ecology. According to this new trend, the current shore protection system around Taiwan can be properly mended by soft countermeasures, however, the specific characteristics and requisite at each local site should be taken into consideration. Therefore, we have divided Taiwan coast into several categories based on the collected long-term observation information such as geological characteristics, hydrodynamic forcing, the intensity of beach erosion and shore protection. Then, the national beach management and protection problems were evaluated and the solutions for shore protections and further

After evaluation of a number of soft solution results, it is indicated that beach nourishment is a natural and popular soft shore protection technique that has been applied worldwide recently. This method can be utilized on the coastal areas under low or moderate wave energies with mild or moderate bottom slope for engineering purpose. However from the new demands of shore protection now in Taiwan, beach nourishment can not be the only option of beach erosion control. Another soft solution should be also taken into consideration for integration. Based on these criteria and the categories of Taiwan coast, the countermeasure of integrating soft solution into current hard shore protection system

Because the north coasts in Taiwan are meso-tidal and moderate wave energy coasts, and their beach profiles are of mild slope, the eligible improvement criteria for current shore protection scheme are based on headland control strategy plus sand nourishment. However, volume of sand, sand size, beach and swash zone placement should be taken into account in

On the other hand, many barrier islands in the offshore of Yun-Lin, Chia-Yi and Tainan coast, can be treated as natural offshore breakwaters. In fact, those barrier islands can form a defense line of low-lying coastal plains and back-barrier basin against storms attacking these areas. Therefore, the shore protection strategy for these areas should be focused on how to protect these barrier islands. However, most important for the formation and maintenance of barrier islands and inlets is the relative strength of the wave processes and of the tidal processes. In order to protect these barrier islands, detailed field investigations on sediment

**beach protection in Taiwan** 

improvements were proposed.

the works of beach nourishment.

around Taiwan coast will be proposed as follows:

**Figure 3.** Wave energy classification of Taiwan coast

**Figure 4.** Morphology classification, the beach slopes around Taiwan

## **4. Discussion on application of combining hard and soft solutions for beach protection in Taiwan**

356 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

shore protection system around Taiwan coast.

**Figure 3.** Wave energy classification of Taiwan coast

**Figure 4.** Morphology classification, the beach slopes around Taiwan

However, southwestern coast from Tainan city, Kaohsiung to Ping-Tung county belong to low or moderate wave energy coast. Regarding to the east coast of Taiwan, besides partial coast of Taitung county is moderate wave energy coast, most parts of the east coast, (Hualien, Yi-Lan) and northeastern coast, are high wave energy coasts. For morphology classification, the slopes of beach profiles around Taiwan coast are shown in Figure 4. Due to these hydrodynamic energy and morphology classification of Taiwan coast, a strategic management proposal can be made to integrate soft countermeasure into the current hard

Water Resource Agency, Taiwan, has claimed nearly 95 percent of fulfillment on coastal protection after more than 30 years' efforts. However, under the disaster prevention demand in earlier days, coastal protection has been accomplished mostly be lining up the hard engineering structures such as seawalls, groyne and armour units along the coastlines. Until now, the constriction of the seawalls for shore protection does not always work well on each coast around Taiwan. Some shores still get eroded seriously with seawalls being damaged partially. Meanwhile, the coastal engineering development in Taiwan currently has changed the previous strategy, only focused on shore protection, to a new one taking into consideration several aspects like safety, economy, construction, recreation, landscape and ecology. According to this new trend, the current shore protection system around Taiwan can be properly mended by soft countermeasures, however, the specific characteristics and requisite at each local site should be taken into consideration. Therefore, we have divided Taiwan coast into several categories based on the collected long-term observation information such as geological characteristics, hydrodynamic forcing, the intensity of beach erosion and shore protection. Then, the national beach management and protection problems were evaluated and the solutions for shore protections and further improvements were proposed.

After evaluation of a number of soft solution results, it is indicated that beach nourishment is a natural and popular soft shore protection technique that has been applied worldwide recently. This method can be utilized on the coastal areas under low or moderate wave energies with mild or moderate bottom slope for engineering purpose. However from the new demands of shore protection now in Taiwan, beach nourishment can not be the only option of beach erosion control. Another soft solution should be also taken into consideration for integration. Based on these criteria and the categories of Taiwan coast, the countermeasure of integrating soft solution into current hard shore protection system around Taiwan coast will be proposed as follows:

Because the north coasts in Taiwan are meso-tidal and moderate wave energy coasts, and their beach profiles are of mild slope, the eligible improvement criteria for current shore protection scheme are based on headland control strategy plus sand nourishment. However, volume of sand, sand size, beach and swash zone placement should be taken into account in the works of beach nourishment.

On the other hand, many barrier islands in the offshore of Yun-Lin, Chia-Yi and Tainan coast, can be treated as natural offshore breakwaters. In fact, those barrier islands can form a defense line of low-lying coastal plains and back-barrier basin against storms attacking these areas. Therefore, the shore protection strategy for these areas should be focused on how to protect these barrier islands. However, most important for the formation and maintenance of barrier islands and inlets is the relative strength of the wave processes and of the tidal processes. In order to protect these barrier islands, detailed field investigations on sediment

supply (sources and sinks), hydrodynamic forces (waves, tides and rate of sea level change) and geomorphic setting (shoreface profile shape, sub-strata composition) should be carried out in advance. Meanwhile, oyster cultivation is an important fishery industry in the coast of these areas. Thus, there is large volume of oyster cultch in these coasts. Therefore, one new shore protection technology using mineral accretion technique is proposed by Hwung et al., 2008. Regarding to this new technology, mineral accretion (an advance on cathodic protection) amelioration combined with oyster cultch and rock is used to form the new biological unit in order to enhance the efficiency of anti-rusting and function of shore protection. Several field experiments of this new shore protection technology have been done on Chigu Lagoon in Tainan County. It is hoped that this new shore protection technology can be successfully applied to coastal engineering in the near future.

Beach Erosion Management with the Application of Soft Countermeasure in Taiwan 359

into current hard shore protection system. These in-situ experimental studies are therefore designed to improve the security as well as to involve ecological and scenic remediation for

With the length of 5 kilometer, Ching-Tsao-Lun coastal area is located between Zeng-Wun River mouth and Lu-Erh-Men River mouth at the middle section of Tainan coast. Without manmade intrusion, Zeng-Wun River mouth was once a natural estuary for more over three decades ago. Unfortunately, nowadays Ching-Tsao-Lun coastal area was invaded by constructing concrete and pebble dikes or other artificial protection. Therefore, the beach in front of Ching-Tsao-Lun concrete dike had been eroded ten years ago (Figure 5 and Figure 6). In order to have an overall study on rebirthing Ching-Tsao-Lun coastline, the in-situ study (Figure 7) focuses not only on safety evaluation of remedial Ching-Tsao-Lun sea dike but also on low to reform the beach back with ecology evaluation (Liou et al., 2007). Furthermore, by joining government resource and local manpower together, advance coastal management will enlighten the environment and landscape of Ching-Tsao-Lun coast again. The overall coastal protections and environment rebirths for Ching-Tsao-Lun coastal

1. Short-term goal: If rebuild is required, dike section adjustment could be put into

2. Long-term goal: Three schemes with beach nourishment and offshore breakwater are proposed for beach rebirth. Physical remediation will be half the way whiles the beach

the beach erosion problem.

are listed as follow:

consideration.

reversible.

**5.1. Ching-Tsao-Lun coastal area** 

The coastal area around Ching-Tsao-Lun concrete dike:

**Figure 5.** The erosion area in the Ching-Tsao-Lun coastline

Offshore sills or breakwaters have proved to be much effective when used in combination with beach nourishment schemes. The retention capacity of a perched beach not only helps to reduce wave attack but is clearly beneficial from a recreational point of view. Since many offshore breakwaters already exist in the coasts of Kao-Shung and Pin-Tung counties, sand sources can be filled in the region between offshore breakwaters and sea dikes. The expanding beach faces will be helpful for wave damping and sightseeing. However, as many successful fisheries exist in the coastal regions of Kao-Shung and Pin-Tung Counties, when the beach nourishment is taken as the shore protection method in these areas, the influence of beach nourishment to coastal fisheries should be taken into considerations.

As for steep beaches and high wave energy, such as those of the east coast region, more specific parameters should be taken into account. For example, the erosion problem at the Tou-Chen beach in Yi-Lan County can be remedied by headland control strategy plus sand nourishment. The Tou-Chen beach now is defended only by a seawall and some short groynes. The headland control strategy can be based on reconstructing two long arc-shaped groynes with a submerged breakwater to support the recreational beach fill in front of seawall. Meanwhile, for the purpose of recreational activity, the fluid-elastic shirt can be applied as a portable temporary breakwater in this beach zone for wave damping. However in order to mitigate the erosion of gravel beaches in Hualien and Tai-Tung counties, the beach nourishment of mixed grain sizes is to become an alternative solution. Since there is little experience on the movement of gravel on steep coast of Hualien and Tai-Tung counties, a comprehensive field investigation should be done on the mechanism of sediment movement especially for action of typhoon wave. Moreover, a detailed physical model study about the effect of dynamic nourishment as a countermeasure against erosion should also be conducted before gravel nourishment can be carried out on the Taiwan eastern coast.

## **5. Experimental application study on integration of soft solution into current hard shore protection system**

Two local sites in the southwestern Taiwan coast and one biggest offshore barrier island in Taiwan are selected for the experimental application study on integration of soft solution into current hard shore protection system. These in-situ experimental studies are therefore designed to improve the security as well as to involve ecological and scenic remediation for the beach erosion problem.

## **5.1. Ching-Tsao-Lun coastal area**

358 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

technology can be successfully applied to coastal engineering in the near future.

supply (sources and sinks), hydrodynamic forces (waves, tides and rate of sea level change) and geomorphic setting (shoreface profile shape, sub-strata composition) should be carried out in advance. Meanwhile, oyster cultivation is an important fishery industry in the coast of these areas. Thus, there is large volume of oyster cultch in these coasts. Therefore, one new shore protection technology using mineral accretion technique is proposed by Hwung et al., 2008. Regarding to this new technology, mineral accretion (an advance on cathodic protection) amelioration combined with oyster cultch and rock is used to form the new biological unit in order to enhance the efficiency of anti-rusting and function of shore protection. Several field experiments of this new shore protection technology have been done on Chigu Lagoon in Tainan County. It is hoped that this new shore protection

Offshore sills or breakwaters have proved to be much effective when used in combination with beach nourishment schemes. The retention capacity of a perched beach not only helps to reduce wave attack but is clearly beneficial from a recreational point of view. Since many offshore breakwaters already exist in the coasts of Kao-Shung and Pin-Tung counties, sand sources can be filled in the region between offshore breakwaters and sea dikes. The expanding beach faces will be helpful for wave damping and sightseeing. However, as many successful fisheries exist in the coastal regions of Kao-Shung and Pin-Tung Counties, when the beach nourishment is taken as the shore protection method in these areas, the influence of beach nourishment to coastal fisheries should be taken into considerations.

As for steep beaches and high wave energy, such as those of the east coast region, more specific parameters should be taken into account. For example, the erosion problem at the Tou-Chen beach in Yi-Lan County can be remedied by headland control strategy plus sand nourishment. The Tou-Chen beach now is defended only by a seawall and some short groynes. The headland control strategy can be based on reconstructing two long arc-shaped groynes with a submerged breakwater to support the recreational beach fill in front of seawall. Meanwhile, for the purpose of recreational activity, the fluid-elastic shirt can be applied as a portable temporary breakwater in this beach zone for wave damping. However in order to mitigate the erosion of gravel beaches in Hualien and Tai-Tung counties, the beach nourishment of mixed grain sizes is to become an alternative solution. Since there is little experience on the movement of gravel on steep coast of Hualien and Tai-Tung counties, a comprehensive field investigation should be done on the mechanism of sediment movement especially for action of typhoon wave. Moreover, a detailed physical model study about the effect of dynamic nourishment as a countermeasure against erosion should also be conducted before gravel nourishment can be carried out on the Taiwan eastern coast.

**5. Experimental application study on integration of soft solution into** 

Two local sites in the southwestern Taiwan coast and one biggest offshore barrier island in Taiwan are selected for the experimental application study on integration of soft solution

**current hard shore protection system** 

With the length of 5 kilometer, Ching-Tsao-Lun coastal area is located between Zeng-Wun River mouth and Lu-Erh-Men River mouth at the middle section of Tainan coast. Without manmade intrusion, Zeng-Wun River mouth was once a natural estuary for more over three decades ago. Unfortunately, nowadays Ching-Tsao-Lun coastal area was invaded by constructing concrete and pebble dikes or other artificial protection. Therefore, the beach in front of Ching-Tsao-Lun concrete dike had been eroded ten years ago (Figure 5 and Figure 6). In order to have an overall study on rebirthing Ching-Tsao-Lun coastline, the in-situ study (Figure 7) focuses not only on safety evaluation of remedial Ching-Tsao-Lun sea dike but also on low to reform the beach back with ecology evaluation (Liou et al., 2007). Furthermore, by joining government resource and local manpower together, advance coastal management will enlighten the environment and landscape of Ching-Tsao-Lun coast again. The overall coastal protections and environment rebirths for Ching-Tsao-Lun coastal are listed as follow:

The coastal area around Ching-Tsao-Lun concrete dike:


**Figure 5.** The erosion area in the Ching-Tsao-Lun coastline

The coastal area around Ching-Tsao-Lun pebble dike:


Beach Erosion Management with the Application of Soft Countermeasure in Taiwan 361

With a beautiful sight and a mangrove ecosystem preservation area, Shuang-Chun coastal area (Figure 8) locates between Ba-Jhang River mouth and Ji-Shuei River mouth at the northern section of Tainan coast. Historical evolution of the coastal morphology shows that one third of the Shuang-Chun coastline at northern section has revealed shoreline retreat problem in the recent years. It can be shown by the evolution of coastline, satellite photos and aerial photographs from 1993~2002 (Figure 9, Figure 10 and research reports

**Figure 8.** The location of Shuang-Chun coast between two river mouths

After analyzing the long term field investigation data, the hydrodynamic characteristics of Shuang-Chun coast are moderate wave energy coast and micro-tide condition. The dominant hydrodynamic characteristics (incoming wave climate, tidal range) and local morphological information are considered for the proposed countermeasure to control beach erosion. Based on parabolic bay orientation on equilibrium shape (Hsu & Evan, 1989), the final select countermeasure is show in Figure 11 and Figure 12. The design is to establish three offshore breakwaters with a southwest stretched breakwater as a down-coast artificial headland on the existing seawall of Ba-Jhang River mouth (Yang et al., 2004). All the new breakwaters are set up by geobags filled with sand from the northern deposited area of Ba-Jhang River mouth. Behind the shelter areas of three offshore breakwaters, oyster booth is used as wave energy dissipation and sand trapping. Meanwhile, the existing dune is reinforced by dune zone nourishment. Monitoring of this experimental application study has still been conducted from 2008~2012. The final results of this proposed countermeasure will be verified by measurements of hydrodynamics and topography, sand sampling and monitoring of geosystem and oyster booth for their function of anti-damage and suitably

**5.2. Shuang-Chun coastal area** 

by THL, 2004).

applied environment.

The natural beach zone:


**Figure 6.** The erosion beach in front of Ching-Tsao-Lun concrete dike

**Figure 7.** In-situ study on beach erosion control in the Ching-Tsao-Lun area

## **5.2. Shuang-Chun coastal area**

360 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

1. Apply "Vegetation Evolution Method" to enhance vegetation diversity and landscape. 2. Advance coastal management and use floating logs to enlighten the environment and

1. Short-term goal: Build wind fence with planting to enhance the environment and

2. Long-term goal: Build artificial sand dune and increase dune elevation by using local floating logs, oyster cultch or dredged sedimentation form Lu-Erh-Men River.

The coastal area around Ching-Tsao-Lun pebble dike:

**Figure 6.** The erosion beach in front of Ching-Tsao-Lun concrete dike

**Figure 7.** In-situ study on beach erosion control in the Ching-Tsao-Lun area

coastal protection.

The natural beach zone:

landscape.

With a beautiful sight and a mangrove ecosystem preservation area, Shuang-Chun coastal area (Figure 8) locates between Ba-Jhang River mouth and Ji-Shuei River mouth at the northern section of Tainan coast. Historical evolution of the coastal morphology shows that one third of the Shuang-Chun coastline at northern section has revealed shoreline retreat problem in the recent years. It can be shown by the evolution of coastline, satellite photos and aerial photographs from 1993~2002 (Figure 9, Figure 10 and research reports by THL, 2004).

**Figure 8.** The location of Shuang-Chun coast between two river mouths

After analyzing the long term field investigation data, the hydrodynamic characteristics of Shuang-Chun coast are moderate wave energy coast and micro-tide condition. The dominant hydrodynamic characteristics (incoming wave climate, tidal range) and local morphological information are considered for the proposed countermeasure to control beach erosion. Based on parabolic bay orientation on equilibrium shape (Hsu & Evan, 1989), the final select countermeasure is show in Figure 11 and Figure 12. The design is to establish three offshore breakwaters with a southwest stretched breakwater as a down-coast artificial headland on the existing seawall of Ba-Jhang River mouth (Yang et al., 2004). All the new breakwaters are set up by geobags filled with sand from the northern deposited area of Ba-Jhang River mouth. Behind the shelter areas of three offshore breakwaters, oyster booth is used as wave energy dissipation and sand trapping. Meanwhile, the existing dune is reinforced by dune zone nourishment. Monitoring of this experimental application study has still been conducted from 2008~2012. The final results of this proposed countermeasure will be verified by measurements of hydrodynamics and topography, sand sampling and monitoring of geosystem and oyster booth for their function of anti-damage and suitably applied environment.

Beach Erosion Management with the Application of Soft Countermeasure in Taiwan 363

**Figure 10.** The comparision of Shuang-Chun coastal morphology between 1993 and 2002

**Figure 11.** The final sketch of shore protection countermeasure for Shuang-Chun coastal area

**Figure 12.** Beach nourishment and geobag application in experimental study of the Shuang-Chun

**Figure 9.** The satellite photos of Shuang-Chun coast from 1993~2002

Beach Erosion Management with the Application of Soft Countermeasure in Taiwan 363

**Figure 10.** The comparision of Shuang-Chun coastal morphology between 1993 and 2002

362 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 9.** The satellite photos of Shuang-Chun coast from 1993~2002

**Figure 11.** The final sketch of shore protection countermeasure for Shuang-Chun coastal area

**Figure 12.** Beach nourishment and geobag application in experimental study of the Shuang-Chun

### **5.3. Wai-San-Ding barrier island**

Barrier islands as their name implies, they form a protective barrier between coastal shorelines and wave action that originates offshore. Barrier islands are also ecosystems that border coastal shorelines and physically separate the offshore oceanic province from inshore wetlands, bays and estuaries. Coastlines fronted by barrier islands also include some of the greatest concentrations of human populations and accompanying anthropogenic development in the word. The native vegetation and geological stability of these ecosystems are coupled and vulnerable to erosion events, particularly when also disturbed by development.

Beach Erosion Management with the Application of Soft Countermeasure in Taiwan 365

Hydraulics Laboratory (THL), National Cheng Kung University (NCKU), Tainan, Taiwan to validate their effect. The results showed that soft groins in the downstream and submerged artificial berms in the midstream are the effectively integrated measure to mitigate the continuing erosion problem of the Wai-San-Ding barrier island. Meanwhile, the plant evolution method and oyster cultch with aquatic vegetation were also proposed to apply in mitigation of wind sand transport and stabilization of sand dune. In order to protect this offshore barrier island, the more detailed field investigations on sediment supply (source and sinks), hydrodynamic forces (waves, tides and rate of sea level change) and geomorphic setting (shoreface profile shape, sub-strata composition) should be continuously conducted. Furthermore, the in-situ experimental study based on two proposed countermeasures is suggested to apply in improving the security as well as to involve ecological and scenic remediation for the erosion problem of Wai-San-Ding

**Figure 13.** Studied area Wai-San-Ding Barrier Island image from satellite SPOT(2001)

Taiwan

Taiwan

Kaohsiung

Kaohsiung

Taipei

Taipei

barrier island.

The Wai-San-Ding barrier island (Figure 13), protruding at about a forty-five-degree angle from the natural trend of the mainland shoreline at the mouth of the Peigang Shi River, is the largest remaining barrier island off the Taiwan coast. The overall length of this barrier is twenty kilometers, and her area is around two-thousand hectares during the Mean Water Level (M.W.L.). Much of the island shoreline is investigated to have been eroding at a rate of 50m~60m per year in recent years. Furthermore, this island holds some sort of "land speed" with continuing 0.2 degree/year counter-clockwise rotation to migrate southeastware to the mainland shoreline and gradual submerging into the sea. The Wai-San-Ding barrier island located on the southwestern Taiwan, is normally treated as natural offshore breakwater. In fact this biggest barrier island can form a defense line of low-lying coastal plains and back-barrier basin against storms attacking the southwestern coastal area in Taiwan. However, the erosion problem of the Wai-San-Ding barrier island has become more serious in the recent past. Therefore, how to protect this barrier island is always an important issue both from the consideration of coastal hazard and sustainable environment in Taiwan.

The objective of this experimental application study is to find the suitable measure for mitigating the existing erosion problem of the Wai-San-Ding barrier island. After collecting enough hydrodynamic and morphodynamic data from the long-term field investigation, the erosion mechanisms of the barrier island were analyzed in detail. Figure 14 shows that the time for this beach erosion to become apparently chiefly depends on how fast the rate of longshore sediment transport decreased from the up-coast area and on the river sediment supply. Meanwhile, run up mechanism under various waves, storm surge and overwash threshold on sand barrier during typhoon are also the important factors to be investigated. However, sufficient knowledge on nearshore hydrodynamic forcing, sediment transport processes and morphological features along this offshore barrier island, is helpful to the countermeasure control work. Based on the analysis of the erosion mechanisms, consideration of some measure options were proposed and firstly simulated by numerical model to find the two better solutions. Then two better applications (Figure 15) of the various soft methodologies available for the beach erosion control were proposed after numerical model analysis and further investigated by physical model test in the Near-shore Wave Basin (NSWB, 150x60x1.5m) at the Tainan Hydraulics Laboratory (THL), National Cheng Kung University (NCKU), Tainan, Taiwan to validate their effect. The results showed that soft groins in the downstream and submerged artificial berms in the midstream are the effectively integrated measure to mitigate the continuing erosion problem of the Wai-San-Ding barrier island. Meanwhile, the plant evolution method and oyster cultch with aquatic vegetation were also proposed to apply in mitigation of wind sand transport and stabilization of sand dune. In order to protect this offshore barrier island, the more detailed field investigations on sediment supply (source and sinks), hydrodynamic forces (waves, tides and rate of sea level change) and geomorphic setting (shoreface profile shape, sub-strata composition) should be continuously conducted. Furthermore, the in-situ experimental study based on two proposed countermeasures is suggested to apply in improving the security as well as to involve ecological and scenic remediation for the erosion problem of Wai-San-Ding barrier island.

364 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Barrier islands as their name implies, they form a protective barrier between coastal shorelines and wave action that originates offshore. Barrier islands are also ecosystems that border coastal shorelines and physically separate the offshore oceanic province from inshore wetlands, bays and estuaries. Coastlines fronted by barrier islands also include some of the greatest concentrations of human populations and accompanying anthropogenic development in the word. The native vegetation and geological stability of these ecosystems are coupled and vulnerable to erosion events, particularly when also disturbed by

The Wai-San-Ding barrier island (Figure 13), protruding at about a forty-five-degree angle from the natural trend of the mainland shoreline at the mouth of the Peigang Shi River, is the largest remaining barrier island off the Taiwan coast. The overall length of this barrier is twenty kilometers, and her area is around two-thousand hectares during the Mean Water Level (M.W.L.). Much of the island shoreline is investigated to have been eroding at a rate of 50m~60m per year in recent years. Furthermore, this island holds some sort of "land speed" with continuing 0.2 degree/year counter-clockwise rotation to migrate southeastware to the mainland shoreline and gradual submerging into the sea. The Wai-San-Ding barrier island located on the southwestern Taiwan, is normally treated as natural offshore breakwater. In fact this biggest barrier island can form a defense line of low-lying coastal plains and back-barrier basin against storms attacking the southwestern coastal area in Taiwan. However, the erosion problem of the Wai-San-Ding barrier island has become more serious in the recent past. Therefore, how to protect this barrier island is always an important issue both from the consideration of coastal hazard and sustainable

The objective of this experimental application study is to find the suitable measure for mitigating the existing erosion problem of the Wai-San-Ding barrier island. After collecting enough hydrodynamic and morphodynamic data from the long-term field investigation, the erosion mechanisms of the barrier island were analyzed in detail. Figure 14 shows that the time for this beach erosion to become apparently chiefly depends on how fast the rate of longshore sediment transport decreased from the up-coast area and on the river sediment supply. Meanwhile, run up mechanism under various waves, storm surge and overwash threshold on sand barrier during typhoon are also the important factors to be investigated. However, sufficient knowledge on nearshore hydrodynamic forcing, sediment transport processes and morphological features along this offshore barrier island, is helpful to the countermeasure control work. Based on the analysis of the erosion mechanisms, consideration of some measure options were proposed and firstly simulated by numerical model to find the two better solutions. Then two better applications (Figure 15) of the various soft methodologies available for the beach erosion control were proposed after numerical model analysis and further investigated by physical model test in the Near-shore Wave Basin (NSWB, 150x60x1.5m) at the Tainan

**5.3. Wai-San-Ding barrier island** 

development.

environment in Taiwan.

**Figure 13.** Studied area Wai-San-Ding Barrier Island image from satellite SPOT(2001)

Beach Erosion Management with the Application of Soft Countermeasure in Taiwan 367

The efficiency and productivity of the infrastructure facilities is strictly required nowadays owing to escalating fiscal deficit of the government. We have questioned ourselves about what the people in Taiwan expect on coastal protection work for the next decade; moreover, is it worth applying soft solution instead of keeping the previous reinforced concrete revetment under this tight budget condition? The objective of this study is therefore to present various soft solution strategies available for beach erosion control in the hope of providing better efficiency and cost-effectiveness as well. The results also reveal that the current shore protection system around Taiwan can be properly controlled by beach nourishment. However, the specific characteristics at each local site should be taken into consideration. Accordingly, we divide Taiwan coast into categories based on the collected information such as geological characteristics, hydrodynamics, and the intensity of beach erosion. The national beach management and protection problems will therefore be evaluated followed by the offering of resolutions for shore protection and further improvements. For the purpose of beach erosion management, we also have completed collecting and analyzing coastal data around Taiwan and constructed a database as well a geographic information system (see Figure 16) as reference. Related units of coastal management agency, in Taiwan, are permitted to log on to and use the system via the Worldwide Web with an authorized username and password. The actual locations and related information of the current shore protection constructions with suitable principle and countermeasure of the future beach erosion control around Taiwan can be obtained via this geographic information. It is helpful for future reference of beach erosion management for

the governmental agency in charge of shoreline policies.

**Figure 16.** GIS information system of Taiwan coast

**6. Conclusion** 

**Figure 14.** Hydrodynamic forcing characteristics, littoral sediment transport and morphology dynamics of the offshore barrier island

**Figure 15.** Two better countermeasures for mitigation the erosion problem of Wai-San-Ding Barrier Island

## **6. Conclusion**

366 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Wave in winter

Wave induced Longshore transport

Wash over

trench.more than 100m deep

Tidal current

Pein-Hou

**Figure 14.** Hydrodynamic forcing characteristics, littoral sediment transport and morphology dynamics

Typhoons wave in summer

200m 200m 200m 150m

1m

350m

Tidal current

Aogu

Winter monsoon Wind transport

Baishuihu

Wangliao Dongshi Wengang

166

17

168

170

164

Taizicun

Jinhu

17

Boziliao

N

17

Budai

250m 350m 450m

138m 190m 260m 360m

17

**Figure 15.** Two better countermeasures for mitigation the erosion problem of Wai-San-Ding Barrier Island

(a) submerged artificial berms (b) soft groins used by geotube

147000 147500 148000 148500 149000 149500 150000 150500 151000

wave<sup>N</sup> <sup>o</sup> N10 W

geotube-type groins

146000 147000 148000 149000 150000 151000 152000 153000 154000 155000 156000 157000 158000 159000 160000

longshore transport

of the offshore barrier island

wave<sup>N</sup> <sup>o</sup> N10 W

location of submerged artificial berms

146000 147000 148000 149000 150000 151000 152000 153000 154000 155000 156000 157000 158000 159000 160000

The efficiency and productivity of the infrastructure facilities is strictly required nowadays owing to escalating fiscal deficit of the government. We have questioned ourselves about what the people in Taiwan expect on coastal protection work for the next decade; moreover, is it worth applying soft solution instead of keeping the previous reinforced concrete revetment under this tight budget condition? The objective of this study is therefore to present various soft solution strategies available for beach erosion control in the hope of providing better efficiency and cost-effectiveness as well. The results also reveal that the current shore protection system around Taiwan can be properly controlled by beach nourishment. However, the specific characteristics at each local site should be taken into consideration. Accordingly, we divide Taiwan coast into categories based on the collected information such as geological characteristics, hydrodynamics, and the intensity of beach erosion. The national beach management and protection problems will therefore be evaluated followed by the offering of resolutions for shore protection and further improvements. For the purpose of beach erosion management, we also have completed collecting and analyzing coastal data around Taiwan and constructed a database as well a geographic information system (see Figure 16) as reference. Related units of coastal management agency, in Taiwan, are permitted to log on to and use the system via the Worldwide Web with an authorized username and password. The actual locations and related information of the current shore protection constructions with suitable principle and countermeasure of the future beach erosion control around Taiwan can be obtained via this geographic information. It is helpful for future reference of beach erosion management for the governmental agency in charge of shoreline policies.

**Figure 16.** GIS information system of Taiwan coast

Beach Erosion Management with the Application of Soft Countermeasure in Taiwan 369

Hands, E.B. (1991). Unprecedented Migration of a Submerged Mound off the Alabama

Hwung, H.H.; Huang, H.Y.; Wu, Y.C.; Liou, J.Y. & Liu L.L. (2008). Mineral Accretion Technique during Biological Attachment In-Situ, *30th Ocean Engineering Conference in* 

Hwung, H.H.; Yang, R.Y. & Igor V.S. (2008). Sea Wave Adaptation by an Elastic Plate, *Proceedings 18th International Offshore (Ocean) and Polor Engineering Conference*, pp.296-

Hsu, J.R.C. & Evans, C. (1989). Parabolic Bay Shapes and Applications, *Proceedings Instn.* 

Kobayashi, N.; Raichle, A.W. & Asano, T. (1993). Wave Attenuation by Vegetation, *J.* 

Krystian, W.P. (2000). Geosynthetics and Geosystems in Hydraulic and Coastal Engineering,

Leonard, L.A. et al. (1990). A Comparison of Beach Replenishment on the U.S. Atlantic,

Li, C.W. & Yan, K. (2007). Numerical Investigation of Wave-Current-Vegetation Interaction,

Wright, L.D. (1995). Morphodynamics of Inner Continental Shelves, Boca Raton, Florida

Liou, J.Y.; Huang, H.Y.; Kuo, C.H.; Shieh, C.T. & Chiang, W.P. (2007). An Amelioration Study upon Ching-Tsao-Lun Dike in Tainan Coast, *Proceeding of the 29th Ocean* 

Mφller, J. T. (1990). Artificial Beach Nourishment on the Danish North Sea Coast, *Journal of* 

O'Beirn, F.; Luckenbach, M.; Nestlerode, J. & Coates, G. (2000). Toward Design Criteria in Constructed Oyster Reefs: Oyster Recruitment as a Function of Substrate Type and

Otay, E.N. (1994). *Long-Term Evolution of Nearshore Disposal Berms*, Ph.D. dissertation, Dept.

Rijkswaterstaat (1996). *Evaluation of Sand Nourishment Projects along the Dutch Coast 1975-*

Rybicki, N.B.; Jenter, H.L.; Carter, V.; Baltzer, R.A. & Turtora, M. (1997). Observations of Tidal Flux between a Submersed Aquatic Plant Stand and the Adjacent Channel in the Potomac River near Washington, D. C., *Limnology and Oceanography,* Vol.42(2), pp.307-

Tainan Hydraulics Laboratory Technical Report. (2002). *The Research of New Shore Protection Technology (3/4)*, National Cheng Kung University, Taiwan, Bulletin No.285. (in

Tainan Hydraulics Laboratory Technical Report. (2004). *The Research of New Shore Protection Technology (4/4)*, National Cheng Kung University, Taiwan, Bulletin No.312. (in

Coast, *Proceedings 12th Ann. Conference Western Dredging Assoc*., pp.1-25.

*Taiwan,* pp.553-558, National Chiao Tung University, *Taiwan*. (in Chinese).

*Civil Engers.*, Part 2. London: Thomas Telford, Vol.87, pp.557-570.

*Waterway, Port, Coastal, Ocean Engineering*, Vol.119(1), pp.30-48.

Leo C. van Rijn (1998). *Principles of Coastal Morphology*, Aqua Publications.

Pacific and Gulf Coasts, *Journal of Coastal Research*, SI6, pp.127-140.

Tidal Height, *Journal of Shellfish Research*, Vol.19, No.1, pp. 387-395.

of Coastal and Oceanographic Engineering, University of Florida.

*1994(in Dutch)*, Report RIKZ 96.028, The Hague, The Netherlands.

*Journal of Hydraulic Engineering*, Vol.133, No.7, pp.794-803.

302, Vancouver, Canada.

:CRC.

317.

Chinese).

Chinese).

A. A. Balkema, Rotterdam, Netherlands.

*Engineering Conference in Taiwan* (in Chinese).

*Coastal Research*, SI6, pp. 1-10.

## **Author details**

#### Ray-Yeng Yang and Ying-Chih Wu

*Tainan Hydraulics Laboratory, National Cheng Kung University, Taiwan Department of Hydraulic and Ocean Engineering, National Cheng Kung University, Taiwan* 

Hwung-Hweng Hwung *Department of Hydraulic and Ocean Engineering, National Cheng Kung University, Taiwan* 

## **Acknowledgement**

The authors wish to acknowledge the generous support from Water Resources Agency, Ministry of Economic Affairs and National Science Council through the project "KUN– SHEN" of ANR (France) and NSC (Taiwan) joint funding initiative -- grant no. NSC-100- 2923-E-006-001-MY3.

## **7. References**


*Department of Hydraulic and Ocean Engineering, National Cheng Kung University, Taiwan* 

*Department of Hydraulic and Ocean Engineering, National Cheng Kung University, Taiwan* 

The authors wish to acknowledge the generous support from Water Resources Agency, Ministry of Economic Affairs and National Science Council through the project "KUN– SHEN" of ANR (France) and NSC (Taiwan) joint funding initiative -- grant no. NSC-100-

Bridges, M. & Dean, R.G. (1996). Erosional Hot Spots: Characteristics and Causes, *Proceedings 10th National Conference on Beach Preservation Technology*, Florida Shore and

Chen, S.N.; Sanford, L.P.; Koch, E.W.; Shi, F. & North, E.W. (2007). A Nearshore Model to Investigate the Effects of Seagrass Bed Geometry on Wave Attenuation and Suspended

Davis, R.A. & Hayes, M.O. (1984). What Is a Wave-Dominated Coast ? , *Marine Geology*, Vol.

Dean, R.G. (1986). Coastal Armoring: Effects, Principles and Mitigation, *Proceedings 20th Intl.* 

Fonseca, M.S. & Cahalan, J.A. (1992). A Preliminary Evaluation of Wave Attenuation by Four Species of Seagrass, *Estuarine, Coastal and Shelf Science*, Vol.35, pp.565-576. Foret, J. (2002). Role of Artificial Oyster Reef Development in the Restoration of Coastal Louisiana, *6th International Conference on Shellfish Restoration*, Charleston, SC, USA,

Fowler, J.D.; Toups, Ch. & Gilbert, P. (1995). Geotextile Contained Contaminated Dredged Material, Marina del Ray, Los Angeles and Port of Oakland, California, *Proceedings 14th* 

Hamgauchi, T.; Uda, T.; Inoue, C. & Igarashi, A. (1991). Field Experiment on Wave-Dissipating Effect of Artificial Reefs on the Niigata Coast, *Coastal Engineering in Japan*,

Hamm, L. et al. (1998). *Beach Fills in Europe; Projects, Practices and Objectives,* Book of

Delft Hydraulics (1987). *Manual on Artificial Beach Nourishment*, Delft, The Netherlands. Dette, H.H. & Raudkivi, A.J. (1994). Beach Nourishment and Dune Protection, *24th ICCE*,

Sediment Transport, *Estuaries and Coasts*, Vol.20(2), pp.296-310.

*Conference Coastal Engineering*, pp. 1943-1857, ASCE, Taipei, Taiwan.

*Tainan Hydraulics Laboratory, National Cheng Kung University, Taiwan* 

**Author details** 

Hwung-Hweng Hwung

**Acknowledgement** 

2923-E-006-001-MY3.

60, pp. 313-329.

NOAA/Sea Grant.

Beach Preservation Assoc.

pp. 1007-1022, Kobe, Japan.

*World Dredging Congress (WODA)*, Amsterdam.

Abstracts, 26th ICCE, Copenhagen, Denmark.

Japan Society for Civil Engineers, Vol. 34, pp.50-65.

**7. References** 

Ray-Yeng Yang and Ying-Chih Wu

	- Work, P.A. & Dean, R.G. (1991). Effect of Varying Sediment Size on Equilibrium Beach Profile, *Coastal sediments*, Seattle, USA.

**Chapter 16** 

© 2012 Zanin and Bagatini, licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Zanin and Bagatini, licensee InTech. This is a paper distributed under the terms of the Creative Commons

**The Economic and Financial** 

**Feasibility of a Biodigester:** 

Antonio Zanin and Fabiano Marcos Bagatini

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/47428

consequence, our climate system.

**1. Introduction** 

**A Sound Alternative for Reducing** 

**the Environmental Impact of Swine Production** 

The modern landscape is one where environmental impact encroaches upon our quality of life. The search for viable technologies which both alleviate and lessen environmental pollution has become a priority, especially in the arena of production. Business, as with society, is now focused on minimizing environmental degradation, reviewing its strategies, structures and responsibilities. Tinoco (2001) explains that this modern responsibility is defined by the environmental and social demands of our day, where it is not merely a question of profit but also social conscientiousness. Business is now geared towards the

It seems that human being has the tendency to risk his existence and wellbeing when the environmental impact of business proves a constant disruption to our natural world. Rural swine production and the environmental dangers it poses, is one example: waste, in remaining exposed releases methane gas into the atmosphere. As Brilhante and Caldas (1999) on this point, over the last few decades the dissipation of gasses has been affected by such practices, resulting in an increased concentration of carbonic gas (CO²); methane (CH4); chlorofluorocarbons (CFCs), nitrous oxide and atmospheric ozone. As we now know, these gasses disrupt the energetic equilibrium of the Earth's atmosphere, and by

Swine production has contributed substantially to Brazilian trade; it has received large investment incentives from genetics and other technologies, in order to provide and ensure a quality product. Panty (2008) highlights, that Brazil and its State of Santa Catarina have a

interests of society, where environmental policy features high on its agenda.

Yang, R.Y.; Wu, Y.C.; Liou, J.Y. & Hong, C.S. (2004). A Research of Field Case Protection on Shuang-Chun Coastline, *Proceeding of the 26th Ocean Engineering Conference in Taiwan*, pp. 691~698 (in Chinese).

## **The Economic and Financial Feasibility of a Biodigester: A Sound Alternative for Reducing the Environmental Impact of Swine Production**

Antonio Zanin and Fabiano Marcos Bagatini

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/47428

## **1. Introduction**

370 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Profile, *Coastal sediments*, Seattle, USA.

pp. 691~698 (in Chinese).

Work, P.A. & Dean, R.G. (1991). Effect of Varying Sediment Size on Equilibrium Beach

Yang, R.Y.; Wu, Y.C.; Liou, J.Y. & Hong, C.S. (2004). A Research of Field Case Protection on Shuang-Chun Coastline, *Proceeding of the 26th Ocean Engineering Conference in Taiwan*,

> The modern landscape is one where environmental impact encroaches upon our quality of life. The search for viable technologies which both alleviate and lessen environmental pollution has become a priority, especially in the arena of production. Business, as with society, is now focused on minimizing environmental degradation, reviewing its strategies, structures and responsibilities. Tinoco (2001) explains that this modern responsibility is defined by the environmental and social demands of our day, where it is not merely a question of profit but also social conscientiousness. Business is now geared towards the interests of society, where environmental policy features high on its agenda.

> It seems that human being has the tendency to risk his existence and wellbeing when the environmental impact of business proves a constant disruption to our natural world. Rural swine production and the environmental dangers it poses, is one example: waste, in remaining exposed releases methane gas into the atmosphere. As Brilhante and Caldas (1999) on this point, over the last few decades the dissipation of gasses has been affected by such practices, resulting in an increased concentration of carbonic gas (CO²); methane (CH4); chlorofluorocarbons (CFCs), nitrous oxide and atmospheric ozone. As we now know, these gasses disrupt the energetic equilibrium of the Earth's atmosphere, and by consequence, our climate system.

> Swine production has contributed substantially to Brazilian trade; it has received large investment incentives from genetics and other technologies, in order to provide and ensure a quality product. Panty (2008) highlights, that Brazil and its State of Santa Catarina have a

© 2012 Zanin and Bagatini, licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Zanin and Bagatini, licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

model integrating both industry and producer, where specialists and rural farmers are well attuned to the competitive advantages of swine production.

The Economic and Financial Feasibility of a Biodigester:

A Sound Alternative for Reducing the Environmental Impact of Swine Production 373

The more our environment is damaged, the more our planet earth is compromised. We are witnessing, and experiencing, the progressive extinction of fauna and floral species, the

In the face of these threats, is environmental management which aims to minimize environmental impact and maintain the wellbeing of people by redefining practices, processes and procedures for private, public and rural life. Good, proper working conditions and environmentally sound products complying with environmental laws and regulations fall to the responsibility of environmental management, as does the proper handling of waste produced in rural areas and the legal remit within which organizations can operate. This said, environmental management seeks to strike the legal and ethical balance between quality, productivity and competitiveness with the minimization of environmental degradation. Thus, for Moura (2000), the workings of environmental management involve putting specialized concepts and management techniques into

An environmental management system also signals greater competitiveness for the business which can equally retain and attract modern, learned consumers, whilst meeting the growing demands of external markets. Barbieri (2007) tells us that environmental management is defined by its administrative guidelines and key activities such as the planning, direction, control, and allocation of resources. Its main objective, furthermore, is to achieve positive, environmental results by reducing and eliminating the damage caused by human practices, or indeed to prevent such damage from even arising now and in the

This is why companies are now looking to develop and implement environmental management at the core of their operations in order gain an environmental advantage over market competitors, in strict accordance with the principles of sustainable development. Thus in retaking the concept of Barbieri, Tinoco and Kraemer (2004), we can assert that the role of environmental management is to effectively minimize and eliminate the

Companies can therefore meet the demands of the environment (and likewise of society), by tallying the expenditure of resources with legislation, restoring the natural resources

In this context, environmental management underlines the importance of environmental certification and accreditation which aims to help companies engage with, and commit to, the environment. Ribeiro (2006), for example, states that it is necessary to determine the particular strategy of implementing guidelines so as to more broadly define a company's environmental status and profile. Here, tools such as economic planning can be implemented into environmental programs that seek to change the current management system. Such programs, moreover, must be constantly checked through environmental audits. Yet aside from the virtues of the environmental management model, there is a

environmental risks of private, public and rural businesses.

extracted from the environment.

**2. Environmental management** 

environmental practice.

future.

pollution of groundwater and global warming.

Rural producers of swine do however face a lack of financial assistance in their search for an environmentally friendly solution. But an alternative is available, one able to reduce the endangerment of even more natural resources. Various "techniques" bringing to light and lessening the environmental effects of swine waste have been developed and put into practice. For instance, the process of biodigestion transforms methane gas into carbon dioxide, lessening environmental impact. The implementation of a biodigester means that waste can be reused and transformed into a renewable resource, proving an important mechanism for both business (finance) and society (the environment) alike. In other words, the biodigester is today's alternative solution for the rural farming industry, capable of minimizing the environmental effects of swine production. Waste on each farm, can be ably "re-directed" benefiting financial return; and where the farmer's quality of life is enhanced economically and financially, so too is that of the population at large who rely on the natural world for sustainability and survival. Indeed, we not only have the importance of increased productivity and the ensured success of new markets, but of being alert to a challenging future of sustainability and social responsibility.

Our research assesses the financially and environmental viability of installing a biodegster on a farming property. We divide our present study into 7 subsections, not counting the introduction. Beginning with *Environmental Management* we seek to contextualize the discourse and importance of our research by drawing upon recent literature in order to underline the contemporary shift in practice – namely the move towards more environmentally sensitive and socially sympathetic business strategies. Environmental strategy is vast becoming the defining characteristic of market competitiveness, and the success of a business to be environmental conscious and aware in its strategy and decision making, will prove the measure of its market edge and value. Our third section, *Swine Production and the Environment*, introduces the readership to the unique global positioning of Brazilian swine production and the very real possibilities of introducing Biodigestion as a viable and important measure ensuring both environmental integrity as well as cost effectiveness for the farming business. Section four, *Biodigesters*, introduces anaerobic biodigestion as the natural mechanism for both farming and environmental integrity. We seek to detail this anaerobic process and set out the processes and procedures of installing a functional biodigester on farming properties. Our sections on *Methodology* and the *Interpretation of Data* introduce the reader to the sampling method and data specifics of the herd studied. We then follow on with a section dealing with initial investment into the biodigester project, detailing the projected return and revenue, this, qualifying such investment as both environmentally timely and financially cost-effective for the business.

We conclude our study by underlining the necessity and urgency of biodigestion for swine producers, this, supported by the modern context of social conscientiousness and the benefit of sound financial return in line with our research projections.

## **2. Environmental management**

372 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

attuned to the competitive advantages of swine production.

future of sustainability and social responsibility.

timely and financially cost-effective for the business.

of sound financial return in line with our research projections.

model integrating both industry and producer, where specialists and rural farmers are well

Rural producers of swine do however face a lack of financial assistance in their search for an environmentally friendly solution. But an alternative is available, one able to reduce the endangerment of even more natural resources. Various "techniques" bringing to light and lessening the environmental effects of swine waste have been developed and put into practice. For instance, the process of biodigestion transforms methane gas into carbon dioxide, lessening environmental impact. The implementation of a biodigester means that waste can be reused and transformed into a renewable resource, proving an important mechanism for both business (finance) and society (the environment) alike. In other words, the biodigester is today's alternative solution for the rural farming industry, capable of minimizing the environmental effects of swine production. Waste on each farm, can be ably "re-directed" benefiting financial return; and where the farmer's quality of life is enhanced economically and financially, so too is that of the population at large who rely on the natural world for sustainability and survival. Indeed, we not only have the importance of increased productivity and the ensured success of new markets, but of being alert to a challenging

Our research assesses the financially and environmental viability of installing a biodegster on a farming property. We divide our present study into 7 subsections, not counting the introduction. Beginning with *Environmental Management* we seek to contextualize the discourse and importance of our research by drawing upon recent literature in order to underline the contemporary shift in practice – namely the move towards more environmentally sensitive and socially sympathetic business strategies. Environmental strategy is vast becoming the defining characteristic of market competitiveness, and the success of a business to be environmental conscious and aware in its strategy and decision making, will prove the measure of its market edge and value. Our third section, *Swine Production and the Environment*, introduces the readership to the unique global positioning of Brazilian swine production and the very real possibilities of introducing Biodigestion as a viable and important measure ensuring both environmental integrity as well as cost effectiveness for the farming business. Section four, *Biodigesters*, introduces anaerobic biodigestion as the natural mechanism for both farming and environmental integrity. We seek to detail this anaerobic process and set out the processes and procedures of installing a functional biodigester on farming properties. Our sections on *Methodology* and the *Interpretation of Data* introduce the reader to the sampling method and data specifics of the herd studied. We then follow on with a section dealing with initial investment into the biodigester project, detailing the projected return and revenue, this, qualifying such investment as both environmentally

We conclude our study by underlining the necessity and urgency of biodigestion for swine producers, this, supported by the modern context of social conscientiousness and the benefit The more our environment is damaged, the more our planet earth is compromised. We are witnessing, and experiencing, the progressive extinction of fauna and floral species, the pollution of groundwater and global warming.

In the face of these threats, is environmental management which aims to minimize environmental impact and maintain the wellbeing of people by redefining practices, processes and procedures for private, public and rural life. Good, proper working conditions and environmentally sound products complying with environmental laws and regulations fall to the responsibility of environmental management, as does the proper handling of waste produced in rural areas and the legal remit within which organizations can operate. This said, environmental management seeks to strike the legal and ethical balance between quality, productivity and competitiveness with the minimization of environmental degradation. Thus, for Moura (2000), the workings of environmental management involve putting specialized concepts and management techniques into environmental practice.

An environmental management system also signals greater competitiveness for the business which can equally retain and attract modern, learned consumers, whilst meeting the growing demands of external markets. Barbieri (2007) tells us that environmental management is defined by its administrative guidelines and key activities such as the planning, direction, control, and allocation of resources. Its main objective, furthermore, is to achieve positive, environmental results by reducing and eliminating the damage caused by human practices, or indeed to prevent such damage from even arising now and in the future.

This is why companies are now looking to develop and implement environmental management at the core of their operations in order gain an environmental advantage over market competitors, in strict accordance with the principles of sustainable development. Thus in retaking the concept of Barbieri, Tinoco and Kraemer (2004), we can assert that the role of environmental management is to effectively minimize and eliminate the environmental risks of private, public and rural businesses.

Companies can therefore meet the demands of the environment (and likewise of society), by tallying the expenditure of resources with legislation, restoring the natural resources extracted from the environment.

In this context, environmental management underlines the importance of environmental certification and accreditation which aims to help companies engage with, and commit to, the environment. Ribeiro (2006), for example, states that it is necessary to determine the particular strategy of implementing guidelines so as to more broadly define a company's environmental status and profile. Here, tools such as economic planning can be implemented into environmental programs that seek to change the current management system. Such programs, moreover, must be constantly checked through environmental audits. Yet aside from the virtues of the environmental management model, there is a

constant need for businesses to be aware of the rapid changes which are occurring in information technology and strategic cost initiatives.

The Economic and Financial Feasibility of a Biodigester:

A Sound Alternative for Reducing the Environmental Impact of Swine Production 375

In retrospect, market realities and the accelerated growth of a global economy meant that agro-industrial businesses had to seek improvements and overhaul their organizational structures in order to guarantee market presence and competitiveness. The swine industry was by no means an exception to this trend, requiring both injections of investment into its processes and new facilities. As Leite (2008) makes clear, swine production underwent change because technological innovation became the rule-ofthumb for a new generation of engineers focusing on the economic and environmental viability of such practices. Zuin and Alliprandini (2006, p. 255) similarly assert that, "over the years innovation and invention proved powerful tools in achieving better efficiency in farming systems." An equally important factor to this is the partnerships established between pig farmers and agro-industrial businesses, which have ensured the commercialization of production and added market value to the final product. Yet Mior (2005) equally points out that at the close of the 1990s in the western region of Santa Catarina, partnerships between agro-industries and swine producers heralded a new epoch in pig production, by reducing the number of contracts at the same time as

According to findings from the Associação Catarinense de Criadores de Suínos (2011), Brazil has 2,460 matrices for the housing of swine, where production sprang from 2,708 million tons in 2003 to 3,240 million in 2010 – this, an increase of 19.65% in merely five years, signaling market growth and the importance of swine in the supply chain. Yet the concentration of pig herds on small rural farms nevertheless carries environmental impacts owing to the vertical model of production adopted by Brazil, which is characterized by

Generally, animal waste is treated in liquid form: water runs into deposits which are stored and the soil then used as organic fertilizer (EMBRAPA, 2008). This model coupled with the growth of swine production in Brazil heightens the risks of environmental degradation whereby the measures for treating swine waste are not only costly but require constant precision – mishandled waste can lead to water, soil and air pollution with both an

In addition to industry and urbanization (domestic sewage), swine production is monitored by regulatory bodies and environmental agencies, so much so that the law clearly identifies the environmental dangers of such practices (GUIVANT e MIRANDA 2004). This is due to the large number of contaminants found in effluents which represent a potential source of air, water and soil contamination. Indeed, due to the high concentration of livestock at these rural sites, swine waste can easily exceed the capacity of local ecosystems, potentially disrupting the natural environment and human health through organic matter; nutrients; pathogens; odors and microorganisms generated in the atmosphere (PEREIRA, DEMARCHI

A series of requirements can therefore be provisionally laid out, aimed at preventing and

correcting increased environmental degradation. Among these we can list:

increasing production.

partnerships with industry.

unwelcome stench and mosquitoes.

e BUDINO, 2009).

Indeed, models are constructed using the concepts defined by companies to guide and achieve goals. Barbieri's findings (2007) underline that the adoption of a model is critical because activities can be developed by different people at different times, in different places and through different ways of perceiving and positioning crucial issues. Companies can create their own environmental management models or take advantage of the various generic models that have been with us since the mid-1980s.

We see then that companies are finally coming into the age of environmental awareness, where standards and environmental legislation feature high on the agenda of those wanting to be maintain a market edge, nationally and internationally. We have a new series of standards defining our environmentally sensitive and fragile modernity, where the environmental status of a particular company has become the internationally accepted standard, seal and guarantee.

## **3. Swine production and the environment**

For Marion (2002 p. 24) rural business, "explores the productive capacity of soil through the cultivation of land, as well as breeding and processing of certain agricultural products". The author classifies such rural activity as (1) agricultural; (2) zootechnical; and (3) agroindustrial. Similarly, Araújo (2003, p. 31) points out that, "agro-industries are businesses defined by the processing, handling and transformation of natural agricultural products into commercially packaged goods." Such businesses – deemed "agro-industries" by Marion (2002) and Araújo (2003) – are those which transform the agricultural/zootechnical product: the process of breeding, raising and slaughtering pigs for example, is for the purpose of transforming and commercializing derivatives. In a strictly economic context, the swine industry plays an important role in the movement of the food and supply chain. Sobestiansky (1998) shows then, that the modern swine industry is primarily focused on the production of pigs for slaughter and / or the breeding of livestock.

One of the most evident changes occurring both worldwide and in the Brazilian pig industry is the linear trend where a decrease in the number of production systems runs parallel to an increase in the number of system matrices. In terms of international agriculture, Brazil has the specialized workforce capable of producing technology that ensures a competitive advantage – it is a country fit to compete on equal terms with any other in the agricultural business, heavily investing in research and production strategies. The work of Gonçalves and Palmeiras (2006) shows us that the Brazilian swine industry has received greater international attention for its advantageously competitive edge: swine production in Brazil has lower costs than its major worldwide competitors; its system of production is vertically integrated (meeting agro-industrial demand); foodstuffs and basic grains such as soybeans and corn are plentiful, and there is technological investment.

In retrospect, market realities and the accelerated growth of a global economy meant that agro-industrial businesses had to seek improvements and overhaul their organizational structures in order to guarantee market presence and competitiveness. The swine industry was by no means an exception to this trend, requiring both injections of investment into its processes and new facilities. As Leite (2008) makes clear, swine production underwent change because technological innovation became the rule-ofthumb for a new generation of engineers focusing on the economic and environmental viability of such practices. Zuin and Alliprandini (2006, p. 255) similarly assert that, "over the years innovation and invention proved powerful tools in achieving better efficiency in farming systems." An equally important factor to this is the partnerships established between pig farmers and agro-industrial businesses, which have ensured the commercialization of production and added market value to the final product. Yet Mior (2005) equally points out that at the close of the 1990s in the western region of Santa Catarina, partnerships between agro-industries and swine producers heralded a new epoch in pig production, by reducing the number of contracts at the same time as increasing production.

374 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

information technology and strategic cost initiatives.

generic models that have been with us since the mid-1980s.

**3. Swine production and the environment** 

production of pigs for slaughter and / or the breeding of livestock.

standard, seal and guarantee.

investment.

constant need for businesses to be aware of the rapid changes which are occurring in

Indeed, models are constructed using the concepts defined by companies to guide and achieve goals. Barbieri's findings (2007) underline that the adoption of a model is critical because activities can be developed by different people at different times, in different places and through different ways of perceiving and positioning crucial issues. Companies can create their own environmental management models or take advantage of the various

We see then that companies are finally coming into the age of environmental awareness, where standards and environmental legislation feature high on the agenda of those wanting to be maintain a market edge, nationally and internationally. We have a new series of standards defining our environmentally sensitive and fragile modernity, where the environmental status of a particular company has become the internationally accepted

For Marion (2002 p. 24) rural business, "explores the productive capacity of soil through the cultivation of land, as well as breeding and processing of certain agricultural products". The author classifies such rural activity as (1) agricultural; (2) zootechnical; and (3) agroindustrial. Similarly, Araújo (2003, p. 31) points out that, "agro-industries are businesses defined by the processing, handling and transformation of natural agricultural products into commercially packaged goods." Such businesses – deemed "agro-industries" by Marion (2002) and Araújo (2003) – are those which transform the agricultural/zootechnical product: the process of breeding, raising and slaughtering pigs for example, is for the purpose of transforming and commercializing derivatives. In a strictly economic context, the swine industry plays an important role in the movement of the food and supply chain. Sobestiansky (1998) shows then, that the modern swine industry is primarily focused on the

One of the most evident changes occurring both worldwide and in the Brazilian pig industry is the linear trend where a decrease in the number of production systems runs parallel to an increase in the number of system matrices. In terms of international agriculture, Brazil has the specialized workforce capable of producing technology that ensures a competitive advantage – it is a country fit to compete on equal terms with any other in the agricultural business, heavily investing in research and production strategies. The work of Gonçalves and Palmeiras (2006) shows us that the Brazilian swine industry has received greater international attention for its advantageously competitive edge: swine production in Brazil has lower costs than its major worldwide competitors; its system of production is vertically integrated (meeting agro-industrial demand); foodstuffs and basic grains such as soybeans and corn are plentiful, and there is technological According to findings from the Associação Catarinense de Criadores de Suínos (2011), Brazil has 2,460 matrices for the housing of swine, where production sprang from 2,708 million tons in 2003 to 3,240 million in 2010 – this, an increase of 19.65% in merely five years, signaling market growth and the importance of swine in the supply chain. Yet the concentration of pig herds on small rural farms nevertheless carries environmental impacts owing to the vertical model of production adopted by Brazil, which is characterized by partnerships with industry.

Generally, animal waste is treated in liquid form: water runs into deposits which are stored and the soil then used as organic fertilizer (EMBRAPA, 2008). This model coupled with the growth of swine production in Brazil heightens the risks of environmental degradation whereby the measures for treating swine waste are not only costly but require constant precision – mishandled waste can lead to water, soil and air pollution with both an unwelcome stench and mosquitoes.

In addition to industry and urbanization (domestic sewage), swine production is monitored by regulatory bodies and environmental agencies, so much so that the law clearly identifies the environmental dangers of such practices (GUIVANT e MIRANDA 2004). This is due to the large number of contaminants found in effluents which represent a potential source of air, water and soil contamination. Indeed, due to the high concentration of livestock at these rural sites, swine waste can easily exceed the capacity of local ecosystems, potentially disrupting the natural environment and human health through organic matter; nutrients; pathogens; odors and microorganisms generated in the atmosphere (PEREIRA, DEMARCHI e BUDINO, 2009).

A series of requirements can therefore be provisionally laid out, aimed at preventing and correcting increased environmental degradation. Among these we can list:

1. The need to maintain a permanent boundary of preservation set at a distance of 30 meters, with distances between dwellings and settlements of at least 300 meters, and distances to roads at least 50 meters (Bezerra, 2005).

The Economic and Financial Feasibility of a Biodigester:

A Sound Alternative for Reducing the Environmental Impact of Swine Production 377

A digester is essentially built from a tank sealed with canvas suitable for storing waste. The process of biodigestion occurs in rotating fashion where organic matter enters through the side and anaerobic fermentation taking place without the presence of air. The result of this

The biogas storage balloon is used for the intake and utilization of highly corrosive gases which require beneficiation treatment. Such processing is essential and increases their efficiency, for without it the use of biogas is not recommended. The process has specific stages of washing; cooling and compression. Finally, there is the intake of biogas by the

The liquid effluent resulting from this process then exits the digester for maturation ponds wherein the release of gases is completed: even after waste digestion in the machine, some substances still remain and must be released into the atmosphere so that the liquid can be

As Nogueira explains (1986) waste is transformed by agitation which distributes the substrate and bacteria, efficiently using the volume of the biodigester and reducing/eliminating supernatant scum matter. In order to have a guaranteed and precise process, agitators must be inserted into the biodigester in order to correctly agitate the substances necessary for transforming waste. It is also important to maintain the biomass at a heated temperature within the biodigester, for as Nogueira (1986) further points out, the biodigester has to be constructed and set up below ground-level, since this depth serves as a thermal insulator. Temperature plays an important part and it is advisable to ensure internal or external heat (of course depending on the agricultural needs of the producer) because

bacteria can reproduce in this way, thereby transforming waste into biogas.

**Figure 1.** The biodigester set up on the property where research findings were collated.

process is the transformation of methane into carbon dioxide.

storage (balloon), as evidenced in Figure 2.

used for fertilization.


## **4. Biodigesters**

Seganfredo (1999) notes that the continuous use of large quantities of swine waste as fertilizer has proven environmentally detrimental, not only in terms of air pollution but in terms of the progressive accumulation of nutrients in the soil and the presence of excess nitrates in water. Likewise Sampaio et al. (2010) show that the mismanagement of remaining waste water can lead to an excess of pig manure in the soil (depending on the capacity for absorption some of these nutrients may lead to water contamination).

Nogueira (PALHARES, 2008) therefore does well to remind us that in 1086 the Englishman Humphrey Davy identified a gas rich in carbon and carbon dioxide resulting from the decomposition of manure in humid places. Released into the atmosphere, the gas attacks the ozone layer and causes global warming. Jordan (2005) states, moreover, that methane - one of the gases produced by the degradation of waste – is twenty-one times more volatile than carbon dioxide (CO2).

It is precisely here that the process of anaerobic biodigestion can prove the necessary environmental solution in that it destroys pathogenic organisms and parasites. In this way the treatment of waste by such means carries great advantages, transforming harmful gasses into a source of energy (bio-gas) *for the better*. In addition to this, solid matter decanting in the bottom biodigesting tank acts as biofertilizer, with liquid matter the (treated) mineralized effluent. Nogueira (1986) further points out that such a process offers multiple advantages. The production of fuel gas; the control of water pollution and odor; the elimination of pathogens from organic matter and the preservation of fertilizer are the immediate benefits of such waste removal. We can likewise emphasize that anaerobic digestion helps to minimize negative environmental impact, at once reducing relative risks and improving quality of life issues.

A digester is essentially built from a tank sealed with canvas suitable for storing waste. The process of biodigestion occurs in rotating fashion where organic matter enters through the side and anaerobic fermentation taking place without the presence of air. The result of this process is the transformation of methane into carbon dioxide.

376 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

distances to roads at least 50 meters (Bezerra, 2005).

awareness or financial resource to treat waste correctly.

from 17th March, 2005).

**4. Biodigesters** 

carbon dioxide (CO2).

and improving quality of life issues.

1. The need to maintain a permanent boundary of preservation set at a distance of 30 meters, with distances between dwellings and settlements of at least 300 meters, and

2. The need to prohibit and monitor the dumping of waste and/or effluents from any polluting source, including waste from livestock, into Class I rivers intended for domestic supply. Such material may be released directly or indirectly into Class II and III rivers only after appropriate treatment and having satisfied the conditions, standards and requirements set forth by government Decree (RESOLUÇÃO CONAMA nº 357,

3. The need to research ways of combining the use of waste for crops (fertilizers), or for the production of energy. This would reduce the degree of environmental pollution in line with the realities faced by rural farmers. Given this context, some environmental problems could be solved if environmental measures for swine production were effectively researched and put into practice. However, not all swine producers have the

Seganfredo (1999) notes that the continuous use of large quantities of swine waste as fertilizer has proven environmentally detrimental, not only in terms of air pollution but in terms of the progressive accumulation of nutrients in the soil and the presence of excess nitrates in water. Likewise Sampaio et al. (2010) show that the mismanagement of remaining waste water can lead to an excess of pig manure in the soil (depending on the

Nogueira (PALHARES, 2008) therefore does well to remind us that in 1086 the Englishman Humphrey Davy identified a gas rich in carbon and carbon dioxide resulting from the decomposition of manure in humid places. Released into the atmosphere, the gas attacks the ozone layer and causes global warming. Jordan (2005) states, moreover, that methane - one of the gases produced by the degradation of waste – is twenty-one times more volatile than

It is precisely here that the process of anaerobic biodigestion can prove the necessary environmental solution in that it destroys pathogenic organisms and parasites. In this way the treatment of waste by such means carries great advantages, transforming harmful gasses into a source of energy (bio-gas) *for the better*. In addition to this, solid matter decanting in the bottom biodigesting tank acts as biofertilizer, with liquid matter the (treated) mineralized effluent. Nogueira (1986) further points out that such a process offers multiple advantages. The production of fuel gas; the control of water pollution and odor; the elimination of pathogens from organic matter and the preservation of fertilizer are the immediate benefits of such waste removal. We can likewise emphasize that anaerobic digestion helps to minimize negative environmental impact, at once reducing relative risks

capacity for absorption some of these nutrients may lead to water contamination).

The biogas storage balloon is used for the intake and utilization of highly corrosive gases which require beneficiation treatment. Such processing is essential and increases their efficiency, for without it the use of biogas is not recommended. The process has specific stages of washing; cooling and compression. Finally, there is the intake of biogas by the storage (balloon), as evidenced in Figure 2.

The liquid effluent resulting from this process then exits the digester for maturation ponds wherein the release of gases is completed: even after waste digestion in the machine, some substances still remain and must be released into the atmosphere so that the liquid can be used for fertilization.

As Nogueira explains (1986) waste is transformed by agitation which distributes the substrate and bacteria, efficiently using the volume of the biodigester and reducing/eliminating supernatant scum matter. In order to have a guaranteed and precise process, agitators must be inserted into the biodigester in order to correctly agitate the substances necessary for transforming waste. It is also important to maintain the biomass at a heated temperature within the biodigester, for as Nogueira (1986) further points out, the biodigester has to be constructed and set up below ground-level, since this depth serves as a thermal insulator. Temperature plays an important part and it is advisable to ensure internal or external heat (of course depending on the agricultural needs of the producer) because bacteria can reproduce in this way, thereby transforming waste into biogas.

**Figure 1.** The biodigester set up on the property where research findings were collated.

The Economic and Financial Feasibility of a Biodigester:

A Sound Alternative for Reducing the Environmental Impact of Swine Production 379

Source:http://www.biodieselbr.com/i/energia/renovavel/biogas/processo-biodigestor.gif.

degradation whilst ensuring the quality of life required by human being.

**Figure 4.** The metabolic stages of anaerobic digestion occurring in the biodigester: the transformation of organic materials into gases used by farms, means that the environment is benefitted through the

The introduction of biodigesters to rural swine production can thus equally benefit producers and the environment, reducing and possibly eliminating risks of environmental

Accessed: 18/5/08.

reduction of harmful methane gas emission.

**Figure 2.** Biogas storage balloon

Source: Gter Energias Renováveis.

**Figure 3.** The biogas treatment process prior to intake.

Source:http://www.biodieselbr.com/i/energia/renovavel/biogas/processo-biodigestor.gif. Accessed: 18/5/08.

**Figure 2.** Biogas storage balloon

Source: Gter Energias Renováveis.

**Figure 3.** The biogas treatment process prior to intake.

**Figure 4.** The metabolic stages of anaerobic digestion occurring in the biodigester: the transformation of organic materials into gases used by farms, means that the environment is benefitted through the reduction of harmful methane gas emission.

The introduction of biodigesters to rural swine production can thus equally benefit producers and the environment, reducing and possibly eliminating risks of environmental degradation whilst ensuring the quality of life required by human being.

## **5. Methodology**

Our present study focuses on a rural farm chiefly producing swine. Research was carried out on a farming property with a herd of 5, 362 pigs. All processes and procedures undertaken at the farm are officially approved and licensed by the governing environmental agency. We also investigated whether the implementation of a biodigester is an economically and financially viable alternative: where there is the appropriate treatment of swine waste from production and the financial return of investment for the farmer.Data was solicited by semi-structured interview, with the additional analysis of documentation. The methodology of our study consisted of exploratory (qualitative) research, case studies of site procedures as well as quantitative research. Collated data was then tabled, and calculations / financial projections were made for the economic viability of investment.

The Economic and Financial Feasibility of a Biodigester:

A Sound Alternative for Reducing the Environmental Impact of Swine Production 381

Description **Qty Value (R\$)**  Biodigester 1.400 m³ 1 und 131.700,00 Biodigester 900 m³ 1 und 102.426,00 Earthwork/excavation N/D 37.000,00 Machinery room 2 und 26.000,00 Biogas cleaning kit 2 und 49.640,00 Biogas dryer set N/D 38.960,00 Reservoirs of clean biogas 3 und 54.000,00 Pipe connections N/D 12.000,00 Compressor 2 und 24.000,00 High pressure network N/D 9.600,00 Pipeline 4 km 41.735,00 Pipeline excavation 4 km 22.000,00 Control fittings N/D 28.716,00 Command table 2 und 24.800,00 Burners / heating equipment N/D 32.321,00 Unforeseen costs N/D 15.873,00 **Total 650.771,00** 

Business B is responsible for funding the biodigester. It receives a return through the use of biogas consumed in the slaughterhouse and the singeing of swine. Values are invoiced

> m³ biogas cost per kg of GLP 0.80 CBG R\$ 2.3

0.80 = eighty percent of the value of LPG (as per the binding contractual clause between

Table 2 shows the net income accrued over 2006; 2007; 2008; 2009; 2010 and 2011, and the projected income for 2012; 2013; 2014 and 2015. The projections were made by calculating the average between 2009, 2010, 2011 and applying a 5% growth estimate (subsequent years

Source: data collected from Business B. **Table 1.** Initial investment.

using the following calculation:

investor and slaughterhouse);

KEY: CBG = value of biogas consumed m³ biogas = quantity of biogas consumed; cost per kg of GLP (liquefied petroleum gas);

2.3 = conversion factor for energy equivalence GLP/biogas.

are projected to grow by 5% when compared to previous years).

**7.1. Revenue generated by investment** 

For the sake of anonymity, "Business A" is used to designate the slaughterhouse and "Business B" the company which invested funds into the biodigester.

Calculations for the economic and financial viability of investment drew upon data collected in the first half of 2009. These data were tabled and are the basis for projections. In January 2012, we revisited the businesses which had participated in the research study in order to measure the strength and validity of the 2009 projections. We found that the generation of biogas and the financial return were in line with our 2009 forecasting/calculations. Adjustments were made in order to ensure a greater reliability for the return of investment.

## **6. Interpretation of data**

The object of our study is Farm III and its 2 nuclei. The farm provides raw material to Business A. Our study seeks to measure the economic and financial feasibility of installing a digester and the proper treatment of swine waste this promises. All necessary data was therefore collected from Farm III/Nuclei I and II.

Farm III currently has a herd number of 5,362 pigs between nuclei I and II. It has a legally authorized waste treatment system. Each nucleus on the site has six pools and a Geomembrane Biodigestor of HDP (High Density Polyethylene) and LLDP (Linear Low Density Polyethylene) of 1.00 mm with a volume capacity of 800m ³ in nucleus I and 1400m ³ in nucleus II. Each nucleus has a homogenization tank which heats waste prior to it entering the biodigester. This tank has a volume capacity of 75m ³ in nucleus I and 150m ³ in nucleus II. There is also a homogenization pump in each nucleus with a power of 5 hp.

## **7. Initial investment in the project**

Installing a biodigester requires building a workable structure. Costing included reservoirs of clean biogas; biogas cleaning kits and labor. It was also necessary to purchase equipment such as biogas dryers; piping; compressors. Table 1 presents the total costing of initial investment necessary for installing a biodigester.

The Economic and Financial Feasibility of a Biodigester: A Sound Alternative for Reducing the Environmental Impact of Swine Production 381


Source: data collected from Business B.

**Table 1.** Initial investment.

380 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

financial projections were made for the economic viability of investment.

"Business B" the company which invested funds into the biodigester.

Our present study focuses on a rural farm chiefly producing swine. Research was carried out on a farming property with a herd of 5, 362 pigs. All processes and procedures undertaken at the farm are officially approved and licensed by the governing environmental agency. We also investigated whether the implementation of a biodigester is an economically and financially viable alternative: where there is the appropriate treatment of swine waste from production and the financial return of investment for the farmer.Data was solicited by semi-structured interview, with the additional analysis of documentation. The methodology of our study consisted of exploratory (qualitative) research, case studies of site procedures as well as quantitative research. Collated data was then tabled, and calculations /

For the sake of anonymity, "Business A" is used to designate the slaughterhouse and

Calculations for the economic and financial viability of investment drew upon data collected in the first half of 2009. These data were tabled and are the basis for projections. In January 2012, we revisited the businesses which had participated in the research study in order to measure the strength and validity of the 2009 projections. We found that the generation of biogas and the financial return were in line with our 2009 forecasting/calculations. Adjustments were made in order to ensure a greater reliability for the return of investment.

The object of our study is Farm III and its 2 nuclei. The farm provides raw material to Business A. Our study seeks to measure the economic and financial feasibility of installing a digester and the proper treatment of swine waste this promises. All necessary data was

Farm III currently has a herd number of 5,362 pigs between nuclei I and II. It has a legally authorized waste treatment system. Each nucleus on the site has six pools and a Geomembrane Biodigestor of HDP (High Density Polyethylene) and LLDP (Linear Low Density Polyethylene) of 1.00 mm with a volume capacity of 800m ³ in nucleus I and 1400m ³ in nucleus II. Each nucleus has a homogenization tank which heats waste prior to it entering the biodigester. This tank has a volume capacity of 75m ³ in nucleus I and 150m ³ in nucleus

Installing a biodigester requires building a workable structure. Costing included reservoirs of clean biogas; biogas cleaning kits and labor. It was also necessary to purchase equipment such as biogas dryers; piping; compressors. Table 1 presents the total costing of initial

II. There is also a homogenization pump in each nucleus with a power of 5 hp.

**5. Methodology** 

**6. Interpretation of data** 

therefore collected from Farm III/Nuclei I and II.

**7. Initial investment in the project** 

investment necessary for installing a biodigester.

## **7.1. Revenue generated by investment**

Business B is responsible for funding the biodigester. It receives a return through the use of biogas consumed in the slaughterhouse and the singeing of swine. Values are invoiced using the following calculation:

$$\text{CBG} \left( \text{R\\$} \right) = \frac{\text{m}^3 \text{biogas} \times \text{cost per kg} \,\text{of}\,\text{GLP} \times 0.80}{2.3} \,\text{m}$$

KEY: CBG = value of biogas consumed

m³ biogas = quantity of biogas consumed;

cost per kg of GLP (liquefied petroleum gas);

0.80 = eighty percent of the value of LPG (as per the binding contractual clause between investor and slaughterhouse);

2.3 = conversion factor for energy equivalence GLP/biogas.

Table 2 shows the net income accrued over 2006; 2007; 2008; 2009; 2010 and 2011, and the projected income for 2012; 2013; 2014 and 2015. The projections were made by calculating the average between 2009, 2010, 2011 and applying a 5% growth estimate (subsequent years are projected to grow by 5% when compared to previous years).


The Economic and Financial Feasibility of a Biodigester:

A Sound Alternative for Reducing the Environmental Impact of Swine Production 383

In 2011 net revenue was R \$ 122,767.84 (one hundred and twenty-two thousand, seven hundred and sixty-seven Reals, eighty-four cents), reaching a nominal return of 19.34% on invested capital. Inflation stood at 6.50% according to IPCA (and the Central Bank of

It appears that the annual return of savings (investment considered low risk and yield equal in all financial institutions in the country) for the years 2006; 2007; 2008; 2009; 2010 and 2011 was 8.41%; 7.80%; 7.74%; 7.09%; 6.81% and 7.50% respectively. The rate of cumulative nominal return on investment in question was higher in all the periods analyzed when compared to the accumulated rate of return of savings. From a purely financial viewpoint,

**Year Initial Investment Net revenue Return**

2006 -650.771,00 -650.771,00

2006 94.922,09 -555.848,91

2007 115.993,24 -439.855,67

2008 107.239,10 -332.616,57

2009 111.354,05 -221.262,52

2010 116.921,75 -104.340,77

2011 122.767,84 18.427,07

2012 122.865,27 141.292,34

2013 129.008,54 270.300,88

2014 135.458,96 405.759,84

2015 142.231,91 547.991,75

necessary time to recover the financial resources invested in the project. Source: authors.

being approximately 7.13%.

**Table 3.** *Payback and return of investment*. The payback method of analysis presents to shareholders the

One of the weaknesses of payback strategy is the depreciation of monetary value over time. This said, a reversal seems to have occurred between 2010 (negative) and 2011 (positive). In terms of our research and its specific scenario, a recovery of initial investment kicks in at about five years and 11 months. The projection of discount rates for the following years was calculated by using the simple average of yields recorded over the previous three years, this

Brazil), with the effective return of investment at 12.06%.

such investment is attractive in terms of yields.

Source: Data collected from Business B.

**Table 2.** Generated and projected revenue.

In 2006 we see that the investing company had revenues of R \$ 94,922.09 (ninety four thousand, nine hundred and twenty-two Reals, nine cents). This, representing a nominal return of 14.95% from the value invested. The rate of inflation for 2006, using the IPCA index (adopted by the Brazilian government as the official measure of inflation) was 3.14% (according to the Central Bank of Brazil) and stands at 11.45% as the effective rate of return for that year.

In 2007, the investing company achieved a total revenue of R \$ 115,993.24 (one hundred and fifteen thousand nine hundred and ninety-three Reals, twenty-four cents), representing an 18.27% nominal return on the value invested. The IPCA inflation rate for 2007 stood at 4.46% (according to the Central Bank of Brazil), with 13.22% as the effective rate of return on investment for the period.

In 2008, total revenue accrued by the company amounted to R \$ 107,239.10 (one hundred and seven thousand, two hundred and thirty-nine Reals, ten cents), reaching a nominal return of 16.89% on invested capital. IPCA (according to Central Bank of Brazil) registered inflation at 5.90%, thus qualifying 10.38% as the effective return of investment.

In 2009 the total net revenue obtained by the company amounted to R \$ 111,354.05 (one hundred and eleven thousand, three-hundred and fifty-four Reals, five cents), reaching a nominal return of 17.54% on invested capital. Using IPCA as an index (and according to the Central Bank of Brazil) inflation stood at 4.31%, thus qualifying a 12.68% effective return of investment.

2010 had total revenues of R \$ 116,921.75 (one hundred and sixteen thousand, nine hundred and twenty-one Reals, seventy-five cents), reaching a nominal return of 18.42% on invested capital. In 2010 IPCA (according to the Central Bank of Brazil) pegged inflation at 5.91%, this putting the effective return of investment at 11.81%.

In 2011 net revenue was R \$ 122,767.84 (one hundred and twenty-two thousand, seven hundred and sixty-seven Reals, eighty-four cents), reaching a nominal return of 19.34% on invested capital. Inflation stood at 6.50% according to IPCA (and the Central Bank of Brazil), with the effective return of investment at 12.06%.

382 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

In 2006 we see that the investing company had revenues of R \$ 94,922.09 (ninety four thousand, nine hundred and twenty-two Reals, nine cents). This, representing a nominal return of 14.95% from the value invested. The rate of inflation for 2006, using the IPCA index (adopted by the Brazilian government as the official measure of inflation) was 3.14% (according to the Central Bank of Brazil) and stands at 11.45% as the effective rate of return

In 2007, the investing company achieved a total revenue of R \$ 115,993.24 (one hundred and fifteen thousand nine hundred and ninety-three Reals, twenty-four cents), representing an 18.27% nominal return on the value invested. The IPCA inflation rate for 2007 stood at 4.46% (according to the Central Bank of Brazil), with 13.22% as the effective rate of return on

In 2008, total revenue accrued by the company amounted to R \$ 107,239.10 (one hundred and seven thousand, two hundred and thirty-nine Reals, ten cents), reaching a nominal return of 16.89% on invested capital. IPCA (according to Central Bank of Brazil) registered

In 2009 the total net revenue obtained by the company amounted to R \$ 111,354.05 (one hundred and eleven thousand, three-hundred and fifty-four Reals, five cents), reaching a nominal return of 17.54% on invested capital. Using IPCA as an index (and according to the Central Bank of Brazil) inflation stood at 4.31%, thus qualifying a 12.68% effective return of

2010 had total revenues of R \$ 116,921.75 (one hundred and sixteen thousand, nine hundred and twenty-one Reals, seventy-five cents), reaching a nominal return of 18.42% on invested capital. In 2010 IPCA (according to the Central Bank of Brazil) pegged inflation at 5.91%,

inflation at 5.90%, thus qualifying 10.38% as the effective return of investment.

this putting the effective return of investment at 11.81%.

**Year Revenue** 2006 94.922,09 2007 115.993,24 2008 107.239,10 2009 111.354,05 2010 116.921,75 2011 122.767,84 2012 122.865,27 2013 129.008,54 2014 135.458,96 2015 142.231,91

Source: Data collected from Business B.

for that year.

investment.

investment for the period.

**Table 2.** Generated and projected revenue.

It appears that the annual return of savings (investment considered low risk and yield equal in all financial institutions in the country) for the years 2006; 2007; 2008; 2009; 2010 and 2011 was 8.41%; 7.80%; 7.74%; 7.09%; 6.81% and 7.50% respectively. The rate of cumulative nominal return on investment in question was higher in all the periods analyzed when compared to the accumulated rate of return of savings. From a purely financial viewpoint, such investment is attractive in terms of yields.


**Table 3.** *Payback and return of investment*. The payback method of analysis presents to shareholders the necessary time to recover the financial resources invested in the project. Source: authors.

One of the weaknesses of payback strategy is the depreciation of monetary value over time. This said, a reversal seems to have occurred between 2010 (negative) and 2011 (positive). In terms of our research and its specific scenario, a recovery of initial investment kicks in at about five years and 11 months. The projection of discount rates for the following years was calculated by using the simple average of yields recorded over the previous three years, this being approximately 7.13%.



The Economic and Financial Feasibility of a Biodigester:

A Sound Alternative for Reducing the Environmental Impact of Swine Production 385

consider the negative environmental effects of such practices, highlighting the urgency for

The current market calls for fundamental changes in the economic situation and nature of organizations as well as flagging demands for a new benchmark in business management. An innovative approach to the way new realities are both understood and dealt with is a

There is nevertheless a lack of accurate information about the chemical concentration of swine waste. Alternatives remain limited and the rationale underdeveloped. Ongoing research is required into the suitability of different soil types and crops receiving fertilizer. Likewise, both the short and long-term environmental effects of swine waste need to be studied and known. What we do know is that the indiscriminate disposal of swine waste in natural environments, runs the elevated risk of contaminating soil; water supplies; rivers; effluents and the air itself – this, a condonable practice directly affecting the health of rural

Any waste distribution system then, must take into account the cultural and economic realities of farmers and local producers of swine. It is essential to raise the awareness of farmers and society alike, bringing to their attention issues of waste pollutants, as well as the benefits of implementing a technology that combines the agronomic use of manure as fertilizer, providing the economy with greater input and systems which minimize the effects

As we previously asserted, our modern scenario is one requiring a social conscientiousness for the ecosystem is on the verge of total collapse. It is where modern man is faced with the urgency to change his world-view through sustainable business practices, igniting a change of values and a new direction in operating systems which engage with sustainable

According to Freitas (2008), a great many experts fear that if emissions of greenhouse gases (mainly carbon dioxide, methane and nitrous oxide) continue to increase, then the planet's temperature will rise and the results will be drastic if not unimaginable. Formidable changes in our climate with extreme cold and elevations of wetland will lead us to experiencing periods of drought; fertile farmland will not too far into the future succumb to desertification; incidences of severely destructive storms, tornadoes, hurricanes or typhoons will be frequent; the dwindling and complete loss of floral species and fauna in different parts of the natural world will be commonplace, as will the melting of ice caps and the consequent increase in global sea levels. With the unbridled increase in global warming, mainly due to high levels of carbon dioxide and methane, serious consequences can already

The aim of our study is to demonstrate the benefits generated by installing a biodigester as a financially and economically viable alternative in the management of swine waste. Given this, biodigester technology and its environmental value, is more than a mere hypothesis but a tried and tested means of treating and reusing detrimental waste material – this, important

be felt on a global scale, threatening the survival of the earth's inhabitants.

due care and attention in waste management and business strategy.

modern requirement.

and urban communities.

development and environmental preservation.

of pollution.

Source: authors.

**Table 4.** *Deducted* return: this table shows the calculation of discounted payback. The discount rates applied to net annual income were from savings accounts checked for the years 2006, 2007, 2008, 2009, 2010 and 2011.

Considering this data, a sign inversion occurs between the projected years 2012 (negative) and 2013 (positive), pitching the recovery of initial investment at roughly 7 years and 9 months. Using the information in Table 4 as a reference point, that is, the initial investment and net income both generated and projected, it is also possible to calculate the internal rate of return for the project – this being 12.16% per year.

Financial analysis reveals the benefits of investing in a biodigester. The farm reported a total revenue of R \$ 650,771.00, with a net income of R\$ 94.922,09 for 2006; R\$ 115.993,24 for 2007; R\$ 107.239,10 for 2008; R\$ 111.354,05 for 2009; R\$ 116.921,75 for 2010 and R\$ 122.767,84 for 2011. For 2012 net income is projected to be R \$ 122,865.27 with 5% real annual growth applied.

The payback period of investment recovery stands at 5 years and 11 months, and the discounted payback at 7 years and 9 months. Comparing the annual return of investment to the cost of savings, the rate of return on investment yielded higher gain over all periods analyzed, this, confirming the economic and financial viability of such a project. Financial and economic optic thus evidences the viability of financial investment into the project. This, combined with the environmental benefits, marks the entrepreneurial quality of such an enterprise.

## **8. Conclusion**

The goal of our study was to demonstrate the relationship between swine production and the environment – where the former can be developed through new, innovative technologies, the latter is not impervious and remains vulnerable. There is a need to consider the negative environmental effects of such practices, highlighting the urgency for due care and attention in waste management and business strategy.

384 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

2006 -650.771,00 -650.771,00 2006 94.922,09 8,41% 87.558,43 -563.212,57 2007 115.993,24 7,80% 99.814,85 -463.397,72 2008 107.239,10 7,74% 85.747,65 -377.650,07 2009 111.354,05 7,09% 84.666,25 -292.983,82 2010 116.921,75 6,81% 84.107,70 -208.876,12 2011 122.767,84 7,50% 79.548,84 -129.327,29 2012 122.865,27 7,13% 75.866,74 -53.460,55 2013 129.008,54 7,13% 74.358,33 20.897,78 2014 135.458,96 7,13% 72.879,90 93.777,68 2015 142.231,91 7,13% 71.430,88 165.208,56

**Table 4.** *Deducted* return: this table shows the calculation of discounted payback. The discount rates applied to net annual income were from savings accounts checked for the years 2006, 2007, 2008, 2009,

Considering this data, a sign inversion occurs between the projected years 2012 (negative) and 2013 (positive), pitching the recovery of initial investment at roughly 7 years and 9 months. Using the information in Table 4 as a reference point, that is, the initial investment and net income both generated and projected, it is also possible to calculate the internal rate

Financial analysis reveals the benefits of investing in a biodigester. The farm reported a total revenue of R \$ 650,771.00, with a net income of R\$ 94.922,09 for 2006; R\$ 115.993,24 for 2007; R\$ 107.239,10 for 2008; R\$ 111.354,05 for 2009; R\$ 116.921,75 for 2010 and R\$ 122.767,84 for 2011. For 2012 net income is projected to be R \$ 122,865.27 with 5% real annual growth

The payback period of investment recovery stands at 5 years and 11 months, and the discounted payback at 7 years and 9 months. Comparing the annual return of investment to the cost of savings, the rate of return on investment yielded higher gain over all periods analyzed, this, confirming the economic and financial viability of such a project. Financial and economic optic thus evidences the viability of financial investment into the project. This, combined with the environmental benefits, marks the entrepreneurial quality of such an

The goal of our study was to demonstrate the relationship between swine production and the environment – where the former can be developed through new, innovative technologies, the latter is not impervious and remains vulnerable. There is a need to

**deduction Net income Deducted return** 

**investment Net revenue Tax**

of return for the project – this being 12.16% per year.

**Year Initial**

Source: authors.

2010 and 2011.

applied.

enterprise.

**8. Conclusion** 

The current market calls for fundamental changes in the economic situation and nature of organizations as well as flagging demands for a new benchmark in business management. An innovative approach to the way new realities are both understood and dealt with is a modern requirement.

There is nevertheless a lack of accurate information about the chemical concentration of swine waste. Alternatives remain limited and the rationale underdeveloped. Ongoing research is required into the suitability of different soil types and crops receiving fertilizer. Likewise, both the short and long-term environmental effects of swine waste need to be studied and known. What we do know is that the indiscriminate disposal of swine waste in natural environments, runs the elevated risk of contaminating soil; water supplies; rivers; effluents and the air itself – this, a condonable practice directly affecting the health of rural and urban communities.

Any waste distribution system then, must take into account the cultural and economic realities of farmers and local producers of swine. It is essential to raise the awareness of farmers and society alike, bringing to their attention issues of waste pollutants, as well as the benefits of implementing a technology that combines the agronomic use of manure as fertilizer, providing the economy with greater input and systems which minimize the effects of pollution.

As we previously asserted, our modern scenario is one requiring a social conscientiousness for the ecosystem is on the verge of total collapse. It is where modern man is faced with the urgency to change his world-view through sustainable business practices, igniting a change of values and a new direction in operating systems which engage with sustainable development and environmental preservation.

According to Freitas (2008), a great many experts fear that if emissions of greenhouse gases (mainly carbon dioxide, methane and nitrous oxide) continue to increase, then the planet's temperature will rise and the results will be drastic if not unimaginable. Formidable changes in our climate with extreme cold and elevations of wetland will lead us to experiencing periods of drought; fertile farmland will not too far into the future succumb to desertification; incidences of severely destructive storms, tornadoes, hurricanes or typhoons will be frequent; the dwindling and complete loss of floral species and fauna in different parts of the natural world will be commonplace, as will the melting of ice caps and the consequent increase in global sea levels. With the unbridled increase in global warming, mainly due to high levels of carbon dioxide and methane, serious consequences can already be felt on a global scale, threatening the survival of the earth's inhabitants.

The aim of our study is to demonstrate the benefits generated by installing a biodigester as a financially and economically viable alternative in the management of swine waste. Given this, biodigester technology and its environmental value, is more than a mere hypothesis but a tried and tested means of treating and reusing detrimental waste material – this, important for both swine producer and society. Besides being an alternative source of renewable gas, such a technology reuses and recycles, improving and maintaining soil without jeopardizing environmental standards and human wellbeing.

The Economic and Financial Feasibility of a Biodigester:

A Sound Alternative for Reducing the Environmental Impact of Swine Production 387

Mior, Luiz Carlos. Agricultores Familiares, Agroindústrias e redes de desenvolvimento

Moura, Luiz Antonio de. Qualidade e gestão ambiental: sugestões para implantação das Normas ISSO 14.000 nas empresas. 2ª ed. São Paulo: Editora Juarez de Oliveira,

Panty, Eliana. I simpósio Brasil Sul de Suinocultura. Agromais, Chapecó, n. 9, p. 66,

Pereira, E.R.; Demarchi, J.J.A.A.; Budiño, F.E.L. A questão ambiental e os impactos causados pelos efluentes da suinoculturaa. 2009. Article in Hypertext format. Available at:

Queiroz, Timóteo Ramos (Org.). Agronegócios: gestão e inovação. São Paulo: Saraiva, 2006.

Sampaio, Silvio C; Fiori, Marciane G.; Opazo, Miguel A. U.; Nóbrega, Lúcia H. P. Comportamento Das Formas De Nitrogênio Em Solo Cultivado Com Milho Irrigado Com Água Residuária Da Suinocultura. Eng. Agríc., Jaboticabal, v. 30, n1, jan-feb.

Sasaki, Yosuke; Saito, Hikari; Shimomura, Ai; Koketsu. Consecutive reproductive performance after parity 2 and lifetime performance in sows that had reduced pigs born alive from parity 1 to 2 in Japanese commercial herds. Livestock Science. School of

Seganfredo, Milton Antonio. Os dejetos de suínos são um fertilizante ou um poluente do solo? Cadernos de Ciência e Tecnologia, Brasília, v. 16, n. 3, p. 129-141, Sept./Dec. 1999. Available at: http://www.uov.com.biblioteca\_arquivos/Curso55-3.pdf. Accessed on:

Silva, Benedito Albuquerque da; Robles Junior, Antonio. Modelagem de custos das atividades integradas de suinocultura: cria, recria e engorda. XVI Congresso Brasileiro

Sobestiansky, Jurÿ; et al. Suinocultura intensiva: produção, manejo e saúde do rebanho.

Tinoco, João Eduardo Prudência. Balanço Social: uma abordagem da transparência e da

Tinoco, João Eduardo Prudêncio; KRAEMER, Maria Elisabeth Pereira. Contabilidade e

Nogueira, Luiz A. Horta. Biodigestão: a alternativa energética. São Paulo: Nobel, 1986. Palhares, Julio César Pascale. Biodigestão anaeróbia de dejetos de suínos: aprendendo com o

passado para entender o presente e garantir o futuro. Available at: http://www.infobibos.com/Artigos/2008\_1/Biodigestao/Index/.htm.

http://www.infobibos.com/Artigos/2009\_3/QAmbiental/index.htm.

Ribeiro, Maisa de Souza. Contabilidade ambiental. São Paulo: Saraiva, 2006.

Agriculture, Meiji University, Kanagawa 214–8571, Japan, 2011.

de Custos – Fortaleza, Ceará, Brasil, 3rd -5th November, 2009. Annals.

responsabilidade pública das organizações. São Paulo: Atlas, 2001.

rural. Chapecó: Argos, 2005.

Accessed on: 9/1/2012.

April/May, 2008.

Accessed on: 30/1/2012

p. 251-280.

2010.

4/2/2012.

Brasília: Embrapa, 1998.

Gestão Ambiental. São Paulo: Atlas, 2004.

2000.

## **Author details**

Antonio Zanin and Fabiano Marcos Bagatini *Universidade Comunitária da Região de Chapecó – UNOCHAPECÒ, Brazil* 

### **9. References**

Associação Catarinense De Criadores De Suínos. Available at:

http://www.accs.org.br/dados\_ver.php?id=4 Accessed on 10/7/2011.


Nogueira, Luiz A. Horta. Biodigestão: a alternativa energética. São Paulo: Nobel, 1986.

386 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

*Universidade Comunitária da Região de Chapecó – UNOCHAPECÒ, Brazil* 

http://www.accs.org.br/dados\_ver.php?id=4 Accessed on 10/7/2011. Araújo, Massilon J. Fundamentos do agronegócio. São Paulo: Atlas, 2003.

Barbieri, José Carlos. Gestão ambiental empresarial: conceitos, modelos e instrumentos. 2.

Bezerra, Severino Antunes. Gestão ambiental da propriedade suinícola: Um modelo baseado em um biossistema integrado. Revista Ciências Empresariais da UNIPAR, Toledo, v.6,

Brasil. Resolução CONAMA nº 357, 17th March, 2005. Ministério do Meio Ambiente.

Brilhante, Ogenis Magno; CALDAS, Luiz Querino de A. Gestão e avaliação de risco em

http://hotsites.sct.embrapa.br/diacampo/programacao/2008/licenciamento-ambiental-

Observatório de Economia Latino americana, Número 71, 2006. Available at: http://www.eumed.net/cursecon/ecolat/br/06/rgg.htm. Accessed on 5/4/2011. Guivant, Julia S.; MIRANDA, Cláudio R. de. Desafios para o desenvolvimento sustentável

da suinocultura: uma abordagem multidisciplinar. Chapecó: Argos, 2004.

Gonçalves, Rafael Garcia; PALMEIRA, Eduardo Match. Suinocultura Brasileira.

Jordan, Danielle. Dejetos de suínos e outros animais podem ser convertidos em créditos de carbono. Homologa.ambiente.sp.gov.br/proclima, September, 2005. Available at: //http://noticias.ambientebrasil.com.br/exclusivas/2005/12/09/22129-exclusivo-dejetosde-suinos-e-outros-animais-podem-ser-convertidos-em-creditos-de-carbono.html.

Leite, João Guilherme Dal Belo. Inovações Tecnológicas na Suinocultura Sul – Brasileira sobre a Ótica da Sustentabilidade. ENGEMA- Encontro Nacional de Gestáo Empresarial e MeioAmbiente (National Congress for Business and Environmanetal Management),

Marion, José Carlos. Contabilidade Rural: Contabilidade Agrícola; Contabilidade Da

pecuária; imposto de renda pessoa jurídica. 7. ed. São Paulo: Atlas, 2002.

