Environmental security, geological hazards and management: proceedings form the 1st International Workshop, San Cristobal de La Laguna, Tenerife (Canary Islands), Spain, 10-12 April 2013

              Juan Carlos Santamarta Cerezal, Luis E. Hernández Gutiérrez (eds.)
ENVIRONMENTAL SECURITY, GEOLOGICAL HAZARDS AND MANAGEMENTENVIRONMENTAL SECURITY, GEOLOGICAL HAZARDS AND MANAGEMENT
Proceedings from the 1st International Workshop, San Cristobal de La Laguna, Tenerife (Canary Islands), Spain, 10-12 April 2013
Editors
Juan Carlos Santamarta-Cerezal
universidad de la laguna, tenerife, spain
Luis E. Hernández Gutiérrez
área de laboratorios y calidad de la construcción, gobierno de canarias, tenerife, spainENVIRONMENTAL SECURITY,GEOLOGICAL HAZARDS AND MANAGEMENT
Proceedings from the 1st International Workshop, San Cristobal de La Laguna, Tenerife (Canary Islands), Spain,
10-12 April 2013
This project/work has been funded by the Education, Audiovisual and Culture Executive Agency
(EACEA), as an Erasmus Multilateral Project through project number 517629-LLP-1-2011-UK-ER-ASMUS-
EMCR
This book was peer reviewed
EDITING BY
Juan Carlos Santamarta Cerezal
Luis E. Hernández Gutiérrez
DESIGN BY
Alba Fuentes Porto
albafuentesporto@hotmail.com
SPONSORED BY
HOW TO CITE THIS BOOK;
Santamarta-Cerezal,J.C.,Hernández Gutiérrez,L.E. ed.(2013); Environmental security, geological
hazards and management.Universidad de La laguna.Tenerife
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DEPÓSITO LEGAL: TF-202-2013
ISBN 978-84-616-2005-0
INTERNATIONAL WORKSHOP IN
ENVIRONMENTAL SECURITY
GEOLOGICAL HAZARDS
~ MANAGEMENT
Tenerife • Canary lslands • Spain
10-12 April 2013
5
Contents
Introduction 7
Committee 9
Proceedings 11
Part 1: Environmental Security and Sustainability 13
Environmental security threats in the UK context: Climate change and forest plants diseases. Florin
Ioras. Pág.15
The EU targets for reducing greenhouse gas emissions from Polish economic perspective. Jakub
Piecuch. Pág.27
Corporate Environmental Performance Evaluation under Conditions of Sustainability. A. Polgár; J.
Pájer. Pág.35
Modeling for decision-making: the construction of an air quality integrated assessment model for
Spain. M. Vedrenne; R. Borge; J. Lumbreras & M.E. Rodríguez. Pág.53
Implementing BIM Techniques for Energy Analysis: A Case Study of buildings at University of La
Laguna. N. Martin-Dorta, P. González de Chaves Assef, J. De la Torre Cantero, G. Rodríguez Rufino. Pág.61
Ecological Foundation for Sustainable Land Use. A. Polgár & Á. Drüszler, F. Lakatos & V. Takács,
T. Bazsó. Pág.69
A pedagogy on sustainable architecture: hacking Solar Decathlon. E. Roig, M.I. Alba, J. Claver & R.
Álvarez. Pág.79
Reacting and Recycling. M. San Millán Escribano; A. Muñoz Miranda; S. Martínez Cuevas; B. Horta Rial.
Pág.85
Environmental Security and Solid Waste Management. Aerobic degradation of bioplastic materials.
M. P. Arraiza, J. V. López & A. Fernando. Pág.93
Specialized training in Environmental Security, Climate Change and Land Restoration. Masters Eras-mus,
Europe Lifelong Learning Programme. J.C. Santamarta-Cerezal; P. Arraiza Bermúdez-Cañete; Florin
Ioras. Pág.99
Sustainable re-thinking of the city concept. M.I. Alba, E. Roig, J. Claver & R. Álvarez. Pág.105
Environmental security, geological hazards and management
© 2013 ISBN 978-84-616-2005-0
6
Part 2: Water Management and Protection 111
Water availability and management in the Pyrenees under projected scenarios of climate and land
use change. J.I. López-Moreno; E. Morán-Tejeda; J. Revuelto; M. Gilaberte; J. Zabalza; S.M. Vicente-Serrano.
Pág.113
Mountain Areas Safety. Torrent control in a Pyrenean basin. García Rodríguez, José L., Giménez Suárez,
M.C. Pág.119
Protection perimeters for natural mineral water catchment in volcanic aquifers in the Canary Islands.
