- •Sustainability Assessment
- •Sustainability Assessment
- •Academic Press is an imprint of Elsevier
- •First published 2013
- •Notices
- •British Library Cataloguing-in-Publication Data
- •A catalogue record for this book is available from the British Library
- •Library of Congress Cataloging-in-Publication Data
- •A catalog record for this book is available from the Library of Congress
- •For information on all Academic Press publications visit our website at store.elsevier.com
- •List of Abbreviations
- •1 Sustainability Assessment of Policy
- •1.1 Introduction
- •1.2 Rationale
- •1.3 Understanding Discourses
- •2 Sustainability Climate of Policy
- •2.1 Introduction
- •2.2 Emergence of Policy Sustainability
- •2.2.1 Population and Resource
- •2.2.2 Modernity and Sustainability
- •2.3 Concept of Sustainability
- •2.3.1 Steady-State Economy
- •2.3.2 Carrying Capacity
- •2.3.3 Ecospace
- •2.3.4 Ecological Footprints
- •2.3.5 Natural Resource Accounting/Green Gross Domestic Product
- •2.3.6 Ecoefficiency
- •2.4 Sustainability Initiative
- •3 Characterizing Sustainability Assessment
- •3.1 Introduction
- •3.2 Resource System
- •3.3 Social System
- •3.4 Global System
- •3.5 Target Achievement
- •3.5.1 Detection of Changes
- •3.5.2 Determining Operation Scale
- •3.5.3 Harmonizing Operation Sequence
- •3.6 Accommodating Tradition and Culture
- •3.7 Selection of Instrument
- •3.8 Integration of Decision System
- •3.9 Responding to International Cooperation
- •4 Considerations of Sustainability Assessment
- •4.1 Introduction
- •4.2 Socioeconomic Consideration
- •4.2.1 Nature of Poverty
- •4.2.2 Nature of Resource Availability
- •4.2.3 Nature of Economy
- •4.2.4 Nature of Capital
- •4.2.5 Nature of Institutions
- •4.3 Consideration of System Peculiarities
- •4.3.1 Temporal Scale
- •4.3.2 Spatial Scale
- •4.3.3 Connectivity and Complexity
- •4.3.4 Accumulation
- •4.3.5 Nonmarketability
- •4.3.6 Moral and Ethical Considerations
- •4.4 Consideration of Component Peculiarities
- •5 Issues of Sustainability Assessment
- •5.1 Introduction
- •5.2 Issues Related to Society
- •5.2.1 Social Modernization
- •5.2.2 Societal Relationship
- •5.2.3 Radicalization and Convergence
- •5.2.4 Boserupian/Neo-Malthusian Issues
- •5.2.5 Social Ignorance
- •5.2.6 Social Attitudes
- •5.3 Issues Related to Policy Discourse
- •5.3.1 Discourses of Story Line
- •5.3.2 Discourses of Disjunction Maker
- •5.3.3 Discourses of Symbolic Politics
- •5.3.4 Discourses of Sensor Component
- •5.4 Issues Related to Actors
- •5.4.1 Influences of Macroactors
- •5.4.2 Positioning of Actors
- •5.4.3 Way of Arguing
- •5.5 Black Boxing
- •6 Components of Sustainability Assessment
- •6.1 Introduction
- •6.2 Social Adequacy
- •6.3 Scientific Adequacy
- •6.4 Status Quo
- •6.5 Policy Process
- •6.6 Policy Stimulus
- •6.7 Participation
- •6.8 Sectoral Growth
- •6.9 Resource Exploitation
- •6.10 Traditional Practices
- •6.11 Role of Actors
- •6.12 Framework Assessment
- •6.13 Scope Evaluation
- •6.14 Evaluation of Implementation
- •6.15 Instrument Evaluation
- •6.16 Structural Evaluation
- •6.17 Cause Evaluation
- •6.18 Cost Evaluation
- •6.19 Impact Assessment
- •6.20 Quantitative Approach
- •6.21 Anthropogenic Evaluation
- •6.22 Influence of Other Policies
- •7 Linkages of Sustainability Assessment
- •7.1 Introduction
- •7.2 Parallel Linkage
- •7.3 Linkage of Ascendancy
- •7.4 Linkage of Descendancy
- •7.5 Linkage of Hierarchy
- •7.6 Horizontal Linkage
- •7.7 Quasi-political Linkages
- •7.8 External Linkage
- •7.9 Market Linkage
- •7.10 Evaluation of Link to the Past
- •7.11 Actors and Story Line
- •7.12 Practices and Story Line
- •7.13 Reflection of Image of Change
- •7.14 Integrating Information
- •7.15 Forecasting
- •7.16 Assessing Options
- •7.17 Post-decision Assessment
- •8 Assessment of Policy Instruments
- •8.1 Introduction
- •8.2 Approaches of Implementation
- •8.3 Attributes of Instrument
- •8.4 Choice of Instruments
- •8.5 Instruments as a Component of Policy Design
- •8.6 Addressing the Implementation of Instruments
- •9 Social Perspectives of Sustainability
- •9.1 Introduction
- •9.2 Participation Evaluation
- •9.3 Process Evaluation
- •9.4 Retrospective Policy Evaluation
- •9.5 Evaluation of Policy Focus
- •9.6 Deductive Policy Evaluation