Available at: http://www.mma.gov.br/port/Conama. Accessed on 17/2/ 2012.

Embrapa. Licenciamento ambiental para criação de suínos. Available at:

Associação Catarinense De Criadores De Suínos. Available at:

ed. Atual. Ampl. São Paulo: Saraiva, 2007.

saúde ambiental. Rio de Janeiro: Fiocruz, 1999.

para-criacao-de-suinos. Accessed on: 30/1/2012

9th- 12th November, 2008. Porto Alegre, Brazil.

environmental standards and human wellbeing.

Antonio Zanin and Fabiano Marcos Bagatini

**Author details** 

**9. References** 

n.2, jul./dec., 2005.

Accessed on: 2/3/2012.

for both swine producer and society. Besides being an alternative source of renewable gas, such a technology reuses and recycles, improving and maintaining soil without jeopardizing

	- Zanin, Antonio; Bagatini, Fabiano Marcos; Pessato, Camila Batista. Viabilidade econômicofinanceira de implantação de biodigestor: uma alternativa para reduzir os impactos ambientais causados pela suinocultura. Custos e agronegócio on line, ISSN 1808-2882, Recife, volume 6, número 1, p.1-161, Jan/April, 2010. Available at:

**Chapter 17** 

© 2012 Zoveidavianpoor et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Zoveidavianpoor et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use,

distribution, and reproduction in any medium, provided the original work is properly cited.

**Overview of Environmental Management by** 

**Drill Cutting Re-Injection Through Hydraulic** 

**Fracturing in Upstream Oil and Gas Industry** 

Mansoor Zoveidavianpoor, Ariffin Samsuri and Seyed Reza Shadizadeh

For the reason of worldwide increased activities of upstream oil and gas industry for future energy demands which will be associated with more waste generation, zero discharge is considered an environmentally friendly approach of complying with environmental legislations. Drilling is one of the major operations in upstream oil and gas industry that can potentially impact the environment through generation of different types of wastes. The drilling process generates millions of barrels of drilling waste each year; primarily used drilling fluids and drill cuttings especially oil-contaminated drill cuttings. In the early years of the oil industry, little attention was given to environmental management of drilling wastes. The rapid development of drilling operation in order to fulfill the global energy demands and so the drilling environmental regulatory requirements have become stricter, drilling and mud system technologies have advanced, and many companies have voluntarily adopted waste management options with more benign environmental impacts that those used in the past. Moreover, it is crucial to find out why drilling wastes are important nowadays, how they generated and by which means those waste could be disposed off with higher efficiency and acceptable HSE and economically concerns. Drill Cutting Re-Injection (DCRI) is one of the processes that developed as an environmentally friendly and zero discharge technology in upstream oil

A variety of oil field wastes are disposed of through injection, such as produced water that re-injected through tens of thousands of wells for enhanced recovery or disposal. Other oil field wastes that are injected at some sites include work over and completion fluids, sludge, sand, scale, contaminated soils, and storm water, among others. The focus of this chapter is

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45828

**1. Introduction** 

and gas industry.

http:// www.custoseagronegocioonline.com.br. Accessed on: 12/3/2012.

Zuin, Luíz Fernando Soares; AlliprandinI, Dário Henrique. Gestão de inovação na produção agropecuária. In: Zuin, Luiz Fernando Soares.

## **Overview of Environmental Management by Drill Cutting Re-Injection Through Hydraulic Fracturing in Upstream Oil and Gas Industry**

Mansoor Zoveidavianpoor, Ariffin Samsuri and Seyed Reza Shadizadeh

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45828

## **1. Introduction**

388 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Recife, volume 6, número 1, p.1-161, Jan/April, 2010. Available at: http:// www.custoseagronegocioonline.com.br. Accessed on: 12/3/2012.

agropecuária. In: Zuin, Luiz Fernando Soares.

Zanin, Antonio; Bagatini, Fabiano Marcos; Pessato, Camila Batista. Viabilidade econômicofinanceira de implantação de biodigestor: uma alternativa para reduzir os impactos ambientais causados pela suinocultura. Custos e agronegócio on line, ISSN 1808-2882,

Zuin, Luíz Fernando Soares; AlliprandinI, Dário Henrique. Gestão de inovação na produção

For the reason of worldwide increased activities of upstream oil and gas industry for future energy demands which will be associated with more waste generation, zero discharge is considered an environmentally friendly approach of complying with environmental legislations. Drilling is one of the major operations in upstream oil and gas industry that can potentially impact the environment through generation of different types of wastes. The drilling process generates millions of barrels of drilling waste each year; primarily used drilling fluids and drill cuttings especially oil-contaminated drill cuttings. In the early years of the oil industry, little attention was given to environmental management of drilling wastes. The rapid development of drilling operation in order to fulfill the global energy demands and so the drilling environmental regulatory requirements have become stricter, drilling and mud system technologies have advanced, and many companies have voluntarily adopted waste management options with more benign environmental impacts that those used in the past. Moreover, it is crucial to find out why drilling wastes are important nowadays, how they generated and by which means those waste could be disposed off with higher efficiency and acceptable HSE and economically concerns. Drill Cutting Re-Injection (DCRI) is one of the processes that developed as an environmentally friendly and zero discharge technology in upstream oil and gas industry.

A variety of oil field wastes are disposed of through injection, such as produced water that re-injected through tens of thousands of wells for enhanced recovery or disposal. Other oil field wastes that are injected at some sites include work over and completion fluids, sludge, sand, scale, contaminated soils, and storm water, among others. The focus of this chapter is

© 2012 Zoveidavianpoor et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Zoveidavianpoor et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

injection of wastes related to the drilling process, which involve processing cuttings into small particles, mixing them with water and other additives to make slurry, and injecting it into a subsurface geological formation at pressure high enough to fracture the rock. DCRI has been given other terms by different authors such as fracture slurry injection, grind and inject, and drill cuttings injection.

Overview of Environmental Management

by Drill Cutting Re-Injection Through Hydraulic Fracturing in Upstream Oil and Gas Industry 391

portion through which it is installed. The final number of casing strings depends on the total depth of the well and the sensitivity of the formations through which the well passes. The process of drilling and adding sections of casing continues until final well

depth is reached.

**Figure 1.** A schematic of a drilling rig (not to scale).

Two primary types of wastes are generated in drilling of oil and gas wells; drill cuttings and drilling fluids. Most drilling fluids contain bentonite clay, water, barite, specialized

The most critical aspect in waste injection through hydraulic fracturing (HF) in upstream oil and gas industry, which is DCRI, will be reviewed in this chapter. The subject of this chapter, DCRI, is a specialized area in upstream petroleum industry; even though many brilliant papers presented on various environmental areas, overview papers that present a context for those more specific studies are needed. This chapter will presents in an effort to review the environmental management of DCRI in upstream petroleum industry. The aims are firstly, to review the drilling process and different types of drilling fluid. Afterwards, because it's considered as a key in identifying containment formations to prevent waste migration to water resources and environment in DCRI operations, HF technology will be introduced in the second part of this chapter. Finally, after reviewing the essential parts of DCRI, drilling wastes and HF, the nature of DCRI and its role in environmental management will be presented in details.

## **2. Overview of drilling operation**

Oil and gas wells are drilled to depths of several hundred to more than 5,000 meters. Figure 1 shows a schematic of typical drilling rig, which uses a rotating drill bit attached to the end of a drill pipe. Drilling fluids (muds) are pumped down through the hollow drill pipe, through the drill bit nozzles and up the annular space between the drill pipe and the hole. Drilling mud mixture is particularly related to site and hole condition; it used to lubricate and cool the drill bit, maintains pressure control of the well as it is being drilled, and helps to removes the cuttings from the hole to the surface, among other functions. In fact, the technology of mud mixing and treatment has been recognized as a source of pollutants.

Mud and drill cuttings are separated by circulating the mixture over vibrating screens called shale shakers. As the bit turns, it generates fragments of rock (cuttings), which will be separated from the mud by shale shakers that will moves the accumulated cuttings over the screen to a point for further treatment or management. Consequently, additional lengths of pipe are added to the drill string as necessary. As a common practice in drilling of oil and gas wells, when a target depth has been reached according to the drilling plan, the drill string is removed and the exposed section of the borehole is permanently stabilized and lined with casing that is slightly smaller than the diameter of the hole. The main function is to maintain well-bore stability and pressure integrity. (Three sizes of casing depicted in Figure 1). Cement is then is pumped into the space between the wall of the drilled hole and the outside of the casing to secure the casing and seal off the upper part of the borehole. Each new portion of casing is smaller in diameter than the previous portion through which it is installed. The final number of casing strings depends on the total depth of the well and the sensitivity of the formations through which the well passes. The process of drilling and adding sections of casing continues until final well depth is reached.

390 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

inject, and drill cuttings injection.

management will be presented in details.

**2. Overview of drilling operation** 

pollutants.

injection of wastes related to the drilling process, which involve processing cuttings into small particles, mixing them with water and other additives to make slurry, and injecting it into a subsurface geological formation at pressure high enough to fracture the rock. DCRI has been given other terms by different authors such as fracture slurry injection, grind and

The most critical aspect in waste injection through hydraulic fracturing (HF) in upstream oil and gas industry, which is DCRI, will be reviewed in this chapter. The subject of this chapter, DCRI, is a specialized area in upstream petroleum industry; even though many brilliant papers presented on various environmental areas, overview papers that present a context for those more specific studies are needed. This chapter will presents in an effort to review the environmental management of DCRI in upstream petroleum industry. The aims are firstly, to review the drilling process and different types of drilling fluid. Afterwards, because it's considered as a key in identifying containment formations to prevent waste migration to water resources and environment in DCRI operations, HF technology will be introduced in the second part of this chapter. Finally, after reviewing the essential parts of DCRI, drilling wastes and HF, the nature of DCRI and its role in environmental

Oil and gas wells are drilled to depths of several hundred to more than 5,000 meters. Figure 1 shows a schematic of typical drilling rig, which uses a rotating drill bit attached to the end of a drill pipe. Drilling fluids (muds) are pumped down through the hollow drill pipe, through the drill bit nozzles and up the annular space between the drill pipe and the hole. Drilling mud mixture is particularly related to site and hole condition; it used to lubricate and cool the drill bit, maintains pressure control of the well as it is being drilled, and helps to removes the cuttings from the hole to the surface, among other functions. In fact, the technology of mud mixing and treatment has been recognized as a source of

Mud and drill cuttings are separated by circulating the mixture over vibrating screens called shale shakers. As the bit turns, it generates fragments of rock (cuttings), which will be separated from the mud by shale shakers that will moves the accumulated cuttings over the screen to a point for further treatment or management. Consequently, additional lengths of pipe are added to the drill string as necessary. As a common practice in drilling of oil and gas wells, when a target depth has been reached according to the drilling plan, the drill string is removed and the exposed section of the borehole is permanently stabilized and lined with casing that is slightly smaller than the diameter of the hole. The main function is to maintain well-bore stability and pressure integrity. (Three sizes of casing depicted in Figure 1). Cement is then is pumped into the space between the wall of the drilled hole and the outside of the casing to secure the casing and seal off the upper part of the borehole. Each new portion of casing is smaller in diameter than the previous

**Figure 1.** A schematic of a drilling rig (not to scale).

Two primary types of wastes are generated in drilling of oil and gas wells; drill cuttings and drilling fluids. Most drilling fluids contain bentonite clay, water, barite, specialized additives, and some types of muds also contain hydrocarbons. Large volumes of drilling muds are stored in aboveground tanks or pits. The liquid muds pass through the screen and are recycled into the mud system, which is continuously treated to maintain the desired properties for a successful drilling operation. Depending on the depth and diameter of the well bore, the volume of drilling wastes generated from each well varies; typically, several thousand barrels of drilling waste are generated per well. Figure 2 is a demonstration of the generated drilling waste from a 2400 meters well depth that comprises of four different borehole sizes.

Overview of Environmental Management

by Drill Cutting Re-Injection Through Hydraulic Fracturing in Upstream Oil and Gas Industry 393

**Figure 3.** Mud pit condition during drilling operation.

**Figure 4.** Mud pit condition after drilling operation.

**Figure 2.** A typical drill cutting and mud volumes for a 2400 meters well depth.

The generation of wastes from drilling fluid and drill cuttings could be recognized at different stages of the drilling operation. When drilling at the first few hundred meters to run conductor casing or surface casing, higher quantities of cuttings are produced; that's because borehole diameter is the largest during this stage. Substantial waste fluid must be handled when drilling deep wells that encountered shale's and/or unstable formations. So, oil based muds (OBMs) is utilized to overcome those problems which will be mixed with other drilling fluids in waste pit and disposed to the environment. Furthermore, higher volume of wastes must be displaced in the completion phase of drilling operation which is replaced by completion fluids and equipment. Physical condition of a waste pit during and after drilling operation is illustrated in Figures 3 and 4, respectively. More details could be found by Shadizadeh and Zoveidavianpoor, (2008).

Overview of Environmental Management by Drill Cutting Re-Injection Through Hydraulic Fracturing in Upstream Oil and Gas Industry 393

**Figure 3.** Mud pit condition during drilling operation.

392 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 2.** A typical drill cutting and mud volumes for a 2400 meters well depth.

found by Shadizadeh and Zoveidavianpoor, (2008).

The generation of wastes from drilling fluid and drill cuttings could be recognized at different stages of the drilling operation. When drilling at the first few hundred meters to run conductor casing or surface casing, higher quantities of cuttings are produced; that's because borehole diameter is the largest during this stage. Substantial waste fluid must be handled when drilling deep wells that encountered shale's and/or unstable formations. So, oil based muds (OBMs) is utilized to overcome those problems which will be mixed with other drilling fluids in waste pit and disposed to the environment. Furthermore, higher volume of wastes must be displaced in the completion phase of drilling operation which is replaced by completion fluids and equipment. Physical condition of a waste pit during and after drilling operation is illustrated in Figures 3 and 4, respectively. More details could be

borehole sizes.

additives, and some types of muds also contain hydrocarbons. Large volumes of drilling muds are stored in aboveground tanks or pits. The liquid muds pass through the screen and are recycled into the mud system, which is continuously treated to maintain the desired properties for a successful drilling operation. Depending on the depth and diameter of the well bore, the volume of drilling wastes generated from each well varies; typically, several thousand barrels of drilling waste are generated per well. Figure 2 is a demonstration of the generated drilling waste from a 2400 meters well depth that comprises of four different

**Figure 4.** Mud pit condition after drilling operation.

## **3. Environmental impacts of drilling muds**

In upstream petroleum industry, drilling is the major operation that can potentially impact the environment. Drilling operation generates a significant volume of wastes. The composition of drilling fluid constituents is depicted in Table 1. Environmentally responsible actions require an understanding of the characteristics of these wastes and how they are generated in order to minimize their environmental impacts by known environmental protection methods. In this section, environmental impacts of a drilling mud will be presented along with a case study on mud pit samples for heavy metals (Cd, Cr, Ni, and Al) concentrations during and after the drilling operation. For more details please consult Shadizadeh and Zoveidavianpoor, 2008 and 2010.

Overview of Environmental Management

by Drill Cutting Re-Injection Through Hydraulic Fracturing in Upstream Oil and Gas Industry 395

**1510 m** 

YP 11 4-7 6-78 19-27 PV 35 5-10 8-58 8-12 Initial Gel 22 3-6 1-13 2 10 Min. Gel 30 4-8 2-6 3 Mud lost @ unit (bbl) 0 2588 1252 802 Density (pcf) 70-62 68-79 79-146 69.5 Barite (t) 0 27 674.4 0

Salt (t) 2 166 168 15 Starch (sx) 0 30 727 0 Bentonite (t) 160 750 0 0 Lime (sx) 123 69 222 130 CMS H.V (sx) 0 0 0 17 IRSATROL(sx) 0 0 0 140 Diesel (bbl) 0 0 0 615

Mud system WBM WBM WBM OBM pH 10-10.5 10.5-9.8 8-10 9-9.5

concentration (mg/l) 2000 185600 297600 380100

concentration (mg/l) 464 2404 3320 231

**12¼" hole 2158 m** 

**8½" hole 2330 m** 

metals in the investigated site. Metals concentrations in mud pit of selected well during and after drilling operation are presented in Figure 5. Chromium concentration was detected in the samples at 0–0.08 ppm. Other heavy metals were also at high levels and showed significantly higher values specially by using OBMs: cadmium 0–0.006 ppm, nickel 0–0.024 ppm, and aluminum 0–341 ppm. However, these heavy metal levels are generally above toxic levels. As shown in Figures 5, the concentrations of cadmium, chromium, and nickel increased progressively in the fourth sampling periods because of the contamination of the mud pit with OBMs that was initiated in the fourth sampling period. Concentration of aluminum increased from the first to the third sampling periods, whereas in the fourth period it shows decreased values from 0.05 ppm to 0.006 ppm. Aluminum was not observed in the fifth and sixth sampling periods but maintained an increased value from the seventh to the end of the sampling periods. In the entire study area, chromium levels ranged from 0 to 0.08 ppm but no concentration was observed after the seventh period of the sampling. This can be explained by the storm runoff water at the investigated well site that washes away all these wastes, especially in the mud pits to other locations or seepage from the discharge pits into the surrounding soils. The statistics of the investigated heavy metals are

**Properties 24" hole 60 m 17½" hole** 

Note: YP=yield point; PV=plastic viscosity; bbl=barrel; pcf=pound per cubic feet; t=ton; sx=sacks **Table 2.** Drilling fluid used in the selected well (Shadizadeh and Zoveidavianpoor, 2010).

shown in Table 3.

Average salt

Average calcium

**Mud Properties** 

**Mud Material** 


**Table 1.** Elemental composition of drilling fluid constituents (ppm) (Bleier et al., 1993).

A potential source of heavy metals in drilling fluid is from crude itself. Crude oil naturally contains widely varying concentrations of various heavy metals. In the selected well a combination of water based muds (WBMs) and OBMs had used. As shown in Table 2, the major components of WBMs in the investigated site were barite, salt, starch, bentonite, and lime. The metals of greatest concern, because of their potential toxicity and/or abundance in drilling fluids, include chromium, cadmium, and nickel (Neff, 2002). Some of these metals are added intentionally to drilling muds as metal salts or organometallic compounds. Others are present as trace impurities in major mud ingredients, particularly barite and bentonite. One of the major drilling mud additives used in both WBMs and OBMs in the investigated well is barite. The amount of barite used in the investigated well as shown in Table 2 is 702 tonnes. Barite contains variable amounts of heavy metals and it is the main source of heavy metals in the investigated site. Metals concentrations in mud pit of selected well during and after drilling operation are presented in Figure 5. Chromium concentration was detected in the samples at 0–0.08 ppm. Other heavy metals were also at high levels and showed significantly higher values specially by using OBMs: cadmium 0–0.006 ppm, nickel 0–0.024 ppm, and aluminum 0–341 ppm. However, these heavy metal levels are generally above toxic levels. As shown in Figures 5, the concentrations of cadmium, chromium, and nickel increased progressively in the fourth sampling periods because of the contamination of the mud pit with OBMs that was initiated in the fourth sampling period. Concentration of aluminum increased from the first to the third sampling periods, whereas in the fourth period it shows decreased values from 0.05 ppm to 0.006 ppm. Aluminum was not observed in the fifth and sixth sampling periods but maintained an increased value from the seventh to the end of the sampling periods. In the entire study area, chromium levels ranged from 0 to 0.08 ppm but no concentration was observed after the seventh period of the sampling. This can be explained by the storm runoff water at the investigated well site that washes away all these wastes, especially in the mud pits to other locations or seepage from the discharge pits into the surrounding soils. The statistics of the investigated heavy metals are shown in Table 3.

394 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

In upstream petroleum industry, drilling is the major operation that can potentially impact the environment. Drilling operation generates a significant volume of wastes. The composition of drilling fluid constituents is depicted in Table 1. Environmentally responsible actions require an understanding of the characteristics of these wastes and how they are generated in order to minimize their environmental impacts by known environmental protection methods. In this section, environmental impacts of a drilling mud will be presented along with a case study on mud pit samples for heavy metals (Cd, Cr, Ni, and Al) concentrations during and after the drilling operation. For more details please

Aluminum 0.3 40,400 40,400 88,600 6,700 6,700 0.013 Arsenic 0.0005 3.9 34 3.9 10.1 10.1 0.039 Barium 0.01 158 590,000 640 230 230 0.26 Cadmium 0.0001 0.08 6 0.5 0.2 0.2 0.0013 Chromium 0.001 183 183 8.02 40,030 65.3 0.00066 Cobalt 0.001 183 183 8.02 40,030 65.3 0.00066 Copper 0.0002 2.9 3.8 2.9 5 5 0.00053 Iron 0.003 22 49 8.18 22.9 22.9 0.039 Lead 0.5 21,900 12,950 37,500 7,220 7,220 0.04 Magnesium 0.003 37 685 27.1 5.4 5.4 0.004 Mercury 4 23,300 3,900 69,800 5,040 5,040 17,800 Nickel 0.0001 0.12 4.1 0.12 0.2 0.2 5 Potassium 0.0005 15 3 15 11.6 11.6 0.09 Silicon 2.2 13,500 660 2,400 3,000 460 51,400 Sodium 7 206,000 70,200 271,000 2,390 2,390 339 Strontium 6 3,040 3,040 11,000 71,000 2,400 500,000 Cobalt 0.07 312 540 60.5 1030 1030 105

lignosulfonate Lignite Caustic

**3. Environmental impacts of drilling muds** 

consult Shadizadeh and Zoveidavianpoor, 2008 and 2010.

Elements Water Cuttings Barite Clay Chrome-

**Table 1.** Elemental composition of drilling fluid constituents (ppm) (Bleier et al., 1993).

A potential source of heavy metals in drilling fluid is from crude itself. Crude oil naturally contains widely varying concentrations of various heavy metals. In the selected well a combination of water based muds (WBMs) and OBMs had used. As shown in Table 2, the major components of WBMs in the investigated site were barite, salt, starch, bentonite, and lime. The metals of greatest concern, because of their potential toxicity and/or abundance in drilling fluids, include chromium, cadmium, and nickel (Neff, 2002). Some of these metals are added intentionally to drilling muds as metal salts or organometallic compounds. Others are present as trace impurities in major mud ingredients, particularly barite and bentonite. One of the major drilling mud additives used in both WBMs and OBMs in the investigated well is barite. The amount of barite used in the investigated well as shown in Table 2 is 702 tonnes. Barite contains variable amounts of heavy metals and it is the main source of heavy


Note: YP=yield point; PV=plastic viscosity; bbl=barrel; pcf=pound per cubic feet; t=ton; sx=sacks

**Table 2.** Drilling fluid used in the selected well (Shadizadeh and Zoveidavianpoor, 2010).

Overview of Environmental Management

by Drill Cutting Re-Injection Through Hydraulic Fracturing in Upstream Oil and Gas Industry 397

ailments (Ankley et al., 1993). As presented in the previous sections, routine drilling wastes such as drilling muds and cuttings contain a variety of toxic chemicals; they are known to be hazardous to wildlife, livestock, and human health. If pollutants from oil well drilling build up in the food chain, people who consume those natural resources from the contaminated drilled well area could be at risk of health problems such as genetic defects and cancer. For environmental protection, different strategies are considered; (1) restoring the well site to its natural state after drilling, (2) let the liquid to be evaporated, (3) Bioremediation, (4) multipit system, and (5) DCRI, which is the focus of this chapter. Because DCRI deal with the initiation and propagation of a fracture in a rock matrix by means of hydraulic pressure, HF

Initially, fracturing was a low technology operation consisting of the injection, at low temperature, of a few thousand gallons of napalm into low-pressure reservoirs. Substantially, HF has evolved into a highly engineering and complex procedure. As a technology has improved, so has the number of wells, formations, and fields that can be successfully fractured, increased. The development of high pressure pump units, high strength proppant, and sophisticated fracturing fluids, has meant that deep, low permeability, high temperature, reservoirs can now be fractured (Veatch et al., 1989). This technology is a well-known process, which was originally applied to overcome near wellbore skin damage (Smith, 2006). Since then, it has been expanded to such applications as (1) reservoir stimulation for increase hydrocarbon deliverability, (2) increase drainage area, and decrease pressure drop around the well to minimize problems with asphaltene and/or paraffin deposition, (3) geothermal reservoir recovery, (4) waste disposal, (5) control of sand production, (6) to measure the in-situ stress field and (7) heat extraction (geothermal energy) from deep formations. Obviously, there could be other uses of HF, but the majority of the treatments are performed for the mentioned reasons. HF has made significant contributions to the petroleum industry since its inception (Veatch et al., 1989). By 2009 HF activity has increased 5-fold compared to the investment of a decade earlier and has become the second largest outlay of petroleum companies after drilling

HF is the pumping of fluids at high rates and pressures in order to break the rock. A typical chart of fracturing which shows the common treatment stages is shown in Figure 6. The operation begins with injection of a mixed acid and water named Pre-pad. A mixture of water and a polymer, named Pad, will follows. The fracture will initiated in this stage but contains no proppant. To make the fracture open for fluid flow, a mixture of proppant and the fracturing fluid, which called Slurry will have injected. For more details please consult

As it clear from section 2, the need has been arises to treat/manage the drill cuttings toward

will briefly be discussed in the next section.

**5. Hydraulic fracturing** 

(Economides, 2010).

Daneshy, 2010.

zero discharge by utilization of HF.

**Figure 5.** Heavy metals fluctuation during and after drilling operation.


## **4. Potential effects on natural resources, and minimization strategies**

Drilling wastes can harm ecosystems, plants, and animals and cause health problems in humans. Many materials that are released into reserve mud pits also release drilling wastes into the environment, which calls for public awareness as well. When released heavy metals are discharged into unlined pits the toxic substances in the pits can leach directly into the soil and may contaminate groundwater. Additionally, there is no evidence of zero discharge in lined pits. In contrast to most organic pollutants, trace metals are not usually eliminated from aquatic ecosystems by natural processes due to their non-biodegradability. Both toxic and nontoxic heavy metals tend to accumulate in bottom sediments, from which they may be released by various processes of remobilization. Frequently, these metals can move up the biological chain, eventually reaching humans, where they can cause chronic and acute ailments (Ankley et al., 1993). As presented in the previous sections, routine drilling wastes such as drilling muds and cuttings contain a variety of toxic chemicals; they are known to be hazardous to wildlife, livestock, and human health. If pollutants from oil well drilling build up in the food chain, people who consume those natural resources from the contaminated drilled well area could be at risk of health problems such as genetic defects and cancer. For environmental protection, different strategies are considered; (1) restoring the well site to its natural state after drilling, (2) let the liquid to be evaporated, (3) Bioremediation, (4) multipit system, and (5) DCRI, which is the focus of this chapter. Because DCRI deal with the initiation and propagation of a fracture in a rock matrix by means of hydraulic pressure, HF will briefly be discussed in the next section.

## **5. Hydraulic fracturing**

396 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 5.** Heavy metals fluctuation during and after drilling operation.

**Table 3.** Heavy metals statistics in the case study

Statistics Heavy Metals (ppm)

Cd Cr Ni Al

Max 0.0060 0.0800 0.024 0.341 Mean 0.0022 0.0214 0.005991 0.09396 Median 1.0000e-003 1.0000e-003 0.0003 0.05 Mode 0.0040 0 0 0 Std 0.0021 0.0306 0.008349 0.1255 Range 0.0060 0.0800 0.024 0.341

**4. Potential effects on natural resources, and minimization strategies** 

Drilling wastes can harm ecosystems, plants, and animals and cause health problems in humans. Many materials that are released into reserve mud pits also release drilling wastes into the environment, which calls for public awareness as well. When released heavy metals are discharged into unlined pits the toxic substances in the pits can leach directly into the soil and may contaminate groundwater. Additionally, there is no evidence of zero discharge in lined pits. In contrast to most organic pollutants, trace metals are not usually eliminated from aquatic ecosystems by natural processes due to their non-biodegradability. Both toxic and nontoxic heavy metals tend to accumulate in bottom sediments, from which they may be released by various processes of remobilization. Frequently, these metals can move up the biological chain, eventually reaching humans, where they can cause chronic and acute Initially, fracturing was a low technology operation consisting of the injection, at low temperature, of a few thousand gallons of napalm into low-pressure reservoirs. Substantially, HF has evolved into a highly engineering and complex procedure. As a technology has improved, so has the number of wells, formations, and fields that can be successfully fractured, increased. The development of high pressure pump units, high strength proppant, and sophisticated fracturing fluids, has meant that deep, low permeability, high temperature, reservoirs can now be fractured (Veatch et al., 1989). This technology is a well-known process, which was originally applied to overcome near wellbore skin damage (Smith, 2006). Since then, it has been expanded to such applications as (1) reservoir stimulation for increase hydrocarbon deliverability, (2) increase drainage area, and decrease pressure drop around the well to minimize problems with asphaltene and/or paraffin deposition, (3) geothermal reservoir recovery, (4) waste disposal, (5) control of sand production, (6) to measure the in-situ stress field and (7) heat extraction (geothermal energy) from deep formations. Obviously, there could be other uses of HF, but the majority of the treatments are performed for the mentioned reasons. HF has made significant contributions to the petroleum industry since its inception (Veatch et al., 1989). By 2009 HF activity has increased 5-fold compared to the investment of a decade earlier and has become the second largest outlay of petroleum companies after drilling (Economides, 2010).

HF is the pumping of fluids at high rates and pressures in order to break the rock. A typical chart of fracturing which shows the common treatment stages is shown in Figure 6. The operation begins with injection of a mixed acid and water named Pre-pad. A mixture of water and a polymer, named Pad, will follows. The fracture will initiated in this stage but contains no proppant. To make the fracture open for fluid flow, a mixture of proppant and the fracturing fluid, which called Slurry will have injected. For more details please consult Daneshy, 2010.

As it clear from section 2, the need has been arises to treat/manage the drill cuttings toward zero discharge by utilization of HF.

398 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Overview of Environmental Management

by Drill Cutting Re-Injection Through Hydraulic Fracturing in Upstream Oil and Gas Industry 399

As summarized in Figure 7, environmental management of drilling wastes may be categorized in three options; waste minimization, recycle/reuse, and disposal. The first and second options are not addressed here. Table 5 shows a comparison among disposal methods which may classified into fixation, thermal treatment, DCRI, and bioremediation/composting. Among the four methods for disposal option that may be considered when deciding on waste

management options, the focus of this chapter is on DCRI.

Comparison Factors Fixation Thermal

aBansal and Sugiarto (1999); bReddoch (2008); c

Bruno et al. (2000).

=6.29 bbl (US bbl); 1 metric ton=7.1 bbl (for an oil with 0.88 specific gravity)

**Table 5.** Qualitative and quantitative comparison in disposal approaches

1m3

**Figure 7.** Different approaches in environmental management for drilling wastes

Comparative assessments on alternative disposal options are outlined in Table 5. As clearly shown, environmental impacts and safety risks, which are the most important factors among others, have low level degree and therefore its vulnerability as the best option increases to be adopted as the environmentally friendly drilling waste disposal process. in addition to zero discharge, other advantages of DCRI include; no transportation concerns, no future cleanup responsibilities by the operator, full control over the waste management process, world wide applicability, and its favorable economics. According to Reddoch, (2008): "DCRI is simply the lowest cost, easiest course of action for most drilling operations."

Environmental Impact Low High Low Medium

Safety Risks High High Low Medium Technical Low Medium High Medium

McMillen and Gray (1994)

The question is raised that what is the relationship between environmental management and DCRI? It's clear that DCRI process will maintain waste containment in a target interval with zero discharge and consequently low HSE risks. Other goals such as cost management and asset management are not covered in this chapter. For more details please consult

Cost \$9-10/bbl a \$90/metric ton a \$5/bbl b \$500/cubic meter c

Treatment DCRI Bioremediation/

Composting

**Figure 6.** A typical fracturing chart illustrates the steps to HF a well (Daneshy, 2010).

There are both similarities and distinct differences between HF and DCRI which shown in Table 4. More details could be found from Arthur (2010).


**Table 4.** Comparison between DCRI and HF.

## **6. Waste management by DCRI**

## **6.1. An overview**

Even though the generation of drill cuttings is a certain result of drilling, those wastes can be treated and/or managed in a number of ways. A summary chart on different drilling wastes management options are presented in Figure 7. As mentioned earlier, the focus of this chapter will be on DCRI.

Valuable literature available regarding the disposal options including: lessons learned concerning biotreating exploration and production wastes (McMillen et al. 2004), successful cases of fixation (Zimmerman and Robert, 1991), converting cuttings into a valuable sources by using vermicomposting (Paulse, 2004), and thermal treatment (Bansal and Sugiarto, 1999).

As summarized in Figure 7, environmental management of drilling wastes may be categorized in three options; waste minimization, recycle/reuse, and disposal. The first and second options are not addressed here. Table 5 shows a comparison among disposal methods which may classified into fixation, thermal treatment, DCRI, and bioremediation/composting. Among the four methods for disposal option that may be considered when deciding on waste management options, the focus of this chapter is on DCRI.

**Figure 7.** Different approaches in environmental management for drilling wastes

398 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 6.** A typical fracturing chart illustrates the steps to HF a well (Daneshy, 2010).

Table 4. More details could be found from Arthur (2010).

**Table 4.** Comparison between DCRI and HF.

**6. Waste management by DCRI** 

**6.1. An overview** 

this chapter will be on DCRI.

There are both similarities and distinct differences between HF and DCRI which shown in

Target interval Non Reservoir Reservoir Pumping period Long-term Short-term Pumping pressure Fracture Fracture

Fracture containment study Essential Essential

Issue Drill Cutting Re-injection Hydraulic Fracturing

Slurry mixture Cuttings and fracturing fluids Proppant and fracturing

Even though the generation of drill cuttings is a certain result of drilling, those wastes can be treated and/or managed in a number of ways. A summary chart on different drilling wastes management options are presented in Figure 7. As mentioned earlier, the focus of

Valuable literature available regarding the disposal options including: lessons learned concerning biotreating exploration and production wastes (McMillen et al. 2004), successful cases of fixation (Zimmerman and Robert, 1991), converting cuttings into a valuable sources by using vermicomposting (Paulse, 2004), and thermal treatment (Bansal and Sugiarto, 1999).

fluids

Comparative assessments on alternative disposal options are outlined in Table 5. As clearly shown, environmental impacts and safety risks, which are the most important factors among others, have low level degree and therefore its vulnerability as the best option increases to be adopted as the environmentally friendly drilling waste disposal process. in addition to zero discharge, other advantages of DCRI include; no transportation concerns, no future cleanup responsibilities by the operator, full control over the waste management process, world wide applicability, and its favorable economics. According to Reddoch, (2008): "DCRI is simply the lowest cost, easiest course of action for most drilling operations."


1m3 =6.29 bbl (US bbl); 1 metric ton=7.1 bbl (for an oil with 0.88 specific gravity) aBansal and Sugiarto (1999); bReddoch (2008); c McMillen and Gray (1994)

**Table 5.** Qualitative and quantitative comparison in disposal approaches

The question is raised that what is the relationship between environmental management and DCRI? It's clear that DCRI process will maintain waste containment in a target interval with zero discharge and consequently low HSE risks. Other goals such as cost management and asset management are not covered in this chapter. For more details please consult Bruno et al. (2000).

We can visualize DCRI to loss of circulation of drilling fluids in conventional under balanced drilling operation. Also, it's quite similar to HF operation, because we need to propagate the fractures in the selected horizon and this goal will be achieved by utilization of fracture propagation models which conventionally employed in HF treatment.

Overview of Environmental Management

by Drill Cutting Re-Injection Through Hydraulic Fracturing in Upstream Oil and Gas Industry 401

the open annulus of a previous well into a fracture created at the casing shoe set in a suitable

In addition to the drill cuttings and drilling fluids, various waste streams need to be handled and disposed of properly include: produced water, contaminated rainwater, scales, and produced sand. DCRI provides a secure operation by injecting cuttings and associated fluids up to several thousand meters below the surface into hydraulically created fractures. In order to guarantee containment within the selected underground formation and perform sufficient design of surface facilities, simulations are performed for the anticipated

In this regard, a feasibility study was performed to show the possibility of DCRI in Ahwaz oilfield located in southern Iranian oilfields. The possibility of annular injection and dedicated injection wells was investigated in this study. The objectives were to (1) estimate the volume of drilling waste produced from drilling of each wellbore of the field, (2) select the most appropriate disposal formation in the field, and (3) determine whether the drill wastes can be safely injected into a dedicated well or annular space. Numerous scenarios were considered in the feasibility studies to ensure safe containment of any injected drilling

The volumes of drill cuttings and muds, type of utilized mud, and geological information

waste. More details could be found by Shadizadeh and Zoveidavianpoor, (2011).

are shown in Table 6. The required data to conduct this study is depicted in Table 7.

formation.

**Figure 9.** A sketch of basic setup and flow of DCRI

**6.2. A case study** 

downhole waste domain.

Cuttings may be re-injected into the annulus of a well being drilled or into a dedicated well. In annulus injection, cutting would be stored until the desired formation is reached. Whereas in dedicated disposal well, one or more dedicated disposal wells would be drilled and drill waste systems put in place in those wells. A schematic of both types of DCRI is shown in Figure 8.

**Figure 8.** Two major types of DCRI; annulus injection (left) and dedicated well (right).

Drill cuttings may be injected into subsurface geological formations at the drilling site, offshore or onshore and would provide a complete disposal solution. Its worth to note that onshore operations have a wider range of options than offshore operations.

Readers may be asks why this process is called drill cutting re-injection? That's because drill cuttings will be returned back to their origin, deep beneath the Earth's surface.

A sketch of basic setup and flow of DCRI process is shown in Figure 9. Drill cuttings and other oilfield wastes are slurried by being milled and sheared in the presence of water. The resulting slurry is then disposed of by pumping it into a dedicated disposal well, or through the open annulus of a previous well into a fracture created at the casing shoe set in a suitable formation.

**Figure 9.** A sketch of basic setup and flow of DCRI

## **6.2. A case study**

400 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

of fracture propagation models which conventionally employed in HF treatment.

**Figure 8.** Two major types of DCRI; annulus injection (left) and dedicated well (right).

onshore operations have a wider range of options than offshore operations.

cuttings will be returned back to their origin, deep beneath the Earth's surface.

Drill cuttings may be injected into subsurface geological formations at the drilling site, offshore or onshore and would provide a complete disposal solution. Its worth to note that

Readers may be asks why this process is called drill cutting re-injection? That's because drill

A sketch of basic setup and flow of DCRI process is shown in Figure 9. Drill cuttings and other oilfield wastes are slurried by being milled and sheared in the presence of water. The resulting slurry is then disposed of by pumping it into a dedicated disposal well, or through

shown in Figure 8.

We can visualize DCRI to loss of circulation of drilling fluids in conventional under balanced drilling operation. Also, it's quite similar to HF operation, because we need to propagate the fractures in the selected horizon and this goal will be achieved by utilization

Cuttings may be re-injected into the annulus of a well being drilled or into a dedicated well. In annulus injection, cutting would be stored until the desired formation is reached. Whereas in dedicated disposal well, one or more dedicated disposal wells would be drilled and drill waste systems put in place in those wells. A schematic of both types of DCRI is

> In addition to the drill cuttings and drilling fluids, various waste streams need to be handled and disposed of properly include: produced water, contaminated rainwater, scales, and produced sand. DCRI provides a secure operation by injecting cuttings and associated fluids up to several thousand meters below the surface into hydraulically created fractures. In order to guarantee containment within the selected underground formation and perform sufficient design of surface facilities, simulations are performed for the anticipated downhole waste domain.

> In this regard, a feasibility study was performed to show the possibility of DCRI in Ahwaz oilfield located in southern Iranian oilfields. The possibility of annular injection and dedicated injection wells was investigated in this study. The objectives were to (1) estimate the volume of drilling waste produced from drilling of each wellbore of the field, (2) select the most appropriate disposal formation in the field, and (3) determine whether the drill wastes can be safely injected into a dedicated well or annular space. Numerous scenarios were considered in the feasibility studies to ensure safe containment of any injected drilling waste. More details could be found by Shadizadeh and Zoveidavianpoor, (2011).

> The volumes of drill cuttings and muds, type of utilized mud, and geological information are shown in Table 6. The required data to conduct this study is depicted in Table 7.

402 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management


Overview of Environmental Management

Cross section= Elliptical Width height Width < KGD Length > KGD Suitable when: length>height

Cross section: Rectangular Width height Suitable when: length<height

Cross section= Elliptical Suitable when: length=height

by Drill Cutting Re-Injection Through Hydraulic Fracturing in Upstream Oil and Gas Industry 403

In particular, the expense of DCRI requires that the operator knows how the formation will respond to treatment, and whether the treatment design such as selection of pump rates, fluid rheology, accurate rock mechanic properties, pumping schedule and fracture

Most 2D models are based on three common models entitles Perkins-Kern-Nordgren (PKN), Khristianovic-Geertsma de Klerk (KGD), and Radial models. The first and second models which assume constant height, are appropriate when the stress contrasts are high between the pay layer and neighboring formations and these contrasts follow lithologic boundaries. For Radial model, its better works in a setting where the fracture grows in a formation of homogeneous stress and mechanical properties so that fracture height is small compared to

The main advantage of a more advanced method such as pseudo 3D (P3D) over 2D models is that it does not require estimating fracture height, but it does require input of the magnitude of minimum horizontal stress in the zone to be fractured and in the zones

**Name Plan View Cross Section View Pressure-Time Trend Description** 

Based on the petrophysical logs, from lithological point of view, the relevant formations are fairly marl, sandstone and limestone with an average rock density 2.33gr/cm3. The vertical

formation layer thickness. A brief comparison among 2D models is listed in Table 8.

propagation model, will create the intended fracture.

immediately above and below.

**Model** 

PKN

KGD

Radial

**Table 8.** Comparison of 2D fracture models

*6.2.1. Simulation study* 

**Table 6.** Generalized geologic data along with drill cuttings and mud volumes.


**Table 7.** Explanation of required data for DCRI simulation.

In particular, the expense of DCRI requires that the operator knows how the formation will respond to treatment, and whether the treatment design such as selection of pump rates, fluid rheology, accurate rock mechanic properties, pumping schedule and fracture propagation model, will create the intended fracture.

Most 2D models are based on three common models entitles Perkins-Kern-Nordgren (PKN), Khristianovic-Geertsma de Klerk (KGD), and Radial models. The first and second models which assume constant height, are appropriate when the stress contrasts are high between the pay layer and neighboring formations and these contrasts follow lithologic boundaries. For Radial model, its better works in a setting where the fracture grows in a formation of homogeneous stress and mechanical properties so that fracture height is small compared to formation layer thickness. A brief comparison among 2D models is listed in Table 8.

The main advantage of a more advanced method such as pseudo 3D (P3D) over 2D models is that it does not require estimating fracture height, but it does require input of the magnitude of minimum horizontal stress in the zone to be fractured and in the zones immediately above and below.


**Table 8.** Comparison of 2D fracture models

## *6.2.1. Simulation study*

402 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Lithology Hole Size

Marl with Sandston bonds

Marl with Limestone basement

Limestone with Sandstone

last from less than an hour to several days or even longer.

Poisson's ratio Is a measure of the compressibility of material perpendicular to applied stress that has significant effect on fracture geometry

size and geometry of the hydraulically induced fracture.

Slurry rheology The study of the deformation and flow of matter, that crucial for

material's resistance to fracture propagation

maintaining zonal isolation.

**Table 7.** Explanation of required data for DCRI simulation.

Most important in fracture simulation that controls fracture-height growth, fracture azimuth and vertical and horizontal orientation, fracture

Very critical parameter to planning and carrying out successful DCRI, because the stress state of the poroelastic medium is directly influenced

Is the ration of longitudinal stress to longitudinal strain, which has significant effect on fracture geometry, especially on fracture width

The target which the slurry has to be injected via annulus or dedicated

surrounding rock formation. It's an important parameter controlling the

Is an important parameter in fracture modeling and is a measure of a

Means the leaking of fluid from the surface of a fracture into the

width, treatment pressures, fracture conductivity, and wastes

Injection of the slurry is often conducted intermittently in batches into the selected disposal formation, followed by a period of shut-in. depending upon the batch volume and the injection rate, each batch injection may

(inch)

Cutting volume (bbl)

Mud volume (bbl)

26 132 4400 WBM

17 1/2 2040 2800 WBM

8 1/2 73 800+400 WBM+

Anhydrate. 9 5/8 219 3500 WBM

Mud type

OBM

Setting depth (inchm)

**Table 6.** Generalized geologic data along with drill cuttings and mud volumes.

containment in disposal horizon.

by pore pressure or reservoir pressure.

**Required data Description**

Depth (m)

Formation

1550 Aghajari

1660 Mishan

3590 Asmari

Injection batch volumes and injection rates

Minimum in situ

Pore pressure

Casing setting depths and injection point

Fluid leak-off

data

Fracture toughness well.

Young's modulus

stress

Name Column

2332 Gachsaran Marl, Salt,

Based on the petrophysical logs, from lithological point of view, the relevant formations are fairly marl, sandstone and limestone with an average rock density 2.33gr/cm3. The vertical

stress was calculated by integrating the available bulk density with respect to depth. Vertical stress gradient is calculated as Eq. (1):

$$
\sigma\_v = 0.433 \,\rho\_{\rm OB} = 0.433 \times 2.33 = 1 \,\text{psi} \,/\text{ ft} \tag{1}
$$

The values of minimum horizontal stress of Aghajari, Mishan, and Gachsaran formations were 1693, 3847, and 4489, respectively which calculated from Eq. (2) is:

$$
\sigma = \frac{\nu(\sigma\_v D - 2p) + p}{1 - F\nu} \tag{2}
$$

Overview of Environmental Management

by Drill Cutting Re-Injection Through Hydraulic Fracturing in Upstream Oil and Gas Industry 405

After determining all required data, a fracture geometry model was selected for use in the simulation. As described previously, the dedicated injection mechanism is more suitable for the Mishan formation because it is deep enough and consists of limestone lithology in a base that is appropriate for reinjection. In each case, the geometry reported indicates the maximum fracture achieved when slurry is pumped continuously. The simulation study is represented for both dedicated wells that consist of two cases and annulus injection well

Two cases will be presented in this section, which differs in the magnitude of two

Case 1: For a case like Ahwaz oilfield in which the vertical distribution of the minimum in situ stress is uniform, a circular fracture is expected. The formations had Young's modulus and leak-off coefficients as shown in Table 9. For this simulation, the fracturing would initiate from the Mishan formation and broke through the Aghajari formation but was still 4,700 ft. below the surface when 50,000 bbl of slurry had been injected continuously. Table 11 summarizes the results of this simulation. Figures 10 and 11 show predicted the fracture

Case 2: The formations were assumed to have Young's modulus that was twice those listed in Table 9. Also, the leak-off coefficient for formations used was specified as one half of the

*6.2.2: Simulation results* 

**Dedicated Well Injection Mechanism** 

parameters; Young's modulus and leak-off coefficient.

**Figure 10.** Fracture geometry history- Radial model (case 1).

shape plot after injection of 50,000 bbl continuously at 5 bbl/min.

mechanisms.

Elasticity of the formations is determined with the sonic log. Table 9 lists the values of the static elastic Young's modulus, Poisson's ration, leak-off coefficient for the different formation zones shown in Table 5. These values are based on the dynamic elastic Young's module obtained from sonic and density logs. Static elastic Young's module values are often two times smaller than dynamic values derived from sonic logs. The elastic Young's module values that are listed in Table 9 are arbitrarily one-half of their dynamic equivalents. The larger than usual values were used in the analysis for these shallower formations.


**Table 9.** Formation properties used in fracture simulations.

Slurry rheology design did not performed in this paper and is beyond the scope of this article; however by considering the cuttings brought out of the wellbore and the drilling muds used in Ahwaz oil field, a reasonable result was earned of rheology characteristics of the injection slurry. It was assumed that the cuttings slurry with final rheological condition would behave in a manner similar to the drilling muds used in Ahwaz oil field. Slurry and solid properties are selected from past DCRI operation in literature (Abou-Sayed et al., 2002), which is also near the nature of selected drilling fluids and cuttings lithology of the Ahwaz oilfield and are presented in Table 10.


**Table 10.** Physical properties of injected cuttings slurry.

For the scenario of casing injection into a dedicated injection well, the intermediate casing can be set on top of Gachsaran formation. The casing is assumed to perforate at a depth about 50 m under the Aghajari formation and the center of the Mishan formation. The initial fracture is assumed to be at the center of the perforated interval.

## *6.2.2: Simulation results*

404 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

 

were 1693, 3847, and 4489, respectively which calculated from Eq. (2) is:

 0.433 0.433 2.33 1 / *<sup>v</sup> OB* 

stress gradient is calculated as Eq. (1):

Zone Name

Zone Height (ft)

Poission's Ratio\*

**Table 9.** Formation properties used in fracture simulations.

Ahwaz oilfield and are presented in Table 10.

**Table 10.** Physical properties of injected cuttings slurry.

stress was calculated by integrating the available bulk density with respect to depth. Vertical

The values of minimum horizontal stress of Aghajari, Mishan, and Gachsaran formations

( 2) 1

Elasticity of the formations is determined with the sonic log. Table 9 lists the values of the static elastic Young's modulus, Poisson's ration, leak-off coefficient for the different formation zones shown in Table 5. These values are based on the dynamic elastic Young's module obtained from sonic and density logs. Static elastic Young's module values are often two times smaller than dynamic values derived from sonic logs. The elastic Young's module values that are listed in Table 9 are arbitrarily one-half of their dynamic equivalents. The

> Fracture Gradient\* (psi/ft)

Aghajari 5250 0.29 1050 0.650 1693 2 0.00081 1000 Mishan 330 0.31 2567 0.714 3847 2 0.00087 1000 Gachsaran 330 0.36 2878 0.780 4489 2 0.00089 1000

Slurry rheology design did not performed in this paper and is beyond the scope of this article; however by considering the cuttings brought out of the wellbore and the drilling muds used in Ahwaz oil field, a reasonable result was earned of rheology characteristics of the injection slurry. It was assumed that the cuttings slurry with final rheological condition would behave in a manner similar to the drilling muds used in Ahwaz oil field. Slurry and solid properties are selected from past DCRI operation in literature (Abou-Sayed et al., 2002), which is also near the nature of selected drilling fluids and cuttings lithology of the

Density 1.26 SG

Apparent Viscosity 161 cp 170 1/S

For the scenario of casing injection into a dedicated injection well, the intermediate casing can be set on top of Gachsaran formation. The casing is assumed to perforate at a depth about 50 m under the Aghajari formation and the center of the Mishan formation. The initial

Non-Newtonian power law indices N=0.26; k=0.15

fracture is assumed to be at the center of the perforated interval.

Particle Loading 80/100 mesh proppant at a consternation of 2 PPG

In-situ Stress (psi)

 

larger than usual values were used in the analysis for these shallower formations.

Pore Pressure\* (psi)

*<sup>v</sup>D pp F*

*psi ft* (1)

(2)

Young's Modulus (MM psi)

Leak-off Coefficient (ft.min -0.5)

Toughness (psi.min-0.5)

After determining all required data, a fracture geometry model was selected for use in the simulation. As described previously, the dedicated injection mechanism is more suitable for the Mishan formation because it is deep enough and consists of limestone lithology in a base that is appropriate for reinjection. In each case, the geometry reported indicates the maximum fracture achieved when slurry is pumped continuously. The simulation study is represented for both dedicated wells that consist of two cases and annulus injection well mechanisms.

### **Dedicated Well Injection Mechanism**

Two cases will be presented in this section, which differs in the magnitude of two parameters; Young's modulus and leak-off coefficient.

Case 1: For a case like Ahwaz oilfield in which the vertical distribution of the minimum in situ stress is uniform, a circular fracture is expected. The formations had Young's modulus and leak-off coefficients as shown in Table 9. For this simulation, the fracturing would initiate from the Mishan formation and broke through the Aghajari formation but was still 4,700 ft. below the surface when 50,000 bbl of slurry had been injected continuously. Table 11 summarizes the results of this simulation. Figures 10 and 11 show predicted the fracture shape plot after injection of 50,000 bbl continuously at 5 bbl/min.

**Figure 10.** Fracture geometry history- Radial model (case 1).

Case 2: The formations were assumed to have Young's modulus that was twice those listed in Table 9. Also, the leak-off coefficient for formations used was specified as one half of the

value listed in Table 9. This extremely large modulus and small leak-off resulted in a much larger fracture. Consequently, this is a very conservative analysis. Even for this very conservative case, the fracture that broke through the Aghajari formation was still 4,550 ft. below the surface when almost 50,000 bbl of slurry had been injected continuously at 5 bbl/min. Table 11 summarizes the results of the fractures created.

Overview of Environmental Management

by Drill Cutting Re-Injection Through Hydraulic Fracturing in Upstream Oil and Gas Industry 407

Parameters Radial Model

Slurry volume (bbls) 15000 Fracture half-length (ft) 230 Fracture width at well (in) 643 Net pressure (psi) 2.39 Max surface pressure (psi) 968

the 13 3/8-in. string should cement back to 1,500 ft. below the previous casing shoe. This provides a window across the Upper Miocene marl and sandstone of Aghajari formation. For this simulation, the fracturing initiated from the Aghajari formation and grew toward the surface but was still 500 ft. below the surface when 15,000 bbl of slurry had been injected continuously. Table 12 presents the different parameters of the fracture created. Figure 12 shows the predicted fracture shape plot after injection of 15,000 bbl continuously at 5

bbl/min.

**Table 12.** Simulation results of annular well injection.

**Figure 12.** Fracture geometry history- annular injection well (Radial model)

Assessment of environmental impacts of drilling operations and searching for the methodologies to protect nature and resources against negative impacts has become an interesting topic during the last thirty years in upstream petroleum industry. The necessity of environmental management in drilling operation, lessons learned, and a brief list of mitigation options from wastes generated by drilling operations in a southern Iranian oilfield were documented previously (Shadizadeh and Zoveidavianpoor, 2008, 2010). Most

**7. Discussion and conclusions** 

**Figure 11.** Fracture profile and cuttings concentration- Radial model (Case 2).


**Table 11.** Simulation's results of dedicated well injection.

#### **Annulus Well Injection Mechanism**

Annulus injection is only possible if the annulus of an intermediate casing string in an existing well is open to a suitable subsurface formation and this well satisfies a range of screening criteria. The allowable injection pressures for annulus injectors are often lower than the allowable pressures for dedicated wells because of casing burst and collapse limitations for annulus injectors. By considering the lithology and casing design of Ahwaz oilfield, it is concluded that the planned slurry injection would occur in an 18 5/8-in./13 3/8 in. annulus. Other annuli are not possible for injection because they are open to unsuitable subsurface formations. To prevent the upward migration of injected wastes to the surface, the 18 5/8-in. casing string should set at about 1,000 ft. and cement back to the surface, and the 13 3/8-in. string should cement back to 1,500 ft. below the previous casing shoe. This provides a window across the Upper Miocene marl and sandstone of Aghajari formation. For this simulation, the fracturing initiated from the Aghajari formation and grew toward the surface but was still 500 ft. below the surface when 15,000 bbl of slurry had been injected continuously. Table 12 presents the different parameters of the fracture created. Figure 12 shows the predicted fracture shape plot after injection of 15,000 bbl continuously at 5 bbl/min.


**Table 12.** Simulation results of annular well injection.

406 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

bbl/min. Table 11 summarizes the results of the fractures created.

**Figure 11.** Fracture profile and cuttings concentration- Radial model (Case 2).

**Table 11.** Simulation's results of dedicated well injection.

**Annulus Well Injection Mechanism** 

Parameters Case 1 Case 2 Slurry volume (bbls) 50000 50000 Fracture half-length (ft) 576 795 Fracture width at well (in) 0.276 0.237 Net pressure (psi) 71 89 Max surface pressure (psi) 1755 1807 Shut-in time (hrs) 13 26

Annulus injection is only possible if the annulus of an intermediate casing string in an existing well is open to a suitable subsurface formation and this well satisfies a range of screening criteria. The allowable injection pressures for annulus injectors are often lower than the allowable pressures for dedicated wells because of casing burst and collapse limitations for annulus injectors. By considering the lithology and casing design of Ahwaz oilfield, it is concluded that the planned slurry injection would occur in an 18 5/8-in./13 3/8 in. annulus. Other annuli are not possible for injection because they are open to unsuitable subsurface formations. To prevent the upward migration of injected wastes to the surface, the 18 5/8-in. casing string should set at about 1,000 ft. and cement back to the surface, and

value listed in Table 9. This extremely large modulus and small leak-off resulted in a much larger fracture. Consequently, this is a very conservative analysis. Even for this very conservative case, the fracture that broke through the Aghajari formation was still 4,550 ft. below the surface when almost 50,000 bbl of slurry had been injected continuously at 5

**Figure 12.** Fracture geometry history- annular injection well (Radial model)

## **7. Discussion and conclusions**

Assessment of environmental impacts of drilling operations and searching for the methodologies to protect nature and resources against negative impacts has become an interesting topic during the last thirty years in upstream petroleum industry. The necessity of environmental management in drilling operation, lessons learned, and a brief list of mitigation options from wastes generated by drilling operations in a southern Iranian oilfield were documented previously (Shadizadeh and Zoveidavianpoor, 2008, 2010). Most

Overview of Environmental Management

by Drill Cutting Re-Injection Through Hydraulic Fracturing in Upstream Oil and Gas Industry 409

**Author details** 

Seyed Reza Shadizadeh

**Acknowledgement** 

**8. References** 

22.

6(3), 14-17.

Mansoor Zoveidavianpoor and Ariffin Samsuri

Malaysia due to the valuable supports during this study.

*Universiti Teknologi, Faculty of Petroleum & Renewable Energy Engineering, Malaysia* 

*Petroleum University of Technology, Abadan Faculty of Petroleum Engineering, Iran* 

The authors of this chapter would like to express thier gratitude to University Teknologi

Abou-Sayed, A. S., Quanxin G., McLennan, J. D. and Hagan, J. T. (2000). Case studies of waste disposal through hydraulic fracturing. Presented at the Workshop on Three Dimensional and Advanced Hydraulic Fracture Modeling, held in conjunction with the

Abou-Sayed, A. S., and Guo, Q. (2001). Design considerations in drill cuttings re-injection through downhole fracturing. Paper IADC/SPE 72308 presented at the IADC/SPE

Ankley, G. T., Mattson, V. R., Leonard, E. N., West, C. W., and Bennett, J. L. (1993). Predicting the acute toxicity of copper in freshwater sediments: Evaluating the role of

Arthur, J.D., "A Comparative Analysis of Hydraulic Fracturing and Underground Injection", Presented at the GWPC Water/Energy Symposium, Pittsburgh,

Bansal, K. M. and Sugiarto, (1999). Exploration and Production Operations-Waste Management A Comparative Overview: U.S. and Indonesia Cases. Paper SPE 54345 presented at the SPE Asia Pacific Oil and Gas Conference, Jakarta, Indonesia, April 20-

Bleier, R., Leuterman, A. J. J., and Stark, C. (1993). Drilling fluids making peace with the

Bruno, M., Reed, A. and Olmstead, S. (2000). Environmental Management, Cost Management, and Asset Management for High-Volume Oil Field Waste Injection Projects. Paper SPE 51119 presented at the IADC/SPE Drilling Conference held in New

Daneshy, A. (2010). Hydraulic Fracturing to Improve Production. The Way Ahead: Tech 101.

Economides, M. J. (2010). Design Flaws in Hydraulic Fracturing. Paper SPE 127870 presented at the SPE International Symposium and Exhibition on Formation Damage

Fourth North American Rock Mechanics Symposium, July 29, 2000, Seattle.

Middle East Drilling Technology, Bahrain. October 22–24.

acid-volatile sulfide. Environ. Toxic Chem. 12:315–320.

Pennsylvania. September 25-29, 2010.

environment. J. Petrol. Tech. 45:6–10.

Orleans, Louisiana, 23–25 February 2000.

Control. 10-12 February. Lafayette, Louisiana, USA.

of the drilling wastes sources in the oilfields are OMBs and oily cuttings associated with them. Unfortunately, lack of demanding regulations regarding drilling waste discharge leaves room for drilling companies to leave the waste in the nature without treating them (Shadizadeh and Zoveidavianpoor, 2008, 2010). This chapter tried to study the possibilities of waste prevention and zero discharge by utilization of serviceable methods in drilling well sites. So, the feseability study of DCRI at Ahwaz oilfield was initiated and conducted to fulfill the needs of growing upstream petroleum industry in Iran. This article focuses on the design aspect of the technology. Design guidelines are given to include data required for project planning, injection scheme (annulus versus dedicated well) selection, injection well and disposal formation identification, subsurface fracturing simulation, and waste containment. Operational procedures such as slurry rheology were the area of investigation in this study; however, it was determined as input data for simulation that has conformity with the nature of selected drilling fluids and cuttings lithology of the Ahwaz oilfield. Well design requirements and estimation of disposal capacity in each of the injection schemes was performed. This study shows that the DCRI study at Ahwaz oilfield is practical by considering some potential risks involved in any DCRI job. It was determined that by using HF technology, drilling wastes could be reinjected to the Mishan formation or even a shallow formation such as the Aghajari formation without propagation of the fractures to the surface or near wellbores. The thickness of the Aghajari formation provides an appropriate barrier to upward growth of DCRI at the Mishan formation through a dedicated injection well. A dedicated injection well is more typical of longer-term, permanent injection operations and is more common onshore (Keck, 2002). It is simulated that a large amount of drilling waste can be safely injected to Mishan formation. The maximum surface pressure required to inject the slurry is in a range of 1,500 to 2,000 psi, which is completely reasonable with the current surface facilities. The propagation of the fracture to the surface showed to be efficient and safe in the two cases performed in the dedicated well injection scheme. The simulation results confirm that the drilling wastes produced from each wellbore could be injected through annulus of the same wellbore while drilling. The selected annulus for annular reinjection in Ahwaz oilfield is not very favorable because the injection point is close to the surface. As described before, other annuli are not suitable due to abnormal pressure or hydrocarbon bearing. The annular reinjection at Ahwaz oilfield has many serious risks that need a careful job planning. However, the amount of drilling wastes from a typical wellbore is not high and the simulations confirm that 15,000 bbl wastes from a typical wellbore can be injected without serious danger. Advantages and disadvantages of annular and dedicated well injectors are presented in Abou-Sayed and Guo (2001).

It should be noted that the simulations represent upper-bound predictions of the fracture geometry because low leak-off and high Young's modulus is assumed in different formations. In reality, even a very limited change in the amount of fluid leak-off, coupled with intermittent batch injection of slurry, would result in a significantly reduced fracture area. The analyses confirm the integrity and suitability of the injection operations and ensure safe application of this technology at Ahwaz oilfield.

## **Author details**

408 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

injectors are presented in Abou-Sayed and Guo (2001).

ensure safe application of this technology at Ahwaz oilfield.

It should be noted that the simulations represent upper-bound predictions of the fracture geometry because low leak-off and high Young's modulus is assumed in different formations. In reality, even a very limited change in the amount of fluid leak-off, coupled with intermittent batch injection of slurry, would result in a significantly reduced fracture area. The analyses confirm the integrity and suitability of the injection operations and

of the drilling wastes sources in the oilfields are OMBs and oily cuttings associated with them. Unfortunately, lack of demanding regulations regarding drilling waste discharge leaves room for drilling companies to leave the waste in the nature without treating them (Shadizadeh and Zoveidavianpoor, 2008, 2010). This chapter tried to study the possibilities of waste prevention and zero discharge by utilization of serviceable methods in drilling well sites. So, the feseability study of DCRI at Ahwaz oilfield was initiated and conducted to fulfill the needs of growing upstream petroleum industry in Iran. This article focuses on the design aspect of the technology. Design guidelines are given to include data required for project planning, injection scheme (annulus versus dedicated well) selection, injection well and disposal formation identification, subsurface fracturing simulation, and waste containment. Operational procedures such as slurry rheology were the area of investigation in this study; however, it was determined as input data for simulation that has conformity with the nature of selected drilling fluids and cuttings lithology of the Ahwaz oilfield. Well design requirements and estimation of disposal capacity in each of the injection schemes was performed. This study shows that the DCRI study at Ahwaz oilfield is practical by considering some potential risks involved in any DCRI job. It was determined that by using HF technology, drilling wastes could be reinjected to the Mishan formation or even a shallow formation such as the Aghajari formation without propagation of the fractures to the surface or near wellbores. The thickness of the Aghajari formation provides an appropriate barrier to upward growth of DCRI at the Mishan formation through a dedicated injection well. A dedicated injection well is more typical of longer-term, permanent injection operations and is more common onshore (Keck, 2002). It is simulated that a large amount of drilling waste can be safely injected to Mishan formation. The maximum surface pressure required to inject the slurry is in a range of 1,500 to 2,000 psi, which is completely reasonable with the current surface facilities. The propagation of the fracture to the surface showed to be efficient and safe in the two cases performed in the dedicated well injection scheme. The simulation results confirm that the drilling wastes produced from each wellbore could be injected through annulus of the same wellbore while drilling. The selected annulus for annular reinjection in Ahwaz oilfield is not very favorable because the injection point is close to the surface. As described before, other annuli are not suitable due to abnormal pressure or hydrocarbon bearing. The annular reinjection at Ahwaz oilfield has many serious risks that need a careful job planning. However, the amount of drilling wastes from a typical wellbore is not high and the simulations confirm that 15,000 bbl wastes from a typical wellbore can be injected without serious danger. Advantages and disadvantages of annular and dedicated well

Mansoor Zoveidavianpoor and Ariffin Samsuri *Universiti Teknologi, Faculty of Petroleum & Renewable Energy Engineering, Malaysia* 

Seyed Reza Shadizadeh *Petroleum University of Technology, Abadan Faculty of Petroleum Engineering, Iran* 

## **Acknowledgement**

The authors of this chapter would like to express thier gratitude to University Teknologi Malaysia due to the valuable supports during this study.

## **8. References**


	- Keck, R. G. (2002). Drill cuttings injection: A review of major operations and technical issues. Paper SPE 77553 presented at the SPE Annual Technical Conference and Exhibition, San Antonio, TX, September 29–October 2.

**Chapter 18** 

© 2012 Escalona-Alcázar et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Escalona-Alcázar et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use,

distribution, and reproduction in any medium, provided the original work is properly cited.

**A Geologic and Geomorphologic Analysis** 

Felipe de Jesús Escalona-Alcázar, Bianney Escobedo-Arellano,

**with the Erosion Processes** 

Additional information is available at the end of the chapter

and Alicia Esparza-Martínez

http://dx.doi.org/10.5772/45852

**1. Introduction** 

remain unclear.

geomorphic agents defined [3].

**of the Zacatecas and Guadalupe Quadrangles** 

**in Order to Define Hazardous Zones Associated** 

Brenda Castillo-Félix, Perla García-Sandoval, Luz Leticia Gurrola-Menchaca, Carlos Carrillo-Castillo, Ernesto-Patricio Núñez-Peña, Jorge Bluhm-Gutiérrez

In the State of Zacatecas, Mexico (**Figure 1**), the environment is not usually taken into account as a critical variable for the urban growth and development planning. The expansion of the cities of Zacatecas and Guadalupe in the study area is merely based on the land use change according to the Urban Development Code[1] and the Urban Development Plan 2004-2030 [2]. The Code states the urban growth policies which apply to the whole state; whereas the Plan is a compilation of documents related to the urban growth tendency, population distribution, and basic population services (i.e. water supply). Regardless of the scale, the criteria for the land use change policies are unclear. The Urban Development Plan [2] suggests avoiding urban growth towards areas geologically and topographically unstable and those with flood potential. In every case, the slope should be less than 30°. There are no available maps that indicate where these areas are located, so the criteria for land use will

Although the geology and geomorphology are mentioned [2], their value as critical variables is not taken into account in practice for any purpose. The geologic and geomorphologic variables defined [3] are only indicated, but not located on a map for planning development. Moreover, it is suggested [2] that there is a necessity for a detailed mapping of the


## **A Geologic and Geomorphologic Analysis of the Zacatecas and Guadalupe Quadrangles in Order to Define Hazardous Zones Associated with the Erosion Processes**

Felipe de Jesús Escalona-Alcázar, Bianney Escobedo-Arellano, Brenda Castillo-Félix, Perla García-Sandoval, Luz Leticia Gurrola-Menchaca, Carlos Carrillo-Castillo, Ernesto-Patricio Núñez-Peña, Jorge Bluhm-Gutiérrez and Alicia Esparza-Martínez

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45852

**1. Introduction** 

410 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Antonio, TX, September 29–October 2.

Alberta, Canada, 29-31 March 2004.

Canada, 29-31 March 2004.

14, 1513-1526. ISSN: 1091-6466 print/1532-2459 online

Petroleum Engineering. 17-20 March. Beijing, China.

Landfarming. Oil & Gas Journal, 89(32): 81-84.

Oil, January 2008, 69-70.

27.

3. 452 pages

online.

Keck, R. G. (2002). Drill cuttings injection: A review of major operations and technical issues. Paper SPE 77553 presented at the SPE Annual Technical Conference and Exhibition, San

McMillen, S. J. and Gray, N. R. (1994). Biotreatment of Exploration and Production Wastes. Paper SPE 27135 presented at the Second International Conference on Health, Safety & Environment in Oil & Gas Exploration and Production, Jakarta, Indonesia, January 25-

McMillen, S. J., Smart, R. and Bernier, R. (2004). Biotreating E&P Wastes: Lessons Learned from 1992-2003. Paper SPE 86794 presented at the 7th SPE International Conference on Health, Safety and Environment in Oil and Gas Exploration and Production, Calgary,

Neff, J. M. (2002). Bioaccumulation in Marine Organisms. Effects of Contaminants from Oil Well Produced Water. Amsterdam: Elsevier Science Publishers. ISBN: 978-0-08-043716-

Paulse, J. E., Getliff, J. and Sørheim, R. (2004). Vermicomposting and Best Available Technique for Oily Drilling Waste Management in Environmentally Sensitive Areas. Paper SPE 86730 presented at the 7th SPE International Conference on Health, Safety and Environment in Oil and Gas Exploration and Production, Calgary, Alberta,

Reddoch, J. (2008). Why cuttings reinjection doesn't work everywhere—or does it? World

Shadizadeh, S. R. and Zoveidavianpoor, M. (2010) 'A Drilling Reserve Mud Pit Assessment in Iran: Environmental Impacts and Awareness', Petroleum Science and Technology, 28:

Shadizadeh, S. R., and Zoveidavianpoor, M. (2008). Environmental Impact Assessment of Onshore Drilling Operation in Iran, Abadan, Iran: Petroleum University of Technology. Shadizadeh, S. R., Majidaie, S. and Zoveidavianpoor, M. (2011) 'Investigation of Drill Cuttings Reinjection: Environmental Management in Iranian Ahwaz Oilfield', Petroleum Science and Technology, 29: 11, 1093-1103. ISSN: 1091-6466 print/1532-2459

Veatch, Jr. R. W. Moschovidis, Z. A. (1989). An Overview of Recent Advances in Hydraulic Fracturing Technology. Paper SPE 14085 presented at the International Meeting on

Zimmerman, P. K. and Robert, J. D. (1991). Oil-Based Drill Cuttings Treated by

In the State of Zacatecas, Mexico (**Figure 1**), the environment is not usually taken into account as a critical variable for the urban growth and development planning. The expansion of the cities of Zacatecas and Guadalupe in the study area is merely based on the land use change according to the Urban Development Code[1] and the Urban Development Plan 2004-2030 [2]. The Code states the urban growth policies which apply to the whole state; whereas the Plan is a compilation of documents related to the urban growth tendency, population distribution, and basic population services (i.e. water supply). Regardless of the scale, the criteria for the land use change policies are unclear. The Urban Development Plan [2] suggests avoiding urban growth towards areas geologically and topographically unstable and those with flood potential. In every case, the slope should be less than 30°. There are no available maps that indicate where these areas are located, so the criteria for land use will remain unclear.

Although the geology and geomorphology are mentioned [2], their value as critical variables is not taken into account in practice for any purpose. The geologic and geomorphologic variables defined [3] are only indicated, but not located on a map for planning development. Moreover, it is suggested [2] that there is a necessity for a detailed mapping of the geomorphic agents defined [3].

© 2012 Escalona-Alcázar et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Escalona-Alcázar et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

A Geologic and Geomorphologic Analysis of the Zacatecas and Guadalupe Quadrangles in Order to Define Hazardous Zones Associated with the Erosion Processes 413

Due to the land use change and the subsequent landscape modification, the erosion processes are currently becoming active in places usually considered to be stable. The effects are: fractured streets, roads, and houses, voids under the streets and buildings, slope instability, and rock blocks falling next to the roads themselves (**Figure 2**). The primary erosion agent is rainwater. The geomorphic processes are slow but steady contributors, due to the semiarid climatic conditions [3]. The average annual precipitation is 500 mm/yr; while the average annual temperature is 22°C. Therefore, the erosion processes develop slowly, but successfully. Until now, the hazardous zones have only been reported in specific places; the effects of which are the mass removal under houses or streets with active fracturing and, in worst case situations, their slow collapse (**Figure 2**). The exact location of these areas has not been taken into account as a social, economic or environmental problem. The natural hazards recognized by the authorities are mostly related to the mining industry and their products (i.e. mine tailings, open pits); on the other hand, the erosion and its effects [2] are considered of minor importance. The landscape, geology, land use, soil cover, and their modifications are barely considered to be serious enough to promote the development of

**Figure 2.** Images showing the erosion hazards associated with different lithology: a) and b) are in the granitic facies of the Zacatecas Conglomerate; c) moderately consolidated facies of the Conglomerate; and d) deformed lava flows from Las Pilas Complex. Yellow arrows point toward the first attempt of damage repair. Purple arrows are the sites where a second repair phase has been attempted; while the green arrow shows a third repair phase. The red arrows point to the voids created due to the soil

dangerous areas once the original conditions are changed.

removal by the erosion processes.

**Figure 1.** Digital Terrain Model of the study area. The area includes six municipalities whose names are in bold-italic. The largest cities are Zacatecas and Guadalupe. The graphs show the population growth during the last 20 years [8-10], Guadalupe is among the fastest growing municipalities in Mexico (~25% in 2010). The 1971 city limit was obtained from INEGI [11-12]; the growth of these cities until 2002 is a compilation made by the first author; while for 2010 it was a combination between a Google Earth image (August 5th, 2009) and field work. Inset is the location of the State of Zacatecas and the study area.

Due to the land use change and the subsequent landscape modification, the erosion processes are currently becoming active in places usually considered to be stable. The effects are: fractured streets, roads, and houses, voids under the streets and buildings, slope instability, and rock blocks falling next to the roads themselves (**Figure 2**). The primary erosion agent is rainwater. The geomorphic processes are slow but steady contributors, due to the semiarid climatic conditions [3]. The average annual precipitation is 500 mm/yr; while the average annual temperature is 22°C. Therefore, the erosion processes develop slowly, but successfully. Until now, the hazardous zones have only been reported in specific places; the effects of which are the mass removal under houses or streets with active fracturing and, in worst case situations, their slow collapse (**Figure 2**). The exact location of these areas has not been taken into account as a social, economic or environmental problem. The natural hazards recognized by the authorities are mostly related to the mining industry and their products (i.e. mine tailings, open pits); on the other hand, the erosion and its effects [2] are considered of minor importance. The landscape, geology, land use, soil cover, and their modifications are barely considered to be serious enough to promote the development of dangerous areas once the original conditions are changed.

412 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 1.** Digital Terrain Model of the study area. The area includes six municipalities whose names are in bold-italic. The largest cities are Zacatecas and Guadalupe. The graphs show the population growth during the last 20 years [8-10], Guadalupe is among the fastest growing municipalities in Mexico

(~25% in 2010). The 1971 city limit was obtained from INEGI [11-12]; the growth of these cities until 2002 is a compilation made by the first author; while for 2010 it was a combination between a Google Earth image (August 5th, 2009) and field work. Inset is the location of the State of Zacatecas and the study

area.

**Figure 2.** Images showing the erosion hazards associated with different lithology: a) and b) are in the granitic facies of the Zacatecas Conglomerate; c) moderately consolidated facies of the Conglomerate; and d) deformed lava flows from Las Pilas Complex. Yellow arrows point toward the first attempt of damage repair. Purple arrows are the sites where a second repair phase has been attempted; while the green arrow shows a third repair phase. The red arrows point to the voids created due to the soil removal by the erosion processes.

For several years now, attempts have been made in order to identify and describe the geomorphic processes acting in the Zacatecas and Guadalupe cities and their relationship with geology and geomorphology [3-7]. In this paper we define the hazardous zones by means of a GIS analysis that integrates the geologic and geomorphologic mapping combined with the digital slope modeling, land use, and soil type.

A Geologic and Geomorphologic Analysis of the Zacatecas and Guadalupe Quadrangles in Order to Define Hazardous Zones Associated with the Erosion Processes 415

Calera Valley and to the east by the El Palmar Valley. A minor range, Sierra de Tolosa, is

**Figure 3.** Geologic map of the Zacatecas and Guadalupe quadrangles. Detailed mapping from the Mesozoic sequence is taken from [13-14], while the Tertiary Volcanic Sequence is from [3, 15]. The names are

from the municipalities of the study area.

located to the east; both ranges are separated by the El Palmar Valley.

## **1.1. Local geology overview**

The stratigraphic sequence of the study area is composed by units ranging from the Early Cretaceous Period to Present Age (**Figure 3**). The oldest unit is the Early Cretaceous Zacatecas Formation[13]. The Zacatecas Formation is made up by Greenschists Facies metamorphic rocks whose protoliths are wacke, mudstone, limestone, as well as, interstratified conglomerates with lava flows and tuffs. The whole sequence is cut by dikes, sills, and dioritic laccoliths. Its upper contact is transitional with the Early Cretaceous Las Pilas Complex. This unit is composed of mafic lavas with pillowed and massive structure, commonly foliated and deformed (**Figure 4a and b**). Lava flows contain interbedded wacke, greywacke, mudstone, and minor tuff and limestone. It is considered that laccoliths and dikes of the Las Pilas Complex are part of the same volcanic sequence. Moderate to intense hydrothermal alteration affects the entire Mesozoic record. Both, the Zacatecas Formation and the Las Pilas Complex are known as the Zacatecas Group. This group shows the results of a Late Cretaceous compressive deformation stage and at least five extensional deformation phases that have occurred from the Oligocene to Recent [16]. The association of deformed structures with faulting and steep slopes promotes rock falling.

The Las Pilas Complex is unconformably covered by the Eocene Zacatecas Conglomerate that crops out in the Zacatecas and Guadalupe cities. This conglomerate is composed of five facies named according to their clast-rich abundance and their physical characteristics (**Figure 4c and d**). The sandstone-rich layers are more easily erodible than the conglomeratic ones. This characteristic promotes differential erosion processes that, in combination with moderate to steep slopes, favors the generation of hazardous areas. The conglomerate was deposited in a WNW-ESE fault-bounded basin whose deformation is less intense than the one showed by the Zacatecas Group.

At the top of the stratigraphic column the Zacatecas Conglomerate is in transitional contact with the Oligocene-Miocene Volcanic Sequence that is composed of interbedded ash-flow and air-fall tuffs, breccias, and rhyolitic flows and domes [3, 17]. They commonly develop cliffs that, when associated with steep slopes, encourage the falling of the rocks. The cliffs next to the main faults and steep slopes are also suitable areas for the rock falling process to happen.

## **1.2. Geomorphic features and unconsolidated deposits**

The study area belongs to the Basin and Range extensional province [16] that is formed by NNW-SSE normal faults forming horsts and grabens. The main geomorphologic feature is the Sierra de Zacatecas that is oriented NNW-SSE (**Figure 5**) bounded to the west by the Calera Valley and to the east by the El Palmar Valley. A minor range, Sierra de Tolosa, is located to the east; both ranges are separated by the El Palmar Valley.

414 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

combined with the digital slope modeling, land use, and soil type.

deformed structures with faulting and steep slopes promotes rock falling.

**1.2. Geomorphic features and unconsolidated deposits** 

**1.1. Local geology overview** 

one showed by the Zacatecas Group.

happen.

For several years now, attempts have been made in order to identify and describe the geomorphic processes acting in the Zacatecas and Guadalupe cities and their relationship with geology and geomorphology [3-7]. In this paper we define the hazardous zones by means of a GIS analysis that integrates the geologic and geomorphologic mapping

The stratigraphic sequence of the study area is composed by units ranging from the Early Cretaceous Period to Present Age (**Figure 3**). The oldest unit is the Early Cretaceous Zacatecas Formation[13]. The Zacatecas Formation is made up by Greenschists Facies metamorphic rocks whose protoliths are wacke, mudstone, limestone, as well as, interstratified conglomerates with lava flows and tuffs. The whole sequence is cut by dikes, sills, and dioritic laccoliths. Its upper contact is transitional with the Early Cretaceous Las Pilas Complex. This unit is composed of mafic lavas with pillowed and massive structure, commonly foliated and deformed (**Figure 4a and b**). Lava flows contain interbedded wacke, greywacke, mudstone, and minor tuff and limestone. It is considered that laccoliths and dikes of the Las Pilas Complex are part of the same volcanic sequence. Moderate to intense hydrothermal alteration affects the entire Mesozoic record. Both, the Zacatecas Formation and the Las Pilas Complex are known as the Zacatecas Group. This group shows the results of a Late Cretaceous compressive deformation stage and at least five extensional deformation phases that have occurred from the Oligocene to Recent [16]. The association of

The Las Pilas Complex is unconformably covered by the Eocene Zacatecas Conglomerate that crops out in the Zacatecas and Guadalupe cities. This conglomerate is composed of five facies named according to their clast-rich abundance and their physical characteristics (**Figure 4c and d**). The sandstone-rich layers are more easily erodible than the conglomeratic ones. This characteristic promotes differential erosion processes that, in combination with moderate to steep slopes, favors the generation of hazardous areas. The conglomerate was deposited in a WNW-ESE fault-bounded basin whose deformation is less intense than the

At the top of the stratigraphic column the Zacatecas Conglomerate is in transitional contact with the Oligocene-Miocene Volcanic Sequence that is composed of interbedded ash-flow and air-fall tuffs, breccias, and rhyolitic flows and domes [3, 17]. They commonly develop cliffs that, when associated with steep slopes, encourage the falling of the rocks. The cliffs next to the main faults and steep slopes are also suitable areas for the rock falling process to

The study area belongs to the Basin and Range extensional province [16] that is formed by NNW-SSE normal faults forming horsts and grabens. The main geomorphologic feature is the Sierra de Zacatecas that is oriented NNW-SSE (**Figure 5**) bounded to the west by the

**Figure 3.** Geologic map of the Zacatecas and Guadalupe quadrangles. Detailed mapping from the Mesozoic sequence is taken from [13-14], while the Tertiary Volcanic Sequence is from [3, 15]. The names are from the municipalities of the study area.

A Geologic and Geomorphologic Analysis of the Zacatecas and Guadalupe Quadrangles in Order to Define Hazardous Zones Associated with the Erosion Processes 417

**Figure 5.** Digital Terrain Model showing sedimentary deposits that are in the neighborhood of the city limit of Zacatecas and Guadalupe. Horizontal bold-italics names are the municipalities; while in italics

The slope deposits are of unknown age. Their morphologic expression is masked by the relief. The cities of Zacatecas and Guadalupe are currently growing directly on these deposits (**Figure 5).** Regarding the alluvial fans, there are a few of them in the eastern side of the Sierra de Zacatecas because most of the valleys are used for agricultural activities. The

are the ranges and valleys. The main topographic features are underlined.

**Figure 4.** Images showing the main physical characteristics of lithological units that crop out in the Zacatecas and Guadalupe quadrangles. The Las Pilas Complex can be deformed (a) or massive (b), while the Zacatecas Conglomerate can be moderately consolidated (c) with differential erosion (d).

The main erosional agent in the area is rainwater; it affects unconsolidated to moderately consolidated sediments either from slope or fluvial deposits, as well as alluvial fans. These geomorphic features occur in the neighborhood of the present city limit (**Figure 5**). The slope deposits are made of interbedded sandstone and conglomerate. The sandstone thickness is less than 50 cm, whereas the conglomerate thickness varies from a few centimeters up to 30 meters. Commonly, both show normal gradation and, sometimes there are interbedded pumice and/or lithic tuffs. Since the sandstone more easily eroded than the conglomerate, it generates a differential erosion process (**Figure 4d**).

A Geologic and Geomorphologic Analysis of the Zacatecas and Guadalupe Quadrangles in Order to Define Hazardous Zones Associated with the Erosion Processes 417

416 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 4.** Images showing the main physical characteristics of lithological units that crop out in the Zacatecas and Guadalupe quadrangles. The Las Pilas Complex can be deformed (a) or massive (b), while the Zacatecas Conglomerate can be moderately consolidated (c) with differential erosion (d).

conglomerate, it generates a differential erosion process (**Figure 4d**).

The main erosional agent in the area is rainwater; it affects unconsolidated to moderately consolidated sediments either from slope or fluvial deposits, as well as alluvial fans. These geomorphic features occur in the neighborhood of the present city limit (**Figure 5**). The slope deposits are made of interbedded sandstone and conglomerate. The sandstone thickness is less than 50 cm, whereas the conglomerate thickness varies from a few centimeters up to 30 meters. Commonly, both show normal gradation and, sometimes there are interbedded pumice and/or lithic tuffs. Since the sandstone more easily eroded than the

**Figure 5.** Digital Terrain Model showing sedimentary deposits that are in the neighborhood of the city limit of Zacatecas and Guadalupe. Horizontal bold-italics names are the municipalities; while in italics are the ranges and valleys. The main topographic features are underlined.

The slope deposits are of unknown age. Their morphologic expression is masked by the relief. The cities of Zacatecas and Guadalupe are currently growing directly on these deposits (**Figure 5).** Regarding the alluvial fans, there are a few of them in the eastern side of the Sierra de Zacatecas because most of the valleys are used for agricultural activities. The

fluvial deposits are common in the western side of this sierra; however, the arroyos are currently modified due to city growth.

A Geologic and Geomorphologic Analysis of the Zacatecas and Guadalupe Quadrangles in Order to Define Hazardous Zones Associated with the Erosion Processes 419

The xerosols are dominant in the valleys. They have variable amounts of organic matter. A whitish layer at the top is characteristic of this soil, and it is usually due to the carbonate or

**Figure 6.** Vegetation of the study area, modified from [18-19]. The city limit corresponds to 2010. The names in bold, italics are the municipalities. The places with no vegetation are artificial dams. The

original data are from the decade of 1970 [18-19].

sulfate accumulation.

The buildings constructed on moderate to loosely consolidated sediments and lithological units are more vulnerable than those with well consolidated materials. In the sedimentary deposits shown in **Figure 5** the erosion of loose materials generate hazardous zones if the terrain slope is over 20°.

## **1.3. Land use and vegetation**

The study area is located in a semi-desertic area with an average annual precipitation of less than ~500 mm/yr so most of the water supply for any all human activities is taken from underground wells. In these conditions the vegetation varieties are limited (**Figure 6**). The valleys are mostly used for agriculture. The thorn scrub and nopal (*Opuntia*) occupy the gentle hills of the sierras de Zacatecas and Tolosa. This type of vegetation requires little water and their roots extend laterally. The bushes are either natural vegetation outside the city limit or reforested areas inside those limits.

Since the original data was generated during the decade of 1970 [18-19], the situation now is different. The area shown as "Natural bushes" (**Figure 6**) is currently being substituted by thorn scrub and nopal. However, there is no up-to-date cartography.

The land use shown in **Figure 7** is taken from [18-19]; as well as in **Figure 6**, the valleys are used for agriculture. Cattle use is now greater, while the forestry area has decreased. Though the information on the criteria used to define "forestry use" is unclear, informally, these areas were considered for land conservation. However, since there are no written rules, the land use changes and modifications are based on unknown criteria. What has been seen is a continuous modification of landscape for urban purposes next to the city limit.

The land use map (**Figure 7**) was created from the INEGI (Instituto Nacional de Estadística, Geografía e Informática), institution depository of most of the cartographic information in the country. These maps are the basis for all the projects that require cartography. This being said, the conditions of the maps vary. The older ones were made different than the ones made today.

## **1.4. Edaphology**

The soil classification used here is that of the United Nations Educational, Scientific and Cultural Organization [20]. In the Sierra de Zacatecas, where most municipalities are located, the Lithosol Eutric is dominant (**Figure 8**). It is composed by local, scarcely transported, rock clasts whose size varies from coarse sand to gravel; usually it is poor in organic matter. Its thickness is less than 15 cm.

The fluvisols are found along the arroyos; they show well-developed bedding, with normal gradation and variable amounts of organic matter. Their thickness is unknown since they are filling the valleys. The change in their texture and composition allows us to define the subclass.

The xerosols are dominant in the valleys. They have variable amounts of organic matter. A whitish layer at the top is characteristic of this soil, and it is usually due to the carbonate or sulfate accumulation.

418 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

currently modified due to city growth.

terrain slope is over 20°.

made today.

subclass.

**1.4. Edaphology** 

thickness is less than 15 cm.

**1.3. Land use and vegetation** 

city limit or reforested areas inside those limits.

thorn scrub and nopal. However, there is no up-to-date cartography.

fluvial deposits are common in the western side of this sierra; however, the arroyos are

The buildings constructed on moderate to loosely consolidated sediments and lithological units are more vulnerable than those with well consolidated materials. In the sedimentary deposits shown in **Figure 5** the erosion of loose materials generate hazardous zones if the

The study area is located in a semi-desertic area with an average annual precipitation of less than ~500 mm/yr so most of the water supply for any all human activities is taken from underground wells. In these conditions the vegetation varieties are limited (**Figure 6**). The valleys are mostly used for agriculture. The thorn scrub and nopal (*Opuntia*) occupy the gentle hills of the sierras de Zacatecas and Tolosa. This type of vegetation requires little water and their roots extend laterally. The bushes are either natural vegetation outside the

Since the original data was generated during the decade of 1970 [18-19], the situation now is different. The area shown as "Natural bushes" (**Figure 6**) is currently being substituted by

The land use shown in **Figure 7** is taken from [18-19]; as well as in **Figure 6**, the valleys are used for agriculture. Cattle use is now greater, while the forestry area has decreased. Though the information on the criteria used to define "forestry use" is unclear, informally, these areas were considered for land conservation. However, since there are no written rules, the land use changes and modifications are based on unknown criteria. What has been seen is a continuous modification of landscape for urban purposes next to the city limit.

The land use map (**Figure 7**) was created from the INEGI (Instituto Nacional de Estadística, Geografía e Informática), institution depository of most of the cartographic information in the country. These maps are the basis for all the projects that require cartography. This being said, the conditions of the maps vary. The older ones were made different than the ones

The soil classification used here is that of the United Nations Educational, Scientific and Cultural Organization [20]. In the Sierra de Zacatecas, where most municipalities are located, the Lithosol Eutric is dominant (**Figure 8**). It is composed by local, scarcely transported, rock clasts whose size varies from coarse sand to gravel; usually it is poor in organic matter. Its

The fluvisols are found along the arroyos; they show well-developed bedding, with normal gradation and variable amounts of organic matter. Their thickness is unknown since they are filling the valleys. The change in their texture and composition allows us to define the

**Figure 6.** Vegetation of the study area, modified from [18-19]. The city limit corresponds to 2010. The names in bold, italics are the municipalities. The places with no vegetation are artificial dams. The original data are from the decade of 1970 [18-19].

A Geologic and Geomorphologic Analysis of the Zacatecas and Guadalupe Quadrangles in Order to Define Hazardous Zones Associated with the Erosion Processes 421

**Figure 8.** A simplified edaphologic map of the study area. Modified from [21-22].

This chapter describes the elements used in the geologic and geomorphologic analysis. It starts with the field mapping of the elements where the hazards are occurring. These

**2. Methodology** 

**Figure 7.** Land use proposed to the study area from [18-19]. The city limit is from 2010. The names in bold-italics are the municipalities. The places with no vegetation are the city limits in 1971. The original land use data are from the decade of 1970 [18-19].

A Geologic and Geomorphologic Analysis of the Zacatecas and Guadalupe Quadrangles in Order to Define Hazardous Zones Associated with the Erosion Processes 421

**Figure 8.** A simplified edaphologic map of the study area. Modified from [21-22].

## **2. Methodology**

420 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 7.** Land use proposed to the study area from [18-19]. The city limit is from 2010. The names in bold-italics are the municipalities. The places with no vegetation are the city limits in 1971. The original

land use data are from the decade of 1970 [18-19].

This chapter describes the elements used in the geologic and geomorphologic analysis. It starts with the field mapping of the elements where the hazards are occurring. These

parameters were the basis for a geomorphologic study and finally all the information was integrated and analyzed in a GIS.

A Geologic and Geomorphologic Analysis of the Zacatecas and Guadalupe Quadrangles in Order to Define Hazardous Zones Associated with the Erosion Processes 423

change from 8.5 to 10 km/km2, 20 to 25 km/km2, 100 to 130 m and 130 to 160, respectively; they belong with the main body of the slope deposit, so they are "medium erosion zones". Whereas values ranging from 7 to 8.5 km/km2, 15 to 20 km/km2, 70 to 100 m, and 100 to 130, respectively, are located at the tip of the slope deposit and they are called "low erosion

The erosion areas defined this way do not take the slope into account. Therefore, due to the interpolation method used, "high erosion zones" can be located in a flat area, as well as an

The digital slope model (DSM) was obtained from the digital terrain model. The slopes were divided, according with field observations, in: 1) 0° to 5° semi-plain, 2) 5.01° to 10° gentle slope, 3) 10.01° to 20° hillside, 4) 20.01° to 30° ramps, and 5) >30.01° scarp or cliff. Since the DSM and the geomorphologic data are in the same coordinates system (NAD27; UTM-13N) the maps can overlay for spatial analysis. We used an intersection function of the selected DSM data with the geomorphologic analysis. This way, the DSM has redefined the hazardous areas by combining the slope ranges with the erosion zones. The intense erosion zones are located only in the scarps; while the medium erosion zones occur in the ramps

Once a result was obtained from the combination mentioned in the above paragraph, the next step was to combine the edaphology and land use information. All these areas are in the same kind of soil: Lithosol Eutric. This soil is less than 15 cm thick, rich in gravel and sand with variable amounts of organic matter. The vegetal coverage consists of bushes, nopals and grazing vegetation. When using the edaphology and land use data, the obtained

The analysis for rock falling was making a buffer of 15 meters length of the "Geology map". The structures were the result of the combination of the buffer on the fault and the slope

All the information layers were spatially analyzed in ArcGis software, Ver. 9.3.1, and the results were verified in the field. For proof, we selected places where there were two or more erosion zones. Thus, the changes by erosion promoted by the lithology, sedimentary

In this chapter all the mapping and digital analysis is integrated to get the definition of erosion zones and their relationship with hazardous zones. The obtained results were checked in the

The basis for the analysis was the Digital Slope Model (DSM) (**Figure 9**). The cell size used was 20 m since, after testing larger and smaller sizes, that was the best dimension that

zones". Lower values are considered as "very low erosion zones".

and scarps. The low erosion zones are located in hillsides and ramps.

deposits, geologic structures, vegetation, or soil types could be observed.

field to verify that our model is a reliable tool for urban development planning.

results did not modify the previous outcome.

area with slope.

**2.3. GIS analysis** 

range and direction.

**3. Results** 

defines the landscape.

## **2.1. Field work**

The risk areas are associated with slope deposits. The field work was directed to recognize the risk elements in the field and map them at scale 1:10,000. These elements are ancient landslide deposits and fallen rocks. They occur along arroyos, close to the top of the highest hills, and can be traced downslope until they reach the city limit.

The hazardous areas are not only related with the slope deposits; the erosion effects are accelerated where the landscape is modified, either by cutting through the hills or by filling in the arroyos. Along the arroyos are the fluvial terraces and at the edge of the Sierra de Zacatecas, the alluvial fans. In the study area all unconsolidated or moderately consolidated materials tend to be removed if their original conditions are changed.

The stratigraphic sequence and faults are mainly taken from [3, 13]. The rock falls are related with faults, steep slopes (> 20°) and rain. The rocks usually move less than 15 meters away from the source because the steep slopes are normally less than 10 m high.

In places where the cities are expected to grow, the landscape modification starts with vegetation removal, then the surface flattening, and eventually the construction phase. The cartography of the elements mentioned in this subchapter, unless when the landscape was modified artificially, where digitalized and managed in ArcGIS v. 9.3.1.

## **2.2. Geomorphologic analysis**

The geomorphologic analysis was made according to the procedure described by [23]. The method uses a topographic chart scale 1:50,000 which is divided into squares; for this study the length side of each square was 1 km. In each square, four parameters were measured: 1) the dissection density (DD) that is defined as the total length of arroyos per square kilometer; 2) the general dissection density (GDD) which is the sum of the lengths of all the topographic curves per square kilometer; 3) the maximum dissection depth (MDD) which is the elevation difference measured from a creek perpendicular to the nearest highest point; and 4) the relief energy (RE) that is the difference between the highest and the lowest point in each square.

The measured parameters in each square were stored in a database in ArcGIS software. Each value is considered to be in the center of the square [23]. For each parameter, a Kriging interpolation procedure was used to define a raster image showing the spatial distribution of the variable. Since each parameter is in GIS Image format, the values can be managed for classification.