R. Poncela, E. Skupien, R. Lario, Á. Morales. Pág.125
Protecting and Restoring Gran Canaria island’s Watershed. Laurel Forest Reforestation in Los Tilos
de Moya. Naranjo Borges, J. Pág.131
Changes of the Environmental Conditions at Lake Fertő, Hungary. T. Bazsó, G. Király & I. Márkus.
Pág.137
Heavy metal content in Sewage Sludge: A management strategy for an ocean island. C. Hernández-
Sánchez, A. Burgos , JM. Galindo, A. Gutiérrez, C. Rubio, A. Hardisson. Pág.147
Changing Climate Impacting on Water and Energy Needs for Millions. Yusuf Serengil, İbrahim Yurtse-ven,
Hakan Erden. Pág.155
Effect of vineyard management on the soil quality, ‘Vino de Toro’ district, Western Spain. M. Isabel
González, José A. Egido, Juan F. Gallardo. Pág.163
Introduction to water problems in Canary Islands. J.C. Santamarta-Cerezal, J. Rodríguez-Martín. Pág.169
Part 3: Geological Hazards 179
Study of L´Aquila earthqueake sentence. Some legal aspects of the environmental security. Luis-Javier
Capote-Pérez. Pág.181
Geological hazards in sensitive infrastructures of the Canary Islands: the case of large astronomical
telescopes. A. Eff-Darwich; J. de León; B. García-Lorenzo; R. Viñas; J.A. Rodriguez-Losada; L. Hernández-
Gutiérrez; J.C. Santamarta. Pág.187
Environmental Impacts of Opencast Mining, Hungary. J. Pájer, I. Berki, A. Polgár & K. Szabó, Z. Gri-bovszki,
P. Kalicz. Pág.193
The use of DInSAR as a complementary tool for forensic analysis in subsiding areas. Tomás, R, Cano,
M., Sanabria, M., Herrera, G, Vicente, F. , Lopez-Sanchez, J.M. Pág.201
Morphology and distribution of volcanic bombs in Caldera Quemada de Arriba (Lanzarote, Canary
Islands): implications for volcanic hazard analysis. I. Galindo, M.C. Romero, N. Sánchez, J. Dóniz, J. Yepes,
J.M. Morales & L. Becerril, I. Galindo, N. Sánchez, J.M. Morales & L. Becerril, M.C. Romero & J. Dóniz, J.
Yepes. Pág.207
Disaster Risk Reduction, an overview. J.C. Santamarta-Cerezal, J. Neris-Tomé, L.E. Hernández Gutiérrez,
A. Eff-Darwich. Pág.215
Volcanic cliff instability in Playa de La Arena, Tacoronte, Tenerife, Spain. M.C. López-Felipe, L.E.
Hernández, I.N. Álvarez-Pérez, A. Hernández-Sanz, J.C. Santamarta-Cerezal. Pág.221
7
Europe is facing an accelerated climate change as a result of global warming and as a result
population departure and consequent abandon of rural areas due to the increase floods, for-est
fire, lack of water, land slide, etc, and there is a need to find ways to support management
of such hazards by providing adequate training on environmental security and management.
The 2010 Climate Agreement in Cancun, Mexico, identified as of matter of urgency the need
for training on managing environment security and preventing occurrence by providing.
The Environment and Security International Workshop is intended to provide a forum to
explore the connections between environment and security issues, their common underlying
scientific threads, and the policy and governance needed to address security risks posed by a
rapidly changing environment.
