Introduction

Background

In 1994, the Ministry of Environment of the Slovak Republic (MoE) initiated the development of District Environmental Policies, as a follow-up to the National Environmental Strategy and as a framework for environmental improvement and investment in the environment. The District Environmental Office in Prievidza was one of the branches of the MoE requested to develop such a comprehensive district policy. The document, Environmental Strategy for the District of Prievidza, released in early 1995, contains a description of the condition of the local environment, lists of short-term, medium-term and long-term goals and required improvements. However, specific priorities and revenue sources were not identified. Further, the problems and recommended improvements were not discussed with stakeholders, either within or outside the district. While the Strategy recommended improvements requiring considerable investments, it did not explore policy and institutional options which could provide cost-effective solutions to some of the problems, or set a framework for more targeted priorities.

This project - Upper Nitra Region Air Pollution Management Plan - has focused on improved institutional performance in environmental management (it is one component of the three-legged approach recommended by the Environmental Action Program for CEE) as a cost-effective solution. The project is intended to assist institutions in the district of Upper Nitra to improve their capacity to set environmental priorities, identify and address institutional obstacles, create coordination mechanisms and involve stakeholders in decisionmaking. In this way, the project team hoped to address issues not covered by the Strategy, to provide information, and to implement an approach that put the emphasis on discussions, consensus and participatory decisionmaking.

Thus, the project involved activities by which various stakeholders in the Upper Nitra region reached agreement on the need for institutional coordination and reform. In this process, project efforts and achievements have also assisted regional institutions, businesses, local governments and NGOs to agree on environmental priorities, identify some investment needs and opportunities for financing, though those were not the primary objective of the project. The financing opportunities have not been realized, however, due to general privatization problems and the limited readiness of the identified potential investment recipient, Novacke Chemical Works.

Project activities commenced in September 1994 and will be completed in June 1996. Though not directly related to or following from the Strategy document, one should view this process as complementary to other EAP efforts undertaken in the Upper Nitra region.

Upper Nitra was selected as a demonstration region for the REAP development by the MoE in consultation with the World Resources Institute (WRI) for the following reasons:

• it is one of the environmental "hot-spots" in Slovakia;
• it has a relatively long history of environmental monitoring and availability of long-term data on human health and environment;
• it is a typical Slovak region with social and economic problems and a dominating industrial area, and because of the number of projects and proposals developed, information on the area is relatively good;
• the District Environmental Office supported the project

The project has been managed by WRI and funded by the United States Agency for International Development (USAID) under a sub-agreement with the Harvard Institute for International Development (HIID), Massachusetts, USA. WRI formed a partnership with two local partners: the Environmental Training Project Foundation, Slovakia (ETP-S) and the District Environmental Office in Prievidza. The process has also been coordinated with, and supported by HIID, the Environmental Training Project (ETP) for Central and Eastern Europe, Minnesota, USA, as well as the MoE of the Slovak Republic.

Legal framework

Another sub-legal option is a declaration of the short and mid-term goals of the local environmental strategy in the above mentioned law (education; public awareness; organization; management and coordination of environmental protection). The law specifies the establishment of structures for the project management of environmental improvements and a local environmental information system in Upper Nitra, enabling cooperation between the MoE, international agencies and local environmental organizations.

Basic Information

Municipal profile

In the first half of this century, the Upper Nitra region had been mainly an agricultural area. Nowadays, it is one of the most industrial regions of the Slovak Republic. Rapid industrialization brought new jobs, raised the level of economic and the social development of the region. The economic structure is balanced among industrial production (thermal power, chlorine chemistry, rubber, concrete, food, furniture), natural resource exploitation (brown coal, logging) and agriculture (technical crops, grain).

Industrial development has caused extensive environmental damage of the district and also beyond its borders. The region is one of the most polluted areas of Slovakia. The damage to natural resources are evident in the total environmental deterioration, including widespread air, water and soil pollution carrying unknown substances, dilapidated technology emitting pollutants into the environment and food chain, increasing amounts of the waste. This has had a negative influence on human health, on the genetic record of the plants and animals, on the internal relations of the ecosystems, qualities and vitality of the materials. The main environmental polluters are the chemical plant Novacke Chemical Works (air, water), power plant Slovenske elektrarne (source of fuel is local brown coal: air, soil), mining company Hornonitrianske bane (open pit and underground mines in the district: soil, water), transportation, and households (air). Some companies are still state owned, being heavily supported by the government (mines) or having a monopoly in Slovakia (power production).