Based on field mapping, the slope deposits originated where DD> 10 km/km2, GDD> 25 km/km2, MDD>130 m and RE > 160. The areas defined this way were called "high erosion zones". The function used is a mathematical logical union of variables. If the variables change from 8.5 to 10 km/km2, 20 to 25 km/km2, 100 to 130 m and 130 to 160, respectively; they belong with the main body of the slope deposit, so they are "medium erosion zones". Whereas values ranging from 7 to 8.5 km/km2, 15 to 20 km/km2, 70 to 100 m, and 100 to 130, respectively, are located at the tip of the slope deposit and they are called "low erosion zones". Lower values are considered as "very low erosion zones".

The erosion areas defined this way do not take the slope into account. Therefore, due to the interpolation method used, "high erosion zones" can be located in a flat area, as well as an area with slope.

## **2.3. GIS analysis**

422 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

hills, and can be traced downslope until they reach the city limit.

materials tend to be removed if their original conditions are changed.

from the source because the steep slopes are normally less than 10 m high.

modified artificially, where digitalized and managed in ArcGIS v. 9.3.1.

integrated and analyzed in a GIS.

**2.2. Geomorphologic analysis** 

in each square.

classification.

**2.1. Field work** 

parameters were the basis for a geomorphologic study and finally all the information was

The risk areas are associated with slope deposits. The field work was directed to recognize the risk elements in the field and map them at scale 1:10,000. These elements are ancient landslide deposits and fallen rocks. They occur along arroyos, close to the top of the highest

The hazardous areas are not only related with the slope deposits; the erosion effects are accelerated where the landscape is modified, either by cutting through the hills or by filling in the arroyos. Along the arroyos are the fluvial terraces and at the edge of the Sierra de Zacatecas, the alluvial fans. In the study area all unconsolidated or moderately consolidated

The stratigraphic sequence and faults are mainly taken from [3, 13]. The rock falls are related with faults, steep slopes (> 20°) and rain. The rocks usually move less than 15 meters away

In places where the cities are expected to grow, the landscape modification starts with vegetation removal, then the surface flattening, and eventually the construction phase. The cartography of the elements mentioned in this subchapter, unless when the landscape was

The geomorphologic analysis was made according to the procedure described by [23]. The method uses a topographic chart scale 1:50,000 which is divided into squares; for this study the length side of each square was 1 km. In each square, four parameters were measured: 1) the dissection density (DD) that is defined as the total length of arroyos per square kilometer; 2) the general dissection density (GDD) which is the sum of the lengths of all the topographic curves per square kilometer; 3) the maximum dissection depth (MDD) which is the elevation difference measured from a creek perpendicular to the nearest highest point; and 4) the relief energy (RE) that is the difference between the highest and the lowest point

The measured parameters in each square were stored in a database in ArcGIS software. Each value is considered to be in the center of the square [23]. For each parameter, a Kriging interpolation procedure was used to define a raster image showing the spatial distribution of the variable. Since each parameter is in GIS Image format, the values can be managed for

Based on field mapping, the slope deposits originated where DD> 10 km/km2, GDD> 25 km/km2, MDD>130 m and RE > 160. The areas defined this way were called "high erosion zones". The function used is a mathematical logical union of variables. If the variables The digital slope model (DSM) was obtained from the digital terrain model. The slopes were divided, according with field observations, in: 1) 0° to 5° semi-plain, 2) 5.01° to 10° gentle slope, 3) 10.01° to 20° hillside, 4) 20.01° to 30° ramps, and 5) >30.01° scarp or cliff. Since the DSM and the geomorphologic data are in the same coordinates system (NAD27; UTM-13N) the maps can overlay for spatial analysis. We used an intersection function of the selected DSM data with the geomorphologic analysis. This way, the DSM has redefined the hazardous areas by combining the slope ranges with the erosion zones. The intense erosion zones are located only in the scarps; while the medium erosion zones occur in the ramps and scarps. The low erosion zones are located in hillsides and ramps.

Once a result was obtained from the combination mentioned in the above paragraph, the next step was to combine the edaphology and land use information. All these areas are in the same kind of soil: Lithosol Eutric. This soil is less than 15 cm thick, rich in gravel and sand with variable amounts of organic matter. The vegetal coverage consists of bushes, nopals and grazing vegetation. When using the edaphology and land use data, the obtained results did not modify the previous outcome.

The analysis for rock falling was making a buffer of 15 meters length of the "Geology map". The structures were the result of the combination of the buffer on the fault and the slope range and direction.

All the information layers were spatially analyzed in ArcGis software, Ver. 9.3.1, and the results were verified in the field. For proof, we selected places where there were two or more erosion zones. Thus, the changes by erosion promoted by the lithology, sedimentary deposits, geologic structures, vegetation, or soil types could be observed.

## **3. Results**

In this chapter all the mapping and digital analysis is integrated to get the definition of erosion zones and their relationship with hazardous zones. The obtained results were checked in the field to verify that our model is a reliable tool for urban development planning.

The basis for the analysis was the Digital Slope Model (DSM) (**Figure 9**). The cell size used was 20 m since, after testing larger and smaller sizes, that was the best dimension that defines the landscape.

A Geologic and Geomorphologic Analysis of the Zacatecas and Guadalupe Quadrangles in Order to Define Hazardous Zones Associated with the Erosion Processes 425

The **Figure 9** depicts the Zacatecas and Guadalupe cities growing in the gentle slope and semi-plain areas up to 2002; the use of hillsides and ramps was restricted to a few areas in Guadalupe. Due to population growth and continuous pressure on the territory, after 2002, the cities advanced toward the hillside areas. Moreover, due to the pressure on the territory, the arroyos became urbanized. The modification of the original conditions of the territory on hillsides and ramps favors the erosion on unconsolidated to moderately consolidated

After 2002 the city grew in the direction of higher slopes, thus, aiding the territory to be affected by erosion. Furthermore, the city limit now is closer to scarps or cliffs where the fallen rocks become a common feature. The **Figure 9** shows the location of rocks whose diameter is over 3.5 m; however, the common ones are those of ~ 1 m that can be found

Rock falling is a common phenomenon in the study area. It is related with rock type and its fabric. Those rocks that are massive and deformed, if cut by faults, are most likely to be suitable for the development of this process. Additionally, the slope plays an important role

The analysis was made according to the observations made in modern and ancient fall rock. At present time the fallen rocks (~ 50 cm in diameter or less) observed are less than 15 m away from the fault, if there are scarps and ramps. If there is a combination of flowing water after rain with the slope, the displacement could be as far as ~ 100 m away from the source.

2. The lithologic units whose fabric is massive or deformed; they are: Zacatecas

The analysis is based on the location of the faults and making buffers at 15 and 100 m. The areas defined by the buffers, if they intersect ramps and scarps, are classified as hazardous

The historical record indicates that a rock can travel as far as 1,000 m. For the faults mapped, this distance is in the hillslope area. During analysis, the first step was to define the buffers at 1,000 m. The next step was to perform a logical operation. If the buffer intersects a hillslope, and the lithology is considered, then the intersection identifies the area which has the possibility to have fallen rock. In **Figure 10** the areas for each distance are irregular polygons with voids inside of them. The voids are areas where the above mentioned

Whereas the largest distances seen are ~ 1,000 m away from the faults (**Figure 10**).

The spatial analysis was made considering the following parameters:

Formation, Deformed andesite and Undifferentiated tuff.

in the location of hazardous areas associated with rock falling.

materials, both natural and artificial.

1. The location of the mapped faults.

3. The slopes: scarp, ramp and hillslope.

conditions are not satisfied.

4. The travel distance recorded by the fallen rocks.

zones. Due to the steep slopes no rock type was included.

upslope.

**3.1. Geologic analysis** 

**Figure 9.** A digital slope model of the study area. The model was built using the contour lines each 10 m. The fallen rocks are those whose diameter is larger than 3.5 m. They are mostly related with ramps and scarps on Cerro La Virgen and Cerro La Bufa.

The **Figure 9** depicts the Zacatecas and Guadalupe cities growing in the gentle slope and semi-plain areas up to 2002; the use of hillsides and ramps was restricted to a few areas in Guadalupe. Due to population growth and continuous pressure on the territory, after 2002, the cities advanced toward the hillside areas. Moreover, due to the pressure on the territory, the arroyos became urbanized. The modification of the original conditions of the territory on hillsides and ramps favors the erosion on unconsolidated to moderately consolidated materials, both natural and artificial.

After 2002 the city grew in the direction of higher slopes, thus, aiding the territory to be affected by erosion. Furthermore, the city limit now is closer to scarps or cliffs where the fallen rocks become a common feature. The **Figure 9** shows the location of rocks whose diameter is over 3.5 m; however, the common ones are those of ~ 1 m that can be found upslope.

## **3.1. Geologic analysis**

424 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 9.** A digital slope model of the study area. The model was built using the contour lines each 10 m. The fallen rocks are those whose diameter is larger than 3.5 m. They are mostly related with ramps

and scarps on Cerro La Virgen and Cerro La Bufa.

Rock falling is a common phenomenon in the study area. It is related with rock type and its fabric. Those rocks that are massive and deformed, if cut by faults, are most likely to be suitable for the development of this process. Additionally, the slope plays an important role in the location of hazardous areas associated with rock falling.

The analysis was made according to the observations made in modern and ancient fall rock. At present time the fallen rocks (~ 50 cm in diameter or less) observed are less than 15 m away from the fault, if there are scarps and ramps. If there is a combination of flowing water after rain with the slope, the displacement could be as far as ~ 100 m away from the source. Whereas the largest distances seen are ~ 1,000 m away from the faults (**Figure 10**).

The spatial analysis was made considering the following parameters:


The analysis is based on the location of the faults and making buffers at 15 and 100 m. The areas defined by the buffers, if they intersect ramps and scarps, are classified as hazardous zones. Due to the steep slopes no rock type was included.

The historical record indicates that a rock can travel as far as 1,000 m. For the faults mapped, this distance is in the hillslope area. During analysis, the first step was to define the buffers at 1,000 m. The next step was to perform a logical operation. If the buffer intersects a hillslope, and the lithology is considered, then the intersection identifies the area which has the possibility to have fallen rock. In **Figure 10** the areas for each distance are irregular polygons with voids inside of them. The voids are areas where the above mentioned conditions are not satisfied.

The results shown in **Figure 10** indicate the areas susceptible to have, or have the potential to be affected by fallen rocks. The field verification of these results indicates that our model defines vulnerable areas for rock falls. However, the results do not indicate the recurrence time or periodicity of the phenomena, It is merely starting where it could happen.

A Geologic and Geomorphologic Analysis of the Zacatecas and Guadalupe Quadrangles in Order to Define Hazardous Zones Associated with the Erosion Processes 427

**Figure 10.** A digital terrain model showing the hazards associated with rock falling in scarps and ramps (red), hillslope close to the faults (green) and hillslope away from faults (magenta). It can be noticed that there are some faults not associated with erosion areas. This is because they are in gentle

slopes or semi-plain areas.

The hazardous areas are mostly located outside of the city limits. Additionally, **Figure 10** can be used for planning urban growth and, if necessary, make the proper preventative arrangements to avoid possible damages to the population and/or infrastructure prior to the landscape modification.

## **3.2. Geomorphologic analysis**

In the Zacatecas and Guadalupe area the geomorphic agents, in relevance order, are: rainwater, gravity, wind and ice[3]. Since water is the main geomorphic agent, considering the semiarid climatic conditions, the effects of the erosion are most evident during the rainy season in the summer. In the winter, the wind and ice can increase their erosive effects in the loose materials.

**Figure 11** shows the distribution of each geomorphologic parameters. It can be noticed that during the last 40 years the cities grew on medium to low erosion zones. However, this tendency has recently changed. Nowadays, the growth is close to the limits of Sierra de Zacatecas, getting closer to the "high erosion zones". The Dissection Density is the only parameter that barely has "High erosion" values. This is because the slope deposits start where the creeks do too; so the length of the "high erosion" is short.

The geomorphologic parameters are joined using a logical expression: If two or more "high erosion" areas intersect and the slopes and ramps are scarp, then they define an "Intense erosion zone" (**Figure 12**). The "Medium erosion zones" are defined if two or more "medium erosion" intersects with hillslope. The "Low erosion" areas are defined if two or more "low erosion" parameters intersect the gentle slope and semi-plain.

The erosion zones are defined on the basis of geomorphologic analysis and the DSM (**Figure 12**). The effects on the different lithological units, as well as the land coverage, soil type, and sedimentary deposits are verified in the field. If the natural vegetation and soil are preserved, the erosion processes do not play an important role independently of where they are located. If this is case, the surface creeping is the only geomorphic process. The vegetation and soil removal, along with the modification of arroyos and basin modifications and/or filling with unconsolidated materials, are the starting point for the erosion processes that affects the landscape.

When the original conditions are changed, the zonation that is defined here then applies. The effects are in the unconsolidated to moderately consolidated materials. There is a slow, but continuous, removal of sediments; mainly sand. The erosion occurs mainly during the rainy season in the summer. However, due to the low precipitation (~ 500 mm/yr) the monthly amount of rain could be so low that its effect as erosive agent could be minor. During the rainy season, the clay content in the sediments promotes the hydration and dehydration that, together with scarps and ramps, favors the formation of gullies.

time or periodicity of the phenomena, It is merely starting where it could happen.

landscape modification.

loose materials.

that affects the landscape.

**3.2. Geomorphologic analysis** 

The results shown in **Figure 10** indicate the areas susceptible to have, or have the potential to be affected by fallen rocks. The field verification of these results indicates that our model defines vulnerable areas for rock falls. However, the results do not indicate the recurrence

The hazardous areas are mostly located outside of the city limits. Additionally, **Figure 10** can be used for planning urban growth and, if necessary, make the proper preventative arrangements to avoid possible damages to the population and/or infrastructure prior to the

In the Zacatecas and Guadalupe area the geomorphic agents, in relevance order, are: rainwater, gravity, wind and ice[3]. Since water is the main geomorphic agent, considering the semiarid climatic conditions, the effects of the erosion are most evident during the rainy season in the summer. In the winter, the wind and ice can increase their erosive effects in the

**Figure 11** shows the distribution of each geomorphologic parameters. It can be noticed that during the last 40 years the cities grew on medium to low erosion zones. However, this tendency has recently changed. Nowadays, the growth is close to the limits of Sierra de Zacatecas, getting closer to the "high erosion zones". The Dissection Density is the only parameter that barely has "High erosion" values. This is because the slope deposits start

The geomorphologic parameters are joined using a logical expression: If two or more "high erosion" areas intersect and the slopes and ramps are scarp, then they define an "Intense erosion zone" (**Figure 12**). The "Medium erosion zones" are defined if two or more "medium erosion" intersects with hillslope. The "Low erosion" areas are defined if two or

The erosion zones are defined on the basis of geomorphologic analysis and the DSM (**Figure 12**). The effects on the different lithological units, as well as the land coverage, soil type, and sedimentary deposits are verified in the field. If the natural vegetation and soil are preserved, the erosion processes do not play an important role independently of where they are located. If this is case, the surface creeping is the only geomorphic process. The vegetation and soil removal, along with the modification of arroyos and basin modifications and/or filling with unconsolidated materials, are the starting point for the erosion processes

When the original conditions are changed, the zonation that is defined here then applies. The effects are in the unconsolidated to moderately consolidated materials. There is a slow, but continuous, removal of sediments; mainly sand. The erosion occurs mainly during the rainy season in the summer. However, due to the low precipitation (~ 500 mm/yr) the monthly amount of rain could be so low that its effect as erosive agent could be minor. During the rainy season, the clay content in the sediments promotes the hydration and

dehydration that, together with scarps and ramps, favors the formation of gullies.

where the creeks do too; so the length of the "high erosion" is short.

more "low erosion" parameters intersect the gentle slope and semi-plain.

**Figure 10.** A digital terrain model showing the hazards associated with rock falling in scarps and ramps (red), hillslope close to the faults (green) and hillslope away from faults (magenta). It can be noticed that there are some faults not associated with erosion areas. This is because they are in gentle slopes or semi-plain areas.

428 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

A Geologic and Geomorphologic Analysis of the Zacatecas and Guadalupe Quadrangles in Order to Define Hazardous Zones Associated with the Erosion Processes 429

**Figure 12.** Erosion zones defined for the Zacatecas and Guadalupe quadrangles based on the geomorphologic and the digital slope model analyses. The "Intense erosion" areas indicate that if the natural conditions are changed, either by removing or adding new materials, they can be easily eroded according to the rain intensity. In the "Medium erosion" zones occurs the same event as in the previous one, but in a slower way. The "Low erosion" zones are located in the semi plain and gentle slope areas;

their effects depend on the amount of running water after a rain.

**Figure 11.** Maps showing the distribution of the geomorphologic parameters: a) Dissection density, b) General Dissection Density; c) Maximum Dissection Depth; d) Relief Energy. The erosion type values were defined according to section 2.2. Up to now, the city has grown in moderate to low erosion zones, although the "High erosion zone" is getting closer.

A Geologic and Geomorphologic Analysis of the Zacatecas and Guadalupe Quadrangles in Order to Define Hazardous Zones Associated with the Erosion Processes 429

428 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 11.** Maps showing the distribution of the geomorphologic parameters: a) Dissection density, b) General Dissection Density; c) Maximum Dissection Depth; d) Relief Energy. The erosion type values were defined according to section 2.2. Up to now, the city has grown in moderate to low erosion zones,

although the "High erosion zone" is getting closer.

**Figure 12.** Erosion zones defined for the Zacatecas and Guadalupe quadrangles based on the geomorphologic and the digital slope model analyses. The "Intense erosion" areas indicate that if the natural conditions are changed, either by removing or adding new materials, they can be easily eroded according to the rain intensity. In the "Medium erosion" zones occurs the same event as in the previous one, but in a slower way. The "Low erosion" zones are located in the semi plain and gentle slope areas; their effects depend on the amount of running water after a rain.

The consequences of erosion in the rocks from the Mesozoic sequence and the Tertiary Volcanic rocks (both lithologic units well consolidated) are related with the faulting and fracturing patterns associated with scarps and ramps in intense and medium erosion zones. In the low erosion zones the effects are negligible. Most of the Zacatecas and Guadalupe cities are built on the Zacatecas Conglomerate whose facies composition and structure define differential erosion zones. Clearly, the sand and clay-rich facies can be more easily affected by the erosion processes than those well consolidated. The differential erosion removes the sandy rich strata, leaving unstable the conglomeratic ones or large rock fragments. With time, the unbalanced materials fall down.

A Geologic and Geomorphologic Analysis of the Zacatecas and Guadalupe Quadrangles in Order to Define Hazardous Zones Associated with the Erosion Processes 431

for unknown reasons. The effects after the rainy season were that the wall and sidewalk fall. c) A Low erosion zone in a semi plain area; more than one year after the road was built, large gullies developed. d) An intense to moderate erosion zone. The undisturbed area is in the intense erosion where no visible

If the landscape is not modified, the only erosion process acting is the surface creeping. This is independent of the location of the erosion zone. In the intense to medium erosion zones the mobility of loose materials is mainly achieved by rainwater when: 1) the landscape is modified, 2) the road cuts have a high angle or high angle slopes, 3) in the moderately consolidated facies of the Zacatecas Conglomerate, and 4) in the sedimentary deposits. The vegetation, land use and edaphology seem not to have any significant outcome in the

In the well consolidated rocks, the effects of the high erosion zones are associated with faults and fractures. In the historical record, rocks of less than 1 m in diameter can travel as far as 1 km away from the source rock in scarps to hillslopes. The model here presented detect the

The low erosion areas only have an effect in loose materials; while in the very low erosion

After this study several questions were answered, but new ones arise for further research

1. Until now no geophysics method has been used to define the extent and depth of the slope deposits, fluvial terraces, alluvial fans and artificially filled places. A method that could be used is surface waves, in this way the elastic parameters of the unconsolidated sediments could be obtained and may be used in construction regulations. The surface

2. The slope deposits are of unknown age; they could be dated by looking for fossils, using U-Th-He, cosmogenic isotopes and/or paleomagnetism. The knowledge of their

3. The geomorphologic parameters used allowed us to define the erosion zones if the topography is abrupt; however they are not designed to evaluate the almost flat surfaces of the valleys. A further work is to look for the parameters that could be used

4. In the places damaged by the erosion processes, it is necessary to develop a mitigation

5. It is necessary to define the unconsolidated material loss; either from soil, fillings, sedimentary deposits or unconsolidated materials. In this way it could be possible to

age and recurrence could be useful in defining the hazards´ recurrence.

plan. This should be made by an interdisciplinary professional team.

effects are seen; while the moderate one is where the streets are traced.

areas with strong possibilities of having fall rocks fallen.

waves could also be used to locate buried slope deposits.

**4. Conclusions** 

definition of the erosion zones.

zones the effects are along the arroyos.

to evaluate erosion in the valleys.

**5. Further research** 

such as:

The results shown in **Figure 12** were verified in the field and they are presented in **Figure 13**. The erosion removes unconsolidated materials if the original conditions are changed; otherwise the process is very slow. The velocity at which erosion acts depends on the zone they are in. The model here defined should be taken into account for the urban development planning. This model locates areas potentially affected by erosion if the landscape is modified.

**Figure 13.** Field verification of the proposed model for hazardous zones associated with erosion. a) Moderate erosion zone; in the filling deposit can be seen gullies formed after the rainy season; whereas the conglomerate is affected by differential erosion. b) Intense erosion zone. An excavation was made

for unknown reasons. The effects after the rainy season were that the wall and sidewalk fall. c) A Low erosion zone in a semi plain area; more than one year after the road was built, large gullies developed. d) An intense to moderate erosion zone. The undisturbed area is in the intense erosion where no visible effects are seen; while the moderate one is where the streets are traced.

## **4. Conclusions**

430 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

fragments. With time, the unbalanced materials fall down.

modified.

The consequences of erosion in the rocks from the Mesozoic sequence and the Tertiary Volcanic rocks (both lithologic units well consolidated) are related with the faulting and fracturing patterns associated with scarps and ramps in intense and medium erosion zones. In the low erosion zones the effects are negligible. Most of the Zacatecas and Guadalupe cities are built on the Zacatecas Conglomerate whose facies composition and structure define differential erosion zones. Clearly, the sand and clay-rich facies can be more easily affected by the erosion processes than those well consolidated. The differential erosion removes the sandy rich strata, leaving unstable the conglomeratic ones or large rock

The results shown in **Figure 12** were verified in the field and they are presented in **Figure 13**. The erosion removes unconsolidated materials if the original conditions are changed; otherwise the process is very slow. The velocity at which erosion acts depends on the zone they are in. The model here defined should be taken into account for the urban development planning. This model locates areas potentially affected by erosion if the landscape is

**Figure 13.** Field verification of the proposed model for hazardous zones associated with erosion. a) Moderate erosion zone; in the filling deposit can be seen gullies formed after the rainy season; whereas the conglomerate is affected by differential erosion. b) Intense erosion zone. An excavation was made

If the landscape is not modified, the only erosion process acting is the surface creeping. This is independent of the location of the erosion zone. In the intense to medium erosion zones the mobility of loose materials is mainly achieved by rainwater when: 1) the landscape is modified, 2) the road cuts have a high angle or high angle slopes, 3) in the moderately consolidated facies of the Zacatecas Conglomerate, and 4) in the sedimentary deposits. The vegetation, land use and edaphology seem not to have any significant outcome in the definition of the erosion zones.

In the well consolidated rocks, the effects of the high erosion zones are associated with faults and fractures. In the historical record, rocks of less than 1 m in diameter can travel as far as 1 km away from the source rock in scarps to hillslopes. The model here presented detect the areas with strong possibilities of having fall rocks fallen.

The low erosion areas only have an effect in loose materials; while in the very low erosion zones the effects are along the arroyos.

## **5. Further research**

After this study several questions were answered, but new ones arise for further research such as:


make a precise evaluation of the sediment removal and the location of the more likely places where it will occur.

A Geologic and Geomorphologic Analysis of the Zacatecas and Guadalupe Quadrangles in Order to Define Hazardous Zones Associated with the Erosion Processes 433

[7] Escalona-Alcázar FJ, Delgado-Argote LA, Rivera-Salinas AF (2010) Assessment of land subsidence associated with intense erosion zones in the Zacatecas and Guadalupe quadrangles, Mexico. In: Carreón-Freyre D, Cerca M, Galloway D, editors. Land Subsidence, Associated Hazards and the Role of Natural Resources Development;

[8] XI General Census of Population (1990) National Institute of Statistics, Geography and

[9] XII General Census of Population (2000) National Institute of Statistics, Geography and

[10] XIII General Census of Population (2010) National Institute of Statistics, Geography and

[11] Zacatecas Topographic Map scale 1:50,000 (F13B58) (1973) General Direction of Studies

[12] Guadalupe Topographic Map scale 1:50,000 (F13B68) (1973) General Direction of

[13] Escalona-Alcázar FJ, Delgado-Argote LA, Weber B, Núñez-Peña EP, Valencia VA, Ortiz-Acevedo O (2009) Kinematics and U-Pb dating of detrital zircons from the Sierra de Zacatecas, Mexico. Revista Mexicana de Ciencias Geológicas 26(1):

[14] Zacatecas Geologic Map scale 1:50,000 (F13B58) (1998) National Institute of Statistics,

[15] Guadalupe Geologic Map scale 1:50,000 (F13B68) (1998) National Institute of Statistics,

[16] Aranda-Gómez JJ, Henry HD, Luhr JF (2000) Evolución tectonomagmática postpaleocénica de la Sierra Madre Occidental y la parte meridional de la provincia tectónica de Cuencas y Sierras. Boletín de la Sociedad Geológica Mexicana LIII:

[17] Ponce BS, Clark KF (1988) The Zacatecas Mining District: A Tertiary caldera complex associated with precious and base metal mineralization. Economic Geology 83: 1668-

[18] Zacatecas Land Use and Vegetation Map scale 1:50,000 (1977) National Commission on

[19] Guadalupe Land Use and Vegetation Map scale 1:50,000 (1977) National Commission

[20] FAO/UNESCO Soil map of the World 1:5,000,000 Paris (1974) United Nations

[21] Zacatecas Edaphologic Map scale 1:50,000 (1971) National Commission on National

[22] Guadalupe Edaphologic Map scale 1:50,000 (1971) National Commission on National

October 17-22, Queretaro, Mexico. IAHS Publication 339: 210-212

Informatics.

Informatics.

Informatics.

48-64

59-71

1682

of the National Territory.

Studies of the National Territory.

Geography and Informatics.

Geography and Informatics.

National Territory Studies.

Territory Studies.

Territory Studies.

on National Territory Studies.

Educational, Scientific and Cultural Organization

## **Author details**

Felipe de Jesús Escalona-Alcázar\* , Bianney Escobedo-Arellano, Brenda Castillo-Félix, Perla García-Sandoval, Luz Leticia Gurrola-Menchaca, Carlos Carrillo-Castillo, Ernesto-Patricio Núñez-Peña, Jorge Bluhm-Gutiérrez and Alicia Esparza-Martínez *Unidad Académica de Ciencias de la Tierra, Universidad Autónoma de Zacatecas Calzada de la Universidad, Fracc. Progreso, Zacatecas, México* 

## **Acknowledgement**

This research was partly financed by the project PROMEP No. UAZ-PTC-133 granted to Felipe Escalona. Partial support was also given by the Unidad Académica de Ciencias de la Tierra (UACT) of the Universidad Autónoma de Zacatecas, México. The authors acknowledge José de Jesús Fernández-Ávalos, Director of the UACT, for their support. Comments from Juan Carlos García y Barragán helped to improve this manuscript. The authors acknowledge the Copyediting/Proofreading by Charlotte Presley.

## **6. References**


<sup>\*</sup> Corresponding Author

[7] Escalona-Alcázar FJ, Delgado-Argote LA, Rivera-Salinas AF (2010) Assessment of land subsidence associated with intense erosion zones in the Zacatecas and Guadalupe quadrangles, Mexico. In: Carreón-Freyre D, Cerca M, Galloway D, editors. Land Subsidence, Associated Hazards and the Role of Natural Resources Development; October 17-22, Queretaro, Mexico. IAHS Publication 339: 210-212

432 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Perla García-Sandoval, Luz Leticia Gurrola-Menchaca, Carlos Carrillo-Castillo, Ernesto-Patricio Núñez-Peña, Jorge Bluhm-Gutiérrez and Alicia Esparza-Martínez

authors acknowledge the Copyediting/Proofreading by Charlotte Presley.

State Government. Agreement signed on August 6th, 2004, 273 pp.

*Universidad Autónoma de Zacatecas Calzada de la Universidad, Fracc. Progreso, Zacatecas, México* 

This research was partly financed by the project PROMEP No. UAZ-PTC-133 granted to Felipe Escalona. Partial support was also given by the Unidad Académica de Ciencias de la Tierra (UACT) of the Universidad Autónoma de Zacatecas, México. The authors acknowledge José de Jesús Fernández-Ávalos, Director of the UACT, for their support. Comments from Juan Carlos García y Barragán helped to improve this manuscript. The

[1] Código Urbano para el Estado de Zacatecas (1996) Official Journal of the Zacatecas State

[2] Acuerdo de la Declaratoria de Reservas de Suelos Derivada del Programa de Desarrollo Urbano de la Conurbación Zacatecas-Guadalupe (2004) Official Journal of the Zacatecas

[3] Escalona-Alcázar FJ, Suárez-Plascencia C, Pérez-Román AM, Ortiz-Acevedo O., Bañuelos-Álvarez C (2003) La secuencia volcánica Terciaria del Cerro La Virgen y los procesos geomorfológicos que generan riesgo en la zona conurbada Zacatecas-

[4] Atlas de Riesgos de la Ciudad de Zacatecas (2007) Ministry of Social Development. 119

[5] Enciso-de la Vega S (1994) Crecimiento urbano de la Ciudad de Zacatecas y sus asentamientos humanos en zonas mineralizadas polimetálicas. Revista Mexicana de

[6] Escalona-Alcázar FJ (2010) Evaluación preliminar de los riesgos debidos a la geomorfología de la zona urbana Zacatecas-Guadalupe y sus alrededores. GEOS 29(2):

Government. Ordenance No. 81, Published on September 11th, 1996, 122 pp.

places where it will occur.

Felipe de Jesús Escalona-Alcázar\*

*Unidad Académica de Ciencias de la Tierra,* 

Guadalupe. GEOS 23(1): 2-16

Ciencias Geológicas 11(1): 106-112.

pp. (Unpublished)

252-256.

Corresponding Author

 \*

**Author details** 

**Acknowledgement** 

**6. References** 

make a precise evaluation of the sediment removal and the location of the more likely

, Bianney Escobedo-Arellano, Brenda Castillo-Félix,

	- [23] Lugo-Hubp J (1988) Elementos de geomorfología aplicada. 1st Edition. Mexico: UNAM. 128 pp.

**Chapter 19** 

© 2012 Fazekašová, licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Fazekašová, licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**Evaluation of Soil Quality Parameters** 

Additional information is available at the end of the chapter

Danica Fazekašová

**1. Introduction** 

precondition.

http://dx.doi.org/10.5772/48686

**Development in Terms of Sustainable Land Use** 

Soil is a vital natural source and, at the same time, has an economic and eco-social potential. It allows the production of food and raw materials, recycles waste, creates forestagricultural land, filters and retains water, allows the usage and valorisation of sun energy, ensures the cycle and balance of substances in nature, maintains diversity of plant and animal species. It primarily shapes the quality of the environment; it is the resource and cultural heritage of the Earth; it ensures the life and social being of the population. Agricultural activities realised in landscape affect natural resources. A rational usage of renewable and non-renewable resources which are not retrieved in real time is an essential

The farming system is the most widespread environmental technology with its positive and negative consequences. It utilises essential natural resources and, at the same time, influences other natural environments. Therefore, ecologisation of farming is a priority of farmers as well as environmentalists. Respecting the principles of soil sustainability and

A United Nations [UN] conference on environment and development (Rio de Janeiro, 1992) prioritised sustainable development, which is presented in a global development programme for the end of the 20th century and especially for the 21st century (Agenda 21). The concept of sustainable development of agriculture includes such practices in farming which respect ecological aspects in growing plants and ethology of livestock in rearing, do not enhance damage in ecological land stability, respect environmental protection, including

Sustainable agriculture is based on the principle of agriculture being a biological process which, in practice, should imitate key characteristics of the natural ecosystem. It strives to

other components of environment is the basic precondition for life sustainability.

surface and underground water and monitor the quality of agricultural produce.

## **Evaluation of Soil Quality Parameters Development in Terms of Sustainable Land Use**

Danica Fazekašová

434 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

128 pp.

[23] Lugo-Hubp J (1988) Elementos de geomorfología aplicada. 1st Edition. Mexico: UNAM.

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/48686

## **1. Introduction**

Soil is a vital natural source and, at the same time, has an economic and eco-social potential. It allows the production of food and raw materials, recycles waste, creates forestagricultural land, filters and retains water, allows the usage and valorisation of sun energy, ensures the cycle and balance of substances in nature, maintains diversity of plant and animal species. It primarily shapes the quality of the environment; it is the resource and cultural heritage of the Earth; it ensures the life and social being of the population. Agricultural activities realised in landscape affect natural resources. A rational usage of renewable and non-renewable resources which are not retrieved in real time is an essential precondition.

The farming system is the most widespread environmental technology with its positive and negative consequences. It utilises essential natural resources and, at the same time, influences other natural environments. Therefore, ecologisation of farming is a priority of farmers as well as environmentalists. Respecting the principles of soil sustainability and other components of environment is the basic precondition for life sustainability.

A United Nations [UN] conference on environment and development (Rio de Janeiro, 1992) prioritised sustainable development, which is presented in a global development programme for the end of the 20th century and especially for the 21st century (Agenda 21). The concept of sustainable development of agriculture includes such practices in farming which respect ecological aspects in growing plants and ethology of livestock in rearing, do not enhance damage in ecological land stability, respect environmental protection, including surface and underground water and monitor the quality of agricultural produce.

Sustainable agriculture is based on the principle of agriculture being a biological process which, in practice, should imitate key characteristics of the natural ecosystem. It strives to

bring diversity into agro-ecosystem, recycle nutrients efficiently and maintain the priority of sunlight as a source of energy for agro-ecosystems.

Evaluation of Soil Quality Parameters Development in Terms of Sustainable Land Use 437

climatic units or areas. Stability indicators should be applicable to the evaluation of the main components of sustainable agriculture. Attention is mainly paid to the level of farming and its productivity regarding the ecological soil potential, maintaining diversity of plant species as well as the protection of natural resources, social-economic viability related to the

From the viewpoint of agricultural practice, the stability indicators regarding productivity of agricultural production and ecological aspects of farming systems have been explored in most detail. The guaranteed yield on the level of the ecological potential of location (without further input increase), the ability of the system to return to the initial performance in a short period of time after a natural disaster, achieving a relatively high efficiency of water and plant nutrition utilisation, maintaining the soil quality environment (organic mass, soil organisms, nutrients), reliability of the methods used in integrated plant protection, ensuring the quality of water resources, maintaining the level of underground water without major fluctuations, and protecting natural resources are considered quantifiable biophysical indicators of sustainable productivity (Klír, 1997). With regard to the evaluation of ecological sustainability, the most significant indicators are maintenance and improvement of biodiversity in managed, as well as adjacent natural ecosystems, maintaining the environmental quality and avoiding pollution limit excess (Virmani &

It is impossible to select universal soil parameters with regard to their suitability for sustainable soil and is subject to specialised discussions. A significant role in the selection of parameters is played by their variability in time, related to parameter stability. The following soil parameters can be distinguished: stable (such as soil depth or granularity), relatively stable (the salt content, the content of organic mass in soil, heavy metal contamination), relatively dynamic (pH, the content of nutrients), and dynamic (soil humidity and temperature, microbial activity, etc.). Stable and relatively stable parameters dominantly influence soil quality, while relatively dynamic and dynamic characteristics are

Soil parameters indicate the state of soil ecosystem characteristics, which especially reflect production, buffering, filter and other soil functions. From this view, the structure of soil profile (the soil class), soil type, soil depth, skeletal nature, the content and quality of humus substances, accessible nutrient supply, soil reaction, the content of foreign substances in soil,

Soil quality cannot be judged directly; it must be determined from the changes of its parameters. It is more accurate to evaluate the range of appropriate indicators rather than to use a single one. Soil quality is significantly affected by physical, chemical, biological and biochemical properties sensitive to changes in the environment and land management. With regard to physical properties, there are bulk density, porosity, water retention capacity, soil temperature, etc. In the group of chemical characteristics, total carbon and nitrogen content, soil reaction and content of available nutrients are observed. Evaluation of biological parameters focuses on microbial biomass and its activity, soil respiration,

regional and world economy.

Singh, 1997 as cited in Fazekašová, 2003).

more connected to its short-term changes.

and soil edaphon seem to be of highest importance.

Specific manifestations of soil require different approaches. In soil protection, these must be ecological (biological) approaches, as this is the only way to achieve sustainable development of ground cover and the resulting economical and social development and environmental balance in society.

Sustainable use of soil takes soil-ecological conditions into consideration and is realised in such a way and in such intensity, which gives rise to neither negative changes in soil, nor establishes trends for the development of negative characteristics in soil. The essential principle of sustainable farming system is its protection from any degradation by natural or man-induced influences. Sustainable development of soil use also encompasses the protection of the soil acreage to such an extent which ensures that all soil functions are employed.

In a number of European countries, sustainable use of soil is realised according to the principles of International Federation of Organic Agriculture Movements [IFOAM] and is referred to as ecological soil management. When introducing ecological systems of soil management, the main criterion is the application of knowledge in the functioning of natural ecosystems, which are typical of plant and animal variety and sunlight is the exclusive source of energy. In cultural (artificial) agro-ecosystems, the structure is disrupted by man drawing the production past the limit of the agro-ecosystem. The ecological system focuses on theoretical elaboration of farming arrangement in sensitive areas (the protection of underground and surface water zones, polluted zones, national parks, protected natural areas and soils heavily endangered by erosion). Continued protection of nature and natural resources is at the forefront; therefore, significant intensifying constituents of conventional agriculture (high dosage of fertilisers, full usage of pesticides, annual subsoil ploughing, major hunts, high ratio of grain crops, intensive breeding, heavy automation) are replaced by technologies with strong economical and ecological components (tillage minimisation, anti-erosive crop rotation, monitoring of plant nutrition, integrated a biological protection of plants, minimal automation, free-range breeding).

According to Organisation for Economic Co-operation and Development [OECD], an indicator is a parameter or a value derived from several parameters. It provides information about a particular observed phenomenon from the viewpoint of its quantitative or qualitative characteristics, present in a give time and area, in the environment as a whole, or its individual components by the qualitative parameters of these components influencing the health condition of the population, as well as the structure and function of the ecosystem in the area in question. From the above stated, it results that there are a number of horizontal and vertical causal links between individual environmental indicators. The "sustainability indicator" can, thus, be defined as a measurable factor, whose imbalance negatively influences the long-term performance of the whole production system. Stable agriculture has a time and space dimension. The time scale depends on the adaptability of the system (usually 5 to 10 years, or more); space can be given by the borderlines of soilclimatic units or areas. Stability indicators should be applicable to the evaluation of the main components of sustainable agriculture. Attention is mainly paid to the level of farming and its productivity regarding the ecological soil potential, maintaining diversity of plant species as well as the protection of natural resources, social-economic viability related to the regional and world economy.

436 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

sunlight as a source of energy for agro-ecosystems.

plants, minimal automation, free-range breeding).

environmental balance in society.

employed.

bring diversity into agro-ecosystem, recycle nutrients efficiently and maintain the priority of

Specific manifestations of soil require different approaches. In soil protection, these must be ecological (biological) approaches, as this is the only way to achieve sustainable development of ground cover and the resulting economical and social development and

Sustainable use of soil takes soil-ecological conditions into consideration and is realised in such a way and in such intensity, which gives rise to neither negative changes in soil, nor establishes trends for the development of negative characteristics in soil. The essential principle of sustainable farming system is its protection from any degradation by natural or man-induced influences. Sustainable development of soil use also encompasses the protection of the soil acreage to such an extent which ensures that all soil functions are

In a number of European countries, sustainable use of soil is realised according to the principles of International Federation of Organic Agriculture Movements [IFOAM] and is referred to as ecological soil management. When introducing ecological systems of soil management, the main criterion is the application of knowledge in the functioning of natural ecosystems, which are typical of plant and animal variety and sunlight is the exclusive source of energy. In cultural (artificial) agro-ecosystems, the structure is disrupted by man drawing the production past the limit of the agro-ecosystem. The ecological system focuses on theoretical elaboration of farming arrangement in sensitive areas (the protection of underground and surface water zones, polluted zones, national parks, protected natural areas and soils heavily endangered by erosion). Continued protection of nature and natural resources is at the forefront; therefore, significant intensifying constituents of conventional agriculture (high dosage of fertilisers, full usage of pesticides, annual subsoil ploughing, major hunts, high ratio of grain crops, intensive breeding, heavy automation) are replaced by technologies with strong economical and ecological components (tillage minimisation, anti-erosive crop rotation, monitoring of plant nutrition, integrated a biological protection of

According to Organisation for Economic Co-operation and Development [OECD], an indicator is a parameter or a value derived from several parameters. It provides information about a particular observed phenomenon from the viewpoint of its quantitative or qualitative characteristics, present in a give time and area, in the environment as a whole, or its individual components by the qualitative parameters of these components influencing the health condition of the population, as well as the structure and function of the ecosystem in the area in question. From the above stated, it results that there are a number of horizontal and vertical causal links between individual environmental indicators. The "sustainability indicator" can, thus, be defined as a measurable factor, whose imbalance negatively influences the long-term performance of the whole production system. Stable agriculture has a time and space dimension. The time scale depends on the adaptability of the system (usually 5 to 10 years, or more); space can be given by the borderlines of soilFrom the viewpoint of agricultural practice, the stability indicators regarding productivity of agricultural production and ecological aspects of farming systems have been explored in most detail. The guaranteed yield on the level of the ecological potential of location (without further input increase), the ability of the system to return to the initial performance in a short period of time after a natural disaster, achieving a relatively high efficiency of water and plant nutrition utilisation, maintaining the soil quality environment (organic mass, soil organisms, nutrients), reliability of the methods used in integrated plant protection, ensuring the quality of water resources, maintaining the level of underground water without major fluctuations, and protecting natural resources are considered quantifiable biophysical indicators of sustainable productivity (Klír, 1997). With regard to the evaluation of ecological sustainability, the most significant indicators are maintenance and improvement of biodiversity in managed, as well as adjacent natural ecosystems, maintaining the environmental quality and avoiding pollution limit excess (Virmani & Singh, 1997 as cited in Fazekašová, 2003).

It is impossible to select universal soil parameters with regard to their suitability for sustainable soil and is subject to specialised discussions. A significant role in the selection of parameters is played by their variability in time, related to parameter stability. The following soil parameters can be distinguished: stable (such as soil depth or granularity), relatively stable (the salt content, the content of organic mass in soil, heavy metal contamination), relatively dynamic (pH, the content of nutrients), and dynamic (soil humidity and temperature, microbial activity, etc.). Stable and relatively stable parameters dominantly influence soil quality, while relatively dynamic and dynamic characteristics are more connected to its short-term changes.

Soil parameters indicate the state of soil ecosystem characteristics, which especially reflect production, buffering, filter and other soil functions. From this view, the structure of soil profile (the soil class), soil type, soil depth, skeletal nature, the content and quality of humus substances, accessible nutrient supply, soil reaction, the content of foreign substances in soil, and soil edaphon seem to be of highest importance.

Soil quality cannot be judged directly; it must be determined from the changes of its parameters. It is more accurate to evaluate the range of appropriate indicators rather than to use a single one. Soil quality is significantly affected by physical, chemical, biological and biochemical properties sensitive to changes in the environment and land management. With regard to physical properties, there are bulk density, porosity, water retention capacity, soil temperature, etc. In the group of chemical characteristics, total carbon and nitrogen content, soil reaction and content of available nutrients are observed. Evaluation of biological parameters focuses on microbial biomass and its activity, soil respiration,

potentially mineralised nitrogen, the activity of soil enzymes, etc. Soil enzymatic activity can be used as a microbial indicator of soil quality, since the activity of soil enzymes is closely related to essential soil characteristics. It indicates changes sooner than other soil characteristics and can be an integrating soil-biological index reflecting soil use (Javoreková et al., 2008; Šarapatka, 2002). Wick et al. (2002) considers selected enzymatic activities as suitable indicators for long-term soil monitoring and quality assessment (Miralles, 2007; Geisseler, 2009). A decrease in soil quality is obvious from the values of critical load of risk substances. When evaluating the content of heavy metals in soil, attention must also be paid to their bio-accessibility (Bujnovský & Juráni, 1999).

Evaluation of Soil Quality Parameters Development in Terms of Sustainable Land Use 439

The soil conditions are relatively homogeneous, the largest area being represented by Cambisols, mostly moderate and strongly skeletal, mainly in the subsoil, medium-weight and heavy in granularity (loamy sand, loam, clayey loam). Cambisols are the most common soil type occurring in Slovakia. From an ecological viewpoint, Cambisols are valuable for their irreplaceable ability to retain and accumulate atmospheric fallout and also for their filtration attributes. From the relief viewpoint, the majority of the land is situated on slopes, soil is often eroded and, thus, surface water resources are threatened. With regard to pollution, there is an assumption that heavy metals are transported to crops (due to the acidity of these soils). In the current crop structure, cereal acreage represents 33.3 %, potatoes 16 % to 18 % and fodder crops 49.8%. Crops are rotated as follows: perennial fodder (clover mixture) → perennial fodder (clover mixture) → winter crops (winter wheat, winter rye, triticale and winter barley) → root crops (potatoes) → spring crops (spring barley, oats) → annual mixture (oats pea, peas, ryegrass). Arable land is fertilised with manure dosage of approximately 30 t ha-1 once in two years. The permitted phosphorous and potassium mineral fertilisers have not been added in the past five years. The permanent grassland and arable land were fertilised with liquid organic fertiliser in the spring season, 3 000 l ha-1 (minimum nutrients content: total nitrogen expressed as N in dry mass at least 15 %, total phosphorus as P2O5 in dry mass less than 0.2 %, total potassium as K2O in dry mass

less than 0.4 %, total sulphur as S in dry mass at least 16.5 %).

**Figure 1.** The course of average air temperatures (°C) and sum of precipitation (mm) during the observed period in the observed area situated in a marginal region of north-eastern Slovakia

Soil samples for physical, chemical and biological soil properties and heavy metal content determination were obtained in spring time in a connected stand on five permanent research sites, from the depth of 0.05 m to 0.15 m. Part of the soil samples were air-dried, sieved (sieve with 2 mm size opening), homogenised prior to the analysis and used for measurements of chemical and biological soil characteristics and heavy metal content. From the physical soil properties, soil bulk density and soil porosity were studied and evaluated in a Kopecky

The chapter deals with a synthetic and comparative analysis of scientific findings regarding the development of soil quality parameters in the conditions of a sustainable farming system. Based on the research carried out between 1997 and 2010 on a model area situated in a marginal region of north-eastern Slovakia (48o 57' N; 20o 05' E), the development of soil indicators are evaluated, focusing on physical (bulk density and soil porosity), chemical (soil pH, inorganic nitrogen, available phosphorus, potassium, magnesium and organic carbon content) and biological parameters (activity of acid and alkaline phosphatase and urease), as well as the presence of risk substances in the soil ecosystem (heavy metal content - Cd, Ni and Pb).

## **2. Evolution of soil parameters**

At present, there is little knowledge with regard to soil development in the conditions of sustainable farming systems whose principles lie in soil maintenance. There is a major effort to increase its natural productivity by as closed a cycle of nutrients as possible with the highest possible reduction of external, mainly energetic and chemical, inputs (Lacko-Bartošová et al., 2005; Fazekašová, 2003). The present findings can hardly be compared to other research due to the different soil-ecological conditions in which they were obtained. The issue of universal methods for all soil types remains a universal problem within the research of soil development. Unless this area is unified, objective comparison will remain on a regional level. Soil parameters are usually determined only in relation to specific topsoil. Certain physical and chemical parameters in subsoil cannot be neglected, since they guarantee soil functions (Fazekašová, 2003).

## **2.1. Methods**

The research project was carried out between 1997 and 2000 and 2008 and 2010 under production conditions in the investigated area situated in a marginal region of north-eastern Slovakia (48o 57' N; 20o 05' E). Here, the ecological farming system has been applied since 1996. The area is situated in the Low Tatras National Park at an altitude ranging from 846 to 1492 m above sea level. In terms of geomorphological division, it is a part of sub-assemblies of the Kráľovohoľské Mountains (Michaeli & Ivanová, 2005). The whole area is situated in a mild zone with a sum of average daily temperatures above 10 ºC ranging from 1600 to 2000 and average precipitation of 700-1200 mm (Fig. 1).

The soil conditions are relatively homogeneous, the largest area being represented by Cambisols, mostly moderate and strongly skeletal, mainly in the subsoil, medium-weight and heavy in granularity (loamy sand, loam, clayey loam). Cambisols are the most common soil type occurring in Slovakia. From an ecological viewpoint, Cambisols are valuable for their irreplaceable ability to retain and accumulate atmospheric fallout and also for their filtration attributes. From the relief viewpoint, the majority of the land is situated on slopes, soil is often eroded and, thus, surface water resources are threatened. With regard to pollution, there is an assumption that heavy metals are transported to crops (due to the acidity of these soils). In the current crop structure, cereal acreage represents 33.3 %, potatoes 16 % to 18 % and fodder crops 49.8%. Crops are rotated as follows: perennial fodder (clover mixture) → perennial fodder (clover mixture) → winter crops (winter wheat, winter rye, triticale and winter barley) → root crops (potatoes) → spring crops (spring barley, oats) → annual mixture (oats pea, peas, ryegrass). Arable land is fertilised with manure dosage of approximately 30 t ha-1 once in two years. The permitted phosphorous and potassium mineral fertilisers have not been added in the past five years. The permanent grassland and arable land were fertilised with liquid organic fertiliser in the spring season, 3 000 l ha-1 (minimum nutrients content: total nitrogen expressed as N in dry mass at least 15 %, total phosphorus as P2O5 in dry mass less than 0.2 %, total potassium as K2O in dry mass less than 0.4 %, total sulphur as S in dry mass at least 16.5 %).

438 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

to their bio-accessibility (Bujnovský & Juráni, 1999).

**2. Evolution of soil parameters** 

guarantee soil functions (Fazekašová, 2003).

and average precipitation of 700-1200 mm (Fig. 1).

and Pb).

**2.1. Methods** 

potentially mineralised nitrogen, the activity of soil enzymes, etc. Soil enzymatic activity can be used as a microbial indicator of soil quality, since the activity of soil enzymes is closely related to essential soil characteristics. It indicates changes sooner than other soil characteristics and can be an integrating soil-biological index reflecting soil use (Javoreková et al., 2008; Šarapatka, 2002). Wick et al. (2002) considers selected enzymatic activities as suitable indicators for long-term soil monitoring and quality assessment (Miralles, 2007; Geisseler, 2009). A decrease in soil quality is obvious from the values of critical load of risk substances. When evaluating the content of heavy metals in soil, attention must also be paid

The chapter deals with a synthetic and comparative analysis of scientific findings regarding the development of soil quality parameters in the conditions of a sustainable farming system. Based on the research carried out between 1997 and 2010 on a model area situated in a marginal region of north-eastern Slovakia (48o 57' N; 20o 05' E), the development of soil indicators are evaluated, focusing on physical (bulk density and soil porosity), chemical (soil pH, inorganic nitrogen, available phosphorus, potassium, magnesium and organic carbon content) and biological parameters (activity of acid and alkaline phosphatase and urease), as well as the presence of risk substances in the soil ecosystem (heavy metal content - Cd, Ni

At present, there is little knowledge with regard to soil development in the conditions of sustainable farming systems whose principles lie in soil maintenance. There is a major effort to increase its natural productivity by as closed a cycle of nutrients as possible with the highest possible reduction of external, mainly energetic and chemical, inputs (Lacko-Bartošová et al., 2005; Fazekašová, 2003). The present findings can hardly be compared to other research due to the different soil-ecological conditions in which they were obtained. The issue of universal methods for all soil types remains a universal problem within the research of soil development. Unless this area is unified, objective comparison will remain on a regional level. Soil parameters are usually determined only in relation to specific topsoil. Certain physical and chemical parameters in subsoil cannot be neglected, since they

The research project was carried out between 1997 and 2000 and 2008 and 2010 under production conditions in the investigated area situated in a marginal region of north-eastern Slovakia (48o 57' N; 20o 05' E). Here, the ecological farming system has been applied since 1996. The area is situated in the Low Tatras National Park at an altitude ranging from 846 to 1492 m above sea level. In terms of geomorphological division, it is a part of sub-assemblies of the Kráľovohoľské Mountains (Michaeli & Ivanová, 2005). The whole area is situated in a mild zone with a sum of average daily temperatures above 10 ºC ranging from 1600 to 2000

**Figure 1.** The course of average air temperatures (°C) and sum of precipitation (mm) during the observed period in the observed area situated in a marginal region of north-eastern Slovakia

Soil samples for physical, chemical and biological soil properties and heavy metal content determination were obtained in spring time in a connected stand on five permanent research sites, from the depth of 0.05 m to 0.15 m. Part of the soil samples were air-dried, sieved (sieve with 2 mm size opening), homogenised prior to the analysis and used for measurements of chemical and biological soil characteristics and heavy metal content. From the physical soil properties, soil bulk density and soil porosity were studied and evaluated in a Kopecky physical cylinder with a capacity of 100 cm3 (Fiala et al., 1999). From the chemical soil characteristics, soil pH in 1M CaCl2 solution was monitored and evaluated, as well as inorganic nitrogen, available phosphorus, potassium, and magnesium with Mehlich III and organic carbon content (Fiala et al., 1999). The available heavy metal content (Cd, Ni and Pb) of the samples was determined in 2M HNO3 solution using atomic absorption spectrophotometer (Matúšková & Vojtáš, 2005). The following biological soil characteristics were monitored: activity of acid and alkaline phosphatase (Grejtovský, 1991) and urease (Chaziev, 1976). The obtained data were tested by mathematical-statistical methods from which analysis of variance and regression analysis were used (the Statgraphics software package).

Evaluation of Soil Quality Parameters Development in Terms of Sustainable Land Use 441

Long-term research has shown that ecological soil farming regulates bulk density of soil. The measured values of bulk density were in the range of 0.94 to 1.35 t.m-3 (Fig. 2.), in 1997 to 2009, there was a moderate decrease and values comparable to average figures for the given soil type and category according to Líška et al. (2008) were achieved (Tab. 2.), with the exception of 2010, when a mild increase in bulk density was measured. At the same time, this parameter proved to change under the influence of the water content and meteorological exposure (Kotorová, Šoltýsová & Mati, 2010). In 2010, in comparison to the

**Figure 2.** Bulk density of soil in the monitored area situated in a marginal region of north-eastern

General porosity is closely related to bulk density. From the total pore volume, which should not fall below 38 % for sandy soil and below 48 % for clay-loam soil (Líška et al., 2008), the share of non-capillary pores rapidly releasing gravitational water and allowing good air exchange between soil and climate should be sufficient. The share of noncapillary pores (Pn) in comparison to capillary pores (Pk) should be higher in heavy

As can be seen from Fig. 3., the values show that, in the observed timeframe, porosity levels ranged between 46.43 and 64.49 %. Considering this parameter, optimum conditions were created for the growth of most arable crops, which are given by general porosity between 55

A statistically significant effect in the monitored year and locality on all observed soil

previous years, precipitation reached higher values (Fig. 1.).

Slovakia expressed by descriptive statistics

and 65 % and 20 and 25 % soil air content (Rode, 1969).

physical parameters was confirmed by an analysis of variance (Tab. 3.).

soils.

## **2.2. Evolution of physical soil parameters**

The changes in physical characteristics of soil not only result from meteorological factors, yearly farming plan, or from the course of vegetation, but also depend on the employed farming system. Larson and Pierce (1991) confirmed that soil quality can be evaluated and the sustainability of a system assessed on the basis of essential physical indicators.

Soil granularity, and especially the ratio of clay particles, primarily influences physical, hydro-physical and chemical characteristics. The soils in the monitored localities according to the content of clay particles based on Novák's classification (Fulajtár, 2006) are of loamysandy, loamy and clay-loamy category (Tab. 1.).


**Table 1.** Particle grain-size composition of soil [%] in the monitored area situated in a marginal region of north-eastern Slovakia in depth 0.050.15 m.

Bulk density as an integral value of soil granularity, humus content and anthropogenic impacts on soil should not exceed the limits given for individual soil types (Tab. 2.).


**Table 2.** Critical values of bulk density soil [t.m-3] and porosity [%] for different of soil texture (Líška et al., 2008)

Long-term research has shown that ecological soil farming regulates bulk density of soil. The measured values of bulk density were in the range of 0.94 to 1.35 t.m-3 (Fig. 2.), in 1997 to 2009, there was a moderate decrease and values comparable to average figures for the given soil type and category according to Líška et al. (2008) were achieved (Tab. 2.), with the exception of 2010, when a mild increase in bulk density was measured. At the same time, this parameter proved to change under the influence of the water content and meteorological exposure (Kotorová, Šoltýsová & Mati, 2010). In 2010, in comparison to the previous years, precipitation reached higher values (Fig. 1.).

440 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

and regression analysis were used (the Statgraphics software package).

**2.2. Evolution of physical soil parameters** 

sandy, loamy and clay-loamy category (Tab. 1.).

of north-eastern Slovakia in depth 0.050.15 m.

Diameter of particles [%]

Soil

Bulk

(Líška et al., 2008)

physical cylinder with a capacity of 100 cm3 (Fiala et al., 1999). From the chemical soil characteristics, soil pH in 1M CaCl2 solution was monitored and evaluated, as well as inorganic nitrogen, available phosphorus, potassium, and magnesium with Mehlich III and organic carbon content (Fiala et al., 1999). The available heavy metal content (Cd, Ni and Pb) of the samples was determined in 2M HNO3 solution using atomic absorption spectrophotometer (Matúšková & Vojtáš, 2005). The following biological soil characteristics were monitored: activity of acid and alkaline phosphatase (Grejtovský, 1991) and urease (Chaziev, 1976). The obtained data were tested by mathematical-statistical methods from which analysis of variance

The changes in physical characteristics of soil not only result from meteorological factors, yearly farming plan, or from the course of vegetation, but also depend on the employed farming system. Larson and Pierce (1991) confirmed that soil quality can be evaluated and

Soil granularity, and especially the ratio of clay particles, primarily influences physical, hydro-physical and chemical characteristics. The soils in the monitored localities according to the content of clay particles based on Novák's classification (Fulajtár, 2006) are of loamy-

> 0.25 31.3 14.5 11.5 32.5 16.0 0.250.05 21.6 15.5 18.9 13.9 14.9 0.050.01 27.8 32.4 24.3 22.2 31.3 0.010.001 15.5 29.3 3.3 24.0 2.6 < 0.001 3.8 8.3 11.0 7.4 8.2 I. Category 19.3 37.6 45.3 31.4 37.8 Soil loamy sand loam clayey loam loam loam **Table 1.** Particle grain-size composition of soil [%] in the monitored area situated in a marginal region

Bulk density as an integral value of soil granularity, humus content and anthropogenic

density 1.70 1.60 1.55 1.45 1.40 1.35 Porosity 38 40 42 45 47 48

and clay Clay

impacts on soil should not exceed the limits given for individual soil types (Tab. 2.).

texture Sandy Loamy sand Sandy loam Loam Clayey loam

**Table 2.** Critical values of bulk density soil [t.m-3] and porosity [%] for different of soil texture

Studied locality I. II. III. IV. V.

the sustainability of a system assessed on the basis of essential physical indicators.

**Figure 2.** Bulk density of soil in the monitored area situated in a marginal region of north-eastern Slovakia expressed by descriptive statistics

General porosity is closely related to bulk density. From the total pore volume, which should not fall below 38 % for sandy soil and below 48 % for clay-loam soil (Líška et al., 2008), the share of non-capillary pores rapidly releasing gravitational water and allowing good air exchange between soil and climate should be sufficient. The share of noncapillary pores (Pn) in comparison to capillary pores (Pk) should be higher in heavy soils.

As can be seen from Fig. 3., the values show that, in the observed timeframe, porosity levels ranged between 46.43 and 64.49 %. Considering this parameter, optimum conditions were created for the growth of most arable crops, which are given by general porosity between 55 and 65 % and 20 and 25 % soil air content (Rode, 1969).

A statistically significant effect in the monitored year and locality on all observed soil physical parameters was confirmed by an analysis of variance (Tab. 3.).

442 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management


Evaluation of Soil Quality Parameters Development in Terms of Sustainable Land Use 443

1997). A pH value lower than 5.5 is undesirable and requires ameliorative lime treatment. Similarly, from the viewpoint of productivity, alkaline soils (pH>8.4) are limiting and

In the course of monitoring the model area, the values of soil pH ranged between 5.1 and 7.2. The average values of soil pH increased moderately and were in the category of slightly

This can be assigned to the ecological farming system, as physiologically acidic mineral fertilisers were not applied. On the contrary, organic fertilisers (manure at the dosage 30 t ha-1 and liquid organic fertilisers at the dosage 3000 l ha-1) were applied. The organic matter positively influences the buffering capacity of soil, which is why the soil reaction was stabilised. Nevertheless, it is necessary to pay continuous attention to soil reaction, since soil is naturally acidified through acid atmospheric fallout as well as calcium intake by plants.

**Figure 4.** Soil reaction (pH/CaCl2) in the monitored area situated in a marginal region of north-eastern

Nitrogen, phosphorus and potassium are the most important nutrients. Their supply to soil can be realised in various ways; fertilisation being of most importance. A lack of essential nutrients is rapidly reflected in the level of plant production. Nitrogen in soil is restored as part of its natural cycle. Its additional supply is necessary for intensified harvest, when its natural supply is not sufficient in order to achieve the targeted harvest. The supply of phosphorus and potassium by fertilisation is related to their supply in soil. Their supply in soil is not exhaustless; moreover, when constantly utilised, they are not

require appropriate measures.

acidic to neutral soil pH (6.3 – 6.9) (Fig. 4.).

Slovakia expressed by descriptive statistics

naturally renewable.

**Table 3.** Analysis of variance of soil physical parameters in the monitored area situated in a marginal region of north-eastern Slovakia

++P 0,01 +P 0,05

**Figure 3.** Porosity of soil in the monitored area situated in a marginal region of north-eastern Slovakia expressed by descriptive statistics

## **2.3. Evolution of chemical soil parameters**

Chemical parameters are considered relatively dynamic (pH, nutrient content) and, in terms of plant growth and development, vital. Their deficiency is reflected in crop production. At the same time, they serve as indicators of additional inputs in the form of fertilisers. Sustainable farming systems exclude, or reduce, the use of artificial fertilisers; therefore, it is necessary to pay attention to the dynamics of chemical soil parameters in order to prevent one-way draining of nutrients, particularly phosphorus and potassium.

The soil pH is an important factor for soil fertility despite the fact that its values change dynamically, depending on so-called internal and external factors. It influences the buffering and filtering capacities, the quality of organic substances, nutrient accessibility for plants and the production of biomass in most crops grown. A majority of arable crops suit the range of slightly acidic to slightly alkaline soil pH – 6 to 7.5 (Krnáčová, Račko & Bedrna, 1997). A pH value lower than 5.5 is undesirable and requires ameliorative lime treatment. Similarly, from the viewpoint of productivity, alkaline soils (pH>8.4) are limiting and require appropriate measures.

442 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

error

**Table 3.** Analysis of variance of soil physical parameters in the monitored area situated in a marginal

**Figure 3.** Porosity of soil in the monitored area situated in a marginal region of north-eastern Slovakia

Chemical parameters are considered relatively dynamic (pH, nutrient content) and, in terms of plant growth and development, vital. Their deficiency is reflected in crop production. At the same time, they serve as indicators of additional inputs in the form of fertilisers. Sustainable farming systems exclude, or reduce, the use of artificial fertilisers; therefore, it is necessary to pay attention to the dynamics of chemical soil parameters in order to prevent

The soil pH is an important factor for soil fertility despite the fact that its values change dynamically, depending on so-called internal and external factors. It influences the buffering and filtering capacities, the quality of organic substances, nutrient accessibility for plants and the production of biomass in most crops grown. A majority of arable crops suit the range of slightly acidic to slightly alkaline soil pH – 6 to 7.5 (Krnáčová, Račko & Bedrna,

one-way draining of nutrients, particularly phosphorus and potassium.

Source of variability

locality

locality

d. f. F-

6 4

6 4 Ratio

8.33 28.39

8.24 28.41 P

++ ++

++ ++

Parameter Min. Max. Mean Standard

[t.m-3] 1.04 1.35 1.18 0.016347 year

porosity [%] 49.15 60.56 55.52 0.617864 year

bulk density

++P 0,01 +P 0,05

region of north-eastern Slovakia

expressed by descriptive statistics

**2.3. Evolution of chemical soil parameters** 

In the course of monitoring the model area, the values of soil pH ranged between 5.1 and 7.2. The average values of soil pH increased moderately and were in the category of slightly acidic to neutral soil pH (6.3 – 6.9) (Fig. 4.).

This can be assigned to the ecological farming system, as physiologically acidic mineral fertilisers were not applied. On the contrary, organic fertilisers (manure at the dosage 30 t ha-1 and liquid organic fertilisers at the dosage 3000 l ha-1) were applied. The organic matter positively influences the buffering capacity of soil, which is why the soil reaction was stabilised. Nevertheless, it is necessary to pay continuous attention to soil reaction, since soil is naturally acidified through acid atmospheric fallout as well as calcium intake by plants.

**Figure 4.** Soil reaction (pH/CaCl2) in the monitored area situated in a marginal region of north-eastern Slovakia expressed by descriptive statistics

Nitrogen, phosphorus and potassium are the most important nutrients. Their supply to soil can be realised in various ways; fertilisation being of most importance. A lack of essential nutrients is rapidly reflected in the level of plant production. Nitrogen in soil is restored as part of its natural cycle. Its additional supply is necessary for intensified harvest, when its natural supply is not sufficient in order to achieve the targeted harvest. The supply of phosphorus and potassium by fertilisation is related to their supply in soil. Their supply in soil is not exhaustless; moreover, when constantly utilised, they are not naturally renewable.

Evaluation of Soil Quality Parameters Development in Terms of Sustainable Land Use 445

Phosphorus is firmly fixed in soil and its proportion is relatively stable and dependent on soil reaction values. Between 1997 and 2010, the value of soil pH did not significantly change in the investigated area. With regard to the above, the proportion of available

**Figure 6.** Pavail content of soil in the monitored area situated in a marginal region of north-eastern

In the observed period, the proportion of potassium and magnesium was relatively stable (Fig. 7. and Fig. 8). Due to the grain structure of the soils (medium and heavy soils), these nutrients are bound to soil particles and are not prone to soil washing in spite of high

Organic mass determines the soils quality, as it binds soil particles, stabilises soil (by which the risk of erosion decreases), increases water retention and cationic exchange capacity and reduces the negative impact of pesticides, heavy metals and other pollutants. A high proportion of organic carbon alone cannot guarantee a high yield; however, the influence of soil carbon on productivity increases when the levels of carbon decrease below 1%. With a content Corg 1.0 to 1.5, productivity decreases by 15 % and with content Corg under 1.0 %, it decreases by as much as 25 %. The most significant parameter is the ratio of humin acids and fulvene acids. This ratio is considered highly favourable, if it is higher than 2, satisfactory in the range between 1 and 2, and unfavourable if lower than 1. With regard to biological activity of soil, so-called non-specific humus substances play a significant role. These are a source of nutrients for soil microorganisms, participating in important cyclic

The content of humus in soil is a parameter prone to significant changes in the long-term. The application of high amounts of organic fertilisers and incorporating perennial fodder

phosphorus changed only minimally (Fig. 6.).

Slovakia expressed by descriptive statistics

precipitation throughout the year.

biochemical processes (Hraško & Bedrna, 1988).

According to Bielek (1998), there is a small probability that an increase in the total nitrogen content has a positive effect on soil fertility. This only applies to productive and highly productive soils. For soils with low production capacity, a reciprocal ratio between the total nitrogen content and soil fertility is typical. From the total nitrogen in soil, 95 % to 98 % is bound in organic forms; fertility functions determine mechanisms of its accessibility to plants. It is mainly organic nitrogen mineralisation, or, more specifically, that part of mineralisation which prevails over carbon immobilisation related to fertility. Inorganic nitrogen only represents a small part of total nitrogen and its content in the season is subject to frequent and fast changes, resulting from natural and anthropic factors. The concentrations of the main forms of mineral nitrogen (ammonia, nitrates) result from pure mineralisation and frequent nitrification of nitrogen in soil. In our research carried out in natural conditions, medium to highly favourable content of inorganic nitrogen in topsoil has been observed (Fig. 5.) in spite of the fact that in the soil-ecological conditions of the investigated area (a mild zone with a sum of average daily temperatures above 10 ºC ranging from 1600 ºC to 2000 ºC and average precipitation of 700-1200 mm), the nitrogen mineralisation is less intensive (the optimum temperature for an intensive process is 28-30 ºC); therefore, even with a high total content of nitrogen, the content of mineral (i.e. immediately available) nitrogen may not be high. The assumption is that by adding high doses of organic fertiliser, the total nitrogen content will increase. However, including legumes in the crop rotation can increase the content of immediately available nitrogen. These crops leave high amounts of nitrogen in soil (more than 100 kg ha-1 N), which are later available for the crops grown in the following period (Jurčová & Torma, 1998; Kováčik, 2001).

**Figure 5.** Nanorg content of soil in the monitored area situated in a marginal region of north-eastern Slovakia expressed by descriptive statistics

Phosphorus is firmly fixed in soil and its proportion is relatively stable and dependent on soil reaction values. Between 1997 and 2010, the value of soil pH did not significantly change in the investigated area. With regard to the above, the proportion of available phosphorus changed only minimally (Fig. 6.).

444 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

2001).

According to Bielek (1998), there is a small probability that an increase in the total nitrogen content has a positive effect on soil fertility. This only applies to productive and highly productive soils. For soils with low production capacity, a reciprocal ratio between the total nitrogen content and soil fertility is typical. From the total nitrogen in soil, 95 % to 98 % is bound in organic forms; fertility functions determine mechanisms of its accessibility to plants. It is mainly organic nitrogen mineralisation, or, more specifically, that part of mineralisation which prevails over carbon immobilisation related to fertility. Inorganic nitrogen only represents a small part of total nitrogen and its content in the season is subject to frequent and fast changes, resulting from natural and anthropic factors. The concentrations of the main forms of mineral nitrogen (ammonia, nitrates) result from pure mineralisation and frequent nitrification of nitrogen in soil. In our research carried out in natural conditions, medium to highly favourable content of inorganic nitrogen in topsoil has been observed (Fig. 5.) in spite of the fact that in the soil-ecological conditions of the investigated area (a mild zone with a sum of average daily temperatures above 10 ºC ranging from 1600 ºC to 2000 ºC and average precipitation of 700-1200 mm), the nitrogen mineralisation is less intensive (the optimum temperature for an intensive process is 28-30 ºC); therefore, even with a high total content of nitrogen, the content of mineral (i.e. immediately available) nitrogen may not be high. The assumption is that by adding high doses of organic fertiliser, the total nitrogen content will increase. However, including legumes in the crop rotation can increase the content of immediately available nitrogen. These crops leave high amounts of nitrogen in soil (more than 100 kg ha-1 N), which are later available for the crops grown in the following period (Jurčová & Torma, 1998; Kováčik,

**Figure 5.** Nanorg content of soil in the monitored area situated in a marginal region of north-eastern

Slovakia expressed by descriptive statistics

**Figure 6.** Pavail content of soil in the monitored area situated in a marginal region of north-eastern Slovakia expressed by descriptive statistics

In the observed period, the proportion of potassium and magnesium was relatively stable (Fig. 7. and Fig. 8). Due to the grain structure of the soils (medium and heavy soils), these nutrients are bound to soil particles and are not prone to soil washing in spite of high precipitation throughout the year.

Organic mass determines the soils quality, as it binds soil particles, stabilises soil (by which the risk of erosion decreases), increases water retention and cationic exchange capacity and reduces the negative impact of pesticides, heavy metals and other pollutants. A high proportion of organic carbon alone cannot guarantee a high yield; however, the influence of soil carbon on productivity increases when the levels of carbon decrease below 1%. With a content Corg 1.0 to 1.5, productivity decreases by 15 % and with content Corg under 1.0 %, it decreases by as much as 25 %. The most significant parameter is the ratio of humin acids and fulvene acids. This ratio is considered highly favourable, if it is higher than 2, satisfactory in the range between 1 and 2, and unfavourable if lower than 1. With regard to biological activity of soil, so-called non-specific humus substances play a significant role. These are a source of nutrients for soil microorganisms, participating in important cyclic biochemical processes (Hraško & Bedrna, 1988).

The content of humus in soil is a parameter prone to significant changes in the long-term. The application of high amounts of organic fertilisers and incorporating perennial fodder

crops in the crop rotation influenced the preservation of humus content. The measured Cox values ranged from 2.16 to 3.92 (Fig. 9.), which, when conversed to humus (conversion coefficient 1.724), are medium to good humic soils (Vilček et al., 2005).

Evaluation of Soil Quality Parameters Development in Terms of Sustainable Land Use 447

**Figure 9.** Cox content of soil in the monitored area situated in a marginal region of north-eastern

A statistically significant effect of the monitored year on all observed soil chemical parameters was confirmed by an analysis of variance (Tab. 4.). The influence of the monitored locality on soil chemical parameters was also statistically significant, with the

error

**Table 4.** Analysis of variance of soil chemical parameters in the monitored area situated in a marginal

Source of

locality

locality

locality

locality

locality

locality

variability d. f. F-

6 4

6 4

6 4

6 4

6 4

6 4 Ratio <sup>P</sup>



++ -

++ ++

++ ++

++ ++

0.82 24.51

1.46 23.99

12.77 2.22

3.02 121.06

5.87 43.46

17.52 3.73

Slovakia expressed by descriptive statistics

Parameter Min. Max. Mean Standard

pH/CaCl2 5.77 7.13 6.41 0.083124 year

Cox [%] 2.25 3.61 3.03 0.084802 year

[mg.kg-1] 16.76 40.50 27.52 1.698623 year

[mg.kg-1] 19.97 127.88 64.63 3.494827 year

[mg.kg-1] 168.59 427.98 290.91 12.5772 year

[mg.kg-1] 215.98 301.43 265.0 4.918103 year

exception of Nanorg.

Nanorg

Pavail

Kavail

Mgavail

region of north-eastern Slovakia

++P 0,01 +P 0,05

**Figure 7.** Kavail content of soil in the monitored area situated in a marginal region of north-eastern Slovakia expressed by descriptive statistics

**Figure 8.** Mgavail content of soil in the monitored area situated in a marginal region of north-eastern Slovakia expressed by descriptive statistics

**Figure 9.** Cox content of soil in the monitored area situated in a marginal region of north-eastern Slovakia expressed by descriptive statistics

A statistically significant effect of the monitored year on all observed soil chemical parameters was confirmed by an analysis of variance (Tab. 4.). The influence of the monitored locality on soil chemical parameters was also statistically significant, with the exception of Nanorg.


++P 0,01 +P 0,05

446 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

coefficient 1.724), are medium to good humic soils (Vilček et al., 2005).

crops in the crop rotation influenced the preservation of humus content. The measured Cox values ranged from 2.16 to 3.92 (Fig. 9.), which, when conversed to humus (conversion

**Figure 7.** Kavail content of soil in the monitored area situated in a marginal region of north-eastern

**Figure 8.** Mgavail content of soil in the monitored area situated in a marginal region of north-eastern

Slovakia expressed by descriptive statistics

Slovakia expressed by descriptive statistics

## **2.4. Evolution of biological soil parameters**

The information on biological soil parameters is not as plentiful as it is in the case of physical and chemical parameters, despite the fact that the effect of edaphon on biochemical processes in soil, nutrients balance, soil structure, etc. is proven in general.

Evaluation of Soil Quality Parameters Development in Terms of Sustainable Land Use 449

Soil phosphatase has certain typical characteristics. It depends on the substratum and its concentration. Two optimums levels, acidic and alkaline, are often present (Burns, 1978). An

Soil pH differs from the pH optimal for phosphatase activity. Soil phosphatase can be inactive if the differences between soil pH and optimum enzyme pH are too great (Chaziev, 1976). The activity of soil phosphatase is higher in soils with high humidity in comparison to dry soils or soils with normal humidity. Phosphatase activity declines with an increasing soil depth, which is caused mainly by lower biological activity in lower soil profiles. Inorganic phosphate, copper, mercury and vanadium also have a considerable inhibitory

There was minimum fluctuation in the measured values of soil enzyme activity in the observed period. The urease values ranged from 0.43 to 0.67 mg NH4+ - N.g-1.24 hour-1, and the values of acidic and alkaline phosphatase between 236.8 and 336.5 µg P.g-1.3 hour-1 (Fig. 10., Fig. 11. and Fig. 12.). These are values typical for sparse-vegetation soils (Burns, 1978).

**Figure 10.** Urease activity of soil in the monitored area situated in a marginal region of north-eastern

At the same time, a higher activity of soil enzymes in lower temperatures was confirmed (the area is situated in a mild district with a sum of average daily temperatures above 10 oC ranging from 1600 to 2000 and average precipitation between 700 and 1200 mm) and organic fertilisers and soil organic mass stimulate the activity of soil phosphatase and significantly enhance the protection of natural soil urease (Chaziev, 1976; Bremner

Slovakia expressed by descriptive statistics

& Mulvaney, 1978).

optimum pH of soil phosphatase is influenced by a great number of factors.

effect on soil phosphatase activity (Burns, 1978; Speir et al., 2003).

There are a great number of enzymes in soil, depending on the diversity of soil organisms and the conditions of organic substances transformation.

Soil enzymes regulate the functioning of the ecosystem and play key biochemical functions in the overall process of organic matter decomposition in the soil system (Sinsabaugh et al., 1997). They are important in catalysing several important reactions necessary for the life processes of micro-organisms in soils and the stabilisation of soil structure, the decomposition of organic wastes, organic matter formation and nutrient cycling (Dick et al., 1994 cited in Makoi & Ndakidemi, 2008).

Enzymes are present in the cells of living organisms in soil (bacteria, fungi, algae, and soil fauna) and plant roots. Micro-organisms are the major source of enzymes in soil. The amount and quality of enzymes in soil is dependent on their characteristics, volumes and forms of organic matter and the activity of micro-flora. Enzymatic soil activity is higher in fertile soils with plenitudes of organic matter. The highest proportion of various enzymes can be found in the humus soil horizon (Pejve, 1966). The activity of soil enzymes can be enhanced by using organic fertilisers (Burns, 1978; Iovieno et al., 2009; Chander et al., 1997). The urease enzyme belongs to the hydrolases group of enzymes and is responsible for the hydrolysis of urea fertiliser applied to the soil into NH3 and CO2 with the concomitant rise in soil pH. This, in turn, results in a rapid N loss to the atmosphere through NH3 volatilisation. Due to this role, urease activities in soils have received a lot of attention since it was first reported, a process considered vital in the regulation of N supply to plants after urea fertilisation (Makoi & Ndakidemi, 2008).

Soil urease originates mainly from plants and micro-organisms. It can be found as a free enzyme in soil solution, and yet more often firmly bound to soil organic mass or minerals, as well as inside living cells (Klose & Tabatabai; 2000; Alef & Nannipieri, 1995). Its activity depends on soil humidity (Baligar et al., 2005), pH, humus proportion and quality (Tabatabai & Acosta-Martínez, 2000) and the total nitrogen content (Nourbakhsh & Monreal, 2004). At the same time, an increased sensitivity to excess content of heavy metals (Kromka & Bedrna, 2000) and a negative effect of triazine herbicides on the activity of enzymes (Belińska & Prangal, 2007) was shown.

Phosphatases are a broad group of enzymes that are capable of catalysing hydrolysis of esters and anhydrides of phosphoric acid. In soil ecosystems, these enzymes are believed to play critical roles in P cycles (Speir et al., 2003) as evidence shows that they are correlated to P stress and plant growth. Apart from being good indicators of soil fertility, phosphatase enzymes play key roles in the soil system (Dick et al., 2000 cited in Makoi & Ndakidemi, 2008).

Soil phosphatase has certain typical characteristics. It depends on the substratum and its concentration. Two optimums levels, acidic and alkaline, are often present (Burns, 1978). An optimum pH of soil phosphatase is influenced by a great number of factors.

448 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

processes in soil, nutrients balance, soil structure, etc. is proven in general.

The information on biological soil parameters is not as plentiful as it is in the case of physical and chemical parameters, despite the fact that the effect of edaphon on biochemical

There are a great number of enzymes in soil, depending on the diversity of soil organisms

Soil enzymes regulate the functioning of the ecosystem and play key biochemical functions in the overall process of organic matter decomposition in the soil system (Sinsabaugh et al., 1997). They are important in catalysing several important reactions necessary for the life processes of micro-organisms in soils and the stabilisation of soil structure, the decomposition of organic wastes, organic matter formation and nutrient cycling (Dick et al.,

Enzymes are present in the cells of living organisms in soil (bacteria, fungi, algae, and soil fauna) and plant roots. Micro-organisms are the major source of enzymes in soil. The amount and quality of enzymes in soil is dependent on their characteristics, volumes and forms of organic matter and the activity of micro-flora. Enzymatic soil activity is higher in fertile soils with plenitudes of organic matter. The highest proportion of various enzymes can be found in the humus soil horizon (Pejve, 1966). The activity of soil enzymes can be enhanced by using organic fertilisers (Burns, 1978; Iovieno et al., 2009; Chander et al., 1997). The urease enzyme belongs to the hydrolases group of enzymes and is responsible for the hydrolysis of urea fertiliser applied to the soil into NH3 and CO2 with the concomitant rise in soil pH. This, in turn, results in a rapid N loss to the atmosphere through NH3 volatilisation. Due to this role, urease activities in soils have received a lot of attention since it was first reported, a process considered vital in the regulation of N supply to plants after

Soil urease originates mainly from plants and micro-organisms. It can be found as a free enzyme in soil solution, and yet more often firmly bound to soil organic mass or minerals, as well as inside living cells (Klose & Tabatabai; 2000; Alef & Nannipieri, 1995). Its activity depends on soil humidity (Baligar et al., 2005), pH, humus proportion and quality (Tabatabai & Acosta-Martínez, 2000) and the total nitrogen content (Nourbakhsh & Monreal, 2004). At the same time, an increased sensitivity to excess content of heavy metals (Kromka & Bedrna, 2000) and a negative effect of triazine herbicides on the activity of enzymes

Phosphatases are a broad group of enzymes that are capable of catalysing hydrolysis of esters and anhydrides of phosphoric acid. In soil ecosystems, these enzymes are believed to play critical roles in P cycles (Speir et al., 2003) as evidence shows that they are correlated to P stress and plant growth. Apart from being good indicators of soil fertility, phosphatase enzymes play key roles in the soil system (Dick et al., 2000 cited in Makoi & Ndakidemi,

**2.4. Evolution of biological soil parameters** 

1994 cited in Makoi & Ndakidemi, 2008).

urea fertilisation (Makoi & Ndakidemi, 2008).

(Belińska & Prangal, 2007) was shown.

2008).

and the conditions of organic substances transformation.

Soil pH differs from the pH optimal for phosphatase activity. Soil phosphatase can be inactive if the differences between soil pH and optimum enzyme pH are too great (Chaziev, 1976). The activity of soil phosphatase is higher in soils with high humidity in comparison to dry soils or soils with normal humidity. Phosphatase activity declines with an increasing soil depth, which is caused mainly by lower biological activity in lower soil profiles. Inorganic phosphate, copper, mercury and vanadium also have a considerable inhibitory effect on soil phosphatase activity (Burns, 1978; Speir et al., 2003).

There was minimum fluctuation in the measured values of soil enzyme activity in the observed period. The urease values ranged from 0.43 to 0.67 mg NH4+ - N.g-1.24 hour-1, and the values of acidic and alkaline phosphatase between 236.8 and 336.5 µg P.g-1.3 hour-1 (Fig. 10., Fig. 11. and Fig. 12.). These are values typical for sparse-vegetation soils (Burns, 1978).

**Figure 10.** Urease activity of soil in the monitored area situated in a marginal region of north-eastern Slovakia expressed by descriptive statistics

At the same time, a higher activity of soil enzymes in lower temperatures was confirmed (the area is situated in a mild district with a sum of average daily temperatures above 10 oC ranging from 1600 to 2000 and average precipitation between 700 and 1200 mm) and organic fertilisers and soil organic mass stimulate the activity of soil phosphatase and significantly enhance the protection of natural soil urease (Chaziev, 1976; Bremner & Mulvaney, 1978).

Evaluation of Soil Quality Parameters Development in Terms of Sustainable Land Use 451

Source of

locality

locality

locality

variability d. f. F-

6 4

6 4

6 4 Ratio <sup>P</sup>

++ ++

++ ++

++ ++

44.07 33.12

36.16 15.85

75.50 16.39

A statistically significant effect of the monitored year and locality on all observed soil

error

biological parameters was confirmed by an analysis of variance (Tab. 5.).

0.454 0.674 0.551 0.007954 year

271.23 306.77 294.91 2.65001 year

264.35 329.33 291.97 1.96567 year

indirectly affect the acceptability of risk elements for plants (Beneš, 1993).

persistent substances that are among harmful substances entering soil.

**Table 5.** Analysis of variance of soil biological parameters in the monitored area situated in a marginal

An increase in inputs employed in the farming system has gradually brought about the need for studying and evaluating their potential negative influence on soil environment and production quality. Monitoring soil contamination with various degrees of biotoxicity is an important area. Fertilisers, especially industrially produced, are considered (including rock slackening, atmospheric decline and waste stock) a significant source of risk elements in soil (Beneš, Benešová, 1993). The system of farming, including the use of fertilisers, can also

Loading agricultural soil with harmful substances is serious, since soil is not only the key to agricultural production but also has filtration and buffering capacities. Soil considerably influences the composition and quality of underground water and provides a living environment for soil micro-organisms (Tischer, 2008; Gulser, 2008). It could be assumed that accumulating higher concentrations of heavy metals in soil is a potentially serious danger to the food chain (Torma et al., 1997). It is especially toxic elements and organically highly-

Heavy metals as a large group of polluters are a serious problem in all components of the environment, including soil. As a great number of these have considerable toxic effects, their highest allowed concentrations are defined for the soil system, similarly to those for air and water. It is extremely difficult to define limit concentrations of heavy metals for soil, since, in contrast to air and water, soil is an extremely heterogeneous system and mobility of inorganic contaminants, closely related to the intake by plants, depends on several soil

Parameter Min. Max. Mean Standard

urease [mg NH4+ - N.g-1 .24hour-1]

phosphatase [µg P.g-1 .3hour-1]

++P 0,01 +P 0,05

region of north-eastern Slovakia

**2.5. Concentration of heavy metals in soil** 

alkaline phosphatase [µg P.g-1 .3hour-1]

acid

**Figure 11.** Acid phosphatase activity of soil in the monitored area situated in a marginal region of north-eastern Slovakia expressed by descriptive statistics

**Figure 12.** Alkaline phosphatase activity of soil in the monitored area situated in a marginal region of north-eastern Slovakia expressed by descriptive statistics


A statistically significant effect of the monitored year and locality on all observed soil biological parameters was confirmed by an analysis of variance (Tab. 5.).

**Table 5.** Analysis of variance of soil biological parameters in the monitored area situated in a marginal region of north-eastern Slovakia

++P 0,01 +P 0,05

450 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 11.** Acid phosphatase activity of soil in the monitored area situated in a marginal region of

**Figure 12.** Alkaline phosphatase activity of soil in the monitored area situated in a marginal region of

north-eastern Slovakia expressed by descriptive statistics

north-eastern Slovakia expressed by descriptive statistics

## **2.5. Concentration of heavy metals in soil**

An increase in inputs employed in the farming system has gradually brought about the need for studying and evaluating their potential negative influence on soil environment and production quality. Monitoring soil contamination with various degrees of biotoxicity is an important area. Fertilisers, especially industrially produced, are considered (including rock slackening, atmospheric decline and waste stock) a significant source of risk elements in soil (Beneš, Benešová, 1993). The system of farming, including the use of fertilisers, can also indirectly affect the acceptability of risk elements for plants (Beneš, 1993).

Loading agricultural soil with harmful substances is serious, since soil is not only the key to agricultural production but also has filtration and buffering capacities. Soil considerably influences the composition and quality of underground water and provides a living environment for soil micro-organisms (Tischer, 2008; Gulser, 2008). It could be assumed that accumulating higher concentrations of heavy metals in soil is a potentially serious danger to the food chain (Torma et al., 1997). It is especially toxic elements and organically highlypersistent substances that are among harmful substances entering soil.

Heavy metals as a large group of polluters are a serious problem in all components of the environment, including soil. As a great number of these have considerable toxic effects, their highest allowed concentrations are defined for the soil system, similarly to those for air and water. It is extremely difficult to define limit concentrations of heavy metals for soil, since, in contrast to air and water, soil is an extremely heterogeneous system and mobility of inorganic contaminants, closely related to the intake by plants, depends on several soil

factors. The approaches towards the determination of metal concentration limits in soil vary significantly in individual countries. In some countries, the definition of limits for heavy metals concentrations is based on soil use (these are defined as so-called trigger and action values), or, possibly, on eco-toxicological data in so-called standard soil and limit values for the total and dissolvable concentration of heavy metals in soil (Barančíková, 1998; Makovníková et al., 2006).

Evaluation of Soil Quality Parameters Development in Terms of Sustainable Land Use 453

**Figure 14.** Ni content of soil in the monitored area situated in a marginal region of north-eastern

**Figure 15.** Pb content of soil in the monitored area situated in a marginal region of north-eastern

Slovakia expressed by descriptive statistics

Slovakia expressed by descriptive statistics

Toxicity of heavy metals varies; it decreases in the following line Hg>Cd>Ni>Pb>Cr and their influence is enhanced by their non-degradability. Soil is only presented as a passive acceptor of heavy metals; it becomes the source of polluting other components of the environment and the food chain. Changes in soil properties are responsible for the mobilisation of metals, especially pH, humus content and quality and the proportion of clay fraction (Barančíková, 1998).

With regard to the above findings, the content of the following risk elements was observed in the conditions of sustainable use of soil: lead, cadmium and nickel (in the leachate 2M HNO3) (Fig. 13., Fig. 14. and Fig. 15.). The evaluation showed that the content of dangerous elements in soil did not reach maximum permitted values for the Slovak Republic (Act No. 220/2004 Coll.) and the measured values corresponded with natural contents of the observed elements in soil and base rocks (Makovníková et al., 2006). At the same time, in ecological systems, no anthropogenic pollution by applying chemical substances and sediments in soil is present.

**Figure 13.** Cd content of soil in the monitored area situated in a marginal region of north-eastern Slovakia expressed by descriptive statistics

Makovníková et al., 2006).

fraction (Barančíková, 1998).

Slovakia expressed by descriptive statistics

is present.

factors. The approaches towards the determination of metal concentration limits in soil vary significantly in individual countries. In some countries, the definition of limits for heavy metals concentrations is based on soil use (these are defined as so-called trigger and action values), or, possibly, on eco-toxicological data in so-called standard soil and limit values for the total and dissolvable concentration of heavy metals in soil (Barančíková, 1998;

Toxicity of heavy metals varies; it decreases in the following line Hg>Cd>Ni>Pb>Cr and their influence is enhanced by their non-degradability. Soil is only presented as a passive acceptor of heavy metals; it becomes the source of polluting other components of the environment and the food chain. Changes in soil properties are responsible for the mobilisation of metals, especially pH, humus content and quality and the proportion of clay

With regard to the above findings, the content of the following risk elements was observed in the conditions of sustainable use of soil: lead, cadmium and nickel (in the leachate 2M HNO3) (Fig. 13., Fig. 14. and Fig. 15.). The evaluation showed that the content of dangerous elements in soil did not reach maximum permitted values for the Slovak Republic (Act No. 220/2004 Coll.) and the measured values corresponded with natural contents of the observed elements in soil and base rocks (Makovníková et al., 2006). At the same time, in ecological systems, no anthropogenic pollution by applying chemical substances and sediments in soil

**Figure 13.** Cd content of soil in the monitored area situated in a marginal region of north-eastern

**Figure 14.** Ni content of soil in the monitored area situated in a marginal region of north-eastern Slovakia expressed by descriptive statistics

**Figure 15.** Pb content of soil in the monitored area situated in a marginal region of north-eastern Slovakia expressed by descriptive statistics


A statistically significant effect of the monitored year and locality on observed heavy metal content of the soil was confirmed by an analysis of variance (Tab. 6.).

Evaluation of Soil Quality Parameters Development in Terms of Sustainable Land Use 455

this area is unified, objective comparison will remain on a regional level. Soil parameters are usually determined only in relation to specific topsoil. Certain physical and chemical

The present results showed development of selected soil parameters during long-term monitoring on a model area situated in a marginal region of north-eastern Slovakia where an ecological farming system was applied. Soil physical properties change not only under the influence of weather conditions, crop year, vegetation pass, but also under the influence of applied management systems. During the year and growing season, bulk density value also varies depending on water availability in the soil, weather and farming methods. The research showed that soil physical properties get adjusted after long-term application of an ecological farming system and the measured values were stabilised, reaching levels comparable with the average values for the soil type. Agrochemical soil characteristics did not change significantly during the research period. High doses of organic fertilisers had a positive effect on soil productivity, and, thus, indirectly on maintaining soil pH, the available nutrient content and retention of humus in soil. In spite of this, it is necessary to continuously pay attention to soil reaction, because soil is naturally acidified through acid atmospheric fallout as well as calcium intake by plants. Values of selected heavy metals in the monitored period did not exceed the limit values published in Act No. 220/2004 Coll. The values of activity of phosphatase and urease changed minimally during the research period and they refer to values typical for soils with sparse vegetation. At the same time, it was proven that increasing the content of soil organic matter promotes natural protection of soil enzymes. Analysis of variance confirmed a statistically significant effect of the monitored year on all observed soil parameters. The effect of the observed locality, with the exception of pH/CaCl2, Cox and Nanorg, on other soil

The study was supported by VEGA 1/0601/08 *Effect of biotic and abiotic factors on ecosystem sustainability*, VEGA 1/0627/12 *Diversity, resiliency and health of ecosystems in different farming system and polluted territories in anthropogenic land* and KEGA 012PU-4/2012 *Preparation and realization of the research focused on creating teaching aids for education of environmental subject*.

*Agenda 21 and Indicators of Sustainable Development,* MŽ SR, Bratislava, Slovak Republic, ISBN

parameters in subsoil cannot be neglected, since they guarantee soil functions.

parameters was also statistically significant.

*Act. No. 220/2004 on Soil Protection and Agricultural Soil Using* 

**Author details** 

Danica Fazekašová

**4. References** 

8088833035

*University of Prešov, Slovakia* 

**Acknowledgement** 

**Table 6.** Analysis of variance of the heavy metal content of the soil in the monitored area situated in a marginal region of north-eastern Slovakia

++P 0,01 +P 0,05

## **3. Conclusion**

The farming system is the most widespread environmental technology with its positive and negative consequences. It utilises essential natural resources and, at the same time, influences other natural environments. Therefore, ecologisation of farming is a priority of farmers as well as environmentalists. Respecting the principles of soil sustainability and other components of the environment is a basic precondition for life sustainability. Sustainable agriculture is based on the principle of agriculture being a biological process which, in practice, should imitate key characteristics of the natural ecosystem. It strives to bring diversity into agro-ecosystems, recycle nutrients efficiently and maintain the priority of sunlight as a source of energy for agro-ecosystems. Sustainable use of soil takes soilecological conditions into consideration and is realised in such a way and in such intensity, which gives rise to neither negative changes in soil, nor establishes trends for the development of negative characteristics in soil. It is impossible to select universal soil parameters for sustainable soil, which is why the area is subject to specialised discussions. A significant role in the selection of parameters is played by their variability in time, related to parameter stability. Stable (such as soil depth or granularity), relatively stable (the salt content, the content of organic mass in soil, heavy metal contamination), relatively dynamic (pH, the content of nutrients) and dynamic (soil humidity and temperature, microbial activity, etc.) parameters are more connected to its short-term changes. Soil quality cannot be judged directly; it must be determined from the changes of its parameters. It is more accurate to evaluate the range of appropriate indicators rather than to use a single one. Soil quality is significantly affected by physical, chemical, biological and biochemical properties sensitive to changes in the environment and land management. At present, there is little knowledge with regard to soil development in the conditions of sustainable farming systems. The present findings can hardly be compared to other research due to the different soil-ecological conditions in which they were obtained. The issue of universal methods for all soil types remains a universal problem within the research of soil development. Unless this area is unified, objective comparison will remain on a regional level. Soil parameters are usually determined only in relation to specific topsoil. Certain physical and chemical parameters in subsoil cannot be neglected, since they guarantee soil functions.

