| | Planning, Designing and Implementing Policies to Control Ozone |
| | 1,07 | | MB | Depleting Substances under the Montreal Protocol: A |
| | 121 | | stron | HANDBOOK OF POLICY SETTING AT THE NATIONAL LEVEL |
| | 2626 | | ID | United Nations Environment Programme |
| | 2003 | | rok |
| | TABLE OF CONTENTS |
| | ACKNOWLEDGEMENTS.3 |
| | FOREWORD..4 |
| | ABOUT THIS HANDBOOK..6 |
| | 1. INTRODUCTION TO THE MONTREAL PROTOCOL REGIME.13 |
| | 1.1 THE VIENNA CONVENTION FOR THE PROTECTION OF THE OZONE LAYER (1985)..14 |
| | 1.2 THE MONTREAL PROTOCOL (1987) ..14 |
| | 1.3 THE LONDON ADJUSTMENTS AND AMENDMENT TO THE MONTREAL PROTOCOL (1990).16 |
| | |
| | 1.4 THE COPENHAGEN AMENDMENT AND ADJUSTMENTS AND THE VIENNA ADJUSTMENTS |
| | ..17 |
| | 1.5 THE MONTREAL AND BEIJING AMENDMENTS AND ADJUSTMENTS.18 |
| | 1.6 MAJOR OBLIGATIONS FOR COUNTRIES UNDER THE MONTREAL PROTOCOL REGIME 18 |
| | 1.7 SUPPORT FROM THE MULTILATERAL FUND .22 |
| | 1.8 THE COMPLIANCE ASSISTANCE PROGRAMME (CAP) ..22 |
| | 1.9 THE COMPLIANCE CHALLENGE .24 |
| | 2. SETTING THE STAGE FOR EFFECTIVE POLICY-MAKING.25 |
| | 2.1 SURVEY ODS PRODUCTION AND USE PATTERNS..25 |
| | 2.2 IDENTIFY MAJOR STAKEHOLDERS.26 |
| | 2.3 CHOOSE A STRATEGY AND SET THE PRIORITIES 26 |
| | 2.4 CREATE AND SUSTAIN POLITICAL WILL .27 |
| | 2.5 STRENGTHEN THE INSTITUTIONAL FRAMEWORK.28 |
| | 2.5.1 Assess the Existing Institutional Framework .29 |
| | 2.5.2 The National Ozone Unit 30 |
| | 2.5.3 Obtain the Necessary Legal Authority 31 |
| | 2.5.4 Obtain the Necessary Financial, Administrative and Human Resources ..32 |
| | 2.5.5 Enhance Co-ordination between Relevant National Agencies ..34 |
| | 2.5.6 Enhance Co-ordination between National and Sub-national Levels of Government ..35 |
| | 2.6 ENSURE PUBLIC ACCESS TO INFORMATION 36 |
| | 2.7 ENGAGE THE PUBLIC, INCLUDING INDUSTRY, IN ODS DECISION-MAKING PROCESSES |
| | 37 |
| | 2.7.1 Select the Purpose and Targets for Public Participation ..39 |
| | 2.7.2 Provide Proper Notice 39 |
| | 2.7.3 Schedule Sufficient Time for Decision-Making.40 |
| | 2.7.4 Select Appropriate Public Participation Mechanisms 40 |
| | 2.7.5 Consider and Respond to Public Input41 |
| | 2.8 ENSURE REGULATORY INDEPENDENCE .41 |
| | 2.9 DEVELOP AN EFFECTIVE FEEDBACK LOOP .42 |
| | 2.10 A SUMMARY CHECKLIST FOR CHAPTER 2: SETTING THE STAGE..43 |
| | 3. IDENTIFYING CRITERIA FOR EFFECTIVE POLICIES 44 |
| | 3.1 VISIONARY AND ASPIRATIONAL45 |
| | 3.2 CONSISTENT AND SYNERGISTIC..45 |
| | 3.3 ACCESSIBLE, CLEAR AND UNDERSTANDABLE..47 |
| | 3.4 FAIR, EQUITABLE, AND BALANCED ..48 |
| | 3.5 AFFORDABLE AND REALISTIC..48 |
| | 3.6 COMPREHENSIVE AND FLEXIBLE ..49 |
| | 3.7 TIMELY AND SEQUENTIAL49 |
| | 3.8 ENFORCEABLE AND MEASURABLE 50 |
| | 3.9 SUMMARY CHECKLIST FOR CHAPTER 3: CRITERIA FOR EFFECTIVE POLICIES .50 |
| | 4. A TOOLBOX OF POLICY INSTRUMENTS 51 |
| | 4.1 PHASE-OUTS AND PROHIBITIONS52 |
| | 4.2 LICENSING SYSTEMS .54 |
| | 4.2.1 Import/Export Controls, Including Quota Systems 55 |
| | 4.2.2 Certifications .56 |
| | 4.3 EXCISE AND SALES TAXES 57 |
| | 4.4 ENFORCEABLE STANDARDS (VOLUNTARY AND MANDATORY)57 |
| | 4.5 RECYCLING AND BANKING.58 |
| | 4.6 LABELING ..61 |
| | 4.7 VOLUNTARY MEASURES AND STANDARDS..61 |
| | 4.7.1 Codes of Good Practice.62 |
| | 4.7.2 Voluntary Pledges62 |
| | 4.8 PROMOTING AND SUBSIDIZING ALTERNATIVES ..63 |
| | 4.8.1 Promoting Research63 |
| | 4.8.2 Conversion Assistance ..63 |
| | 4.9 GOVERNMENT PROCUREMENT 64 |
| | 4.10 PROVIDING TRAINING OPPORTUNITIES 64 |
| | 4.11 PUBLIC OUTREACH AND EDUCATION .65 |