Currently air pollution is caused by the extensive industrial development of last few decades. The increased quantity of sulphur and NOx causes intense damage to trees. The region is virtually formed by the Nitra river-basin. The river quality is poor (rated the fifth-worst) mainly because of the influence of the municipal waste water treatment plant in town Handlova, one of the coal mines and of the industrial enterprises in surrounding Novaky, primarily the Chemical Works. In the district, there are 81 resources of underground water: The main pollutants are chlorides, mercury and manganium. There is a complete sewer and waste water treatment plant built in only nine of 52 villages of the district (17 percent).

The soil has been poisoned by arsenic which has been emitted into the atmosphere by a coal-burning power station. The bulk of the waste produced in the district is produced by the thermal power plants in Zemianske Kostolany and mines in Handlova. The main producer of hazardous waste is the Novaky Chemical Plant. Fifty percent of the plant's waste is landfilled - 179 waste dumps have been reported on the district territory.

The main environmental assets of the district are forested areas, swamps, upper parts of river Nitra and protected, mountainous areas. The upper part of the Vtaèník mountain range is a National Nature Preserve. There are several historical and cultural monuments in the region which attract tourists - Bojnice chateau and Bojnice thermal spa.

The district represents secondary-level state government (national government - third-level, district government - second-level and sub-district government - first-level). There are two levels of government in Slovakia: the central government and local government in municipalities. In 1990, the law which established elected municipal self-government, was passed. A distinction was drawn between local state administration and local self-government. District offices and municipalities often have different views on priorities, local development issues and mutual cooperation. In the area of environmental protection, most power rests with the district environmental offices, whereas the municipal offices have relatively little authority and powers of enforcement over large and medium polluters.

There are several district offices under the auspices of different ministries: District Authority of Prievidza - Ministry of Interior; District Environmental Office - MoE; State Health Office - Ministry of Health; etc. The main purpose of the District Environmental Office in Prievidza is to enforce state environmental policy at the district level and execute the commands of the ministry at district level (issuing permits, fines, fees, etc.). The Sub-District Environmental Offices are located in Prievidza, Novaky and Handlova: they deal with nature protection, air pollution and water protection for the whole district, waste management and building/land planning areas. The office has developed a "Strategy for Environmental Care of the District of Prievidza" - a district environmental policy - including a summary of the environmental condition of the district, with lists of short-, medium-, and long-term goals. Cooperation between various state institutions and local government is poor.

In the District of Prievidza there are 52 municipal governments, including four cities, the remainder are villages. Some municipalities have established Environmental Committees in the municipal councils. Within municipal offices, environmental protection is usually overseen by the Department of Building and Land Development. There have been some attempts in the past to assess the overall environmental damage of the area, but these resulted only in statements related to environmental damage, and estimations as to the cost of a cleanup. The major projects for environmental improvement currently in progress are:

• Participation in the AGIPLAN project (German-Austrian study on the environmental improvement of Upper Nitra and Ziar regions);
• Desulphurization of ENO Novaky and installation of fluid boilers (implementation has been delayed due to lack of funds);
• Scottish/PHARE initiative - to develop an old mining area in Handlova into a modern industrial zone.

There are several environmental NGOs in the region dealing with environmental education; giving lectures; cultural events; concerts aimed at motivating citizens; monitoring wetlands; organizing meetings; summer camps for children and youngsters aimed at restoration of natural and historical monuments, etc. Their activities draw attention to environmental problems of the region. The public is not very sensitive towards environmental issues as reported by local government officials and NGO representatives, who have problems discussing these areas.

Project Goals and Objectives

• Environmental problems and priorities in the district;
• Institutional responsibilities and obstacles for improved management of the selected priority problem;
• Necessary action to overcome these obstacles.

Project Development

Methodology

• a decisionmaking process can be successful only if undertaken with local organizations;
• local ownership and capacity will determine the success of the project;
• time and available funding are not sufficient to complete the REAP program for the Upper Nitra;
• political realities and priorities are likely to change through the life of the project;
• setting environmental priorities will require the integration of environmental and monitoring data collected by many institutions in the region and an agreement among stakeholders of data implications.