The present results showed development of selected soil parameters during long-term monitoring on a model area situated in a marginal region of north-eastern Slovakia where an ecological farming system was applied. Soil physical properties change not only under the influence of weather conditions, crop year, vegetation pass, but also under the influence of applied management systems. During the year and growing season, bulk density value also varies depending on water availability in the soil, weather and farming methods. The research showed that soil physical properties get adjusted after long-term application of an ecological farming system and the measured values were stabilised, reaching levels comparable with the average values for the soil type. Agrochemical soil characteristics did not change significantly during the research period. High doses of organic fertilisers had a positive effect on soil productivity, and, thus, indirectly on maintaining soil pH, the available nutrient content and retention of humus in soil. In spite of this, it is necessary to continuously pay attention to soil reaction, because soil is naturally acidified through acid atmospheric fallout as well as calcium intake by plants. Values of selected heavy metals in the monitored period did not exceed the limit values published in Act No. 220/2004 Coll. The values of activity of phosphatase and urease changed minimally during the research period and they refer to values typical for soils with sparse vegetation. At the same time, it was proven that increasing the content of soil organic matter promotes natural protection of soil enzymes. Analysis of variance confirmed a statistically significant effect of the monitored year on all observed soil parameters. The effect of the observed locality, with the exception of pH/CaCl2, Cox and Nanorg, on other soil parameters was also statistically significant.

## **Author details**

454 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

0.129 0.697 0.343 0.037233 year

content of the soil was confirmed by an analysis of variance (Tab. 6.).

Parameter Min. Max. Mean Standard

[mg.kg-1] 7.77 22.18 14.11 0.823555 year

[mg.kg-1] 0.934 3.436 2.392 0.140375 year

Pb 2M HNO3

Ni 2M HNO3

++P 0,01 +P 0,05

**3. Conclusion** 

marginal region of north-eastern Slovakia

Cd 2M HNO3 [mg.kg-1]

A statistically significant effect of the monitored year and locality on observed heavy metal

**Table 6.** Analysis of variance of the heavy metal content of the soil in the monitored area situated in a

The farming system is the most widespread environmental technology with its positive and negative consequences. It utilises essential natural resources and, at the same time, influences other natural environments. Therefore, ecologisation of farming is a priority of farmers as well as environmentalists. Respecting the principles of soil sustainability and other components of the environment is a basic precondition for life sustainability. Sustainable agriculture is based on the principle of agriculture being a biological process which, in practice, should imitate key characteristics of the natural ecosystem. It strives to bring diversity into agro-ecosystems, recycle nutrients efficiently and maintain the priority of sunlight as a source of energy for agro-ecosystems. Sustainable use of soil takes soilecological conditions into consideration and is realised in such a way and in such intensity, which gives rise to neither negative changes in soil, nor establishes trends for the development of negative characteristics in soil. It is impossible to select universal soil parameters for sustainable soil, which is why the area is subject to specialised discussions. A significant role in the selection of parameters is played by their variability in time, related to parameter stability. Stable (such as soil depth or granularity), relatively stable (the salt content, the content of organic mass in soil, heavy metal contamination), relatively dynamic (pH, the content of nutrients) and dynamic (soil humidity and temperature, microbial activity, etc.) parameters are more connected to its short-term changes. Soil quality cannot be judged directly; it must be determined from the changes of its parameters. It is more accurate to evaluate the range of appropriate indicators rather than to use a single one. Soil quality is significantly affected by physical, chemical, biological and biochemical properties sensitive to changes in the environment and land management. At present, there is little knowledge with regard to soil development in the conditions of sustainable farming systems. The present findings can hardly be compared to other research due to the different soil-ecological conditions in which they were obtained. The issue of universal methods for all soil types remains a universal problem within the research of soil development. Unless

error

Source of

locality

locality

locality

variability d. f. F-Ratio P

12.30 22.01

9.37 19.69

24.08 25.20 ++ ++

++ ++

++ ++

6 4

6 4

6 4

> Danica Fazekašová *University of Prešov, Slovakia*

## **Acknowledgement**

The study was supported by VEGA 1/0601/08 *Effect of biotic and abiotic factors on ecosystem sustainability*, VEGA 1/0627/12 *Diversity, resiliency and health of ecosystems in different farming system and polluted territories in anthropogenic land* and KEGA 012PU-4/2012 *Preparation and realization of the research focused on creating teaching aids for education of environmental subject*.

## **4. References**

*Act. No. 220/2004 on Soil Protection and Agricultural Soil Using Agenda 21 and Indicators of Sustainable Development,* MŽ SR, Bratislava, Slovak Republic, ISBN 8088833035

	- Alef, K. & Nannipieri, P. (1995). Soil Sampling, Handling, Storage and Analysis, In: *Methods in Applied Soil Microbiology and Biochemistry*, K. Alef, P. Nannipieri, (Eds.), 49–115, Academic Press, ISBN 978-0-12-513840-6 London, Great Britain

Evaluation of Soil Quality Parameters Development in Terms of Sustainable Land Use 457

Grejtovský, A. (1991). Influence of Soil Improvers on Enzymatic Activity of Heavy Alluvial

Gulser, F. & Erdogan, E. (2008). The Effects of Heavy Metal Pollution on Enzyme Activities and Basal Soil Respiration of Roadside Soils, *Environ Monit Assess*, Vol.145, No1-3, pp.

Iovieno, P. ; Morra, L. ; Leone, A. ; Pagano, L. & Alfani, A. (2009). Effect of Organic and Mineral Fertilizers on Soil Respiration and Enzyme Activities of two Mediterranean

Javoreková, S.; Králiková, A.; Labuda, R.; Labudová, S. & Maková, J. (2008). *Soil Biology in Agroecosystems*, Slovak University of Agriculture in Nitra, ISBN 978-80-552-0007-1,

Jordan, D. ; Kremer, R. J. ; Bergfield, W. A. ; Kim, K. Y. & Cacnio, V. N. (1995). Evaluation of Microbial Methods as Potential Indicators of Soil Quality in Historical Agricultural

Jurčová, O. & Torma, S. (1998). *Methodology for Quantifying Potential Nutrient Plant Residues*, Soil Science and Conservation Research Institute, ISBN 8085361892, Bratislava, Slovak

Klír, J. (1997). *Sustainable Agriculture*, Department of Agricultural and Food Information,

Klose, S. & Tabatabai, M. A. (2000). Urease Activity of Microbial Biomass in Soils as Affected by Cropping Systems. *Biol Fertil Soils*, Vol.31, No.3-4, pp 191-199, ISSN 01782762 Kotorová, D. ; Šoltýsová, B. & Mati, R. (2010). *Properties of Fluvisols on the East Slovak Lowland at their Different Tillage*, 1. ed. CVRV, ISBN 978-80-89417-25-4, Piešťany, Slovak Republic Kováčik, P. (2001). *Methodology of Nutrient Balance in Ecological Farming System*, Slovak University of Agriculture in Nitra, ISBN 80-7137-957-3, Nitra, Slovak Republic Krnáčová, Z.; Račko, J. & Bedrna, Z. (1997). Indicators of Sustainable Development Use of Agricultural Soils in Slovakia. *Acta Environmentalica Universitatis Comenianae,*

Kromka, M. & Bedrna, Z. (2000). *Soil Hygiene*, Comenius University in Bratislava, ISBN 80-

Lacko-Bartošová, M. ; Cagáň, Ľ.; Čuboň, J. ; Kováč, K. ; Kováčik, P. ; Macák, M. ; Moudrý, M. & Sabo P. (2005). *Sustainable and Ecological Agriculture*, 1st ed. Slovak University of

Larson, W.E. & Pierce, F.J. (1991). Conservation and Enhancement of Soil Quality. *Evaluation for Sustainable Land Management in the Developing World*, Vol.2, No.12, pp. 175-203,

Líška, E.; Bajla, J.; Candráková, E.; Frančák, J.; Hrubý, D.; Illeš, L.; Korenko, M.; Nozdrovický, L.; Pospišil, R.; Špánik, F. & Žember, J.; (2008). *General Crop Production,* Slovak University of Agriculture in Nitra, ISBN 978-80-552-0016-3, Nitra, Slovak

Makoi, J. H. J. R. & Ndakidemi, P. A. (2008). Selected Soil Enzymes: Examples of their Potential Roles in the Ecosystem, *African Journal of Biotechnology*, Vol. 7, No.3, pp. 181-

Supplement, pp. 165-172, ISSN 1335-0285, Bratislava, Slovak Republic

Agriculture in Nitra, ISBN 80-8069-556-3, Nitra, Slovak Republic

Hraško, J. & Bedrna, Z. (1988). *Applied Pedology*, Príroda, Bratislava, Slovak Republic

Horticultural Soils. *Biol Fertil Soils,* Vol.45, No.5, pp. 555-561, ISSN 01782762

Fields. *Biol Fertil Soils,* Vol.19, No.4, pp 297-302, ISSN 01782762

Soil, *Rostl. Výr,* 37, pp 289–295, ISSN 1214-1178

ISBN 80-86153-18-5, Praha, Czech Republic

223-1602-4, Bratislava, Slovak Republic

Technical Papers. IBSRAM Proc.

127-133, ISSN 1573-2959

Nitra, Slovak Republic

Republic

Republic

191, ISSN 1684–5315


Academic Press, ISBN 978-0-12-513840-6 London, Great Britain

*Analysis*, Vol.36, No.13-14, pp 1725-1735, ISSN 00103624

*Production*, Vol.44, No.3, pp. 117 – 122, ISSN 0370-663X

*Plant Production*, Vol.39, No.10, pp. 941-958, ISSN 0370-663X

(Ed.), 149 – 196, Academic Press, New York, USA

Vol. 49, pp. 637 – 644, ISSN 0031-4056

Institute, ISBN 80-85361-49-3, Bratislava, Slovak Republic

*Biol Fertil Soils*, Vol.24, No.3, pp 306-310, ISSN 01782762 Chazijev, F. CH. (1976). *Soil Enzyme Activity,* Nauka, Moskva, Russia

Institute, ISBN 80-85361-55-8, Bratislava, Slovak Republic

Biosphere,Vol.30, No.1, p. 1-11 ISSN 1335-342X

Institute, ISBN Bratislava, Slovak Republic

Research Institute, ISBN 80-85361-44-2, Bratislava, Slovak Republic

1485

MZ, Praha, Czech Republic

Alef, K. & Nannipieri, P. (1995). Soil Sampling, Handling, Storage and Analysis, In: *Methods in Applied Soil Microbiology and Biochemistry*, K. Alef, P. Nannipieri, (Eds.), 49–115,

Baligar, V. C. ; Wright, R. J. & Hern, J. L. (2005). Enzyme Activities in Soil Influenced by Levels of Applied Sulfur and Phosphorus, *Communications in Soil Science and Plant* 

Barančíková, G. (1998). The Proposal of Special Classification of Agricultural Soils of Slovakia from Viewpoint of their Sensibility to Contamination by Heavy Metals, *Plant* 

Belińska, E. J. & Prangal, J. (2007). Enzymatic Activity of Soil Contaminated with Triazine Herbicides, *Polish Journal of Environmental Studies,* Vol.16, No.2, pp 295-300, ISSN 1230-

Beneš, Š. & Benešová, J. (1993). Balance of Risk Elements in the spheres of the Environment,

Beneš, Š. (1993). *The Contents and Balance of Elements in the Spheres of the Environment*, 1. part,

Bielek, P. (1998). *Nitrogen in Agricultural Soils of Slovakia,* Soil Science and Conservation

Bremner, J. M & Mulvaney, R. L. (1978). Urease Activity in Soils, In*: Soil Enzymes,* R.G.Burns,

Bujnovský, R. & Juráni, B. (1995). *The Subsoil,* Soil Science and Conservation Research

Chander, K.; Goyal, S.; Mundra, M. C. & Kapoor, K. K. (1997). Organic Matter, Microbial Biomass and Enzyme Activity of Soils under Different Crop Rotations in the Tropics,

Fazekašová, D. (2003). *Sustainable Use of Soil – Definition and Evaluation of Indicators and Parameters of Soil Development*, FHPV PU, ISBN 80-8068-228-3, Prešov, Slovak Republic Fazekašová, D.; Kotorová, D.; Balázs, P.; Baranová, B. & Bobuľská, L. (2011). Spatial Varialibility of Physical Soil Properties in Conditons of Ecological Farming in Protected Area, *Ekológia (Bratislava)*, International Journal for Ecological problems of the

Fiala, K.; Barančíková, G.; Brečková, V.; Búrik, V.; Houšková, B.; Chomaničová, A.; Kobra, J.; Litavec, T.; Makovníková, L.;Pechová, B. & Váradiová, D. (1999). *Partial Monitoring System – Soil*, Binding methods, 1st ed.; Soil Science and Conservation Research

Fulajtár, E. (2006). *Physical Parameters of Soil*, Soil Science and Conservation Research

Geisseler, D. & Horwath, W. R. (2009). Short-term Dynamics of Soil Carbon, Microbial Biomass, and Soil Enzyme Activities as Compared to Longer-term Effects of Tillage in

Irrigated Row Crops, *Biol Fertil Soils*, No.46, pp. 65-72, ISSN 1432-0789

Burns, R. G. (1978). *Soil Enzymes*, Academic Press, ISBN 0-12-145850-4, New York, USA Caldwell, B. A. (2005). Enzyme Activities as a Component of Soil Biodiversity, *Pedobiologia*,


Makovníková, J.; Barančíková, G.; Dlapa, P. & Dercová, K. (2006). Inorganic Contaminants in Soil Ecosystems, *Chem. Listy,* Vol.100, No.6, pp. 424 – 432, ISSN 0009- 2770

**Chapter 20** 

© 2012 Gómez-Muñoz et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Gómez-Muñoz et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use,

distribution, and reproduction in any medium, provided the original work is properly cited.

**The Compost of Olive Mill Pomace:** 

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/48244

**1. Introduction** 

scale.

**From a Waste to a Resource – Environmental** 

**Benefits of Its Application in Olive Oil Groves** 

Beatriz Gómez-Muñoz, David J. Hatch, Roland Bol and Roberto García-Ruiz

Olive oil farming is a significant feature of land use in Mediterranean regions, covering over five million hectares in the EU Member States. The main areas of olive oil production are in Spain (2.4 million ha), followed by Italy (1.4 million ha), Greece (1 million ha) and Portugal (0.5 million ha) [1]. Whilst olive plantations are found over most of the Mediterranean region, around 65% of the Spanish olive oil area is located in Andalusia (southern Spain), representing 30% of the total EU olive oil production and about 35% of the utilized agricultural area. Therefore, olive oil farming in Andalusia is of great social, economic and environmental significance and any change in the olive oil industry in terms of management practices and post-processing options could be of wide importance, at least at the regional

The olive oil industry generates large quantities of by-products. Almost all of the olive mills in Spain use the two–phase centrifugation system for oil extraction to reduce wastewater generation and lower the contaminant load, compared with the three–phase centrifugation system [2] which is currently used by other Mediterranean countries. The main by–product of the two–phase extraction system is olive mill pomace (OMP, hereafter), which in Mediterranean areas is produced during a short period over the winter, from November to February [3], the amount generated varying between 7 and 30 million m3 per year [4-6]. Typically, OMP is a semi–solid to semi–liquid by-product resulting from the mix of "alpechin", the main by–products resulting from the older three–phase extraction procedure, and "orujo". This by-product is made mainly with water, seed and pulp and is a potentially harmful by–product for the environment, because of the phytotoxic and antimicrobial properties, low pH, relatively high salinity and organic load, and the phenolic


## **The Compost of Olive Mill Pomace: From a Waste to a Resource – Environmental Benefits of Its Application in Olive Oil Groves**

Beatriz Gómez-Muñoz, David J. Hatch, Roland Bol and Roberto García-Ruiz

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/48244

## **1. Introduction**

458 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Conservation Research Institute, Bratislava, Slovak Republic

Environments, *Biol Fertil Soils*, No.43, pp. 721-729, ISSN 1432-0789

Pejve, J. (1966). *Soil Biochemistry*, SVLP, Bratislava, Slovak Republic

Soil. *Biol Fertil Soils,* Vol.31, No.1, pp. 85-91, ISSN 01782762

*Ecology*, Vol.56, No.3, (2008), pp. 471 – 479, ISSN 15052249

Properties. *Biol Fertil Soils*, Vol.26, No.2, pp. 100-106, ISSN 01782762

South-western Nigeria, *Biol Fertil Soils*, No.35, pp. 115-121, ISSN 1432-0789

Vol. 18, No.8, pp. 116-142, ISSN 1336-6157

2770

01782762

Russia

01782762

Republic

MZLU, Brno, Czech Republic

38, ISSN 0024-3590

Makovníková, J.; Barančíková, G.; Dlapa, P. & Dercová, K. (2006). Inorganic Contaminants in Soil Ecosystems, *Chem. Listy,* Vol.100, No.6, pp. 424 – 432, ISSN 0009-

Matúšková, L. & Vojtáš, J. (2005). *Guideline for Detecting Soil Contamination,* Soil Science and

Michaeli, E. & Ivanová, M. (2005). Regional Geoecological Structure of Landscape and Primary Development Potential of the Prešov Self-governing Region. *Folia Geographica*.

Miralles, I.; Ortega, M.; Sánches-Maraňón, M.; Leirós, M. C.; Trasar-Cepeda, C. & Gil-Sotres, F. (2007). Biochemical Properties of Range and Forest Soils in Mediterranean Mountain

Nourbakhsh, F. & Monreal, C. M. (2004). Effects of Soil Properties and Trace Metals on Urease Activities of Calcareous Soils. *Biol Fertil Soils,* Vol.40, No.5, pp. 359-362, ISSN

Rode, A. A. (1969). *Basic Science of Soil Moisture*, Tom II, Gidrometeorologič. izd., Leningrad,

Šarapatka, B. (2002). Possibilities of Using Enzyme Activities as Indicators of Productivity and Systems Quality, *Biological indicators of soil quality*, pp. 26-31, ISBN 80-7157-64-25,

Sinsabaugh, R. L.; Findlay, S.; Franchini, P. & Fischer, D. (1997). Enzymatic Analysis of Riverine Bacterioplankton Production, *Limnol. Ocecmogr*., Vol. 48, No.1, (1997), pp. 29 –

Speir, T. W. ; Van Schaik, A. P. & Lloyd-Jones, A. R. (2003). Temporal Response of Soil Biochemical Properties in a Pastoral Soil after Cultivation Following High Application Rates of Undigested Sewage Sludge. *Biol Fertil Soils*, Vol.38, No.6, pp. 377-385, ISSN

Tabatabaj, M. A. & Acosta-Martínez, V. (2000). Enzyme Activities in Limed Agricultural

Tischer, S.; Tanneberg, H. & Guggenberger, G. (2008). Microbial Parameters of Soils Contaminated with Heavy Assessment for Ecotoxicological Monitoring, *Polish Journal of* 

Torma, S. (1999). *Potassium - an Important Nutrient in the Soil and Plant, Pedo disertationes*, Soil Science and Conservation Research Institute, ISBN 80-85361-51-5, Bratislava, Slovak

Trasar-Cepeda, C. ; Leirós, C. ; Gil-Sotres, & F. Seoane S. (1998). Towards a Biochemical Quality Index for Soils: An Expression Relating Several Biological and Biochemical

Vilček, J. ; Hronec, O. & Bedrna, Z. (2005). *Environmental Pedology*, Soil Science and Conservation Research Institute, ISBN 80-8069-501-6, Bratislava, Slovak Republic Wick, B.; Kűhne, R. F. & Vielhauer, K. (2002). Temporal Variability of Selected Soil Microbiological and Biochemical Indicators under Different Soil Quality Conditions in Olive oil farming is a significant feature of land use in Mediterranean regions, covering over five million hectares in the EU Member States. The main areas of olive oil production are in Spain (2.4 million ha), followed by Italy (1.4 million ha), Greece (1 million ha) and Portugal (0.5 million ha) [1]. Whilst olive plantations are found over most of the Mediterranean region, around 65% of the Spanish olive oil area is located in Andalusia (southern Spain), representing 30% of the total EU olive oil production and about 35% of the utilized agricultural area. Therefore, olive oil farming in Andalusia is of great social, economic and environmental significance and any change in the olive oil industry in terms of management practices and post-processing options could be of wide importance, at least at the regional scale.

The olive oil industry generates large quantities of by-products. Almost all of the olive mills in Spain use the two–phase centrifugation system for oil extraction to reduce wastewater generation and lower the contaminant load, compared with the three–phase centrifugation system [2] which is currently used by other Mediterranean countries. The main by–product of the two–phase extraction system is olive mill pomace (OMP, hereafter), which in Mediterranean areas is produced during a short period over the winter, from November to February [3], the amount generated varying between 7 and 30 million m3 per year [4-6]. Typically, OMP is a semi–solid to semi–liquid by-product resulting from the mix of "alpechin", the main by–products resulting from the older three–phase extraction procedure, and "orujo". This by-product is made mainly with water, seed and pulp and is a potentially harmful by–product for the environment, because of the phytotoxic and antimicrobial properties, low pH, relatively high salinity and organic load, and the phenolic

© 2012 Gómez-Muñoz et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Gómez-Muñoz et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

and lipid constituents [7-11]. Direct application to rivers or soil is not allowed under most of the national regulations of the producer countries. The main physico–chemical characterization of OMP can be found in other reports [10,12,13]. According to these studies, OMP is acidic, with a very high content of organic matter and carbon, rich in potassium (K), poor in phosphorus (P), with intermediate levels of nitrogen (N) and may also contain phenolic and lipid compounds.

The Compost of Olive Mill Pomace:

From a Waste to a Resource – Environmental Benefits of Its Application in Olive Oil Groves 461

**2. Agrochemical characterization of composted olive mill pomace** 

**2.1. Composition of commercially produced composted olive mill pomace** 

OLM, manure and straw, as shown in Table 1 and Picture 1.

COMP6 80% 20%

OLM refer to olive mill pomace and olive leafy materials, respectively.

Composted olive

COMP.

The relatively high diversity of the bulking agents used (such as olive mill pomace, olive leafy material (OLM), manure or straw) as well as the variable proportion in which they are mixed is responsible for the highly heterogeneous nature and variability of the quality of the

As far as we know, there are no studies on the characterization of currently commercially produced COMP. In one of our own study, seven ready to apply OMP composts were collected from different olive mills located in several provinces of Andalusia. COMP samples differed in composition and in the proportions of primary materials such as OMP,

mill pomace OMP OLM Manure Straw

COMP4 70% 8% Sheep M 12% 10% COMP5 85% 5% 10%

**Table 1.** Composition of different composted olive mill pomaces described in this chapter. OMP and

COMP1 80% 7% Sheep M 13% COMP2 75% 12% Poultry M 13% COMP3 60% Sheep M 40%

COMP7 80% 13% Poultry M 7%

**Picture 1.** Visual appearance of the composted olive mill pomace used in this study.

COMP pH ranged 7.45 to 8.34 and were adequate for most agricultural purposes. Those COMPs made of manure tended to have a higher pH. Mean COMP pH was 8.03, a value

Some economic (due to costs associated with disposal) and environmental problems arise from the disposal of OMP. The various options for the fate of the large amounts of OMP which are produced annually in Andalusia can be very diverse: a general description of these can be found in [14]. Briefly, one alternative for the disposal of this large amount of OMP could be in evaporative ponds, but large areas would be required for this option which might also pose several potential environmental problems such as bad odour, leaching and insect proliferation. Another major preferred option would include the generation of renewable energy taking advantage of the relatively high calorific value of OMP. Other important uses include the transformation of OMP into an organic fertiliser and soil conditioner through composting. The process of composting OMP consists of mixing it with a blend of natural organic residues (e.g. olive leaves and twigs collected after cleaning the olive fruit in the mill, and/or straw, or manures), which is then allowed to decompose in aerated piles for 7 to 9 months. This means of re-utilization can help to improve soil fertility in olive oil farms which are characterized by low organic matter, reduce the cost of inorganic fertilisers or, for a commercial enterprise, can provide an additional source of revenue for the olive oil mill economy. The main reasons for composting are that OMP has a semi–solid consistency which makes it difficult to manage, and to eliminate any phytotoxical effects by composting for at least 18 weeks [15]. Composting OMP enables it to be sanitized; the mass and volume of the product are reduced and stabilized prior to land spreading. As already mentioned, before composting, OMP is mixed with bulking agents such as olive tree leaves, which are gathered along with the olive fruit, twigs and small branches, straw [16], cotton waste [17] and manure to increase the nutrient content, or any other materials of animal or plant origin which are available locally.

In Andalusia, composted olive mill pomace (COMP, hereafter) production has increased exponentially during the last seven years from 1000 tonnes in 2003 to 70000 in 2011 [18] and there are about 14 olive mills which are producing COMP in this region. Despite this rapid increase, there are no published studies on the main agrochemical properties and the effects of OMP application to soil. Indeed, there are few studies on the main physico-chemical changes in OMP during composting [19-21], or on the chemical characterisation of the final OMP composted product [22]. Moreover, these studies have been undertaken using only a limited number of OMP composts, which were produced in only low experimental quantities and at a small experimental scale. The main aims of this chapter are to review the information from other studies and our own on the agrochemical characterization of COMP currently produced in Andalusia and on the short- and long-term effects of its application on the soil physico-chemical and biological properties.

## **2. Agrochemical characterization of composted olive mill pomace**

460 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

other materials of animal or plant origin which are available locally.

on the soil physico-chemical and biological properties.

In Andalusia, composted olive mill pomace (COMP, hereafter) production has increased exponentially during the last seven years from 1000 tonnes in 2003 to 70000 in 2011 [18] and there are about 14 olive mills which are producing COMP in this region. Despite this rapid increase, there are no published studies on the main agrochemical properties and the effects of OMP application to soil. Indeed, there are few studies on the main physico-chemical changes in OMP during composting [19-21], or on the chemical characterisation of the final OMP composted product [22]. Moreover, these studies have been undertaken using only a limited number of OMP composts, which were produced in only low experimental quantities and at a small experimental scale. The main aims of this chapter are to review the information from other studies and our own on the agrochemical characterization of COMP currently produced in Andalusia and on the short- and long-term effects of its application

phenolic and lipid compounds.

and lipid constituents [7-11]. Direct application to rivers or soil is not allowed under most of the national regulations of the producer countries. The main physico–chemical characterization of OMP can be found in other reports [10,12,13]. According to these studies, OMP is acidic, with a very high content of organic matter and carbon, rich in potassium (K), poor in phosphorus (P), with intermediate levels of nitrogen (N) and may also contain

Some economic (due to costs associated with disposal) and environmental problems arise from the disposal of OMP. The various options for the fate of the large amounts of OMP which are produced annually in Andalusia can be very diverse: a general description of these can be found in [14]. Briefly, one alternative for the disposal of this large amount of OMP could be in evaporative ponds, but large areas would be required for this option which might also pose several potential environmental problems such as bad odour, leaching and insect proliferation. Another major preferred option would include the generation of renewable energy taking advantage of the relatively high calorific value of OMP. Other important uses include the transformation of OMP into an organic fertiliser and soil conditioner through composting. The process of composting OMP consists of mixing it with a blend of natural organic residues (e.g. olive leaves and twigs collected after cleaning the olive fruit in the mill, and/or straw, or manures), which is then allowed to decompose in aerated piles for 7 to 9 months. This means of re-utilization can help to improve soil fertility in olive oil farms which are characterized by low organic matter, reduce the cost of inorganic fertilisers or, for a commercial enterprise, can provide an additional source of revenue for the olive oil mill economy. The main reasons for composting are that OMP has a semi–solid consistency which makes it difficult to manage, and to eliminate any phytotoxical effects by composting for at least 18 weeks [15]. Composting OMP enables it to be sanitized; the mass and volume of the product are reduced and stabilized prior to land spreading. As already mentioned, before composting, OMP is mixed with bulking agents such as olive tree leaves, which are gathered along with the olive fruit, twigs and small branches, straw [16], cotton waste [17] and manure to increase the nutrient content, or any The relatively high diversity of the bulking agents used (such as olive mill pomace, olive leafy material (OLM), manure or straw) as well as the variable proportion in which they are mixed is responsible for the highly heterogeneous nature and variability of the quality of the COMP.

## **2.1. Composition of commercially produced composted olive mill pomace**

As far as we know, there are no studies on the characterization of currently commercially produced COMP. In one of our own study, seven ready to apply OMP composts were collected from different olive mills located in several provinces of Andalusia. COMP samples differed in composition and in the proportions of primary materials such as OMP, OLM, manure and straw, as shown in Table 1 and Picture 1.


**Table 1.** Composition of different composted olive mill pomaces described in this chapter. OMP and OLM refer to olive mill pomace and olive leafy materials, respectively.

**Picture 1.** Visual appearance of the composted olive mill pomace used in this study.

COMP pH ranged 7.45 to 8.34 and were adequate for most agricultural purposes. Those COMPs made of manure tended to have a higher pH. Mean COMP pH was 8.03, a value

The Compost of Olive Mill Pomace:

**Others authors1**

From a Waste to a Resource – Environmental Benefits of Its Application in Olive Oil Groves 463

water have been found to be toxic for some soil microorganisms [31], and this is one of the main reasons why direct application to soil cannot be recommended. The low polyphenol contents in the composts agree with values found by other researchers [32], who showed that the polyphenol content decreases during composting. In all cases, the polyphenol contents were lower than 4%: the limit which has been established where there is a shift between net N mineralization and immobilization during decomposition [33]. Those composts which are currently produced in Andalusia and which included manure showed typical lignin and polyphenol contents lower that 20% and 2%, respectively and therefore are suitable as organic fertilisers. Lignin and polyphenol contents of residues have been shown to be robust indices for the prediction of N mineralisation from residue–N after incorporation in soil [34,35], with typical thresholds for immediate net N mineralisation

COMPs phytotoxicities (Zuconni test) were typically higher than 50%, except for COMP3 and COMP5, suggesting that a relatively high percentage of the currently produced COMPs

Organic matter (LOI) (g kg-1) 272 - 605 – 879 465 - 621 Total C (g kg-1) 184 - 307 - 390 301 - 491 Total N (g kg-1) 10.7 - 15.0 - 20.0 14.0 - 27.8 C:N 10.5 - 21.9 - 35.8 14.0 - 22.7 Total P (%) 0.19 – 0.41 -1.19 0.5 - 1.5 Total K (%) 1.06 – 1.73 -2.39 20.6 - 39.5 Lignin (g kg-1) 76.0 - 218 - 313 410 - 426 Polyphenols (%) 0.94 – 1.33 - 2.1 - Labile organic C (g kg-1) 4.6 - 16.5 - 25.0 7.3 - 10.2

**Table 2.** Main physico-chemical properties of seven commercially produced composted olive mill pomaces (Table 1) and results from bibliographic review of different authors for composted olive mill

**2.2. Nutrient distribution in different particle size fractions of composted olive** 

The separation and application of different COMP particle sizes could provide for better optimization of COMP management, because a fairly clear relationship between particle– size distribution of an exogenous source of organic matter and the C and N dynamics in soils for sludge compost [39] (among others) has been demonstrated. Similarly, C mineralisation and turnover was seen to differ according to the particle–size fraction in a cattle slurry compost [40,41], also from a sludge–straw mixture [42] and in an aerobically digested sewage sludge composted along with screened green waste compost, stored yard

**COMP commercially produced (min –mean- max)** 

being < 15% lignin and < 3 – 4% total extractable polyphenol contents [36-38].

are mature enough to be applied in the field.

pomace. Values are mean of four replicates.

**mill pomace** 

1Other authors [19,20,21,22,23] for experimentally produced COMPs.

similar to those reported by [20,23] for other experimentally–produced composts made of OMP, and is within the pH range considered as optimal for the activity of microorganisms and plant growth [24,25]. In all cases, electric conductivity was lower than the 10 dS m–1, threshold established as indicator of possible phytotoxic/phyto–inhibitory effects on plants or in soil [26]. COMP has a high content of organic matter (60.5%, on average) and carbon (30.7%, on average) (Table 2). These values are higher than those reported for cow, sheep and poultry manures and similar to those found for horse, pig and rabbit [27]. The highest values were found in those composts which included OLM and straw with little or no manure (COMP4 through to COMP7) and may be due to incomplete organic matter degradation of the larger particle sizes and the higher lignin content of OLM. A low organic matter degradation rate during composting has been reported [20], mainly because the high lignin content of the OMP and the high moisture of the initial mixture which limits sufficient aeration. For these COMPs, application to soil could be a good strategy to increase the organic matter content of soils of olive oil farms which in the Mediterranean basin are usually depleted in organic matter and are exposed to progressive degradation processes. Furthermore, the content of labile carbon in the COMPs are relatively low, indicating that respired carbon derived from compost after application to soil would be expected to be low. Therefore, COMP application to soil could increase C storage due to the high total carbon content and expected low rate of C mineralisation (see below).

Total nitrogen (TN) averaged 1.5%, and was higher for those COMP which included relatively high amounts of manure during composting (Table 2). This values is within the range of that found for compost made from plant residues [28,29] and similar to that reported for compost produced experimentally with OMP plus rabbit or sheep manure, and rice straw or almond shells [22].

The C:N ratio ranged from 27.2 to 35.8 for COMP4, COMP5 and COMP6, which did not include, or contained only limited amounts of manure, while the ratio was much lower (at 10.5 – 18.7) for COMP1, COMP2, COMP3 and COMP7, which included sheep or poultry manures (Table 2).

The total K (TK) in the composts averaged 1.7% and was highest for COMP2, which included a high proportion of poultry manure and lowest for COMP4 and COMP5, both of which included straw (Table 2). These values were within the range of values reported by other authors [20,23] for experimentally–produced compost and also similar to those of OMP [13]. This indicates that K was not lost through leaching during the composting process. The total P of the composts averaged 0.41% and was highest for those amended with manure (COMP1, COMP2 and COMP3) and lowest for those which included only OLM or straw (Table 2). TP values were lower than those of municipal solid wastes and sewage sludge, although similar to other vegetable wastes and manures [30].

Those COMPs with a high percentage of manure had lower lignin contents, but lignin content tended to increase in those COMPs with a higher proportion of OLM and straw. Polyphenol contents of the COMPs were less than 2%, even though OMP is usually characterized by high levels of polyphenols (Table 2). Polyphenols from olive oil mill waste water have been found to be toxic for some soil microorganisms [31], and this is one of the main reasons why direct application to soil cannot be recommended. The low polyphenol contents in the composts agree with values found by other researchers [32], who showed that the polyphenol content decreases during composting. In all cases, the polyphenol contents were lower than 4%: the limit which has been established where there is a shift between net N mineralization and immobilization during decomposition [33]. Those composts which are currently produced in Andalusia and which included manure showed typical lignin and polyphenol contents lower that 20% and 2%, respectively and therefore are suitable as organic fertilisers. Lignin and polyphenol contents of residues have been shown to be robust indices for the prediction of N mineralisation from residue–N after incorporation in soil [34,35], with typical thresholds for immediate net N mineralisation being < 15% lignin and < 3 – 4% total extractable polyphenol contents [36-38].

462 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

content and expected low rate of C mineralisation (see below).

rice straw or almond shells [22].

manures (Table 2).

similar to those reported by [20,23] for other experimentally–produced composts made of OMP, and is within the pH range considered as optimal for the activity of microorganisms and plant growth [24,25]. In all cases, electric conductivity was lower than the 10 dS m–1, threshold established as indicator of possible phytotoxic/phyto–inhibitory effects on plants or in soil [26]. COMP has a high content of organic matter (60.5%, on average) and carbon (30.7%, on average) (Table 2). These values are higher than those reported for cow, sheep and poultry manures and similar to those found for horse, pig and rabbit [27]. The highest values were found in those composts which included OLM and straw with little or no manure (COMP4 through to COMP7) and may be due to incomplete organic matter degradation of the larger particle sizes and the higher lignin content of OLM. A low organic matter degradation rate during composting has been reported [20], mainly because the high lignin content of the OMP and the high moisture of the initial mixture which limits sufficient aeration. For these COMPs, application to soil could be a good strategy to increase the organic matter content of soils of olive oil farms which in the Mediterranean basin are usually depleted in organic matter and are exposed to progressive degradation processes. Furthermore, the content of labile carbon in the COMPs are relatively low, indicating that respired carbon derived from compost after application to soil would be expected to be low. Therefore, COMP application to soil could increase C storage due to the high total carbon

Total nitrogen (TN) averaged 1.5%, and was higher for those COMP which included relatively high amounts of manure during composting (Table 2). This values is within the range of that found for compost made from plant residues [28,29] and similar to that reported for compost produced experimentally with OMP plus rabbit or sheep manure, and

The C:N ratio ranged from 27.2 to 35.8 for COMP4, COMP5 and COMP6, which did not include, or contained only limited amounts of manure, while the ratio was much lower (at 10.5 – 18.7) for COMP1, COMP2, COMP3 and COMP7, which included sheep or poultry

The total K (TK) in the composts averaged 1.7% and was highest for COMP2, which included a high proportion of poultry manure and lowest for COMP4 and COMP5, both of which included straw (Table 2). These values were within the range of values reported by other authors [20,23] for experimentally–produced compost and also similar to those of OMP [13]. This indicates that K was not lost through leaching during the composting process. The total P of the composts averaged 0.41% and was highest for those amended with manure (COMP1, COMP2 and COMP3) and lowest for those which included only OLM or straw (Table 2). TP values were lower than those of municipal solid wastes and

Those COMPs with a high percentage of manure had lower lignin contents, but lignin content tended to increase in those COMPs with a higher proportion of OLM and straw. Polyphenol contents of the COMPs were less than 2%, even though OMP is usually characterized by high levels of polyphenols (Table 2). Polyphenols from olive oil mill waste

sewage sludge, although similar to other vegetable wastes and manures [30].

COMPs phytotoxicities (Zuconni test) were typically higher than 50%, except for COMP3 and COMP5, suggesting that a relatively high percentage of the currently produced COMPs are mature enough to be applied in the field.


**Table 2.** Main physico-chemical properties of seven commercially produced composted olive mill pomaces (Table 1) and results from bibliographic review of different authors for composted olive mill pomace. Values are mean of four replicates.

1Other authors [19,20,21,22,23] for experimentally produced COMPs.

## **2.2. Nutrient distribution in different particle size fractions of composted olive mill pomace**

The separation and application of different COMP particle sizes could provide for better optimization of COMP management, because a fairly clear relationship between particle– size distribution of an exogenous source of organic matter and the C and N dynamics in soils for sludge compost [39] (among others) has been demonstrated. Similarly, C mineralisation and turnover was seen to differ according to the particle–size fraction in a cattle slurry compost [40,41], also from a sludge–straw mixture [42] and in an aerobically digested sewage sludge composted along with screened green waste compost, stored yard

trimmings and crushed wood pallets [39]. Moreover, the nitrogen availability in compost has also been shown to be related to particle size, increasing as particle size decreased in sludge compost [43]. Generally, N mineralisation is greater in the fine and water–soluble fractions than in coarser fractions, at least for manure and city refuse composts [44] and composted sewage sludge [39]. These results suggest that the size of fractions in compost contribute substantially to the total C and N dynamics of mineralisation after compost is incorporated into soil. This is of particular interest, because depending on the range in particle sizes, composts could therefore provide a means for storage of C in soil (i.e. from the larger sized compost fractions), or a source of available N (i.e. from the finer compost fractions). The diversity and variable amount of raw materials used to obtain COMP make the final products very heterogeneous and therefore, it is expected that the nutrients and the main physico-chemical properties also differ in the particle size fractions of COMP. However, no studies existed to corroborate this, therefore in a separate study we examined whether or not this expectation about COMP was correct.

The Compost of Olive Mill Pomace:

From a Waste to a Resource – Environmental Benefits of Its Application in Olive Oil Groves 465

particles. During decomposition, manures with C:N ratios below 15 are likely to result in

Overall, the germination index was higher than 80% in the <1 mm fractions, whereas it was lower than 50% (e.g. with some degree of phytotoxicity) for fractions 1.0 – 6.0 mm, although this was not true for COMPs made without manure (COMP5 and 6 mixtures) (Figure 1). Thus, the fractionation of the compost produced in olive mills containing <1 mm

COMP2&COMP7 COMP3 COMP1&COMP4 COMP5&COMP6

a

COMP5& COMP6

a

a

< 0.212 0.212-1.0 1.0-6.0 < 0.212 0.212-1.0 1.0-6.0 < 0.212 0.212-1.0 1.0-6.0 < 0.212 0.212-1.0 1.0-6.0

<sup>b</sup> <sup>a</sup> ab

b

< 0.212 0.212-1.0 1.0-6.0 < 0.212 0.212-1.0 1.0-6.0 < 0.212 0.212-1.0 1.0-6.0

b c

<sup>b</sup> <sup>a</sup>

b

a

a

b

a a

<sup>a</sup> <sup>a</sup> <sup>a</sup>

**Figure 1.** Box–plot of C:N, potential mineralisable N (PNM), mineralisable C and germination index of particle size fractions of combinations of COMPs according to the Principal Component Analysis.

Different letters stand for significant differences (P <0.05) among particle size fractions.

phytotoxicity–free fractions is highly recommended for commercial purposes.

b

b

COMP4

< 1.0 1.0 - 6.0 < 1.0 1.0 - 6.0 < 1.0 1.0 - 6.0

b

COMP3 COMP1&

a

b

c

c a a

< 0.212 0.212-1.0 1.0-6.0 < 0.212 0.212-1.0 1.0-6.0 < 0.212 0.212-1.0 1.0-6.0 < 0.212 0.212-1.0 1.0-6.0

positive (net) N mineralisation after application to soil [48].

C/N

C mineralized (% of TC added)


IG (%)

PNM (% of TN added)

a

a

b

< 0.212 0.212-1.0 1.0-6.0

a b

COMP2& COMP7

< 1.0 1.0 - 6.0

<sup>b</sup> <sup>a</sup>

a

<sup>b</sup> <sup>a</sup>

<sup>c</sup> <sup>b</sup> <sup>a</sup> <sup>a</sup>

b

To estimate the nutrient distribution in particle size fraction of COMP, seven commercially produced COMPs were studied (Table 1) by sieving successively through to obtain 3 different sized fractions: <0.212, 0.212 – 1.0 and 1.0 – 60 mm. About 52% of COMP particles were larger than 1mm for those COMPs with a high content of manure, whereas, in contrast for COMPs without manure and with straw the consisted for 80% of these larger particle sizes. . The percentage of fine particles (<0.212 mm) doubled for COMPs with manure. These COMPs showed similar percentages of particle size fractions reported for duck manure [45], suggesting that during composting, manures generate a relatively high content of finer fractions. In general, the content of different compounds rich in organic C, such as organic matter, total carbon and lignin increased with particle size, being significantly higher for fractions between 1 to 6 mm. In sewage sludge compost made with screened refuse, yard trimmings and pallets [39], and for two types of dairy slurries others found [41], as in this study, an increase in the total C content with larger particles, although these differences were less distinct.

In contrast, nutrients contents including total N, mineral N, total P or total K were significantly higher in the fine fractions (<0.212 mm). More than 40% of the total N, P and K found in the original COMPs were in the <1 mm particle fractions in COMPs which included sheep or poultry manure during composting, whereas for COMP5, 6 and 7, the contribution of <1 mm fractions was lower than 30%. This finding agrees with those for manure and city refuse composts [44], animal slurry [41,45-47] and sludge compost [39], from workers who observed that most of the total N and various forms of N available in the short-term were mostly in the finer and water–soluble fractions.

As a result of lower N, but higher C, the C:N ratio decreased as particle size increased (Figure 1). Similar relationships between C:N ratio and particle size fractions were obtained for cattle slurry [46,47] and for sludge compost [39]. Typically, the C:N ratio for particles finer than 1 mm was lower than 18.2 in all COMPs, except those which included straw (COMP4 and COMP5), suggesting higher N availability of the organic N from these particles. During decomposition, manures with C:N ratios below 15 are likely to result in positive (net) N mineralisation after application to soil [48].

464 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

whether or not this expectation about COMP was correct.

short-term were mostly in the finer and water–soluble fractions.

were less distinct.

trimmings and crushed wood pallets [39]. Moreover, the nitrogen availability in compost has also been shown to be related to particle size, increasing as particle size decreased in sludge compost [43]. Generally, N mineralisation is greater in the fine and water–soluble fractions than in coarser fractions, at least for manure and city refuse composts [44] and composted sewage sludge [39]. These results suggest that the size of fractions in compost contribute substantially to the total C and N dynamics of mineralisation after compost is incorporated into soil. This is of particular interest, because depending on the range in particle sizes, composts could therefore provide a means for storage of C in soil (i.e. from the larger sized compost fractions), or a source of available N (i.e. from the finer compost fractions). The diversity and variable amount of raw materials used to obtain COMP make the final products very heterogeneous and therefore, it is expected that the nutrients and the main physico-chemical properties also differ in the particle size fractions of COMP. However, no studies existed to corroborate this, therefore in a separate study we examined

To estimate the nutrient distribution in particle size fraction of COMP, seven commercially produced COMPs were studied (Table 1) by sieving successively through to obtain 3 different sized fractions: <0.212, 0.212 – 1.0 and 1.0 – 60 mm. About 52% of COMP particles were larger than 1mm for those COMPs with a high content of manure, whereas, in contrast for COMPs without manure and with straw the consisted for 80% of these larger particle sizes. . The percentage of fine particles (<0.212 mm) doubled for COMPs with manure. These COMPs showed similar percentages of particle size fractions reported for duck manure [45], suggesting that during composting, manures generate a relatively high content of finer fractions. In general, the content of different compounds rich in organic C, such as organic matter, total carbon and lignin increased with particle size, being significantly higher for fractions between 1 to 6 mm. In sewage sludge compost made with screened refuse, yard trimmings and pallets [39], and for two types of dairy slurries others found [41], as in this study, an increase in the total C content with larger particles, although these differences

In contrast, nutrients contents including total N, mineral N, total P or total K were significantly higher in the fine fractions (<0.212 mm). More than 40% of the total N, P and K found in the original COMPs were in the <1 mm particle fractions in COMPs which included sheep or poultry manure during composting, whereas for COMP5, 6 and 7, the contribution of <1 mm fractions was lower than 30%. This finding agrees with those for manure and city refuse composts [44], animal slurry [41,45-47] and sludge compost [39], from workers who observed that most of the total N and various forms of N available in the

As a result of lower N, but higher C, the C:N ratio decreased as particle size increased (Figure 1). Similar relationships between C:N ratio and particle size fractions were obtained for cattle slurry [46,47] and for sludge compost [39]. Typically, the C:N ratio for particles finer than 1 mm was lower than 18.2 in all COMPs, except those which included straw (COMP4 and COMP5), suggesting higher N availability of the organic N from these Overall, the germination index was higher than 80% in the <1 mm fractions, whereas it was lower than 50% (e.g. with some degree of phytotoxicity) for fractions 1.0 – 6.0 mm, although this was not true for COMPs made without manure (COMP5 and 6 mixtures) (Figure 1). Thus, the fractionation of the compost produced in olive mills containing <1 mm phytotoxicity–free fractions is highly recommended for commercial purposes.

**Figure 1.** Box–plot of C:N, potential mineralisable N (PNM), mineralisable C and germination index of particle size fractions of combinations of COMPs according to the Principal Component Analysis. Different letters stand for significant differences (P <0.05) among particle size fractions.

The main differences among seven COMP tested according their quality was shown in the Principal Component Analysis (Figure 2). First principal component (PC1), which was negatively correlated with COMP quality indicators (e.g. total and available nutrients, C:N ratio,…), categorized the COMPs according to the pool of nutrients and organic matter and C, showing the high influence of raw materials in the quality of individual COMPs. Those COMPs made with poultry manure resulted in a high quality product, followed by COMPs made with sheep manure, whereas the quality of those COMPs made with a high proportion of OLM and straw but no manure was low. In addition, there was a trend for the quality to increase in relation to the content of finer fractions.

The Compost of Olive Mill Pomace:

From a Waste to a Resource – Environmental Benefits of Its Application in Olive Oil Groves 467

**3. Effects of composted olive mill pomace on nitrogen availability** 

immobilization could take place.

thereby reducing potential N losses by leaching.

Although it is expected that the application of COMP-organic N would also supply some available N for the plant, there is little information on the decomposition rate of COMP and the impact this may have on the N available for the growth and productivity of olive trees. Previous work [49] showed a relatively low net N mineralisation in soil after application of compost obtained from olive mill wastewater taken from an evaporative pond and other agricultural by–products, suggesting that during decomposition of composted OMP, N

More detailed knowledge of the main soil N transformations and dynamics, following COMP application to soil, could be the key to regulating soil fertility through an improved

Available nitrogen supply throughout net N mineralisation (NM) and nitrification was studied for commercially produced COMPs differing in the raw materials co-composted with OMP (Table 1) in an aerobic incubation experiment under controlled conditions over two years. The highest rates of NM for the control soil and COMP samples were found during the first week of incubation. This positive net N mineralisation was probably from the N and C contained in the labile components of the COMP, which can be used directly by microbes as an energy source. After the initial stage of mineral N release, net N immobilization during COMP decomposition was found. Probably because the microorganisms began to decomposed the more recalcitrant compounds (with a higher C:N ratio) and this placed a demand on available soil N resulting in net N immobilization, which can ultimately be re–mineralised over time. Similar rates of mineralisation were found with mature composted materials [50,51]. This result was unexpected since, according to the TN contents, C:N ratios and lignin contents of the different COMPs, net N mineralisation would be expected according to the view that the addition of organic matter generally causes N mineralisation [52-54]. Raw materials co-composted with OMP had effects on net N mineralization. During the first year of incubation, N immobilization was found in all COMPs, except for COMPs made chiefly from OMP and OLM. After two years, decomposition of COMP resulted in a positive net N mineralization (i.e. net mineral N supply) for all COMPs (Figure 3), with values as high as 95% of that added as COMP-N. These results demonstrate that the organic N contained in the COMPs is not readily available over short to medium timescales, and suggests that most of the organic N may be in relatively recalcitrant forms. Indeed, during the composting process, N is immobilised in condensed aromatic compounds which might contribute to the reduced availability of N [55]. Therefore, the application of COMP may result in short–term declines in N availability in agricultural soils: it is therefore recommended that during the first year, the application of COMP should be combined with some other N-rich source of fertilizer. On the other hand, autumn COMP application could be a useful approach to lowering soil inorganic N levels,

capability to predict crop available N and organic matter sequestration and losses.

**3.1. Nitrogen supply after the application of composted olive mill pomace** 

This highlighted the large influence of the raw materials in the final composition and quality of COMP product; a high proportion of manure increased the abundance of finer particles with high nutrients contents, whereas the addition of large amounts of OLM caused an increase in the content of larger particles with a high content of C compounds.

Overall, the separation and application of different COMP particle sizes could be useful for better optimization of COMP management, considering that the smallest particles (<1 mm) have a much higher germination index value, total N, P and K and a higher potential to mineralise N, providing a more homogeneous, high quality compost. On the other hand, larger particles (>1 mm) had higher contents of organic matter and C and tended to have the lowest C mineralisation and thus, on application to the soil in olive groves as a soil conditioner, could improve the structure and increase the organic matter of the poorer soils and increase the storage of soil organic C.

**Figure 2.** Scores of the whole and the particle size fractions of the COMPs in the space defined by PC1 and PC2.

## **3. Effects of composted olive mill pomace on nitrogen availability**

466 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

quality to increase in relation to the content of finer fractions.

and increase the storage of soil organic C.

and PC2.

The main differences among seven COMP tested according their quality was shown in the Principal Component Analysis (Figure 2). First principal component (PC1), which was negatively correlated with COMP quality indicators (e.g. total and available nutrients, C:N ratio,…), categorized the COMPs according to the pool of nutrients and organic matter and C, showing the high influence of raw materials in the quality of individual COMPs. Those COMPs made with poultry manure resulted in a high quality product, followed by COMPs made with sheep manure, whereas the quality of those COMPs made with a high proportion of OLM and straw but no manure was low. In addition, there was a trend for the

This highlighted the large influence of the raw materials in the final composition and quality of COMP product; a high proportion of manure increased the abundance of finer particles with high nutrients contents, whereas the addition of large amounts of OLM caused an

Overall, the separation and application of different COMP particle sizes could be useful for better optimization of COMP management, considering that the smallest particles (<1 mm) have a much higher germination index value, total N, P and K and a higher potential to mineralise N, providing a more homogeneous, high quality compost. On the other hand, larger particles (>1 mm) had higher contents of organic matter and C and tended to have the lowest C mineralisation and thus, on application to the soil in olive groves as a soil conditioner, could improve the structure and increase the organic matter of the poorer soils

**Figure 2.** Scores of the whole and the particle size fractions of the COMPs in the space defined by PC1

increase in the content of larger particles with a high content of C compounds.

Although it is expected that the application of COMP-organic N would also supply some available N for the plant, there is little information on the decomposition rate of COMP and the impact this may have on the N available for the growth and productivity of olive trees.

Previous work [49] showed a relatively low net N mineralisation in soil after application of compost obtained from olive mill wastewater taken from an evaporative pond and other agricultural by–products, suggesting that during decomposition of composted OMP, N immobilization could take place.

More detailed knowledge of the main soil N transformations and dynamics, following COMP application to soil, could be the key to regulating soil fertility through an improved capability to predict crop available N and organic matter sequestration and losses.

## **3.1. Nitrogen supply after the application of composted olive mill pomace**

Available nitrogen supply throughout net N mineralisation (NM) and nitrification was studied for commercially produced COMPs differing in the raw materials co-composted with OMP (Table 1) in an aerobic incubation experiment under controlled conditions over two years. The highest rates of NM for the control soil and COMP samples were found during the first week of incubation. This positive net N mineralisation was probably from the N and C contained in the labile components of the COMP, which can be used directly by microbes as an energy source. After the initial stage of mineral N release, net N immobilization during COMP decomposition was found. Probably because the microorganisms began to decomposed the more recalcitrant compounds (with a higher C:N ratio) and this placed a demand on available soil N resulting in net N immobilization, which can ultimately be re–mineralised over time. Similar rates of mineralisation were found with mature composted materials [50,51]. This result was unexpected since, according to the TN contents, C:N ratios and lignin contents of the different COMPs, net N mineralisation would be expected according to the view that the addition of organic matter generally causes N mineralisation [52-54]. Raw materials co-composted with OMP had effects on net N mineralization. During the first year of incubation, N immobilization was found in all COMPs, except for COMPs made chiefly from OMP and OLM. After two years, decomposition of COMP resulted in a positive net N mineralization (i.e. net mineral N supply) for all COMPs (Figure 3), with values as high as 95% of that added as COMP-N. These results demonstrate that the organic N contained in the COMPs is not readily available over short to medium timescales, and suggests that most of the organic N may be in relatively recalcitrant forms. Indeed, during the composting process, N is immobilised in condensed aromatic compounds which might contribute to the reduced availability of N [55]. Therefore, the application of COMP may result in short–term declines in N availability in agricultural soils: it is therefore recommended that during the first year, the application of COMP should be combined with some other N-rich source of fertilizer. On the other hand, autumn COMP application could be a useful approach to lowering soil inorganic N levels, thereby reducing potential N losses by leaching.

## **3.2. Application of composted olive mill pomace to soil reduce nitrogen losses by leaching**

The Compost of Olive Mill Pomace:


<sup>c</sup> <sup>c</sup>

From a Waste to a Resource – Environmental Benefits of Its Application in Olive Oil Groves 469

Taking into account that N contained in COMP is not readily available in the short-term, N lost by leaching is expected to be low after application of COMP to soils. Indeed, short-term (51 days) leaching losses of N after application of COMP were similar or even lower (between -5 to 10% of the added N) than the unamended control soils in an experiment carried out under laboratory conditions. These values were much lower than those found for commercial organic fertilizer (up to 30% of the added) and urea or sodium nitrate (up to

**Figure 4.** Percentage of N lost as nitrate by leaching of the total N added (equivalent to 100 µg N g-1) after 51 d and three precipitation events (total precipitation equivalent to 80 l m-2). Values are the mean of 4 replicates. Bar denotes standard deviation. Different letters denote significant differences between

a

COMP O COMP CT08 CPR Urea NaNO3

b

Organic Inorganic

Similar results were found in an experiment under outdoor conditions after one year. Nitrate leaching in soils amended with COMP was compared with soils amended with sheep manure (sheep M), commercial organic fertilizer (CPR), or inorganic fertiliser. Fertilisers were applied at two different rates (equivalent to 100 and 200 g N g-1) combined with two modes of application (on the soil surface or mixed with soil) and simulating autumn conditions. The lowest losses were for COMP amended soils (up to 7% of that applied) and the method of application had significant effects on mineral N leaching (Figure 5). In general, those soils which received COMP on the soil surface averaged negative mineral N losses (i.e. lower or similar losses to the control soil). N application rates had no effect on COMP IN leaching, regardless of the way the COMP was applied. Overall, inorganic N leaching for those treatments which received either Sheep M or CPR did not differ significantly, although leaching after surface application of CPR was higher than sheep M. Up to 37% of the fertiliser–derived N was leached for the 'double' surface application of CPR. No effects of rate or methods of application on IN leaching were found for CPR. However, for sheep M, leaching was higher at the double rate and lower for the 'surface', compared with the 'mixed in' application. The highest IN leaching reached 58% of the added N for inorganic fertiliser application (Figure 5). Results from the laboratory and outdoor experiment clearly showed

80% of the added) for the same amount of total N added (Figure 4).

a

treatments (P<0.05).

N loss by leaching (%)


0

20

40

60

80

a

100

Plant nitrogen use efficiency is usually lower than 50%, though highly dependent on crop type and environmental conditions. There are different ways by which the N is lost and no longer available for crop uptake, such as denitrification, ammonia volatilization and leaching, which might also be associated with environmental problems. N leaching can contaminate groundwater or surface waters through runoff. Indeed, although N contamination of groundwater arises from several sources, such as industrial waste, municipal landfills, mining, or septic systems, agricultural practices remain a major source [56-58]. About 15 – 55% of N applied to crops can be lost by leaching every year [59,60]. This is particularly important in olive oil groves as many olive crops are on areas vulnerable to nitrate pollution.

**Figure 3.** (a) Cumulative amounts of COMP–amended inorganic N (IN) for each sampling period and (b) at the end of incubation (365 d) for COMP amended soils. Bars for each sampling represent the mean of the standard deviations of the whole set of COMP–samples.

Taking into account that N contained in COMP is not readily available in the short-term, N lost by leaching is expected to be low after application of COMP to soils. Indeed, short-term (51 days) leaching losses of N after application of COMP were similar or even lower (between -5 to 10% of the added N) than the unamended control soils in an experiment carried out under laboratory conditions. These values were much lower than those found for commercial organic fertilizer (up to 30% of the added) and urea or sodium nitrate (up to 80% of the added) for the same amount of total N added (Figure 4).

468 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**by leaching** 

nitrate pollution.

g IN cumulative g-1


g IN cumulative g-1


0

50

100

150

b


0

50

100

150

a

**3.2. Application of composted olive mill pomace to soil reduce nitrogen losses** 

Plant nitrogen use efficiency is usually lower than 50%, though highly dependent on crop type and environmental conditions. There are different ways by which the N is lost and no longer available for crop uptake, such as denitrification, ammonia volatilization and leaching, which might also be associated with environmental problems. N leaching can contaminate groundwater or surface waters through runoff. Indeed, although N contamination of groundwater arises from several sources, such as industrial waste, municipal landfills, mining, or septic systems, agricultural practices remain a major source [56-58]. About 15 – 55% of N applied to crops can be lost by leaching every year [59,60]. This is particularly important in olive oil groves as many olive crops are on areas vulnerable to

<sup>200</sup> COMP1

COMP2 COMP3 COMP4 COMP5 COMP6 COMP7

**Figure 3.** (a) Cumulative amounts of COMP–amended inorganic N (IN) for each sampling period and (b) at the end of incubation (365 d) for COMP amended soils. Bars for each sampling represent the mean

COMP1 COMP2 COMP3 COMP4 COMP5 COMP6 COMP7

Time(d) 0 200 400 600 800

of the standard deviations of the whole set of COMP–samples.

**Figure 4.** Percentage of N lost as nitrate by leaching of the total N added (equivalent to 100 µg N g-1) after 51 d and three precipitation events (total precipitation equivalent to 80 l m-2). Values are the mean of 4 replicates. Bar denotes standard deviation. Different letters denote significant differences between treatments (P<0.05).

Similar results were found in an experiment under outdoor conditions after one year. Nitrate leaching in soils amended with COMP was compared with soils amended with sheep manure (sheep M), commercial organic fertilizer (CPR), or inorganic fertiliser. Fertilisers were applied at two different rates (equivalent to 100 and 200 g N g-1) combined with two modes of application (on the soil surface or mixed with soil) and simulating autumn conditions. The lowest losses were for COMP amended soils (up to 7% of that applied) and the method of application had significant effects on mineral N leaching (Figure 5). In general, those soils which received COMP on the soil surface averaged negative mineral N losses (i.e. lower or similar losses to the control soil). N application rates had no effect on COMP IN leaching, regardless of the way the COMP was applied. Overall, inorganic N leaching for those treatments which received either Sheep M or CPR did not differ significantly, although leaching after surface application of CPR was higher than sheep M. Up to 37% of the fertiliser–derived N was leached for the 'double' surface application of CPR. No effects of rate or methods of application on IN leaching were found for CPR. However, for sheep M, leaching was higher at the double rate and lower for the 'surface', compared with the 'mixed in' application. The highest IN leaching reached 58% of the added N for inorganic fertiliser application (Figure 5). Results from the laboratory and outdoor experiment clearly showed

the recalcitrant nature of the COMP-N (i.e. a high degree of N retention) despite the relatively low C:N ratio, confirming previous results on COMP-derived negative net N mineralisation and nitrification. Thus, application of COMP on olive oil farms distributed in the nitrate vulnerable areas might be a suitable strategy to diminish nitrate contaminated groundwater. This strategy agrees with [61] who reported that composted material can considerably lower the risk of groundwater contamination. Slow–release, controlled–release and stabilized fertilisers, such as composted OMP are recommended for several agro–environmental situations to improve nutrient use efficiency by reducing nutrient losses from the soil. Results from our studies clearly demonstrated the high efficiency of composted OMP to retain N and the beneficial reduction of nitrate leaching elicited by this compost.

The Compost of Olive Mill Pomace:

From a Waste to a Resource – Environmental Benefits of Its Application in Olive Oil Groves 471

for the COMP which was made with moderate levels of sheep manure (COMP1) (Figure 6). The cumulative N-N2O emissions after 51-days were only 0.23% of the added COMP-N. This result was not in agreement with the well documented increase in N2O emissions after plant residue addition to soils as reported in other studies [63,65]. The very low increase in N2O emissions after COMP application suggests that N losses via denitrification after the annual application of COMP to olive oil groves are expected to be very low, and thus application of

**Figure 6.** Time course of (a) N-N2O emission rate and (b) cumulative N-N2O emission in soil amended with COMP during 51 days of lab incubation under aerobic conditions. Bars denote the mean standard

As shown above, composted olive mill pomace (COMP) has a high content of total carbon, most of which of recalcitrant nature (e.g. expected low C decomposition) such as lignin or fibre. Therefore, COMP application in soil can be a good strategy to increase the organic matter content in soil, as well as the organic C. This practice could reduce CO2 emission to

Measurements of soil CO2 emissions can provide useful insights into soil C cycling, and provide a basis for evaluating soil C dynamics and potential C sequestration in different agricultural systems [66], particularly in intensive production systems affected by the different cropping practices and residue management [67]. Soil C can only be assimilated, and recycled through the microbial biomass, or respired [68]. Soil respiration and mineralisation are generally thought to be related to the composition of the microbial biomass, which in soils, tends to vary both across substrate qualities [69] and in time [70]. Low C mineralisation measured as CO2–C fluxes after mature COMP application have been shown [71]. However, the COMP used in this study was an experimentally produced COMP. The amount of COMP-C mineralized after 8 months of incubation after COMP

COMP could provide organic N without increasing the emissions of N2O

deviations for each treatment and sampling point.

**4. COMP-carbon mineralization** 

the atmosphere increasing C storage in soil.

**4.1. Carbon mineralization** 

**Figure 5.** Cumulative fertiliser–derived mineral N (nitrate + ammonium) leaching after one year under natural rainfall and temperature in outdoor conditions for soils which received: i) composted olive mill pomace (COMP), ii) sheep manure (Sheep M), iii) commercial organic fertilisers (CPR), or iv) NaNO3 (Inor) at 1 (250 µg N g-1) or 2 (500 µg N g-1) doses. M and S, stand for soil in which the fertilisers were mixed (M) with the soil or applied to the soil surface (S). Values are means of 4 replicates and bars denote standard deviations. Different letters denote significant differences (*P<0.05*).

#### **3.3. N2O emission derived of application of composted olive mill pomace**

Agricultural soils are a significant source of atmospheric N2O which is of concern because of the role this gas has in global warming [62]. Emissions of N2O from soil have been shown to increase after the addition of plant residues [63] and organic fertilisers [64], the biochemical composition (or quality) being an important determinant of the magnitude of N2O emissions [65].

N2O emissions in soil amended with COMP (100 µg N g–1) were determined under aerobic incubation over 51 days. Soil N2O–N fluxes were constant and relatively low (2.71 ng N2O–N g–1 d–1), and did not vary significantly between COMP-amended and the control soils, except for the COMP which was made with moderate levels of sheep manure (COMP1) (Figure 6). The cumulative N-N2O emissions after 51-days were only 0.23% of the added COMP-N. This result was not in agreement with the well documented increase in N2O emissions after plant residue addition to soils as reported in other studies [63,65]. The very low increase in N2O emissions after COMP application suggests that N losses via denitrification after the annual application of COMP to olive oil groves are expected to be very low, and thus application of COMP could provide organic N without increasing the emissions of N2O

**Figure 6.** Time course of (a) N-N2O emission rate and (b) cumulative N-N2O emission in soil amended with COMP during 51 days of lab incubation under aerobic conditions. Bars denote the mean standard deviations for each treatment and sampling point.

## **4. COMP-carbon mineralization**

470 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

the beneficial reduction of nitrate leaching elicited by this compost.

the recalcitrant nature of the COMP-N (i.e. a high degree of N retention) despite the relatively low C:N ratio, confirming previous results on COMP-derived negative net N mineralisation and nitrification. Thus, application of COMP on olive oil farms distributed in the nitrate vulnerable areas might be a suitable strategy to diminish nitrate contaminated groundwater. This strategy agrees with [61] who reported that composted material can considerably lower the risk of groundwater contamination. Slow–release, controlled–release and stabilized fertilisers, such as composted OMP are recommended for several agro–environmental situations to improve nutrient use efficiency by reducing nutrient losses from the soil. Results from our studies clearly demonstrated the high efficiency of composted OMP to retain N and

**Figure 5.** Cumulative fertiliser–derived mineral N (nitrate + ammonium) leaching after one year under natural rainfall and temperature in outdoor conditions for soils which received: i) composted olive mill pomace (COMP), ii) sheep manure (Sheep M), iii) commercial organic fertilisers (CPR), or iv) NaNO3 (Inor) at 1 (250 µg N g-1) or 2 (500 µg N g-1) doses. M and S, stand for soil in which the fertilisers were mixed (M) with the soil or applied to the soil surface (S). Values are means of 4 replicates and bars

Sheep M M2

bd

bc

ce

CPR S1

CPR S2

CPR M1

bc cde

CPR M2

bc

e

f

Inor

Sheep M M1

denote standard deviations. Different letters denote significant differences (*P<0.05*).

COMP S1


0

200

400

600

800

mg N-IN leachate y-1

COMP S2

a a

COMP M1

COMPM2

Sheep M S1

ab ab

Sheep M S2

a

**3.3. N2O emission derived of application of composted olive mill pomace** 

(or quality) being an important determinant of the magnitude of N2O emissions [65].

Agricultural soils are a significant source of atmospheric N2O which is of concern because of the role this gas has in global warming [62]. Emissions of N2O from soil have been shown to increase after the addition of plant residues [63] and organic fertilisers [64], the biochemical composition

N2O emissions in soil amended with COMP (100 µg N g–1) were determined under aerobic incubation over 51 days. Soil N2O–N fluxes were constant and relatively low (2.71 ng N2O–N g–1 d–1), and did not vary significantly between COMP-amended and the control soils, except As shown above, composted olive mill pomace (COMP) has a high content of total carbon, most of which of recalcitrant nature (e.g. expected low C decomposition) such as lignin or fibre. Therefore, COMP application in soil can be a good strategy to increase the organic matter content in soil, as well as the organic C. This practice could reduce CO2 emission to the atmosphere increasing C storage in soil.

## **4.1. Carbon mineralization**

Measurements of soil CO2 emissions can provide useful insights into soil C cycling, and provide a basis for evaluating soil C dynamics and potential C sequestration in different agricultural systems [66], particularly in intensive production systems affected by the different cropping practices and residue management [67]. Soil C can only be assimilated, and recycled through the microbial biomass, or respired [68]. Soil respiration and mineralisation are generally thought to be related to the composition of the microbial biomass, which in soils, tends to vary both across substrate qualities [69] and in time [70]. Low C mineralisation measured as CO2–C fluxes after mature COMP application have been shown [71]. However, the COMP used in this study was an experimentally produced COMP. The amount of COMP-C mineralized after 8 months of incubation after COMP

application in eight soils differing in soil organic carbon (SOC) is shown in Figure 7. For all cases, the COMP-C mineralized (e.g. emitted as C-CO2) was less than 10% of that added (4 �g COMP-C g-1), and this was true, independently of soil texture or SOC contents. This result suggests that C compounds in COMP are complex and refractory, resulting in a high residence time in the soil. Moreover, the percentage of COMP-C mineralisation tended to be lower at higher rates of COMP application, which indicates a higher potential for COMP-C to accumulate in the soils at higher rates of application (Figure 8).

The Compost of Olive Mill Pomace:

From a Waste to a Resource – Environmental Benefits of Its Application in Olive Oil Groves 473

**5. Long-term effects of composted olive mill pomace application in olive** 

The majority of the olive grove soils of Andalusia are characterised by low levels of organic matter, and are exposed to progressive degradation processes. Thus, organic matter application is required to compensate for organic carbon deficiency and to improve soil fertility. As a consequence, the use of a transformed agro-industrial waste for agricultural use, such as composted olive mill pomace, might represent a realistic solution to overcome both the soil degradation of olive oil groves and a sustainable disposal of OMP, thus increasing the sustainability of olive groves. Regional authorities, have recognised the potential use of COMP in agriculture, and have promoted composting which has resulted in an exponential increase in the production of COMP during the last 5 years, with a production of about 70000 tonnes in the 2009-2010 harvest campaign [18]. However, the long-term effects of annual application of COMP on the soil fertility of olive oil groves

Soil samples were taken from four olive oil farms; Olvera (O), Reja (R), Tobazo (T) and Andújar (A), which annually received applications of COMP during 3, 4, 9 and 16 years, respectively (COMP olive oil farms, hereafter). Soil samples were also taken from comparable olive oil farms located in the vicinity (<20 m) of each of the COMP farms that never received composted olive mill pomace (NCOMP, hereafter). These NCOMP farms have similar environmental conditions, topography and soil texture to the COMP farms. Soil samples were characterized for physico-chemical and biological variables to determine the

In general, soil pH in the 4, 9 and 16 years COMP sites was 0.31, 0.23 and 1.47 units lower than the comparable NCOMP olive farming, respectively, whereas no differences were achieved in the site after 3 years of COMP application. Moreover, the soil water holding capacity (WHC) was significantly higher in the COMP treated soils, with increases of 2 – 4% with respect to NCOMP soils. The higher (WHC) in the soils under COMP farming was expected (Table 3), due to the relatively higher levels of organic matter in these soils: the effect of organic matter on the increased potential for soils to retain water was described previously for 77 soil profiles [72]. Moreover, soil water aggregate stability was also significantly higher after COMP application for all treated soils: up to 1.5 - 2.5 times greater for COMP compared with NCOMP treated soils (Table 3). The higher soil aggregate stability in the COMP soils agrees with the findings of [73], who showed that the application OMP to soils increased this soil property from 64 to 73% after 5 years. The cation exchange capacity of soils treated with COMP was also significantly higher than in the relative NCOMP soils, independently of the site (e.g. number

Overall, COMP application significantly increased both organic matter and carbon contents, compared with the NCOMP soil, except at the site that received COMP for only three years. The soil organic matter content in soils treated for 4, 9 and 16 years with COMP (i.e. R, T and A sites), was from 2.1 to 8.5 times greater than the respective NCOMP treated soil (Table 3). Our

should be evaluated to promote more olive mill pomace composting.

fertility and functionality of soil after COMP application.

of years since COMP was first applied) (Table 3).

**groves** 

**Figure 7.** Percentage of C emitted as CO2 during COMP decomposition for eight types of soil after 240 days of incubation. Bars denote standards deviations.

**Figure 8.** Effects of increasing the rate of COMP-C application to two soils differing in soil organic carbon (SOC) on cumulative COMP-C derived C-CO2 emissions after 8 months of incubation. Bars denote standards deviations of three replicates.

## **5. Long-term effects of composted olive mill pomace application in olive groves**

472 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

to accumulate in the soils at higher rates of application (Figure 8).

days of incubation. Bars denote standards deviations.

12

denote standards deviations of three replicates.

4

6

8

10

% Cumulative COMP-C emmited

% Cumulative C of TC added

0

20

40

60

80

100

as CO2 of TC added

application in eight soils differing in soil organic carbon (SOC) is shown in Figure 7. For all cases, the COMP-C mineralized (e.g. emitted as C-CO2) was less than 10% of that added (4 �g COMP-C g-1), and this was true, independently of soil texture or SOC contents. This result suggests that C compounds in COMP are complex and refractory, resulting in a high residence time in the soil. Moreover, the percentage of COMP-C mineralisation tended to be lower at higher rates of COMP application, which indicates a higher potential for COMP-C

**Figure 7.** Percentage of C emitted as CO2 during COMP decomposition for eight types of soil after 240

0 60 120 180

0 60 120 180 240

Time (d)

**Figure 8.** Effects of increasing the rate of COMP-C application to two soils differing in soil organic carbon (SOC) on cumulative COMP-C derived C-CO2 emissions after 8 months of incubation. Bars

COMP-C rate of application (mg C added g-1)

0 2 4 6 8 10 12 14

High SOC Low SOC

S1; SOC: 74.1 g kg-1 S2; SOC: 37.2 g kg-1 S3; SOC: 44.8 g kg-1 S4; SOC: 27.1 g kg-1 S5; SOC: 35.8 g kg-1 S6; SOC: 34.5 g kg-1 S7; SOC: 21.8 g kg-1 S8; SOC: 17.3 g kg-1

C storage in soil

The majority of the olive grove soils of Andalusia are characterised by low levels of organic matter, and are exposed to progressive degradation processes. Thus, organic matter application is required to compensate for organic carbon deficiency and to improve soil fertility. As a consequence, the use of a transformed agro-industrial waste for agricultural use, such as composted olive mill pomace, might represent a realistic solution to overcome both the soil degradation of olive oil groves and a sustainable disposal of OMP, thus increasing the sustainability of olive groves. Regional authorities, have recognised the potential use of COMP in agriculture, and have promoted composting which has resulted in an exponential increase in the production of COMP during the last 5 years, with a production of about 70000 tonnes in the 2009-2010 harvest campaign [18]. However, the long-term effects of annual application of COMP on the soil fertility of olive oil groves should be evaluated to promote more olive mill pomace composting.

Soil samples were taken from four olive oil farms; Olvera (O), Reja (R), Tobazo (T) and Andújar (A), which annually received applications of COMP during 3, 4, 9 and 16 years, respectively (COMP olive oil farms, hereafter). Soil samples were also taken from comparable olive oil farms located in the vicinity (<20 m) of each of the COMP farms that never received composted olive mill pomace (NCOMP, hereafter). These NCOMP farms have similar environmental conditions, topography and soil texture to the COMP farms. Soil samples were characterized for physico-chemical and biological variables to determine the fertility and functionality of soil after COMP application.

In general, soil pH in the 4, 9 and 16 years COMP sites was 0.31, 0.23 and 1.47 units lower than the comparable NCOMP olive farming, respectively, whereas no differences were achieved in the site after 3 years of COMP application. Moreover, the soil water holding capacity (WHC) was significantly higher in the COMP treated soils, with increases of 2 – 4% with respect to NCOMP soils. The higher (WHC) in the soils under COMP farming was expected (Table 3), due to the relatively higher levels of organic matter in these soils: the effect of organic matter on the increased potential for soils to retain water was described previously for 77 soil profiles [72]. Moreover, soil water aggregate stability was also significantly higher after COMP application for all treated soils: up to 1.5 - 2.5 times greater for COMP compared with NCOMP treated soils (Table 3). The higher soil aggregate stability in the COMP soils agrees with the findings of [73], who showed that the application OMP to soils increased this soil property from 64 to 73% after 5 years. The cation exchange capacity of soils treated with COMP was also significantly higher than in the relative NCOMP soils, independently of the site (e.g. number of years since COMP was first applied) (Table 3).

Overall, COMP application significantly increased both organic matter and carbon contents, compared with the NCOMP soil, except at the site that received COMP for only three years. The soil organic matter content in soils treated for 4, 9 and 16 years with COMP (i.e. R, T and A sites), was from 2.1 to 8.5 times greater than the respective NCOMP treated soil (Table 3). Our

data confirmed previous results which indicated that soil organic matter increased after amendment with OMP during the first weeks after application [74] or after several years [73,75]. Our results also showed that organic carbon was higher in the COMP treatment compared with the NCOMP treatment. The increase in organic carbon after COMP application indicates that the decomposition rates of COMP–C were relatively low, and lower than the rates of annual COMP–C application. These recalcitrant compounds might contribute to the reduced rate of C decomposition. Soil organic carbon was higher in the soils treated with COMP, being up to eight times higher in soil where COMP was applied during the last 16 years in comparison with NCOMP farming. When extrapolating to a hectare scale, these results show that soil organic C increased up to 30 tonnes per ha-1 y-1 in soil after COMP application. The low decomposition rate of COMP and high organic C content in COMPamended soil indicates that application of COMP in olive oil groves is an appropriate strategy to sequester organic carbon into the soil and should be evaluated further.

The Compost of Olive Mill Pomace:

From a Waste to a Resource – Environmental Benefits of Its Application in Olive Oil Groves 475

**Figure 9.** Soil acid phosphatase (a), -glucosidase (b), protease (c), invertase (d), and dehydrogenase (e) activities, potential nitrification rate (f) and geometric mean of the assayed soil enzyme in olive oil farms which received (black) or not (white) COMP at Olvera (O), Reja (R), Tobazo (T) and Andújar (A). The number of years since composted olive mill pomace has been applied to COMP farming is also indicated. Different subscript letters stand for significant differences (P < 0.05) between COMP and

Soil enzyme activities related to carbon, nitrogen and phosphorus cycling have been proposed as a tool to assess soil quality/health and functioning [77]. Enzymes activities

NCOMP farming of each site.

 Overall, the total N content was higher in the COMP than in the NCOMP soils although this depended on the site. At O and R sites, which received three and four years of COMP application respectively, differences with the comparable NCOMP soils were not significant. However, total N was 1.3 and 14.8 times higher in soil with 9 and 16 years of COMP application (sites T and A) than in the comparable NCOMP treated soils (Table 3). The higher TN in COMP soils was expected, since application of organic residues normally results in an increase in the soil content of N [49,73,76]. They showed a significant increase in the TN after two to three years of application of OMP or COMP, indicating that COMP–N is very resistant to mineralisation, and therefore is retained in the soil.

Generally, soil labile phosphorus (P) in the amended COMP soils was higher than the unamended soil. In the O, R and A sites, soil available P at the COMP soils was 13.9, 260.3 and 1607 % higher than the NCOMP soil, whereas no significant difference was found at T site (Table 3). At all sites, soil exchangeable potassium was significantly higher in the COMP treated soils than in the unamended soils.


**Table 3.** Water holding capacity (WHC), soil stables aggregates (SA), cation exchangeable capacity (CEC), organic matter (LOI), total C (TC), total N (TN) and available P of olive oil farming which received (COMP) or not (NCOMP) composted olive mill pomace at Olvera (O), Reja (R), Tobazo (T) and Andújar (A). Data are the mean of five replicates ± standard deviation. Different superscript letters for each site denote significant differences between COMP and NCOMP farming (one way ANOVA; P< 0.05).

to sequester organic carbon into the soil and should be evaluated further.

is very resistant to mineralisation, and therefore is retained in the soil.

treated soils than in the unamended soils.

0.05).

Site WHC (%) SA (%) CEC

data confirmed previous results which indicated that soil organic matter increased after amendment with OMP during the first weeks after application [74] or after several years [73,75]. Our results also showed that organic carbon was higher in the COMP treatment compared with the NCOMP treatment. The increase in organic carbon after COMP application indicates that the decomposition rates of COMP–C were relatively low, and lower than the rates of annual COMP–C application. These recalcitrant compounds might contribute to the reduced rate of C decomposition. Soil organic carbon was higher in the soils treated with COMP, being up to eight times higher in soil where COMP was applied during the last 16 years in comparison with NCOMP farming. When extrapolating to a hectare scale, these results show that soil organic C increased up to 30 tonnes per ha-1 y-1 in soil after COMP application. The low decomposition rate of COMP and high organic C content in COMPamended soil indicates that application of COMP in olive oil groves is an appropriate strategy

 Overall, the total N content was higher in the COMP than in the NCOMP soils although this depended on the site. At O and R sites, which received three and four years of COMP application respectively, differences with the comparable NCOMP soils were not significant. However, total N was 1.3 and 14.8 times higher in soil with 9 and 16 years of COMP application (sites T and A) than in the comparable NCOMP treated soils (Table 3). The higher TN in COMP soils was expected, since application of organic residues normally results in an increase in the soil content of N [49,73,76]. They showed a significant increase in the TN after two to three years of application of OMP or COMP, indicating that COMP–N

Generally, soil labile phosphorus (P) in the amended COMP soils was higher than the unamended soil. In the O, R and A sites, soil available P at the COMP soils was 13.9, 260.3 and 1607 % higher than the NCOMP soil, whereas no significant difference was found at T site (Table 3). At all sites, soil exchangeable potassium was significantly higher in the COMP

O COMP 26.3±0.81a 51.8±2.0a 22.2±1.22ª 3.95±0.95a 2.29±0.39a 0.25±0.04a 10.6±0.04ª NCOMP 22.3±0.3b 34.0±1.6b 20.8±0.21b 3.45±0.85a 2.00±0.49a 0.27±0.03a 9.3±0.03ª R COMP 21.8±1.3a 57.9±1.8ª 25.3±3.83ª 8.34±3.67a 4.84±1.90a 0.29±0.03a 30.3±0.03ª NCOMP 20.5±1.7b 37.1±0.9b 18.6±0.27b 3.96±1.09b 2.30±0.57b 0.23±0.02a 11.5±0.02b T COMP 23.6±0.5a 56.7±0.2ª 21.1±3.46ª 6.31±2.22a 3.66±1.15a 0.25±0.08a 6.9±0.01ª NCOMP 20.5±0.8b 22.6±0.6b 15.4±2.06b 2.39±0.62b 1.39±0.32b 0.10±0.02b 7.6±0.02ª A COMP 30.2±0.5a 23.9±1.0a 23.3±6.9ª 16.1±3.49a 8.49±2.11a 0.74±0.33a 57.4±0.33ª NCOMP 28.7±1.3a 23.7±1.5ª 10.6±1.2b 1.88±0.41b 1.09±0.21b 0.05±0.02b 3.57±0.02b

**Table 3.** Water holding capacity (WHC), soil stables aggregates (SA), cation exchangeable capacity (CEC), organic matter (LOI), total C (TC), total N (TN) and available P of olive oil farming which received (COMP) or not (NCOMP) composted olive mill pomace at Olvera (O), Reja (R), Tobazo (T) and Andújar (A). Data are the mean of five replicates ± standard deviation. Different superscript letters for each site denote significant differences between COMP and NCOMP farming (one way ANOVA; P<

(meq100 g–1) LOI (%) TC (%) TN (%) Available P

(µg P g–1)

**Figure 9.** Soil acid phosphatase (a), -glucosidase (b), protease (c), invertase (d), and dehydrogenase (e) activities, potential nitrification rate (f) and geometric mean of the assayed soil enzyme in olive oil farms which received (black) or not (white) COMP at Olvera (O), Reja (R), Tobazo (T) and Andújar (A). The number of years since composted olive mill pomace has been applied to COMP farming is also indicated. Different subscript letters stand for significant differences (P < 0.05) between COMP and NCOMP farming of each site.

Soil enzyme activities related to carbon, nitrogen and phosphorus cycling have been proposed as a tool to assess soil quality/health and functioning [77]. Enzymes activities

related to the C, N and P cycles were all significantly higher in soils amended with COMP than in NCOMP soils (Figure 9). Others authors [78,79] have found similar results after application of manures of different origin.

The Compost of Olive Mill Pomace:

From a Waste to a Resource – Environmental Benefits of Its Application in Olive Oil Groves 477

processes such as nutrient recycling, replenishment of soil organic matter or generation of energy. In this context, the cost of waste disposal would be avoided and environmental pollution reduced. This fact has led y to a widespread increase in the value of by-products of

Recycling of OMP through composting (relatively easy-to-use and low costing methodology) could be a sound strategy to provide some ecological services to olive oil groves (Figure 11). Firstly, composting OMP reduces most of the potential environmental pollution problems linked with the disposal of approximately 4 million of tonnes of OMP produced in Andalusia over a relatively short-time span (3 months). On the other hand, most of the nutrients (especially nitrogen, phosphorus and potassium) harvested with the yield, are contained in the OMP, and therefore after composting and application to olive oil groves helps to recycle these nutrients, reducing the need for chemical fertilisers. Our estimates show that between one to two-thirds of the Andalusian olive oil groves could be fertilised annually with the OMP produced in Andalusia after composting, with a subsequent reduction of about 25 – 60% in chemical fertilisers. In addition, the main beneficiary of the economic and environmental profits of composting OMP and application to olive oil groves is the farmer.

**Figure 11.** Fate of C, N and P of the fruit harvested in the olive oil farming when olive mill pomace (main by-product of the olive oil mill industry) is composted and applied to the olive oil groves. Some of the environmental services linked to the recycling of olive mill pomace throughout composting, are

also indicated.

the agricultural industry. This is also now the case for OMP.

When pooling all the analysed variables in a Principal Component Analysis it was found that the first principal component (PC1) was negatively correlated with soil organic matter, total N, available P, soil aggregate stability and soil enzyme activities and therefore, PC1 is strongly related to soil functioning. PC2, on the other hand, was positively correlated with clay content, WHC and cation exchange capacity. COMP-treated soils shifted upwards (higher WHC and CEC) and towards the left (higher soil functioning) with respect to their NCOMP soils in the PC1–PC2 space (Figure 10). Therefore PCA, which included all the analysed variables, clearly separated paired plots according to the COMP application, supporting the hypothesis that COMP application improves overall soil functioning.

**Figure 10.** Ordination of the COMP and NCOMP farms at Olvera (O), Reja (R), Tobazo (T) and Andújar (A) in the space defined by the PC1 and PC2 axis resulting from the PCA analysis carried out with physico–chemical and biochemical soil properties. Coordinates are the means of t five replicates and bars represent the standard deviations of the mean. Arrows illustrate the differences in the position of the COMP and NCOMP farming at each site.

Finally, the vectorial distance between comparable COMP and NCOMP farms (e.g. differences in soil functioning) tended to increase with the period of COMP application, suggesting that there is potential for further increases in soil fertility and functioning after long-term application of COMP.

## **6. Ecological services associated with the use of composted olive mill pomace as organic fertiliser**

There is a global trend towards developing agricultural production systems which are sustainable. This involves the more efficient utilisation of inputs and the reduction of waste products. Ideally, organic by-products should be transformed into useful products by processes such as nutrient recycling, replenishment of soil organic matter or generation of energy. In this context, the cost of waste disposal would be avoided and environmental pollution reduced. This fact has led y to a widespread increase in the value of by-products of the agricultural industry. This is also now the case for OMP.

476 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

application of manures of different origin.

the COMP and NCOMP farming at each site.

long-term application of COMP.

**pomace as organic fertiliser** 

related to the C, N and P cycles were all significantly higher in soils amended with COMP than in NCOMP soils (Figure 9). Others authors [78,79] have found similar results after

When pooling all the analysed variables in a Principal Component Analysis it was found that the first principal component (PC1) was negatively correlated with soil organic matter, total N, available P, soil aggregate stability and soil enzyme activities and therefore, PC1 is strongly related to soil functioning. PC2, on the other hand, was positively correlated with clay content, WHC and cation exchange capacity. COMP-treated soils shifted upwards (higher WHC and CEC) and towards the left (higher soil functioning) with respect to their NCOMP soils in the PC1–PC2 space (Figure 10). Therefore PCA, which included all the analysed variables, clearly separated paired plots according to the COMP application,

supporting the hypothesis that COMP application improves overall soil functioning.

**Figure 10.** Ordination of the COMP and NCOMP farms at Olvera (O), Reja (R), Tobazo (T) and Andújar (A) in the space defined by the PC1 and PC2 axis resulting from the PCA analysis carried out with physico–chemical and biochemical soil properties. Coordinates are the means of t five replicates and bars represent the standard deviations of the mean. Arrows illustrate the differences in the position of



0

1


2 O COMP

R COMP T COMP A COMP O NCOMP R NCOMP T NCOMP A NCOMP

Finally, the vectorial distance between comparable COMP and NCOMP farms (e.g. differences in soil functioning) tended to increase with the period of COMP application, suggesting that there is potential for further increases in soil fertility and functioning after

**6. Ecological services associated with the use of composted olive mill** 

There is a global trend towards developing agricultural production systems which are sustainable. This involves the more efficient utilisation of inputs and the reduction of waste products. Ideally, organic by-products should be transformed into useful products by Recycling of OMP through composting (relatively easy-to-use and low costing methodology) could be a sound strategy to provide some ecological services to olive oil groves (Figure 11). Firstly, composting OMP reduces most of the potential environmental pollution problems linked with the disposal of approximately 4 million of tonnes of OMP produced in Andalusia over a relatively short-time span (3 months). On the other hand, most of the nutrients (especially nitrogen, phosphorus and potassium) harvested with the yield, are contained in the OMP, and therefore after composting and application to olive oil groves helps to recycle these nutrients, reducing the need for chemical fertilisers. Our estimates show that between one to two-thirds of the Andalusian olive oil groves could be fertilised annually with the OMP produced in Andalusia after composting, with a subsequent reduction of about 25 – 60% in chemical fertilisers. In addition, the main beneficiary of the economic and environmental profits of composting OMP and application to olive oil groves is the farmer.

**Figure 11.** Fate of C, N and P of the fruit harvested in the olive oil farming when olive mill pomace (main by-product of the olive oil mill industry) is composted and applied to the olive oil groves. Some of the environmental services linked to the recycling of olive mill pomace throughout composting, are also indicated.

Some of the environmental services restored after application of COMP and shown in this chapter include: i) Increased soil organic matter and carbon. Indeed our data showed that both increased significantly after regular applications of COMP and there was a trend for increased differences in SOM and SOC between soils amended or unamended with COMP according to the number of years when COMP was applied. Other variables related directly or indirectly with the increase in SOM include i) an increase in soil microbial activity related to nutrient recycling (e.g. soil enzyme activities), cation exchange capacity, soil aggregate stability and available P and K, ii) increase in soil carbon sequestration. COMP-C derived mineralization is rather low (< 10% over one year at optimal conditions) and thus, regular applications of COMP could contribute to soil C sequestration and help alleviate the soil C-CO2 emissions linked to olive oil cultivation, iii) reduction of the potential nitrate leaching and N2O emissions. Our data on seven currently produced COMPs have demonstrated that during decomposition of OMP, soil mineral N is retained (i.e. net N immobilization) reducing not only nitrate leaching, but also N2O emissions.

The Compost of Olive Mill Pomace:

From a Waste to a Resource – Environmental Benefits of Its Application in Olive Oil Groves 479

*Sustainable Soils and Grassland Systems Department, Rothamsted Research, North Wyke,* 

*Institute of Bio-and Geosciences, Agrosphere (IBG-3), Forschungszentrum Jülich GmbH,* 

This research was carried out in the framework of the "Olive grove project" of the General Secretary for Rural Development and organic production of the Junta de Andalucía, and with the economic help of the Minister of Science and Technology of Spain throughout the project referenced CGL200908303. We would like to thanks to Jose María Álvarez and the various olive oil farmers and olive oil mills from which soil and composted olive mill

[1] Beaufoy G, Pienkowski M (2000) The environmental impact of olive oil production in the European Union: practical options for improving the environmental impact. European Forum on Nature Conservation and Pastoralism. European Commission,

[2] Dios–Palomares R, Haros–Giménez D, Montes–Tubio F (2005) Estudio estructural del sector oleícola de Andalucía. Nivel de calidad y respecto medioambiental de las

[3] Moraetis D, Stamati FE, Nikolaidis NP, Kalogerakis N (2011) Olive mill wastewater irrigation of maize: impacts on soil and groundwater. Agr. Water Manage. 98: 1125-

[4] Cabrera F, López R, Martinez-Bordiú A, Dupuy de Lome E, Murillo JM (1996) Land

[5] Kavvadias V, Doula MK, Komnitsas K, Liakopoulou N (2010) Disposal of olive oil mill wastes in evaporation ponds: effects on soil properties. J. Hazard. Mater. 182: 144-155. [6] López-Piñeiro A, Cabrera D, Albarrán Á, Peña D (2011) Influence of two-phase olive mill waste application to soil on terbuthylazine behaviour and persistence under

[7] Paredes MJ, Moreno E, Ramos–Cormenzana A, Martinez J (1987) Characterization of soil after pollution with waste waters from olive oil extraction plants. Chemosphere. 16:

[8] Pérez J, de la Rubia T, Moreno J, Martinez J (1992) Phenolic content and antibacterial

activity of olive mill wastewater. Environ. Toxicol. Chem. 11: 489–495.

treatment of olive oil mill wastewater. Int. Biodeter. Biodegr. 38: 215-225.

controlled and field conditions. J. Soil Sediment. 11: 771-782.

*Ecology Section, University of Jaén, Campus Las Lagunillas s/n, Jaén, Spain* 

industrias almazaras. Comunicaciones EXPOLIVA.

David J. Hatch

Roland Bol

*Jülich, Germany* 

Roberto García-Ruiz

**Acknowledgement** 

pomace samples were taken.

**8. References** 

Brussels.

1132.

1557–1564.

*Okehampton, Devon, UK* 

## **7. Conclusions**

The recycling of nutrient and organic matter of the olive mill pomace after its composting and application to the soil of olive oil farming is a worthwhile strategy to avoid the potential environmental harm of olive mill waste disposal and could lead to increased soil fertility and functionality. The characteristics of the COMP currently produced are adequate for agricultural purposes (high organic matter and carbon, high level of potassium and from low to medium levels of N and P, and lack of phytotoxicity) and the quality was highly dependent on the proportion of manure co-composted with olive mill pomace. COMP-N is well humified and during decomposition soil mineral N can be immobilised depending on the proportion of raw materials co-composted, and therefore it is recommended to combine N rich fertiliser with COMP during the first years of COMP application. COMP-nitrate leaching (at a temporal scale of months to a year) and nitrous oxide emissions were negligible after COMP application to soils. COMP-C mineralization was very low (< 10% of that added after one year) and, therefore, COMP application to soils could enhance C sequestration in olive oil farming. Soil fertility and functioning was improved after three years of regular applications of COMP to soils of olive oil groves a there was a clear trend for a further increase over longer periods of application.

Overall, composted olive mill pomace is a worthwhile strategy to reduce the environmental problems associated with the disposal of OLM, and increases the sustainability and ecological services of olive oil cultivation.

## **Author details**

Beatriz Gómez-Muñoz *Corresponding Author Ecology Section, University of Jaén, Campus Las Lagunillas s/n, Jaén, Spain* 

#### David J. Hatch

478 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

reducing not only nitrate leaching, but also N2O emissions.

for a further increase over longer periods of application.

*Ecology Section, University of Jaén, Campus Las Lagunillas s/n, Jaén, Spain* 

ecological services of olive oil cultivation.