Topics;
1. Climate Change and Security
2. Changing Climate Impacting on Water and Energy Needs for Millions
3. Science and Innovation for Energy Safety
4. Sustainable Environment, Occupational, and Public Health for Livelihood
5. The Rio+20 Summit: Green Economy and Global Governance
6. Safe, Resilient, and Sustainable Communities
7. Geologycal Hazards
8. Threats to Water Resources
Introduction
9
Committee
Organizing committee chair
Juan Carlos Santamarta-Cerezal, ULL, Spain
Organizing committee co-chairs
Florin Ioras, Bucks New University, UK
Luis E. Hernandez Gutiérrez, Canary Islands Goverment-INVOLCAN, Spain
SpainIoan Vasile Abrudan, Brasov University, Romania
Paz Arraiza Bermúdez Cañete, UPM, Spain
Henn Korjus, EMU, Estonia
Viktor Takasz, EFE, Hungary
Roberto Tomás Jover, Universidad de Alicante, Spain
Organization committee
Jonay Neris Tomé , ULL, Spain
Lidia Carrillo, ULL, Spain
Alba Fuentes Porto, UPV, Spain
Scientific committee
Florin Ioras, Bucks New University, UK
Luis E. Hernández Gutiérrez, Canary Islands Goverment-INVOLCAN, Spain
Ioan Vasile Abrudan , Brasov University, Romania
Paz Arraiza Bermúdez Cañete, UPM, Spain
Juan Carlos Santamarta-Cerezal, ULL, Spain
Henn Korjus, EMU, Estonia
Environmental security, geological hazards and management
© 2013 ISBN 978-84-616-2005-0
10
Viktor Takasz, EFE, Hungary
Jonay Neris Tomé, ULL, Spain
Inés Galindo Jiménez, IGME, Spain
Fernando García Robrero, UPM, Spain
José Luis García Rodríguez, UPM, Spain
José Carlos Goulart Fontes, Universidade dos Açores, Portugal
Roberto Tomás Jover, Universidad de Alicante, Spain
Gerardo Herrera García, IGME, Spain
Antonio Abellán Fernández, Université de Lausanne, Switzerland
Miguel Cano González, Universidad de Alicante, Spain
Roberto Poncela Poncela, ICOG, Spain
Nemesio Pérez, ITER-INVOLCAN, Spain
Javier García Barba, Universidad de Alicante, Spain
Antonio Eff-Darwich Peña, ULL-INVOLCAN, Spain
Elzbieta Skupien, Professional, Spain
Luis Capote Pérez, ULL, Spain
Joaquín Sotelo García, UCM, Spain
Roberto Álvarez Fernández, Antonio Nebrija University, Spain
Alfonso Méndez Cecilia, Universidad de León, Spain
Encarnación Rodríguez Hurtado, UPM, Spain
Humberto Gutiérrez García, Gobierno de Canarias, Spain
Norena Martín Dorta, ULL, Spain
Axel Ritter Rodríguez, ULL, Spain
11
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Proceedings
PART 1
Environmental Security and Sustainability15
Part 1
Environmental Security and Sustainability
ENVIRONMENTAL SECURITY THREATS IN THE UK CONTEXT:
CLIMATE CHANGE AND FOREST PLANTS DISEASES
Florin Ioras
Institute for Conservation, Sustainability and Innovation, Buckinghamshire New University,
Queen Alexandra Road, High Wycombe, Bucks HP11 2JZ, United Kingdom
ABSTRACT: Native plant communities, woodlands and landscapes in the UK and across the world
are suffering from pathogens introduced by human activities as a result of climate change and are
perceived as environmental security threats for national sustainable development . Many of these
pathogens arrive on or with living plants. The potential for damage in the future may be large, but
current international regulations aimed at reducing the risks take insufficient account of scientific evi-dence
and, in practice, are often highly inadequate. In this article is outlined the problems and discuss
some possible approaches to reducing the environmental security threats.
1. INTRODUCTION
Considering national security as the key part of national interest, and if the former means
freedom from external threat, it is obvious that resources are key determinants. Environmental
insecurity is caused by resource shortage, excessive demand and/or by the introduction of an
imbalance in resource availability by conflict or natural effects. Humans causes a scarcity of
renewable resources in three ways: (i) decreased quality and quantity of renewable resources at
higher rates than they are naturally renewed (supply-induced scarcity), (ii) increased population
growth or per capita consumption (demand-induced scarcity) and (iii) unequal resource access
(structural scarcity) (Homer-Dixon, 1994). The alliance of these three comprises environmen-tal
scarcity. The impact of resource scarcity can be resultant of decreased agricultural produc-tion,
decreased economic productivity, population displacement and disrupted institutions and
social relations. Given the relationship between conflict and resource scarcity, it is clear that
environmental security is an important feature of current social, economic and political trends
(Dimitrov, 2002). Environmental disruptions determined by conflict-oriented disturbances,
such as to destroy food crops as a war tactic and the use of landmines in fields and forests
which people depend on for their livelihoods, pose a risk to people health and wellbeing. All
of this can diminish the capacity of state survival and national economic viability The idea of
directly linking the environment to security concerns was stated by Peter Gleick (1991), who
identified what could be primary environmental threats to security, all relevant to resource
studies. Resource acquisitions are strategic goals in themselves. Mainly environmental security
means national sustainable development (Ioras et all, 2010)