Given these assumptions, WRI planned these steps to achieve the goals of the project:

• establishing partnerships with local organizations;
• building local skills by supporting analysis of the legal and institutional framework and surveys of institutional capacity for environmental management in the district;
• holding retreats and workshops to facilitate discussion and consensus among stakeholders on environmental problems, priorities, institutions and responsibilities;
• implementing a process of environmental data collection and health-risk-based priority-setting;
• disseminating information and lessons learned in Upper Nitra.

This methodology was combined with the expertise of local institutions and consultants. There are two aspects: the content (steps, studies, reports) and participatory methods. A balanced and proper use of participatory methods and techniques, such as brainstorming, have been critical to the process.

A number of working group sessions and retreats were organized during each phase of the project. They were supported by analyses of the legal and institutional framework for environmental management within the region by Slovak experts, under the guidance of WRI and ETP. Two training workshops were also held to promote understanding, build skills in communication, and the use of environmental management tools:

1. "Effective Communication, Negotiation and Conflict Resolution in Environmental Protection." Topics included effective meeting management, bargaining and negotiation. The target audience was the District Environmental Agency, Subdistrict Environmental Agencies, municipal governments, and individuals directly involved in the institutional component of the REAP.
2. "Air Quality Management Tools." Topics covered: problem identification and selection; enforcement tools; incentives; promotion of compliance; information; outreach and solicitation of the public; identification and selection of strategies for pollution abatement; development of proposals and evaluation. The information and materials for each of these topics was developed by the working group. The workshop was tailored specifically for the working group and was designed to support decisions related to required institutional changes.

Project Phases

Phase 1 (December 1994-February 1995): Start up, project partners and participants assignment

The partnership between WRI and ETP-S was established during the start-up phase and the roles of the two project partners were clarified. ETP-S provided logistical and expert support to the district, facilitated working group meetings and workshops and acted as a liaison with the MoE and HIID policy advisor at the Ministry. WRI was responsible for the overall project management, designed the methodology and provided guidance or developed materials for workshops and retreats.

The most important local actor in the process was the District Environmental Office in Prievidza. The Office was instrumental in initiating the project in the region, hosting a district working group representing stakeholders, serving as a resource and meeting place during the process.

The project was launched in the region in December 1994, with a meeting of mayors of the towns of Prievidza, Handlova, Bojnice and Novaky. The State Secretary for Environment and the Head of District Environmental Office attended. Also in attendance were representatives of various local institutions, including the Municipal Offices of Prievidza, Novaky, and Bojnice; the District Environmental Office; the Sub-District Environmental Office; Novaky Chemical Works; Zemianske Kostolany Power Plant; the Slovak Environmental Agency; the State Health Office; the Research Institute of Petrochemistry; the Slovak Association of Nature and Landscape Protectors, and the Association of Towns and Villages.

Phase 2 (February-May 1995): Identification of local environmental problems, their causes and impacts; setting priorities.

The basis for discussion related to the environmental problems of the Upper Nitra region, which was the policy document developed by the District Environmental Office "Environmental Strategy of the District of Prievidza." The Strategy provides some data and defines the general environmental problems of the region as air pollution, water pollution and waste. After studying the document, the group brainstormed and developed a list of environmental problems in the region, assigned pollutants to each problem, identified pollution sources, and the known or suspected health impacts. The discussions indicated that additional information would be necessary to specify the problems, their current status, and impact on the health of residents in the Prievidza district. Despite the data gaps, the participants considered skin cancer and cancer of the liver (angiosarcom) the most serious health impacts, which they assumed were related to air pollution.

Following the working group discussions, ETP-S identified institutions, other than the participating ones, that were likely to have additional information, contacted them and collected the available information. In the meantime, working group members also collected data from their respective institutions. In addition, public opinion about environmental problems in the district was also considered. Though no managed survey on public opinion was made specifically for the purpose of this project, researchers from several institutions presented information acquired by such a survey on arsenic contamination, and some other health-related data.

This indicates that significant amounts of information:

• existed, but was not available at the district institutions because research was conducted privately or conducted by groups who were no longer a part of the government structure;
• was scattered and difficult to collect;
• was contradictory, depending on the researcher;
• did not exist, or existed in a form difficult to use for priority-setting.