**Author details** 

Beatriz Gómez-Muñoz *Corresponding Author* 

**7. Conclusions** 

Some of the environmental services restored after application of COMP and shown in this chapter include: i) Increased soil organic matter and carbon. Indeed our data showed that both increased significantly after regular applications of COMP and there was a trend for increased differences in SOM and SOC between soils amended or unamended with COMP according to the number of years when COMP was applied. Other variables related directly or indirectly with the increase in SOM include i) an increase in soil microbial activity related to nutrient recycling (e.g. soil enzyme activities), cation exchange capacity, soil aggregate stability and available P and K, ii) increase in soil carbon sequestration. COMP-C derived mineralization is rather low (< 10% over one year at optimal conditions) and thus, regular applications of COMP could contribute to soil C sequestration and help alleviate the soil C-CO2 emissions linked to olive oil cultivation, iii) reduction of the potential nitrate leaching and N2O emissions. Our data on seven currently produced COMPs have demonstrated that during decomposition of OMP, soil mineral N is retained (i.e. net N immobilization)

The recycling of nutrient and organic matter of the olive mill pomace after its composting and application to the soil of olive oil farming is a worthwhile strategy to avoid the potential environmental harm of olive mill waste disposal and could lead to increased soil fertility and functionality. The characteristics of the COMP currently produced are adequate for agricultural purposes (high organic matter and carbon, high level of potassium and from low to medium levels of N and P, and lack of phytotoxicity) and the quality was highly dependent on the proportion of manure co-composted with olive mill pomace. COMP-N is well humified and during decomposition soil mineral N can be immobilised depending on the proportion of raw materials co-composted, and therefore it is recommended to combine N rich fertiliser with COMP during the first years of COMP application. COMP-nitrate leaching (at a temporal scale of months to a year) and nitrous oxide emissions were negligible after COMP application to soils. COMP-C mineralization was very low (< 10% of that added after one year) and, therefore, COMP application to soils could enhance C sequestration in olive oil farming. Soil fertility and functioning was improved after three years of regular applications of COMP to soils of olive oil groves a there was a clear trend

Overall, composted olive mill pomace is a worthwhile strategy to reduce the environmental problems associated with the disposal of OLM, and increases the sustainability and *Sustainable Soils and Grassland Systems Department, Rothamsted Research, North Wyke, Okehampton, Devon, UK* 

Roland Bol *Institute of Bio-and Geosciences, Agrosphere (IBG-3), Forschungszentrum Jülich GmbH, Jülich, Germany* 

Roberto García-Ruiz *Ecology Section, University of Jaén, Campus Las Lagunillas s/n, Jaén, Spain* 

## **Acknowledgement**

This research was carried out in the framework of the "Olive grove project" of the General Secretary for Rural Development and organic production of the Junta de Andalucía, and with the economic help of the Minister of Science and Technology of Spain throughout the project referenced CGL200908303. We would like to thanks to Jose María Álvarez and the various olive oil farmers and olive oil mills from which soil and composted olive mill pomace samples were taken.

## **8. References**

	- [9] Linares A, Caba JM, Ligero F, De la Rubia T, Martínez J (2003) Detoxification of semisolid olive–mill wastes and pine–chip mixtures using Phanerochaete flavido–alba. Chemosphere. 51: 887–891.

The Compost of Olive Mill Pomace:

From a Waste to a Resource – Environmental Benefits of Its Application in Olive Oil Groves 481

[24] Mustin M (1987) Le Compost: Gestion de la Matie`re Organique. Dubusc, F. (Ed.), Paris,

[25] Das KC (2007) Co–composting of alkaline tissue digester effluent with yard trimmings.

[26] Iannotti DA, Grebus ME, Toth BL, Madden LV, Hoitik HAJ (1994) Oxygen respirometric method to assess stability and maturity of composted municipal solid

[27] Moral R, Moreno–Caselles J, Pérez–Murcia MD, Pérez–Espinosa A, Rufete B, Paredes C (2005) Characterisation of the organic matter pool in manures. Bioresource Technol.

[28] Sánchez–Monedero MA, Roig A, Paredes C, Bernal MP (2001) Nitrogen transformation during organic waste composting by the Rutgers system and its effects on pH, EC and

[29] Goyal S, Dhull SK, Kapoor KK (2005) Chemical and biological changes during composting of different organic wastes and assessment of compost maturity.

[30] Pascual JA, Ayuso M, García C, Hernández T (1997) Characterization of urban wastes according to fertility and phytotoxicity parameters. Waste Manage. Res. 15: 103–112. [31] Capasso R, Evidente AA, Schivo L, Orru, G, Marcialis, M.A, Cristinzio, G, 1995. Antibacterial polyphenols from olive oil mill waste waters. J. Appl. Bacteriol. 79: 393–

[32] Ait Baddi G, Alburquerque JA, Gonzalvez J, Cegarra J, Hafidi M (2004) Chemical and spectroscopic analyses of organic matter transformations during composting of olive

[33] Palm CA, Gachengo CN, Delve RJ, Cadisch G, Giller KE (2001) Organic inputs for soil fertility management in tropical agro ecosystems: application of an organic resource

[34] Fox RH, Myers RJK, Vallis I (1990) The nitrogen mineralization rate of legume residues in soil as influenced by their polyphenol, lignin and nitrogen contents. Plant Soil. 129:

[35] Palm CA, Sánchez PA (1991) Nitrogen release from the leaves of some tropical legumes as affected by their lignin and polyphenolic contents. Soil Biol. Biochem. 23: 83–88. [36] Melillo JM, Aber JD, Muratore JF (1982) Nitrogen and lignin control of hardwood leaf

[37] Constantinides M, Fownes JH (1994) Nitrogen mineralization from leaves and litter of tropical plants—relationship to nitrogen, lignin and soluble polyphenol concentrations.

[38] Palm CA, Rowland AP (1997) A minimum data set for characterization of plant quality for decomposition. In: G. Cadisch and K.E. Giller, Editors, Driven by Nature: Plant

[39] Doublet J, Francou C, Pétraud JP, Dignac MF, Poitrenaud M, Houot S (2010) Distribution of C and N mineralization of a sludge compost within particle–size

Litter Quality and Decomposition, CAB International, Wallingford. 379–392.

maturity of the composting mixtures. Bioresource Technol. 78: 301–308.

pp. 117–263.

96(2): 153–158.

398.

251–259.

Waste Manage. 28: 1785–1790.

waste. J. Environ. Qual. 23: 1177–1183.

Bioresource Technol. 96(14): 1584–1591.

mill wastes. Int. Biodeter. Biodegr. 54(1): 39–44.

litter decomposition dynamics. Ecology, 63: 621–626.

fractions. Bioresource Technol. 101(4): 1254–1262.

database. Agr. Ecosyst. Environ. 83: 27–42.

Soil Biol. Biochem. 26: 49–55.


[24] Mustin M (1987) Le Compost: Gestion de la Matie`re Organique. Dubusc, F. (Ed.), Paris, pp. 117–263.

480 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

wastewater – field experiment. Sci. Total Environ. 378: 90–94.

method for olive oil extraction. Bioresource Technol. 91: 195–200.

and their valorisation methods. Waste Manage. 26: 960–969.

consuming olive mill technology. Agrochimica. 42: 135–146.

Symposium ICS\_99, 1. CBA Press Inc, pp. 124–140.

pomace: The Andalusian experience. Biocycle. 31–32.

perenne L.). Bioresource Technol. 98: 940–945.

Chemosphere. 51: 887–891.

waste water (OMW). Geoderma. 161: 8-17.

purposes. Bioresource Technol. 67: 111–115.

composting. Chemosphere. 68: 1985–1991.

Bioresource Technol. 86: 59–64.

Manage. 28(12): 2585–2592.

28(12): 2593–603.

[9] Linares A, Caba JM, Ligero F, De la Rubia T, Martínez J (2003) Detoxification of semisolid olive–mill wastes and pine–chip mixtures using Phanerochaete flavido–alba.

[10] Sierra J, Marti E, Garau MA, Cruanas R (2007) Effects of agronomic use of olive oil mill

[11] Piotrowska A, Rao MA, Scotti R, Gianfreda L (2011) Changes in soil chemical and biochemical properties following amendment with crude and dephenolized olive mill

[12] Paredes C, Cegarra J, Roig A, Sánchez–Monedero MA, Bernal MP (1999) Characterization of olive mill wastewater (alpechin) and its sludge for agriculture

[13] Alburquerque JA, Gonzálvez J, García D, Cegarra J (2004) Agrochemical characterisation of "alperujo", a solid by–product of the two–phase centrifugation

[14] Roig A, Cayuela ML, Sánchez–Monedero MA (2006) An overview on olive mill wastes

[15] Cayuela ML, Millner P, Slovin J, Roig (2007) Duckweed (Lemna gibba) growth inhibition bioassay for evaluating the toxicity of olive mill wastes before and during

[16] Madejón E, Galli E, Tomati U (1998) Composting of wastes produced by low water

[17] Cegarra J, Amor JB, Gonzálvez J, Bernal MP, Roig A (2000) Characteristics of a new solid olive–mill–by–product (''alperujo'') and its suitability for composting. In: Warman, P.R, Taylor, B.R. (Eds.), Proceedings of the International Composting

[18] Álvarez de la Puente JM, Jáuregui J, García–Ruiz R (2010) Composting olive mill

[19] García–Gómez A, Roig A, Bernal MP (2003) Composting of the solid fraction of olive mill wastewater with olive leaves: organic matter degradation and biological activity.

[20] Alburquerque JA, Gonzálvez J, García D, Cegarra J (2006) Measuring detoxification and maturity in compost made from "alperujo", the solid by–product of extracting olive oil

[21] Canet R, Pomares F, Cabot B, Chaves C, Ferrer E, Ribó M, Albiach MR (2008) Composting olive mill pomace and other residues from rural southeastern Spain. Waste

[22] Alburquerque JA, Gonzálvez J, García D, Cegarra J (2007) Effects of a compost made from the solid by–product ("alperujo") of the two–phase centrifugation system for live oil extraction and cotton gin waste on growth and nutrient content of ryegrass (Lolium

[23] Hachicha S, Sellami F, Medhioub K, Hachicha R, Ammar E (2008) Quality assessment of composts prepared with olive mill wastewater and agricultural wastes. Waste Manage.

by the two–phase centrifugation system. Chemosphere. 64: 470–477.

	- [40] Grilo J, Bol R, Dixon L, Chadwick D, Fangueiro D (2011) Long term release of carbon from grassland soil amended with different slurry particle size fractions: a laboratory incubation study. Rapid Commun. Mass Sp. 25: 1514–1520.

The Compost of Olive Mill Pomace:

From a Waste to a Resource – Environmental Benefits of Its Application in Olive Oil Groves 483

[55] Senesi N, Plaza C, Brunetti G, Polo A (2007) A comparative survey of recent results on humic–like fractions in organic amendments and effects on native soil humic

[56] Ferguson RB, Shapiro CA, Hergert GW, Kranz WL, Klocke NL, Krull DH (1991) Nitrogen and irrigation management practices to minimize nitrate leaching from

[57] Hallberg GR (1985) Agricultural chemicals and groundwater quality in Iowa: Status Report, Cooperative Extension Service, CE–2158q, Iowa State Univ, Ames, IA, p. 11. [58] Stanley EH, Short RA, Harrison JW, Hall R, Wiedenfeld RC (1990) Variation in a nutrient limitation of lotic and lentic algal communities in a Texas (USA) river.

[59] Hallberg GR (1989) Nitrate in ground water in the United States. In R.F. Follett (ed.) Nitrogen management and ground water protection. Elsevier, New York, p. 35–74. [60] Yadav SN (1997) Formulation and estimation of nitrate–nitrogen leaching from corn

[61] Insam H, Merschak P (1997) Nitrogen leaching from forest soil cores after amending organic recycling products and fertilizers. Waste Management Research, 15: 277–292. [62] IPCC (2007) Changes in Atmospheric Constituents and in Radiative Forcing,

[63] García–Ruiz R, Baggs E (2007) 15N–N2O emissions from decomposition of plant residues

[64] Baggs EM, Stevenson M, Pihlatie M, Regar A, Cook H, Cadisch G (2003) Nitrous oxide emissions following application of residues and fertiliser under zero and conventional

[65] Baggs EM, Rees RM, Smith KA, Vinten AJA (2000) Nitrous oxide emission from soils

[66] Duiker SW, Lal R (2000) Carbon budget study using CO2 flux measurements from a no

[67] Adiku SGK, Narh S, Jones JW, Laryea KB, Dowuona GN (2008) Short–term effects of crop rotation, residue management, and soil water on carbon mineralization in a

[68] Manzoni S, Proporato A (2009) Soil carbon and nitrogen mineralization: Theory and

[69] Cleveland CC, Liptzin D (2007) C:N: P stoichiometry in soil: is there a "Redfield ratio"

[70] Jensen LS, Mueller T, Magid J, Nielsen NE (1997) Temporal variation of C and N mineralization, microbial biomass and extractable organic pools in soil after oilseed

[71] Bernal MP, Sánchez–Monedero MA, Paredes C, Roig A (1998) Carbon mineralization from organic wastes at different composting stages during their incubation with soil.

rape straw incorporation in the field. Soil Biol. Biochem. 29: 1043–1055.

in olive oil orchard. En: Towards a better efficiency in N use, pp. 250–253.

substances. Soil Biol. Biochem. 39: 1244–1252.

irrigated corn. J. Prod. Agric. 4: 186–192.

cultivation. J. Environ. Qual. 26: 808–814.

Cambridge University Press, UK and New York USA.

after incorporating crop residues. Soil Use Manage. 16: 82–87.

till system in central Ohio. Soil Till. Res. 54: 21–30.

tropical cropping system. Plant Soil, 311: 29–38.

Agr. Ecosyst. Environ. 69: 175–189.

models across scales. Soil Biol. Biochem. 41, 1355–1379.

for the microbial biomass? Biogeochemistry. 85: 235–252.

Hydrobiologia. 206: 61–71.

tillage. Plant Soil. 254: 361.


[55] Senesi N, Plaza C, Brunetti G, Polo A (2007) A comparative survey of recent results on humic–like fractions in organic amendments and effects on native soil humic substances. Soil Biol. Biochem. 39: 1244–1252.

482 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

incubation study. Rapid Commun. Mass Sp. 25: 1514–1520.

a grassland soil. Soil Biol. Biochem. 39: 2608–2620.

Wastes Applied to Soils, Academic Press, London.

organic materials. J. Environ. Qual. 15: 193–198.

incubation with soil. Biol. Fert. Soils, 13: 135–140.

manures incubated in soil. J. Environ. Qual. 23: 1184–1189.

sized fractions, J. Environ. Qual. 8: 79–82.

Sci. Plant Nutr. 31: 189–198.

313–315.

80: 107–120.

Qual. 12: 150–156.

sludge with straw. Bioresource Technol. 99: 7636–7643.

[40] Grilo J, Bol R, Dixon L, Chadwick D, Fangueiro D (2011) Long term release of carbon from grassland soil amended with different slurry particle size fractions: a laboratory

[41] Fangueiro D, Chadwick D, Dixon L, Bol R (2007) Quantification of priming and CO2 respiration sources following the application of different slurry particle size fractions to

[42] Robin P, Ablain F, Yulipriyanto H, Pourcher AM, Morvan T, Cluzeau D, Morand P (2008) Evolution of non–dissolved particulate organic matter during composting of

[43] Tester CF, Sikora LJ, Taylor JM, Parr JF (1979) Decomposition of sewage sludge compost in soil: III. Carbon, nitrogen, and phosphorus transformations in different

[44] Aoyama M (1985) Properties of fine and water–soluble fractions of several composts. Micromorphology, elemental composition and nitrogen mineralization of fractions. Soil

[45] Fangueiro D, Gusmão M, Grilo J, Porfírio G, Vasconcelos E, Cabral F (2010) Proportion, composition and potential N mineralisation of particle size fractions obtained by

[46] Fangueiro D, Bol R, Chadwick D (2008a) Assessment of the potential N mineralization of six particle size fractions of two different cattle slurries. J. Plant Nutr. Soil Sc. 171:

[47] Fangueiro D, Pereira J, Chadwick D, Coutinho J, Moreira N, Trindade H (2008b) Laboratory assessment of the effect of cattle slurry pre–treatment on organic N degradation after soil application and N2O and N2 emissions. Nutr. Cycl. Agroecosys.

[48] Beauchamp EG, Paul JW (1989) A simple model to predict manure N availability to crops in the field. In: J.A. Hansen and K. Henriksen, Editors, Nitrogen in Organic

[49] Cabrera F, Martín–Olmedo P, López R, Murillo JA (2005) Nitrogen mineralization in soils amended with composted olive mill sludge. Nutr. Cycl. Agroecosys. 71: 249–258. [50] Parker CF, Sommer LE (1983) Mineralization of nitrogen in sewage sludges. J. Environ.

[51] Hérbert M, Karam A, Parent LE (1991) Mineralization of nitrogen and carbon in soils amended with composted manure. Biology, Agriculture and Horticulture, 7: 349–361. [52] Chae YM, Tabatabai MA (1986) Mineralization in an aridisol mixed with various

[53] Bernal MP, Kirchmann H (1992) Carbon and nitrogen mineralization and ammonia volatilization: from fresh, aerobically and anaerobically treated pig manure during

[54] Hadas A, Portnoy R (1994) Nitrogen and carbon mineralization rates of composted

mechanical separation of animal slurry. Biosyst. Eng. 106: 333–337.


	- [72] Hollis JM, Jones RJA, Palmer RC (1977) The effect of organic matter and particle size on the water retention properties of some soils in the West Midlands of England. Geoderma. 17, 225– 238.

**Chapter 21** 

© 2012 Guevara-Hernández et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is

distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Guevara-Hernández et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use,

properly cited.

change, resource scarcity, and economic crises limit humanity's options.

Shifting cultivation and other traditional systems of food production in Chiapas are being highly influenced by the slow-motion arrival of industrial agriculture, which is based on maximizing short-term productivity through the use of synthetic inputs such as fertilizers and pesticides, as well as commercial seeds (Garcia-Barrios et al. 2010). Most farm inputs are supplied by Mexican subsidiaries of foreign-owned multinational corporations such as

**Social-Ecological Resilience** 

Additional information is available at the end of the chapter

and Leopoldo Medina-Sanson

http://dx.doi.org/10.5772/45898

**1. Introduction** 

**and Maize Farming in Chiapas, Mexico** 

Nils Max McCune, Francisco Guevara-Hernández, Jose Nahed-Toral, Paula Mendoza-Nazar, Jesus Ovando-Cruz, Benigno Ruiz-Sesma

Chiapas is considered one of the areas of origin for maize, and indigenous production systems remain a major element of maize farming and the food system of Mexico's southernmost state. These traditional systems often include a complex, long-term relationship between maize farming and the larger landscape (Medellín and Equihua, 1998). However, what often appear to be static, steady states of small farmer land use in fact are highly dynamic systems that are in the midst of major adaptations to new climatic and economic conditions. The globalization of the agribusiness model that came to dominate the U.S. landscape during the 20th century has put intense pressures on small farmers in Chiapas, adding to complications arising from shifting growing seasons and other effects of global climate change. However, history has shown that Mexican small farmers are never passive objects of their circumstances, and their responses to early 21st century marginalization take both centralized and local forms, in political and productive terms (Guevara-Hernández et al. 2011a). The balance of forces—capitalist agriculture, external input dependence, neoliberal national food policy on one hand; traditional knowledge, agroecological transitions, social movements on the other—in Mexican agriculture tends to distinguish two contending models for food systems, even as climate


**Chapter 21** 

## **Social-Ecological Resilience and Maize Farming in Chiapas, Mexico**

Nils Max McCune, Francisco Guevara-Hernández, Jose Nahed-Toral, Paula Mendoza-Nazar, Jesus Ovando-Cruz, Benigno Ruiz-Sesma and Leopoldo Medina-Sanson

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45898

## **1. Introduction**

484 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Mediterranean soil. Soil Biol. Biochem. 38: 600–610.

enzyme activities. Soil Sci. Soc. Am. J. 56: 783–788.

biodiversity in organic farming. Science. 296: 1694–1697.

as amendments for rye–grass. Agronomie. 24, 481–486.

slurry compost applied to soils. Compost Sci. Util. 11: 72–80.

Geoderma. 17, 225– 238.

7987.

Res. 90: 162–170.

[72] Hollis JM, Jones RJA, Palmer RC (1977) The effect of organic matter and particle size on the water retention properties of some soils in the West Midlands of England.

[73] López–Piñeiro A, Albarrán A, Nunes JM, Barreto C (2008) Short and medium–term effects of two–phase olive mill waste application on olive grove production and soil properties under semiarid Mediterranean conditions. Bioresource Technol. 99: 7982–

[74] Piotrowska A, Iamarino G, Rao MA, Gianfred L (2006) Short–term effects of olive mill waste water (OMW) on chemical and biochemical properties of a semiarid

[75] Montemurro F, Convertini G, Ferri D (2004) Mill wastewater and olive pomace compost

[76] Benítez C, Tejada M, González JL (2003) Kinetics of mineralization of nitrogen in a pig

[77] Dick RP (1994) Influence of long–term tillage and crop rotation combinations on soil

[78] Mäder P, Fliessbacth A, Dubois D, Gunst L, Fried P, Niggli U (2002) Soil fertility and

[79] Melero S, Porras JC, Herencia JF, Madejón E (2006) Chemical and biochemical properties in a silty loam soil under conventional and organic management. Soil Till.

Chiapas is considered one of the areas of origin for maize, and indigenous production systems remain a major element of maize farming and the food system of Mexico's southernmost state. These traditional systems often include a complex, long-term relationship between maize farming and the larger landscape (Medellín and Equihua, 1998). However, what often appear to be static, steady states of small farmer land use in fact are highly dynamic systems that are in the midst of major adaptations to new climatic and economic conditions. The globalization of the agribusiness model that came to dominate the U.S. landscape during the 20th century has put intense pressures on small farmers in Chiapas, adding to complications arising from shifting growing seasons and other effects of global climate change. However, history has shown that Mexican small farmers are never passive objects of their circumstances, and their responses to early 21st century marginalization take both centralized and local forms, in political and productive terms (Guevara-Hernández et al. 2011a). The balance of forces—capitalist agriculture, external input dependence, neoliberal national food policy on one hand; traditional knowledge, agroecological transitions, social movements on the other—in Mexican agriculture tends to distinguish two contending models for food systems, even as climate change, resource scarcity, and economic crises limit humanity's options.

Shifting cultivation and other traditional systems of food production in Chiapas are being highly influenced by the slow-motion arrival of industrial agriculture, which is based on maximizing short-term productivity through the use of synthetic inputs such as fertilizers and pesticides, as well as commercial seeds (Garcia-Barrios et al. 2010). Most farm inputs are supplied by Mexican subsidiaries of foreign-owned multinational corporations such as

© 2012 Guevara-Hernández et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Guevara-Hernández et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

Monsanto, Syngenta, and Dow. At the same time, an industrial food system means that large amounts of capital are invested in food sales, creating giant monopolies in processing and distribution, which significantly reduce the portion that farmers receive of the price paid by consumers. In other words, control over the food system—the set of activities that are built around capital flow and labor command in food production, shipping, transformation, consumption—is highly concentrated in the hands of input manufacturers and food processing, trading, and retail corporations, while the riskiest part of agriculture the actual farming process—is still in the hands of hundreds of thousands of small farmers (Magdoff et al. 2000).

Social-Ecological Resilience and Maize Farming in Chiapas, Mexico 487

Research into sustainable agriculture has increasing come to embrace the conceptual approach of food systems, as these reflect the interface of alimentation, human activities, public policies, cultural norms and social well-being, along with land, farms, ecosystems, and economies. The complex interactions between these processes at distinct scales, and involving various institutional and economic actors, may produce the outcome of food security. The food system approach may be useful for developing cohesive strategies across policy sectors, including agrarian and land access sectors, natural resource and environmental management, agriculture, trade, economy, industry, science and technology, health, and education, among others (Ericksen et al. 2010). Efforts to achieve food system sustainability in the midst of global environmental and economic changes are beginning to coalesce around certain concepts that help determine the most significant problems in food systems and identify management strategies at several levels of analysis (farm, community, national, international) to increase social, ecological, and economic sustainability (Pretty et

The management of complex, adaptive systems has become a dynamic field of new transdisciplinary theory, especially with regard to life supporting systems of human activities, such as agriculture, in sensitive ecological contexts. Social-ecological systems (Berkes and Folke, 1998), or coupled human and natural systems (Liu et al. 2007), have become a central concept to allow greater understanding of the interdependencies and feedbacks between social and ecological systems. The contributions of systems ecology are applied in order to understand the complex internal dynamics and adaptability of these coupled systems. Many of the concepts that inform such studies of systems originate from ecology, for two reasons: one, its emphasis on qualities that emerge from a set of relationships between elements, rather than the reductionist focus on elements in isolation; and two, the growing academic and popular concern for the relationship between humanity and the biosphere that tenderly

In the efforts to understand the intrinsic qualities of social-ecological systems, researchers from several different disciplinary backgrounds have approached the concept of resilience (Shattuck, 2012). The resilience principle stems from systems ecology theory (Hooper, 1973) that suggested that instead of static, unchanging climax communities, natural ecosystems could evolve between several alternative stable states, with biotic and abiotic feedback mechanisms accelerating or preventing system change. Disturbances began to be seen as an integral part of ecosystem function, and resilience as an emergent system capacity to absorb a certain magnitude of shock and maintain key system functions before reaching a critical threshold and switching to an alternative stable equilibrium with new system properties (Holling, 1973; Noy-Meir, 1975). Noy-Meir (1975) used the analogy of a mechanical ball-incontainer (figure 1) to describe alternative steady-states. The original steady-state is stable to fluctuations within a certain range, but too hard a push in one direction will send it over the turning point and toward a new steady-state. The major concern in light of global environmental change is that ecosystems will be pushed beyond their limits, into new

exists on the surface of the Earth's crust (Lang, 2009).

steady-states that provide less ecological services (Walker et al. 2004).

**2. The resilience paradigm** 

al. 2011).

In Chiapas, these farmers live in hills and valleys, in forested land and former forests, in dry shrub lands and in lush jungles. Their communities and farmlands compose a peasant landscape, in which patches of forest are interspersed in a complex mosaic of farms, backyards, homes, schools, rivers, roads, and towns. Depending on the type of agriculture practiced, soil may be highly degraded or intact. Chiapas is a center for biodiversity; many endemic species live in and around forest patches and agroecosystems (Ramírez-Marcial et al. 2001). In this setting, the demands of rural social movements such as *¡Sin Maíz No Hay País!* (Without Corn There is No Country!) increasingly refer to the goal of food sovereignty. Food sovereignty means a fundamental emphasis on local and domestic production, based on land access for small farmers and ecological production practices. It rejects food as a commodity to be included in free trade agreements or dumping schemes meant to undermine countries' domestic production capacity. As a political proposal, food sovereignty implies a radical democratization and decentralization of the agriculture-food system, including the destruction of corporate power over food. On a more cultural level, food sovereignty is an affirmation of rural community, local knowledge, and gender equality.

Both the agribusiness model and the food sovereignty model are highly complex, integrated systems that involve the relationship of society and nature. The stability of each system depends on distinct factors that combine social and ecological drivers, while the capacity of each to respond to shock or disturbance will depend on unique intrinsic qualities. In the case of industrial or export-focused agriculture, we have a system that has been shown to be destructive to peoples and ecosystems, due to its focus on short-term profits through maximizing monoculture productivity. Here we draw from theoretical contributions from restoration ecology that use models of alternative stable states to study change in complex systems (Suding et al. 2004). We argue that monoculture/capitalist agribusiness represents one pull of attraction, or alternative state, indeed a food system unique to late-stage global capitalism. On the other hand, we propose that the agroecology/food sovereignty framework may in fact represent another alternative state, far more promising for building resilient food systems in the 21st century. In order to develop this line of inquiry, we start by examining more closely the resilience paradigm and the two proposed stable states at an abstract/global level. Then we describe historical, agroecological, and political elements of food system resilience in the case of a maizegrowing community in Chiapas.

## **2. The resilience paradigm**

486 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

(Magdoff et al. 2000).

equality.

growing community in Chiapas.

Monsanto, Syngenta, and Dow. At the same time, an industrial food system means that large amounts of capital are invested in food sales, creating giant monopolies in processing and distribution, which significantly reduce the portion that farmers receive of the price paid by consumers. In other words, control over the food system—the set of activities that are built around capital flow and labor command in food production, shipping, transformation, consumption—is highly concentrated in the hands of input manufacturers and food processing, trading, and retail corporations, while the riskiest part of agriculture the actual farming process—is still in the hands of hundreds of thousands of small farmers

In Chiapas, these farmers live in hills and valleys, in forested land and former forests, in dry shrub lands and in lush jungles. Their communities and farmlands compose a peasant landscape, in which patches of forest are interspersed in a complex mosaic of farms, backyards, homes, schools, rivers, roads, and towns. Depending on the type of agriculture practiced, soil may be highly degraded or intact. Chiapas is a center for biodiversity; many endemic species live in and around forest patches and agroecosystems (Ramírez-Marcial et al. 2001). In this setting, the demands of rural social movements such as *¡Sin Maíz No Hay País!* (Without Corn There is No Country!) increasingly refer to the goal of food sovereignty. Food sovereignty means a fundamental emphasis on local and domestic production, based on land access for small farmers and ecological production practices. It rejects food as a commodity to be included in free trade agreements or dumping schemes meant to undermine countries' domestic production capacity. As a political proposal, food sovereignty implies a radical democratization and decentralization of the agriculture-food system, including the destruction of corporate power over food. On a more cultural level, food sovereignty is an affirmation of rural community, local knowledge, and gender

Both the agribusiness model and the food sovereignty model are highly complex, integrated systems that involve the relationship of society and nature. The stability of each system depends on distinct factors that combine social and ecological drivers, while the capacity of each to respond to shock or disturbance will depend on unique intrinsic qualities. In the case of industrial or export-focused agriculture, we have a system that has been shown to be destructive to peoples and ecosystems, due to its focus on short-term profits through maximizing monoculture productivity. Here we draw from theoretical contributions from restoration ecology that use models of alternative stable states to study change in complex systems (Suding et al. 2004). We argue that monoculture/capitalist agribusiness represents one pull of attraction, or alternative state, indeed a food system unique to late-stage global capitalism. On the other hand, we propose that the agroecology/food sovereignty framework may in fact represent another alternative state, far more promising for building resilient food systems in the 21st century. In order to develop this line of inquiry, we start by examining more closely the resilience paradigm and the two proposed stable states at an abstract/global level. Then we describe historical, agroecological, and political elements of food system resilience in the case of a maizeResearch into sustainable agriculture has increasing come to embrace the conceptual approach of food systems, as these reflect the interface of alimentation, human activities, public policies, cultural norms and social well-being, along with land, farms, ecosystems, and economies. The complex interactions between these processes at distinct scales, and involving various institutional and economic actors, may produce the outcome of food security. The food system approach may be useful for developing cohesive strategies across policy sectors, including agrarian and land access sectors, natural resource and environmental management, agriculture, trade, economy, industry, science and technology, health, and education, among others (Ericksen et al. 2010). Efforts to achieve food system sustainability in the midst of global environmental and economic changes are beginning to coalesce around certain concepts that help determine the most significant problems in food systems and identify management strategies at several levels of analysis (farm, community, national, international) to increase social, ecological, and economic sustainability (Pretty et al. 2011).

The management of complex, adaptive systems has become a dynamic field of new transdisciplinary theory, especially with regard to life supporting systems of human activities, such as agriculture, in sensitive ecological contexts. Social-ecological systems (Berkes and Folke, 1998), or coupled human and natural systems (Liu et al. 2007), have become a central concept to allow greater understanding of the interdependencies and feedbacks between social and ecological systems. The contributions of systems ecology are applied in order to understand the complex internal dynamics and adaptability of these coupled systems. Many of the concepts that inform such studies of systems originate from ecology, for two reasons: one, its emphasis on qualities that emerge from a set of relationships between elements, rather than the reductionist focus on elements in isolation; and two, the growing academic and popular concern for the relationship between humanity and the biosphere that tenderly exists on the surface of the Earth's crust (Lang, 2009).

In the efforts to understand the intrinsic qualities of social-ecological systems, researchers from several different disciplinary backgrounds have approached the concept of resilience (Shattuck, 2012). The resilience principle stems from systems ecology theory (Hooper, 1973) that suggested that instead of static, unchanging climax communities, natural ecosystems could evolve between several alternative stable states, with biotic and abiotic feedback mechanisms accelerating or preventing system change. Disturbances began to be seen as an integral part of ecosystem function, and resilience as an emergent system capacity to absorb a certain magnitude of shock and maintain key system functions before reaching a critical threshold and switching to an alternative stable equilibrium with new system properties (Holling, 1973; Noy-Meir, 1975). Noy-Meir (1975) used the analogy of a mechanical ball-incontainer (figure 1) to describe alternative steady-states. The original steady-state is stable to fluctuations within a certain range, but too hard a push in one direction will send it over the turning point and toward a new steady-state. The major concern in light of global environmental change is that ecosystems will be pushed beyond their limits, into new steady-states that provide less ecological services (Walker et al. 2004).

Social-Ecological Resilience and Maize Farming in Chiapas, Mexico 489

have is used to argue against inserting planning mechanisms and regulation on economic systems. Indeed, the free market is argued to be a complex system capable of self-regulation. The same analysis considers the shock of deregulation and structural adjustment programs to be a healthy opportunity for renewal. A skeptic might insert here the example of New Orleans or Iraq, both places where disaster (to be located somewhere on a gradient between "natural" and human-made) created an opportunity to rebuild in a new image and for the benefit of a distinct group, in both cases resulting in massive profits for contractors that, incidentally, worked under U.S. government contact (i.e., the planned economy). Essentially, orthodox neoliberals create conditions for huge profit by monopoly capital, rather than constructing any sort of self-organized or resilient world state. On the contrary, we argue that the resilience of a local food system is often inversely related to its integration

Shattuck (2012) proposes a framework for studying resilience in food systems, in order to effectively prioritize goals of human well-being and biodiversity conservation. This author combines literature on biophysical restraints, adaptive capacity, and political economy to develop a food system resilience framework that considers ecological processes and underlying macroeconomic causes of livelihood vulnerability. Here we presuppose that as an emergent property, resilience of a given food system-state is always subject to influence by resilience of systems that operate at larger or smaller scales. We have built our analysis around a resilience assessment in a rural community of Chiapas, but have sought to contribute to a much-needed debate on the global scale. In the study community, we evaluated aspects of economic, social and ecological resilience, based on interviews, surveys, and data sampling that were carried out over the course of two years of fieldwork in the

Allenby and Fink (2005) define resilience as the "capability of a system to maintain its functions and structure in the face of internal and external change and to degrade gracefully when it must." Accepting this definition, we should define the functions of the capitalist industrial food system and describe its structure, before looking for the critical thresholds that it may not cross without converting into a qualitatively different system. As with all activities driven by capital, the paramount function of the capitalist food system is to reproduce capital in greater quantities. This function has lead to a rationalization of economies surrounding food, based on the principle of maximizing the difference between costs and revenues in the application of capital to production, processing, distribution, and sales. In the productive sphere, rationalization means the maximization of commodity production. In order to maximize revenues, capitalist food systems have developed enormous structures for food processing in order to add to commodity value, as well as advertising to boost revenues. As capital has been slow to penetrate the actual farming process itself (Levins, 2007), due to its risky nature and bio-physical limitations, it has instead reduced the on-farm value added to commodities (i.e. cut into the farmer's income)

into the world capitalist economy.

Fraylesca region of Chiapas during 2010-12.

**3. Resilience of the industrial food system** 

**Figure 1.** A physical model of the two-steady-states situation (from Noy-Meir, 1975).

The two-steady-state model is a very simple illustration of a key concept in resilience studies: the threshold. The high point of the center curve in figure one is the threshold, or point of no return, for the original system. Resilience systems may absorb strong shocks below this point; one tiny push above it will result in what could be irreversible and accelerated change. One of the major objectives of resilience research is to identify and characterize system thresholds, in order to understand what makes systems able to absorb some shocks without changing overall function, what makes some changes temporary and others permanent, and how to shift thresholds through system adaptations. Social and ecological dynamics in industrial food states can be very different from dynamics in traditional or sovereign food states. Efforts to promote transition to a sovereign food state need to better understand feedbacks and constraints of the industrial food state. Alternative state models, used in restoration ecology to focus on internally reinforced states and recovery thresholds (Suding et al. 2004), may help guide historic conversions to sovereign food systems.

The recent attention paid in academic literature toward the concepts of risk, robustness and resilience in social and economic systems is surely related to such troubling events as the global financial crisis of 2008; the Great Recession that is still very much limiting employment and well-being among most nations in the world; the so-called Arab Spring that has produced protest movements for systemic change in diverse countries like Egypt, Tunisia, Yemen, Libya, Syria, Spain, Greece, Portugal, France, and the United States; the global food price crises of 2007 and 2011; the impending scarcity of hydrological and energetic resources; and finally, the arrival of such damning evidence as increased incidence of extreme weather events (e.g. hurricanes, droughts, floods) and long-term changes associated with excessive greenhouse gases in the Earth's atmosphere.

The sudden growth in use of the term "resilience" has been studied elsewhere and associated with a shift toward the understanding of complex systems as being more dynamic and less tied to any one climax or stable state. The Resilience Alliance and the Stockholm Resilience Centre, high-profile scientific platforms that bring together orthodox neoliberal economists with systems ecologists (Walker and Cooper, 2011), emphasize an adaptive cycle within complex systems that includes phases of growth, decadence, selfdestruction and renewal. Curiously, this self-organization that complex systems are seen to have is used to argue against inserting planning mechanisms and regulation on economic systems. Indeed, the free market is argued to be a complex system capable of self-regulation. The same analysis considers the shock of deregulation and structural adjustment programs to be a healthy opportunity for renewal. A skeptic might insert here the example of New Orleans or Iraq, both places where disaster (to be located somewhere on a gradient between "natural" and human-made) created an opportunity to rebuild in a new image and for the benefit of a distinct group, in both cases resulting in massive profits for contractors that, incidentally, worked under U.S. government contact (i.e., the planned economy). Essentially, orthodox neoliberals create conditions for huge profit by monopoly capital, rather than constructing any sort of self-organized or resilient world state. On the contrary, we argue that the resilience of a local food system is often inversely related to its integration into the world capitalist economy.

Shattuck (2012) proposes a framework for studying resilience in food systems, in order to effectively prioritize goals of human well-being and biodiversity conservation. This author combines literature on biophysical restraints, adaptive capacity, and political economy to develop a food system resilience framework that considers ecological processes and underlying macroeconomic causes of livelihood vulnerability. Here we presuppose that as an emergent property, resilience of a given food system-state is always subject to influence by resilience of systems that operate at larger or smaller scales. We have built our analysis around a resilience assessment in a rural community of Chiapas, but have sought to contribute to a much-needed debate on the global scale. In the study community, we evaluated aspects of economic, social and ecological resilience, based on interviews, surveys, and data sampling that were carried out over the course of two years of fieldwork in the Fraylesca region of Chiapas during 2010-12.

## **3. Resilience of the industrial food system**

488 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Figure 1.** A physical model of the two-steady-states situation (from Noy-Meir, 1975).

food systems.

The two-steady-state model is a very simple illustration of a key concept in resilience studies: the threshold. The high point of the center curve in figure one is the threshold, or point of no return, for the original system. Resilience systems may absorb strong shocks below this point; one tiny push above it will result in what could be irreversible and accelerated change. One of the major objectives of resilience research is to identify and characterize system thresholds, in order to understand what makes systems able to absorb some shocks without changing overall function, what makes some changes temporary and others permanent, and how to shift thresholds through system adaptations. Social and ecological dynamics in industrial food states can be very different from dynamics in traditional or sovereign food states. Efforts to promote transition to a sovereign food state need to better understand feedbacks and constraints of the industrial food state. Alternative state models, used in restoration ecology to focus on internally reinforced states and recovery thresholds (Suding et al. 2004), may help guide historic conversions to sovereign

The recent attention paid in academic literature toward the concepts of risk, robustness and resilience in social and economic systems is surely related to such troubling events as the global financial crisis of 2008; the Great Recession that is still very much limiting employment and well-being among most nations in the world; the so-called Arab Spring that has produced protest movements for systemic change in diverse countries like Egypt, Tunisia, Yemen, Libya, Syria, Spain, Greece, Portugal, France, and the United States; the global food price crises of 2007 and 2011; the impending scarcity of hydrological and energetic resources; and finally, the arrival of such damning evidence as increased incidence of extreme weather events (e.g. hurricanes, droughts, floods) and long-term changes

The sudden growth in use of the term "resilience" has been studied elsewhere and associated with a shift toward the understanding of complex systems as being more dynamic and less tied to any one climax or stable state. The Resilience Alliance and the Stockholm Resilience Centre, high-profile scientific platforms that bring together orthodox neoliberal economists with systems ecologists (Walker and Cooper, 2011), emphasize an adaptive cycle within complex systems that includes phases of growth, decadence, selfdestruction and renewal. Curiously, this self-organization that complex systems are seen to

associated with excessive greenhouse gases in the Earth's atmosphere.

Allenby and Fink (2005) define resilience as the "capability of a system to maintain its functions and structure in the face of internal and external change and to degrade gracefully when it must." Accepting this definition, we should define the functions of the capitalist industrial food system and describe its structure, before looking for the critical thresholds that it may not cross without converting into a qualitatively different system. As with all activities driven by capital, the paramount function of the capitalist food system is to reproduce capital in greater quantities. This function has lead to a rationalization of economies surrounding food, based on the principle of maximizing the difference between costs and revenues in the application of capital to production, processing, distribution, and sales. In the productive sphere, rationalization means the maximization of commodity production. In order to maximize revenues, capitalist food systems have developed enormous structures for food processing in order to add to commodity value, as well as advertising to boost revenues. As capital has been slow to penetrate the actual farming process itself (Levins, 2007), due to its risky nature and bio-physical limitations, it has instead reduced the on-farm value added to commodities (i.e. cut into the farmer's income)

by creating an industry of costly farm inputs, which are generally accepted as a part of the modern, monoculture form of growing food.

Social-Ecological Resilience and Maize Farming in Chiapas, Mexico 491

the hopeful post-war and post-colonial world. Thus it was that the "green revolution," a broad program of agricultural research and technology development mostly focused on producing new high-yield varieties, was developed as production-focused solution to

Industrial agriculture is based on the intensive use of external inputs—such as improved seeds, fertilizers, pesticides, and irrigated water—to maximize yields. In the United States, this led to more overall production, causing the prices that farmers receive for their production to fall. As input costs rose and farm prices fell, small farms were squeezed by the low per-unit return on farming. The large farms that could produce at such a scale as to be profitable—despite the narrow margin between input costs and sales prices—started to swallow a much greater share of U.S. farm income. In 1969, the 1.2 percent of U.S. farms with the greatest annual income earned 16 percent of net farm income; by the end of the 1980s, they earned nearly 40 percent (Rosset, 1998). It is not necessarily the technologies of industrial agriculture that cause this concentration of agricultural income, but their application in societies where the advantage is already with wealthier growers and large agribusiness corporations. In such a social context, green revolution technologies tend to accelerate the concentration of food system resources, such as land and capital, in the hands

At a landscape level, the agribusiness model becomes best consolidated in conditions of potential ecological homogeneity and market control over economic resources (Perfecto et al. 2010). For this reason, its arrival to the Fraylesca region of Chiapas has been uneven dominating the landscape in the large valleys, and barely felt in the most remote *ejidos* and family farms. The *ejido* system, as a form of collective property embedded in the national food system, has been a buffering element that kept local food systems viable in much of the Mexican countryside, especially in the southern states. Meanwhile, the large population of northern Mexico has created a more drastic contrast between delicate, rain-fed systems, and

This partially explains the highly disproportionate amount of private and public investment in agriculture in the northern states, while most support for farmers in southern states take the form of social welfare programs (Fox and Haight, 2010). The capitalist agribusiness model has been consolidated in northern Mexico in the generations since the end of the Second World War. In southern Mexico, it has arrived in waves—the most tidal of which was the destruction of state-owned grain warehouses and price regulations—which have yet to completely break the small farmer food system that retains a large geographic and nutritional importance, despite the dismantling of the economic structure that had been

Resilience in the industrial food system depends on two major objective factors: avoiding ecological destruction that would affect profit margins, and continued growth into new markets to prevent negative effects of overproduction. As global economies become more integrated than ever before and resource scarcity on a global level seems imminent, agribusiness corporations have moved into biotechnologies as a way to absorb huge sums of

hunger in Asia, Africa, and Latin America.

of a few large players.

industrial farms built on fossil water.

built around it since the Revolution.

To think of the industrial agriculture model as a stable state on a food system continuum requires identifying its major components, defining the limits and time scale of the system, determining the values, peoples, and natural resources involved, analyzing the political economy and legal character of industrial agriculture, and recognizing the cross-scale interactions that all have an impact on system resilience (Kinzig et al. 2007). The essential components of a mature industrial agriculture model include the integration of food into free trade agreements, government support for agribusiness, market control over land and water resources, external input-intensive production models, monoculture and specialization, as well as an agricultural research establishment that focuses on developing profitable technologies. These conditions are largely met in Mexico as a whole, except for the millions of small-scale producers who continue to meet food needs at the local and national level using few external inputs and some form of communal land rights. The contradictory proliferation—and hybridization—of this model in socially and ecologically adverse circumstances deserves further attention.

The industrial food system represents the technological and organizational apex of a model first put into place in lands colonized by European powers. The monoculture is an invention of colonial economies, which treated dominated nations only as sources for cheap raw materials (including cheap food for a growing industrial working class). In Ireland, the monoculture potato production system was enforced by British colonial law that prevented the Irish from planting other crops. When a common pathogenic fungus destroyed the potato harvest, millions of Irish were killed by the ensuing famine. This is a classic example of the risk of the food system built on monoculture. Despite many such examples of spectacular failure, the industrial food system remains deeply committed to monoculture production systems around the world. The development of a global food system based on the increasing excursion of capital into farming has been a complex process, by which capital completely surrounded farming by taking over farm input and post-harvest economies while only slowly moving into the actual farming itself. Early stabs at industrial agriculture included the guano boat and phosphorus mining fertilizer industries in the late 1800s. In California, industrial agriculture and land takeovers were always linked (Walker, 2004), as wheat farming prospecting triggered a new "gold fever" and led to a bonanza period of often-falsified speculation on real estate.

A great new era began for industrial agriculture after the Second World War. Many countries were in ruins, and baby booms gave impetus to the US war materials industry to "convert swords to plowshares" and sell them to reconstruction programs. Factories that produced nitrogen-based explosives already had the entire infrastructure necessary to produce nitrogen fertilizers, tank assembly lines could easily be converted to create tractors, and many of the nastier chemicals used in war efforts were found to have satisfyingly lethal effects on insects and unwanted plants in agriculture. Even more importantly, the call for technical solutions to hunger was seen as an antidote to the more radical demands from structural change and wealth redistribution in order to combat poverty-caused hunger in the hopeful post-war and post-colonial world. Thus it was that the "green revolution," a broad program of agricultural research and technology development mostly focused on producing new high-yield varieties, was developed as production-focused solution to hunger in Asia, Africa, and Latin America.

490 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

modern, monoculture form of growing food.

adverse circumstances deserves further attention.

period of often-falsified speculation on real estate.

by creating an industry of costly farm inputs, which are generally accepted as a part of the

To think of the industrial agriculture model as a stable state on a food system continuum requires identifying its major components, defining the limits and time scale of the system, determining the values, peoples, and natural resources involved, analyzing the political economy and legal character of industrial agriculture, and recognizing the cross-scale interactions that all have an impact on system resilience (Kinzig et al. 2007). The essential components of a mature industrial agriculture model include the integration of food into free trade agreements, government support for agribusiness, market control over land and water resources, external input-intensive production models, monoculture and specialization, as well as an agricultural research establishment that focuses on developing profitable technologies. These conditions are largely met in Mexico as a whole, except for the millions of small-scale producers who continue to meet food needs at the local and national level using few external inputs and some form of communal land rights. The contradictory proliferation—and hybridization—of this model in socially and ecologically

The industrial food system represents the technological and organizational apex of a model first put into place in lands colonized by European powers. The monoculture is an invention of colonial economies, which treated dominated nations only as sources for cheap raw materials (including cheap food for a growing industrial working class). In Ireland, the monoculture potato production system was enforced by British colonial law that prevented the Irish from planting other crops. When a common pathogenic fungus destroyed the potato harvest, millions of Irish were killed by the ensuing famine. This is a classic example of the risk of the food system built on monoculture. Despite many such examples of spectacular failure, the industrial food system remains deeply committed to monoculture production systems around the world. The development of a global food system based on the increasing excursion of capital into farming has been a complex process, by which capital completely surrounded farming by taking over farm input and post-harvest economies while only slowly moving into the actual farming itself. Early stabs at industrial agriculture included the guano boat and phosphorus mining fertilizer industries in the late 1800s. In California, industrial agriculture and land takeovers were always linked (Walker, 2004), as wheat farming prospecting triggered a new "gold fever" and led to a bonanza

A great new era began for industrial agriculture after the Second World War. Many countries were in ruins, and baby booms gave impetus to the US war materials industry to "convert swords to plowshares" and sell them to reconstruction programs. Factories that produced nitrogen-based explosives already had the entire infrastructure necessary to produce nitrogen fertilizers, tank assembly lines could easily be converted to create tractors, and many of the nastier chemicals used in war efforts were found to have satisfyingly lethal effects on insects and unwanted plants in agriculture. Even more importantly, the call for technical solutions to hunger was seen as an antidote to the more radical demands from structural change and wealth redistribution in order to combat poverty-caused hunger in Industrial agriculture is based on the intensive use of external inputs—such as improved seeds, fertilizers, pesticides, and irrigated water—to maximize yields. In the United States, this led to more overall production, causing the prices that farmers receive for their production to fall. As input costs rose and farm prices fell, small farms were squeezed by the low per-unit return on farming. The large farms that could produce at such a scale as to be profitable—despite the narrow margin between input costs and sales prices—started to swallow a much greater share of U.S. farm income. In 1969, the 1.2 percent of U.S. farms with the greatest annual income earned 16 percent of net farm income; by the end of the 1980s, they earned nearly 40 percent (Rosset, 1998). It is not necessarily the technologies of industrial agriculture that cause this concentration of agricultural income, but their application in societies where the advantage is already with wealthier growers and large agribusiness corporations. In such a social context, green revolution technologies tend to accelerate the concentration of food system resources, such as land and capital, in the hands of a few large players.

At a landscape level, the agribusiness model becomes best consolidated in conditions of potential ecological homogeneity and market control over economic resources (Perfecto et al. 2010). For this reason, its arrival to the Fraylesca region of Chiapas has been uneven dominating the landscape in the large valleys, and barely felt in the most remote *ejidos* and family farms. The *ejido* system, as a form of collective property embedded in the national food system, has been a buffering element that kept local food systems viable in much of the Mexican countryside, especially in the southern states. Meanwhile, the large population of northern Mexico has created a more drastic contrast between delicate, rain-fed systems, and industrial farms built on fossil water.

This partially explains the highly disproportionate amount of private and public investment in agriculture in the northern states, while most support for farmers in southern states take the form of social welfare programs (Fox and Haight, 2010). The capitalist agribusiness model has been consolidated in northern Mexico in the generations since the end of the Second World War. In southern Mexico, it has arrived in waves—the most tidal of which was the destruction of state-owned grain warehouses and price regulations—which have yet to completely break the small farmer food system that retains a large geographic and nutritional importance, despite the dismantling of the economic structure that had been built around it since the Revolution.

Resilience in the industrial food system depends on two major objective factors: avoiding ecological destruction that would affect profit margins, and continued growth into new markets to prevent negative effects of overproduction. As global economies become more integrated than ever before and resource scarcity on a global level seems imminent, agribusiness corporations have moved into biotechnologies as a way to absorb huge sums of capital and—they hope—create vast new seed, energy, and pharmaceuticals markets. As a global system, agribusiness can easily leave behind devastated ecosystems and farm communities once degradation has reached the point that farming is no longer profitable. This has especially been the case in areas where long-term irrigation and synthetic fertilizer use have increased salt content of soils beyond thresholds of productivity, or on deforested land where original soil fertility is quickly exhausted to abysmal levels. While this kind of ecological and economic destruction is not threatening to the agribusiness model as a whole, it does threaten to create a social blowback, in the form of rural social movements and consumer groups, strong enough to threaten the future of the agribusiness model. In this sense, widespread social rejection of industrial agriculture is a subjective factor (i.e. dependent upon people's consciousness) that deeply influences the resilience of the system.

Social-Ecological Resilience and Maize Farming in Chiapas, Mexico 493

adaptation process subject to conflict and contestation, as well as consensus. Ecological resilience could consist of: 1) ecosystems based on material cycles (e.g. hydrological, carbon, nitrogen), energy flow through trophic webs, and ecological interactions between biotic agents (e.g. competition, predation, mutualism, commensalism, parasitism); 2) productive patterns that maintain the possibility for indefinite temporal continuity without degradation to material cycles; 3) diversity of function in the ecosystem, with the greatest possible number of niches filled; and 4) redundancy of function, so that the potential loss of some

In order to think of food sovereignty as a stable state or domain of attraction, it becomes necessary to define the "pull" that is capable of directing a food system transition, once the thresholds of the industrial food system have been reached. The direction and strength of this force of attraction almost certainly depends on which thresholds have been reached in the industrial food system-state. Sometimes in order to better understand the resilience pull effect, we can ask ourselves, in any given context, what the easiest option is. In the contradictory dominant order of a globalized, capitalist food system, where are there activities that, when certain thresholds have been passed, become easier to do by conforming to the logic of food sovereignty rather than the logic of capital accumulation? Clearly, the access to conventional farm inputs is a defining pull toward the capital-influenced agricultural model. Thus maybe one starting point for a regime shift could be the end of access to conventional, yield-intensifying chemicals and seeds. This was indeed the case in Cuba, the world's greatest example yet of a national-level transition from an industrial agriculture model to an organic, diversified, low-external input agricultural model. When conventional inputs, petroleum, and imported food all become unavailable due to the fall of the Soviet Union and the US trade embargo, Cuba's small farmers, scientific community, and government teamed up to direct a national inward-looking agricultural effort, based on organic urban gardens, agroecological small farms, and the breaking-up of unproductive state farms into cooperatives more directly controlled by workers (Rosset and Benjamin, 1994). In this case, the perturbation was an acute food crisis; the response was a rapid, dramatic regime shift toward the food

In other cases, the defining pull that defines food state transitions could be the social demand for land, as was the case in those that accompanied the Mexican Revolution. There is also the eternal drive for greater social justice and equality, which has been a major component of food sovereignty-themed social movements in countries such as the United States and Brazil. In the case study below, the driving pull toward a food sovereignty state

By focusing on one maize-growing community in rural Chiapas, we set out to understand the resilience of a maize production system to external disturbances and internal contradictions that jeopardize its natural resource base and the health of its inhabitants. That

species can be compensated by the activity of others.

sovereignty framework.

**5. The focal system** 

of the food system is the concern for human health.

## **4. Resilience of the sovereign food system**

Many efforts have been made to define food sovereignty (Patel, 2009). As an evolving concept, it has also been subject to growing social and academic interest, giving its full meaning an emergent quality in the historical conditions of 21st century social struggle (García-Linera, 2011). Nonetheless, we present a non-exhaustive list of components for economic, social and ecological resilience in sovereign food systems. While definitions are still being agreed upon, economic resilience among rural peoples may consist, at this particular historical moment and in many parts of the world, of several interacting components: 1) land access and unalienable rights to produce; 2) capacity to produce an abundance and variety of food necessary to meet most local food needs, essentially the potential to subsist with local production; 3) minimal dependency upon external inputs (e.g. hybrid seeds, pesticides) the availability and price of which are controlled by monopolies or foreign corporations; 4) maximum capacity to use local and renewable sources for energy and material needs (e.g. water, light, soil nutrition, farm labor); 5) use of diversified land-use and production systems, that may include extraction, agriculture, animal production, and small-scale processing in order to appropriate the value added by labor; 6) diverse income sources and form, which may include local products and off-farm employment, local and regional markets, direct contact with consumers, or in-kind payments; 7) real participation in the planning, design, and implementation of economic activities, through grassroots organizations or through governmental planning processes; and 8) the capacity to adapt and transform economic systems to better suit ecological and social necessities. Economic resilience allows systems of economic activities to withstand climatic shock, sudden scarcity or loss of markets, or long-term disturbance.

Social resilience, perhaps more difficult to define, includes at least the following components: 1) free and universal access to education and culture; 2) methods for sharing information and ideas vertically and horizontally in a way that combines theory and practice; 3) strong social organizations organized with democratic principles; 4) access to a common identity that admits and is strengthened by diversity; 5) access to universal and affordable health care; and 6) respect for social and economic human rights, such as the human right to food. This is clearly not a static situation, but rather a dynamic learning and adaptation process subject to conflict and contestation, as well as consensus. Ecological resilience could consist of: 1) ecosystems based on material cycles (e.g. hydrological, carbon, nitrogen), energy flow through trophic webs, and ecological interactions between biotic agents (e.g. competition, predation, mutualism, commensalism, parasitism); 2) productive patterns that maintain the possibility for indefinite temporal continuity without degradation to material cycles; 3) diversity of function in the ecosystem, with the greatest possible number of niches filled; and 4) redundancy of function, so that the potential loss of some species can be compensated by the activity of others.

In order to think of food sovereignty as a stable state or domain of attraction, it becomes necessary to define the "pull" that is capable of directing a food system transition, once the thresholds of the industrial food system have been reached. The direction and strength of this force of attraction almost certainly depends on which thresholds have been reached in the industrial food system-state. Sometimes in order to better understand the resilience pull effect, we can ask ourselves, in any given context, what the easiest option is. In the contradictory dominant order of a globalized, capitalist food system, where are there activities that, when certain thresholds have been passed, become easier to do by conforming to the logic of food sovereignty rather than the logic of capital accumulation? Clearly, the access to conventional farm inputs is a defining pull toward the capital-influenced agricultural model. Thus maybe one starting point for a regime shift could be the end of access to conventional, yield-intensifying chemicals and seeds. This was indeed the case in Cuba, the world's greatest example yet of a national-level transition from an industrial agriculture model to an organic, diversified, low-external input agricultural model. When conventional inputs, petroleum, and imported food all become unavailable due to the fall of the Soviet Union and the US trade embargo, Cuba's small farmers, scientific community, and government teamed up to direct a national inward-looking agricultural effort, based on organic urban gardens, agroecological small farms, and the breaking-up of unproductive state farms into cooperatives more directly controlled by workers (Rosset and Benjamin, 1994). In this case, the perturbation was an acute food crisis; the response was a rapid, dramatic regime shift toward the food sovereignty framework.

In other cases, the defining pull that defines food state transitions could be the social demand for land, as was the case in those that accompanied the Mexican Revolution. There is also the eternal drive for greater social justice and equality, which has been a major component of food sovereignty-themed social movements in countries such as the United States and Brazil. In the case study below, the driving pull toward a food sovereignty state of the food system is the concern for human health.

#### **5. The focal system**

492 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**4. Resilience of the sovereign food system** 

or loss of markets, or long-term disturbance.

capital and—they hope—create vast new seed, energy, and pharmaceuticals markets. As a global system, agribusiness can easily leave behind devastated ecosystems and farm communities once degradation has reached the point that farming is no longer profitable. This has especially been the case in areas where long-term irrigation and synthetic fertilizer use have increased salt content of soils beyond thresholds of productivity, or on deforested land where original soil fertility is quickly exhausted to abysmal levels. While this kind of ecological and economic destruction is not threatening to the agribusiness model as a whole, it does threaten to create a social blowback, in the form of rural social movements and consumer groups, strong enough to threaten the future of the agribusiness model. In this sense, widespread social rejection of industrial agriculture is a subjective factor (i.e. dependent upon people's consciousness) that deeply influences the resilience of the system.

Many efforts have been made to define food sovereignty (Patel, 2009). As an evolving concept, it has also been subject to growing social and academic interest, giving its full meaning an emergent quality in the historical conditions of 21st century social struggle (García-Linera, 2011). Nonetheless, we present a non-exhaustive list of components for economic, social and ecological resilience in sovereign food systems. While definitions are still being agreed upon, economic resilience among rural peoples may consist, at this particular historical moment and in many parts of the world, of several interacting components: 1) land access and unalienable rights to produce; 2) capacity to produce an abundance and variety of food necessary to meet most local food needs, essentially the potential to subsist with local production; 3) minimal dependency upon external inputs (e.g. hybrid seeds, pesticides) the availability and price of which are controlled by monopolies or foreign corporations; 4) maximum capacity to use local and renewable sources for energy and material needs (e.g. water, light, soil nutrition, farm labor); 5) use of diversified land-use and production systems, that may include extraction, agriculture, animal production, and small-scale processing in order to appropriate the value added by labor; 6) diverse income sources and form, which may include local products and off-farm employment, local and regional markets, direct contact with consumers, or in-kind payments; 7) real participation in the planning, design, and implementation of economic activities, through grassroots organizations or through governmental planning processes; and 8) the capacity to adapt and transform economic systems to better suit ecological and social necessities. Economic resilience allows systems of economic activities to withstand climatic shock, sudden scarcity

Social resilience, perhaps more difficult to define, includes at least the following components: 1) free and universal access to education and culture; 2) methods for sharing information and ideas vertically and horizontally in a way that combines theory and practice; 3) strong social organizations organized with democratic principles; 4) access to a common identity that admits and is strengthened by diversity; 5) access to universal and affordable health care; and 6) respect for social and economic human rights, such as the human right to food. This is clearly not a static situation, but rather a dynamic learning and

By focusing on one maize-growing community in rural Chiapas, we set out to understand the resilience of a maize production system to external disturbances and internal contradictions that jeopardize its natural resource base and the health of its inhabitants. That

is to say, we are interested in the factors of social-ecological resilience in a small farmer agroecosystem at the community/landscape level over the next couple decades. In Mexico, land reform resulted in the creation of *ejidos*, or agrarian communities of small producers with internal political structures. The *ejido* system is itself a complex adaptive system that has survived decades of neoliberal food and land policy at the national level. Within one *ejido*, our study focuses especially on the food production, distribution, and consumption surrounding what is known as the *milpa* system, or the fields where maize is grown, in 25 hectares within the limits of the *ejido*. The overall shift toward the agribusiness state in Mexican maize farming is an uneven, long-term trend which takes place over the course of decades and has a series of social and ecological feedbacks.

Social-Ecological Resilience and Maize Farming in Chiapas, Mexico 495

agrobiodiversity, diversity of associated plant and insect species, soil health,

**migration, conflict, human health, nutrition, economic necessity, access to** 

growing seasons, farm prices, social equality, farmer organizations, political

policy, health care policy, popular participation in democracy, adaptive

food security, physical activity, household labors, planting dates, weed

income, farm prices, training programs, implementation of government

**trade policy, market influences, climate change, crop suitability** 

use of trees, use of organic fertilizers, pest and plant disease

*Scales of variables Food system components* 

Microbiological soil ecology, nutrition assimilation, chemical exposure to organisms Field net primary productivity, cost of production, maize yield, planned

**Community/landscape attitudes, knowledge, organization, experimentation, crop diversity, out-**

National food policy, environmental policy, trade policy, agrarian policy, education

Seasonal production cycles, climate factors, weed and insect communities, off-farm

Annual farm productivity, learning-by-experimentation, community demographics,

**Decade-level soil erosion and compaction, landscape mosaic quality, land use changes,** 

Longer-term land use, population factors, national sovereignty, world economic system

**6. Regional characteristics and historical context of the study community** 

The Fraylesca region is a hot and dry tropical zone that comprises the Central Valleys of Chiapas. Its major city, Villaflores, is located about two hours' drive south of the state capitol of Tuxtla Gutierrez, but the region continues another 100 km to the southeast. The Fraylesca traces its name back to the monks who habited the zone during the early colonial period. It is one of the regions of Chiapas with the least presence of indigenous languagespeaking groups, probably due to the productivity of its lands and resulting displacement of the indigenous population during the colonial period. During the 1960s and 1970s, the Fraylesca region was known as the maize equivalent of the breadbasket (*granero*) for southern Mexico, where flat, alluvial valley floors gave typical maize harvests of 5-8 metric tons per hectare. Green Revolution technology, introduced through concentrated efforts to modernize maize farming systems in the flatlands, trickled upstream into the hills as population growth and limited land access pushed families upwards. By the 1990s, the vast majority of traditional maize varieties had been lost in the region, due to adoption of hybrid

Global climate change, global social movements, capitalism

control, soil biological processes

government policies, farm prices

**Table 1.** Spatial and temporal scales in food systems. Focal scale is in bold.

supports

**social assets, access to land, landscape matrix quality**  Subregional health indicators, land use, public policies, level of influence of agribusiness,

economy and actors, capacity for self-reliance in key crops

governance, level of influence of transnational corporations

*Spatial Scales* 

*Temporal Scales* 

Hourly, Daily or

Weekly

The critical components of the current system include farmer families, land access, synthetic fertilizers, hybrid seeds, and chemical herbicides, as well as maize purchasers. Critical components of the restored agroecosystem will include local knowledge and farmer identity, community interest in health and nutrition, soil fertility, functional agrobiodiversity, farmer-to-farmer knowledge exchanges, strong local organizations, traditional seed varieties, organic fertilizers, and crop rotation (Milestad et al. 2010). Important natural resources in the focal system include biodiversity, clean water, fertile soil, forest carbon, and knowledge in the form of traditional maize varieties. Key people include the producer families, including elders, women, men, and children, while critical values include the relative interest in short-term income versus long-term economic sustainability, the capacity to coalesce around the concept of health, and the impacts of belonging to the small farmer social class (Guevara-Hernández et al. 2011b).

The *ejido* system is a form of local governance, not only for land issues but also for other social issues such as health. Property rights reflect a mix of collective and private landholdings, with complex informal arrangements used for producing food on the land that is closest to the community, regardless of who is the legal owner. There is a definite lack of strong rural organizations in the region, leading the *ejido* structure, the elementary school, and the local church to hold a monopoly over collective action in the community. Maize farming communities in the region, as in most of Mexico, are highly dependent on government anti-poverty programs, as these have come to replace most productive subsidies and credit mechanisms. Obviously, multinational farm input corporations are untouched by democratic institutions that might be used to control the use of toxic chemicals in the community or promote local seeds (Bakan, 2004). Indeed, scale factors deeply influence the capacity to characterize the resilience of the focal system, because its resilience is intertwined with that of the agribusiness model at the international level, as shown below in table 1.

In order to assess social-ecological resilience, at the focal scale of one maize-growing community in Chiapas during the recent past and near future (10-30 years), we will look for the cross-scale interactions between components in table 1 and describe their feedback mechanisms (Buchmann, 2010). In the next section, we give a context for understanding the local food system in the study community.


**Table 1.** Spatial and temporal scales in food systems. Focal scale is in bold.

494 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

decades and has a series of social and ecological feedbacks.

small farmer social class (Guevara-Hernández et al. 2011b).

shown below in table 1.

local food system in the study community.

is to say, we are interested in the factors of social-ecological resilience in a small farmer agroecosystem at the community/landscape level over the next couple decades. In Mexico, land reform resulted in the creation of *ejidos*, or agrarian communities of small producers with internal political structures. The *ejido* system is itself a complex adaptive system that has survived decades of neoliberal food and land policy at the national level. Within one *ejido*, our study focuses especially on the food production, distribution, and consumption surrounding what is known as the *milpa* system, or the fields where maize is grown, in 25 hectares within the limits of the *ejido*. The overall shift toward the agribusiness state in Mexican maize farming is an uneven, long-term trend which takes place over the course of

The critical components of the current system include farmer families, land access, synthetic fertilizers, hybrid seeds, and chemical herbicides, as well as maize purchasers. Critical components of the restored agroecosystem will include local knowledge and farmer identity, community interest in health and nutrition, soil fertility, functional agrobiodiversity, farmer-to-farmer knowledge exchanges, strong local organizations, traditional seed varieties, organic fertilizers, and crop rotation (Milestad et al. 2010). Important natural resources in the focal system include biodiversity, clean water, fertile soil, forest carbon, and knowledge in the form of traditional maize varieties. Key people include the producer families, including elders, women, men, and children, while critical values include the relative interest in short-term income versus long-term economic sustainability, the capacity to coalesce around the concept of health, and the impacts of belonging to the

The *ejido* system is a form of local governance, not only for land issues but also for other social issues such as health. Property rights reflect a mix of collective and private landholdings, with complex informal arrangements used for producing food on the land that is closest to the community, regardless of who is the legal owner. There is a definite lack of strong rural organizations in the region, leading the *ejido* structure, the elementary school, and the local church to hold a monopoly over collective action in the community. Maize farming communities in the region, as in most of Mexico, are highly dependent on government anti-poverty programs, as these have come to replace most productive subsidies and credit mechanisms. Obviously, multinational farm input corporations are untouched by democratic institutions that might be used to control the use of toxic chemicals in the community or promote local seeds (Bakan, 2004). Indeed, scale factors deeply influence the capacity to characterize the resilience of the focal system, because its resilience is intertwined with that of the agribusiness model at the international level, as

In order to assess social-ecological resilience, at the focal scale of one maize-growing community in Chiapas during the recent past and near future (10-30 years), we will look for the cross-scale interactions between components in table 1 and describe their feedback mechanisms (Buchmann, 2010). In the next section, we give a context for understanding the

## **6. Regional characteristics and historical context of the study community**

The Fraylesca region is a hot and dry tropical zone that comprises the Central Valleys of Chiapas. Its major city, Villaflores, is located about two hours' drive south of the state capitol of Tuxtla Gutierrez, but the region continues another 100 km to the southeast. The Fraylesca traces its name back to the monks who habited the zone during the early colonial period. It is one of the regions of Chiapas with the least presence of indigenous languagespeaking groups, probably due to the productivity of its lands and resulting displacement of the indigenous population during the colonial period. During the 1960s and 1970s, the Fraylesca region was known as the maize equivalent of the breadbasket (*granero*) for southern Mexico, where flat, alluvial valley floors gave typical maize harvests of 5-8 metric tons per hectare. Green Revolution technology, introduced through concentrated efforts to modernize maize farming systems in the flatlands, trickled upstream into the hills as population growth and limited land access pushed families upwards. By the 1990s, the vast majority of traditional maize varieties had been lost in the region, due to adoption of hybrid varieties in government seed programs and corporate advertising. The traditional shifting *milpa* agriculture system was generally replaced by a system of permanent fields in which maize is planted in monoculture during the first rainy season from June to July. Chemical laden maize fields came to dominate the landscape, while posters advertising agricultural chemicals and hybrid seeds are pinned to trees along the highways.

Social-Ecological Resilience and Maize Farming in Chiapas, Mexico 497

more than a decade of waiting for governmental recognition, even while cultivating the

The *ejido* of 24 de Febrero is about 45 minutes' drive south of Villaflores, in the municipality of Villa Corzo. The community is situated at 16°06´30´´ north and 93°22´33´´ west, at an altitude of 900 meters above sea level (Figure 2). The climate is considered subhumid tropics, with an annual precipitation of 1,248mm, concentrated in five months from June to October, and a mean temperature of 24° Celsius. Of the 1,240 hectares that belong to the *ejido*, 650 hectares are considered forestland and areas of important habitat for rare species of mammals, birds, reptiles, and amphibians. No more than 40 hectares are dedicated to maize cultivation in any given year, and often on fields with between 5 and 20 years of continuous maize monoculture production. Meanwhile, the area dedicated to cattle production shifts across the landscape, from pastures to former maize fields to forestland.

**Figure 2.** Geographic location of the *ejido* 24 de Febrero, in Villa Corzo municipality, state of Chiapas.

The community of 24 de Febrero is primarily made up of one extended family of blood relatives and in-laws. None of the residents of the community speak an indigenous language. In contrast to many *ejidos*, the founders of the settlement were small farmers in nearby lands between the current community and the valley floor. In the mid 1980s, a group of peasants from a different part of the Fraylesca region organized with a lawyer to occupy lands belonging to one of these small farmers. In response, a large part of the extended family organized to create an *ejido* on the

Source: Rural Development Studies Network (2011).

**7. Characterizing small farmer maize production in 24 de Febrero** 

landscape and constructing homes.

Recent decades have produced change in the Fraylesca region. Increased costs of maize farm inputs, together with soil degradation and low farm prices, appears to be putting the commercial maize farming system in economic jeopardy. Cattle-ranching has been increasingly embraced by hillside farmers, who graze beef cattle on maize stalks during the dry season and set them into the forest during the rainy season. More commercial lowland cattle operations buy the chicken manure from massive chicken farms in the region and feed it to their cattle, in order to produce greater volumes of milk and beef. This practice is generally disliked by the population, but that has not prevented it from becoming the conventional practice adopted by ranchers and dairy farmers. Intertwined with the growth of cattle-raising and the uncertainty of maize cultivation, the changing climate has added to the insecurity of social-ecological systems in the Fraylesca region. Growing seasons have shifted as annual precipitation has begun to concentrate in the second rainy season of the year from September to November, increasing the risk of cob-rot fungal disease. Rainfall has become scarcer during the long dry season from December to May, leading farmers to concentrate their cropping activities between the months of June and October.

Land tenure in the Fraylesca region is subject to similar social tensions to those that have characterized Chiapas as a whole during the last 50 years. The agrarian reform of the Mexican Revolution was slow in arriving to Chiapas, and the *finca* system of large landlord estates remained intact into the 1920s. The first *ejidos*, or agricultural communities created and protected by Mexico's agrarian reform laws, were created in the region as a result of social struggle in the 1920s in valley floors, and currently resemble small towns of paved streets, parks, and residential neighborhoods. As population pressure increased, peasant families have challenged landlord estates across the landscape, building makeshift communities in remote hills and asking for government recognition. Until the constitutional counter-reforms of 1992, Mexican land policy included a legal process for recognizing land claims through the Secretariat of Agrarian Reform (SRA) and reimbursing landowners for the forfeiture of unused land to new agrarian communities, which in turn could become *ejidos*. These second- and third-generation settlements differ in many respects from the older *ejidos*, in that they have much less access to health and education services, markets, transportation, and government supports. In newer *ejidos*, maize farming and cattle grazing take place on slopes that are much more vulnerable to erosion than the alluvial flatlands of the valley floors. As the Zapatista rebellion and federal military occupation of much of the Los Altos region took place in 1994-95, indigenous communities displaced by the violence began to look for land far into the hills of the Fraylesca region. These communities, fleeing from bloodshed, occupied land belonging to large and small landholders alike and sought federal recognition. While many such communities have obtained a certain level of land security by gaining *ejido* status, others remain in situations of precarious land tenure despite more than a decade of waiting for governmental recognition, even while cultivating the landscape and constructing homes.

## **7. Characterizing small farmer maize production in 24 de Febrero**

496 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

concentrate their cropping activities between the months of June and October.

Land tenure in the Fraylesca region is subject to similar social tensions to those that have characterized Chiapas as a whole during the last 50 years. The agrarian reform of the Mexican Revolution was slow in arriving to Chiapas, and the *finca* system of large landlord estates remained intact into the 1920s. The first *ejidos*, or agricultural communities created and protected by Mexico's agrarian reform laws, were created in the region as a result of social struggle in the 1920s in valley floors, and currently resemble small towns of paved streets, parks, and residential neighborhoods. As population pressure increased, peasant families have challenged landlord estates across the landscape, building makeshift communities in remote hills and asking for government recognition. Until the constitutional counter-reforms of 1992, Mexican land policy included a legal process for recognizing land claims through the Secretariat of Agrarian Reform (SRA) and reimbursing landowners for the forfeiture of unused land to new agrarian communities, which in turn could become *ejidos*. These second- and third-generation settlements differ in many respects from the older *ejidos*, in that they have much less access to health and education services, markets, transportation, and government supports. In newer *ejidos*, maize farming and cattle grazing take place on slopes that are much more vulnerable to erosion than the alluvial flatlands of the valley floors. As the Zapatista rebellion and federal military occupation of much of the Los Altos region took place in 1994-95, indigenous communities displaced by the violence began to look for land far into the hills of the Fraylesca region. These communities, fleeing from bloodshed, occupied land belonging to large and small landholders alike and sought federal recognition. While many such communities have obtained a certain level of land security by gaining *ejido* status, others remain in situations of precarious land tenure despite

chemicals and hybrid seeds are pinned to trees along the highways.

varieties in government seed programs and corporate advertising. The traditional shifting *milpa* agriculture system was generally replaced by a system of permanent fields in which maize is planted in monoculture during the first rainy season from June to July. Chemical laden maize fields came to dominate the landscape, while posters advertising agricultural

Recent decades have produced change in the Fraylesca region. Increased costs of maize farm inputs, together with soil degradation and low farm prices, appears to be putting the commercial maize farming system in economic jeopardy. Cattle-ranching has been increasingly embraced by hillside farmers, who graze beef cattle on maize stalks during the dry season and set them into the forest during the rainy season. More commercial lowland cattle operations buy the chicken manure from massive chicken farms in the region and feed it to their cattle, in order to produce greater volumes of milk and beef. This practice is generally disliked by the population, but that has not prevented it from becoming the conventional practice adopted by ranchers and dairy farmers. Intertwined with the growth of cattle-raising and the uncertainty of maize cultivation, the changing climate has added to the insecurity of social-ecological systems in the Fraylesca region. Growing seasons have shifted as annual precipitation has begun to concentrate in the second rainy season of the year from September to November, increasing the risk of cob-rot fungal disease. Rainfall has become scarcer during the long dry season from December to May, leading farmers to The *ejido* of 24 de Febrero is about 45 minutes' drive south of Villaflores, in the municipality of Villa Corzo. The community is situated at 16°06´30´´ north and 93°22´33´´ west, at an altitude of 900 meters above sea level (Figure 2). The climate is considered subhumid tropics, with an annual precipitation of 1,248mm, concentrated in five months from June to October, and a mean temperature of 24° Celsius. Of the 1,240 hectares that belong to the *ejido*, 650 hectares are considered forestland and areas of important habitat for rare species of mammals, birds, reptiles, and amphibians. No more than 40 hectares are dedicated to maize cultivation in any given year, and often on fields with between 5 and 20 years of continuous maize monoculture production. Meanwhile, the area dedicated to cattle production shifts across the landscape, from pastures to former maize fields to forestland.

**Figure 2.** Geographic location of the *ejido* 24 de Febrero, in Villa Corzo municipality, state of Chiapas. Source: Rural Development Studies Network (2011).

The community of 24 de Febrero is primarily made up of one extended family of blood relatives and in-laws. None of the residents of the community speak an indigenous language. In contrast to many *ejidos*, the founders of the settlement were small farmers in nearby lands between the current community and the valley floor. In the mid 1980s, a group of peasants from a different part of the Fraylesca region organized with a lawyer to occupy lands belonging to one of these small farmers. In response, a large part of the extended family organized to create an *ejido* on the

contested lands, and thus avoided a land conflict between peasant groups. So it was that the *ejido* 24 de Febrero was founded in 1986 with 5 homes. In subsequent years, the settlement has grown to include over 50 homes, with most new construction by sons and daughters of the community's founders. In the entire community, there are only 38 maize farmers, due to cost/benefit pressures that have taken out of production several former fields that are now considered to be too far to walk from the community.

Social-Ecological Resilience and Maize Farming in Chiapas, Mexico 499

During harvest, farmers remove only the corn ear, and leave all crop residues in the field. Soon afterwards, cattle are generally moved into harvested fields to graze upon the maize stalks. Cattle manure and pulverized maize stalks encompass the major sources of soil organic matter. Crop rotation is a very rare practice in the community, as maize is the only commercial crop and additional food crops such as sugar cane, banana, chili peppers and yucca are grown in small, separate batches. The practice of leaving fields in fallow, or several years of woody bush and chaparral tree regrowth in between cycles of maize production, was largely abandoned with the adoption of synthetic fertilizers by the community. Crop association, however, remains as a traditional practice in several fields, where farmers plant squash seeds along with their maize and beans in the latter rainy

Figure 2 shows the ecological quality of several chemical practices in the community. A value scale from 0 to 3 was applied to four indicators of chemical usage, following a method for quantifying ecological quality of management practices (McCune et al. 2011). A value of 0 denotes practices with no benefit and with harmful impacts to ecological processes, 1 represents practices with no benefit but with a minimum of harmful effects, 2 denotes practices with minimal or insufficient benefits to ecological processes, and 3 represents

For example, in the case of chemical inputs as shown in Figure 2, the value attributed to each product is essentially the inverse of usage intensification; e.g. the higher value for 2,4D amina shows that this product is less widely used than paraquat. The indicator practices were chosen to be sensitive to changes from the conventional practices found in the community, in order to indicate where processes of innovation may be entering into maize farming. Combinations of organic with conventional fertilization practices remain very rare in the community, as do responses that indicate that farmers believe that it is possible to produce without conventional inputs. Incipient processes of innovation were found in the use of composts for fertilization, and in substitution for paraquat, a contact herbicide that is also a respiratory toxin. In 2011, four farmers were experimenting with liquid mixes made from the leaves of two common trees (*Ficus* spp. and *Byrsonima crassifolia*), along with fine salt and one-tenth the normal dosage of paraquat. Results were encouraging, although the next steps for expanding the usage of these homemade liquids are unclear. Despite the farmer experimentation taking place, chemical fertilizers and paraquat-based herbicides were most intensively used of the four indicators of agrochemical use among the 18 farmers

The information in Figure 3 can be useful for determining the kinds of dependence produced within small farmer communities in Chiapas. The extreme dependence on synthetic fertilizers is an indicator of the level of soil erosion present in agricultural fields. Aside from highly unusual, small-scale efforts at growing organic maize for specialty markets or home use, the only maize-growing systems in Chiapas without this dependency

practices with broad ecosystem benefits and that are applied with ecological criteria.

season.

surveyed.

**7.1. Conventional and alternative practices** 

## *Transition from the original subsistence system*

## OG plus no fires, OG plus fertilizante, etc.

## *Risks in the degraded state: soil erosion and cob-rot disease*

We need to evaluate soil erosion in the 18 fields, as well as damage due to the cob-rot disease.

Farmers in 24 de Febrero plant both purchased maize seed and several native or mixed varieties that have been used by local farmers for generations. Planting usually takes place in the months of June and July, when torrential rains soften land. Maize fields are typically about 15 to 45 minutes' walk from the population center of the community, and are generally on sloped hillsides that are deeply eroded. Some farmers mix their seeds with chemical pesticides in order to limit damage from ants, while others use local herbs such as *epozote* to the same effect. Planting is carried out using hollow gourds to contain seeds, and a wooden stick with a metal tip to open up small holes in the untilled soil. Two or three seeds are tossed into each hole, which are made every 40 cm in rows of 80 cm width. Some farmers still follow the traditional practice of mixing squash seeds in with their maize seeds, in order to plant squash every 3m or so throughout the field.

Generally farmers clear fields for planting by using a systemic herbicide such as glyphosate, applied soon after the first rains in May. A few farmers still burn fields before planting maize, although only in areas that haven't been planted with maize in several years. Around 4 days after planting, most farmers apply a contact herbicide, such as 2,4D amina or paraquat. At 15- 20 days, farmers apply a dose of nitrogen or phosphate fertilizer. Another herbicide treatment is carried out at 40 days with 2,4D amina and paraquat. At 45-50 days, a second fertilization is carried out. Maize plants are bent over below the ears only in fields where beans are planted in between rows, during the months of September and October. Sweet maize is harvested in September and October for family consumption, while the vast majority of maize ears are left to dry in the fields and harvested from December to March (table 2).


**Table 2.** A seasonal calendar for cropping activities in 24 de Febrero.

During harvest, farmers remove only the corn ear, and leave all crop residues in the field. Soon afterwards, cattle are generally moved into harvested fields to graze upon the maize stalks. Cattle manure and pulverized maize stalks encompass the major sources of soil organic matter. Crop rotation is a very rare practice in the community, as maize is the only commercial crop and additional food crops such as sugar cane, banana, chili peppers and yucca are grown in small, separate batches. The practice of leaving fields in fallow, or several years of woody bush and chaparral tree regrowth in between cycles of maize production, was largely abandoned with the adoption of synthetic fertilizers by the community. Crop association, however, remains as a traditional practice in several fields, where farmers plant squash seeds along with their maize and beans in the latter rainy season.

#### **7.1. Conventional and alternative practices**

498 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

considered to be too far to walk from the community.

*Transition from the original subsistence system* 

*Risks in the degraded state: soil erosion and cob-rot disease* 

in order to plant squash every 3m or so throughout the field.

to dry in the fields and harvested from December to March (table 2).

Home gardens, sugar cane and offfarm activities

Dry season First rainy

**Table 2.** A seasonal calendar for cropping activities in 24 de Febrero.

Maize harvest

OG plus no fires, OG plus fertilizante, etc.

contested lands, and thus avoided a land conflict between peasant groups. So it was that the *ejido* 24 de Febrero was founded in 1986 with 5 homes. In subsequent years, the settlement has grown to include over 50 homes, with most new construction by sons and daughters of the community's founders. In the entire community, there are only 38 maize farmers, due to cost/benefit pressures that have taken out of production several former fields that are now

We need to evaluate soil erosion in the 18 fields, as well as damage due to the cob-rot disease.

Farmers in 24 de Febrero plant both purchased maize seed and several native or mixed varieties that have been used by local farmers for generations. Planting usually takes place in the months of June and July, when torrential rains soften land. Maize fields are typically about 15 to 45 minutes' walk from the population center of the community, and are generally on sloped hillsides that are deeply eroded. Some farmers mix their seeds with chemical pesticides in order to limit damage from ants, while others use local herbs such as *epozote* to the same effect. Planting is carried out using hollow gourds to contain seeds, and a wooden stick with a metal tip to open up small holes in the untilled soil. Two or three seeds are tossed into each hole, which are made every 40 cm in rows of 80 cm width. Some farmers still follow the traditional practice of mixing squash seeds in with their maize seeds,

Generally farmers clear fields for planting by using a systemic herbicide such as glyphosate, applied soon after the first rains in May. A few farmers still burn fields before planting maize, although only in areas that haven't been planted with maize in several years. Around 4 days after planting, most farmers apply a contact herbicide, such as 2,4D amina or paraquat. At 15- 20 days, farmers apply a dose of nitrogen or phosphate fertilizer. Another herbicide treatment is carried out at 40 days with 2,4D amina and paraquat. At 45-50 days, a second fertilization is carried out. Maize plants are bent over below the ears only in fields where beans are planted in between rows, during the months of September and October. Sweet maize is harvested in September and October for family consumption, while the vast majority of maize ears are left

Jan Feb Mar Apr May June July Aug Sep Oct Nov Dec

40 days of heat without rain

 Plant beans and harvest sweet maize

Second rainy season

Bean and maize harvest begins

> Dry season

 Plant maize Plant squash

season

Figure 2 shows the ecological quality of several chemical practices in the community. A value scale from 0 to 3 was applied to four indicators of chemical usage, following a method for quantifying ecological quality of management practices (McCune et al. 2011). A value of 0 denotes practices with no benefit and with harmful impacts to ecological processes, 1 represents practices with no benefit but with a minimum of harmful effects, 2 denotes practices with minimal or insufficient benefits to ecological processes, and 3 represents practices with broad ecosystem benefits and that are applied with ecological criteria.

For example, in the case of chemical inputs as shown in Figure 2, the value attributed to each product is essentially the inverse of usage intensification; e.g. the higher value for 2,4D amina shows that this product is less widely used than paraquat. The indicator practices were chosen to be sensitive to changes from the conventional practices found in the community, in order to indicate where processes of innovation may be entering into maize farming. Combinations of organic with conventional fertilization practices remain very rare in the community, as do responses that indicate that farmers believe that it is possible to produce without conventional inputs. Incipient processes of innovation were found in the use of composts for fertilization, and in substitution for paraquat, a contact herbicide that is also a respiratory toxin. In 2011, four farmers were experimenting with liquid mixes made from the leaves of two common trees (*Ficus* spp. and *Byrsonima crassifolia*), along with fine salt and one-tenth the normal dosage of paraquat. Results were encouraging, although the next steps for expanding the usage of these homemade liquids are unclear. Despite the farmer experimentation taking place, chemical fertilizers and paraquat-based herbicides were most intensively used of the four indicators of agrochemical use among the 18 farmers surveyed.

The information in Figure 3 can be useful for determining the kinds of dependence produced within small farmer communities in Chiapas. The extreme dependence on synthetic fertilizers is an indicator of the level of soil erosion present in agricultural fields. Aside from highly unusual, small-scale efforts at growing organic maize for specialty markets or home use, the only maize-growing systems in Chiapas without this dependency

Social-Ecological Resilience and Maize Farming in Chiapas, Mexico 501

monoculture maize production year after year in the same fields. Legal prohibitions on burning are meant to limit landscape degradation, but they also effectively end shifting agriculture, since fire is the typical way to open sloped fields to agriculture. Without shifting

The use of herbicide cocktails is a characteristic of maize farming in the Fraylesca region. The major restraints on reducing herbicide dependence are related to the labor opportunity cost, as manual weed removal takes a great deal of time that can be otherwise used productively by households. New ideas such as the organic weed retardant may represent the most promising directions for reducing herbicide dependence. Management feedbacks also exist with regard to herbicide use. After herbicide disturbance to fields, pioneer species such as aggressive weeds are the first plants to take advantage of nutrients and light in the newly opened spaces. The practice of herbicide application tends to increase the relative abundance of plants species that establish competitive relationships with maize crops. Fields with frequent use of herbicides tend to have major problems with a few key weeds, whereas fields without herbicide use have a greater diversity of associated plant diversity, including

A final interesting aspect of farmers' chemical use is the high dependence on herbicides and very infrequent of insecticides in the maize cropping system. In general, insect pests are not considered to be more than a nuisance, while farmers identify over 10 beneficial insects,

Over the course of two or three years, the community has progressively given more importance to ecological considerations, partly as a result of a training course in environmental education offered by the National Forestry Commission and carried out in the *ejido* by a local NGO in 2010. As a result of this course and follow-up activities by a participatory research team from the Autonomous University of Chiapas, several farmers have engaged in communication and experimentation with the purpose of substituting organic and traditional inputs for chemical inputs in agricultural activities. These and other alternative activities, such as a promotion of herbal medicine, are being adopted explicitly out of concerns for human health that emerged in monthly *ejido* assemblies, where the residents attributed poor health to chemical usage and the diminishing quality of diets. A first practice of seed saving using such traditional materials as ash, lime, and several kinds of herbs was carried out with the participation of 18 farmers. Of these, five attempted to grow fields of organic maize in 2011 using compost and organic fumigants. Figure 4 shows indicators for the appropriation of agroecological practices by the same 18 maize producers in the *ejido*. A similar value scale as with chemical use was applied to four indicators of alternative productive activities: nutrient cycling, crop rotation, crop association

Our results showed a much greater appropriation of nutrient recycling practices than alternative seed management and crop association activities, basically due to the local customs of leaving crop residues in the field, moving cattle into former crop areas to eat the maize stalks, and the total absence of plowing. Crop rotation was shown to be a major

fields or rotations, soil degradation is accelerated to alarming levels.

beneficial and non-competitive species.

(intercropping), and seed management.

mostly insect predators and parasitoid wasps (see below).

**Figure 3.** Ecological quality of chemical input use for maize production in the ejido 24 de Febrero, using an indicator system on a scale of 0 to 3. The value of zero represents maximum chemical application, while the value of three represents no usage.

on chemical fertilizers are the traditional shifting agriculture systems in which the forest regrowth of long-fallowed fields is cut and burned, and seeds planted into the rich layer of ash.

It is useful to identify the constraints and feedbacks of soil fertility management in Chiapas maize production. Fertilizers represent the greatest cost of maize farmers, with typical costs in 24 de Febrero reaching well over \$1,000 US per hectare. Yet substitution of synthetic fertilizers with organic soil amendments is difficult, because hillside soils are so badly eroded that existing soil has almost no nutritional content, and up to 40 tons of organic matter per hectare would need to be applied in order to satisfy nutritional requirements of maize. The production and transportation of this volume of organic fertilizers would require large inputs of labor, difficult for farmers to provide as livelihood diversification strategies have left less time for maize-production activities than before. Thus the availability of time and labor (or cash in the case of purchased organic fertilizers) is a limiting factor for the efforts to break the dependency on synthetic fertilizers. The sloped maize fields represent an additional restraint, in that erosion is likely to undo most soil amendment applications until a massive labor effort goes into erosion-reduction practices, such as stone or stick terracing.

Feedbacks between management and ecological factors also complicate efforts to reduce fertilizer dependency. For example, populations of soil organisms that could improve soil structure and nutrition over time are likely to be negatively affected by the application of chemical fertilizers. In addition, cattle grazing in maize fields during the dry season can exacerbate erosion and also cause soil compaction. Compared to other crops, maize is hardy to degraded soil structure as long as sufficient nutrients are present. Indeed, farmers feel that its capacity to adjust to poor soils is an aspect of maize's centrality as "the" subsistence crop. Thus the economic need to produce every year is combined with the fact that maize is the only crop that can be produced under such marginal conditions, to create a system of monoculture maize production year after year in the same fields. Legal prohibitions on burning are meant to limit landscape degradation, but they also effectively end shifting agriculture, since fire is the typical way to open sloped fields to agriculture. Without shifting fields or rotations, soil degradation is accelerated to alarming levels.

500 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

2,4 D Amina

**Figure 3.** Ecological quality of chemical input use for maize production in the ejido 24 de Febrero, using an indicator system on a scale of 0 to 3. The value of zero represents maximum chemical application,

Paraquat

Combined Average

Ideal

on chemical fertilizers are the traditional shifting agriculture systems in which the forest regrowth of long-fallowed fields is cut and burned, and seeds planted into the rich layer of

It is useful to identify the constraints and feedbacks of soil fertility management in Chiapas maize production. Fertilizers represent the greatest cost of maize farmers, with typical costs in 24 de Febrero reaching well over \$1,000 US per hectare. Yet substitution of synthetic fertilizers with organic soil amendments is difficult, because hillside soils are so badly eroded that existing soil has almost no nutritional content, and up to 40 tons of organic matter per hectare would need to be applied in order to satisfy nutritional requirements of maize. The production and transportation of this volume of organic fertilizers would require large inputs of labor, difficult for farmers to provide as livelihood diversification strategies have left less time for maize-production activities than before. Thus the availability of time and labor (or cash in the case of purchased organic fertilizers) is a limiting factor for the efforts to break the dependency on synthetic fertilizers. The sloped maize fields represent an additional restraint, in that erosion is likely to undo most soil amendment applications until a massive labor effort goes into erosion-reduction practices, such as stone or stick terracing. Feedbacks between management and ecological factors also complicate efforts to reduce fertilizer dependency. For example, populations of soil organisms that could improve soil structure and nutrition over time are likely to be negatively affected by the application of chemical fertilizers. In addition, cattle grazing in maize fields during the dry season can exacerbate erosion and also cause soil compaction. Compared to other crops, maize is hardy to degraded soil structure as long as sufficient nutrients are present. Indeed, farmers feel that its capacity to adjust to poor soils is an aspect of maize's centrality as "the" subsistence crop. Thus the economic need to produce every year is combined with the fact that maize is the only crop that can be produced under such marginal conditions, to create a system of

while the value of three represents no usage.

Fertilizer

ash.

The use of herbicide cocktails is a characteristic of maize farming in the Fraylesca region. The major restraints on reducing herbicide dependence are related to the labor opportunity cost, as manual weed removal takes a great deal of time that can be otherwise used productively by households. New ideas such as the organic weed retardant may represent the most promising directions for reducing herbicide dependence. Management feedbacks also exist with regard to herbicide use. After herbicide disturbance to fields, pioneer species such as aggressive weeds are the first plants to take advantage of nutrients and light in the newly opened spaces. The practice of herbicide application tends to increase the relative abundance of plants species that establish competitive relationships with maize crops. Fields with frequent use of herbicides tend to have major problems with a few key weeds, whereas fields without herbicide use have a greater diversity of associated plant diversity, including beneficial and non-competitive species.

A final interesting aspect of farmers' chemical use is the high dependence on herbicides and very infrequent of insecticides in the maize cropping system. In general, insect pests are not considered to be more than a nuisance, while farmers identify over 10 beneficial insects, mostly insect predators and parasitoid wasps (see below).

Over the course of two or three years, the community has progressively given more importance to ecological considerations, partly as a result of a training course in environmental education offered by the National Forestry Commission and carried out in the *ejido* by a local NGO in 2010. As a result of this course and follow-up activities by a participatory research team from the Autonomous University of Chiapas, several farmers have engaged in communication and experimentation with the purpose of substituting organic and traditional inputs for chemical inputs in agricultural activities. These and other alternative activities, such as a promotion of herbal medicine, are being adopted explicitly out of concerns for human health that emerged in monthly *ejido* assemblies, where the residents attributed poor health to chemical usage and the diminishing quality of diets. A first practice of seed saving using such traditional materials as ash, lime, and several kinds of herbs was carried out with the participation of 18 farmers. Of these, five attempted to grow fields of organic maize in 2011 using compost and organic fumigants. Figure 4 shows indicators for the appropriation of agroecological practices by the same 18 maize producers in the *ejido*. A similar value scale as with chemical use was applied to four indicators of alternative productive activities: nutrient cycling, crop rotation, crop association (intercropping), and seed management.