- •9.7 Comparative Modeling
- •9.8 Deductive Modeling
- •9.9 Optimizing Perspectives
- •9.10 Political Perspectives
- •10 Factors of Sustainability Assessment
- •10.1 Introduction
- •10.2 Actor as Policy Factor
- •10.3 Global Resource Factor
- •10.4 Local Resource Factors
- •10.5 Participation Factor
- •10.6 Participation Catalyst
- •10.7 Economic Factors
- •10.7.1 Influence of Macroeconomic Factors
- •10.7.2 Influence of Microeconomic Factors
- •10.7.3 Influence of Private Investment
- •10.7.4 Influence of Public Investment
- •10.7.5 Influence of Economic Incentives
- •10.8 Administrative Factor
- •10.8.1 Right and Tenure
- •10.8.2 Decentralization
- •10.8.3 Accessibility
- •10.9 Market Influence
- •10.10 Historical Factor
- •10.11 Other Factors
- •11 Tools for Sustainability Assessment
- •11.1 Introduction
- •11.2 Indicators for Evaluating Resource Dimension
- •11.2.1 SOR Indicators
- •11.2.2 NFR Indicators
- •11.2.3 Effectiveness Indicators
- •11.2.4 Comparing Indicators of Resources
- •11.2.5 Explanatory Variables
- •11.2.6 Tools for Assessing Human Dimension
- •12 Problems in Sustainability Assessment
- •12.1 Introduction
- •12.2 Boundary Problem
- •12.3 Problem with Social Concern
- •12.4 Role of Science
- •12.5 Institutional Difficulty
- •12.6 Implementation Problem
- •12.6.1 Circumstances External to the Implementing Agency
- •12.6.2 Inadequacy of Time, Resources, and Programs
- •12.6.3 Lack of Understanding Between Cause and Effect
- •12.6.4 Minimum Dependency Relationship of Decisions
- •12.6.5 Lack of Understanding of, and Agreement on, Objectives
- •12.6.6 Policy Tasks not Specified in Correct Sequence
- •12.6.7 Lack of Perfect Communication and Coordination
- •12.6.8 Rare Perfect Compliance of Implementing Body
- •13 Discussion and Recommendation
- •13.1 Discussion
- •13.2 Recommendation
- •13.3 Importance
- •Summary
- •References
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evaluation works best where the influence of other factors or variables can be eliminated. Thus, the method has some applications in situations where groups of people can, to some extent, be isolated. However, the heterogeneity of resources and their production base may present limited opportunity for experimentation of this kind. The monitoring of a policy retrospectively, even with the use of control groups, cannot be construed as evaluation using the experimental method, as this requires a program delivery focused entirely on evaluation considerations. However, well-designed programs of this nature using control groups (the quasi-experimental method) may offer some scope for evaluation.
Finally, the retrospective cost benefit analysis is an extension to the methods already outlined. The prospect of attributing a financial value to the cost and benefit associated with a particular policy signifies the success of this method. It does not, however, solve some of the conceptual or analytical problems of isolating costs and benefits, establishing causal relationships, and eliminating independent variables.
In practice, most formal policy evaluations could utilize a range of methods. However, much comment on the impact and achievement of policy by politicians, policy agents, and academics may not take care of these methods. Intuition, ideology, and received opinion, all figures largely in what may pass for policy evaluation. In the same way, implementation is as political a process as policy formulation, so retrospective evaluation is inevitably a part of a continuing policy process in which political imperatives and the focus of the policy figure highly. Thereby, identification of policy focus is important for retrospective evaluation of social dimension.
9.5 EVALUATION OF POLICY FOCUS
Retrospective policy evaluation engages the nature, causes and effects of governmental decisions or policies. The purpose of policy evaluation is largely to find out the appropriate relationship between the policy focus and the policy decisions. According to Nagel (1984) evaluation of policy focus may be done by concentrating on the following ways:
1.Taking policies as givens and attempting to determine what causes them.
2.Taking social forces as givens and attempting to determine what effects they have.