A working group retreat was held to select priority environmental problems related to health risks. A number of uncertainties still existed in additional information collected, especially regarding vinylchloride and arsenic. Evidence of vinyl chloride's teratogenic or the mutagenic impact on the local population was unclear and contradictory, especially on former workers of the PVC production line in Novaky Chemical Works. Arsenic and small sources of air pollution represented another problem because of the ambiguity of available data: arsenic levels have dropped, but its presence in the water and air is still high. Possible impacts on food and crop production were considered by the working group. Concerns were expressed that SOx and NOx from household heating poses a high health risk for certain localized areas, but reliable data is missing.

Thus, the working group collected data and information from different monitoring and research institutes, industry and their environmental departments, including information about public opinion of some pollutants and associated health risks, as well as concerns and views of experts representing polluters and enforcement agencies, or civil servants and NGOs.

Working group members agreed that, based on available information, no clear statement can be made about all sources and the health impacts of different environmental problems. The group selected air pollution as a priority for action, though the problem has been recognized as very broad and uncertain. The concerns of working group members were only partly addressed by the strategy and the substantial amount of additional information collected. Monitoring tendencies in the development of the problem and collecting data, estimating the impact and residuals of arsenic in the soil and water was agreed as the most important tasks for regional institutions.

The main outcomes of the working group discussions were:

1. An agreement on, and identification of, air pollution as a priority environmental problem. The problem description contained all available information related to ambient and occupational air quality, pollution sources, tendencies, health impacts and the uncertainties of classic pollutants, vinyl chloride and arsenic. In particular, it was agreed that all available research must be collected according to methodology adapted to the realities in Slovakia, and targeting investments to reduce risks. Though the group did not conduct additional monitoring activities, it achieved new knowledge by pooling data and information together.
2. Recognition of two important uncertainties and constraints: ambiguity of information for decisionmaking and limited or non-existent financing resources for implementing solutions. Both constraints have been the focus of further discussions.
3. Identification of the number of uncertainties related to information problems:
   • Limited or contradictory information about the severity of other environmental problems and their impact on health, such as soil contamination and impacts through the food chain;
   • Outdated information which did not reflect the decline in production or some of the clean-up activities recently undertaken;
   • Lack of information about geographical distribution and affected age and social groups, which made it impossible to decide whether ambient air or air in the occupational environment posed a greater risk; or whether certain parts of the district were more affected than others;

During this phase, the group became comfortable using team work and brainstorming techniques.

Phase 3 (March-July 1995): Clarifying the legal framework and institutions.

• Brainstorming and discussion on the relevant institutions, their responsibilities and how they relate to each other in environmental policy or implementation of improvement measures;
• A study of the legal framework for regional institutions: mandates and authority for environmental management and addressing air pollution problems;
• Agreement through discussion on institutional priorities and obstacles for implementation - the different stakeholders identified priority mandates and legal obstacles;
• Identification of available institutional resources and bottlenecks.

During this phase, the working group reviewed local and national institutions and matched the institutions with their functions. The next step was to define the legal framework, establish whether it supports these functions and specify the mandates and role of the institutions in the Upper Nitra region. Based on the legal analysis, working group members identified the three most important functions of each institutional area - local government, central government, industry, NGOs and expert institutions. (The results were supported with existing legal codes). It became clear that strengthening the monitoring and enforcement capacity and gradually introducing realistic standards and conditions for compliance were priorities on which enforcement agencies, industrial polluters, municipalities and NGOs agreed. Some legal obstacles for performance were also identified.

A survey was conducted focusing on resources available to institutions and procedures in place to support mandates. Some of the findings of the survey are:

1. Resources to institutions:
   • local government (both state and self-government) deems current financial resources insufficient for necessary monitoring equipment;
   • compliance with the law is the main criterion for finance allocation at surveyed institutions. The health risk is at medium or lower rank.
2. Procedures supporting institutions' mandates:
   • contact between NGOs and other institutions is poor compared with the frequent contact between government and industry;
   • low priorities include: coordination with other institutions; public awareness activities; health risk assessment at surveyed institutions (48 percent of respondents devote no time on coordination, 60 percent spends no time generating public information, 70 percent spends no time on public education, and 78 percent spends no time on health risk assessment).
   • cooperation between institutions is assessed as successful, mostly because of an increase in inter-agency coordination regarding air quality management.

The results are only approximate due to a low questionnaire return rate, and relate to the institutions which responded only.