Our results showed a much greater appropriation of nutrient recycling practices than alternative seed management and crop association activities, basically due to the local customs of leaving crop residues in the field, moving cattle into former crop areas to eat the maize stalks, and the total absence of plowing. Crop rotation was shown to be a major

Social-Ecological Resilience and Maize Farming in Chiapas, Mexico 503

promote successful migration between patches of wilderness. This may make the ecological quality of agroecosystems even more important than the conservation of habitat patches to

In 18 fields of 24 de Febrero, weeds and crops were measured monthly for the percentage of area they covered within three 50cm x 50cm quadrants placed using a random block design in each field, for a total of 54 quadrants, during the six-month maize growing season. In the total studied area of 13.5 square meters, over 30 species of weeds were found, reflecting high overall richness despite the use of herbicides. Tree cover and type varied among fields, but crucially, trees were present in all fields. The uses for weeds and trees were various; eight weeds were considered to be edible, and 11 were identified as medicinal plants. Among trees, several were nitrogen-fixing legumes and others were fruit-bearing, with the

We identified 29 families of insect herbivores, seven families of secondary consumers or predators, 12 families of parasitoids, and two families of pollinators in five samplings across the eighteen study fields during the growing season of 2011. The insect community within maize fields reflects a high level of biodiversity and is likely to have the net result of stabilizing yields, creating an "ecological homeostasis" through complex networks of trophic, life-cycle, and density-dependent interactions (Vandermeer et al. 2010). The critical interactions within such an autonomous agroecological service such as pest control may be

In 24 de Febrero, maize fields also bear beans, squash, tomato, edible herbs, several medicines, and several use categories of trees. This multi-use aspect of agricultural fields may lend itself to system resilience, since any detrimental impact on maize production is partially offset by the other functions of the same land. Land-use diversity is an element of system resilience that is pronouncedly strong in small farmer settings (Altieri, 2010). While the use of the farm landscape in 24 de Febrero retains an important level of diversity, it is also useful to ask why it doesn't have even more, especially given the supposition that small farmers maintain diverse productive systems. To understand the drivers of land-use change and agricultural intensification, it becomes necessary to examine the social and economic

Livelihood is an important concept for understanding risks in social-ecological systems. Both vulnerability and livelihood trace their conceptual roots in the search by Sen for adequate measures of well-being (1993). Livelihood has to do with the relationship between households and the conditions of their production and reproduction as an economic unit, including housing, employment, income, access to basic necessities and to consumer goods, transportation, health, and education. It is generally used to define baseline measures of human well-being, and as such applied to small scale rural producers and the rural or urban classes without property. While livelihood studies generally examine immediate aspects of economic life at a household level, vulnerability

remainder having social use as building material, medicine, or firewood.

highly complex and occur on various spatial and temporal scales.

vulnerability of small farmers in Chiapas.

**7.3. Characterizing social resilience** 

biodiversity conservation in the tropics.

**Figure 4.** Ecological quality of alternative practices for maize production in the ejido 24 de Febrero, using an indicator system on a scale of 0 to 3. The value of zero represents total absence of alternative practices, while the value of three represents widespread use of ecological practices for reasons that farmers understand.

problem in the community, as annual crops of maize dominate the agricultural landscape during the single growing season. Maize is the preferred crop due to its importance as a food crop, its durability as a commercial crop, and its response to fertilizers even in highly eroded soils, providing a lightly positive cost-benefit balance to farmers for years even as soil quality declines. Cultural preference for maize makes diversification of the productive landscape a complex and sensitive process.

### **7.2. Biological interactions in maize production systems in 24 de Febrero**

Weed and insect communities within the maize fields show that even under existing conditions and technological patterns, the small farmer landscape is capable of supporting a rich diversity of species and functional groups. This is an especially important finding, given that agriculture and biodiversity conservation are often considered in neoliberal theory to be mutually exclusive, even competitive uses for land in the tropics (Grau and Aide, 2008). The idea of contradictory agricultural and conservation goals, and the necessary segregation of the two, has led neoliberal resource economists to support wilderness reserves in some parts of the rural tropical landscape and industrial agriculture in the rest (Aide and Grau, 2004). The problem, as pointed out by rural organizations, is that small farmers are essentially excluded from both parts of the landscape, and conservation policy then becomes a tool for the dispossession of family farmers and rural communities. In addition to small farmer objections, the neoliberal model of biodiversity conservation has been challenged on ecological grounds, as recent decades of theory on metapopulations has shown the importance of migration between habitat patches for species survival. According to this conservation paradigm, also known as the convergent model of mixed land-use (Miki et al. date unknown), agricultural systems that retain elements of the original ecosystem can promote successful migration between patches of wilderness. This may make the ecological quality of agroecosystems even more important than the conservation of habitat patches to biodiversity conservation in the tropics.

In 18 fields of 24 de Febrero, weeds and crops were measured monthly for the percentage of area they covered within three 50cm x 50cm quadrants placed using a random block design in each field, for a total of 54 quadrants, during the six-month maize growing season. In the total studied area of 13.5 square meters, over 30 species of weeds were found, reflecting high overall richness despite the use of herbicides. Tree cover and type varied among fields, but crucially, trees were present in all fields. The uses for weeds and trees were various; eight weeds were considered to be edible, and 11 were identified as medicinal plants. Among trees, several were nitrogen-fixing legumes and others were fruit-bearing, with the remainder having social use as building material, medicine, or firewood.

We identified 29 families of insect herbivores, seven families of secondary consumers or predators, 12 families of parasitoids, and two families of pollinators in five samplings across the eighteen study fields during the growing season of 2011. The insect community within maize fields reflects a high level of biodiversity and is likely to have the net result of stabilizing yields, creating an "ecological homeostasis" through complex networks of trophic, life-cycle, and density-dependent interactions (Vandermeer et al. 2010). The critical interactions within such an autonomous agroecological service such as pest control may be highly complex and occur on various spatial and temporal scales.

In 24 de Febrero, maize fields also bear beans, squash, tomato, edible herbs, several medicines, and several use categories of trees. This multi-use aspect of agricultural fields may lend itself to system resilience, since any detrimental impact on maize production is partially offset by the other functions of the same land. Land-use diversity is an element of system resilience that is pronouncedly strong in small farmer settings (Altieri, 2010). While the use of the farm landscape in 24 de Febrero retains an important level of diversity, it is also useful to ask why it doesn't have even more, especially given the supposition that small farmers maintain diverse productive systems. To understand the drivers of land-use change and agricultural intensification, it becomes necessary to examine the social and economic vulnerability of small farmers in Chiapas.

## **7.3. Characterizing social resilience**

502 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

0 0.5 1 1.5 2 2.5 3 Nutrient Cycling

Crop Association

**Figure 4.** Ecological quality of alternative practices for maize production in the ejido 24 de Febrero, using an indicator system on a scale of 0 to 3. The value of zero represents total absence of alternative practices, while the value of three represents widespread use of ecological practices for reasons that

Crop Rotation

Current Practices

Ideal

problem in the community, as annual crops of maize dominate the agricultural landscape during the single growing season. Maize is the preferred crop due to its importance as a food crop, its durability as a commercial crop, and its response to fertilizers even in highly eroded soils, providing a lightly positive cost-benefit balance to farmers for years even as soil quality declines. Cultural preference for maize makes diversification of the productive

Weed and insect communities within the maize fields show that even under existing conditions and technological patterns, the small farmer landscape is capable of supporting a rich diversity of species and functional groups. This is an especially important finding, given that agriculture and biodiversity conservation are often considered in neoliberal theory to be mutually exclusive, even competitive uses for land in the tropics (Grau and Aide, 2008). The idea of contradictory agricultural and conservation goals, and the necessary segregation of the two, has led neoliberal resource economists to support wilderness reserves in some parts of the rural tropical landscape and industrial agriculture in the rest (Aide and Grau, 2004). The problem, as pointed out by rural organizations, is that small farmers are essentially excluded from both parts of the landscape, and conservation policy then becomes a tool for the dispossession of family farmers and rural communities. In addition to small farmer objections, the neoliberal model of biodiversity conservation has been challenged on ecological grounds, as recent decades of theory on metapopulations has shown the importance of migration between habitat patches for species survival. According to this conservation paradigm, also known as the convergent model of mixed land-use (Miki et al. date unknown), agricultural systems that retain elements of the original ecosystem can

**7.2. Biological interactions in maize production systems in 24 de Febrero** 

farmers understand.

landscape a complex and sensitive process.

Seed Management

> Livelihood is an important concept for understanding risks in social-ecological systems. Both vulnerability and livelihood trace their conceptual roots in the search by Sen for adequate measures of well-being (1993). Livelihood has to do with the relationship between households and the conditions of their production and reproduction as an economic unit, including housing, employment, income, access to basic necessities and to consumer goods, transportation, health, and education. It is generally used to define baseline measures of human well-being, and as such applied to small scale rural producers and the rural or urban classes without property. While livelihood studies generally examine immediate aspects of economic life at a household level, vulnerability

studies tend to focus on structural factors, such as legal, political, cultural, ecological or economic factors that threaten livelihoods.

Social-Ecological Resilience and Maize Farming in Chiapas, Mexico 505

**8. Food sovereignty and the nation-state** 

agribusiness.

East.

While we have characterized many aspects of the maize production system in 24 de Febrero, the question remains: where is the community located on a gradient between agribusiness and the food sovereignty model? Clearly, the food system of the community is somewhere in between the two states that we have described. Its combinations of traditional and conventional technologies, cash- and subsistence-oriented agriculture, monoculture and multi-use systems, indeed, environmental stewardship and degradation, give the local food system a character highly compatible with the sovereignty system state. However, the community is within a nation that has been subjected to the full formula of capitalist

Here we come to a fundamental issue of scale: the local food system in 24 de Febrero can only be understood in its larger context, as part of Mexico's food system. On one hand, it is an adaptation on the traditional *milpa* system of maize production on collectively held lands that has characterized Mexican food systems for millennia. On the other hand, it is the result of the extension of capital logic and conventional technologies to far corners of the Mexican countryside, bringing junk food and chemical input dependencies to the rural household. The ambiguity is a signal of the importance of scale, and it may well be possible that systems within the gravitational pull of one steady state could also exist within another. For example, the Procede land certification policy enacted during the 1990s was thought to be the end of collective landholding in Mexico, as it partitioned private titles for *ejido* lands and legalized land sales (De Ita, 2000). However, the internal resilience of the *ejido* system, based on social and political feedback mechanisms, was strong enough that certification did not have the same effect that it has in other parts of the world, such as Africa and the Middle

At a larger historical scale, collective resource-use regimes such as the *ejido* system may be momentarily compatible with both capital-driven and socially-planned economies. In this sense, a valid comparison can be made between *ejidos* of Mexico and agricultural production cooperatives in Cuba, both of which are based on profound land reform and collective agrarian property governed by local assembly. Such institutions can exist within countries dominated by the industrial food model, but the dynamic of the overall food system will determine how long they last and how they change. The *ejido* was created as a compromise between the radicalized peasantry of the Mexican Revolution and conservative groups of power that were interested in limiting resource redistribution. By giving *ejidos* to peasants, militant rural organizations could be demobilized and wages could be kept low during industrialization, since industrial workers' wages were supplemented by their access to productive land. Essentially, the *ejido* was a major tool for the consolidation of a new bourgeois regime after the Mexican Revolution. It was the eventual reorientation of the national economy toward global capital and away from nation-building in the late 1970s that brought the *ejido* system into conflict with the emerging neoliberal resource management regime. The temporary compatibility of agrarian systems that have a food sovereignty character, such as the Mexican *ejido*, within industrial food systems that are in

In order to make an initial characterization of livelihood resilience factors in the community of 24 de Febrero, an indicator system was created to include among its variables: food access, health care access, access to credit, access to public programs, access to markets, access to alternative technologies, and access to education (Figure 5). These access indicators are significant to everyday life under normal circumstances, but they are also indicative of social risks that could become urgent under changing conditions.

**Figure 5.** Factors of livelihood resilience in the ejido of 24 de Febrero, using an indicator system on a scale of 0 to 3. The value of zero represents abandoned or systematically denied access rights, while the value of three represents free and universal access as well as participation within planning or implementation processes.

Results confirm the existence of several types of social vulnerability in the community. Indicator values for access to food and public programs were substantially greater than those for other variables. Values were notably low for access to education and access to credit, two indicators related to opportunity. With regard to education, the attained value of one means that the average response to interview questions was that beyond elementary school, monetary costs associated with education made it inaccessible. The very little access to credit for farmers in the maize growing regions of Chiapas is a matter of considerable importance for the community of 24 de Febrero, and contributes to migration by young people to the United States in pursuit of sufficient cash to construct homes or purchase fertilizers. At the same time, the conservation of certain traditional practices is often attributed to the lack of farm credits, which would enable farmers to pursue a more technified production strategy.

## **8. Food sovereignty and the nation-state**

504 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

social risks that could become urgent under changing conditions.

0 0.5 1 1.5 2 2.5 3 Food Access

Programs Access to Markets

economic factors that threaten livelihoods.

implementation processes.

Access to Alternative Technologies

Access to Education

technified production strategy.

studies tend to focus on structural factors, such as legal, political, cultural, ecological or

In order to make an initial characterization of livelihood resilience factors in the community of 24 de Febrero, an indicator system was created to include among its variables: food access, health care access, access to credit, access to public programs, access to markets, access to alternative technologies, and access to education (Figure 5). These access indicators are significant to everyday life under normal circumstances, but they are also indicative of

Health Access

Access to Credit

Current Access

Ideal

**Figure 5.** Factors of livelihood resilience in the ejido of 24 de Febrero, using an indicator system on a scale of 0 to 3. The value of zero represents abandoned or systematically denied access rights, while the

Access to Public

Results confirm the existence of several types of social vulnerability in the community. Indicator values for access to food and public programs were substantially greater than those for other variables. Values were notably low for access to education and access to credit, two indicators related to opportunity. With regard to education, the attained value of one means that the average response to interview questions was that beyond elementary school, monetary costs associated with education made it inaccessible. The very little access to credit for farmers in the maize growing regions of Chiapas is a matter of considerable importance for the community of 24 de Febrero, and contributes to migration by young people to the United States in pursuit of sufficient cash to construct homes or purchase fertilizers. At the same time, the conservation of certain traditional practices is often attributed to the lack of farm credits, which would enable farmers to pursue a more

value of three represents free and universal access as well as participation within planning or

While we have characterized many aspects of the maize production system in 24 de Febrero, the question remains: where is the community located on a gradient between agribusiness and the food sovereignty model? Clearly, the food system of the community is somewhere in between the two states that we have described. Its combinations of traditional and conventional technologies, cash- and subsistence-oriented agriculture, monoculture and multi-use systems, indeed, environmental stewardship and degradation, give the local food system a character highly compatible with the sovereignty system state. However, the community is within a nation that has been subjected to the full formula of capitalist agribusiness.

Here we come to a fundamental issue of scale: the local food system in 24 de Febrero can only be understood in its larger context, as part of Mexico's food system. On one hand, it is an adaptation on the traditional *milpa* system of maize production on collectively held lands that has characterized Mexican food systems for millennia. On the other hand, it is the result of the extension of capital logic and conventional technologies to far corners of the Mexican countryside, bringing junk food and chemical input dependencies to the rural household. The ambiguity is a signal of the importance of scale, and it may well be possible that systems within the gravitational pull of one steady state could also exist within another. For example, the Procede land certification policy enacted during the 1990s was thought to be the end of collective landholding in Mexico, as it partitioned private titles for *ejido* lands and legalized land sales (De Ita, 2000). However, the internal resilience of the *ejido* system, based on social and political feedback mechanisms, was strong enough that certification did not have the same effect that it has in other parts of the world, such as Africa and the Middle East.

At a larger historical scale, collective resource-use regimes such as the *ejido* system may be momentarily compatible with both capital-driven and socially-planned economies. In this sense, a valid comparison can be made between *ejidos* of Mexico and agricultural production cooperatives in Cuba, both of which are based on profound land reform and collective agrarian property governed by local assembly. Such institutions can exist within countries dominated by the industrial food model, but the dynamic of the overall food system will determine how long they last and how they change. The *ejido* was created as a compromise between the radicalized peasantry of the Mexican Revolution and conservative groups of power that were interested in limiting resource redistribution. By giving *ejidos* to peasants, militant rural organizations could be demobilized and wages could be kept low during industrialization, since industrial workers' wages were supplemented by their access to productive land. Essentially, the *ejido* was a major tool for the consolidation of a new bourgeois regime after the Mexican Revolution. It was the eventual reorientation of the national economy toward global capital and away from nation-building in the late 1970s that brought the *ejido* system into conflict with the emerging neoliberal resource management regime. The temporary compatibility of agrarian systems that have a food sovereignty character, such as the Mexican *ejido*, within industrial food systems that are in the process of consolidation, is a matter of scale and historical contingency. Components embedded in one kind of food system can reflect a distinct qualitative character, as long as they are so limited in scale and impact as not to push the larger system to a threshold.

Social-Ecological Resilience and Maize Farming in Chiapas, Mexico 507

American Free Trade Agreement in 1993, which opened up Mexican markets to a flood of cheap products from the United States. In agriculture, the adoption of the free trade model meant a shift in strategy from the goal of self-sufficiency that had characterized agricultural and land policy since the revolution. Guaranteed farm prices for basic grains such as maize disappeared, as the state reduced its presence in the countryside and international private actors stepped into the void. Cheap grain from subsidized farmers in the United States began to flood Mexican markets, adding to the economic insecurity of millions of Mexican maize farmers. Meanwhile, the price of tortilla, the basic and essential form of maize in the Mexican diet, has more than tripled for consumers since NAFTA was signed, as a result of concentration of the maize storage and processing sectors by several transnational

One of the most controversial issues in contemporary Mexico is the entrance of genetically modified maize into the country, almost universally from the United States, as seed, feed, or food. In 2001, Mexican and U.S. researchers accidently found traces of genetically modified maize in landrace varieties of rural Oaxaca (Quist and Chapela, 2001, Nature 414), and subsequent studies have confirmed the contamination of maize landraces by modified genes across Mexico. Given the extraordinary cultural and alimentary importance of maize in Mexico, the loss of traditional agrobiodiversity in this crop represents a loss of national patrimony and sovereignty. In 2007, President Felipe Calderon created by decree a federal program to support *in situ* conservation of landrace maize varieties by farmers. However, the Secretary for Agriculture, Livestock, Fish and Food (SAGARPA for its initials in Spanish) was cold to the proposal, as it went against the productivity focus of its programs. Thus it fell to the Secretary for Natural Resources and the Environment (SEMARNAT) to take on the maize biodiversity program. SEMARNAT, in turn, sent the new law to its National Commission for Natural Protected Areas (CONANP), which began to apply the program, its implementation having now been reduced to agricultural areas within nature

CONANP's Program for *in situ* Conservation of Landrace Maize, or PROMAC (*Programa de Maíz Criollo*) as it is more commonly known, is still a new fish in a very complex pond of federal and state programs that combine agriculture and natural resource conservation. It pays about \$100 US per year to farmers who have been growing landrace maize varieties in nature reserves to continue growing them, and advocates the conservation of the traditional *milpa* productive system (maize in association with squash, beans, and other edible plants). PROMAC funds are used based on the discretion of each nature reserve, and can be used to hold seed exchange fairs, conduct capacity-building trainings for farmers, build seed banks and even create maize-based cultural centers. While this program clearly has the potential to strengthen the peasant maize production system, its capacity to help small farmers and protect landrace maize varieties depends on how it is implemented in each nature reserve. In interviews, many nature reserve officials compare PROMAC to PROCAMPO: a program created during the administration of Carlos Salinas (1988-1994) to buffer his free trade economic shocks and which pays annual subsidies to all citizens who show documents proving that they grow crops or raise livestock. Despite its populist appeal, PROCAMPO is

corporations.

reserves.

The dependence of the maize production system in 24 de Febrero on foreign multinational corporations and the chemicals they sell is a sign of its integration into the international capitalist development model that dominates Mexico from outside. As maize sellers, they are limited to the white maize varieties sought by middlemen buyers en route to large-scale tortilla production (mixed first with maize from the state of Sinaloa or, increasingly, the United States) or exportation to Guatamala. Surrounded by an agricultural landscape of maize fields with hybrid seeds, the integrity of their traditional varieties is at risk of contamination. It would seem that in neoliberal Mexico, the community is within the outer reach of the industrial food model and as such, subject to its contradictions. Nonetheless, on a household level, there remains a level of resistance to the industrial food system, which takes the form of self-sufficiency in basic grains, conservation of landrace maize and bean varieties, use of home gardens, traditional labor-sharing arrangements and artisan food processing. These are all components of the local food system consistent with a food sovereignty framework, but they are gradually disappearing from the landscape. What is the role of the Mexican State in this transformation?

## **8.1. Devolutionary governance**

Since the Mexican Revolution of 1910, national policy toward agriculture has reflected a struggle between peasant groups that have fought for land access and favorable policies toward small farmers, and a combination of business and political elite from within and outside of Mexico that have sought to develop a capitalist, export agriculture model. Since the dawn of the twentieth century, capital investments began creating two basic tracks for Mexican agriculture: the capital-intensive irrigated, specialized farms in Central and Northern valleys and plains, and subsistence agriculture in most other non-urban land in Mexico. This split in land use reinforced the nation's conception of monoculture as "modern," and diversified, low-input farming as "backward."

The agricultural research and technology program that came to be known as the Green Revolution was largely a US Cold War-era effort to resolve issues of hunger and poverty in Mexico with technical solutions, rather than new social and economic policy (Perfecto et al. 2010). The proliferation of new, "modern" seed varieties, as well as irrigation infrastructure, synthetic fertilizers and pesticides during the 1960s, 1970s, and 1980s, was a highly uneven process that reflected the compromise between corporatist governmental policy beneficial to large agricultural interests, and the commitment to

Since the 1980s, Mexico's government has opted for a free trade strategy in all productive spheres, as a result of changes in the economic ideology of the ruling party, as well as external pressure from international lenders and the United States. For Mexican industry, this meant the final and unequivocal abandonment of the import-substitution industrialization strategy. In commerce, it eventually led to the signing of the North American Free Trade Agreement in 1993, which opened up Mexican markets to a flood of cheap products from the United States. In agriculture, the adoption of the free trade model meant a shift in strategy from the goal of self-sufficiency that had characterized agricultural and land policy since the revolution. Guaranteed farm prices for basic grains such as maize disappeared, as the state reduced its presence in the countryside and international private actors stepped into the void. Cheap grain from subsidized farmers in the United States began to flood Mexican markets, adding to the economic insecurity of millions of Mexican maize farmers. Meanwhile, the price of tortilla, the basic and essential form of maize in the Mexican diet, has more than tripled for consumers since NAFTA was signed, as a result of concentration of the maize storage and processing sectors by several transnational corporations.

506 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

the role of the Mexican State in this transformation?

"modern," and diversified, low-input farming as "backward."

large agricultural interests, and the commitment to

**8.1. Devolutionary governance** 

the process of consolidation, is a matter of scale and historical contingency. Components embedded in one kind of food system can reflect a distinct qualitative character, as long as they are so limited in scale and impact as not to push the larger system to a threshold.

The dependence of the maize production system in 24 de Febrero on foreign multinational corporations and the chemicals they sell is a sign of its integration into the international capitalist development model that dominates Mexico from outside. As maize sellers, they are limited to the white maize varieties sought by middlemen buyers en route to large-scale tortilla production (mixed first with maize from the state of Sinaloa or, increasingly, the United States) or exportation to Guatamala. Surrounded by an agricultural landscape of maize fields with hybrid seeds, the integrity of their traditional varieties is at risk of contamination. It would seem that in neoliberal Mexico, the community is within the outer reach of the industrial food model and as such, subject to its contradictions. Nonetheless, on a household level, there remains a level of resistance to the industrial food system, which takes the form of self-sufficiency in basic grains, conservation of landrace maize and bean varieties, use of home gardens, traditional labor-sharing arrangements and artisan food processing. These are all components of the local food system consistent with a food sovereignty framework, but they are gradually disappearing from the landscape. What is

Since the Mexican Revolution of 1910, national policy toward agriculture has reflected a struggle between peasant groups that have fought for land access and favorable policies toward small farmers, and a combination of business and political elite from within and outside of Mexico that have sought to develop a capitalist, export agriculture model. Since the dawn of the twentieth century, capital investments began creating two basic tracks for Mexican agriculture: the capital-intensive irrigated, specialized farms in Central and Northern valleys and plains, and subsistence agriculture in most other non-urban land in Mexico. This split in land use reinforced the nation's conception of monoculture as

The agricultural research and technology program that came to be known as the Green Revolution was largely a US Cold War-era effort to resolve issues of hunger and poverty in Mexico with technical solutions, rather than new social and economic policy (Perfecto et al. 2010). The proliferation of new, "modern" seed varieties, as well as irrigation infrastructure, synthetic fertilizers and pesticides during the 1960s, 1970s, and 1980s, was a highly uneven process that reflected the compromise between corporatist governmental policy beneficial to

Since the 1980s, Mexico's government has opted for a free trade strategy in all productive spheres, as a result of changes in the economic ideology of the ruling party, as well as external pressure from international lenders and the United States. For Mexican industry, this meant the final and unequivocal abandonment of the import-substitution industrialization strategy. In commerce, it eventually led to the signing of the North One of the most controversial issues in contemporary Mexico is the entrance of genetically modified maize into the country, almost universally from the United States, as seed, feed, or food. In 2001, Mexican and U.S. researchers accidently found traces of genetically modified maize in landrace varieties of rural Oaxaca (Quist and Chapela, 2001, Nature 414), and subsequent studies have confirmed the contamination of maize landraces by modified genes across Mexico. Given the extraordinary cultural and alimentary importance of maize in Mexico, the loss of traditional agrobiodiversity in this crop represents a loss of national patrimony and sovereignty. In 2007, President Felipe Calderon created by decree a federal program to support *in situ* conservation of landrace maize varieties by farmers. However, the Secretary for Agriculture, Livestock, Fish and Food (SAGARPA for its initials in Spanish) was cold to the proposal, as it went against the productivity focus of its programs. Thus it fell to the Secretary for Natural Resources and the Environment (SEMARNAT) to take on the maize biodiversity program. SEMARNAT, in turn, sent the new law to its National Commission for Natural Protected Areas (CONANP), which began to apply the program, its implementation having now been reduced to agricultural areas within nature reserves.

CONANP's Program for *in situ* Conservation of Landrace Maize, or PROMAC (*Programa de Maíz Criollo*) as it is more commonly known, is still a new fish in a very complex pond of federal and state programs that combine agriculture and natural resource conservation. It pays about \$100 US per year to farmers who have been growing landrace maize varieties in nature reserves to continue growing them, and advocates the conservation of the traditional *milpa* productive system (maize in association with squash, beans, and other edible plants). PROMAC funds are used based on the discretion of each nature reserve, and can be used to hold seed exchange fairs, conduct capacity-building trainings for farmers, build seed banks and even create maize-based cultural centers. While this program clearly has the potential to strengthen the peasant maize production system, its capacity to help small farmers and protect landrace maize varieties depends on how it is implemented in each nature reserve. In interviews, many nature reserve officials compare PROMAC to PROCAMPO: a program created during the administration of Carlos Salinas (1988-1994) to buffer his free trade economic shocks and which pays annual subsidies to all citizens who show documents proving that they grow crops or raise livestock. Despite its populist appeal, PROCAMPO is

a notoriously inefficient program, as its implementation provides ample opportunity for fraudulent payment claims and requires no participation in training programs or production plans. Many Mexican politicians at the national level oppose support of any kind for maize production, because they see it as a marginal subsistence activity that is outside of the free market agricultural strategy of specialized crop exports and basic grains imports. Thus from its origins, PROMAC has been born into a hostile and disjointed institutional atmosphere, in which some nature reserves have ignored the program while others have encouraged farmers to enter into it.

Social-Ecological Resilience and Maize Farming in Chiapas, Mexico 509

helpful. In its insistence on the existence of the unknown, orientation toward emergent properties, and focus on feedback mechanisms, resilience theory is of extraordinary

Despite such impressive strides in systems thinking, we find the brave new world embraced by resilience science to itself be exclusionary in terms of possible outcomes for humanity. Far too often, the capital system is naturalized into the feedbacks of the social-ecological framework, rather than understood as a historical system that is liable to the same phases of growth, decadence, collapse and renewal as something qualitatively different. Indeed, in the present conditions of global financial crisis and historical highs of economic inequality, it would be quite blind not to accept the collapse of global capitalism as a historical possibility. With natural resource exhaustion and an exploitative human-nature relationship increasingly understood as inevitable contradictions of this economic system (O'Conner, 2001), the alternative stable states model is highly relevant for the testing of alternatives at

In *ejido* assemblies, the residents of 24 de Febrero have identified the directions that they would like the community to take. The local vision is of organic agriculture as a response to what appear to be increasing health problems, such as high blood pressure, diabetes, and cancer. The community has made collective decisions to begin a process of experimentation to combine what people remember of the practices used by past generations with technical advice from a research team of the Faculty of Agronomic Sciences at the Autonomous University of Chiapas. The role of local innovation is being filled (Milestad et al. 2010). But is

The resilience literature identifies the need for adaptive governance (Allen and Holling, 2010; Folk et al. 2005). This can be interpreted in several ways, but the creation of publicprivate partnerships is often suggested, albeit in terms of "bridging organizations" or multistakeholder groups. In sum, governance for resilience is understood to take place in what Walker and colleagues (2002) call with refreshing honesty "more-or-less democratic, pluralistic, capitalist" societies. The resilience principle, as applied to social-ecological systems, has been applauded and feared because it normalizes—and absorbs all critique to—the neoliberal development model (Walker and Cooper, 2011). When adaptive governance is understood to mean increased private influence over formerly public spheres, especially natural resource management, then the objectives of its research agenda may well include building resilience to "shocks and disturbances" like market crashes, critical social

Unfortunately, history may show that the degraded system is global, and that what is "too big to fail" in the international economic system has indeed already failed, in terms of its social and ecological impacts. The destruction of global agrobiodiversity—a fundamental component of food system resilience—that took place during the last half-century has not been accompanied by a solution to world hunger, as more than one billion undernourished people make plain. If resilience is the "capability of a system to maintain its functions and structure in the face of internal and external change and to degrade gracefully when it must,

this enough to pull the system toward a food sovereignty stable state?

usefulness in social science.

distinct scales.

movements, and dissent.

While PROMAC is among the more important federal programs for maize farmers in Chiapas, due to the significant amount of farmland within protected areas, on the state level there is a program called Solidarity Maize that is closely connected with the governor's office. This program ostensibly gives payments in the form of agricultural inputs to all maize farmers in the state. Given that fertilizers represent the greatest expense in maize farming in many regions of Chiapas, small farmers are generally in favor of Solidarity Maize and eager to participate. Unfortunately, the program reaches a relatively small portion of the actual maize farmers in Chiapas, while creating a massive informal market for sacks of fertilizers that are often exchanged for political allegiance long before reaching farmers.

In 2008, a group of farmers and advocates formed the Landrace Maize Network (*Red de Maíz Criollo*) in Chiapas in order to stem the loss of traditional peasant varieties of maize and defend the *milpa* production system. This group protested the fact that the supports from the state government through the Solidarity Maize program set small farmers on a course toward conventional, chemical-laden agricultural practices. The Landrace Maize Network achieved a commitment by the state government to offer organic fertilizers to those producers who request them, setting a new precedent for governmental support for alternative agriculture. Unfortunately, to date very few farmers know that they have the option to request organic farm inputs.

The farmers of 24 de Febrero have yet to receive support from PROMAC, despite their longterm commitment to growing traditional maize varieties, and they have not received support from the Solidarity Maize program either. In fact, PROCAMPO is the only government support that they receive. Despite being relatively close to population centers, and following the requirements to be considered in state and federal programs, they have been left out of the little support for small-scale agriculture that exists in Mexico.

## **9. Conclusions**

The future is unknown, social and ecological drivers of change are linked, and periodic, qualitative change is part of life. That is one view of the world, carefully developed in resilience theory since Holling's (1973) seminal essay. Here we have posited two contrasting (but not exhaustive) food system possibilities, in part to demonstrate the openness of history. We do not see evidence for necessary evolution toward stable equilibrium in either social or ecological systems. Rather, the last several hundred years have shown that history is full of surprises, and theory of stages of development is often more hindering than helpful. In its insistence on the existence of the unknown, orientation toward emergent properties, and focus on feedback mechanisms, resilience theory is of extraordinary usefulness in social science.

508 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

others have encouraged farmers to enter into it.

option to request organic farm inputs.

**9. Conclusions** 

a notoriously inefficient program, as its implementation provides ample opportunity for fraudulent payment claims and requires no participation in training programs or production plans. Many Mexican politicians at the national level oppose support of any kind for maize production, because they see it as a marginal subsistence activity that is outside of the free market agricultural strategy of specialized crop exports and basic grains imports. Thus from its origins, PROMAC has been born into a hostile and disjointed institutional atmosphere, in which some nature reserves have ignored the program while

While PROMAC is among the more important federal programs for maize farmers in Chiapas, due to the significant amount of farmland within protected areas, on the state level there is a program called Solidarity Maize that is closely connected with the governor's office. This program ostensibly gives payments in the form of agricultural inputs to all maize farmers in the state. Given that fertilizers represent the greatest expense in maize farming in many regions of Chiapas, small farmers are generally in favor of Solidarity Maize and eager to participate. Unfortunately, the program reaches a relatively small portion of the actual maize farmers in Chiapas, while creating a massive informal market for sacks of fertilizers that are often exchanged for political allegiance long before reaching farmers.

In 2008, a group of farmers and advocates formed the Landrace Maize Network (*Red de Maíz Criollo*) in Chiapas in order to stem the loss of traditional peasant varieties of maize and defend the *milpa* production system. This group protested the fact that the supports from the state government through the Solidarity Maize program set small farmers on a course toward conventional, chemical-laden agricultural practices. The Landrace Maize Network achieved a commitment by the state government to offer organic fertilizers to those producers who request them, setting a new precedent for governmental support for alternative agriculture. Unfortunately, to date very few farmers know that they have the

The farmers of 24 de Febrero have yet to receive support from PROMAC, despite their longterm commitment to growing traditional maize varieties, and they have not received support from the Solidarity Maize program either. In fact, PROCAMPO is the only government support that they receive. Despite being relatively close to population centers, and following the requirements to be considered in state and federal programs, they have

The future is unknown, social and ecological drivers of change are linked, and periodic, qualitative change is part of life. That is one view of the world, carefully developed in resilience theory since Holling's (1973) seminal essay. Here we have posited two contrasting (but not exhaustive) food system possibilities, in part to demonstrate the openness of history. We do not see evidence for necessary evolution toward stable equilibrium in either social or ecological systems. Rather, the last several hundred years have shown that history is full of surprises, and theory of stages of development is often more hindering than

been left out of the little support for small-scale agriculture that exists in Mexico.

Despite such impressive strides in systems thinking, we find the brave new world embraced by resilience science to itself be exclusionary in terms of possible outcomes for humanity. Far too often, the capital system is naturalized into the feedbacks of the social-ecological framework, rather than understood as a historical system that is liable to the same phases of growth, decadence, collapse and renewal as something qualitatively different. Indeed, in the present conditions of global financial crisis and historical highs of economic inequality, it would be quite blind not to accept the collapse of global capitalism as a historical possibility. With natural resource exhaustion and an exploitative human-nature relationship increasingly understood as inevitable contradictions of this economic system (O'Conner, 2001), the alternative stable states model is highly relevant for the testing of alternatives at distinct scales.

In *ejido* assemblies, the residents of 24 de Febrero have identified the directions that they would like the community to take. The local vision is of organic agriculture as a response to what appear to be increasing health problems, such as high blood pressure, diabetes, and cancer. The community has made collective decisions to begin a process of experimentation to combine what people remember of the practices used by past generations with technical advice from a research team of the Faculty of Agronomic Sciences at the Autonomous University of Chiapas. The role of local innovation is being filled (Milestad et al. 2010). But is this enough to pull the system toward a food sovereignty stable state?

The resilience literature identifies the need for adaptive governance (Allen and Holling, 2010; Folk et al. 2005). This can be interpreted in several ways, but the creation of publicprivate partnerships is often suggested, albeit in terms of "bridging organizations" or multistakeholder groups. In sum, governance for resilience is understood to take place in what Walker and colleagues (2002) call with refreshing honesty "more-or-less democratic, pluralistic, capitalist" societies. The resilience principle, as applied to social-ecological systems, has been applauded and feared because it normalizes—and absorbs all critique to—the neoliberal development model (Walker and Cooper, 2011). When adaptive governance is understood to mean increased private influence over formerly public spheres, especially natural resource management, then the objectives of its research agenda may well include building resilience to "shocks and disturbances" like market crashes, critical social movements, and dissent.

Unfortunately, history may show that the degraded system is global, and that what is "too big to fail" in the international economic system has indeed already failed, in terms of its social and ecological impacts. The destruction of global agrobiodiversity—a fundamental component of food system resilience—that took place during the last half-century has not been accompanied by a solution to world hunger, as more than one billion undernourished people make plain. If resilience is the "capability of a system to maintain its functions and structure in the face of internal and external change and to degrade gracefully when it must, (Allenby and Fink, 2005)" then perhaps the most prudent option would be to begin a wide debate about the graceful exit of the agribusiness model. The development of sovereign food systems at the local level requires cross-scalar interactions that should not be limited to farmer innovations, but include farmer-to-farmer networks, strong rural organizations, and redistributive public policy. If these requirements cannot be met within the neoliberal development model, then the next step is to ask what kind of transformation is necessary at the global level, beyond the narrow market valuation of Nature.

Social-Ecological Resilience and Maize Farming in Chiapas, Mexico 511

Ericksen, Polly, Beth Stewart, Jane Dixon, David Barling, Philip Loring, Molly Anderson and John Ingram. 2010. The Value of a Food System Approach. In: *Food Security and Global* 

Folk, Carl, Thomas Hahn, Per Olsson, Jon Norberg. 2005. Adaptive governance of social-

Fox, Jonathan and Libby Haight. 2010. Mexican agricultural policy: Multiple goals and conflicting interests. In: *Subsidizing Inequality: Mexican Corn Policy Since NAFTA*.

García-Barrios, Luis, Yankuic M. Galván-Miyoshi, Ingrid Abril Valdivieso-Pérez, Omar R. Masera, Gerardo Bocco, and John Vandermeer. 2010. Neotropical forest conservation, agricultural intensification, and rural out-migration: the Mexican experience. *BioScience*

González, Humberto and Alejandro Macías. 2007. Nutritional Vulnerability and Mexico's

Grau, H. Ricardo and Mitchell Aide. 2008. Globalization and Land-Use Transitions in Latin

Guevara-Hernández, Francisco, Nils McCune, Heriberto Gómez-Castro, René Pinto-Ruíz, Francisco Medina-Jonapá, Adalberto Hernández-López, and Carlos Tejada-Cruz. 2011a. Conflicting regulatory systems for natural resource management in Southern Mexico: An ethnographic case study. *International Journal of Technology and Development Studies*

Guevara-Hernández, Francisco, Nils McCune, Luis Rodríguez-Larramendi, and Gillian Newell. 2011b. Who's who? Power mapping, decision making and development concerns in an indigenous community of Oaxaca, Mexico. *Journal of Human Ecology*

Holling, C.L. 1973. Resilience and stability of ecological systems. *Annual Review of Ecological* 

Kinzig, Ann, Lance Gunderson, Allyson Quinlan, and Brian Walker. 2007. *Assessing and managing resilience in social-ecological systems: a practitioner's workbook.* Resilience

Levins, Richard. 2007. The Maturing of Capitalist Agriculture: Farmer as Proletarian. In: Lewontin, Richard, and Richard Levins, *Biology Under the Influence: Dialectical Essays on* 

Magdoff, Fred, John Bellamy Foster, and Frederick H. Buttel. 2000. *Hungry for Profit: the agribusiness threat to farmers, food, and the environment.* New York: Monthly Review Press. McCune, Nils, Yanetsy Ruíz González, Edith Aguila Alcántara, Osvaldo Fernández Martínez, Calixto Onelio Fundora, Niria Castillo Arzola, Pedro Cairo Cairo, Marijke D'Haese, Stefaan DeNeve, and Francisco Guevara Hernández. 2011. Global questions, local answers: soil management and sustainable intensification in diverse socio-

*Ecology, Agriculture, and Health*. New York: Monthly Review Press, pp. 329-341. Lin, Brenda. 2011. Resilience in Agriculture through Crop Diversification: Adaptive

economic contexts of Cuba. *Journal of Sustainable Agriculture* 35(6): 650-670.

Management for Environmental Change. *BioScience* 61: 183-193.

ecological systems. *Annual Review of Environmental Resources* 30: 441-473.

*Environmental Change*. London: Earthscan.

Agro-Alimentary Policy. *Descatos* 6: 14-31.

America. *Ecology and Society* 13(2): 16-28.

59(10): 863-873.

2(1): 30-62.

36(2): 131-144.

*Systems* 4: 1-23.

Alliance: Stockholm.

Woodrow Wilson International Center for Scholars.

## **Author details**

Nils McCune *Ghent University, Belgium Red de Estudios para el Desarrollo Rural AC, Mexico* 

Francisco Guevara-Hernandez *Facultad de Ciencias Agronomicas, Universidad Autonoma de Chiapas, Mexico* 

Jose Nahed-Toral, *El Colegio de la Frontera Sur, San Cristobal de las Casas, Mexico* 

Paula Mendoza-Nazar *Facultad de Medicina, Veterinaria y Zootecnia, Universidad Autonoma de Chiapas, Mexico* 

Jesus Ovando-Cruz *Red de Estudios para el Desarrollo Rural A.C., Mexico* 

Benigno Ruiz-Sesma *Facultad de Medicina, Veterinaria y Zootecnia, Universidad Autonoma de Chiapas, Mexico* 

Leopoldo Medina-Sanson *Idem* 

## **10. References**


Ericksen, Polly, Beth Stewart, Jane Dixon, David Barling, Philip Loring, Molly Anderson and John Ingram. 2010. The Value of a Food System Approach. In: *Food Security and Global Environmental Change*. London: Earthscan.

510 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

the global level, beyond the narrow market valuation of Nature.

*Facultad de Ciencias Agronomicas, Universidad Autonoma de Chiapas, Mexico* 

*Facultad de Medicina, Veterinaria y Zootecnia, Universidad Autonoma de Chiapas, Mexico* 

*Facultad de Medicina, Veterinaria y Zootecnia, Universidad Autonoma de Chiapas, Mexico* 

Allen, Craig, and C.S. Holling. 2010. Novelty, adaptive capacity, and resilience. *Ecology and* 

Allenby, Brad, and Jonathan Fink. 2005. Toward inherently secure and resilient societies.

Bakan, Joel. 2004. *The Corporation: the pathological pursuit of profit and power.* New York: Free

Buchmann, Christine. 2010. Farming System Dynamics: The quest for a methodology to measure social-ecological resilience in subsistence agriculture. Presentation in: *Adapative management in subsistence agriculture*. 9th European IFSA symposium. 4-7 July 2010,

García-Linera, Álvaro. 2011. *La Potencia Plebeya: acción colectiva e identidades indígenas, obreras* 

*y populares en Bolivia*. Havana: Fondo Editorial Casa de las Américas.

*El Colegio de la Frontera Sur, San Cristobal de las Casas, Mexico* 

*Red de Estudios para el Desarrollo Rural AC, Mexico* 

*Red de Estudios para el Desarrollo Rural A.C., Mexico* 

**Author details** 

Jose Nahed-Toral,

Paula Mendoza-Nazar

Jesus Ovando-Cruz

Benigno Ruiz-Sesma

**10. References** 

Press.

*Idem* 

Leopoldo Medina-Sanson

*Society* 15(3): 24-39.

Vienna (Austria).

*Science* 309: 1034-1036.

*Ghent University, Belgium* 

Francisco Guevara-Hernandez

Nils McCune

(Allenby and Fink, 2005)" then perhaps the most prudent option would be to begin a wide debate about the graceful exit of the agribusiness model. The development of sovereign food systems at the local level requires cross-scalar interactions that should not be limited to farmer innovations, but include farmer-to-farmer networks, strong rural organizations, and redistributive public policy. If these requirements cannot be met within the neoliberal development model, then the next step is to ask what kind of transformation is necessary at

	- Medellín, Rodrigo and Miguel Equihua. 1998. Mammal species richness and habitat use in rainforest and abandoned agricultural fields in Chiapas, Mexico. *Journal of Applied Ecology* 35: 13-23.

**Chapter 22** 

© 2012 Josimović and Marić, licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Josimović and Marić, licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use,

distribution, and reproduction in any medium, provided the original work is properly cited.

**Methodology for the Regional** 

Additional information is available at the end of the chapter

for landfill development, lack of standards, etc.

only increase the importance of this problem area.

One of the most important causes of environmental pollution is certainly an inadequate waste management. The three factors that have primarily influenced this problem area are: ever increasing amount of municipal solid waste (which causes increasingly pronounced space occupation), increasing amount and types of hazardous waste, as well as lack of awareness on the importance of acting promptly in this field. Particular problems in waste management occur in developing countries, where the awareness of the importance of environmental protection has not yet achieved a satisfactory level and where, out of economic or political reasons, professional guidelines associated with waste management are not observed. Problems emerge either due to a lack of legislation, or obsolete legislation, lack of trained personnel, inadequate waste management infrastructure, financial constraints in the establishment of a modern waste management system, population lacking the awareness about solid waste management, impossibility of selecting appropriate space

Great problems in waste management in Serbia are caused by increasing amount of waste, lack of sanitary landfills built under international standards (which is inefficient and ecologically acceptable), as well as by the fact that the principle of hierarchy in waste management is not observed at all. Problems emerging in the field of environmental pollution and the manner of responding to pollution through the planning documentation,

Waste management is a complex process which implies a control of the entire waste management system (from waste generation, through collection and transportation of waste, to waste treatment and disposal), along with the support of legislation and appropriate institutional organization. The accent in the present paper is placed on spatial

**Landfill Site Selection** 

Boško Josimović and Igor Marić

http://dx.doi.org/10.5772/45926

**1. Introduction** 


**Chapter 22** 

## **Methodology for the Regional Landfill Site Selection**

Boško Josimović and Igor Marić

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45926

## **1. Introduction**

512 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Development Models. Sustainability Science Seminars.

Mexico. *Forest Ecology and Management* 154: 311-326.

participatory approach. *Conservation Ecology* 6(1): 14-30.

*Ecology* 35: 13-23.

(Austria).

673.

London.

Press/Earthscan.

Press: Oakland.

Forthcoming.

*BioScience* 60: 527-537.

University of California Press.

54-80.

Medellín, Rodrigo and Miguel Equihua. 1998. Mammal species richness and habitat use in rainforest and abandoned agricultural fields in Chiapas, Mexico. *Journal of Applied* 

Milestad, Rebecka, Susanne Kummer, and Christian Vogl. 2010. Building farm resilience through farmers' experimentation. Presentation in: *Knowledge, innovations and social learning in organic farming*. 9th European IFSA symposium. 4-7 July 2010, Vienna

Miki, Rosa, Mariana Zarazua, Adriana Aguilar, Lizzette Luna, Juan Carlos Hernández, Martín Cadena, and Mariano Torres. Date Unknown. Divergent vs. Convergent

O'Conner, James. 1998. *Natural causes: essays in ecological Marxism.* New York: Guilford Press. Patel, Raj. 2009. What does food sovereignty look like? *Journal of Peasant Studies* 36(3): 663-

Perfecto, Ivette, John Vandermeer, and Angus Wright. 2010. *Nature's Matrix.* Earthscan:

Ramírez-Marcial, Neptalí, Mario González-Espinosa, and Guadalupe Williams-Linera. 2001. Anthropogenic disturbance and tree diversity in Montane Rain Forests in Chiapas,

Rosset, Peter. 1998. Do we need new technology to end hunger? In: Lappé, Francis Moore, Joseph Collins, Peter Rosset and Luis Esparza, *World Hunger: 12 Myths.* Grove

Rosset, Peter, and Medea Benjamin. 1994. *Cuba: the greening of the Revolution*. Food First

Sen, Amartya. 1992. Capacidad y Bienestar*.* In: Nussbaum, Martha, and Amartya Sen (Eds.), *La Calidad de Vida.* Oxford: Oxford University Press, the United Nations University, pp.

Shattuck, 2011. Resilience and Vulnerability in Agriculture: A Cross-Disciplinary Approach.

Suding, Katharine, Katherine Gross, and Gregory Houseman. 2004. Alternative states and positive feedbacks in restoration ecology. *Trends in Ecology and Evolution* 19(1): 46-53. Vandermeer, John, Ivette Perfecto, and Stacy Philpott. 2010. Ecological Complexity and Pest Control in Organic Coffee Production: Uncovering an Autonomous Ecosystem Service.

Walker, Brian, Stephan Carpenter, John Anderies, Nick Abel, Graeme Cumming, Marco Janssen, Louis Lebel, Jon Norberg, Garry Peterson, and Rusty Pritchard. 2002. Resilience management in social-ecological systems: a working hypothesis for a

Walker, Jeremy, and Melinda Cooper. 2011. Genealogies of Resilience: From Systems Ecology to the Political Economy of Crisis Adaptation. *Security Dialogue* 14(2): 1-28. Walker, Richard. 2004. *The Harvest of Bread: 150 years of agribusiness in California.* Berkeley:

One of the most important causes of environmental pollution is certainly an inadequate waste management. The three factors that have primarily influenced this problem area are: ever increasing amount of municipal solid waste (which causes increasingly pronounced space occupation), increasing amount and types of hazardous waste, as well as lack of awareness on the importance of acting promptly in this field. Particular problems in waste management occur in developing countries, where the awareness of the importance of environmental protection has not yet achieved a satisfactory level and where, out of economic or political reasons, professional guidelines associated with waste management are not observed. Problems emerge either due to a lack of legislation, or obsolete legislation, lack of trained personnel, inadequate waste management infrastructure, financial constraints in the establishment of a modern waste management system, population lacking the awareness about solid waste management, impossibility of selecting appropriate space for landfill development, lack of standards, etc.

Great problems in waste management in Serbia are caused by increasing amount of waste, lack of sanitary landfills built under international standards (which is inefficient and ecologically acceptable), as well as by the fact that the principle of hierarchy in waste management is not observed at all. Problems emerging in the field of environmental pollution and the manner of responding to pollution through the planning documentation, only increase the importance of this problem area.

Waste management is a complex process which implies a control of the entire waste management system (from waste generation, through collection and transportation of waste, to waste treatment and disposal), along with the support of legislation and appropriate institutional organization. The accent in the present paper is placed on spatial

© 2012 Josimović and Marić, licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Josimović and Marić, licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

planning as an inevitable instrument for strategic waste management. The paper also points out the importance of spatial aspect in the waste management planning process.

Methodology for the Regional Landfill Site Selection 515

through which a huge amount of collected waste is treated, should be given great attention in the waste management process, i.e. in spatial planning process. This is a very delicate and very important process from the viewpoint of the protection of key environmental factors (land, water and air), landscape values, as well as the protection of population health [4]. Out of this reason, it is also necessary to dedicate great attention to the investigation of a character, as well as potential and real landfill impact on the environment. This enables the elaboration and implementation of measures to eliminate or minimize negative effects.

Sanitary landfill planning and construction is only a part of a complex solid waste management process which encompasses the treatment of waste from its generation, through minimization of its amount, selection, recycling, collection, transport and disposal, to landfill recultivation and bringing of land to new use. However, although sanitary landfills are only a part of a wider waste management process, this activity is characterized by a very complex and long-term process which must take into account natural and

Sanitary landfill is available land for solid waste disposal at which engineering methods of waste disposal are used in a manner in which threats to the environment are minimized. The landfill site selection and technology of devices and equipment for sanitary waste treatment and disposal should be in the function of the protection and

Sanitary landfill development implies activities in several phases where certain sequence

identification of a landfill site (through the planning documentation) and elaboration of

It is necessary to consider the following requirements and requirements for sanitary landfill

must be obeyed. The process is usually carried out in four phases:

landfill site selection (site investigation process),

conditions for bringing it to the intended use, elaboration of construction (technical) documentation,

*3.1.1. Preconditions for sanitary landfill construction* 

Spatial and urban planning requirements

Spatial and regional requirements

anthropogenetic characteristics of space.

rational use of space.

landfill construction.

 Landfill site selection Required land area Transportation distances Local site conditions

 Hydrogeological conditions Geological conditions

construction:

 Topography Climate conditions

## **2. Disposal of solid waste**

The final functional element in the waste management system is waste disposal. Waste disposal is a final fate of all types of waste, either municipal solid waste, collected and transported directly to landfills, or industrial waste or other materials from waste treatment facilities which are of no use-value any longer [1].

Landfill forms the basis of every waste management plan, because there will always be waste to be disposed of.

Sanitary landfills are sites selected for waste disposal, such as natural or artificial (excavated) depressions, engineered facilities, where the waste is, through appropriate technological processes, compacted as densely as practicable to minimize its volume and covered with a layer of soil or some other material in a systematic and sanitary manner. Before proceeding with such work, a terrain to be used must be selected, surveyed and prepared [2].

Sanitary landfills are necessary in any combination, even for some other form of solid waste treatment, because there will always be waste to be disposed of. Uncontrolled dumps must be closed along with necessary sanitation. This requires knowledge of a series of notions, processes and activities which should enable proper landfill planning, design, construction, exploitation and funding, as well as control of landfill environmental impacts [3].

## **3. Spatial aspect of waste management**

Considering that waste management system is realized in space, it is quite clear that characteristics of space greatly determine the choice of an adequate management system, i.e. its spatial organization. This primarily refers to the selection of sites having physical elements of the system, such as, primarily, sanitary landfills, transfer stations, recycling centers, etc. In this context, physical-geographical and anthropogenetic characteristics of space are of great importance. Relative to these characteristics, conceptual solutions to the waste management system are defined, and landfill site selection process is carried out for elements of the waste management system.

## **3.1. Requirements for the regional landfill site selection**

In the waste disposal process, a controlled disposal procedure is unavoidable, either for the disposal of genuine waste or materials that remain after the treatment process, or, as necessary, if the main process cannot be carried out in certain period because of interruption, defect, overhaul, or out of other reasons. Sanitary landfills are necessary in any chosen waste management option, because there will always be waste to be disposed of on landfills. In this sense, locating potential landfill sites, as the most commonly used process through which a huge amount of collected waste is treated, should be given great attention in the waste management process, i.e. in spatial planning process. This is a very delicate and very important process from the viewpoint of the protection of key environmental factors (land, water and air), landscape values, as well as the protection of population health [4]. Out of this reason, it is also necessary to dedicate great attention to the investigation of a character, as well as potential and real landfill impact on the environment. This enables the elaboration and implementation of measures to eliminate or minimize negative effects.

Sanitary landfill planning and construction is only a part of a complex solid waste management process which encompasses the treatment of waste from its generation, through minimization of its amount, selection, recycling, collection, transport and disposal, to landfill recultivation and bringing of land to new use. However, although sanitary landfills are only a part of a wider waste management process, this activity is characterized by a very complex and long-term process which must take into account natural and anthropogenetic characteristics of space.

Sanitary landfill is available land for solid waste disposal at which engineering methods of waste disposal are used in a manner in which threats to the environment are minimized. The landfill site selection and technology of devices and equipment for sanitary waste treatment and disposal should be in the function of the protection and rational use of space.

Sanitary landfill development implies activities in several phases where certain sequence must be obeyed. The process is usually carried out in four phases:


514 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

out the importance of spatial aspect in the waste management planning process.

**2. Disposal of solid waste** 

waste to be disposed of.

prepared [2].

facilities which are of no use-value any longer [1].

**3. Spatial aspect of waste management** 

elements of the waste management system.

**3.1. Requirements for the regional landfill site selection** 

planning as an inevitable instrument for strategic waste management. The paper also points

The final functional element in the waste management system is waste disposal. Waste disposal is a final fate of all types of waste, either municipal solid waste, collected and transported directly to landfills, or industrial waste or other materials from waste treatment

Landfill forms the basis of every waste management plan, because there will always be

Sanitary landfills are sites selected for waste disposal, such as natural or artificial (excavated) depressions, engineered facilities, where the waste is, through appropriate technological processes, compacted as densely as practicable to minimize its volume and covered with a layer of soil or some other material in a systematic and sanitary manner. Before proceeding with such work, a terrain to be used must be selected, surveyed and

Sanitary landfills are necessary in any combination, even for some other form of solid waste treatment, because there will always be waste to be disposed of. Uncontrolled dumps must be closed along with necessary sanitation. This requires knowledge of a series of notions, processes and activities which should enable proper landfill planning, design, construction,

Considering that waste management system is realized in space, it is quite clear that characteristics of space greatly determine the choice of an adequate management system, i.e. its spatial organization. This primarily refers to the selection of sites having physical elements of the system, such as, primarily, sanitary landfills, transfer stations, recycling centers, etc. In this context, physical-geographical and anthropogenetic characteristics of space are of great importance. Relative to these characteristics, conceptual solutions to the waste management system are defined, and landfill site selection process is carried out for

In the waste disposal process, a controlled disposal procedure is unavoidable, either for the disposal of genuine waste or materials that remain after the treatment process, or, as necessary, if the main process cannot be carried out in certain period because of interruption, defect, overhaul, or out of other reasons. Sanitary landfills are necessary in any chosen waste management option, because there will always be waste to be disposed of on landfills. In this sense, locating potential landfill sites, as the most commonly used process

exploitation and funding, as well as control of landfill environmental impacts [3].

## *3.1.1. Preconditions for sanitary landfill construction*

It is necessary to consider the following requirements and requirements for sanitary landfill construction:


**Landfill site selection**.- In planning, landfill site selection occupies extremely important place. In the widest sense, the natural, social, political, economic and technical factors have an important role in landfill site selection, thus it follows that the selection is to be made by a multidisciplinary team of experts. Given that landfill construction is considered as a noneconomic activity, a special task is to select landfill site from the aspect of the use of buildable land and its price, as well as other natural or urban values which have an important role in relation to rationality and planned landfill remediation or its rehabilitation, i.e. reconstruction [5]. From technical and technological aspects, for the planning, design, construction and exploitation needs, it is necessary that on each landfill site the following is ensured:

Methodology for the Regional Landfill Site Selection 517

Essentially, GIS contains data on:

Anthropogenetic spatial elements, etc.

they are useful only if they can be converted into maps.

Logical operations with spatial and descriptive data

cartographic database are used for data management.

specific space, as well as the problem area which is a subject of analysis.

selection and processing centers, for defining transportation corridors, etc.

Possibility of spatial search of phenomena

The GIS, as already mentioned, consists of spatial data and descriptive data.

**Spatial data** refer to locations, i.e. spatial relationships between phenomena and objects. They are obtained based on literature, maps, aerial photos taken from aircrafts, etc., and

**Descriptive data** are linked to localities, polygon line or body and are the system

Possibility of overlapping contents and combining individual contents into a new

Geographic information systems are most frequently compatible with most of related systems (geodetic, agricultural, geologic, mining, water resources management, forestry, urban planning systems, etc.), but also with census databases, statistical information systems, technological databases, databases associated with health, education, science, etc. Using GIS mapped data, we carry out precisely what an information system should enable: solve a problem, make queries, reach answers, or examine possible solutions. Here, data are manipulated digitally, and not manually, because we manipulate the data on events and activities using digital cartographic objects. In other words, the points, lines and areas in this

Therefore, the GIS is a general tool for problem solving. It is created for making a certain project. A successful GIS is built, not bought, and indented for analysts to draw out relevant data for forecasting and planning, as well as various pieces of information associated with a

The role of GIS tools in waste management planning is dominant in landfill site selection process. In addition, GIS tools are also used for distribution and identification of locations for other elements of waste management system such as transfer station network, waste

The method of multicriteria analyses and evaluation is used for identifying locations of elements of a waste management system in the GIS. This approach is inevitable in locating

Air

 Soil Biocenosis

 Earth's surface Water areas Lithosphere

accompanying content.

The GIS key features are:

quality


## **3.2. Implementation of GIS tools in waste management**

Information system is an arranged set of information on things and facts in surroundings, with the aim to get acquainted with a system. Right decision making in planning and space organization depends to a great extent on knowledge, i.e. the quality and importance of information available to decision makers.

The GIS is a powerful set of computer tools for collecting, storing, searching as necessary, transformation and display of real-world data for various purposes [6].

As one of the most complex information systems that cover all spatial problems, the GIS has many advantages out of which the most significant are:


The use of GIS is appropriate for:


Essentially, GIS contains data on:

Air

516 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Landfill site selection**.- In planning, landfill site selection occupies extremely important place. In the widest sense, the natural, social, political, economic and technical factors have an important role in landfill site selection, thus it follows that the selection is to be made by a multidisciplinary team of experts. Given that landfill construction is considered as a noneconomic activity, a special task is to select landfill site from the aspect of the use of buildable land and its price, as well as other natural or urban values which have an important role in relation to rationality and planned landfill remediation or its rehabilitation, i.e. reconstruction [5]. From technical and technological aspects, for the planning, design, construction and exploitation needs, it is necessary that on each landfill

Complete sanitary security for people living in the surrounding residential areas, as

Rational use of land, as well as save land (increased levels of waste compaction using

Information system is an arranged set of information on things and facts in surroundings, with the aim to get acquainted with a system. Right decision making in planning and space organization depends to a great extent on knowledge, i.e. the quality and importance of

The GIS is a powerful set of computer tools for collecting, storing, searching as necessary,

As one of the most complex information systems that cover all spatial problems, the GIS has

 Geo-mechanical conditions Environmental protection

site the following is ensured:

well as personnel working at landfills

information available to decision makers.

The use of GIS is appropriate for:

Mapping for various purposes

**Waste management planning** 

Spatial planning

Traffic planning

Protection of land, air, ground and surface water from pollution

Maximum number of machines and equipment for all types of works

transformation and display of real-world data for various purposes [6].

special machines, as well as a deposition height)

many advantages out of which the most significant are:

It includes natural and social elements of space

Natural resource inventory and management

It covers all elements of geo-space and ecological elements

 Computer mapping of population and entering of census data Creating hazard maps and programs of procedures in such cases, etc.

**3.2. Implementation of GIS tools in waste management** 


The GIS, as already mentioned, consists of spatial data and descriptive data.

**Spatial data** refer to locations, i.e. spatial relationships between phenomena and objects. They are obtained based on literature, maps, aerial photos taken from aircrafts, etc., and they are useful only if they can be converted into maps.

**Descriptive data** are linked to localities, polygon line or body and are the system accompanying content.

The GIS key features are:


Geographic information systems are most frequently compatible with most of related systems (geodetic, agricultural, geologic, mining, water resources management, forestry, urban planning systems, etc.), but also with census databases, statistical information systems, technological databases, databases associated with health, education, science, etc. Using GIS mapped data, we carry out precisely what an information system should enable: solve a problem, make queries, reach answers, or examine possible solutions. Here, data are manipulated digitally, and not manually, because we manipulate the data on events and activities using digital cartographic objects. In other words, the points, lines and areas in this cartographic database are used for data management.

Therefore, the GIS is a general tool for problem solving. It is created for making a certain project. A successful GIS is built, not bought, and indented for analysts to draw out relevant data for forecasting and planning, as well as various pieces of information associated with a specific space, as well as the problem area which is a subject of analysis.

The role of GIS tools in waste management planning is dominant in landfill site selection process. In addition, GIS tools are also used for distribution and identification of locations for other elements of waste management system such as transfer station network, waste selection and processing centers, for defining transportation corridors, etc.

The method of multicriteria analyses and evaluation is used for identifying locations of elements of a waste management system in the GIS. This approach is inevitable in locating

complex objects, such as, for example, regional municipal solid waste landfills. Its complexity is reflected both in the size and function of objects, as well as in relation to various possible spatial impacts, also in negative context.

Methodology for the Regional Landfill Site Selection 519

In this context, it is evident that selection criteria and value scale for evaluation of candidate landfill sites are of key importance in this process, while GIS tools represent a powerful means which to a great extent facilitate and speed up the process. This refers not only to the landfill site selection process, but also to defining the spatial organization of the entire waste

There are two groups of criteria. The first group includes the so-called exclusion criteria that are used in the first phase of the landfill site selection process. Exclusion criteria are defined

Distance from natural elements of space (watercourses, water sources, protected natural

Distance from anthropogenetic elements of space (infrastructure facilities, settlements,

Recommendations of local authorities in a form of intermunicipal corporation

According to exclusion criteria, areas which should not be further analyzed are discarded, i.e. areas that will be analyzed and evaluated in consecutive phases singled out. In the

After that, in cooperation with local institutions and experts, certain number of sites are nominated for which a multicriteria evaluation is carried out. In this context, criteria based on which each candidate site will be evaluated in the same way are defined. This is a second

Site evaluation criteria are mainly classified into several basic groups. Commonly, there are

Technical and operational criteria (which usually also involve certain economic, spatial

Any variation of groups of basic indicators is possible. Regardless of the formulation of basic groups of criteria, they include approximately either the same or almost the same number of indicators and criteria that are analyzed and compared in the process of selection

three basic groups of criteria whose definition varies from author to author:

management system, as well as defining the transfer station network.

relative to the specific situation and they represent restriction criteria.

The most important step in this process is to define landfill site selection criteria.

Some of exclusion criteria can be classified into a group of the following indicators:

**3.3. Landfill site selection criteria** 

protected cultural structures, etc.)

 Ecological or environmental criteria, Socio-economic or social or spatial criteria,

and ecological criteria).

of the most suitable site for a landfill.

Hydrological and geological characteristics of space

elimination phase, a single-criterion method is mainly used.

*3.3.1. Landfill site selection criteria* 

resources, etc.)

Terrain morphology

Degradation of space

agreements, etc.

group of criteria.

The use of GIS in defining strategies, analyses and visualization of solutions and alternatives helps us consider and clearly represent various scenarios, as well as select the most suitable solutions through a prism of different relevant criteria (spatial, ecological, hydro-geological criteria, etc.) [7].

Therefore, in using the GIS in the selection of the most suitable landfill sites, two things of key importance are [8].:


Defining landfill site selection criteria is the main step in landfill site selection process. In the first phase, based on exclusiveness, the sites which do not satisfy these criteria are eliminated. Positive areas within which it is possible to search for the most suitable solutions are the result of this process. This phase represents an activity of microzoning. Using GIS tools, through overlapping cartographic presentations of a certain space carried out based on exclusion criteria, it is rather simple to eliminate unsuitable landfill sites.

After eliminating the unsuitable landfill sites, the attention is dedicated to the nomination of landfill sites within the remaining ''conditionally suitable'' zones. In this process, local governments and professional institutions can and must be of great importance, but soil investigations and collecting relevant data on physical-geographical and anthropogenetic characteristic of space are indeed of utmost importance.

Through nominating potential landfill sites, preconditions for the selection of the most suitable landfill site are created, which is followed by multicriteria analysis and evaluation of candidate sites. Site selection criteria are entered into tables and weighted for each candidate site based on the entered value scale. In this way, the evaluation process using GIS tools is carried out in an efficient manner and in a short period of time.

The role of GIS tools in the landfill site selection process is in that it enables faster singling out and clearer presentation of suitable and unsuitable sites based on previously given criteria.

In this context, it is evident that selection criteria and value scale for evaluation of candidate landfill sites are of key importance in this process, while GIS tools represent a powerful means which to a great extent facilitate and speed up the process. This refers not only to the landfill site selection process, but also to defining the spatial organization of the entire waste management system, as well as defining the transfer station network.

## **3.3. Landfill site selection criteria**

## *3.3.1. Landfill site selection criteria*

518 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

various possible spatial impacts, also in negative context.

criteria, etc.) [7].

key importance are [8].:

complex objects, such as, for example, regional municipal solid waste landfills. Its complexity is reflected both in the size and function of objects, as well as in relation to

The use of GIS in defining strategies, analyses and visualization of solutions and alternatives helps us consider and clearly represent various scenarios, as well as select the most suitable solutions through a prism of different relevant criteria (spatial, ecological, hydro-geological

Therefore, in using the GIS in the selection of the most suitable landfill sites, two things of

1. Analysis of space, i.e. all of its physical-geographical and anthropogenetic characteristics. It is necessary to comprehensively consider the space on which the problem is to be solved or which can be useful for problem solving. In this process, because of social sensitivity associated with this issue, it is necessary to be impartial in considering a possible landfill site. This can only be achieved if the entire space is

2. Visualization of space and its characteristics and impacts. This is necessary so that all participants in the project could have equal chance to perceive and understand the subject problem area. This enables active participation in searching for solutions to an acceptable compromise [9]. All participants must consider the space, as well as its advantages and disadvantages for landfill site selection. This is precisely one of the most important advantages of using GIS tools in landfill site selection, as well as of

Defining landfill site selection criteria is the main step in landfill site selection process. In the first phase, based on exclusiveness, the sites which do not satisfy these criteria are eliminated. Positive areas within which it is possible to search for the most suitable solutions are the result of this process. This phase represents an activity of microzoning. Using GIS tools, through overlapping cartographic presentations of a certain space carried out based

After eliminating the unsuitable landfill sites, the attention is dedicated to the nomination of landfill sites within the remaining ''conditionally suitable'' zones. In this process, local governments and professional institutions can and must be of great importance, but soil investigations and collecting relevant data on physical-geographical and anthropogenetic

Through nominating potential landfill sites, preconditions for the selection of the most suitable landfill site are created, which is followed by multicriteria analysis and evaluation of candidate sites. Site selection criteria are entered into tables and weighted for each candidate site based on the entered value scale. In this way, the evaluation process using

The role of GIS tools in the landfill site selection process is in that it enables faster singling out and clearer presentation of suitable and unsuitable sites based on previously given criteria.

considered to the same level of detail and in the same manner;

choosing other elements of a waste management system.

characteristic of space are indeed of utmost importance.

on exclusion criteria, it is rather simple to eliminate unsuitable landfill sites.

GIS tools is carried out in an efficient manner and in a short period of time.

The most important step in this process is to define landfill site selection criteria.

There are two groups of criteria. The first group includes the so-called exclusion criteria that are used in the first phase of the landfill site selection process. Exclusion criteria are defined relative to the specific situation and they represent restriction criteria.

Some of exclusion criteria can be classified into a group of the following indicators:


According to exclusion criteria, areas which should not be further analyzed are discarded, i.e. areas that will be analyzed and evaluated in consecutive phases singled out. In the elimination phase, a single-criterion method is mainly used.

After that, in cooperation with local institutions and experts, certain number of sites are nominated for which a multicriteria evaluation is carried out. In this context, criteria based on which each candidate site will be evaluated in the same way are defined. This is a second group of criteria.

Site evaluation criteria are mainly classified into several basic groups. Commonly, there are three basic groups of criteria whose definition varies from author to author:


Any variation of groups of basic indicators is possible. Regardless of the formulation of basic groups of criteria, they include approximately either the same or almost the same number of indicators and criteria that are analyzed and compared in the process of selection of the most suitable site for a landfill.

Number of landfill site selection criteria ranges from 20 to over 40. They are classified (or not classified) into groups of criteria to which they belong, which are also similar, but can be differently formulated.

Methodology for the Regional Landfill Site Selection 521

as a common disadvantage of all methods for potential landfill site selection. Therefore, the subjectivity in this process must be minimized to the utmost limit, while objectivity

**4. Case study: Regional landfill site selection in the Kolubara region in** 

We have chosen the area of the Kolubara Region comprising 11 municipalities with 382,000 inhabitant as an example of theoretical knowledge presented in the first part of the present

The Study on the Selection of Micro-location for the Regional Landfill with Recycling Centre and Regional Center for Municipal Solid Waste Management, Regional Plan for Solid Waste Management, as well as Strategic Environmental Assessment (SEA) for the same Plan have

Municipal waste from the territory of 11 municipalities in the Region is disposed of to 10 unarranged sanitary city landfills and a certain number of illegal dumps. All existing landfills should be closed or remediated and recultivated in the shortest possible time. It is recommended to prolong the life-time of the existing landfills through the mentioned remediation projects. Recognizing the need for the final, contemporary waste disposal and management, 11 municipalities of the Region have united together in forming the regions for the development of a waste management. The initiatives that have been launched in this context have resulted in the elaboration of the ''Study on the Selection of Micro-Location for the Regional Municipal Waste Landfill with Recycling Center for the Kolubara Region'',

The sanitary landfill construction implies carrying out activities in several phases, whereby it is necessary to observe a specific sequence. The process is mainly carried out in four

2. Determining the location (through the planning and design documentation) and

The most sensitive and the most important step in making a concept of regional municipal solid waste management is a regional landfill site selection. Relative to the selected regional landfill site, other elements of a waste management system are also located and their spatial

**4.1. Analysis of the present state in the Kolubara region** 

based on which the location for regional landfill has been selected.

**4.2. Locating the regional landfill site for Kolubara Region** 

creating conditions for bringing land to intended use

3. Elaborating the construction documents (technical documentation)

been elaborated for the Kolubara Region.

must be maximized.

**Serbia** 

paper.

phases as follows:

4. Landfill construction

distribution carried out.

1. Identifying (selecting) the location

A particularly sensitive and important step in landfill site selection that follows the choice of relevant criteria is to define value scales based on which each individual criteria is evaluated (valued, ranked). Each criteria is assigned its corresponding weight (value) which is determined based on expert's evaluation and evaluation of participants in the process of sanitary landfill site selection. Here, quantitative evaluation is commonly used (e.g. scores from 1 to 10, or from 1 to 5).

Qualitative/expert assessment can also be used, where criteria can be assessed as suitable, conditionally suitable or unsuitable. Qualitative assessment is today increasingly less used, because the use of new technologies enable more accurate and more sophisticated assessment under the principle of quantitative assessment. In this case, accurate and objective data are obtained that can be compared and used for making right decisions.

When a potential site is assessed according to all given criteria, it is possible to carry out the following two steps:


The first step in evaluating candidate sites is the simplest one and will low requirements. The best score is obtained through adding up all obtained scores for each criterion. Evaluation of candidate site in this case does not have different scenarios that can be of great help to decision makers.

The second step is more complex as different scenarios can be used. For example, if criteria for locating candidate landfill site are classified into several basic groups, then the number of scenarios to be considered is consistent with the number of criteria groups. Criteria from one group are favored in the first scenario, the most important criteria in the second scenario are those from the second group, and so on. The final option is a situation when groups of criteria are multiplied by the same importance value, without favoring any of criteria group. By presenting the scenarios in synthesis Table, it is easy to identify which candidate sites are the most suitable in which scenarios. The PROMETHEE method [10] is an example of this approach.

The basic advantage of this procedure is in that decision makers have a clear idea of which is candidate site is the most suitable if criteria from a certain group of criteria (ecological or economic or spatial, etc.) are assessed as the most worthwhile criteria, and if basic criteria groups are dealt with equally. This greatly facilitates decision making. Regardless of which of the many methods for evaluation of potential landfill sites are used, the question of objectivity of the procedure arises taking into account that the selection of evaluation elements (criteria, weights), but also the very decision-making process, is a matter of objectivity of experts and decision makers. This can be considered as a common disadvantage of all methods for potential landfill site selection. Therefore, the subjectivity in this process must be minimized to the utmost limit, while objectivity must be maximized.

## **4. Case study: Regional landfill site selection in the Kolubara region in Serbia**

## **4.1. Analysis of the present state in the Kolubara region**

520 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

differently formulated.

from 1 to 10, or from 1 to 5).

following two steps:

help to decision makers.

approach.

1. Adding up all obtained scores

Number of landfill site selection criteria ranges from 20 to over 40. They are classified (or not classified) into groups of criteria to which they belong, which are also similar, but can be

A particularly sensitive and important step in landfill site selection that follows the choice of relevant criteria is to define value scales based on which each individual criteria is evaluated (valued, ranked). Each criteria is assigned its corresponding weight (value) which is determined based on expert's evaluation and evaluation of participants in the process of sanitary landfill site selection. Here, quantitative evaluation is commonly used (e.g. scores

Qualitative/expert assessment can also be used, where criteria can be assessed as suitable, conditionally suitable or unsuitable. Qualitative assessment is today increasingly less used, because the use of new technologies enable more accurate and more sophisticated assessment under the principle of quantitative assessment. In this case, accurate and objective data are obtained that can be compared and used for making right decisions.

When a potential site is assessed according to all given criteria, it is possible to carry out the

The first step in evaluating candidate sites is the simplest one and will low requirements. The best score is obtained through adding up all obtained scores for each criterion. Evaluation of candidate site in this case does not have different scenarios that can be of great

The second step is more complex as different scenarios can be used. For example, if criteria for locating candidate landfill site are classified into several basic groups, then the number of scenarios to be considered is consistent with the number of criteria groups. Criteria from one group are favored in the first scenario, the most important criteria in the second scenario are those from the second group, and so on. The final option is a situation when groups of criteria are multiplied by the same importance value, without favoring any of criteria group. By presenting the scenarios in synthesis Table, it is easy to identify which candidate sites are the most suitable in which scenarios. The PROMETHEE method [10] is an example of this

The basic advantage of this procedure is in that decision makers have a clear idea of which is candidate site is the most suitable if criteria from a certain group of criteria (ecological or economic or spatial, etc.) are assessed as the most worthwhile criteria, and if basic criteria groups are dealt with equally. This greatly facilitates decision making. Regardless of which of the many methods for evaluation of potential landfill sites are used, the question of objectivity of the procedure arises taking into account that the selection of evaluation elements (criteria, weights), but also the very decision-making process, is a matter of objectivity of experts and decision makers. This can be considered

2. Multiplying the obtained scores by importance values (weights).

We have chosen the area of the Kolubara Region comprising 11 municipalities with 382,000 inhabitant as an example of theoretical knowledge presented in the first part of the present paper.

The Study on the Selection of Micro-location for the Regional Landfill with Recycling Centre and Regional Center for Municipal Solid Waste Management, Regional Plan for Solid Waste Management, as well as Strategic Environmental Assessment (SEA) for the same Plan have been elaborated for the Kolubara Region.

Municipal waste from the territory of 11 municipalities in the Region is disposed of to 10 unarranged sanitary city landfills and a certain number of illegal dumps. All existing landfills should be closed or remediated and recultivated in the shortest possible time. It is recommended to prolong the life-time of the existing landfills through the mentioned remediation projects. Recognizing the need for the final, contemporary waste disposal and management, 11 municipalities of the Region have united together in forming the regions for the development of a waste management. The initiatives that have been launched in this context have resulted in the elaboration of the ''Study on the Selection of Micro-Location for the Regional Municipal Waste Landfill with Recycling Center for the Kolubara Region'', based on which the location for regional landfill has been selected.

## **4.2. Locating the regional landfill site for Kolubara Region**

The sanitary landfill construction implies carrying out activities in several phases, whereby it is necessary to observe a specific sequence. The process is mainly carried out in four phases as follows:


The most sensitive and the most important step in making a concept of regional municipal solid waste management is a regional landfill site selection. Relative to the selected regional landfill site, other elements of a waste management system are also located and their spatial distribution carried out.

Once the selection of the most suitable landfill site is made, it is necessary to incorporate it in the planning solutions in order to create conditions for the elaboration of technical documentation, as well as for landfill construction.

Methodology for the Regional Landfill Site Selection 523

In nominating the location, the following has been taken into account:

Data and information from the existing planning documentation.

1. **Location KALENIĆ**, in the area of open pits in the Ub territory

2. **Location BOGDANOVICA ,** city landfill (dump) in Ub

**Figure 1.** Position of potential landfill sites in the Kolubara Region

suitable landfill site have been defined.

the region

proposed (Figure 1).

Valjevo municipality.

Data collected during field visits

Preliminary analyses of the entire area and possible central position of potential sites in

Guidelines set by the EU and the Waste Management Strategy of the Republic of Serbia

Based on the above mentioned, the following three potential landfill site locations have been

3. **Location CARIĆ**, for which certain investigations have already been carried out which have indicated certain advantages for landfilling. The location is within the territory of

After the nomination of locations, the criteria for the evaluation and selection of the most

New criteria have been defined based on investigation and analysis of previous experiences of other countries and the EU guidelines, as well as on available relevant data for their evaluation. In this context, the following criteria for the selection of micro-location for

Consultations and recommendations of relevant local institution and experts

## **4.3. Regional landfill site selection criteria**

The elaboration of the Study on Landfill Site Selection represents the first step in making a concept of municipal solid waste management in the Kolubara Region.

The first step in landfill site selection is to define exclusion criteria.

Taking into account current legislation, Intermunicipal Agreement on Joint Waste Management, basic exclusion criteria used in practice, available data on the space, as well as relevant characteristics of a specific space, the following exclusion criteria have been defined, see [6]:


Their corresponding areas have been identified using the GIS tools. Through overlapping the corresponding areas, the following is obtained:


Once the potentially suitable areas within which its is possible to search for the regional landfill site are singled out, the regional plans for waste management for the Kolubara District and Belgrade administrative area have been considered in which the area of the Kolubara lignite basin has been determined for a macro-location for the regional municipal waste landfill.

Besides, in the Intermunicipal Agreement on the Joint Waste Management it has been agreed that the landfill site will be located in the territory of the Ub municipality since Ub has agreed to accept the waste generated in the newly formed region for municipal solid waste management in its territory.

The location of Carić (within the territory of the Valjevo municipality) has been also considered taking into account that this location has been previously analyzed several times and assessed as a suitable site for a landfill.

In nominating the location, the following has been taken into account:


522 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

concept of municipal solid waste management in the Kolubara Region.

The first step in landfill site selection is to define exclusion criteria.

Distance of less than 500 meters from watercourses

Collision with the existing planning documents

Terrains of more than 300 meters above sea level

the corresponding areas, the following is obtained:

Terrains with an inclination of over 30%

Alluvial plains and karst terrains

1. Potentially suitable areas for landfill

waste management in its territory.

and assessed as a suitable site for a landfill.

Distances of less than 500 meters from water supply sources

2. Unsuitable areas within which it is not possible to locate the landfill.

documentation, as well as for landfill construction.

**4.3. Regional landfill site selection criteria** 

defined, see [6]:

sheltered

waste landfill.

Seismic activity over 9 MCS

Once the selection of the most suitable landfill site is made, it is necessary to incorporate it in the planning solutions in order to create conditions for the elaboration of technical

The elaboration of the Study on Landfill Site Selection represents the first step in making a

Taking into account current legislation, Intermunicipal Agreement on Joint Waste Management, basic exclusion criteria used in practice, available data on the space, as well as relevant characteristics of a specific space, the following exclusion criteria have been

Distance of less than 500 meters from roads of the first category if the site is not

Their corresponding areas have been identified using the GIS tools. Through overlapping

Once the potentially suitable areas within which its is possible to search for the regional landfill site are singled out, the regional plans for waste management for the Kolubara District and Belgrade administrative area have been considered in which the area of the Kolubara lignite basin has been determined for a macro-location for the regional municipal

Besides, in the Intermunicipal Agreement on the Joint Waste Management it has been agreed that the landfill site will be located in the territory of the Ub municipality since Ub has agreed to accept the waste generated in the newly formed region for municipal solid

The location of Carić (within the territory of the Valjevo municipality) has been also considered taking into account that this location has been previously analyzed several times

Distance of less than 500 meters, or 1.5 km from settlements, if not sheltered


Based on the above mentioned, the following three potential landfill site locations have been proposed (Figure 1).


**Figure 1.** Position of potential landfill sites in the Kolubara Region

After the nomination of locations, the criteria for the evaluation and selection of the most suitable landfill site have been defined.

New criteria have been defined based on investigation and analysis of previous experiences of other countries and the EU guidelines, as well as on available relevant data for their evaluation. In this context, the following criteria for the selection of micro-location for

regional landfill in the Kolubara Region for the municipal solid waste management have been defined:

Methodology for the Regional Landfill Site Selection 525

c. up to 4 km, or 1.5 - 2.0 km with shelter d. up to 5 km, or 2.0 – 2.5 km with shelter

**6. Relief characteristics of the terrain** 

natural depression

a. up to 5 yrs b. up to 10 yrs c. up to 15 yrs d. up to 20 yrs e. 20 yrs

**8. Site acceptability** 

**10. Current land use** 

b. Quality tall forests;

d. Pastures, shrub woods

c. Meadows

a. General landfill site disagreement

e. General acceptance of a landfill site

**9. Engineering-geological characteristics** 

d. Coherent rocks, slightly stoned rock, stable slopes

e. Solid rocks, stable slopes even those of greater inclinations

residential buildings within holdings, sportsgrounds, etc.

e. Uncultivated land, thickets, barren land, excavations, quarries

e. more than 5 km, or more than 2.5 km with shelter

b. Broken relief, uneven terrain, compact spatial entity

landfill in excavated depressions or on earth fills

**7. Available space for waste disposal and ancillary facilities** 

b. General agreement, but disagreement from local community

terrain suitable for formation of valleys

a. Broken relief, very uneven terrain, particularly pronounced in karst landscapes,

c. Incompact (scattered) spatial entity encompassing several valleys, naturally shaped

d. compact waste entity, naturally shaped for locating a landfill site in a steep terrain or in

e. Mildly inclined or flat terrain, naturally shaped for locating a landfill site or possibly a

c. General agreement, but disagreement from certain individuals form local community d. General agreement and somewhat moderate disagreement from local community

b. Complex of incoherent and semi—coherent rock masses (deluvial sediments), possible

a. Cultivated agricultural land (ploughland, orchards), individual houses and other

a. Incoherent rock masses, unstable slopes, slides and falls, active landslides

c. Semi-coherent rocks, possible occurrence of landslides due heavy falls

occurrence of landslides due to undercutting the foot of an existing slope

incompact (scattered) spatial entity encompassing several valleys

### **1. Hydrogeological characteristics**


### **2. Ground water**


#### **3. Distance from the boundaries of zones of sanitary protection of water supply sources**

Distance from the boundary of

(a) narrower protection zone:(b) wider protection zone:


#### **4. Geological-tectonic characteristics**


#### **6. Relief characteristics of the terrain**


#### **7. Available space for waste disposal and ancillary facilities**


524 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

been defined:

1.0 m;

**2. Ground water** 

e. Aquifer does not exist

Distance from the boundary of

b. 0.2 to 0.5 kmup to 0.5 km c. 0.5 to 1.0 km0.5 to 1.0 km d. 1.0 to 1.5 km1 to 2 km e. more than 1.5 km 2 km

a. Pronounced fault zone

flat terrain

d. Glacial sediments e. Magmatic rocks

**4. Geological-tectonic characteristics** 

**zones of urban settlements** 

b. 2 -3 km, or 1 – 1.5 km with shelter

a. Distance 1.5 - 2 km, or 0.75 - 1 km if shelter

**1. Hydrogeological characteristics** 

rocks, limestones and dolostones)

wetting of the landfill bottom is possible

(a) narrower protection zone:(b) wider protection zone: a. 0 to 0.2 kmbelt along the protection zone contours

c. Flysch sediments, shales, marlsones, sandstones, etc.

c. Rocks with low porosity (alluvial and glacial sediments)

regional landfill in the Kolubara Region for the municipal solid waste management have

a. Rock masses with fissure–cavernous porosity and a high water permeability (karstified

d. Materials with a low water permeability, mainly impermeable complexes of 10-6 k 10-9m/s, or with a low water impermeability, but with small layer thickness of less than

a. Aquifer is, over a brief period and at high water levels of greater frequency, above the bottom of the landfill in one part of its bottom area, while at other water levels, it is

b. Aquifer, at high water levels of small frequency, rarely rises above the landfill bottom;

**3. Distance from the boundaries of zones of sanitary protection of water supply sources** 

b. Fault carbonate rock masses with numerous surface and underground karst shapes or

**5. Distance from the closest settlements with concentrated development or residential** 

e. Water impermeable materials (clay, flysch) of k10-9m/s, the layer thickness 1.0 m.

beneath the bottom; occasional flooding also occurs at the landfill site

c. Aquifer at water levels of 1 to 3 m is beneath the landfill bottom d. Aquifer at high water levels 3 m is beneath the landfill bottom

b. Rocks with intergranular porosity, coarser grained rocks (coarse-grained gravel)

#### **8. Site acceptability**


#### **9. Engineering-geological characteristics**


#### **10. Current land use**


#### **11. Distance from individual water supply (wells)**


Methodology for the Regional Landfill Site Selection 527

**16. Existing site infrastructure**  a. Absence of any infrastructure

d. Several infrastructure segments

e. All or most of the infrastructure segments

defense standard solutions applicable

it is necessary to displace or channel these waters

requires more complex facilities; there is no flooding

waters, simple protection against these waters possible

**17. Distance from surface watercourses** 

c. Only one infrastructure segment (access road, water supply line, electricity);

a. Permanent rivers or standing waters at the distance of 500 to 1000 m, there is a risk of

b. Small watercourses, permanent or periodic ones (brooks, torrents), there is a flood risk,

c. Heavy inflow of rain waters from immediate catchments, defense against these waters

d. Permanent watercourses at the distance greater than 1 km, no risk from flooding;

e. Great distance from watercourses, no risk from flooding, very low inflow of rain

a. Very complex terrain leveling works, including intensive blasting on the greatest part of

b. Complex terrain leveling works, blasting required only in some parts of the landfill site

a. Completely dislocated relative to the central position in the Region; at the edge of the

e. Within the radius of 10 km relative to the central point in the Region, but closer to the

c. Terrain leveling works on the greatest part of the landfill site using machines

d. Terrain leveling on the smaller part of landfill site using machines e. Simple terrain leveling works on the smaller part of the landfill site

**19. Earth for covering the disposed waste – distance from the borrow site** 

b. Within the radius of 20 km relative to the central point in the Region, c. Within the radius of 10 km relative to the central point in the Region,

municipalities with the largest amounts of municipal solid waste.

a. 100 % of land under private ownership, greater number of smaller plots

flooding during high waters, defense measures against high waters required

b. Poor infrastructure

**18. Terrain preparation** 

a. greater than 5 km,

**20. Position of the site in the Region** 

d. Centrally positioned relative to the Region,

b. 100 % of land under private ownership, greater plots

b. 2-5 km, c. 1-2 km, d. up to 1 km, e. on site.

Region

**21. Ownership of land** 

the site

e. downstream of the landfill at the distance of more than 200 m, downstream of the landfill at the distance of more than 1.5 km.

#### **12. Landscape characteristics**


#### **13. Linear distance from roads and railroads**

more important roads |other roads

without shield| with shield |without shield |with shield


#### **14. Distance to sacral structures, monuments of culture or protected natural resources**


#### **15. Seismic Activity**


### **16. Existing site infrastructure**


526 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

a. 100 - 200 m, downstream of the landfill or approximately on landfill level b. up to 500 m, downstream of the landfill or on the same level as the landfill

d. downstream of the landfill at the distance up to 200 m, downstream of the landfill at the

e. downstream of the landfill at the distance of more than 200 m, downstream of the

a. Highly disturbed and completely changed natural ambience during landfill exploitation

b. Highly disturbed natural ambience during landfill exploitation, and partly after the

c. Natural ambience disturbed during landfill exploitation, and to a less extent after its

d. Natural ambience slightly disturbed during landfill exploitation, and undisturbed after

e. Ambience not disturbed either during landfill exploitation or after its closure.

**14. Distance to sacral structures, monuments of culture or protected natural resources** 

c. 500 to 1000 m, downstream or on the same level as the landfill

**11. Distance from individual water supply (wells)** 

landfill at the distance of more than 1.5 km.

**13. Linear distance from roads and railroads** 

b. 1.25 -1.50 km, or 0.75 - 1,0 km with shield; c. 1.5 – 2.0 km, or 1.0 - 1.25 km with shield; d. 2 – 2.5 km, or 1.25 – 1.5 km with shield;

e. more than 2.5 km, or more than 1.5 km with shield

without shield| with shield |without shield |with shield

a. Distance 1.0 – 1.25 km, or 0.5 – 0.75 km where there is a shield

more important roads |other roads

a. 500 m|300 m|300 m|200 m b. 600 m|400 m|400 m|250 m c. 800 m|500 m|500 m|300 m d. 1000 m|600 m|600 m|400 m e. 1000 m|600 m|600 m|400 m

**15. Seismic Activity** 

a. 9-8 MCS b. 7 MCS c. 6 MCS d. 5 MCS e. 5 MCS

distance of 1-1.5km;

**12. Landscape characteristics** 

and after its closure

landfill closure

closure

its closure


#### **17. Distance from surface watercourses**


#### **18. Terrain preparation**


#### **19. Earth for covering the disposed waste – distance from the borrow site**


#### **20. Position of the site in the Region**


#### **21. Ownership of land**


c. About 75 % of land under private ownership, about 25 % of land under state ownership

Methodology for the Regional Landfill Site Selection 529

**27. Access road – reconstruction, or construction of a new road** 

e. There is an access road of satisfactory characteristics

water supply via a connection longer than 3km

water supply via a connection up to 3 km long

local water supply via connection up to 1 km long

local water supply via connection up to 500 m long

**32. Possibility of construction in phases and extension**  a. No possibility of construction in phases or of extension

c. Possibility of construction in phases, but not ofextension

b. Limited possibility of construction in phases, but not of extension

e. From the public water supply system via connection up to 500 m long

**28. Providing electricity supply via the distribution network at the distance of:** 

a. From the public water supply system via connection longer than 4 km, or from a local

b. From the public water supply system via connection 2 to 4 km long, or from a local

c. From the public water supply system via connection from 1 to 2 km long, or from a

d. From the public water supply system via connection from 0.5 to 1 km long, or from a

**31. Distance from the main transmission line, gas pipeline, crude oil pipeline, drinking** 

New roadRoad reconstruction

**29. Water supply in the locality** 

**30. Distance to agricultural land** 

**water pipeline** 

a. up to 100 m b. 100 - 200 m c. 200 - 300 m d. 300 - 500 m e. 500 m

a. 100 m b. 100 - 300 m c. 300 - 500 m d. 500 - 1000 m e. 1000 m

a. 1000 m,>1500 m b. 500-1000 m800 – 1500 m c. 200-500 m300 – 800 m d. <200 m< 300 m

a. > 2 km b. 1 - 2 km c. 0. 5 - 1 km d. 300 - 500 m e. < 300 m


#### **22. Precipitations**


#### **23. Air temperature**


#### **24. Air flow**


#### **25. Distance to individual houses outside settlements**


#### **26. Site shelterness**


#### **27. Access road – reconstruction, or construction of a new road**

New roadRoad reconstruction


#### **28. Providing electricity supply via the distribution network at the distance of:**

a. > 2 km

528 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

private ownership

**22. Precipitations**  a. 1500 mm

b. 1000 to 1500 mm c. 600 to 1000 mm d. 300 to 600 mm e. < 300 mm

**23. Air temperature** 

a. 6 C b. 6-9 C c. 9-12 C d. 2-15 C e. 15 C

**24. Air flow** 

facilities

a. 250 m b. 500 m c. 1000 m d. 1500 m e. 500 m

**26. Site shelterness** 

towards the settlements

where people stay and work

a. Visible from all distances and all angles b. Locality sheltered to a smaller extent c. Locality sheltered to a greater extent

e. 100 % of land under state ownership

c. About 75 % of land under private ownership, about 25 % of land under state ownership d. About 50 % of land under private ownership and about the same amount of land under

a. Very frequent high intensity winds, with prevailing wind direction towards settlements

b. Less frequent lower intensity winds with prevailing wind direction towards relevant

d. Dominant winds blowing in the opposite direction, from settlements and other places where people stay and work, as well as low intensity winds blowing in direction

e. Most of the winds blowing in opposite direction, from settlements and other places

and other localities where people stay and work

**25. Distance to individual houses outside settlements** 

d. The glimpse of the locality can be caught in the great distance e. Not at all visible, except when you come in the locality itself

c. Prevailing winds of changeable direction towards relevant facilities


## **29. Water supply in the locality**


#### **30. Distance to agricultural land**


#### **32. Possibility of construction in phases and extension**


Criteria are presented under the principle of exclusion criteria. More precisely, no detailed guidelines for evaluation have been given for criteria save for exclusion criteria which define requirements which a potential site MUST meet in locating the municipal solid waste landfill site.

Methodology for the Regional Landfill Site Selection 531

**PC 3** 12 15 15

Criteria **PC Kalenić Bogdanovica Carić**

**1.** Hydrogeological characteristics **PC 3** 12 9 9 **2.** Groundwater **PC 3** 15 6 12

**4.** Geological-tectonic characteristics **PC 3** 12 9 9

development or residential zones of urban settlements **PC 3** 12 3 12 **6.** Relief characteristics of the terrain **PC 3** 15 15 12 **7.** Available space for waste disposal and ancillary facilities **PC 3** 15 3 6 **8.** Site acceptability **PC 3** 15 6 6 **9.** Engineering-geological characteristics **PC 2** 3 3 3 **10.** Current land use **PC 2** 7.5 7.5 1.5 **11.** Distance from individual water supply (wells) **PC 2** 7.5 7.5 7.5 **12.** Landscape characteristics **PC 2** 7.5 4.5 1.5 **13.** Linear distance from roads and railroads **PC 2** 7.5 1.5 7.5

protected natural resources **PC 2** 7.5 7.5 7.5 **15.** Seismic Activity MCS **PC 2** 3 3 3 **16.** Existing site infrastructure **PC 2** 7.5 3 1.5 **17.** Distance from surface watercourses **PC 2** 6 1.5 7.5 **18.** Terrain preparation **PC 2** 4.5 4.5 4.5

distance from the borrow site **PC 2** 7.5 3 1.5 **20.** Position of location in the Region **PC 2** 7.5 6 3 **21.** Ownership of land **PC 1** 5 4 1 **22.** Precipitation **PC 1** 3 3 3 **23.** Air temperature **PC 1** 2 2 2 **24.** Air flow **PC 1** 4 4 3 **25.** Distance to individual houses outside the settlement **PC 1** 3 2 1 **26.** Location shelterness **PC 1** 5 3 4 **27.** Access road - reconstruction or construction of new road **PC 1** 3 3 1

network at the distance of **PC 1** 3 3 2 **29.** Water supply in the locality **PC 1** 4 3 1 **30.** Distance to agricultural land **PC 1** 5 4 1

oil pipeline, drinking water pipeline **PC 1** 5 2 5 **32. Possibility of construction in phases and extension PC 1** 5 3 2

Had the final results of evaluation for all candidate locations been equal, the ''additional'' evaluation process would have been carried out in a manner as described in the text that follows. Namely, chosen criteria for additional evaluation would be classified into three

**Total sum of criteria scores 231.5 154.5 154** 

**3.** Distance from the boundaries of zones of sanitary

**5.** Distance from the nearest settlements with concentrated

**14.** Distance to sacral structures, monuments of culture or

**19.** Earth for covering the disposed waste –

**28.** Providing electricity supply via the distribution

basic groups (Table 3).