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3.Taking policies as given and attempting to determine what effects they have.
4.Taking effects or goals as given and attempting to determine what policies will achieve to maximize those goals.
Among the propositions for evaluating policy focus stated above, the first two steps are mainly associated with political science or political perspectives. The third is usually an evaluation research, and the fourth one is for optimizing perspective of the policy research and mostly related to sustainable development. However, policy focus evaluation cannot be totally value free since sometimes achieving policy focus may be sacrificed for achieving or maximizing certain given social values. Thus, policy evaluation often takes extra precautions to keep social or personal values from interfering with their statement of focus. These precautions can include drawing upon multiple sources and individuals for crosschecking information, making available raw data sets for secondary analysis and making assumptions more explicit. In this regard, policy evaluation may have three perspectives:
1.deducing perspectives,
2.optimizing perspectives, and
3.political perspectives.
Deducing perspectives draws conclusions concerning the effects of alternative policies from premises that have been empirically validated or intuitively accepted. Optimizing perspectives deals with deducing the conclusions to ensure what policy will maximize benefit cost ratio taking into consideration that policies often have diminishing returns and must be analyzed in the light of economic, legal, and political constraints. The political perspective of the policy evaluation deals with the role of interest groups, government personnel, and government procedures in determining policy formation and impact. Each of the above perspectives of policy evaluation has its own merits and demerits as detailed in the following sections.
9.6 DEDUCTIVE POLICY EVALUATION
Deductive policy evaluation often refers to the more specific methods used in retrospective analysis of public policies. The main methods, however, are no different from those associated with social sciences and the scientific methods in general, except they are applied to
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variables and subject matters involving relations among policies, policy causes and policy effects. According to Nagel and Neef (1980), the main principles of deductive analysis are comparative modeling and deductive modeling.
9.7 COMPARATIVE MODELING
One of the scientific alternatives to deducing the effects of alternative policies involves comparing people or places who have not experienced a certain policy with those who have experienced the policy. Although this principle seems suitable for past policies, it may have a number of methodological and normative limitations:
•On a methodological level, there may not be enough places where the policies have been adopted or it may be possible that
there are no places where policy has not been adopted. On the other hand, though both the groups present, it may happen that the policies have not been adopted in similar places or simultaneously.
•There may be possible that policies have been adopted by some places and not others, but the adoption has involved nonrandom selection which may tend to make the comparison meaningless.
•Another defect in the purely empirical approach is that the policy may have been adopted too recently for a long-term evaluation. In such cases, a period of several decades may need to pass and a comparison needs to be made with data before implementation of the policy and say 30 years after the implementation.
To avoid these deficiencies of the traditional cross sectional or time series analysis of policies or treatments, the principle of deductive modeling may be applied.
9.8 DEDUCTIVE MODELING
Deductive modeling considers the them out with the implementation have three forms:
decisions of a policy and works process. Deductive modeling may
1.model dealing with group decision making,
2.models of bilateral decision making, and
3.models of individual decision making.
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If the number of implementing agency varies, e.g., four to eight, there could be a difference in the achievement of the goals of a policy. Finding out such differences may be done by method 1. On the other hand, method 2 assumes that implementation of one decision may change the performance of other decision, and method 3 tries to illustrate the change in all other objectives due to a strict implementation of one objective of the policy. However, such a relationship is based on the assumption of a probabilistic approach that requires a large number of observations to fit in probabilistic distribution before drawing any inference. In the case of land use policies of the past, such a large number of observation is not possible; therefore, the implication of deductive modeling remains limited in this thesis.
9.9 OPTIMIZING PERSPECTIVES
The main scientific alternative to optimizing perspectives of public policies is to take policies as givens and then to determine their effects. This is often referred as impact analysis. An optimizing perspective on the other hand, takes goals as givens and attempts to determine what policies will maximize those goals. Generally, the best or optimum policies or set of policies are those which maximize the benefits minus costs subject to economic, legal, political, or other constraints. Models of optimizing alternative resource policies can be classified in terms of their involvement in the following findings:
1.An optimum policy level where doing too much or too little may be undesirable.
2.An optimum policy mix where scarce resources need to be allocated.
3.An optimum policy choice among discrete alternatives, especially under conditions of uncertainty.
In dealing with an optimum level problem 1, one needs to relate adoption costs and nonadoption cost at various policy levels. The optimum policy level is then the level of degree of adoption that maximizes the sum of the adoption costs and the nonadoption costs.
In the optimum mix problem 2, one needs to determine the relative slopes of marginal rates of return of each of the places or activities under consideration. If linear relations are present, the optimum mix is then the mix or allocation that gives the budget to the most productive places or