Activities during this phase helped:

• clarify institutional mandates and priorities in the region;
• identify some obstacles created either by the legal framework, or the institutional arrangements and capacity;
• create better understanding of the different problems stakeholders have and establish cooperation between them.

Phase 4 (July 1995-January 1996): Identification of strategies

Having identified the functions of institutions to address the air pollution problems, working group members agreed on the following at two workshops:

1. The main economic, environmental and political trends in society which need to be taken into account. Participants produced a list of major events from 1989 through 1995 which had an impact on institutions (for instance, adoption of the EIA law, law on state administration in environment, decreasing opportunities to travel abroad in 1995, or the non-existence of NGO law). The main new challenges before institutions were identified.

2. Tools for air quality management, regional institutions responsible for implementing them, and areas where action should be taken. Working groups developed a matrix of air quality management tools and institutions and grouped them in the following categories:
   • management areas where cooperation and coordination among regional institutions is needed to improve performance and air quality management;
   • areas of overlapping responsibilities (i.e. more than one institution has identical responsibilities) where delineation of functions and mandates is needed;
   • absence of a decisionmaker regarding certain management activities, despite legal provisions;
   • legal gaps or tools which are not provided for by legislation (i.e. pollution trading);
   • with the exception of the last category, where it was noted that this may be a longer-term objective, the working group agreed that steps and changes in the three areas will improve air quality management in the region.

3. Development of criteria for selection of a target area and of options for action.

   Working group members brainstormed and identified criteria which they used later when selecting the focus of institutional reform. Four categories of criteria have been defined:

   • reflect the trends - assist in implementing new legislation, assist in strengthening institutions to meet new challenges;
   • improve air quality - the importance of air pollution management, the impact of air pollution, as well as the impact on polluters;
   • economic-total costs, cost-benefit, resource-saving;
   • other - acceptability to the public and availability of support, feasibility - time restraints, etc. - manageability (clearly defined responsibility).

   The group decided to consider only those criteria which did not require extensive study. The following criteria were selected for implementation:

   • time restrictions and manageability: the follow-up activities selected should be implemented in a relatively short time, as easily as possible;
   • total costs and resource saving: given the limited available resources, action should not entail considerable expenses and should help save resources;
   • the importance of air pollution management.

   Activities meeting all these criteria could be expected to assist institutions in coping better with the challenges posed by new trends in legislation and development.

4. Options for action

   The working group applied the criteria to the three areas in which it felt action could be taken, and agreed that coordination between stakeholders meets those criteria best and that it may also help address issues in other categories, too. Working group members defined the following possibilities:

   • establishment of a permanent, regional coordination mechanism to ensure accessibility of data by means of pooling available monitoring and health data for use by all regional institutions and the public. A summary of the latest public opinion survey regarding values and trends in Slovakia demonstrated the importance of keeping the public informed of the condition of the environment and decisions, in order to raise awareness and gain support for action that would lead to reduced pollution;
   • establishment of a regional environmental fund instead of local funds;
   • development and implementation of a program to assist local government perform their new responsibilities for managing non-point and mobile pollution sources.

   Most impact will be achieved by establishing a permanent mechanism for:

   • coordination of air pollution monitoring;
   • cooperation of local and state government, expert organizations, municipal government, polluters and nongovernmental organizations;
   • educational and information dissemination activities.

   Of all required institutional and policy changes, the participants focused on limited, feasible changes which will build one component of a REAP.

Phase 5 (January 1996-ongoing): Implementation

Further implementation will depend on the commitment of the MoE and local institutions to continue the process. At this point, the SC exists informally without being framed in the legal system, though some legal options exist and potentially it can be the vehicle for the REAP process in the region. The necessary condition for this is also that representatives of involved institutions delegate certain authority to the SC or integrate its decisions into agendas of their institutions.

Conclusions

Achievements

Cooperation

The process helped to: improve understanding among stakeholders; conclude agreements amongst groups with different interests on a number of environmental and institutional issues; conclude agreements related to institutional responsibilities and constraints; emphasize the importance of continued cooperation, coordination, understanding and acceptance of the need for public outreach and information.

The role of the territorial branch of central government - the District Environmental Authority - needs to be appreciated and recognized because it provided the expertise and played a significant role in the overall development of the REAP.

Information

Foreign input

Participation of businesses

Education

Weaknesses

Unclear planning

Time limitations

Selection of the target area

Involvement of local governments

Obstacles

Political influence

Insufficient responsibilities