**31.** Distance from main transmission line, gas pipeline, crude

**Table 2.** Evaluation of potential site by chosen criteria, see [2].

protection of water supply sources

## **4.4. Implementation of multicriteria evaluation method in landfill site selection**

Potential micro-location for regional landfill in the Kolubara Region has been determined through multicriteria analysis and evaluation. Chosen criteria have been evaluated by assigning scores from 1 to 5 for each candidate site.

At the same time, depending on their importance in evaluating the locality quality, criteria have been classified into 3 pondering categories (PC). Each weight category has its specific value – weight, which is multiplied by the score of corresponding criteria. In this way, a final score is obtained for each criterion. Values by pondering categories are:


The relation between pondering categories (PC) is: Ki+1 = Ki/1.5


**Table 1.** Grouping the criteria by pondering categories (PC)

Table 2 indicates that after assigning a score to each criterion, the Kalenić location has been singled out as the most suitable one. The other two locations (Bogdanovica and Carić) have been assigned much poorer scores compared to the Kalenić location. However, in cases when the difference in ranks between candidate locations is extremely small at the end of evaluation process, it is difficult to make a final decision on which site is the most suitable. In this case, it necessary to carry out an additional evaluation which implies the evaluation of candidate sites by different scenarios. The chosen site selection criteria are then grouped into basic groups, while in the ''additional'' valuation process, the criteria from one of the basic groups are favored in each scenario, see [6].

There are so many scenarios as groups, plus one for the scenario according to which each basic criteria group is evaluated equally (for the last scenario, the data taken from basic evaluation or criteria are multiplied by weight value). In this way, decision makers are given opportunity to choose the option based on their policy, and thus select the most suitable site.

In regional landfill site selection for Kolubara Region, no ''additional'' evaluation has been required due to evident advantages of location Kalenić.


**Table 2.** Evaluation of potential site by chosen criteria, see [2].

530 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Criteria are presented under the principle of exclusion criteria. More precisely, no detailed guidelines for evaluation have been given for criteria save for exclusion criteria which define requirements which a potential site MUST meet in locating the municipal solid waste

**4.4. Implementation of multicriteria evaluation method in landfill site selection** 

Potential micro-location for regional landfill in the Kolubara Region has been determined through multicriteria analysis and evaluation. Chosen criteria have been evaluated by

At the same time, depending on their importance in evaluating the locality quality, criteria have been classified into 3 pondering categories (PC). Each weight category has its specific value – weight, which is multiplied by the score of corresponding criteria. In this way, a

> **PC 3 PC 2 PC 1 Landfill site selection criteria 1 - 8 9 - 20 21 - 32**

Table 2 indicates that after assigning a score to each criterion, the Kalenić location has been singled out as the most suitable one. The other two locations (Bogdanovica and Carić) have been assigned much poorer scores compared to the Kalenić location. However, in cases when the difference in ranks between candidate locations is extremely small at the end of evaluation process, it is difficult to make a final decision on which site is the most suitable. In this case, it necessary to carry out an additional evaluation which implies the evaluation of candidate sites by different scenarios. The chosen site selection criteria are then grouped into basic groups, while in the ''additional'' valuation process, the criteria from one of the

There are so many scenarios as groups, plus one for the scenario according to which each basic criteria group is evaluated equally (for the last scenario, the data taken from basic evaluation or criteria are multiplied by weight value). In this way, decision makers are given opportunity to choose the option based on their policy, and thus select the most suitable site. In regional landfill site selection for Kolubara Region, no ''additional'' evaluation has been

final score is obtained for each criterion. Values by pondering categories are:

The relation between pondering categories (PC) is: Ki+1 = Ki/1.5

**Table 1.** Grouping the criteria by pondering categories (PC)

basic groups are favored in each scenario, see [6].

required due to evident advantages of location Kalenić.

d. Possibility of construction in phases and of limited extension e. Possibility of construction in phases and of unlimited extension

assigning scores from 1 to 5 for each candidate site.

landfill site.

 PC1 = 1 PC2 = 1.5 PC3 = 3

> Had the final results of evaluation for all candidate locations been equal, the ''additional'' evaluation process would have been carried out in a manner as described in the text that follows. Namely, chosen criteria for additional evaluation would be classified into three basic groups (Table 3).


Methodology for the Regional Landfill Site Selection 533

**4.5. Multicriteria analysis and evaluation using GIS tools** 

**Figure 2.** Analsys of land use structure based on CORINE information system [11].

Figure 2. depicts the structure of land use in Kolubara Region based on the CORINE (Coordination of Information on the Environment). The CORINE program is the European information base as support to the sustainable development policy of the European Union. The database contains data on: urban areas, crop yield, meadows, forests and natural vegetation, waters,. as well as other dynamic processes in the environment. All mentioned

shown in the synthesis map (Figure 2).

In selecting the landfill site in the Kolubara Region for municipal solid waste management, the GIS tools have been implemented in singling out areas to be eliminated. The areas to be eliminated have been singled out based on defined exclusion criteria. Each of exclusion criteria has been presented graphically (cartographic presentation), and corresponding areas have been identified using GIS technology. Through overlapping maps of each exclusion criteria, negative areas have been singled out that should not be further analyzed in the landfill site selection process for the municipal solid waste management. Negative areas are

**Table 3.** Classification of chosen criteria into basic criteria groups

The scores of each criteria obtained in the basic evaluation process would then be multiplied by weight values for criteria groups according to different scenarios (Table 3). Weight values would actually be the percentage values whose sum is 100%.

Scores of each criteria from the basic evaluation process would be then multiplied by weight values for criteria groups according to different scenarios (Table 4).

Weight values would actually be the percentage values whose sum is 100%.


**Table 4.** Criteria weight values according to different scenarios

After multiplying the criteria values from basic evaluation by weight criteria according to different scenarios and their sum for each candidate site, the ranking of candidate sites according to different scenarios would be obtained (Table 5).


**Table 5.** Ranking of candidate sites according to different scenarios

Through multicriteria evaluation according to different scenarios, several options and different arguments for the selection of the most suitable site are made available to decision makers. Implementation of different scenarios is based of the PROMETHEE method.

In this case, it has been shown that the location Kalenić has the best values in all four scenarios, while it is evident that the remaining two locations differ depending on scenario. The location Carić is better valued for the scenario 2, while location Bogdanovica is better valued in other three scenarios.

## **4.5. Multicriteria analysis and evaluation using GIS tools**

532 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**1, 2, 3, 4, 6, 9, 10, 12, 15, 22, 23, 24, 26** 

 **Scenario** 

Candidate site

valued in other three scenarios.

**ECOLOGICAL SPATIAL SOCIO-ECONOMIC Landfill site selection criteria**

The scores of each criteria obtained in the basic evaluation process would then be multiplied by weight values for criteria groups according to different scenarios (Table 3). Weight values

Scores of each criteria from the basic evaluation process would be then multiplied by weight

**Basic criteria group SC 1 SC 2 SC 3 SC 4 EKOLOGICAL 0.50** 0.25 0.25 **0.33 SPATIAL** 0.25 **0.50** 0.25 **0.33 SOCIO-ECONOMIC** 0.25 0.25 **0.50 0.33** 

After multiplying the criteria values from basic evaluation by weight criteria according to different scenarios and their sum for each candidate site, the ranking of candidate sites

**Scenario SC 1 SC 2 SC 3 SC 4** 

(63.12) Carić (53.25) Bogdanovica

Through multicriteria evaluation according to different scenarios, several options and different arguments for the selection of the most suitable site are made available to decision

In this case, it has been shown that the location Kalenić has the best values in all four scenarios, while it is evident that the remaining two locations differ depending on scenario. The location Carić is better valued for the scenario 2, while location Bogdanovica is better

makers. Implementation of different scenarios is based of the PROMETHEE method.

Site ranks

Kalenić (83.12) Kalenić (77.50) Kalenić (73.32) Kalenić (76.23)

(47.40)

(48.87) Carić (45.07) Carić (50.82)

Bogdanovica (50.98)

**19, 20, 25, 30, 31 8, 16, 18, 21, 27, 28, 29, 32** 

**5, 7, 11, 13, 14, 17,**

**Table 3.** Classification of chosen criteria into basic criteria groups

would actually be the percentage values whose sum is 100%.

**Table 4.** Criteria weight values according to different scenarios

according to different scenarios would be obtained (Table 5).

Carić (58.62) Bogdanovica

**Table 5.** Ranking of candidate sites according to different scenarios

Bogdanovica

values for criteria groups according to different scenarios (Table 4).

Weight values would actually be the percentage values whose sum is 100%.

In selecting the landfill site in the Kolubara Region for municipal solid waste management, the GIS tools have been implemented in singling out areas to be eliminated. The areas to be eliminated have been singled out based on defined exclusion criteria. Each of exclusion criteria has been presented graphically (cartographic presentation), and corresponding areas have been identified using GIS technology. Through overlapping maps of each exclusion criteria, negative areas have been singled out that should not be further analyzed in the landfill site selection process for the municipal solid waste management. Negative areas are shown in the synthesis map (Figure 2).

**Figure 2.** Analsys of land use structure based on CORINE information system [11].

Figure 2. depicts the structure of land use in Kolubara Region based on the CORINE (Coordination of Information on the Environment). The CORINE program is the European information base as support to the sustainable development policy of the European Union. The database contains data on: urban areas, crop yield, meadows, forests and natural vegetation, waters,. as well as other dynamic processes in the environment. All mentioned

data are cartographically presented, which enables a more simple analysis of the subject area. The CORINE program was initiated in 1985. At the beginning, the program was developed and tested on 10 regions of the European Union by demonstrating the feasibility of the approach. Satellite photographs on which the CORINE database is based have been geometrically and radiometrically supplemented and with abundance of data which are in the CORINE Land Cover organized hierarchically in three levels classified in 44 classes (correspondingly presented spatial features and data). After showing positive results, in 1994 the European Environment Agency based in Copenhagen undertook the maintenance and use of the CORINE Land Cover database. Since then, the CORINE Land Cover (CLC) has been affirmed which is reflected in the fact that an increasing number of European countries are involved in the CLC project which has provided them with an opportunity to more efficiently pursue their environmental protection and sustainable development policies, as well as to carry out analyses for various needs and development strategies. Today, 64 European countries are involved in the CORINE Land Cover 2000 Project, with clearly defined and synchronized methodology for collection, processing, as well as presentation of data, in the function of the elaboration of environmental management plans [12].

Methodology for the Regional Landfill Site Selection 535

**Figure 3.** Suitability/elimination map

analysis and multicriteria evaluation.

Once the consultations with relevant entities have been carried out, as well as preliminary analysis of areas that have not been eliminated in the first phase of the landfill site selection process, three sites have been singled which have been included in the process of detailed

The use of GIS information base in this phase of landfill site selection has considerably accelerated the process of evaluation according to 32 given criteria. Once the location Kalenić has been assessed as the most suitable one and singled out as the most acceptable one, the landfill site selection process has been completed. However, this is not where the use of GIS tools ends. Their role is also in implementation of a uniform information system for waste management which consolidates data on landfills, transfer stations, waste generation, waste flows, as well as other data important for an efficient waste management.

In the elaboration of the ''Study on the Selection of Micro-Location for the Regional Municipal Waste Landfill with Recycling Center for the Kolubara Region'', the CORINE information base has not been available for Serbia, thereby for the Kolubara Region either. However, once the information on the environment from the CORINE program have become available for users in Serbia, all results from the elimination phase of landfill site selection contained in the Study have been checked and, what is even more important, confirmed. By using the CORINE program in accordance with the defined eliminating criteria for Kolubara Region, the selection of "negative" areas has been much easier and faster. The CORINE Information base to a great extent meets the needs of elimination phase in landfill site selection, thus this phase should be used as much as possible.

On the synthesis map (Figure 3), which is a final phase in the process of elimination of "negative" areas, the areas which do not satisfy basic conditions relative to the established exclusion criteria are denoted by red color. These are mainly corridors along watercourses, first category roads, distances to settlements, areas at over 300 meters above sea level, water supply sources, etc. Thus, it is the matter of exclusion criteria represented by minimum required distance of the future landfill site relative to them [13].

In the elimination phase, it is also possible to use some other criteria such as, for example, central position of a landfill relative to the Region. This means that, because of the costeffectiveness of the waste management system, i.e. transportation costs, it is necessary to position a landfill within the radius of 20 or 30 km relative to the central point of the Region. However, in such case, a great number of areas that merit further analysis by their characteristics can be excluded, while the problem of central positioning of a landfill can be overcome through a good organization of transfer station network in the Region. In this context, it is important to emphasize that it is not necessary to introduce a great number of exclusion criteria, but to limit the choice of exclusion criteria to the most relevant ones, as shown on the example of the Kolubara Region.

**Figure 3.** Suitability/elimination map

function of the elaboration of environmental management plans [12].

in landfill site selection, thus this phase should be used as much as possible.

required distance of the future landfill site relative to them [13].

shown on the example of the Kolubara Region.

data are cartographically presented, which enables a more simple analysis of the subject area. The CORINE program was initiated in 1985. At the beginning, the program was developed and tested on 10 regions of the European Union by demonstrating the feasibility of the approach. Satellite photographs on which the CORINE database is based have been geometrically and radiometrically supplemented and with abundance of data which are in the CORINE Land Cover organized hierarchically in three levels classified in 44 classes (correspondingly presented spatial features and data). After showing positive results, in 1994 the European Environment Agency based in Copenhagen undertook the maintenance and use of the CORINE Land Cover database. Since then, the CORINE Land Cover (CLC) has been affirmed which is reflected in the fact that an increasing number of European countries are involved in the CLC project which has provided them with an opportunity to more efficiently pursue their environmental protection and sustainable development policies, as well as to carry out analyses for various needs and development strategies. Today, 64 European countries are involved in the CORINE Land Cover 2000 Project, with clearly defined and synchronized methodology for collection, processing, as well as presentation of data, in the

In the elaboration of the ''Study on the Selection of Micro-Location for the Regional Municipal Waste Landfill with Recycling Center for the Kolubara Region'', the CORINE information base has not been available for Serbia, thereby for the Kolubara Region either. However, once the information on the environment from the CORINE program have become available for users in Serbia, all results from the elimination phase of landfill site selection contained in the Study have been checked and, what is even more important, confirmed. By using the CORINE program in accordance with the defined eliminating criteria for Kolubara Region, the selection of "negative" areas has been much easier and faster. The CORINE Information base to a great extent meets the needs of elimination phase

On the synthesis map (Figure 3), which is a final phase in the process of elimination of "negative" areas, the areas which do not satisfy basic conditions relative to the established exclusion criteria are denoted by red color. These are mainly corridors along watercourses, first category roads, distances to settlements, areas at over 300 meters above sea level, water supply sources, etc. Thus, it is the matter of exclusion criteria represented by minimum

In the elimination phase, it is also possible to use some other criteria such as, for example, central position of a landfill relative to the Region. This means that, because of the costeffectiveness of the waste management system, i.e. transportation costs, it is necessary to position a landfill within the radius of 20 or 30 km relative to the central point of the Region. However, in such case, a great number of areas that merit further analysis by their characteristics can be excluded, while the problem of central positioning of a landfill can be overcome through a good organization of transfer station network in the Region. In this context, it is important to emphasize that it is not necessary to introduce a great number of exclusion criteria, but to limit the choice of exclusion criteria to the most relevant ones, as Once the consultations with relevant entities have been carried out, as well as preliminary analysis of areas that have not been eliminated in the first phase of the landfill site selection process, three sites have been singled which have been included in the process of detailed analysis and multicriteria evaluation.

The use of GIS information base in this phase of landfill site selection has considerably accelerated the process of evaluation according to 32 given criteria. Once the location Kalenić has been assessed as the most suitable one and singled out as the most acceptable one, the landfill site selection process has been completed. However, this is not where the use of GIS tools ends. Their role is also in implementation of a uniform information system for waste management which consolidates data on landfills, transfer stations, waste generation, waste flows, as well as other data important for an efficient waste management. In this sense, GIS tools represent an information support in the functioning of the waste management system.

Methodology for the Regional Landfill Site Selection 537

management, monitoring, waste data updating, as well as the best basis for planning waste

This work has resulted from research within the scientific project: "Sustainable spatial development of Danube area in Serbia " (TR 036036), which was financed within the program Technological development by the Ministry of Education and Science of the

[1] Ilić M (2005) Waste Management in the Focus of Controversial Interests. In: Lechner P,

[2] Boško Josimović, Marina Ilić, Dejan Filipović (2009) Planning of Municipal Waste Management. Belgrade: Institute of Architecture and Urban & Spatial Planning of

[4] Boško Josimović (2003) Implementation of Environmental Management System in spatial

[5] UK Department for the Environment (1995) Landfill Design, Construction and Operation

[6] Josimović B, Marić I, Manić B (2011) Methodological approach to the determination of landfill location for municipal solid waste - Case study: Regional landfill in Kolubara

[7] Catalano A, Zhang M, Rice J (2006) The Use of GIS to Manage, Analyze, and Visualize Data Collected During an Investigation of a Proposed Landfill. Available:

[10] Brans J.P, Vincke Ph (1985) Preference Ranking Organisation Method for Enrichment Evaluations – The Promitee Method for Multiple Criteria Decision Making.

[11] Josimović B, Crnčević T (2010) Implementation of Strategic Environmental Assessment in Serbia with special reference to the Regional Plan of Waste Management. In: Santosh

Kumar Sarkar, editor. Environmental Management. Rijeka: SCIYO. pp. 95-113.

[8] Margeta J, Prskalo G (2007) Sanitary Landfill Site Selection, Građevinar. 58. No. 12. [9] Higgs G (2006) Integrating multi-criteria techniques with geographical information systems in waste facility location to enhance public participation. Waste Management &

*Institute of Architecture and Urban & Spatial Planning of Serbia, Serbia* 

editor. Waste Management. Vienna: Boku University. Pp. 95-96.

[3] Waste Management Strategy of the Republic of Serbia 2010-2019.

region. Architecture and Urbanism. 32: 55-64.

http://gis.esri.com/library/userconf/proc98/.

planning – master's thesis. Belgrade: Faculty of Geography. 146 p.

management strategy at regional level.

Boško Josimović and Igor Marić

Republic of Rerbia from 2011 to 2014.

**Acknowledgement** 

**6. References** 

Serbia. 157 p.

Practice.

Research: pp 105-117.

Management Science. 31: 647-656.

**Author details** 

## **5. Conclusions**

Landfill site selection is the most sensitive task placed before the participants in the process of planning spatial organization of a waste management system, particularly in countries in which there is insufficient awareness and lack of information in the population, and, consequently, there is a resistance to plans to locate a landfill in their area, known as NIMBY (not in my backyard) syndrome. Out of these reasons, this problem is overcome through defining the elimination and basic criteria for landfill site selection based on which an multicriteria evaluation is carried out, along with mandatory inclusion of all relevant stakeholders in the process of selecting the most suitable landfill site. In the present paper, such exclusion criteria have been chosen that are appropriate to the specific space which has been the subject of our investigation, as well as according to available spatial data. In this context, the paper emphases the fact that the choice of exclusion criteria is conditioned by a specific physical properties of space. After the phase of elimination of ''negative'' areas, a multicriteria analysis of sites that have been nominated based on a set of basic criteria has been carried out. Altogether 32 criteria have been defined that are based on efficient functioning of a landfill, as well as on efficient environmental protection at specific landfill site and its surroundings. A multicriteria evaluation model has been offered and value scale for evaluation of each criteria defined. The multicriteria evaluation model has been also used for different scenarios. In this context, basic criteria for landfill site selection have been grouped into several basic groups, while in the evaluation process for each criteria only one of the basic groups has been evaluated. Such approach enables decision makers to choose the most suitable option and to make best decision according to their policy.

Comprehensive consideration of the problem associated with landfill site selection for physical elements of waste management system implies the use of GIS tools, thus providing a more sophisticated process of spatial analysis and searching for better options, as well as accelerating and visually enriching the process. Advantage of using GIS tools is in that it enables faster singling out and clearer presentation of suitable and unsuitable landfill sites based of previously given criteria. The paper shows the example of advantages and disadvantages, as well as possibilities of implementing GIG in regional landfill site selection for municipal solid waste management in the Kolubara Region. The GIS applications are particularly suitable for elimination phase where, based on the given exclusion criteria and spatial data, the ''negative'' areas within which potential landfill sites are not be searched are very quickly and easily eliminated. The entire process is presented cartographically. The possibility of implementing the CORINE Program – a uniform European information base on the environment and space usage, which is particularly suitable for elimination phase in landfill site selection as it provides abundance of geospatial data, has been highlighted. Furthermore, the possibility of efficient waste management using database in the GIS is highlighted. The system supported by such data enables quality and fast waste management, monitoring, waste data updating, as well as the best basis for planning waste management strategy at regional level.

## **Author details**

536 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

option and to make best decision according to their policy.

management system.

**5. Conclusions** 

In this sense, GIS tools represent an information support in the functioning of the waste

Landfill site selection is the most sensitive task placed before the participants in the process of planning spatial organization of a waste management system, particularly in countries in which there is insufficient awareness and lack of information in the population, and, consequently, there is a resistance to plans to locate a landfill in their area, known as NIMBY (not in my backyard) syndrome. Out of these reasons, this problem is overcome through defining the elimination and basic criteria for landfill site selection based on which an multicriteria evaluation is carried out, along with mandatory inclusion of all relevant stakeholders in the process of selecting the most suitable landfill site. In the present paper, such exclusion criteria have been chosen that are appropriate to the specific space which has been the subject of our investigation, as well as according to available spatial data. In this context, the paper emphases the fact that the choice of exclusion criteria is conditioned by a specific physical properties of space. After the phase of elimination of ''negative'' areas, a multicriteria analysis of sites that have been nominated based on a set of basic criteria has been carried out. Altogether 32 criteria have been defined that are based on efficient functioning of a landfill, as well as on efficient environmental protection at specific landfill site and its surroundings. A multicriteria evaluation model has been offered and value scale for evaluation of each criteria defined. The multicriteria evaluation model has been also used for different scenarios. In this context, basic criteria for landfill site selection have been grouped into several basic groups, while in the evaluation process for each criteria only one of the basic groups has been evaluated. Such approach enables decision makers to choose the most suitable

Comprehensive consideration of the problem associated with landfill site selection for physical elements of waste management system implies the use of GIS tools, thus providing a more sophisticated process of spatial analysis and searching for better options, as well as accelerating and visually enriching the process. Advantage of using GIS tools is in that it enables faster singling out and clearer presentation of suitable and unsuitable landfill sites based of previously given criteria. The paper shows the example of advantages and disadvantages, as well as possibilities of implementing GIG in regional landfill site selection for municipal solid waste management in the Kolubara Region. The GIS applications are particularly suitable for elimination phase where, based on the given exclusion criteria and spatial data, the ''negative'' areas within which potential landfill sites are not be searched are very quickly and easily eliminated. The entire process is presented cartographically. The possibility of implementing the CORINE Program – a uniform European information base on the environment and space usage, which is particularly suitable for elimination phase in landfill site selection as it provides abundance of geospatial data, has been highlighted. Furthermore, the possibility of efficient waste management using database in the GIS is highlighted. The system supported by such data enables quality and fast waste Boško Josimović and Igor Marić *Institute of Architecture and Urban & Spatial Planning of Serbia, Serbia* 

## **Acknowledgement**

This work has resulted from research within the scientific project: "Sustainable spatial development of Danube area in Serbia " (TR 036036), which was financed within the program Technological development by the Ministry of Education and Science of the Republic of Rerbia from 2011 to 2014.

## **6. References**

	- [12] CORINE Land Cover 2000, http://terrestrial.eionet.europa.eu/CLC2000.
	- [13] Josimović B, Krunić N (2008) Implementation of GIS in the selection of locations for regional landfill in the Kolubara Region. SPATIUM. 17: 72-77.

**Chapter 23** 

© 2012 Kangalawe et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Kangalawe et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**Land Degradation, Community** 

Additional information is available at the end of the chapter

severely degraded than the semiarid south and south-west.

historical changes in climatic conditions [9, 10, 11, 12].

Richard Y.M. Kangalawe

http://dx.doi.org/10.5772/45897

**1. Introduction** 

**Perceptions and Environmental Management** 

**Implications in the Drylands of Central Tanzania** 

Land degradation particularly through soil erosion is an important concern in many parts of the world including semiarid areas of central Tanzania. One of the issues that have gained importance is the concern on implications of local perceptions in resource management. The Irangi Hills (Figure 1) are severely affected by soil degradation; hence they provide a vivid example for studying environmental degradation, local perceptions, and land-management strategies that the local population use to cope with the degradation problems [1]. The Irangi Hills have been influenced by various land management interventions, for example, the implementation of various soil-conservation measures that have contributed to considerable changes in the spatial and temporal land-use patterns during the 20th century, and particularly over the last four decades. The Irangi Hills, located in Kondoa District in semiarid, central Tanzania (Figure 1), constitute about 10% (c. 1256 km2) of the District area that has been particularly affected by sheet and gully soil erosion [2, 3 ,4, 5, 6,7]. In many places soil erosion has reduced the agricultural potential of the land by the physical removal of topsoil, sand deposition on lower slopes and valley floors, and gullying and incipient badlands development [7]. The sub-humid, north-eastern parts of the Irangi Hills are more

A combination of factors makes soil erosion a particularly serious problem in these semiarid areas of Tanzania. The problem has often been associated with local mismanagement of the land resources through among others, overgrazing, over-cultivation, burning of grasslands and woodlands, resulting in over-exploitation and consequent soil erosion [8]. However, it has been shown in recent studies in the Irangi Hills that the problems and causes may be more complex than was earlier presumed, including factors such as tectonic activities and

## **Land Degradation, Community Perceptions and Environmental Management Implications in the Drylands of Central Tanzania**

Richard Y.M. Kangalawe

538 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

[13] Josimović B, Krunić N (2008) Implementation of GIS in the selection of locations for

[12] CORINE Land Cover 2000, http://terrestrial.eionet.europa.eu/CLC2000.

regional landfill in the Kolubara Region. SPATIUM. 17: 72-77.

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45897

## **1. Introduction**

Land degradation particularly through soil erosion is an important concern in many parts of the world including semiarid areas of central Tanzania. One of the issues that have gained importance is the concern on implications of local perceptions in resource management. The Irangi Hills (Figure 1) are severely affected by soil degradation; hence they provide a vivid example for studying environmental degradation, local perceptions, and land-management strategies that the local population use to cope with the degradation problems [1]. The Irangi Hills have been influenced by various land management interventions, for example, the implementation of various soil-conservation measures that have contributed to considerable changes in the spatial and temporal land-use patterns during the 20th century, and particularly over the last four decades. The Irangi Hills, located in Kondoa District in semiarid, central Tanzania (Figure 1), constitute about 10% (c. 1256 km2) of the District area that has been particularly affected by sheet and gully soil erosion [2, 3 ,4, 5, 6,7]. In many places soil erosion has reduced the agricultural potential of the land by the physical removal of topsoil, sand deposition on lower slopes and valley floors, and gullying and incipient badlands development [7]. The sub-humid, north-eastern parts of the Irangi Hills are more severely degraded than the semiarid south and south-west.

A combination of factors makes soil erosion a particularly serious problem in these semiarid areas of Tanzania. The problem has often been associated with local mismanagement of the land resources through among others, overgrazing, over-cultivation, burning of grasslands and woodlands, resulting in over-exploitation and consequent soil erosion [8]. However, it has been shown in recent studies in the Irangi Hills that the problems and causes may be more complex than was earlier presumed, including factors such as tectonic activities and historical changes in climatic conditions [9, 10, 11, 12].

© 2012 Kangalawe et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. © 2012 Kangalawe et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

In southern Africa, where many researchers are engaged in land management and conservation issues, many have included the aspect of perception and their influence on resource management by various groups of the society [13, 14, 15]. Local perceptions can be established by interviewing local people about how they viewed various resource conditions [16]. The importance of acknowledging the socio-economic environment of the various decision making groups involved is discussed in [17]. Also Dahlberg [18] accorded considerable importance on local views in the study of environmental change and degradation in Botswana. Understanding the local people's perceptions on environmental issues is thus a prerequisite in making successful and sustainable resource management strategies.

Land Degradation, Community Perceptions

and Environmental Management Implications in the Drylands of Central Tanzania 541

Local people's perceptions of environmental issues can be looked at from three perspectives. First, people will perceive land degradation on the basis of their socioeconomic interests. In this case, farmers will be more aware and concerned about environmental changes and damages that affect agricultural productivity such as soil erosion. Secondly, when these people understand that their physical environment is deteriorating they will attempt to control some of their activities leading to degradation [19], thereby be more willing to support land management programmes if they are aware that their actions are harmful to the environment [20]. Various social, economic, technological and ecological often exist, changing degrading practices especially where communities are aware of the negative impacts of current land management practices. Communities in the Irangi Hills have demonstrated their willingness to participate in conservation initiatives as indicated by their adoption of various conservation measures

The third perspective from attitude survey shows that a large majority of farmers are concerned about soil and/or land degradation as a general community problem, disregarding the fact that their own holdings are likely to be also at risk [21]. Under such circumstances then no actions may be taken although such people hold positive attitudes towards conservation. However, it is believed that when the landowners themselves have been involved in fact-finding on their own land they become instrumental in implementing planned courses of action [22]. Thus basing on the local people's perceptions of environmental resources and knowledge then it is possible to develop methods which can allow the people themselves to provide the solutions to their environmental problems [19, 22, 23]. Generally, planning for and implementation of effective soil and water conservation measures in a site require, among other things, a detailed understanding of the extent, risk

While sustainable management of resources leads to sustainable development, the deeprooted poverty leads to overdependence on natural resources for livelihood which in some instances has undermined the capacity of the communities to manage their resources sustainably. This problem is more critical in developing countries where rapid population growth leads to the invasion of marginal lands and unsustainable land use practices that in

This chapter is based on a study undertaken in the Irangi Hills to examine the farming community perceptions and awareness on environmental degradation. The main objective was to examine on methods used in the area to improve agricultural productivity and control soil degradation. The specific objectives were: to assess farmers' awareness on soil degradation and conservation, and to study the farming system and resource use in the area. It also examined the mechanisms that are taken by the local communities to address land resource management issues, including approaches used in soil conservation and how such approaches help to improve agricultural productivity and local livelihoods in general. It further examined the factors limiting effective community involvement in land/soil

and spatial distribution of the problem [24, 25], including local concerns.

turn encourage environmental degradation and perpetuate poverty.

reported later in the chapter.

conservation initiatives.

**Figure 1.** Map of the Irangi Hills showing the Kondoa Eroded Area and the surveyed villages of Mafai, Baura and Bolisa. The insert is a map of Tanzania showing the location of Kondoa.

Local people's perceptions of environmental issues can be looked at from three perspectives. First, people will perceive land degradation on the basis of their socioeconomic interests. In this case, farmers will be more aware and concerned about environmental changes and damages that affect agricultural productivity such as soil erosion. Secondly, when these people understand that their physical environment is deteriorating they will attempt to control some of their activities leading to degradation [19], thereby be more willing to support land management programmes if they are aware that their actions are harmful to the environment [20]. Various social, economic, technological and ecological often exist, changing degrading practices especially where communities are aware of the negative impacts of current land management practices. Communities in the Irangi Hills have demonstrated their willingness to participate in conservation initiatives as indicated by their adoption of various conservation measures reported later in the chapter.

540 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

strategies.

In southern Africa, where many researchers are engaged in land management and conservation issues, many have included the aspect of perception and their influence on resource management by various groups of the society [13, 14, 15]. Local perceptions can be established by interviewing local people about how they viewed various resource conditions [16]. The importance of acknowledging the socio-economic environment of the various decision making groups involved is discussed in [17]. Also Dahlberg [18] accorded considerable importance on local views in the study of environmental change and degradation in Botswana. Understanding the local people's perceptions on environmental issues is thus a prerequisite in making successful and sustainable resource management

**Figure 1.** Map of the Irangi Hills showing the Kondoa Eroded Area and the surveyed villages of Mafai,

Baura and Bolisa. The insert is a map of Tanzania showing the location of Kondoa.

The third perspective from attitude survey shows that a large majority of farmers are concerned about soil and/or land degradation as a general community problem, disregarding the fact that their own holdings are likely to be also at risk [21]. Under such circumstances then no actions may be taken although such people hold positive attitudes towards conservation. However, it is believed that when the landowners themselves have been involved in fact-finding on their own land they become instrumental in implementing planned courses of action [22]. Thus basing on the local people's perceptions of environmental resources and knowledge then it is possible to develop methods which can allow the people themselves to provide the solutions to their environmental problems [19, 22, 23]. Generally, planning for and implementation of effective soil and water conservation measures in a site require, among other things, a detailed understanding of the extent, risk and spatial distribution of the problem [24, 25], including local concerns.

While sustainable management of resources leads to sustainable development, the deeprooted poverty leads to overdependence on natural resources for livelihood which in some instances has undermined the capacity of the communities to manage their resources sustainably. This problem is more critical in developing countries where rapid population growth leads to the invasion of marginal lands and unsustainable land use practices that in turn encourage environmental degradation and perpetuate poverty.

This chapter is based on a study undertaken in the Irangi Hills to examine the farming community perceptions and awareness on environmental degradation. The main objective was to examine on methods used in the area to improve agricultural productivity and control soil degradation. The specific objectives were: to assess farmers' awareness on soil degradation and conservation, and to study the farming system and resource use in the area. It also examined the mechanisms that are taken by the local communities to address land resource management issues, including approaches used in soil conservation and how such approaches help to improve agricultural productivity and local livelihoods in general. It further examined the factors limiting effective community involvement in land/soil conservation initiatives.

## **2. The study area**

The Irangi Hills (Figure 1) are located in the severely eroded area of Kondoa District known as the Kondoa Eroded Area (KEA). Kondoa District is located in the northern part of Dodoma Region at latitudes 4º10' - 5º44' South and longitudes 34º54' - 36º28' East. The land area of the Kondoa District is approximately 13,210 km2, out of which the Kondoa Eroded Area covers 1256 km2. The Irangi Hills forms the largest part of KEA [5]. The altitude of the Irangi Hills ranges from 1200 to 2000m above sea level. The climate of Kondoa District is semiarid, characterised by an average annual rainfall of between 600 and 800 mm, with a long-term average of 640 mm per year [5]. However, in the more elevated parts of the Irangi Hills up to 900 mm of rain have been recorded [26]. The rainfall season is usually between November and April/May, with a dry spell in February. The period between May and October is usually dry. The rainfall pattern in this area is highly variable and most of the precipitation occurs in short duration storms. The district is characterised by high evapotranspiration rates that double the amount of precipitation [27].

Land Degradation, Community Perceptions

and Environmental Management Implications in the Drylands of Central Tanzania 543

*administrative measures* encompassed tree planting demonstration plots, organising grazing and farming techniques such that the land is protected as much as possible. These measures were complemented by evacuation of all domestic animals in 1979 [5]. Expulsion of livestock from the Irangi Hills in 1979 as part of soil conservation approaches instituted in the KEA resulted in ecological transformation from the heavily browsed shrubs and scattered trees to impressive regeneration of herbaceous, woodland and woody shrubs, as well as grassland vegetation cover. Economically, however, this agro-pastoral society was no longer able to depend on livestock as a form of capital, or as a security against the harsh

The Kondoa Eroded Area (KEA) covers twenty-eight villages. A list of these villages was made and three of them were selected at random, namely Mafai, Baura and Bolisa. The selected villages had 370, 350, and 750 households respectively. The selected villages are subdivided into sub-villages for administrative purposes. To allow for adequate representation, 10% of households from each sub-village was randomly selected for inclusion in the sample. A total sample of 147 households was selected for interviews. A random sampling procedure was employed in selecting the sample households from lists of household heads that were made for each of these villages. Sampling is a common practice in research. The random sample of 10% of the villages and households selected for this study is considered to be representative enough for statistical analysis [31]. Under certain circumstances, such as resource constraints, even a smaller sample of 5% is regarded as

Household interviews, using a standard questionnaire, were the major means used to collect both qualitative and quantitative information. The questionnaire survey was complemented by informal surveys that involved discussions with key informants, including village leaders, extension workers, district agricultural officials and HADO staff. These informal surveys were conducted in order to get some general overview on soil degradation, community perceptions and agricultural performance in general. These surveys also provided a means and direction in crosschecking the responses from formal interviews. The key informants were found in the respective villages and/or at district level. Information from key informant interviews was analysed by triangulation with all other sources. To determine the level of awareness of soil degradation three exploratory questions were asked. Firstly, whether the study community perceived land/soil degradation as a problem in their villages. Secondly, what criteria are used by this community to determine the quality of land/soil in general. Thirdly, whether they associated land/soil degradation with crop cultivation or livestock management systems of the area. These aspects are addressed

climatic conditions of the region.

**3.1. Sampling procedure** 

being representative enough [32].

in the following sections.

**3.2. Data collection and analysis** 

**3. Methodology** 

The majority of soils in the semiarid areas of central Tanzania originate from granitic, gneissic and schistic parent material. These soils are of low fertility, base-exchange capacity, bulk density and water-retention capacity [6]. These soils also have low organic matter content, a condition that makes them extremely erodible [7]. The Irangi Hills are severely affected by soil erosion. Studies on soil erosion in the area indicate rates of between 27 and 37t ha-1 yr-1 [28], in the sub-humid and semiarid parts of the hills respectively. The soils in Irangi Hills are generalised as coarse loamy to sandy loams in texture, being sandiest in the surface horizon. This implies the need for proper management in order to sustain agricultural productivity. Different strategies used by farmers in KEA, for instance, in coping with poor soil fertility have been described by Kangalawe [1, 29].

Soil conservation initiatives started in Kondoa district since the colonial administration in the 1930s. During the 1940s to 1950s soil conservation involved measures such as reduction of livestock numbers, ridge cultivation, contour bunding of uncultivated land, rotational grazing and gully erosion control [30]. Farmers were also required to plant sisal around farmlands to save the arable land from further destruction.

Soil conservation measures during that period were associated with colonial force, where some of the activities were assigned to people as punishment for disobedience of local rulers and tax aversion. They were thus considered as an interference with local traditions and became quite unpopular [4]. In 1973 the government of Tanzania started a state-run soil conservation project in Dodoma region, popularly known as HADO (Hifadhi Ardhi Dodoma). This was a deliberate attempt to come to grips with the menace of soil erosion and degradation in the region [5]. Three kinds of approaches were undertaken to enhance soil conservation, including mechanical, biological and administrative measures [4]. *Mechanical measures* involved barriers such as terraces and earth banks across the slopes that were built to slow down surface runoff. *Biological measures* involved earth binding with plantations of different kinds, such as grass strips across the slope, planting grass in sandy rivers and in gully bottoms, rotation of crops, and the spread of residue on the fields. The *administrative measures* encompassed tree planting demonstration plots, organising grazing and farming techniques such that the land is protected as much as possible. These measures were complemented by evacuation of all domestic animals in 1979 [5]. Expulsion of livestock from the Irangi Hills in 1979 as part of soil conservation approaches instituted in the KEA resulted in ecological transformation from the heavily browsed shrubs and scattered trees to impressive regeneration of herbaceous, woodland and woody shrubs, as well as grassland vegetation cover. Economically, however, this agro-pastoral society was no longer able to depend on livestock as a form of capital, or as a security against the harsh climatic conditions of the region.

## **3. Methodology**

542 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

evapotranspiration rates that double the amount of precipitation [27].

coping with poor soil fertility have been described by Kangalawe [1, 29].

farmlands to save the arable land from further destruction.

The Irangi Hills (Figure 1) are located in the severely eroded area of Kondoa District known as the Kondoa Eroded Area (KEA). Kondoa District is located in the northern part of Dodoma Region at latitudes 4º10' - 5º44' South and longitudes 34º54' - 36º28' East. The land area of the Kondoa District is approximately 13,210 km2, out of which the Kondoa Eroded Area covers 1256 km2. The Irangi Hills forms the largest part of KEA [5]. The altitude of the Irangi Hills ranges from 1200 to 2000m above sea level. The climate of Kondoa District is semiarid, characterised by an average annual rainfall of between 600 and 800 mm, with a long-term average of 640 mm per year [5]. However, in the more elevated parts of the Irangi Hills up to 900 mm of rain have been recorded [26]. The rainfall season is usually between November and April/May, with a dry spell in February. The period between May and October is usually dry. The rainfall pattern in this area is highly variable and most of the precipitation occurs in short duration storms. The district is characterised by high

The majority of soils in the semiarid areas of central Tanzania originate from granitic, gneissic and schistic parent material. These soils are of low fertility, base-exchange capacity, bulk density and water-retention capacity [6]. These soils also have low organic matter content, a condition that makes them extremely erodible [7]. The Irangi Hills are severely affected by soil erosion. Studies on soil erosion in the area indicate rates of between 27 and 37t ha-1 yr-1 [28], in the sub-humid and semiarid parts of the hills respectively. The soils in Irangi Hills are generalised as coarse loamy to sandy loams in texture, being sandiest in the surface horizon. This implies the need for proper management in order to sustain agricultural productivity. Different strategies used by farmers in KEA, for instance, in

Soil conservation initiatives started in Kondoa district since the colonial administration in the 1930s. During the 1940s to 1950s soil conservation involved measures such as reduction of livestock numbers, ridge cultivation, contour bunding of uncultivated land, rotational grazing and gully erosion control [30]. Farmers were also required to plant sisal around

Soil conservation measures during that period were associated with colonial force, where some of the activities were assigned to people as punishment for disobedience of local rulers and tax aversion. They were thus considered as an interference with local traditions and became quite unpopular [4]. In 1973 the government of Tanzania started a state-run soil conservation project in Dodoma region, popularly known as HADO (Hifadhi Ardhi Dodoma). This was a deliberate attempt to come to grips with the menace of soil erosion and degradation in the region [5]. Three kinds of approaches were undertaken to enhance soil conservation, including mechanical, biological and administrative measures [4]. *Mechanical measures* involved barriers such as terraces and earth banks across the slopes that were built to slow down surface runoff. *Biological measures* involved earth binding with plantations of different kinds, such as grass strips across the slope, planting grass in sandy rivers and in gully bottoms, rotation of crops, and the spread of residue on the fields. The

**2. The study area** 

## **3.1. Sampling procedure**

The Kondoa Eroded Area (KEA) covers twenty-eight villages. A list of these villages was made and three of them were selected at random, namely Mafai, Baura and Bolisa. The selected villages had 370, 350, and 750 households respectively. The selected villages are subdivided into sub-villages for administrative purposes. To allow for adequate representation, 10% of households from each sub-village was randomly selected for inclusion in the sample. A total sample of 147 households was selected for interviews. A random sampling procedure was employed in selecting the sample households from lists of household heads that were made for each of these villages. Sampling is a common practice in research. The random sample of 10% of the villages and households selected for this study is considered to be representative enough for statistical analysis [31]. Under certain circumstances, such as resource constraints, even a smaller sample of 5% is regarded as being representative enough [32].

## **3.2. Data collection and analysis**

Household interviews, using a standard questionnaire, were the major means used to collect both qualitative and quantitative information. The questionnaire survey was complemented by informal surveys that involved discussions with key informants, including village leaders, extension workers, district agricultural officials and HADO staff. These informal surveys were conducted in order to get some general overview on soil degradation, community perceptions and agricultural performance in general. These surveys also provided a means and direction in crosschecking the responses from formal interviews. The key informants were found in the respective villages and/or at district level. Information from key informant interviews was analysed by triangulation with all other sources. To determine the level of awareness of soil degradation three exploratory questions were asked. Firstly, whether the study community perceived land/soil degradation as a problem in their villages. Secondly, what criteria are used by this community to determine the quality of land/soil in general. Thirdly, whether they associated land/soil degradation with crop cultivation or livestock management systems of the area. These aspects are addressed in the following sections.

The surveys were complemented by field observations in farmers' fields. Field visits involved observations of various land degradation features, such as soil erosion and sedimentation, surface runoff, sandiness of soils, crop vigour, presence of indicator-plant species; and agricultural practices, including among others, types of crops grown, cropping patterns and on-farm soil conservation measures. Field observations also included sampling soils from selected transects for subsequent laboratory analysis of soil nutrients. Three farmer-led transect walks were undertaken with small groups of farmers in each village and soil samples were collected from representative sites of major soil groups as identified by farmers. Soil profile pits were dug to a depth of one meter and samples taken at 20 cm intervals [33]. A total of eighty samples were collected for analysis. Nutrient content of the soil was determined to provide an estimate of the inherent soil fertility status and for soil nutrient balance assessment. The data was analysed using statistical measures of central tendency (means), and frequency distribution (percentages) [34, 35]. The frequency distribution data was cross-tabulated into contingency tables.

Land Degradation, Community Perceptions

and Environmental Management Implications in the Drylands of Central Tanzania 545

**Figure 2.** Percent responses on community awareness of soil degradation problems.

enhancement [37].

loss of soil fertility [1, 38].

fertility is attributed to parent material factors. Soils in this area are reported to have formed from metamorphic and igneous rocks which are poor in plant nutrients. The dry climatic condition of the study area also limits high productivity of organic matter, resulting in poor surface cover and low incorporation into the soil as binding agent and for fertility

Declining soil fertility was perceived as the major indicator of soil degradation in the studied villages. A majority of the farmers (80%) attributed such decline to continuous cultivation without resting the fields, whereas 20% ascribed it to inadequate application of manure and/or fertilisers. One explanation to continuous cultivation was the increasing land shortage that has led to intensified crop cultivation and short or no fallow periods. Studies conducted in neighbouring villages and in other parts of the Irangi Hills also revealed that most farms are cultivated every season without fallow and are thus subjected to continuous

The general assessments of soil fertility in Kondoa District that soils in the area are of low fertility [1, 7, 39, 40]. Results from laboratory analyses for soil nutrients (Table 1) confirm the low levels of soil nutrients in all the three villages studied. These results also indicate that Mafai soils had more advantage in terms of nitrogen content than both Baura and Bolisa. These soils had about four times as much total nitrogen as Baura and Bolisa, whereas Baura had soils richer in available phosphorus than the other two villages. The variations in nutrient contents may be attributed to, among other factors, the severity of soil degradation that characterises the studied villages and different management practices of the farms. Many soil conservation structures like contour bunds and planted trees were also observed in Mafai compared to the other two villages. Soils in Mafia village are less eroded, hence have more nutrients in the sampled surface layer attributable to presence of higher organic matter content. A large part of the village is covered by a protected catchment forest and

generally less severely degraded compared to Baura and Bolisa.

## **4. Results and discussion**

## **4.1. Community' perceptions on land/soil degradation**

## *4.1.1. Local perceptions of soil degradation*

Response to the inquiry on whether the study community perceived soil degradation as a problem in their villages have shown that 58% of the respondents considered soil degradation as being a serious problem in their vicinities. This perceptions may be influenced by differences in socio-economic characteristics inherent among the local people. Socio-economic characteristics such as endowment of livelihood assets by households determine the ability of a household to use, for example, agricultural inputs like fertilisers or manure as a way of improving soil productivity. In the Irangi hills, for instance, wealthy farmers who could afford using fertilisers and/or manure did not perceive soil fertility as a major issue. Those who perceived soil degradation as a problem mentioned the generally low but declining soil fertility of the Kondoa soils, soil erosion and runoff, sandiness of soils and sedimentation as key indicators of soil degradation in their villages. Figure 2 presents the proportions of responses on indicators of farmers' awareness of soil degradation processes.

The small percentage of respondents mentioning soil erosion in Mafai village could be attributed to that this village is surrounded by a protected catchment forest and is generally less degraded compared to the other two villages. The presence of these indicators seem to show that rural people are aware of their environment and its related problems, and particularly so with those which affect the farm productivity and/or those that resulted into more visible landscape changes such as soil erosion. However, the fact that less than half of the respondents indicated that soils are inherently infertile suggests that productivity has declined significantly within living memory and that people were unaware that their yields were probably rather low from the outset. It is explained by Tosi et al. [36] that the low inherent soil

**Figure 2.** Percent responses on community awareness of soil degradation problems.

distribution data was cross-tabulated into contingency tables.

**4.1. Community' perceptions on land/soil degradation** 

**4. Results and discussion** 

processes.

*4.1.1. Local perceptions of soil degradation* 

The surveys were complemented by field observations in farmers' fields. Field visits involved observations of various land degradation features, such as soil erosion and sedimentation, surface runoff, sandiness of soils, crop vigour, presence of indicator-plant species; and agricultural practices, including among others, types of crops grown, cropping patterns and on-farm soil conservation measures. Field observations also included sampling soils from selected transects for subsequent laboratory analysis of soil nutrients. Three farmer-led transect walks were undertaken with small groups of farmers in each village and soil samples were collected from representative sites of major soil groups as identified by farmers. Soil profile pits were dug to a depth of one meter and samples taken at 20 cm intervals [33]. A total of eighty samples were collected for analysis. Nutrient content of the soil was determined to provide an estimate of the inherent soil fertility status and for soil nutrient balance assessment. The data was analysed using statistical measures of central tendency (means), and frequency distribution (percentages) [34, 35]. The frequency

Response to the inquiry on whether the study community perceived soil degradation as a problem in their villages have shown that 58% of the respondents considered soil degradation as being a serious problem in their vicinities. This perceptions may be influenced by differences in socio-economic characteristics inherent among the local people. Socio-economic characteristics such as endowment of livelihood assets by households determine the ability of a household to use, for example, agricultural inputs like fertilisers or manure as a way of improving soil productivity. In the Irangi hills, for instance, wealthy farmers who could afford using fertilisers and/or manure did not perceive soil fertility as a major issue. Those who perceived soil degradation as a problem mentioned the generally low but declining soil fertility of the Kondoa soils, soil erosion and runoff, sandiness of soils and sedimentation as key indicators of soil degradation in their villages. Figure 2 presents the proportions of responses on indicators of farmers' awareness of soil degradation

The small percentage of respondents mentioning soil erosion in Mafai village could be attributed to that this village is surrounded by a protected catchment forest and is generally less degraded compared to the other two villages. The presence of these indicators seem to show that rural people are aware of their environment and its related problems, and particularly so with those which affect the farm productivity and/or those that resulted into more visible landscape changes such as soil erosion. However, the fact that less than half of the respondents indicated that soils are inherently infertile suggests that productivity has declined significantly within living memory and that people were unaware that their yields were probably rather low from the outset. It is explained by Tosi et al. [36] that the low inherent soil fertility is attributed to parent material factors. Soils in this area are reported to have formed from metamorphic and igneous rocks which are poor in plant nutrients. The dry climatic condition of the study area also limits high productivity of organic matter, resulting in poor surface cover and low incorporation into the soil as binding agent and for fertility enhancement [37].

Declining soil fertility was perceived as the major indicator of soil degradation in the studied villages. A majority of the farmers (80%) attributed such decline to continuous cultivation without resting the fields, whereas 20% ascribed it to inadequate application of manure and/or fertilisers. One explanation to continuous cultivation was the increasing land shortage that has led to intensified crop cultivation and short or no fallow periods. Studies conducted in neighbouring villages and in other parts of the Irangi Hills also revealed that most farms are cultivated every season without fallow and are thus subjected to continuous loss of soil fertility [1, 38].

The general assessments of soil fertility in Kondoa District that soils in the area are of low fertility [1, 7, 39, 40]. Results from laboratory analyses for soil nutrients (Table 1) confirm the low levels of soil nutrients in all the three villages studied. These results also indicate that Mafai soils had more advantage in terms of nitrogen content than both Baura and Bolisa. These soils had about four times as much total nitrogen as Baura and Bolisa, whereas Baura had soils richer in available phosphorus than the other two villages. The variations in nutrient contents may be attributed to, among other factors, the severity of soil degradation that characterises the studied villages and different management practices of the farms. Many soil conservation structures like contour bunds and planted trees were also observed in Mafai compared to the other two villages. Soils in Mafia village are less eroded, hence have more nutrients in the sampled surface layer attributable to presence of higher organic matter content. A large part of the village is covered by a protected catchment forest and generally less severely degraded compared to Baura and Bolisa.



Land Degradation, Community Perceptions

and Environmental Management Implications in the Drylands of Central Tanzania 547

**Figure 4.** An uneroded part of the landscape wihin the Kondoa Eroded Area.

earlier landforms not affected by sedimentation [7].

*4.1.2. Assessing land and soil quality* 

Sedimentation and sandiness of the soil was perceived as a problem by only a few farmers (see Figure 2). This response was particularly obtained from farmers whose fields laid in stabilising sandfans that have soils with very low organic matter levels, low moisture holding capacity and poor fertility status. Such soil characteristics are also common in other parts of the Irangi Hills, such as in Haubi and Mulua [1, 7]. Sedimentation was reported to take place in depositional footslopes and valley bottoms where the eroded materials from hillslopes accumulate. In many places sedimentation of sandy materials buried the former fertile clayey topsoil [1, 7]. One would expect this indicator to be mentioned by most respondents, however since farmers have had their settlements and fields in that kind of environment for generations they do not often mention it as a major concern. The explanation to this situation would be that soil erosion and sedimentation in this area dates long in history to the extent that very few benchmark areas remain that could show the

Findings from this study showed that there are several traditional ways communities use to evaluate and to explain the quality of the land and the soils they are cultivating. Three categories of responses appeared to be most prominent, namely crop vigour and crop yields,

A healthy and vigorous crop growth, reflected by a good crop stand in the field, was used as an important indicator that the soil is fertile enough, if moisture and other factors are not limiting [29]. Under such circumstances, even if the weather conditions worsen during the growing season such that final yields are poor, the farmer would have realised the potential fertility of a certain piece of land. A stunted crop with less vigorous growth in the field when other factors such as moisture are considered not limiting was locally perceived to

presence of indicator-plant species and density of vegetation under fallow [29].

**Table 1.** Some characteristics of soils from the study area (measured at 0-20 cm depth)

Soil erosion and surface runoff featured as indicators of soil degradation as indicated by about 44% of respondent farmers (Figure 2). Awareness of soil erosion as a soil degrading process featured more prominently among Baura and Bolisa respondents. Visual observation of the landscape in these villages confirms the local people's response. Both Baura and Bolisa have landscapes dissected by more pronounced gullies (Figure 3) compared to Mafai village (Figure 4). Discussions with key informants in these villages indicated that historically the two villages had large numbers of livestock prior to destocking in 1979 that rendered many places devoid of vegetation because of overgrazing. This situation exposed the land surface to agents of soil erosion, such as runoff. The extensive gullies seen today in these and many other villages in the Irangi Hills are said to have formed along former cattle tracks aligned down the slope [6].

**Figure 3.** Gully erosion in the studied villages. This is a common feature of the landscape and in many parts of the Kondoa Eroded Area

**Figure 4.** An uneroded part of the landscape wihin the Kondoa Eroded Area.

Sedimentation and sandiness of the soil was perceived as a problem by only a few farmers (see Figure 2). This response was particularly obtained from farmers whose fields laid in stabilising sandfans that have soils with very low organic matter levels, low moisture holding capacity and poor fertility status. Such soil characteristics are also common in other parts of the Irangi Hills, such as in Haubi and Mulua [1, 7]. Sedimentation was reported to take place in depositional footslopes and valley bottoms where the eroded materials from hillslopes accumulate. In many places sedimentation of sandy materials buried the former fertile clayey topsoil [1, 7]. One would expect this indicator to be mentioned by most respondents, however since farmers have had their settlements and fields in that kind of environment for generations they do not often mention it as a major concern. The explanation to this situation would be that soil erosion and sedimentation in this area dates long in history to the extent that very few benchmark areas remain that could show the earlier landforms not affected by sedimentation [7].

## *4.1.2. Assessing land and soil quality*

546 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Particle size

Soil characteristic Mafai Baura Bolisa pH (H2O) 4.80 5.20 5.40 Total Nitrogen (%) 0.29 0.07 0.08 Available P (ppm) 4.20 7.20 3.20 CEC me/100g 17.12 3.84 13.89 Exchangeable K (me/100g) 0.61 0.61 0.52 Exchangeable Ca (me/100g) 4.39 1.83 2.74 Exchangeable Mg (me/100g) 1.61 0.40 1.20 Exchangeable Na (me/100g) 1.86 0.92 0.80 Organic carbon (%) 2.62 0.31 0.54

% Sand 54.83 80.27 69.20 % Silt 14.57 10.60 17.63 % Clay 30.60 9.13 13.17

Soil erosion and surface runoff featured as indicators of soil degradation as indicated by about 44% of respondent farmers (Figure 2). Awareness of soil erosion as a soil degrading process featured more prominently among Baura and Bolisa respondents. Visual observation of the landscape in these villages confirms the local people's response. Both Baura and Bolisa have landscapes dissected by more pronounced gullies (Figure 3) compared to Mafai village (Figure 4). Discussions with key informants in these villages indicated that historically the two villages had large numbers of livestock prior to destocking in 1979 that rendered many places devoid of vegetation because of overgrazing. This situation exposed the land surface to agents of soil erosion, such as runoff. The extensive gullies seen today in these and many other villages in the Irangi Hills are said to

**Figure 3.** Gully erosion in the studied villages. This is a common feature of the landscape and in many

**Table 1.** Some characteristics of soils from the study area (measured at 0-20 cm depth)

have formed along former cattle tracks aligned down the slope [6].

parts of the Kondoa Eroded Area

Findings from this study showed that there are several traditional ways communities use to evaluate and to explain the quality of the land and the soils they are cultivating. Three categories of responses appeared to be most prominent, namely crop vigour and crop yields, presence of indicator-plant species and density of vegetation under fallow [29].

A healthy and vigorous crop growth, reflected by a good crop stand in the field, was used as an important indicator that the soil is fertile enough, if moisture and other factors are not limiting [29]. Under such circumstances, even if the weather conditions worsen during the growing season such that final yields are poor, the farmer would have realised the potential fertility of a certain piece of land. A stunted crop with less vigorous growth in the field when other factors such as moisture are considered not limiting was locally perceived to

indicate a high probability that soils on which the crop is growing are of low quality and infertile.

Land Degradation, Community Perceptions

and Environmental Management Implications in the Drylands of Central Tanzania 549

the soils of steep slopes and on shallow and stony soils, where continuous cultivation has not been practised [36]. Lack of on-farm conservation measures, especially before HADO started its activities, significantly contributed to the degradation features witnessed in the present days [1, 7]. Thus elaborate extension services are probably needed regarding various mechanisms that may contribute to sustainable farm production, such as on-farm erosion control, agroforestry practices and proper residue management. Proper farmer education would inculcate the culture of conservation among communities. Other associations presented in Table 2 did not feature as important concerns among farmers, but because of

While incorporation of crop residue and manure were meant to improve organic matter content and replenish soil fertility in the farm, contour ridges were constructed to check runoff and control erosion, and as such prevent further loss of soil fertility through nutrients washed away in eroded soil material. Only limited quantities of manure were however applied per unit area, especially since 1979 when livestock were evicted from the KEA. The limited supplies of manure and the high fertiliser prices are responsible for their low usage as adaptive mechanisms in fighting against soil degradation at farm level [29]. The only reliable way of replenishing soil fertility has been through crop residue incorporation into the soil. However, during dry seasons the residue provides valuable feed for livestock, whereas considerable proportions are burnt when preparing the land for a succeeding crop hence not much residue is left for incorporation into the soil. This may have negative consequences on subsequent crop productivity. Similar experiences are reported for other

The pressure on land has practically increased all over the country particularly during the 20th century as a result of population growth. This has, in many instances resulted in unsustainable cultivation techniques including shortened fallow periods [38, 45] that consequently impoverish the soil. Enhanced long-term productivity and sustainability of the land resource thus require sound soil conservation measures in the farming systems that enhance maintenance and/or improvement of soil and land quality in general. This is an important consideration as it influences agricultural productivity and

In many instances environmental degradation has stimulated a variety of responses and adaptation mechanisms by local communities. This study made an enquiry on whether farmers had undertaken any deliberate efforts to protect their land holdings from soil degradation. Majority of respondents (95%) indicated to have used one or more conservation techniques in their farms as a means of adjusting and adapting to soil degradation processes. Table 3 presents the various soil conservation approaches as mentioned by the interviewed farmers. The first three combinations of approaches, that is, contour ridges; tree, sisal and grass planting; manure application and incorporation of crop

their role in soil degradation they are worth some attention.

parts of the Irangi Hills, for example in Haubi and Mulua villages [1].

**4.3. Community involvement in land resource management** 

*4.3.1. Community participation in soil conservation* 

local livelihoods.

Majority of respondents (95%) considered crop yields as the best measure to comprehend land/soil quality. It was noted that low or declining crop productivity could be a clear indicator of declining soil fertility, and hence soil degradation. The use of this indicator by the local farmers in evaluating land/soil quality is also appreciated by experts in land degradation, where crop output decline is regarded as a proxy indicator of soil degradation in farmlands [1, 40, 41]. It is particularly important because it affects people directly in terms of food availability and security. However, this factor alone is not sufficient to establish that degradation is taking place since cropping conditions vary considerably between years and between individual farmers. The influence of other factors such as crop pests and diseases and climate variability may affect crop yields [42, 43]. In the Irangi Hills most of the respondents indicated also that low crop yields could be due to low and/or erratic rainfall. This aspect needs to be investigated further to establish detailed linkages between climatic patterns and crop yield trends in the area. Nevertheless crop yields are an important indicator of proximate soil conditions if other factors are not constraining.

## **4.2. Locally perceived association between farming systems and soil degradation**

Table 2 presents the locally perceived relationships that were cited by the respondents as being the contribution of the farming practises to the observed land/soil degradation in the study areas. About 52% of the respondents associated soil degradation to continuous cropping while 23% considered inadequate manure application to be responsible for the diminishing soil quality. The overuse of the soil in continuous tillage without fertiliser supplementation, coupled by grazing on plant residues, weeds and crop stubble, has deprived the soils of both nutrients and organic matter [1, 29].


**Table 2.** Perceived relationships between cropping/livestock management systems and soil degradation in the Irangi Hills (%)

Overgrazing was pointed out to be one of the processes that facilitate degradation by 12.5% of respondents. The low figure is explained by the fact that to the Rangi community, which is traditionally agro-pastoralist, having big herds of livestock is just part of their culture thus locally overgrazing is rarely seen as a major problem. A similar explanation regarding perceptions on overgrazing has been reported recently among communities in the Sukumaland and in the Iramba area [42, 44]. Overgrazing of livestock had similar effects on the soils of steep slopes and on shallow and stony soils, where continuous cultivation has not been practised [36]. Lack of on-farm conservation measures, especially before HADO started its activities, significantly contributed to the degradation features witnessed in the present days [1, 7]. Thus elaborate extension services are probably needed regarding various mechanisms that may contribute to sustainable farm production, such as on-farm erosion control, agroforestry practices and proper residue management. Proper farmer education would inculcate the culture of conservation among communities. Other associations presented in Table 2 did not feature as important concerns among farmers, but because of their role in soil degradation they are worth some attention.

While incorporation of crop residue and manure were meant to improve organic matter content and replenish soil fertility in the farm, contour ridges were constructed to check runoff and control erosion, and as such prevent further loss of soil fertility through nutrients washed away in eroded soil material. Only limited quantities of manure were however applied per unit area, especially since 1979 when livestock were evicted from the KEA. The limited supplies of manure and the high fertiliser prices are responsible for their low usage as adaptive mechanisms in fighting against soil degradation at farm level [29]. The only reliable way of replenishing soil fertility has been through crop residue incorporation into the soil. However, during dry seasons the residue provides valuable feed for livestock, whereas considerable proportions are burnt when preparing the land for a succeeding crop hence not much residue is left for incorporation into the soil. This may have negative consequences on subsequent crop productivity. Similar experiences are reported for other parts of the Irangi Hills, for example in Haubi and Mulua villages [1].

## **4.3. Community involvement in land resource management**

## *4.3.1. Community participation in soil conservation*

548 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

indicator of proximate soil conditions if other factors are not constraining.

deprived the soils of both nutrients and organic matter [1, 29].

Perceived Relationship Mafai

degradation in the Irangi Hills (%)

infertile.

indicate a high probability that soils on which the crop is growing are of low quality and

Majority of respondents (95%) considered crop yields as the best measure to comprehend land/soil quality. It was noted that low or declining crop productivity could be a clear indicator of declining soil fertility, and hence soil degradation. The use of this indicator by the local farmers in evaluating land/soil quality is also appreciated by experts in land degradation, where crop output decline is regarded as a proxy indicator of soil degradation in farmlands [1, 40, 41]. It is particularly important because it affects people directly in terms of food availability and security. However, this factor alone is not sufficient to establish that degradation is taking place since cropping conditions vary considerably between years and between individual farmers. The influence of other factors such as crop pests and diseases and climate variability may affect crop yields [42, 43]. In the Irangi Hills most of the respondents indicated also that low crop yields could be due to low and/or erratic rainfall. This aspect needs to be investigated further to establish detailed linkages between climatic patterns and crop yield trends in the area. Nevertheless crop yields are an important

**4.2. Locally perceived association between farming systems and soil degradation** 

Table 2 presents the locally perceived relationships that were cited by the respondents as being the contribution of the farming practises to the observed land/soil degradation in the study areas. About 52% of the respondents associated soil degradation to continuous cropping while 23% considered inadequate manure application to be responsible for the diminishing soil quality. The overuse of the soil in continuous tillage without fertiliser supplementation, coupled by grazing on plant residues, weeds and crop stubble, has

Continuous cropping 57.1 30.7 61.9 52.1 Lack or inadequate availability of manure 10.7 53.8 11.9 22.9 Overgrazing in the past decades 14.3 11.5 11.9 12.5 Cultivation on steep slopes 14.3 4.0 4.8 7.3 Lack of on-farm conservation measures 3.6 0 9.5 5.2

Overgrazing was pointed out to be one of the processes that facilitate degradation by 12.5% of respondents. The low figure is explained by the fact that to the Rangi community, which is traditionally agro-pastoralist, having big herds of livestock is just part of their culture thus locally overgrazing is rarely seen as a major problem. A similar explanation regarding perceptions on overgrazing has been reported recently among communities in the Sukumaland and in the Iramba area [42, 44]. Overgrazing of livestock had similar effects on

**Table 2.** Perceived relationships between cropping/livestock management systems and soil

(n=28)

Baura (n=26) Bolisa (n=42)

Total (n=96) The pressure on land has practically increased all over the country particularly during the 20th century as a result of population growth. This has, in many instances resulted in unsustainable cultivation techniques including shortened fallow periods [38, 45] that consequently impoverish the soil. Enhanced long-term productivity and sustainability of the land resource thus require sound soil conservation measures in the farming systems that enhance maintenance and/or improvement of soil and land quality in general. This is an important consideration as it influences agricultural productivity and local livelihoods.

In many instances environmental degradation has stimulated a variety of responses and adaptation mechanisms by local communities. This study made an enquiry on whether farmers had undertaken any deliberate efforts to protect their land holdings from soil degradation. Majority of respondents (95%) indicated to have used one or more conservation techniques in their farms as a means of adjusting and adapting to soil degradation processes. Table 3 presents the various soil conservation approaches as mentioned by the interviewed farmers. The first three combinations of approaches, that is, contour ridges; tree, sisal and grass planting; manure application and incorporation of crop

residue in soils, appeared to be the most prominent conservation strategies adopted by majority of farmers who were practising conservation, accounting for 97% of farmers in Mafai, 85% in Baura and 81% in Bolisa village. The generally sloping terrain in Mafai village partly explains the reported increase in the use of contour ridges, trees, sisal and grass planting to protect the soil from erosion.

Land Degradation, Community Perceptions

and Environmental Management Implications in the Drylands of Central Tanzania 551

cultural backgrounds of the area concerned. According to Nsiah-Gyabaah [19], farmers' adjustment to their environment can generally be effective when they are able to predict the short term inter-annual variability patterns (e.g. in soils and weather). Under such situation they may be able to successfully use available innovations and local expertise to maximise the benefits of both soils and weather. However, where changes are unpredictable farmers

Community participation in conservation practices is of great importance as it seeks to guarantee access and control over resources by the communities living in them, but who depend on these resources to satisfy their various needs (ecological, economic, social, cultural and spiritual needs). Community participation ensures more commitment in ensuring that resources are more sustainably managed, where apart from communities depending on these resources for a living and conserving them, they at the same time become their guardians [47, 48]. The active participation of various stakeholders in decisionmaking is crucial for ensuring the long term sustainability of community-based resource management initiatives. In several occasions however, soil conservation has not received the expected involvement of local communities. Some of the reasons that have influenced the local people's attitudes towards land/soil conservation efforts in the Irangi Hills are

One of the reasons put forward was the tendency to underestimate the seriousness of the soil erosion problems by many people in the area. Where the tenure system is not elaborate individual farmers may not be concerned with problems of land degradation regardless of their holdings being at risk as such land degradation is considered as a general community problem. Such attitudes may result in no action being taken against land degradation even when there are no clear hindrances. The implication of the foregoing is that effective conservation is likely to be achieved when land tenure systems are properly articulated [1]. Thus efforts are needed to ensure integrated community-level planning that could promote individual farmers efforts without undermining community interests. Recent experiences from studies in Kishapu and Kahama Districts in Shinyanga Region, and in Nyarugusu area in Geita District Mwanza region indicated that many people practice soil and water conservation mainly in their own lands/farms [42], including setting aside private conservation areas such as Ngitili [49]. Adoption and/or practicing certain conservation measures are much influenced by the farmer's economic situation, including resource endowments. For instance, farmers with sufficient land holdings can afford to conserve some of it under the Ngitiri system, while land constrained farmers may not. Similar experiences would be the case for other conservation measures that require heavy investment by the farmer, for example making of soil erosion control structures that may

Apart from the underestimation of the land degradation problem and inarticulate tenure system, it is also evident that the Rangi people themselves are traditionally not

may face difficulties in establishing adaptation mechanisms.

need additional labour, and using fertilisers and/or manure.

discussed here.

*4.3.2. Challenges to community participation in soil conservation practices* 


**Table 3.** Soil conservation measures undertaken by respondent farmers (in %)

A majority of farmers have also planted trees as one of the soil conservation practices advocated by HADO. Table 4 presents a list of tree species that are planted in the study area and associated uses. As for crop rotation, the low response reported in Table 3 was mainly attributed to the small farm holdings that necessitate farmers to practice continuous cultivation of same fields.


1Ct = construction material/timber, Fr = fruits, Fd = fodder, Fi = soil fertility improvement, Fw = fuelwood, Sh = shade.

**Table 4.** Tree species planted in the study area, ranked according to preferences and percent of respondent farmers that have planted them

Findings from this study are in agreement with studies elsewhere that farmers often attempt to adjust to environmental degradation by using various measures and strategies [19, 46]. The measures taken may be different depending on the natural environment and sociocultural backgrounds of the area concerned. According to Nsiah-Gyabaah [19], farmers' adjustment to their environment can generally be effective when they are able to predict the short term inter-annual variability patterns (e.g. in soils and weather). Under such situation they may be able to successfully use available innovations and local expertise to maximise the benefits of both soils and weather. However, where changes are unpredictable farmers may face difficulties in establishing adaptation mechanisms.

## *4.3.2. Challenges to community participation in soil conservation practices*

550 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

planting to protect the soil from erosion.

cultivation of same fields.

respondent farmers that have planted them

Measures taken Mafai

**Table 3.** Soil conservation measures undertaken by respondent farmers (in %)

Name Scientific name Purpose1 Mafai

Contour ridges; tree, sisal and grass planting; Manure

residue in soils, appeared to be the most prominent conservation strategies adopted by majority of farmers who were practising conservation, accounting for 97% of farmers in Mafai, 85% in Baura and 81% in Bolisa village. The generally sloping terrain in Mafai village partly explains the reported increase in the use of contour ridges, trees, sisal and grass

application and Incorporation of crop residues in soils 80 55.9 68.5 68.1 Contour ridges and tree planting 17.1 29.4 12.9 19.8 Tree planting only 0 5.9 12.9 6.3 Stall-feeding cattle 2.9 5.9 4.3 4.4 Crop rotation 0 2.9 1.4 1.4 Total 100 100 100 100

A majority of farmers have also planted trees as one of the soil conservation practices advocated by HADO. Table 4 presents a list of tree species that are planted in the study area and associated uses. As for crop rotation, the low response reported in Table 3 was mainly attributed to the small farm holdings that necessitate farmers to practice continuous

Silk oak *Grevillea robusta* Ct, Fw, Fi 87.1 90.3 95.5 91.0 Guava *Psidium guajava* Fr 51.6 51.6 49.3 50.8 Pawpaw *Carica papaya* Fr 29.0 29.0 76.1 44.7 Lemon *Citrus limon* Fr 19.4 22.6 17.9 20.0 Orange *Citrus sinensis* Fr 25.8 0 26.9 17.6 Eucalyptus *Eucalyptus sp*. Fw, Ct 35.5 3.2 1.5 13.4 Mango *Mangifera indica* Fr, Sh 0 16.1 14.9 10.3 Pomegranate *Punicum granatum* Fr 3.2 3.2 11.9 6.1 Leucaena *Leucaena leucocephala* Fd, Fi 3.2 3.2 1.5 2.6 Cypress *Cuppressus sp*. Fi, Ct 3.2 3.2 0 2.1 Iron wood *Senna siamea* Ct, Fw 0 3.2 1.5 1.6 1Ct = construction material/timber, Fr = fruits, Fd = fodder, Fi = soil fertility improvement, Fw = fuelwood, Sh = shade.

**Table 4.** Tree species planted in the study area, ranked according to preferences and percent of

Findings from this study are in agreement with studies elsewhere that farmers often attempt to adjust to environmental degradation by using various measures and strategies [19, 46]. The measures taken may be different depending on the natural environment and socio-

(n = 35)

(n = 31)

Baura (n = 31)

Bolisa (n = 67)

Total (N = 129)

Baura (n = 34)

Bolisa (n = 70)

Total (N = 139)

> Community participation in conservation practices is of great importance as it seeks to guarantee access and control over resources by the communities living in them, but who depend on these resources to satisfy their various needs (ecological, economic, social, cultural and spiritual needs). Community participation ensures more commitment in ensuring that resources are more sustainably managed, where apart from communities depending on these resources for a living and conserving them, they at the same time become their guardians [47, 48]. The active participation of various stakeholders in decisionmaking is crucial for ensuring the long term sustainability of community-based resource management initiatives. In several occasions however, soil conservation has not received the expected involvement of local communities. Some of the reasons that have influenced the local people's attitudes towards land/soil conservation efforts in the Irangi Hills are discussed here.

> One of the reasons put forward was the tendency to underestimate the seriousness of the soil erosion problems by many people in the area. Where the tenure system is not elaborate individual farmers may not be concerned with problems of land degradation regardless of their holdings being at risk as such land degradation is considered as a general community problem. Such attitudes may result in no action being taken against land degradation even when there are no clear hindrances. The implication of the foregoing is that effective conservation is likely to be achieved when land tenure systems are properly articulated [1]. Thus efforts are needed to ensure integrated community-level planning that could promote individual farmers efforts without undermining community interests. Recent experiences from studies in Kishapu and Kahama Districts in Shinyanga Region, and in Nyarugusu area in Geita District Mwanza region indicated that many people practice soil and water conservation mainly in their own lands/farms [42], including setting aside private conservation areas such as Ngitili [49]. Adoption and/or practicing certain conservation measures are much influenced by the farmer's economic situation, including resource endowments. For instance, farmers with sufficient land holdings can afford to conserve some of it under the Ngitiri system, while land constrained farmers may not. Similar experiences would be the case for other conservation measures that require heavy investment by the farmer, for example making of soil erosion control structures that may need additional labour, and using fertilisers and/or manure.

> Apart from the underestimation of the land degradation problem and inarticulate tenure system, it is also evident that the Rangi people themselves are traditionally not

conservationists. When the pressure on land increases and harvests dwindle, some villagers will leave to take up new land elsewhere while others remain. The Rangi as a group can be said to practice an expansionist permanent agriculture [2]. Their principal solution to problems of soil erosion, for example, has thus been to move temporarily or permanently to areas with better conditions, while also retaining a foot in the Rangi core areas [2, 50, 51].

Land Degradation, Community Perceptions

and Environmental Management Implications in the Drylands of Central Tanzania 553

An assessment was made on perceptions regarding land availability over three time periods, from post independence, villagisation and current period. Experiences from the selected villages indicated that during post independence and villagisation period agricultural land was fairly easily available at the areas close to homesteads. It was reported that, land availability is currently very difficult than ever before, the main cause being increase in population pressure, which has led to increased demand for land by villagers. Eventually this has created land shortage in most of the villages. The pattern of land availability over years is also experienced in other parts of Kondoa District [55]. Farmers reported that currently the places with easily available land are those located far from homesteads, which was considered to be a major limitation for people who are not able to

For arable land use, there has been a general decline in the farm sizes. The local people attributed the decline in the farm sizes to several other factors (see Table 5). Thus there is a concern that land is increasingly being insufficient. The big proportion of the people reporting to experience land shortage reflects to that the problem of land shortage is much bigger than currently envisaged, and may worsen particularly with the fast growing

Perceived cause declining farm sizes Percent High population growth/increase 80.3 Expansion of settlements 6.9 Soil erosion and gullies 4.0 Expanding livestock keeping (more livestock) 2.9 Expansion of family sizes 2.0 Low soil fertility - land is tired/exhausted 2.0 Tree conservation 0.9 Intensive rainstorms (more erosion) 0.9 Total 100

**Table 5.** Different factors considered by the local community to cause declining farm sizes

*4.4.3. Chancing land use patterns and local adaptive mechanisms* 

The decreasing farm size is one of the causes of household food insecurity in the area. The small farm sizes limit the possibilities to practice fallow rotation. Consequently continuous cultivation culminates into declining soil fertility and reduced crop productivity. The problem may as well be aggravated by loss of land as a result of soil erosion, particularly

Experiences on land use and the way rural land users interact with environmental resources show that communities have increasingly interacted with their local environment by

manage distant farms.

population.

gully erosion.

*4.4.2. Decreasing farm sizes* 

Experiences from the Irangi Hills and elsewhere in East Africa indicate that resource management is closely influenced by the prevailing socio-political environment [52]. It was reported, for instance, that some people in the Irangi Hills were of the opinion that the low adoption of soil conservation measures was based on negative attitudes that were inculcated among people during the colonial era, when such activities were basically coercive [1, 29]. During the colonial period soil conservation was seen as a form of oppression [50, 53]. In Kenya, for example, soil conservation was made compulsory under colonial administration and forced labour was used for community conservation programmes [22]. Although some of the soil conservation techniques employed were effective (e.g. in Machakos district), the coercive methods used were very unpopular [4, 22, 53] resulting into some local communities withholding their own conservation initiatives. This was also experienced in the Irangi Hills and among other communities in Kondoa District [50].

In the Kondoa case, the opposition to conservation during the 1940s was closely linked to a wide discontent within the Rangi community with the way the colonial government appointed local leaders. Thus a more explicit political discourse (struggle against colonialism) became linked to soil conservation policies [50]. Consequently, during the nationalist struggle in the late 1950s it was no longer possible to enforce communal turnout and most conservation work came to a halt [54]. The Kondoa Chief of the time came to side with the Rangi underground opposition against regulations on land-use. It is not surprising then that even independent governments found it difficult to reverse the previous nationalist attitudes and support conservation measures [22, 53]. Land degradation was thus left to continue. These experiences reflect to the need for local community participation in developing and implementing resource management strategies.

## **4.4. Land-use dynamics and environmental degradation**

## *4.4.1. Land availability over time*

In general, there have been changes in land-use use types in the study area due to several factors. Such changes can be considered to be adaptive mechanisms to population growth, economic development and to changing climate. Population growth is usually associated with increased exploitation of natural resources. According to local knowledge in the study area, prior to Tanzania's independency in 1961, arable land for agriculture and livestock was relatively plenty and used for different purposes, including cultivation and livestock grazing. The increase in population has led to expansion of agricultural and livestock activities. This has contributed significantly to changes in land-use intensity and cover types.

An assessment was made on perceptions regarding land availability over three time periods, from post independence, villagisation and current period. Experiences from the selected villages indicated that during post independence and villagisation period agricultural land was fairly easily available at the areas close to homesteads. It was reported that, land availability is currently very difficult than ever before, the main cause being increase in population pressure, which has led to increased demand for land by villagers. Eventually this has created land shortage in most of the villages. The pattern of land availability over years is also experienced in other parts of Kondoa District [55]. Farmers reported that currently the places with easily available land are those located far from homesteads, which was considered to be a major limitation for people who are not able to manage distant farms.

## *4.4.2. Decreasing farm sizes*

552 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

District [50].

types.

conservationists. When the pressure on land increases and harvests dwindle, some villagers will leave to take up new land elsewhere while others remain. The Rangi as a group can be said to practice an expansionist permanent agriculture [2]. Their principal solution to problems of soil erosion, for example, has thus been to move temporarily or permanently to areas with better conditions, while also retaining a foot in the Rangi core areas [2, 50, 51].

Experiences from the Irangi Hills and elsewhere in East Africa indicate that resource management is closely influenced by the prevailing socio-political environment [52]. It was reported, for instance, that some people in the Irangi Hills were of the opinion that the low adoption of soil conservation measures was based on negative attitudes that were inculcated among people during the colonial era, when such activities were basically coercive [1, 29]. During the colonial period soil conservation was seen as a form of oppression [50, 53]. In Kenya, for example, soil conservation was made compulsory under colonial administration and forced labour was used for community conservation programmes [22]. Although some of the soil conservation techniques employed were effective (e.g. in Machakos district), the coercive methods used were very unpopular [4, 22, 53] resulting into some local communities withholding their own conservation initiatives. This was also experienced in the Irangi Hills and among other communities in Kondoa

In the Kondoa case, the opposition to conservation during the 1940s was closely linked to a wide discontent within the Rangi community with the way the colonial government appointed local leaders. Thus a more explicit political discourse (struggle against colonialism) became linked to soil conservation policies [50]. Consequently, during the nationalist struggle in the late 1950s it was no longer possible to enforce communal turnout and most conservation work came to a halt [54]. The Kondoa Chief of the time came to side with the Rangi underground opposition against regulations on land-use. It is not surprising then that even independent governments found it difficult to reverse the previous nationalist attitudes and support conservation measures [22, 53]. Land degradation was thus left to continue. These experiences reflect to the need for local community participation in

In general, there have been changes in land-use use types in the study area due to several factors. Such changes can be considered to be adaptive mechanisms to population growth, economic development and to changing climate. Population growth is usually associated with increased exploitation of natural resources. According to local knowledge in the study area, prior to Tanzania's independency in 1961, arable land for agriculture and livestock was relatively plenty and used for different purposes, including cultivation and livestock grazing. The increase in population has led to expansion of agricultural and livestock activities. This has contributed significantly to changes in land-use intensity and cover

developing and implementing resource management strategies.

**4.4. Land-use dynamics and environmental degradation** 

*4.4.1. Land availability over time* 

For arable land use, there has been a general decline in the farm sizes. The local people attributed the decline in the farm sizes to several other factors (see Table 5). Thus there is a concern that land is increasingly being insufficient. The big proportion of the people reporting to experience land shortage reflects to that the problem of land shortage is much bigger than currently envisaged, and may worsen particularly with the fast growing population.


**Table 5.** Different factors considered by the local community to cause declining farm sizes

The decreasing farm size is one of the causes of household food insecurity in the area. The small farm sizes limit the possibilities to practice fallow rotation. Consequently continuous cultivation culminates into declining soil fertility and reduced crop productivity. The problem may as well be aggravated by loss of land as a result of soil erosion, particularly gully erosion.

#### *4.4.3. Chancing land use patterns and local adaptive mechanisms*

Experiences on land use and the way rural land users interact with environmental resources show that communities have increasingly interacted with their local environment by

faltering land use practices. However, continued land degradation has had severe environmental and social-economic consequences resulting in poor agricultural productivity, perpetuating food insecurity and poverty among the concerned communities. This necessitates the analysis of land-use dynamics, land degradation and their interlinkages with livelihoods and poverty alleviation strategies adopted by the respective communities. Generally, there have been changes in land use patterns, which in many instances has involved increasing land use intensity as adaptive mechanisms to increased population growth, economic development and to changing climate [25]. Increase in population has led to expansion of agricultural and livestock activities, contributing significantly to changes in land use intensity, decline in farm sizes, land fragmentation and land degradation. Sustainable management of natural resources can thus be achieved by having integrated land use practices, including developing elaborate village land use plans.

Land Degradation, Community Perceptions

and Environmental Management Implications in the Drylands of Central Tanzania 555

farmers are already exposed to with regard to improving agricultural productivity in the

Limiting factors to local participation in soil conservation initiatives would probably be successfully corrected through proper farmer education that inculcates the culture of conservation among communities. It is important therefore that steps are taken to address the diversity of the intricate attitudes and socio-political environments among rural communities. It is recommended that further comparative studies be conducted so as to come up with sound strategies that will motivate the local people to participate more in issues related to sustainable land resource management. Where relevant such strategies and approaches to extension work need to be tailored to individual communities rather than

Increase in population has led to expansion of agricultural and livestock activities, contributing significantly to changes in land use intensity, decline in farm sizes, land fragmentation and land degradation. Since agricultural production (crops and livestock) is the major means of poverty alleviation in these semiarid areas, it calls for enhanced environmental conservation so that agricultural productivity can be sustained for the betterment of the community livelihoods. This is particularly important now given the additional factor of climate change. Thus, sustainable management of land and other natural resources can only be achieved by having integrated land use practices, including developing elaborate land use plans. Poverty alleviation strategies and other policies also need to ensure sustainable development with minimal impacts on the environment. The diversification of livelihood activities (farm and non-farm) recorded in the area indicates that local communities are struggling towards poverty alleviation and as a way of

*Institute of Resource Assessment, University of Dar es Salaam, Dar es Salaam, Tanzania* 

This study was undertaken with a financial support from NORAD through its Management of Natural Resources and Sustainable Agriculture fellowship programme. Many thanks are extended to the farmers in Bolisa, Baura and Mafai villages who enthusiastically participated in this study and for their inspirations that paved a way towards completion of

[1] Kangalawe RYM. (2001) *Changing land-use patterns in the Irangi Hills, central Tanzania: A study of soil degradation and adaptive farming strategies*. PhD Dissertation No. 22.

erosion-stricken farmlands need to be promoted and developed further.

using large homogenous programmes.

adaptation and coping to environmental degradation.

**Author details** 

Richard Y.M. Kangalawe

**Acknowledgement** 

this work.

**6. References** 

Livelihood diversification into non-agricultural enterprises was also reported to have been a means of adapting to the changing environments and for poverty alleviation. Diversification as applied in the rural context is a process whereby rural households construct an increasingly diverse portfolio of activities and assets in order to survive [56]. Diversification can be viewed from different angles. It may imply a matter of survival associated with harsh local environmental conditions, or alternatively, it may be considered a matter of opportunity involving pro-active household strategies employed to improve living standards [57]. Generally, however, a diversity of livelihood sources is considered to be one of the ways through which households may develop security against agrarian environments, particularly in semiarid areas.

## **5. Conclusions**

This chapter has examined how perceptions and knowledge facilitate and/or act as barriers to sustainable land management. It has been realised that farmers in the Irangi Hills are aware of land/soil degradation and its various processes, with levels of perception varying between villages and among respondents depending on the severity of the land degradation problem. Declining soil fertility and soil erosion, demonstrated by existence of spectacular gullies and extensive depositional sand fans, have been found to contribute significantly to the general understanding of land/soil degradation problems.

Awareness of land degradation was also reflected by the various criteria that the local people use in assessing the potentials and constraints that farmlands and the landscape in general are facing. Low crop productivity has been identified as one of the important constraints; attributed mainly to declining soil fertility, unreliable rainfall, and to a lesser extent, soil erosion. Farmers seemed to be quite aware of the association between cropping and/or livestock management systems and land/soil degradation. An extension service focusing on the various mechanisms that may contribute to sustainable farm production, such as on-farm erosion control, agroforestry practices and proper residue management is necessary. This is particularly important in a situation where continuous cultivation has become the norm because of increasing land shortage. Thus the various adaptations that farmers are already exposed to with regard to improving agricultural productivity in the erosion-stricken farmlands need to be promoted and developed further.

Limiting factors to local participation in soil conservation initiatives would probably be successfully corrected through proper farmer education that inculcates the culture of conservation among communities. It is important therefore that steps are taken to address the diversity of the intricate attitudes and socio-political environments among rural communities. It is recommended that further comparative studies be conducted so as to come up with sound strategies that will motivate the local people to participate more in issues related to sustainable land resource management. Where relevant such strategies and approaches to extension work need to be tailored to individual communities rather than using large homogenous programmes.

Increase in population has led to expansion of agricultural and livestock activities, contributing significantly to changes in land use intensity, decline in farm sizes, land fragmentation and land degradation. Since agricultural production (crops and livestock) is the major means of poverty alleviation in these semiarid areas, it calls for enhanced environmental conservation so that agricultural productivity can be sustained for the betterment of the community livelihoods. This is particularly important now given the additional factor of climate change. Thus, sustainable management of land and other natural resources can only be achieved by having integrated land use practices, including developing elaborate land use plans. Poverty alleviation strategies and other policies also need to ensure sustainable development with minimal impacts on the environment. The diversification of livelihood activities (farm and non-farm) recorded in the area indicates that local communities are struggling towards poverty alleviation and as a way of adaptation and coping to environmental degradation.

## **Author details**

554 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

environments, particularly in semiarid areas.

the general understanding of land/soil degradation problems.

**5. Conclusions** 

faltering land use practices. However, continued land degradation has had severe environmental and social-economic consequences resulting in poor agricultural productivity, perpetuating food insecurity and poverty among the concerned communities. This necessitates the analysis of land-use dynamics, land degradation and their interlinkages with livelihoods and poverty alleviation strategies adopted by the respective communities. Generally, there have been changes in land use patterns, which in many instances has involved increasing land use intensity as adaptive mechanisms to increased population growth, economic development and to changing climate [25]. Increase in population has led to expansion of agricultural and livestock activities, contributing significantly to changes in land use intensity, decline in farm sizes, land fragmentation and land degradation. Sustainable management of natural resources can thus be achieved by having integrated land use practices, including developing elaborate village land use plans. Livelihood diversification into non-agricultural enterprises was also reported to have been a means of adapting to the changing environments and for poverty alleviation. Diversification as applied in the rural context is a process whereby rural households construct an increasingly diverse portfolio of activities and assets in order to survive [56]. Diversification can be viewed from different angles. It may imply a matter of survival associated with harsh local environmental conditions, or alternatively, it may be considered a matter of opportunity involving pro-active household strategies employed to improve living standards [57]. Generally, however, a diversity of livelihood sources is considered to be one of the ways through which households may develop security against agrarian

This chapter has examined how perceptions and knowledge facilitate and/or act as barriers to sustainable land management. It has been realised that farmers in the Irangi Hills are aware of land/soil degradation and its various processes, with levels of perception varying between villages and among respondents depending on the severity of the land degradation problem. Declining soil fertility and soil erosion, demonstrated by existence of spectacular gullies and extensive depositional sand fans, have been found to contribute significantly to

Awareness of land degradation was also reflected by the various criteria that the local people use in assessing the potentials and constraints that farmlands and the landscape in general are facing. Low crop productivity has been identified as one of the important constraints; attributed mainly to declining soil fertility, unreliable rainfall, and to a lesser extent, soil erosion. Farmers seemed to be quite aware of the association between cropping and/or livestock management systems and land/soil degradation. An extension service focusing on the various mechanisms that may contribute to sustainable farm production, such as on-farm erosion control, agroforestry practices and proper residue management is necessary. This is particularly important in a situation where continuous cultivation has become the norm because of increasing land shortage. Thus the various adaptations that Richard Y.M. Kangalawe *Institute of Resource Assessment, University of Dar es Salaam, Dar es Salaam, Tanzania* 

## **Acknowledgement**

This study was undertaken with a financial support from NORAD through its Management of Natural Resources and Sustainable Agriculture fellowship programme. Many thanks are extended to the farmers in Bolisa, Baura and Mafai villages who enthusiastically participated in this study and for their inspirations that paved a way towards completion of this work.

## **6. References**

[1] Kangalawe RYM. (2001) *Changing land-use patterns in the Irangi Hills, central Tanzania: A study of soil degradation and adaptive farming strategies*. PhD Dissertation No. 22.

Department of Physical Geography and Quaternary Geology, Stockholm University: Stockholm.

Land Degradation, Community Perceptions

and Environmental Management Implications in the Drylands of Central Tanzania 557

Agriculture of the Joint Committee on African Studies, ISAS: National University of

[17] Rydgren B (1993) Environmental impacts of soil erosion and soil conservation. A Lesotho case study. PhD Thesis, UNGI Report No 85. Upsalla: Uppsala University. [18] Dahlberg AC (1996). Interpretation of environmental change and diversity: A study from North-eastern Botswana. Dissertation Series No. 7. Department of Physical

[19] Nsiah-Gyabaah K (1994) *Environmental degradation and desertification in Ghana. A study of the Upper West Region*. Aldershol & Brookfield: Avebury Studies in Green Research.. [20] Herberlein TA (1972) The land ethic realised: Some social psychological explanation for

[21] Pitt MW, Yapp TP (1992) Perceptions of land degradation and awareness of conservation programmes in North-eastern New South Wales. In: Haskins PG, Murphy BM. Editors. People protecting their land, Proceedings of the 7th ISCO conference:

[22] Critchley W (1991) Looking after our land. Soil and water conservation in dryland

[23] Toulmin C, Chambers R (1990) Farmer-First: Achieving sustainable dryland

[24] Bewket W, Teferi E (2009) Assessment of soil erosion hazard and prioritization for treatment at the watershed level: Case study in the Chemoga Watershed, Blue Nile Basin, Ethiopia. Land Degradation & Development 20: 609–622, DOI:

[25] Kangalawe RYM (2009) Land use cover changes and their implications on rural livelihoods in the degraded environments of central Tanzania. African Journal of

[26] Ngana JO (1990). *Modelling for periodic features in seasonal rainfall and its implications to water resources and agricultural planning*. Research Report No. 27. Dar es Salaam: Institute

[27] Christiansson C (1981) Soil erosion and sedimentation in semi-arid Tanzania. Studies on environmental changes and ecological imbalance. Uppsala: Scandinavian Institute of

[28] Eriksson MG (1999) Influence of crustal movements on landforms, erosion and sediment deposition in the Irangi Hills, central Tanzania. In: Smith BJ, Whalley WB, Warke PA. Editors. *Uplift, erosion and stability: Perspectives on long-term landscape* 

[29] Kangalawe RYM (1995) *Fighting soil degradation in the Kondoa eroded Area, Kondoa District, Tanzania: Socio-economic attributes, farmer perceptions and nutrient balance assessment.* M.Sc.

changing environmental attitudes. Journal of Social Issues 28: 78-82

development in Africa. IIED Paper No. 19. London: IIED.

of Resource Assessment, University of Dar es Salaam.

*development*. London: Geological Society of London, pp.157-168

Thesis. Aas: Agricultural University of Norway.

Geography, Stockholm University: Stockholm.

Lesotho.

Sydney. pp. 115-124

Africa. Oxfam.

10.1002/ldr.944

African Studies.

Ecology 47 (Suppl. 1): 135–141


Agriculture of the Joint Committee on African Studies, ISAS: National University of Lesotho.

[17] Rydgren B (1993) Environmental impacts of soil erosion and soil conservation. A Lesotho case study. PhD Thesis, UNGI Report No 85. Upsalla: Uppsala University.

556 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Report No. 76. Scandinavian Institute of African Studies: Uppsala.

A multidisciplinary research programme. Ambio 20 (8): 357-361

England: Wallingford CAB International 88-119.

Physical Geography, Stockholm University: Stockholm.

KwaZulu and Swaziland. Human Ecology 18 (2): 203-209

southern Africa. Conservation Biology 4(4): 448-451

Tanzania, erosional response to climate change. GFF 121:198-201

Stockholm.

Salaam.

Moscow.

107-128

Notes No 5. Paris: UNESCO.

74 (A 241): 65-79

Department of Physical Geography and Quaternary Geology, Stockholm University:

[2] Östberg W (1986) *The Kondoa Transformation: Coming into Grips with Soil Erosion*. Research

[3] Christiansson C, Kikula IS, [51] W (1991) Man-land interrelations in semiarid Tanzania:

[4] Christiansson C, Mbegu A, Yrgård A (1993). The Hand of Man: Soil conservation in

[5] Mbegu AC (1988). The HADO Project: What, Where, Why, How? Forestry and Beekeeping Division, Ministry of Lands, Natural Resources and Tourism: Dar es

[6] Payton RW, Christiansson C, Shishira EK, Yanda P, Eriksson MG (1992) Landform, Soils and Erosion in the north-eastern Irangi Hills, Kondoa, Tanzania. Geografiska Annaler

[7] Payton RW, Shishira EK (1994) Effects of soil erosion and sedimentation on land quality: Defining pedogenetic baselines in the Kondoa District of Tanzania. In: Syers JK, Rimmers DL. Editors. Soil Science and sustainable land management in the tropics.