| | 4.12 ODS POLICIES IN DEVELOPING AND DEVELOPED COUNTRIES 67 |
| | 5. SECTOR-SPECIFIC CHALLENGES.68 |
| | 5.1 REFRIGERATION AND AIR CONDITIONING..68 |
| | 5.1.1 Alternatives 69 |
| | 5.1.2 Refrigerant Management Plans.70 |
| | 5.1.3 Representative Policy Approaches.72 |
| | 5.1.3.1 Ban on Any New Production or Manufacturing Facility for CFCs or HCFCs ..72 |
| | 5.1.3.2 Import and Export Controls. ..72 |
| | 5.1.3.3 Enforceable Standards73 |
| | 5.1.3.4 Recovery and Recycling Programmes .73 |
| | 5.1.3.5 Technician Training and Certification .73 |
| | 5.2 METHYL BROMIDE ..74 |
| | 5.2.1 Alternatives 75 |
| | 5.2.2 Representative Policy Approaches.75 |
| | 5.2.2.1 Prohibit New Production or Manufacture of Methyl Bromide .75 |
| | 5.2.2.2 Import and Export Controls on Methyl Bromide76 |
| | 5.2.2.3 Agricultural Extension Programmes.76 |
| | 5.2.2.4 Handling and Application Standards ..76 |
| | 5.2.2.5 Certification of Fumigators and Other Users 76 |
| | 5.2.2.6 Public Health Training 76 |
| | 5.2.3 Practical Pointers.77 |
| | 5.3 FIRE SUPPRESSION (HALONS) 77 |
| | 5.3.1 Alternatives 78 |
| | 5.3.2 Representative Policy Approaches.78 |
| | 5.3.2.1 Control Imports and Exports ..79 |
| | 5.3.2.2 Require the Recovery, Recycling and Storage of Halons in Halon Banks .80 |
| | 5.3.2.3 Restrict Halon Use to Narrowly Identified 'Critical Uses'.81 |
| | 5.3.2.4 Ban or Control the Use of Halons for Testing or Training ..81 |
| | 5.3.2.5 Set Disposal and Use Standards.81 |
| | 5.4 TERMINAL PHASE-OUT MANAGEMENT PLANS (TPMPS)82 |
| | 6. COMPLIANCE MONITORING AND ENFORCEMENT 83 |
| | 6.1 ENSURE CLEAR AND REALISTIC LAWS AND REGULATIONS85 |
| | 6.2 GATHER AND ASSESS INFORMATION REGARDING THE REGULATED COMMUNITY ..87 |
| | 6.3 COLLECTION, REPORT AND MONITOR DATA 88 |
| | 6.4 MONITOR COMPLIANCE .89 |
| | 6.4.1 Self-reporting 90 |
| | 6.4.2 Monitor through Reports from Importers and Exporters .91 |
| | 6.4.3 Conduct On-site Monitoring and Inspections .91 |
| | 6.4.4 Engage Civil Society in Compliance Monitoring .92 |
| | 6.5 CONTROL ILLEGAL TRADE IN OZONE DEPLETING SUBSTANCES92 |
| | 6.6 IDENTIFYING AND ASSESSING THE UNDERLYING CAUSES OF NON-COMPLIANCE..94 |
| | 6.7 DEVELOP AN IMPLEMENT AND ENFORCEMENT PLAN95 |
| | 6.8 SELECT THE IMPLEMENTATION OR ENFORCEMENT APPROACH.96 |
| | 6.8.1 Facilitative (Non-Sanctioning) Approaches ..97 |
| | 6.8.2 Civil Sanctions for Non-Compliance 97 |
| | 6.8.2.1 Revoking Authorisation to Operate .98 |
| | 6.8.2.2 Imposing Civil Fines 98 |
| | 6.8.3 Criminal Enforcement 99 |
| | 6.9 OBTAIN SUPPORT FOR THE COMPLIANCE AND ENFORCEMENT PROGRAMME ..99 |
| | 6.10 EVALUATE THE COMPLIANCE AND ENFORCEMENT PROGRAMME ..100 |
| | 7. A REVIEW: SIX STEPS FOR DEVELOPING A NATIONAL ODS POLICY |
| | FRAMEWORK AND IMPLEMENTATION PLAN ..101 |
| | 7.1 STEP ONE: SURVEY ODS PRODUCTION AND USE PATTERN..101 |
| | 7.2 STEP TWO: DESIGN THE POLICY FRAMEWORK101 |
| | 7.3 STEP THREE: OBTAIN THE NECESSARY SUPPORT AND RESOURCES 102 |
| | 7.4 STEP FOUR: LAUNCH THE REGULATORY PROGRAMME102 |
| | 7.5 STEP FIVE: MONITOR COMPLIANCE AND ENFORCEMENT.103 |
| | 7.6 STEP SIX: DEVELOP AN EFFECTIVE FEEDBACK LOOP..103 |
| | 7.7 OBTAIN SPECIFIC ADVICE..103 |
| | 7.7.1 Policy and Enforcement Officers (PEOs) ..104 |
| | 7.7.2 Regional Network Coordinators (RNCs) and Regional Networks .104 |
| | 7.7.3 Policy Mentors ..104 |
| | 7.7.4 South-South Cooperation between NOUs .104 |
| | ANNEX 1: USEFUL CONTACTS105 |
| | ANNEX 2: FURTHER READING110 |
| | ANNEX 3: GLOSSARY..106 |
| | ANNEX 4: ABOUT THE UNEP DTIE OZONACTION PROGRAMME ..117 |