[8] Darkoh MB (1986) Experiences of arid land development in Tanzania: In: Arid land development and the combat against desertification: An integrated Approach. UNEP:

[9] Eriksson MG (1998) Landscape and soil erosion history in central Tanzania. A study based on lacustrine, colluvial and alluvial deposits. Dissertation No.12. Department of

[10] Eriksson MG, Olley JM, Payton RW (1999) Late Pleistocene colluvial deposits in central

[11] Eriksson MG, Olley JM, Payton RW, (2000).. Soil erosion history in central Tanzania based on OSL dating of colluvial and alluvial hillslope deposits. Geomorphology 36:

[12] Ngana JO (1996) Climate and hydrology of the Kondoa Eroded Area. In: Christiansson C., Kikula IS. Editors. Changing Environments: Research on Man-Land Interrelations in

[14] Hackel JD (1990) Conservation attitudes in southern Africa: A comparison between

[15] Hunter Jr ML, Hitchcock RK, Wyckoff-Baird B [1990] Women and wildlife in the

[16] Showers KB, Malahleha GM (1992) Historical environmental impact assessment: A tool of for analysis of past interventions in landscapes. Working Paper No. 8. The Project of

Semiarid Tanzania. Report No. 13. Nairobi: Regional Soil Conservation Unit:. [13] Whyte AVT (1977) *Guidelines for field studies in environmental perception*. MAN Technical

Kondoa Eroded area, Tanzania. Nairobi: Regional Soil Conservation Unit.


	- [30] Mbegu AC, Mlenge WC (1983) Ten Years of HADO. Dar es Salaam: Forest Division, Ministry of Natural Resources and Tourism.

Land Degradation, Community Perceptions

and Environmental Management Implications in the Drylands of Central Tanzania 559

[44] Kangalawe RYM., Majule AE, Shishira EK (2005) Land-use dynamics and land degradation in Iramba District, central Tanzania. Addis Ababa: Organisation for Social

[45] Madulu NF, Mbonile MJ, Kiwia HDY (1993) Environmental impacts of migration in rural Tanzania. In: *Population, Environment and Development*. New York: United Nations,

[46] Cummingham OR, Jenkins QAL (1982) Natural disasters and farmers: A neglected area

[47] Nyega N (2008) Assessment of the beach management units strategy on the Lake Victoria fisheries resources in Ilemela District, Tanzania. MSc Dissertation, University of

[48] Shadrack S (2009). Effectiveness of community based forest management approach in transforming local use of forest resources in Rufiji District. MSc Dissertation, University

[49] Mlenge W (2004) Ngitili: An indigenous natural resources management system in

[50] Mung'ong'o CG (1995) *Social processes and ecology in the Kondoa Irangi Hills, Central Tanzania*. Meddelanden Series B 93. Stockholm: Department of Human Geography,

[51] Östberg W (1995) *Land is Coming Up: The Burunge of Central Tanzania and their environments*. Stockholm Studies in Social Anthropology, 34. Stockholm: Department of

[52] Mung'ong'o CG, Kikula IS, Mwalyosi RBB (2004). Geophysical and socio-political dynamics of environmental conservation in Kondoa District. Dar es Salaam: Dar es

[53] Kauzeni AS, Kikula IS, Shishira EK (1987) Developments in Soil Conservation in Tanzania. In *History of Soil Conservation in the SADCC region*. Research Report No. 8. SADCC Soil and Water Conservation and Land Utilisation Programme, Co-ordinating

[54] Berry L, Townshend J (1973) Soil Erosion Conservation Policies in the Semi-Arid regions of Tanzania, A Historical Perspective. In: Rapp A, Berry L, Temple P. Editors. *Studies on Soil Erosion and Sedimentation in Tanzania,* BRALUP Research Monograph No. 1.

[55] Liwenga ET, Kangalawe RYM, Masao, CA (2007) The Implications of Agricultural Commercialization on Agro-diversity Management and Food Security in the Drylands of Central Tanzania. Research Report submitted to the Research Programme on

Sustainable Use of Dryland Biodiversity (RPSUD), University of Dar es Salaam. [56] Scoones, I. (1998). Sustainable rural livelihoods: A framework for analysis. IDS Working

of research by rural sociologists. The Rural Sociologist 2(5): 325-330

Shinyanga. Nairobi: Arid Lands Information Network - East Africa.

Science Research in Eastern and Southern Africa.

pp.73-91

Dar es Salaam.

of Dar es Salaam.

Stockholm University.

Salaam University Press.

BRALUP: Dar es Salaam; 241-253.

Unit: Maseru.

Paper No. 72.

Social Anthropology, Stockholm University.


[44] Kangalawe RYM., Majule AE, Shishira EK (2005) Land-use dynamics and land degradation in Iramba District, central Tanzania. Addis Ababa: Organisation for Social Science Research in Eastern and Southern Africa.

558 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Ministry of Natural Resources and Tourism.

Tanzania. San Jones: Tropical Science Centre.

298p

Richard D. Inc.

Station. 99 pp

edition. John Wiley & Sons, Inc.

California: Duxhury Press.

RSCU/SIDA. pp.77-83

World Bank.

[30] Mbegu AC, Mlenge WC (1983) Ten Years of HADO. Dar es Salaam: Forest Division,

[31] Clarke R (1986) The handbook of ecological monitoring. Oxford: Clarendon Press.

[32] Boyd HK, Westfall R, Stasch F (1981). Marketing Research: Tests and Cases. Illinois:

[33] Hodgson JM (1985) Soil survey field handbook: Describing and sampling soil profiles. Technical Monograph No. 5. Harpenden Herts: Soil Survey, Rothamsted Experimental

[34] Johnson RA, Bhattacharyya GK (1992). Statistics: Principles and methods. Second

[35] Ryan BF, Joiner BL, Ryan Jr TA (1992) Minitab Handbook. Second edition. : Belmont

[36] Tosi JA, Hartshorn GS, Quesada CA (1982) *HADO Project Development Study and Status of the Catchment Forestry*. A Report to the Ministry of Natural Resources and Tourism,

[37] Smith JL, Elliott LF (1990). Tillage and residue management effects on soil organic

[38] Mohamed SA (1996) Farming systems and land tenure in Haubi Village of the Kondoa Eroded area. In: Christiansson C, Kikula IS. Editors. Changing environments: Research on Man-Land Interrelations in Semi-Arid Tanzania. Report No. 13. Nairobi;

[39] Mowo JG, Floor J, Kaihura FBS, Magoggo JP (1993) Review of fertiliser recommendations in Tanzania. Part 2 - Revised fertiliser recommendations for

Tanzania. Soil fertility report No. F6. ARI Mlingano-Tanga: National Soil Service. [40] Dejene A, Shishira EK, Yanda PZ, Johnsen FH (1997) Land degradation in Tanzania: Perceptions from the village. World Bank Technical Paper NO. 370. Washington DC:

[41] Kikula IS (1989) Possible implications of the similarities and differences in perception of land degradation between planners and the planned. Research Paper No. 19. Dar es

[42] Kangalawe, RYM, Liwenga, ET, Majule, AE (2007) The Dynamics of Poverty Alleviation Strategies in the Changing Environments of the Semiarid Areas of Sukumaland,

[43] Kangalawe RYM, Lyimo JG (2009). Climate Change and Rural Livelihoods in Semiarid Tanzania. Proceedings of the 10th WaterNet/WARFSA/GWP-SA Symposium: "Integrated Water Resources Management within the context of Environmental

Sustainability, Climate Change and Livelihoods". Entebbe: 28 – 30 October 2009.

Salaam: Institute of Resource Assessment, University of Dar es Salaam.

Tanzania. Research Report submitted to REPOA, Dar es Salaam.

matter dynamics in semi-arid regions. Advances in Soil Science 13: 69-88


	- [57] Ellis, F. (1998). Household strategies and rural livelihood diversification. Journal of Development Studies 35 (1): 1-38.

**Chapter 24** 

© 2012 Kyvelou et al., licensee InTech. This is an open access chapter distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

© 2012 Kyvelou et al., licensee InTech. This is a paper distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**Developing a South-European Eco-Quarter** 

**Design and Assessment Tool Based on** 

Stella Kyvelou, Maria Sinou, Isabelle Baer and Toni Papadopoulos

Many studies have been undertaken with regard to eco-neighbourhoods in Europe. However, most of the projects that have been completed and are being analysed in relevant studies are located in Northern Europe, i.e. the BedZed in England, Hammarby (Stockholm) and BO01 (Malmö) in Sweden, Kronsberg (Hannover) in Germany, Vesterbro (Copenhagen) and Kolding in Denmark, Vauban in Freiburg and others. Findings from these projects permit nowadays to speak about a Northern European eco-neighborhood model (Souami, 2009). However, it would be interesting to investigate eco-neighborhood projects in Southern Europe that are either already realised or still in the design phase. The questions that rise are on one hand the sustainability approach that was followed for these projects and on the other hand the specific criteria involved in each case. To this end, an investigation is undertaken regarding the tools that are being used in terms of the environmental principles-criteria which are taken into account by each of them and how easy these tools are to use. Finally, a comparative analysis follows regarding the different Southern European projects and the environmental

The present chapter can be summarised in three fundamental objectives: a) the investigation of contemporary tools and methods of planning and assessment of eco-neighborhoods aiming at identifying similarities and differences but also issues that can lead to an efficient Mediterranean methodology, b) the study of examples of Mediterranean eco-neighborhoods in order to create a good and bad practice guide and g) the proposal of a new assessment tool for the Mediterranean eco-neighborhood, based on the concept of territorial capital (OECD, 2001). The methodology that was followed regarding the first objective focuses in the parametric analysis of basic criteria of existing tools seeking common ground and differences. As for

**the Concept of Territorial Capital** 

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45885

criteria involved in their implementation.

**1. Introduction** 

## **Developing a South-European Eco-Quarter Design and Assessment Tool Based on the Concept of Territorial Capital**

Stella Kyvelou, Maria Sinou, Isabelle Baer and Toni Papadopoulos

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/45885

## **1. Introduction**

560 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

Development Studies 35 (1): 1-38.

[57] Ellis, F. (1998). Household strategies and rural livelihood diversification. Journal of

Many studies have been undertaken with regard to eco-neighbourhoods in Europe. However, most of the projects that have been completed and are being analysed in relevant studies are located in Northern Europe, i.e. the BedZed in England, Hammarby (Stockholm) and BO01 (Malmö) in Sweden, Kronsberg (Hannover) in Germany, Vesterbro (Copenhagen) and Kolding in Denmark, Vauban in Freiburg and others. Findings from these projects permit nowadays to speak about a Northern European eco-neighborhood model (Souami, 2009). However, it would be interesting to investigate eco-neighborhood projects in Southern Europe that are either already realised or still in the design phase. The questions that rise are on one hand the sustainability approach that was followed for these projects and on the other hand the specific criteria involved in each case. To this end, an investigation is undertaken regarding the tools that are being used in terms of the environmental principles-criteria which are taken into account by each of them and how easy these tools are to use. Finally, a comparative analysis follows regarding the different Southern European projects and the environmental criteria involved in their implementation.

The present chapter can be summarised in three fundamental objectives: a) the investigation of contemporary tools and methods of planning and assessment of eco-neighborhoods aiming at identifying similarities and differences but also issues that can lead to an efficient Mediterranean methodology, b) the study of examples of Mediterranean eco-neighborhoods in order to create a good and bad practice guide and g) the proposal of a new assessment tool for the Mediterranean eco-neighborhood, based on the concept of territorial capital (OECD, 2001).

The methodology that was followed regarding the first objective focuses in the parametric analysis of basic criteria of existing tools seeking common ground and differences. As for

the second objective the environmental criteria of examples under consideration are investigated with the use of the One Planet Living framework, while the new "SDMed econeighborhood tool" was based on:

Developing a South-European Eco-Quarter Design and Assessment Tool Based on the Concept of Territorial Capital 563

**2.1. The initial eco-neighbourhood type of the '80s** 

order to organise the public areas and implement the project.

**2.2. The 'prototype' of eco-neighbourhood of the '90s** 

environmental goals.

schemes are concerned, we should note that:

of experts and many contractors

**environmental quality criteria** 

According to Souami, the initial eco-neighborhood type was most often a small pool of buildings located in the periphery of cities or in rural areas. The initiators of such projects were usually professionals and experts, politically active, enrolled in so-called alternative movements. Convinced about the importance of 'green' development and construction, the founders of eco-neighborhoods adapted both the idea and the process before choosing the site to accommodate and implement their ideas which was chosen later on. During the 1980s, we meet neighborhoods of this type in Austria, in the Netherlands and in Germany. They are, in fact, eco-villages transformed into neighborhoods and the organisation in a community or associative form of development is often used to group the inhabitants, in

In this case, some communities have taken advantage of exceptional urban events to initiate sustainable districts on their territory: World's Fair in Hanover, B01 exhibition in Malmö, London Olympics, Olympic Games bid in Paris, Zaragoza's candidature for EXPO 2008 that initiated the 'Ecociudad Valdespartera' etc. These events have been all opportunities to initiate positive processes that go beyond conventional practices, showing ambitious

The projects are accompanied by an important work of communication, especially internationally. They are developed as exemplary neighborhoods, particularly successful demonstration projects addressing both to technicians and local politicians. Nevertheless, some of them constitute events by themselves. As far as governance and investment

 partnerships involve communities, private and public developers, social housing agencies, several operators of urban services and facilities (energy, water, etc.),groups

 funds are cumulative and come from various sources: local (municipalities, public and private developers), national (sectoral programmes, exceptional ministerial grants or

Leaders of local projects show innovative and mainly broadly applied technical solutions (systematic recycling of rainwater, deployment of extended solar panels, photovoltaic panels, etc.) and technicians and policy-makers have the opportunity to test, validate and correct certain choices. These projects are also considered as places that promote a learning

In the third category, eco-neighborhood projects are initiated in a conventional manner since they mobilise ordinary tools of development and construction but they integrate

**2.3. From the mid-90s a new type of eco-neighbourhood appears based on** 

subsidies) and international (various European programmes).

procedure for stakeholders and citizens (Kyvelou, 2010).


## **2. Definition of eco-neighbourhoods**

Different approaches and perspectives can be identified regarding the definition of the term "neighborhood" and therefore "eco-neighborhood". One of the most common is to do with density and population. The link between the levels of density and land take in a typical neighborhood of 7500 people. The message is clear: the lower the density, the larger the amount of area that is occupied by buildings, roads and open space. Density per se is not an indicator of urban quality. An interesting definition of eco-neighborhood is given by Barton where he categorises according to different spatial scales. The smallest scale is the building scale; the next one is the home place scale, then the neighborhood scale, the small town scale and finally the city scale. The key sustainability and health issues identified by Barton are: plan for local facilities with attractive walking routes, local hubs to support healthy lifestyles and development of local food, waste, water and energy capture systems (Barton, 2010).

Neighborhood is defined as a residential or mixed use area around which people can conveniently walk. Its scale is geared to pedestrian access and it is essentially a spatial construct, a place. It may or not have clear edges. It is not necessarily centred on local facilities, but it does have an identity, which local people recognize and value (Barton, 2000). Moreover, it is interesting to note the three different facets of neighborhood that Barton distinguishes. Firstly, the neighborhood perceived as the base for home life, education, leisure and employment activities. Secondly, seen as a place, as an aesthetic experience and thirdly as the locus for community (Barton, 2000). All these three facets can be identified in the tools that will be presented in section three; however each tool seems to have a slightly different orientation according to whether it will be used from town planners, or urban designers, or even at an earlier stage from stakeholders during decision making. Moreover, it is significant to note at this point that the most coherent and complete approach is the one that takes into consideration in planning not only issues of energy, transport and resources but also social and economic parameters.

About the model of eco-neighborhood or eco-district, we should mention that a meaningful typology has been drafted by Souami ( Souami,2009). He distinguishes three phases of eco neighborhoods' creation, in less than two decades. According to Souami, each phase is corresponding to one of the three different types of eco-neighborhood and it is the second type that permits more performances compared with the other two types, thus representing in a certain way 'the very model of the so-called 'eco-neighbourhood'.

## **2.1. The initial eco-neighbourhood type of the '80s**

562 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

2. the SDMed building performance assessment tool (Sinou & Kyvelou, 2006);

agglomeration or urban development, even at the scale of a neighborhood.

neighborhood tool" was based on:

**2. Definition of eco-neighbourhoods** 

but also social and economic parameters.

eco neighborhoods;

the second objective the environmental criteria of examples under consideration are investigated with the use of the One Planet Living framework, while the new "SDMed eco-

1. the research and parametric analysis among the tools that concern the development of

3. the concept of territorial capital ( OECD, 2001) and its expoitation at local level and the approach of territorial cohesion (both internal and external) that should govern an

Different approaches and perspectives can be identified regarding the definition of the term "neighborhood" and therefore "eco-neighborhood". One of the most common is to do with density and population. The link between the levels of density and land take in a typical neighborhood of 7500 people. The message is clear: the lower the density, the larger the amount of area that is occupied by buildings, roads and open space. Density per se is not an indicator of urban quality. An interesting definition of eco-neighborhood is given by Barton where he categorises according to different spatial scales. The smallest scale is the building scale; the next one is the home place scale, then the neighborhood scale, the small town scale and finally the city scale. The key sustainability and health issues identified by Barton are: plan for local facilities with attractive walking routes, local hubs to support healthy lifestyles and development of local food, waste, water and energy capture systems (Barton, 2010).

Neighborhood is defined as a residential or mixed use area around which people can conveniently walk. Its scale is geared to pedestrian access and it is essentially a spatial construct, a place. It may or not have clear edges. It is not necessarily centred on local facilities, but it does have an identity, which local people recognize and value (Barton, 2000). Moreover, it is interesting to note the three different facets of neighborhood that Barton distinguishes. Firstly, the neighborhood perceived as the base for home life, education, leisure and employment activities. Secondly, seen as a place, as an aesthetic experience and thirdly as the locus for community (Barton, 2000). All these three facets can be identified in the tools that will be presented in section three; however each tool seems to have a slightly different orientation according to whether it will be used from town planners, or urban designers, or even at an earlier stage from stakeholders during decision making. Moreover, it is significant to note at this point that the most coherent and complete approach is the one that takes into consideration in planning not only issues of energy, transport and resources

About the model of eco-neighborhood or eco-district, we should mention that a meaningful typology has been drafted by Souami ( Souami,2009). He distinguishes three phases of eco neighborhoods' creation, in less than two decades. According to Souami, each phase is corresponding to one of the three different types of eco-neighborhood and it is the second type that permits more performances compared with the other two types, thus representing

in a certain way 'the very model of the so-called 'eco-neighbourhood'.

According to Souami, the initial eco-neighborhood type was most often a small pool of buildings located in the periphery of cities or in rural areas. The initiators of such projects were usually professionals and experts, politically active, enrolled in so-called alternative movements. Convinced about the importance of 'green' development and construction, the founders of eco-neighborhoods adapted both the idea and the process before choosing the site to accommodate and implement their ideas which was chosen later on. During the 1980s, we meet neighborhoods of this type in Austria, in the Netherlands and in Germany. They are, in fact, eco-villages transformed into neighborhoods and the organisation in a community or associative form of development is often used to group the inhabitants, in order to organise the public areas and implement the project.

## **2.2. The 'prototype' of eco-neighbourhood of the '90s**

In this case, some communities have taken advantage of exceptional urban events to initiate sustainable districts on their territory: World's Fair in Hanover, B01 exhibition in Malmö, London Olympics, Olympic Games bid in Paris, Zaragoza's candidature for EXPO 2008 that initiated the 'Ecociudad Valdespartera' etc. These events have been all opportunities to initiate positive processes that go beyond conventional practices, showing ambitious environmental goals.

The projects are accompanied by an important work of communication, especially internationally. They are developed as exemplary neighborhoods, particularly successful demonstration projects addressing both to technicians and local politicians. Nevertheless, some of them constitute events by themselves. As far as governance and investment schemes are concerned, we should note that:


Leaders of local projects show innovative and mainly broadly applied technical solutions (systematic recycling of rainwater, deployment of extended solar panels, photovoltaic panels, etc.) and technicians and policy-makers have the opportunity to test, validate and correct certain choices. These projects are also considered as places that promote a learning procedure for stakeholders and citizens (Kyvelou, 2010).

## **2.3. From the mid-90s a new type of eco-neighbourhood appears based on environmental quality criteria**

In the third category, eco-neighborhood projects are initiated in a conventional manner since they mobilise ordinary tools of development and construction but they integrate

environmental quality objectives. In other words, these districts adopt common and unexceptional production methods in order to integrate sustainable development perspectives. Some of them clearly refer to the achievements of the 'prototype' sustainable neighborhoods (the so-called European 'vedettes'). These projects, often modest in size, are being planned in a long-term period and they are sometimes considered as resulting from the dissemination procedure of the proto-neighborhoods and the 'prototype' ones. Nevertheless, Souami argues that, according to his investigations and research, there is no systematic genealogy and explicit influences between these neighborhoods (Souami, 2009).

Developing a South-European Eco-Quarter Design and Assessment Tool Based on the Concept of Territorial Capital 565

**3.1. Το BioRegional one planet living framework** 

challenges and develop appropriate solutions (Table 1).

Sustainable transport

Sustainable materials

Local and sustainable food

Sustainable water

Land use and wildlife

Culture and heritage

Equity and local economy

Health and happiness

This framework consists of ten principles which should govern sustainable communities, namely, zero carbon, zero waste, sustainable transport, sustainable materials, local and sustainable food, sustainable water, land use and wildlife, culture and heritage, equity and local economy and lastly health and happiness. This approach is a very simple one and can be easily used to help individuals and local stakeholders to examine the sustainability

Zero carbon Making buildings more energy efficient and delivering all

Zero waste Reducing waste, reusing where possible, and ultimately sending zero waste to landfill.

resources.

pollution.

environment.

trade.

**Table 1.** Principles of BioRegional One Planet Living framework

participating in the arts.

good health and well being.

reducing food waste.

energy with renewable technologies.

emissions, reducing the need to travel.

Encouraging low carbon modes of transport to reduce

Using sustainable healthy products, with low embodied energy, sourced locally, made from renewable or waste

Choosing low impact, local, seasonal and organic diets and

Protecting and restoring biodiversity and natural habitats through appropriate land use and integration into the built

employment, inclusive communities and international fair

Encouraging active, sociable, meaningful lives to promote

Reviving local identity and wisdom; supporting and

Creating bioregional economies that support fair

Using water more efficiently in buildings and in the products we buy; tackling local flooding and water course

Furthermore, history shows that eco-neighborhood projects concern issues arising from territorial, urban, social and economic aspirations that go beyond environmental considerations. These socioeconomic and urban contexts are different in each case: economic prosperity for some of them, acute socioeconomic crisis for others, reshaping of political and institutional context, poverty, etc. This diversity proves that there is no common profile to serve as a basis for the creation of an eco-neighborhood. In all cases, eco-neighborhoods are implemented in order to enhance image of the city and local identity. The objective is to protect the sites concerned and therefore the cities where they belong, from their prior image. This image is part of the elaboration of public policies across the whole city. The classification of a district based on its environmental performance depends on a long-term work on the construction of place identity and the deepening of the feeling of belonging to this neighborhood. The place would no longer be identified by its history, its people, its animation or attendance. It would initially live through the image of environmental performance that circulates outside. The existence of prior approaches and actions on environmental issues is not always an asset for the development of operational projects aimed at sustainable development. In some cases, certain environmental policies have applications in connection with sustainable urban projects. In other cases, affected communities have not been able to mobilise their achievements of past policies to initiate and carry out operational projects of environmental quality. Sometimes, sustainable neighbourhoods are not preceded by pre-existing environmental policies. Summing up, we should note that:


## **3. Eco-neighborhood tools**

There are numerous tools developed so far, to assess performance of eco-neighborhoods and provide guidance for their planning and design. The following are the most popular ones.

## **3.1. Το BioRegional one planet living framework**

564 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

2009).

should note that:

environmental quality objectives. In other words, these districts adopt common and unexceptional production methods in order to integrate sustainable development perspectives. Some of them clearly refer to the achievements of the 'prototype' sustainable neighborhoods (the so-called European 'vedettes'). These projects, often modest in size, are being planned in a long-term period and they are sometimes considered as resulting from the dissemination procedure of the proto-neighborhoods and the 'prototype' ones. Nevertheless, Souami argues that, according to his investigations and research, there is no systematic genealogy and explicit influences between these neighborhoods (Souami,

Furthermore, history shows that eco-neighborhood projects concern issues arising from territorial, urban, social and economic aspirations that go beyond environmental considerations. These socioeconomic and urban contexts are different in each case: economic prosperity for some of them, acute socioeconomic crisis for others, reshaping of political and institutional context, poverty, etc. This diversity proves that there is no common profile to serve as a basis for the creation of an eco-neighborhood. In all cases, eco-neighborhoods are implemented in order to enhance image of the city and local identity. The objective is to protect the sites concerned and therefore the cities where they belong, from their prior image. This image is part of the elaboration of public policies across the whole city. The classification of a district based on its environmental performance depends on a long-term work on the construction of place identity and the deepening of the feeling of belonging to this neighborhood. The place would no longer be identified by its history, its people, its animation or attendance. It would initially live through the image of environmental performance that circulates outside. The existence of prior approaches and actions on environmental issues is not always an asset for the development of operational projects aimed at sustainable development. In some cases, certain environmental policies have applications in connection with sustainable urban projects. In other cases, affected communities have not been able to mobilise their achievements of past policies to initiate and carry out operational projects of environmental quality. Sometimes, sustainable neighbourhoods are not preceded by pre-existing environmental policies. Summing up, we

there is not a prerequisite for environmental policy or a prerequisite for sustainable

 eco-neighborhoods are often conducted in parallel with the establishment of local policies for sustainable development and these projects may contribute to developing

eco-neighborhoods are not the operational implementation of existing policies for

There are numerous tools developed so far, to assess performance of eco-neighborhoods and provide guidance for their planning and design. The following are the most popular ones.

sustainable development which prove and demonstrate their effectiveness.

development to achieve eco-neighbourhoods;

local sustainable development policies;

**3. Eco-neighborhood tools** 

This framework consists of ten principles which should govern sustainable communities, namely, zero carbon, zero waste, sustainable transport, sustainable materials, local and sustainable food, sustainable water, land use and wildlife, culture and heritage, equity and local economy and lastly health and happiness. This approach is a very simple one and can be easily used to help individuals and local stakeholders to examine the sustainability challenges and develop appropriate solutions (Table 1).

The One Planet Communities programme uses a set of Common International Targets against each of the 10 One Planet principles to ensure that international partners' projects are guided towards a shared end-point by 2020 and to determine what level of performance is required for a development to be endorsed. Behind the One Planet initiative there are three overarching environmental drivers:

Developing a South-European Eco-Quarter Design and Assessment Tool Based on the Concept of Territorial Capital 567

activity

businesses

DPL is an approach for sustainable urban planning that attempts to quantify and measure sustainability of urban areas (districts) based on 25 environmental, social and economic indicators (Planet, People, Profit) (Table 3). Planet indicators are subdivided into two categories, namely, stocks and local environment. People indicators are subdivided into four categories namely, safety, services, green space water and quality. Profit indicators are subdivided into three categories namely, economic vitality, sustainable businesses and capacity change. DPL was developed by IVAM in cooperation with TNO Environment and Geosciences and with financial support from the Dutch Ministry of Housing Spatial

**PLANET PEOPLE PROFIT**

stocks safety economic vitality 1. Material use 10. Social safety 20. Local employment 2. Energy use 11. Traffic safety 21. Local economic

local environment services 22. sustainable

17. Quality of the district 18. Quality of the dwellings

19. Social cohesion **Table 3.** The indicators of sustainability assessment according to DPL

3. Land use 12. External safety sustainable businesses

The objective of the Med Eco-Quartiers Project was to define precisely the criteria and tools for creating eco-neighborhoods in the Mediterranean region, by studying different cultures, procedural approaches and environments. As part of the project four working tools were developed. They range from the phase of project design to the final realisation phase. The

13. Quality of services capacity to change

14. Access to services capacity to change 23. Flexibility

green space and water 24. Mixed use

15. Local green space 25. ICT infrastructure

**3.3. The DPL approach** 

4. Water management

5. Soil

6. Waste management

water

contamination

7. Air pollution green space and

8. Noise 16. Local water

**3.4. The Med Eco-Quartier approach** 

9.Smells quality

Planning and the Environment (VROM).

**DPL – sustainability profile of a district**


## **3.2. Τhe Eco Town framework by the Cambridge quality charter of growth**

The Eco-Town framework focuses on state of the art green building, energy and transport technologies and materials to be used in an urban development context. The task is to ensure zero-carbon housing and that energy efficiencies are achieved through waste reduction, energy conservation technologies and use of more sustainable sources of energy.

The Eco Town approach refers to new settlements with a minimum of 5000 homes where the developments should reach zero carbon standards, should provide good range of facilities and affordable housing. The framework consists of four fields, the four Cs, namely, climate, connectivity, community and character. Each one of the four is subdivided in several criteria (Table 2).


**Table 2.** Principles of Eco-Town framework

## **3.3. The DPL approach**

566 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**3.2. Τhe Eco Town framework by the Cambridge quality charter of growth** 

The Eco-Town framework focuses on state of the art green building, energy and transport technologies and materials to be used in an urban development context. The task is to ensure zero-carbon housing and that energy efficiencies are achieved through waste reduction, energy conservation technologies and use of more sustainable sources of energy.

The Eco Town approach refers to new settlements with a minimum of 5000 homes where the developments should reach zero carbon standards, should provide good range of facilities and affordable housing. The framework consists of four fields, the four Cs, namely, climate, connectivity, community and character. Each one of the four is subdivided in

three overarching environmental drivers:

 sustainable ecological footprint; sustainable carbon footprint; and clean (non-polluting) activities.

several criteria (Table 2).

UK Eco-Towns

Climate Energy

Character Place-making

Community Social mix

**Table 2.** Principles of Eco-Town framework

Water

Environment

Investment

Connectivity Employment opportunities Transport Services

Governance

Planning for low carbon Low-environmental

Locally-based facilities

Delivery organisation

New design and High Design Standards

Attractiveness and desirability

Sustainable community principles

The One Planet Communities programme uses a set of Common International Targets against each of the 10 One Planet principles to ensure that international partners' projects are guided towards a shared end-point by 2020 and to determine what level of performance is required for a development to be endorsed. Behind the One Planet initiative there are

DPL is an approach for sustainable urban planning that attempts to quantify and measure sustainability of urban areas (districts) based on 25 environmental, social and economic indicators (Planet, People, Profit) (Table 3). Planet indicators are subdivided into two categories, namely, stocks and local environment. People indicators are subdivided into four categories namely, safety, services, green space water and quality. Profit indicators are subdivided into three categories namely, economic vitality, sustainable businesses and capacity change. DPL was developed by IVAM in cooperation with TNO Environment and Geosciences and with financial support from the Dutch Ministry of Housing Spatial Planning and the Environment (VROM).


**Table 3.** The indicators of sustainability assessment according to DPL

## **3.4. The Med Eco-Quartier approach**

The objective of the Med Eco-Quartiers Project was to define precisely the criteria and tools for creating eco-neighborhoods in the Mediterranean region, by studying different cultures, procedural approaches and environments. As part of the project four working tools were developed. They range from the phase of project design to the final realisation phase. The

four tools are *Med Eco-urbanisme*, *Med Eco-constructibilité*, *Med Eco-gouvernance* and *Med Ecosensibilisation* (Tables 4 & 5)

Developing a South-European Eco-Quarter Design and Assessment Tool Based on the Concept of Territorial Capital 569

Buildings, Innovation and Design Process and Regional Priority Credit. The tool similarly to LEED for buildings calculates a certification estimate and gives five total scores, namely

Formalised in March 2010, the "HQE aménagement" has been subject of a Guide issued under the auspices of the HQE Association. It is, primarily, a pragmatic and ambitious methodology, mostly based on the feedback from concrete operational projects of development. It is based on business and professional logic, which is the one of the developers. The "HQE aménagement" also aims at equipping every stakeholder involved in the development with a reference framework and a common vocabulary for conducting eco-

2. Density

6. Water

9. Waste

12. Health

1. Wider territorial unity and local frame

4. Cultural heritage, landscape and identity

3. Mobility and accessibility

7. Energy and Climate 8. Materials and equipment

5. Adaptability and evolutivity

10. Ecosystem and biodiversity 11. Natural and technological risks

13. Economy of the project 14. Mixture of uses and land uses 15. Atmosphere and public spaces 16. Integration and training 17. Local economy dynamics

Smart Location and Linkage 27 points Neighborhood Pattern and Design 44 points Green Infrastructure and Buildings 29 points Innovation and Design Process 6 points Regional Priority Credit 4 points

certified, silver, gold and platinum.

**3.6. The HQE aménagement** 

**HQE Aménagement**

health quality

**LEED for Neighborhood Development**

**Table 6.** The basic categories of LEED for Neighborhood tool

districts and improving professional practices.

**Objectives Themes**

Ensure integration and cohesion in relation to the urban tissue and other territorial scales

Preserve natural resources and promote environmental and

Promote social life and support dynamics of local economy

**Table 7.** The basic topics of HQE Aménagement


**Table 4.** The six criteria for the development of Mediterranean eco-neighborhoods by the MED Ecourbanism


**Table 5.** Preoccupations for the Mediterranean eco-neighborhoods, source : "MED-Ecoquartiers"

The Med Eco-planning tool consists of a grid of decision support and audience piloting development project. The overall approach, crossing the various themes of sustainable urban design leads to the fundamental objectives of the project. The study of the Med Ecoplanning tool recommendations allows the specification of the characteristics of the new district. Even if the Med Eco-planning tool provides a framework for reflection and action, it remains a deliverable that has not proved its replication value since it has not been linked with implementation of eco-neighborhoods in the Mediterranean (Kyvelou & Papadopoulos, 2011).

## **3.5. The LEED for Neighborhood development project scorecard**

The tool is subdivided into five categories. Each of them has several analysis criteria, which are either prerequisite or are being given a score (Table 6). The main categories are Smart Location and Linkage, Neighbourhood pattern and Design, Green Infrastructure and Buildings, Innovation and Design Process and Regional Priority Credit. The tool similarly to LEED for buildings calculates a certification estimate and gives five total scores, namely certified, silver, gold and platinum.


**Table 6.** The basic categories of LEED for Neighborhood tool

### **3.6. The HQE aménagement**

568 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

*sensibilisation* (Tables 4 & 5)

**Criteria of ΜΕD ECO-urbanism** 1. Government and organisation 2. Economic and social growth

4. Restriction of urban sprawl

5. Local services

Preserving resources Reducing pollution Reducing waste

Improving comfort Preserving health Culture and heritage

Maintenance evolutions mastering cost excess Local networks

Papadopoulos, 2011).

Low nuisances building sites

urbanism

3. Natural and cultural/archaeological heritage

Managing natural and technological risks

Integration of the public into the project

6. Mediterranean natural and climatic characteristics

**Preoccupations for the Mediterranean eco-neighborhoods**

four tools are *Med Eco-urbanisme*, *Med Eco-constructibilité*, *Med Eco-gouvernance* and *Med Eco-*

**Table 4.** The six criteria for the development of Mediterranean eco-neighborhoods by the MED Eco-

**Table 5.** Preoccupations for the Mediterranean eco-neighborhoods, source : "MED-Ecoquartiers"

**3.5. The LEED for Neighborhood development project scorecard** 

The Med Eco-planning tool consists of a grid of decision support and audience piloting development project. The overall approach, crossing the various themes of sustainable urban design leads to the fundamental objectives of the project. The study of the Med Ecoplanning tool recommendations allows the specification of the characteristics of the new district. Even if the Med Eco-planning tool provides a framework for reflection and action, it remains a deliverable that has not proved its replication value since it has not been linked with implementation of eco-neighborhoods in the Mediterranean (Kyvelou &

The tool is subdivided into five categories. Each of them has several analysis criteria, which are either prerequisite or are being given a score (Table 6). The main categories are Smart Location and Linkage, Neighbourhood pattern and Design, Green Infrastructure and Formalised in March 2010, the "HQE aménagement" has been subject of a Guide issued under the auspices of the HQE Association. It is, primarily, a pragmatic and ambitious methodology, mostly based on the feedback from concrete operational projects of development. It is based on business and professional logic, which is the one of the developers. The "HQE aménagement" also aims at equipping every stakeholder involved in the development with a reference framework and a common vocabulary for conducting ecodistricts and improving professional practices.



It is a thematic approach that describes the objectives that are sought within the sustainable operation of development. Organised in 17 themes, it allows the direct choice of sustainable actions for the implementation of the following characteristics and subjects of interest (Table 7). The 17 themes are divided into three major sets: territorial analysis - technical and environmental analysis - socio-economic analysis.

Developing a South-European Eco-Quarter Design and Assessment Tool Based on the Concept of Territorial Capital 571

Ministers on 22 October 2008, aimed at fostering the emergence of a new way to design, build, develop and manage the city. As defined by the Ministry of Ecology, Sustainable Development, Transport and Housing (MEDDTL), the eco-neighborhood is a sustainable operation of high demonstrative and exemplary value. Considered as key measure of the Sustainable City Plan of MEDDTL, it contributes to improving quality of life, while adapting to tomorrow's challenges: "preserving resources and landscapes, while preparing the conditions for the creation of a suitable housing supply". A first call for projects for the competition entitled "EcoQuartier" was launched in October 2008 with local communities to bring together stakeholders of quality operations within an operational Club, enhance their actions and allow the dissemination of good practices. 160 projects have been submitted by communities, coming from all French regions. In 2009, the following cross-cutting issues have enabled to distinguish the winning communities through a ranking of 28 projects:

Relevance of the urban project, governance, management and structuring of the project,

Water, waste, biodiversity, mobility, energy efficiency and renewable energy, density

The National Award was delivered to the ZAC of Bonne in Grenoble (38). The second call for eco-neighborhood projects was launched in January 2011. A new eco-neighborhood grid was set up in order to serve the project analysis by experts but also to provide a "framework for thought" by any community seeking to implement an eco-neighborhood. In 2011, 393


The success of the two calls for proposals (2009 and 2011) demonstrated the enthusiasm of local communities to develop sustainable operations, whether in cities, towns or rural communities. A committee charged to form a proposal for an "écoquartier label" was formed. This committee issued, late 2011, recommendations addressing to the Minister of Housing and Urban Development for the establishment of a national eco-district label.

These centrally directed processes in cooperation with local authorities highlight already major projects and underline the fact that the phenomenon of eco-neighborhoods is widespread in France and building resilience is ongoing for these innovative projects of

Moreover, the HQE Association, a public character platform of stakeholders dealing with sustainable building and sustainable urban development, in collaboration with SNAL (Syndicat National des Aménageurs Lotisseurs) which is a federation of over 300 private developers who contribute to the production of more than 25,000 houses annually, have produced a guide on how to integrate the HQE process for buildings in urban projects. This was the concept that led to the creation of a new HQE process entitled "HQE Aménagement" which has been subject of experimentation since 2006 in 10 pilot community

applications were submitted. A double Grand National Award was delivered to:


mixt uses and environmental aspects of the development.

and urban forms, sustainable construction.

Plateau

urban development.


## **4. Is there a South-European model of eco-neighbourhood?**

The north-european eco-neighborhood model is mainly described by its technical and environmental performance in terms of energy, saving water or recycling materials. They seem to be the main mechanism to move from principles to the effective implementation of sustainable urban development. The urban planning and design and the implementation of networks are resulting from this approach. This model governed by the environmental approach and its performance is mainly used by communities as a powerful tool of communication, promoting the region and even as leverage to reverse social and economic depreciation. However, these social and economic aspects are not sufficiently highlighted and are not explicitly included within the agreed content of the model. On the contrary, Southern European countries and especially the Mediterranean seem to prefix social, economic and governance issues and less attention is paid to environmental performances at least from the point of view of their initial definition and specification.

## **4.1. The case of France: Relative delay, centrally directed movement, focus on societal issues**

In France, despite a relative delay, many cities have been engaged recently in the process of sustainable neighborhoods. Most of the projects are being actually studied and implemented, so their status does not allow to fully evaluate the results and present a meaningful analysis. In addition, the famous "Grenelle de l' Environnement" has proposed to initiate a plan of voluntary eco-neighborhoods driven by local governments: at least one eco-neighborhood in every municipality that intends to realise programmes of housing development until 2012 (in continuity with the existing urban texture and integrated in the city master plans) as well as fifteen large-scale projects of energy, architectural and social innovation, while the release of growth is planned to occur by 2012 through the creation of ten "Ecopolises", that is cities of at least 50,000 inhabitants integrating environmental quality and new information and communication technologies ("Attali" commission).

What is important in France is the strong political will and the consequent centrally directed generalisation: the "Sustainable City Plan" (Plan Ville Durable), presented to the Council of Ministers on 22 October 2008, aimed at fostering the emergence of a new way to design, build, develop and manage the city. As defined by the Ministry of Ecology, Sustainable Development, Transport and Housing (MEDDTL), the eco-neighborhood is a sustainable operation of high demonstrative and exemplary value. Considered as key measure of the Sustainable City Plan of MEDDTL, it contributes to improving quality of life, while adapting to tomorrow's challenges: "preserving resources and landscapes, while preparing the conditions for the creation of a suitable housing supply". A first call for projects for the competition entitled "EcoQuartier" was launched in October 2008 with local communities to bring together stakeholders of quality operations within an operational Club, enhance their actions and allow the dissemination of good practices. 160 projects have been submitted by communities, coming from all French regions. In 2009, the following cross-cutting issues have enabled to distinguish the winning communities through a ranking of 28 projects:

570 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

environmental analysis - socio-economic analysis.

urban area and other territorial levels.

environmental quality and health.

economy.

**societal issues** 

It is a thematic approach that describes the objectives that are sought within the sustainable operation of development. Organised in 17 themes, it allows the direct choice of sustainable actions for the implementation of the following characteristics and subjects of interest (Table 7). The 17 themes are divided into three major sets: territorial analysis - technical and

Territorial Analysis: Ensure integration and consistency of the eco-district with the

Technical and Environmental Analysis: Preserve natural resources and promote

Socio-Economic analysis: Promote social life and strengthen the dynamics of local

The north-european eco-neighborhood model is mainly described by its technical and environmental performance in terms of energy, saving water or recycling materials. They seem to be the main mechanism to move from principles to the effective implementation of sustainable urban development. The urban planning and design and the implementation of networks are resulting from this approach. This model governed by the environmental approach and its performance is mainly used by communities as a powerful tool of communication, promoting the region and even as leverage to reverse social and economic depreciation. However, these social and economic aspects are not sufficiently highlighted and are not explicitly included within the agreed content of the model. On the contrary, Southern European countries and especially the Mediterranean seem to prefix social, economic and governance issues and less attention is paid to environmental performances at

**4.1. The case of France: Relative delay, centrally directed movement, focus on** 

and new information and communication technologies ("Attali" commission).

In France, despite a relative delay, many cities have been engaged recently in the process of sustainable neighborhoods. Most of the projects are being actually studied and implemented, so their status does not allow to fully evaluate the results and present a meaningful analysis. In addition, the famous "Grenelle de l' Environnement" has proposed to initiate a plan of voluntary eco-neighborhoods driven by local governments: at least one eco-neighborhood in every municipality that intends to realise programmes of housing development until 2012 (in continuity with the existing urban texture and integrated in the city master plans) as well as fifteen large-scale projects of energy, architectural and social innovation, while the release of growth is planned to occur by 2012 through the creation of ten "Ecopolises", that is cities of at least 50,000 inhabitants integrating environmental quality

What is important in France is the strong political will and the consequent centrally directed generalisation: the "Sustainable City Plan" (Plan Ville Durable), presented to the Council of

**4. Is there a South-European model of eco-neighbourhood?** 

least from the point of view of their initial definition and specification.


The National Award was delivered to the ZAC of Bonne in Grenoble (38). The second call for eco-neighborhood projects was launched in January 2011. A new eco-neighborhood grid was set up in order to serve the project analysis by experts but also to provide a "framework for thought" by any community seeking to implement an eco-neighborhood. In 2011, 393 applications were submitted. A double Grand National Award was delivered to:


The success of the two calls for proposals (2009 and 2011) demonstrated the enthusiasm of local communities to develop sustainable operations, whether in cities, towns or rural communities. A committee charged to form a proposal for an "écoquartier label" was formed. This committee issued, late 2011, recommendations addressing to the Minister of Housing and Urban Development for the establishment of a national eco-district label.

These centrally directed processes in cooperation with local authorities highlight already major projects and underline the fact that the phenomenon of eco-neighborhoods is widespread in France and building resilience is ongoing for these innovative projects of urban development.

Moreover, the HQE Association, a public character platform of stakeholders dealing with sustainable building and sustainable urban development, in collaboration with SNAL (Syndicat National des Aménageurs Lotisseurs) which is a federation of over 300 private developers who contribute to the production of more than 25,000 houses annually, have produced a guide on how to integrate the HQE process for buildings in urban projects. This was the concept that led to the creation of a new HQE process entitled "HQE Aménagement" which has been subject of experimentation since 2006 in 10 pilot community

projects. This approach aims at ensuring that all environmental, social and economic concerns are handled by developers and should allow private or public developers to monitor the project so that it incorporates a variety of concerns and all stakeholders likely to be involved: professionals, residents, technical services of the community. The "HQE Aménagement" is fully compatible with the future label "écoquartier" planned by the Ministry of Ecology, Sustainable Development, Transport and Housing (MEDDTL) as far as both piloting, management system and process of the development project are concerned.

Developing a South-European Eco-Quarter Design and Assessment Tool Based on the Concept of Territorial Capital 573

results from strategic planning (Nonni, Laghi, 2008). The project is a strategic planning one

Eco district ideas are still in their infancy in Greece, despite a boost in green development initiated recently by the government. There is no real "eco-neighborhood" implemented in Greece and many questions need to be answered on the way to implement econeighborhood projects in the country. Nevertheless, Greece has participated in the Med-Ecoquartiers through a project to construct 88 housing units in the city of Elefsis. The project was carried out by the Workers' Housing Organization, a public institution that since its inception in 1954, is responsible for the construction of social or workers housing dwellings, but the Elefsis project was already in construction phase which is a fact that has hampered the implementation of the Med-Ecoquartiers tools. They only contributed to a partial modification of the original design and improved the environmental performance of the project in some areas. However, the involvement of the Organization in the Project has contributed to a broader learning process to the extent that achieved awareness and knowledge around the question of eco-neighborhoods has had a replication effect through the adoption of the criteria introduced by the programme to other projects managed by the same organisation : a new settlement in Iasmos (Rodopi) has been designed as a pilot village for implementing as much as possible the methodological tools produced by Med-Ecoquartiers and major part of the sustainable planning was the consultation between the various stakeholders, the local government and the residents in order to build the necessary resilience (Kyvelou & Papadopoulos,2011). Moreover, the Organisation has announced a European architectural competition in collaboration to the Greek Institute of Architecture (EIA) regarding the environmental design of a new social housing settlement and is currently expanding its ecological action, by participating in the ELIH-MED Project dealing

**4.4. Greek eco-neighborhood projects linked with workers' housing projects** 

with energy refurbishment of low-income housing in the Mediterranean.

*4.4.1. "Green neighborhood" projects in depreciated areas of western Athens* 

The most recent attempts to develop eco-neighborhood projects in Athens is the one led by the Ministry of Environment, Energy and Climate change and the Centre for Renewable Energy Sources (CRES) in the depreciated and low-income area of western Athens, namely the municipalities of Aigaleon and Aghia Varvara. Nevertheless the scale of the projects is too small and no real sustainable approach can be implemented. In fact, a block of 4 social housing buildings has been chosen to serve for the pilot implementation of both zero energy buildings and an interior urban oasis as well, to improve microclimate conditions. The ministry is also attempting to implement a particular public-private partnership scheme, through voluntary agreements with small construction enterprises which can provide construction materials and building products to affordable prices. The success of this scheme is crucial for accomplishing a major objective of the project, that is to stimulate local economy dynamics. Another remark that has to be made concerns the failure of a firstly

with people and their relationships at the centre.

To note that the design of eco-neighborhoods in France gives emphasis on the social dimension of the outputs (Lefèvre & Sabard, 2009) even by means of the rebirth of the cooperative movement, which is evident since the beginning of 2000 in France.

## **4.2. A mediterranean eco-neighborhood model elaborated in the framework of an interregional cooperation programme**

The overall objective of the MED-Ecoquartiers project, carried out in the frame of the Medocc-INTERREG IIB and based on a European regional partnership, was to produce a common methodology in order to serve as a set of principles for the creation of new neighborhoods that are consistent with the principles of sustainability (planning, building, energy, mobility, quality of life, activities, natural resources, historic buildings and landscape) in the countries of the Western Mediterranean. It grouped the cities of Pezenas (eco-neighborhood of Saint-Christol, 29 ha for 1700 inhabitants), Dos Hermanas (Spain, econeighborhood Montequinto for 12,000 inhabitants), Faenza (Italy, eco-district of San Rocco, 350 dwellings for 1,000 inhabitants), Elefsis (Greece, eco-neighborhood of 88 apartments on 3 hectares).

## **4.3. Strategic spatial planning prevailing in an Italian eco-district project**

Under the hypothesis that "there is no a unique Mediterranean city, but only many different Mediterranean cities" and looking for describing as much as possible the Mediterranean diversity, the Italian partners of the Med-Ecoquartiers Project have elaborated one of the most significant examples in St Rocco neighborhood in the City of Faenza. The San Rocco neighborhood project in Faenza addressed the two fundamental issues for the construction of new neighborhoods; the first one related to land use and consequently town planning, while the second one related to experimental aspects, implementation techniques, the use of materials and innovative technology that can improve the overall quality of the ecosystem. The San Rocco neighborhood seems to be totally oriented towards the "relationship style of planning", even though a great deal of attention has been paid to the physical product, if only to ensure environmental sustainability. The experimental planning and building of the San Rocco neighborhood bridges the gap between product focused and relationship focused planning and is strongly Mediterranean in culture. Residents' involvement was also enhanced. Another useful conclusion deriving from the Italian Project is that a Mediterranean eco-neighborhood results from strategic planning (Nonni, Laghi, 2008). The project is a strategic planning one with people and their relationships at the centre.

## **4.4. Greek eco-neighborhood projects linked with workers' housing projects**

572 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

cooperative movement, which is evident since the beginning of 2000 in France.

**an interregional cooperation programme** 

3 hectares).

projects. This approach aims at ensuring that all environmental, social and economic concerns are handled by developers and should allow private or public developers to monitor the project so that it incorporates a variety of concerns and all stakeholders likely to be involved: professionals, residents, technical services of the community. The "HQE Aménagement" is fully compatible with the future label "écoquartier" planned by the Ministry of Ecology, Sustainable Development, Transport and Housing (MEDDTL) as far as both piloting, management system and process of the development project are concerned.

To note that the design of eco-neighborhoods in France gives emphasis on the social dimension of the outputs (Lefèvre & Sabard, 2009) even by means of the rebirth of the

**4.2. A mediterranean eco-neighborhood model elaborated in the framework of** 

The overall objective of the MED-Ecoquartiers project, carried out in the frame of the Medocc-INTERREG IIB and based on a European regional partnership, was to produce a common methodology in order to serve as a set of principles for the creation of new neighborhoods that are consistent with the principles of sustainability (planning, building, energy, mobility, quality of life, activities, natural resources, historic buildings and landscape) in the countries of the Western Mediterranean. It grouped the cities of Pezenas (eco-neighborhood of Saint-Christol, 29 ha for 1700 inhabitants), Dos Hermanas (Spain, econeighborhood Montequinto for 12,000 inhabitants), Faenza (Italy, eco-district of San Rocco, 350 dwellings for 1,000 inhabitants), Elefsis (Greece, eco-neighborhood of 88 apartments on

**4.3. Strategic spatial planning prevailing in an Italian eco-district project** 

Under the hypothesis that "there is no a unique Mediterranean city, but only many different Mediterranean cities" and looking for describing as much as possible the Mediterranean diversity, the Italian partners of the Med-Ecoquartiers Project have elaborated one of the most significant examples in St Rocco neighborhood in the City of Faenza. The San Rocco neighborhood project in Faenza addressed the two fundamental issues for the construction of new neighborhoods; the first one related to land use and consequently town planning, while the second one related to experimental aspects, implementation techniques, the use of materials and innovative technology that can improve the overall quality of the ecosystem. The San Rocco neighborhood seems to be totally oriented towards the "relationship style of planning", even though a great deal of attention has been paid to the physical product, if only to ensure environmental sustainability. The experimental planning and building of the San Rocco neighborhood bridges the gap between product focused and relationship focused planning and is strongly Mediterranean in culture. Residents' involvement was also enhanced. Another useful conclusion deriving from the Italian Project is that a Mediterranean eco-neighborhood Eco district ideas are still in their infancy in Greece, despite a boost in green development initiated recently by the government. There is no real "eco-neighborhood" implemented in Greece and many questions need to be answered on the way to implement econeighborhood projects in the country. Nevertheless, Greece has participated in the Med-Ecoquartiers through a project to construct 88 housing units in the city of Elefsis. The project was carried out by the Workers' Housing Organization, a public institution that since its inception in 1954, is responsible for the construction of social or workers housing dwellings, but the Elefsis project was already in construction phase which is a fact that has hampered the implementation of the Med-Ecoquartiers tools. They only contributed to a partial modification of the original design and improved the environmental performance of the project in some areas. However, the involvement of the Organization in the Project has contributed to a broader learning process to the extent that achieved awareness and knowledge around the question of eco-neighborhoods has had a replication effect through the adoption of the criteria introduced by the programme to other projects managed by the same organisation : a new settlement in Iasmos (Rodopi) has been designed as a pilot village for implementing as much as possible the methodological tools produced by Med-Ecoquartiers and major part of the sustainable planning was the consultation between the various stakeholders, the local government and the residents in order to build the necessary resilience (Kyvelou & Papadopoulos,2011). Moreover, the Organisation has announced a European architectural competition in collaboration to the Greek Institute of Architecture (EIA) regarding the environmental design of a new social housing settlement and is currently expanding its ecological action, by participating in the ELIH-MED Project dealing with energy refurbishment of low-income housing in the Mediterranean.

#### *4.4.1. "Green neighborhood" projects in depreciated areas of western Athens*

The most recent attempts to develop eco-neighborhood projects in Athens is the one led by the Ministry of Environment, Energy and Climate change and the Centre for Renewable Energy Sources (CRES) in the depreciated and low-income area of western Athens, namely the municipalities of Aigaleon and Aghia Varvara. Nevertheless the scale of the projects is too small and no real sustainable approach can be implemented. In fact, a block of 4 social housing buildings has been chosen to serve for the pilot implementation of both zero energy buildings and an interior urban oasis as well, to improve microclimate conditions. The ministry is also attempting to implement a particular public-private partnership scheme, through voluntary agreements with small construction enterprises which can provide construction materials and building products to affordable prices. The success of this scheme is crucial for accomplishing a major objective of the project, that is to stimulate local economy dynamics. Another remark that has to be made concerns the failure of a firstly

launched project in Aigaleo due to the non capacity of the local authority to fully understand the project and find the necessary institutional tools to cope with the land and buildings ownership related constraints.

Developing a South-European Eco-Quarter Design and Assessment Tool Based on the Concept of Territorial Capital 575

since it doesn't promote neither social mixing, nor economic efficiency, accessibility and affordability or cooperation among inhabitants. In conclusion we would say that an econeighborhood may be regarded as such only if it is the result of social dynamics and not a

**5. Findings of the comparative study of the existing assessment tools** 

The investigation with regard to the existing tools showed that they address different parameters and have different focus. It is not easy to select the most appropriate tool, since there is none of them addressing all the issues and remaining, at the same time, easy to use. It was shown that most of the environmental, social and economic parameters are being

However, in many of the cases, there are parameters that were neglected. Two of them is good design and place-making. It is strongly believed by the authors that the latter should be included to an eco-neighborhood approach and addressed at an earlier stage. The aspect of good design is not only related to environmental design and its many criteria but also to issues such as attractiveness and high design standards which are addressed by the Cambridge Quality Charter of Growth. Place-making, that is making of a real coherent

On the other hand, since current economic and financial crisis lead to fragmentation of society, special attention has to be paid, in these projects, on social equity issues as one of the aims of sustainable territorial development. The principle of social equity focuses on the right to work and housing but also on the access to services and public goods and on the fight against poverty and social exclusion. Each citizen must have access to a job and decent housing, but also to the essential public goods. The access to housing, medical care, education and information should lead to a more stable society capable of solidarity, tolerance and generating participation. It can develop its traditions while promoting a sustainable lifestyle. Finally, 'social equity' can be defined as the addition of the merit principle of equality. This aim can be divided into four targets: ensuring everyone an adequate housing, ensuring access to efficient public services, promoting access to employment, fighting against occupational and social exclusion. To achieve the first target,

integrate urban projects in a social housing policy consistent with the entire city.

sense of purpose and partnership through the following actions:

Apart from social equity principles, an eco-neighbourhood initiative should be based on adaptive and flexible governance schemes (Chouvet, 2007), that is bring together community stakeholders, property developers, utilities, and the city to solidify a shared

neighborhood with social and territorial cohesion is also often neglected.

simple consumer product (Kyvelou & Papadopoulos, 2011).

implemented in different ways for each project.

the issues in a territorial project are:

 promote diversity of housing supply promote affordable housing policy

promote the social mix

As fas as the Aghia Varvara project is concerned, both on-site visits, use of interactive questionnaires and data collection from the Public Power Corporation confirmed the need for interventions in buildings in three key areas: The first one concerns exterior insulation of the building shell, replacement of old simple glazed window frames with double glazing, replacement of old blinds and use of cold paintings. The second axis is to replace the various heating and cooling systems with an energy efficient central heating and cooling system. Finally, ensuring hot water through a central solar system is the third axis of the operation.

The programme is aiming at maximising energy efficiency of the neighborhood, achieving thermal comfort for residents and improving significantly their quality of life and at the same time minimise environmental impacts.

**Figure 1.** Social housing apartment buildings and the urban tissue of the Aghia Varvara (Western Athens) green neighborhood project.

## *4.4.2. Private eco-developments in high-income suburbs, focusing on marketing*

Private projects can be often met in the Mediterranean area as they concern the creation of eco-villages either of secondary residences and touristic complexes or high income level housing in prestigious suburbs. In these projects, innovation and marketing for commercial reasons are usually prevailing. An example of such a development is the "Designer Village" developed by a private construction company in Dionysos, on the foothill of the Pendeli mountain. The project concerns the development of 85 plots in which 240 dwellings are being erected. Each plot has approx. an area of 1500m2. In an attempt to use green marketing tools, nine Greek architectural cabinets of different architectural perceptions and tendencies have been invited by the construction company, to put down their inspirations. "Designer Village" is already referred to as a kind of park of exemplary Mediterranean architecture, characterized as an "excellent project" by an EC programme competition. It focuses on energy efficient techniques and improvement of thermal and visual comfort and indoor air quality. Although the environmental objectives and targets associated with the rational use of resources (energy, water etc) are ambitious, the complex is far from being characterised as eco-neighborhood since it doesn't promote neither social mixing, nor economic efficiency, accessibility and affordability or cooperation among inhabitants. In conclusion we would say that an econeighborhood may be regarded as such only if it is the result of social dynamics and not a simple consumer product (Kyvelou & Papadopoulos, 2011).

## **5. Findings of the comparative study of the existing assessment tools**

The investigation with regard to the existing tools showed that they address different parameters and have different focus. It is not easy to select the most appropriate tool, since there is none of them addressing all the issues and remaining, at the same time, easy to use. It was shown that most of the environmental, social and economic parameters are being implemented in different ways for each project.

However, in many of the cases, there are parameters that were neglected. Two of them is good design and place-making. It is strongly believed by the authors that the latter should be included to an eco-neighborhood approach and addressed at an earlier stage. The aspect of good design is not only related to environmental design and its many criteria but also to issues such as attractiveness and high design standards which are addressed by the Cambridge Quality Charter of Growth. Place-making, that is making of a real coherent neighborhood with social and territorial cohesion is also often neglected.

On the other hand, since current economic and financial crisis lead to fragmentation of society, special attention has to be paid, in these projects, on social equity issues as one of the aims of sustainable territorial development. The principle of social equity focuses on the right to work and housing but also on the access to services and public goods and on the fight against poverty and social exclusion. Each citizen must have access to a job and decent housing, but also to the essential public goods. The access to housing, medical care, education and information should lead to a more stable society capable of solidarity, tolerance and generating participation. It can develop its traditions while promoting a sustainable lifestyle. Finally, 'social equity' can be defined as the addition of the merit principle of equality. This aim can be divided into four targets: ensuring everyone an adequate housing, ensuring access to efficient public services, promoting access to employment, fighting against occupational and social exclusion. To achieve the first target, the issues in a territorial project are:

promote the social mix

574 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

buildings ownership related constraints.

same time minimise environmental impacts.

Athens) green neighborhood project.

launched project in Aigaleo due to the non capacity of the local authority to fully understand the project and find the necessary institutional tools to cope with the land and

As fas as the Aghia Varvara project is concerned, both on-site visits, use of interactive questionnaires and data collection from the Public Power Corporation confirmed the need for interventions in buildings in three key areas: The first one concerns exterior insulation of the building shell, replacement of old simple glazed window frames with double glazing, replacement of old blinds and use of cold paintings. The second axis is to replace the various heating and cooling systems with an energy efficient central heating and cooling system. Finally, ensuring hot water through a central solar system is the third axis of the operation.

The programme is aiming at maximising energy efficiency of the neighborhood, achieving thermal comfort for residents and improving significantly their quality of life and at the

**Figure 1.** Social housing apartment buildings and the urban tissue of the Aghia Varvara (Western

Private projects can be often met in the Mediterranean area as they concern the creation of eco-villages either of secondary residences and touristic complexes or high income level housing in prestigious suburbs. In these projects, innovation and marketing for commercial reasons are usually prevailing. An example of such a development is the "Designer Village" developed by a private construction company in Dionysos, on the foothill of the Pendeli mountain. The project concerns the development of 85 plots in which 240 dwellings are being erected. Each plot has approx. an area of 1500m2. In an attempt to use green marketing tools, nine Greek architectural cabinets of different architectural perceptions and tendencies have been invited by the construction company, to put down their inspirations. "Designer Village" is already referred to as a kind of park of exemplary Mediterranean architecture, characterized as an "excellent project" by an EC programme competition. It focuses on energy efficient techniques and improvement of thermal and visual comfort and indoor air quality. Although the environmental objectives and targets associated with the rational use of resources (energy, water etc) are ambitious, the complex is far from being characterised as eco-neighborhood

*4.4.2. Private eco-developments in high-income suburbs, focusing on marketing* 


Apart from social equity principles, an eco-neighbourhood initiative should be based on adaptive and flexible governance schemes (Chouvet, 2007), that is bring together community stakeholders, property developers, utilities, and the city to solidify a shared sense of purpose and partnership through the following actions:

 establish municipal policy and organisational structures to support the eco-district development;

Developing a South-European Eco-Quarter Design and Assessment Tool Based on the Concept of Territorial Capital 577

**6.1. What would be the model of a Southern European eco-neighborhood?** 

products integrating new technologies and alternative energies.

sense of purpose and partnership through the following actions :

neighborhood development;

track ongoing performance;

products and practices; and

(Kyvelou, Marava & Kokkoni, 2011).

priorities and actions;

The study of a series of eco-neighborhoods in Southern European countries led us to the conclusion that a Southern European eco-neighborhood model is certainly emerging. Specifically, the experience of Southern Europe shows that eco-neighborhoods are nether merely expressions of integration of sustainable development in city planning nor only

The eco-neighborhoods, as developed in Europe are, in our view, important local aspects of strategic spatial planning, as this is reborn and reshaped today in Europe, thus being products of a dynamic political and social process. Eco-neighborhoods are manifestations of the change of regulatory planning (based on physical planning) to a territorial management process where "territorial marketing" has a predominant role (Kyvelou, 2010).They reaffirm, moreover, that sustainable development is an exceptional unifying element and point of recasting spatial policies. Sustainable neighborhoods are also emphasizing the issue of scale which is nowadays one of the most important theoretical discussions in spatial and urban planning. Another important conclusion is that an eco-neighborhood mainly depends on the extent to which there is a tradition of strategic spatial planning, on the cultural tradition and level of collective and community involvement (Chiotinis, 2006) and on the presence of catalytic investments and the possibility of implementing public - private partnerships towards a process of stimulating local economy dynamics (Kyvelou & Karaiskou, 2006).

The Mediterranean countries usually lagging behind as far as the above conditions are concerned, present a spontaneity and a delay of implementation. Constraints of implementation show that an eco-neighborhood initiative should be based on adaptive and flexible governance schemes, and on engagement strategies that would bring together community stakeholders, property developers, utilities, and the city to solidify a shared

a. Establish municipal policy and organisational structures to support the eco-

b. Create an engagement and governance strategy to build community support, set

c. Develop an assessment and management toolkit to guide project development and

d. Identify commercialization opportunities for the private sector to test promising

e. Implement sustainability projects through technical and economic feasibility analysis, assembly of project financing, and establishment of public-private partnerships

Both lessons from the North-European examples of eco-neighborhoods and observation from different types of eco-districts in Southern Europe, either public or private projects, can provide helpful criticism and a good framework to discuss issues of efficient implementation in the near future. This framework could help to modeling work that is both to the construction of a model that can predict future trends and to the affirmation of the model, meaning that it can

be used in the reproduction and replication of certain practices and related projects.


## **6. Comparing Mediterranean eco-neighbourhoods**

This part of the research has identified examples of eco-neighborhoods in Southern Europe, either completed or in the design phase. These neighborhoods have various scales and cover regions approximately from 10 to 250 hectares (Table 8). This is an ongoing investigation aiming to identify and classify examples, which can be used as models in future econeighborhood design.

Amongst the 16 presented cases, one of them is located in Portugal, three in Spain, three in France and nine in Italy. In Table 8 some general characteristics are presented for each example while in Table 9 an analysis of the different environmental, economic and social parameters that were implemented in each project is undertaken. For methodological reasons, a single tool was selected for the purposes of this classification, the "One Planet Living framework" initiated by Bioregional. The 10 principles of the tool form the corpus of the analysis which will follow.

We shoud note here that the North-European model is mainly described by its technical and environmental components. The performance in terms of energy, saving water or recycling materials are particularly highlighted. They seem to be the main mechanism to move from principles to the effective implementation of sustainable urban development. The urban planning and design and the implementation of networks are resulting from this approach. This 'model governed by the environmental approach and its performance' is mainly used by communities as a powerful tool of communication, promoting the region and even as leverage to reverse social and economic depreciation. However, these social and economic aspects are not sufficiently highlighted and are not explicitly included within the agreed content of the model of sustainable urban development.

On the contrary, Southern European countries and especially as far as the examples examined in the Mediterranean, are concerned, seem to prefix social, economic and governance issues and less attention is paid to environmental performances at least from the point of view of their initial definition and specification. In Table 8, it is also clear that sustainable transport is also a field of Mediterranean interest together with health and hapiness issues.

## **6.1. What would be the model of a Southern European eco-neighborhood?**

576 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

development;

neighborhood design.

the analysis which will follow.

hapiness issues.

priorities and actions;

ongoing performance;

products and practices;

(Kyvelou & Karaiskou, 2007).

**6. Comparing Mediterranean eco-neighbourhoods** 

content of the model of sustainable urban development.

establish municipal policy and organisational structures to support the eco-district

create an engagement and governance strategy to build community support, set

develop an assessment and management to guide project development and track

identify commercialisation opportunities for the private sector to test promising

 implement sustainability projects through technical and economic feasibility analysis, assembly of project financing, and establishment of public-private partnerships

This part of the research has identified examples of eco-neighborhoods in Southern Europe, either completed or in the design phase. These neighborhoods have various scales and cover regions approximately from 10 to 250 hectares (Table 8). This is an ongoing investigation aiming to identify and classify examples, which can be used as models in future eco-

Amongst the 16 presented cases, one of them is located in Portugal, three in Spain, three in France and nine in Italy. In Table 8 some general characteristics are presented for each example while in Table 9 an analysis of the different environmental, economic and social parameters that were implemented in each project is undertaken. For methodological reasons, a single tool was selected for the purposes of this classification, the "One Planet Living framework" initiated by Bioregional. The 10 principles of the tool form the corpus of

We shoud note here that the North-European model is mainly described by its technical and environmental components. The performance in terms of energy, saving water or recycling materials are particularly highlighted. They seem to be the main mechanism to move from principles to the effective implementation of sustainable urban development. The urban planning and design and the implementation of networks are resulting from this approach. This 'model governed by the environmental approach and its performance' is mainly used by communities as a powerful tool of communication, promoting the region and even as leverage to reverse social and economic depreciation. However, these social and economic aspects are not sufficiently highlighted and are not explicitly included within the agreed

On the contrary, Southern European countries and especially as far as the examples examined in the Mediterranean, are concerned, seem to prefix social, economic and governance issues and less attention is paid to environmental performances at least from the point of view of their initial definition and specification. In Table 8, it is also clear that sustainable transport is also a field of Mediterranean interest together with health and The study of a series of eco-neighborhoods in Southern European countries led us to the conclusion that a Southern European eco-neighborhood model is certainly emerging. Specifically, the experience of Southern Europe shows that eco-neighborhoods are nether merely expressions of integration of sustainable development in city planning nor only products integrating new technologies and alternative energies.

The eco-neighborhoods, as developed in Europe are, in our view, important local aspects of strategic spatial planning, as this is reborn and reshaped today in Europe, thus being products of a dynamic political and social process. Eco-neighborhoods are manifestations of the change of regulatory planning (based on physical planning) to a territorial management process where "territorial marketing" has a predominant role (Kyvelou, 2010).They reaffirm, moreover, that sustainable development is an exceptional unifying element and point of recasting spatial policies. Sustainable neighborhoods are also emphasizing the issue of scale which is nowadays one of the most important theoretical discussions in spatial and urban planning. Another important conclusion is that an eco-neighborhood mainly depends on the extent to which there is a tradition of strategic spatial planning, on the cultural tradition and level of collective and community involvement (Chiotinis, 2006) and on the presence of catalytic investments and the possibility of implementing public - private partnerships towards a process of stimulating local economy dynamics (Kyvelou & Karaiskou, 2006).

The Mediterranean countries usually lagging behind as far as the above conditions are concerned, present a spontaneity and a delay of implementation. Constraints of implementation show that an eco-neighborhood initiative should be based on adaptive and flexible governance schemes, and on engagement strategies that would bring together community stakeholders, property developers, utilities, and the city to solidify a shared sense of purpose and partnership through the following actions :


Both lessons from the North-European examples of eco-neighborhoods and observation from different types of eco-districts in Southern Europe, either public or private projects, can provide helpful criticism and a good framework to discuss issues of efficient implementation in the near future. This framework could help to modeling work that is both to the construction of a model that can predict future trends and to the affirmation of the model, meaning that it can be used in the reproduction and replication of certain practices and related projects.

Developing a South-European Eco-Quarter Design and Assessment Tool Based on the Concept of Territorial Capital 579

**Table 9.** Parametric analysis of the sustainability criteria according to the One Planet Living

framework.


**Table 8.** Examples of Mediterranean eco-neighbourhoods

#### Developing a South-European Eco-Quarter Design and Assessment Tool Based on the Concept of Territorial Capital 579


578 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**Table 8.** Examples of Mediterranean eco-neighbourhoods

**Table 9.** Parametric analysis of the sustainability criteria according to the One Planet Living framework.

## **6.2. What would be an efficient sustainability assessment tool for Southern European eco-neighborhoods?**

Developing a South-European Eco-Quarter Design and Assessment Tool Based on the Concept of Territorial Capital 581

Territorial capital Territorial cohesion components

Landscape resources

Sustainable transports-mobility

Εxternal accessibility

Internal connectivity

As it was mentioned in the introduction the SDMed Eco-Neighbourhood tool was based on:

4. The current economic and financial crisis and the consequent limitation of public funds.

By its definition, the concept of territorial capital can be divided in geographic, cultural, political, material, social and intellectual capital, while approaching territorial cohesion we can categorise actions in emissions, local resources, cultural heritage, governance economic growth, resources, sustainable transport-mobility, health and safety, external accessibility,

Thus, the structure of the new tool is constituted by the main subdivisions of territorial capital, eleven objectives-targets linked to territorial cohesion and in 39 accordingly subtargets (Table 11). These sub-targets are further divided in more criteria in order to include all the parameters that can influence sustainable neighborhood. The final depiction of the

tool is under study; however a first attempt is presented in the diagram of Table 10.

1. the research and parametric analysis between the existing eco neighborhood tools;

2. the SDMed building performance assessment tool (Sinou & Kyvelou, 2006);

Resources

Geographic Εmmissions

Political Governance

Cultural Cultural heritage

Social Health and safety

Intellectual Creativity

**7. The SDMed Eco-Neighborhood tool** 

3. the concept of territorial capital (OECD, 2001);

internal connectivity and creativity (Kyvelou, 2010).

Material Economic growth-wealth

**Table 10.** The conceptual elements behind the SDMed Eco-neighborhood tool.

The short analysis of the eco-neighbourhood design tools has shown that they have different orientations in terms of their focus on environmental, social or economic strategy. Some of the tools seem to be more design oriented while others have a social resilience focus. The Eco-Neighborhood is more than a mere buzzword or local marketing tagline. The neighborhoods have ambitious targets that go well beyond load reduction. They draw upon new and often complex practices, from urban project design to construction, use and assessment and it is often complicated for the local authorities to implement these practices as new methodologies need to be addressed and many of them recoil at doing so, from the very start of the project.

The above described experiences in Southern Europe show that an assessment tool for econeighborhoods cannot be efficient if nor directly linked with the valorisation of the territorial potential and the territorial capital (OECD, 2001), at local level. We have therefore proceeded to the formation of a new tool, largely inspired by the territorial capital and the territorial cohesion concepts, which gives emphasis to the holistic approach of the city, its neighborhoods and its relationship and interdependence with its region. The so-called "SDMed eco-neighborhood" tool is structured around the main determinants of the territorial capital (geographical, cultural, political, material, social and intellectual capitals) and is analysed in a series of criteria capable to manage the complexity and diversity of the Mediterranean urban phenomenon (Sinou &Kyvelou, 2006)

The concept of territorial capital was first proposed in a regional policy context by the OECD in its Territorial Outlook (OECD, 2001), and it has been later on reiterated by DG Regio of the European Commission: "Each Region has a specific 'territorial capital' that is distinct from that of other areas and generates a higher return for specific kinds of investments than for others, since these are better suited to the area and use its assets and potential more effectively. Territorial development policies (policies with a territorial approach to development) should first and foremost help areas to develop their territorial capital" (European Commission, 2005).Territorial capital is referring to the following elements: a/ a system of localised externalities, both pecuniary and technological; b/ a system of localised production activities, traditions, skills and know-how; c/ a system of localised proximity relationships which constitute a 'capital' – of a social psychological and political nature – in that they enhance the static and dynamic productivity of local factors, d/ a system of cultural elements and values which attribute sense and meaning to local practices and structures and define local identities; they acquire an economic value whenever they can be transformed into marketable products – goods, services and assets – or they boost the internal capacity to exploit local potentials; e/ a system of rules and practices defining a local governance model. Accordingly, the OECD has rightly drawn up a long list of factors acting as the determinants of territorial capital, and which range from traditional material assets to more recent immaterial ones. All the above have been used to draft the SDMed Eco-neighborhood tool.


**Table 10.** The conceptual elements behind the SDMed Eco-neighborhood tool.

## **7. The SDMed Eco-Neighborhood tool**

580 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

**European eco-neighborhoods?** 

very start of the project.

**6.2. What would be an efficient sustainability assessment tool for Southern** 

The short analysis of the eco-neighbourhood design tools has shown that they have different orientations in terms of their focus on environmental, social or economic strategy. Some of the tools seem to be more design oriented while others have a social resilience focus. The Eco-Neighborhood is more than a mere buzzword or local marketing tagline. The neighborhoods have ambitious targets that go well beyond load reduction. They draw upon new and often complex practices, from urban project design to construction, use and assessment and it is often complicated for the local authorities to implement these practices as new methodologies need to be addressed and many of them recoil at doing so, from the

The above described experiences in Southern Europe show that an assessment tool for econeighborhoods cannot be efficient if nor directly linked with the valorisation of the territorial potential and the territorial capital (OECD, 2001), at local level. We have therefore proceeded to the formation of a new tool, largely inspired by the territorial capital and the territorial cohesion concepts, which gives emphasis to the holistic approach of the city, its neighborhoods and its relationship and interdependence with its region. The so-called "SDMed eco-neighborhood" tool is structured around the main determinants of the territorial capital (geographical, cultural, political, material, social and intellectual capitals) and is analysed in a series of criteria capable to manage the complexity and diversity of the

The concept of territorial capital was first proposed in a regional policy context by the OECD in its Territorial Outlook (OECD, 2001), and it has been later on reiterated by DG Regio of the European Commission: "Each Region has a specific 'territorial capital' that is distinct from that of other areas and generates a higher return for specific kinds of investments than for others, since these are better suited to the area and use its assets and potential more effectively. Territorial development policies (policies with a territorial approach to development) should first and foremost help areas to develop their territorial capital" (European Commission, 2005).Territorial capital is referring to the following elements: a/ a system of localised externalities, both pecuniary and technological; b/ a system of localised production activities, traditions, skills and know-how; c/ a system of localised proximity relationships which constitute a 'capital' – of a social psychological and political nature – in that they enhance the static and dynamic productivity of local factors, d/ a system of cultural elements and values which attribute sense and meaning to local practices and structures and define local identities; they acquire an economic value whenever they can be transformed into marketable products – goods, services and assets – or they boost the internal capacity to exploit local potentials; e/ a system of rules and practices defining a local governance model. Accordingly, the OECD has rightly drawn up a long list of factors acting as the determinants of territorial capital, and which range from traditional material assets to more recent immaterial ones. All the above have been used to

Mediterranean urban phenomenon (Sinou &Kyvelou, 2006)

draft the SDMed Eco-neighborhood tool.

As it was mentioned in the introduction the SDMed Eco-Neighbourhood tool was based on:


By its definition, the concept of territorial capital can be divided in geographic, cultural, political, material, social and intellectual capital, while approaching territorial cohesion we can categorise actions in emissions, local resources, cultural heritage, governance economic growth, resources, sustainable transport-mobility, health and safety, external accessibility, internal connectivity and creativity (Kyvelou, 2010).

Thus, the structure of the new tool is constituted by the main subdivisions of territorial capital, eleven objectives-targets linked to territorial cohesion and in 39 accordingly subtargets (Table 11). These sub-targets are further divided in more criteria in order to include all the parameters that can influence sustainable neighborhood. The final depiction of the tool is under study; however a first attempt is presented in the diagram of Table 10.

Developing a South-European Eco-Quarter Design and Assessment Tool Based on the Concept of Territorial Capital 583

> environment Preferred locations Water efficient landscape Steep slope protection

Exterior air quality

Quality of building Quality of housing Variety in housing Satisfaction of users and

Support of architectural

Innovation and exemplary

Maintenance of wetlands and natural beauty

Protection of rural land Extinction species and ecological communities

Conservation and re-use of

Use of existing buildings Preservation of historical resources and adaptive reuse Brownfield redevelopment

cultural heritage

residents

quality

performance

landscapes

2.6 Air quality Interior air quality

Visual quality of natural environment - view Visual quality of built

SDMed ECO NEIGHBORHOOD tool

Cultural Cultural

heritage

Political Governance 4.1 Functionality and

11 Targets territorial cohesion

39 Sub-Targets

2.7 Spatial comfort

activity

3.1 Maintenance of

3.2 Maintenance of

3.3 Maintenance of

natural heritage biodiversity

cultural heritage

built environment

possibility of services control

maintenance of

4.2 Adaptability and flexibility of services 4.3 Robustness and

and comfort of



39 Sub-Targets

Geographic Emissions 1.1 Emissions (CO2) Reduction of CO2 emissions

1.4 Management of

1.5 Urban heat island effect

1.6 Night-time light pollution

2.2 Influence to the urban form

2.3 Adaptive

opportunity 2.4 Quality of public spaces

2.5 Comfort (thermal,

visual, acoustic )

2.1 Natural and

litter and waste

technological risks

1.3 Production of solid waste

1.2 Water waste Management of water waste

waste

waste

infrastructure

island effect

tsunami)

Network of sewage

Measures to reduce heat

Reduction of light pollution

Local management of natural risks (Earthquake, heat wave,

Local management of technological risks

Intelligent planning

urban spaces

neighborhood

or activities

nuisance

criteria

Optimisation of land use Compact growth – Density

Integration of environmental issues in urban planning

Tree-lined and shaded streets Cohesion and linkage among

Design with bioclimatic

Nuisance linked to the

Noise pollution in the neighborhood from vehicles

Minimisation of construction

Management of domestic

Management of construction

Management of solid waste

SDMed ECO NEIGHBORHOOD tool

11 Targets territorial cohesion

Landscape resources

Developing a South-European Eco-Quarter Design and Assessment Tool Based on the Concept of Territorial Capital 585

water

Consumption of potable

water of Stormwater

Development ICT

management

Transit centre

footprint Street network

health

8.2 Safety of users Improvement of safety of

Use and management of rain

Proximity of housing and job

Improvement of transport Safe and convenient paths for pedestrians and bicycles Areas with decreased dependence automotive

Network bicycle path and storage Reduction of parking

Improvement of cleanliness in the neighborhood and communal spaces

Right and acess to care and

Improvement of road safety

Access in public spaces Access in recreation facilities

users in the process of sustainable urban development

Involvement of residents and

Participation of residents in decision making and projects related to the community Strengthening of community

people and goods

Accessibility

SDMed ECO NEIGHBORHOOD tool

11 Targets territorial cohesion

Sustainable transportmobility

Social Health and

safety

External accessibility

Internal connectivity

39 Sub-Targets

water

7.1 Transportation cost

7.2 Improvement of

mobility

8.1 Health and

9.1 Accessibility for

needs

9.2 Accessibility in open spaces

10.1 Involvement of users

people with special

productivity

management of

transportation and

6.3 Use and



39 Sub-Targets

services 4.4 Community

4.6 Public Private

5.1 Cost of land and

5.2 Cost of of life cycle (€/year) (maintenance, exploitation et deconstruction)

5.3 Cost of waste

(€/year)

resources

6.2 Exhaustion of raw material

5.4 Support of local economy

Resources 6.1 Effect in the energy

involvement 4.5 Ownership of land and buildings

Partnerships

construction cost

management and cost of emissions

centers

(locally) Orientation

district

Local economic dynamic Creation of social economy

Presence economic activities Presence of retail trade Local food production Mixed use neighborhood

Improvement of energy efficiency for heating, cooling and electricity (buildings and

Use of renewable energy

Heating and cooling of

Certified green buildings

reused materials,

the public spaces

Integration of recycled and

constructions and process of demolition in buildings and

infrastructures)

SDMed ECO NEIGHBORHOOD tool

Material Economic

11 Targets territorial cohesion

growth-wealth

Developing a South-European Eco-Quarter Design and Assessment Tool Based on the Concept of Territorial Capital 587

lead to the necessity to develop a tool adapted in these specific needs and particularities. The comparative research showed that the assessment tools for eco-neighborhoods have been structured around different principles and ideas. There is an abundance of tools and their evaluation constituted an aid for the creation of a new proposal. The parametric analysis of tools that were selected created a base for the creation of the new tool that has to be enriched in order to face the particular needs of the Mediterranean region, with

Furthermore, the investigation of existing Mediterranean examples gives important information with regard to the sustainability criteria that are used in most of the cases.

Finally, the concept of place-based development and contemporary planning criteria like the one of territorial capital have been explored in order to form a proposal for a new methodological tool based on the need of place-making and urban regeneration under economic crisis and lack of public funds. Sustainability in the scale of a neighborhood cannot be a static process, has to do with innovation and has to ensure the creation of wealth at local level and the stimulation of local economy dynamics. Planning a contemporary econeighborhood is a complex procedure and addresses both economic, social, environmental and governance related challenges. Achieving an eco-neighborhood assumes the development and implementation of a process of project management and an action plan involving local actors at the different phases of a project. Furthermore, it involves setting objectives and implementing actions to achieve environmental, economic and social

sensitivity and taking into account current ecomonic and financial crisis.

*Panteion University of Social ad Political Sciences of Athens , Greece* 

*Syndicat National des professionels de l'aménagement et de lôtissement, France* 

Barton H., (Ed.). (2000). *The Potential for Eco Neighbourhoods*, Earthscan Publications Ltd,

Barton H.; Grant M. & Guise R. (2010). *Shaping Neighbourhoods, for local health and global sustainability*, Routledge, ISBN10: 0-415-49549-0; ISBN13: 978-0-415-49549-13, London

*Technological Educational Institution, Greece* 

*Workers' Housing Organisation, Greece* 

ISBN 1 85383513 7, London.

performances.

Stella Kyvelou

Maria Sinou

Isabelle Baer

Toni Papadopoulos

**9. References** 

and New York.

**Author details** 


**Table 11.** The new SDMed ECO-NEIGHBOURHOOD tool

**Figure 2.** Draft illustration of the SDMed Eco-neighbourhood tool.

## **8. Conclusions**

The climatic, social, cultural, governance and spatial planning related specificities of the Mediterranean region and the delay of eco-neighborhood development in the Mediterranean countries combined with current need of economic and social regeneration lead to the necessity to develop a tool adapted in these specific needs and particularities. The comparative research showed that the assessment tools for eco-neighborhoods have been structured around different principles and ideas. There is an abundance of tools and their evaluation constituted an aid for the creation of a new proposal. The parametric analysis of tools that were selected created a base for the creation of the new tool that has to be enriched in order to face the particular needs of the Mediterranean region, with sensitivity and taking into account current ecomonic and financial crisis.

Furthermore, the investigation of existing Mediterranean examples gives important information with regard to the sustainability criteria that are used in most of the cases.

Finally, the concept of place-based development and contemporary planning criteria like the one of territorial capital have been explored in order to form a proposal for a new methodological tool based on the need of place-making and urban regeneration under economic crisis and lack of public funds. Sustainability in the scale of a neighborhood cannot be a static process, has to do with innovation and has to ensure the creation of wealth at local level and the stimulation of local economy dynamics. Planning a contemporary econeighborhood is a complex procedure and addresses both economic, social, environmental and governance related challenges. Achieving an eco-neighborhood assumes the development and implementation of a process of project management and an action plan involving local actors at the different phases of a project. Furthermore, it involves setting objectives and implementing actions to achieve environmental, economic and social performances.

## **Author details**

586 Sustainable Development – Authoritative and Leading Edge Content for Environmental Management

39 Sub-Targets

10.2 Creation of work places 10.3 Social diversity

**DRAFT OF THE SDMed ECOQUARTIER Tool, 2011** 

<sup>2</sup> <sup>3</sup> <sup>5</sup>

11 BASIC TARGETS OF SUSTAINABILITY-PLACE BASED DEVELOPMENT

0

**SUSTAINABLE TRANSPORT-MOBILITY RESOURCES**

**CREATIVITY**

5

10 **EMMISSIONS**

7

**LANDSCAPE RESOURCES**

**GOVERNANCE**

**CULTURAL HERITAGE**

**ECON. GROWTH-WEALTH**

8

education - Levels of education and professional skills

Promotion and participation

Diversity in age distribution Mixed income communities

Connected and open

Promotion of academic success Reinforcement of the

role of school in the

International cultural contacts - connectivity

community Collaborations

community

of community

SDMed ECO NEIGHBORHOOD tool

11 Targets territorial cohesion

Intellectual Creativity 11.1 Support of

**Table 11.** The new SDMed ECO-NEIGHBOURHOOD tool

**Figure 2.** Draft illustration of the SDMed Eco-neighbourhood tool.

**HEALTH AND SAFETY**

**EXTERNAL ACCESSIBILITY**

**INTERNAL CONNECTIVITY**

The climatic, social, cultural, governance and spatial planning related specificities of the Mediterranean region and the delay of eco-neighborhood development in the Mediterranean countries combined with current need of economic and social regeneration

**8. Conclusions** 

Territorial capital

> Stella Kyvelou *Panteion University of Social ad Political Sciences of Athens , Greece*

Maria Sinou *Technological Educational Institution, Greece* 

Isabelle Baer *Syndicat National des professionels de l'aménagement et de lôtissement, France* 

Toni Papadopoulos *Workers' Housing Organisation, Greece* 

## **9. References**

Barton H., (Ed.). (2000). *The Potential for Eco Neighbourhoods*, Earthscan Publications Ltd, ISBN 1 85383513 7, London.

Barton H.; Grant M. & Guise R. (2010). *Shaping Neighbourhoods, for local health and global sustainability*, Routledge, ISBN10: 0-415-49549-0; ISBN13: 978-0-415-49549-13, London and New York.

	- Chiotinis, N. (2006). The request of sustainability and architecture as cultural paradigm, *Management of Environmental Quality : An International Journal*, Vol. 17, No. 5, Emerald Group publishing Limited, pp.593-598, ISSN 1477-7835.
	- Chouvet, C. (2007). *Les quartiers durables: un exemple de démarche intégrée et participative*, Comité 21/Angenius, pp.4–20, http://www.comite21.org/docs/territoires-durables/villedurable/les-quartiers-durables.pdf
	- Kyvelou, S. & Karaiskou, E. (2006). Urban development through PPPs in the Euro-Mediterranean region, *Management of Environmental Quality: An International Journal*, Vol. 17, No. 5, Emerald Group Publishing Limited, pp.599–610, ISSN 1477-7835.
	- Kyvelou, S., Hetzel, J., Sinou, M. & Iwamura, K. (2007). *L'application du développement durable au cadre bâti dans l'espace Méditerranéen: La démarche SD-MED*, Pulim (Ed.), pp.121, ISBN : 978-2-84287-425-4, France.
	- Kyvelou, S. (2010). *From spatial planning to spatial management: the concepts of strategic spatial planning and territorial cohesion in Europe*, KRITIKI (Eds.), ISBN 978-960-218-671-8, Athens.
	- Kyvelou, S. & Papadopoulos, A. (2010). *'Sustainable neighborhoods: lessons from Northern Europe – issues arising from a Mediterranean paradigm'*, in: I. Beriatos and M. Papageorgiou (Eds.): Spatial Planning-Urban Planning-Environment in the 21st Century, pp.315–326, University Editions of Thessaly, Volos, Greece, Mediterranean.
	- Kyvelou, S. & Papadopoulos T. (2010). Exploring a South-European eco-neighbourhood model: Planning forms, constraints of implementation and emerging resilience practices, *International Journal of Environment and Sustainable Development*, Vol. 14, Nos. 1/2, 2011, pp. 77-94, ISSN(print) 0960-1406.
	- Kyvelou, S., Sapounaki-Dracaki, L. & Papadopoulos, A. (2010). *«Eco-quartiers en Europe: leçons obtenues des pays du Nord, perspectives et politiques dans les pays de l'Europe du Sud»*, oral presentation at the 10th International EAUH Conference, Gand, August-September 2010.
	- Kyvelou, S., Marava, N. & Kokkoni, G. (2011). Perspectives of local public-private partnerships towards urban sustainability in Greece, *International Journal of Environment and Sustainable Development*, Vol. 14, Nos. 1/2, 2011, pp.95-111, ISSN(print)0960-1406.
	- Kyvelou, S., Dracaki, L., Sinou, M., & Papadopoulos A. (2011). Planning and building a South-European eco-neighborhood: from concepts and strategies to practice and assessment tools, *Review of decentralization, local government and regional development*, Vol.66, Athens, 2011, ISSN 1106-91-71.
	- Lefèvre, P. & Sabard, M. (2009). *Les écoquartiers*, Editions Apogée, p.261, ISBN: 978-2-84398- 325-2, Paris.
	- Nonni, E. & Laghi, S. (2008). *Un eco quartiere mediterraneo: Il Quartiere Residenziale S. Rocco a Faenza'*, Comune di Faenza. http://www.avecnet.com/publications/files/page51\_15.pdf
	- OECD Terrirorial Outlook (2001), ISBN: 9789264189911, Paris, p.300
	- Sinou, M. & Kyvelou, S. (2006). Present and future of building performance assessment tools, *Management of Environmental Quality: An International Journal,* Vol. 17 Iss: 5, pp.570 – 586, ISSN 1477-7835.
	- SNAL (2011), *"Ecoquartiers"*, ISBN 978-2-912683-84-7, Editions PC.
	- Souami, T. (2009). *Éco-quartiers, secrets de fabrication: analyse critique d'exemples européens*, Les Carnets de l'info (Eds.), ISBN 978-2-9166-2844-8, Paris.

Group publishing Limited, pp.593-598, ISSN 1477-7835.

University Editions of Thessaly, Volos, Greece, Mediterranean.

1/2, 2011, pp. 77-94, ISSN(print) 0960-1406.

Vol.66, Athens, 2011, ISSN 1106-91-71.

OECD Terrirorial Outlook (2001), ISBN: 9789264189911, Paris, p.300

SNAL (2011), *"Ecoquartiers"*, ISBN 978-2-912683-84-7, Editions PC.

Carnets de l'info (Eds.), ISBN 978-2-9166-2844-8, Paris.

325-2, Paris.

– 586, ISSN 1477-7835.

durable/les-quartiers-durables.pdf

978-2-84287-425-4, France.

Chiotinis, N. (2006). The request of sustainability and architecture as cultural paradigm, *Management of Environmental Quality : An International Journal*, Vol. 17, No. 5, Emerald

Chouvet, C. (2007). *Les quartiers durables: un exemple de démarche intégrée et participative*, Comité 21/Angenius, pp.4–20, http://www.comite21.org/docs/territoires-durables/ville-

Kyvelou, S. & Karaiskou, E. (2006). Urban development through PPPs in the Euro-Mediterranean region, *Management of Environmental Quality: An International Journal*,

Kyvelou, S. (2010). *From spatial planning to spatial management: the concepts of strategic spatial planning and territorial cohesion in Europe*, KRITIKI (Eds.), ISBN 978-960-218-671-8, Athens. Kyvelou, S. & Papadopoulos, A. (2010). *'Sustainable neighborhoods: lessons from Northern Europe – issues arising from a Mediterranean paradigm'*, in: I. Beriatos and M. Papageorgiou (Eds.): Spatial Planning-Urban Planning-Environment in the 21st Century, pp.315–326,

Kyvelou, S. & Papadopoulos T. (2010). Exploring a South-European eco-neighbourhood model: Planning forms, constraints of implementation and emerging resilience practices, *International Journal of Environment and Sustainable Development*, Vol. 14, Nos.

Kyvelou, S., Sapounaki-Dracaki, L. & Papadopoulos, A. (2010). *«Eco-quartiers en Europe: leçons obtenues des pays du Nord, perspectives et politiques dans les pays de l'Europe du Sud»*, oral presentation at the 10th International EAUH Conference, Gand, August-September 2010. Kyvelou, S., Marava, N. & Kokkoni, G. (2011). Perspectives of local public-private partnerships towards urban sustainability in Greece, *International Journal of Environment and Sustainable Development*, Vol. 14, Nos. 1/2, 2011, pp.95-111, ISSN(print)0960-1406. Kyvelou, S., Dracaki, L., Sinou, M., & Papadopoulos A. (2011). Planning and building a South-European eco-neighborhood: from concepts and strategies to practice and assessment tools, *Review of decentralization, local government and regional development*,

Lefèvre, P. & Sabard, M. (2009). *Les écoquartiers*, Editions Apogée, p.261, ISBN: 978-2-84398-

Nonni, E. & Laghi, S. (2008). *Un eco quartiere mediterraneo: Il Quartiere Residenziale S. Rocco a Faenza'*, Comune di Faenza. http://www.avecnet.com/publications/files/page51\_15.pdf

Sinou, M. & Kyvelou, S. (2006). Present and future of building performance assessment tools, *Management of Environmental Quality: An International Journal,* Vol. 17 Iss: 5, pp.570

Souami, T. (2009). *Éco-quartiers, secrets de fabrication: analyse critique d'exemples européens*, Les

Vol. 17, No. 5, Emerald Group Publishing Limited, pp.599–610, ISSN 1477-7835. Kyvelou, S., Hetzel, J., Sinou, M. & Iwamura, K. (2007). *L'application du développement durable au cadre bâti dans l'espace Méditerranéen: La démarche SD-MED*, Pulim (Ed.), pp.121, ISBN :

## *Edited by Sime Curkovic*

In recent years the topic of environmental management has become very common. In sustainable development conditions, central and local governments much more often notice the need of acting in ways that diminish negative impact on environment. Environmental management may take place on many different levels - starting from global level, e.g. climate changes, through national and regional level (environmental policy) and ending on micro level. This publication shows many examples of environmental management. The diversity of presented aspects within environmental management and approaching the subject from the perspective of various countries contributes greatly to the development of environmental management field of research. Sustainable Development

Authoritative and Leading Edge Content for

Environmental Management

*Edited by Sime Curkovic*

ISBN 978-953-51-0682-1

ISBN 978-953-51-5309-2

Sustainable Development - Authoritative and Leading Edge Content for Environmental

Management

Photo by nakornkhai / iStock