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© 2013 ISBN 978-84-616-2005-0
2. CLIMATE CHANGE IN 21ST CENTURY
The earth’s climate has always changed in response to changes in the cryosphere, hydro-sphere,
biosphere and other atmospheric and interacting factors. It is widely accepted that
human activities are now increasingly influencing changes in global climate (Pachauri & Re-isinger,
2007). Since 1750, global emissions of radiatively active gases, including CO2, have
increased rapidly, a trend that is likely to accelerate if increase in global emissions cannot be
curbed effectively. Man-made increases in CO2 emissions have come from industry, particu-larly
as a result of the use of carbon-based fuels. Over the last 100 years, the global mean
temperature has increased by 0.74°C and atmospheric CO2 concentration has increased from
280 p.p.m. in 1750 to 368 p.p.m. in 2000 (Watson, 2001). Temperature is projected to increase
by 3.4°C and CO2 concentration to increase to 1250 p.p.m. by ∼2095 under the A2 scenario,
accompanied by much greater variability in climate and more extreme weather related events
(Pachauri & Reisinger, 2007). Underlying these trends is much spatial and temporal hetero-geneity,
with projections of climate change impacts differing among various regions on the
globe. Some of this is clear in the outputs from models that take into account geographic
geographic criteria such as land mass distribution, topography, ocean currents and water
masses, and known meteorological features such as air streams. Nevertheless, historic data
show seasonal and regional variation not accounted for in model processes (e.g. Barnett et
al., 2006) that have major implications for practical processes such as crop sowing, harvest
or pest and pathogen infection and therefore all the activities that derive from these effects.
Defining uncertainty is important in all areas of climate change research, not only in assump-tions
for stochastic or deterministic models, but also in biological processes where knowl-edge
or understanding is lacking. To understand how best to control plant diseases to in the
context of climate change, plant protection professionals must work with societal change,
defining its key processes and influencers to effect change.
Major problems may arise if a pathogen escapes – or is introduced – to another region of the
world where the native plants have little resistance and the pathogen has eluded its natural
enemies. Such events can trigger damaging disease episodes that may also have long-term
negative impacts on the environment, economy and cultural heritage.
Movement of plants and plant products between bio-geographical zones by human activities
is now generally accepted to be the primary mode of introduction of exotic pathogens and
pests. There is therefore a tension, in terms of risk to the cultural and natural environment,
between the conservation and environmental responsibilities of horticulturalists, foresters,
garden designers and landscape architects and their desire for novel material or (these days)
cheaper plants and instant trees.
Since the 1990s a stream of invasive pathogens potentially damaging to trees, natural ecosys-tems
and horticulture has been entering the UK. Notable examples include the alder dieback
pathogen P. alni ; the ‘sudden oak death’ (SOD) pathogen P. ramorum ; the similar P. ker-
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noviae; horse chestnut bleeding canker ( Pseudomonas syringae pv. aesculi) and box blight (
Cylindrocladium buxicola) (Table 1). Indeed in a list of 234 pathogens first recorded in the
UK between 1970 and 2004 (Jones & Baker, 2007), ca. 67% were associated with wild or
ornamental plants. Organisms like these represent a significant threat both to the UK natural
environment and our horticultural heritage. However this threat, and the effectiveness of
international procedures in preventing such invasions, has been scarcely debated in scientific
or socio-political circles.
Table 1. Examples of recently introduced invasive pathogens in forests, natural environments and
horticulture in the UK
Disease and
organism
Hosts and
symptoms in UK
Probable mode
and date
of introduction
to UK
Possible
geographic
origin
Consequences/threat
Dutch elm disease
Ophiostoma novoulmi
Native elms
Wilt
Imported
Canadian elm
logs ca. 1970
Eastern Asia Massive pandemic
across northern
hemisphere. Initial
death of ca. 28
million mature elms
in UK 1970–90 and
subsequent death of ca.
20 million young elms.
Comparable major
losses across
Europe, central Asia,
North America.
Dogwood
anthracnose
Discula destructiva
Cornus spp.
Dieback
Imported
American
nursery
stock, 1995
Asia Damaging to
ornamental
Cornus cultivation in
UK/ Europe. Major
losses of native Cornus
in USA. Threat to
Asian Cornus spp.
unknown.
Box blight
Cylindrocladium
buxicola
Box ( Buxus
spp.)
Shoot dieback
Imported
nursery stock
1990s
Unknown Rapid spread.
Threatens rare native
box. Damages
ornamental box hedges
in formal gardens.
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© 2013 ISBN 978-84-616-2005-0
Phytophthora
disease of alder
Phytophthora alni
(including ‘PAA’,
‘PAU’ and ‘PAM’
subspecies)
Alnus spp.
Bleeding lesions
of stem and
collar
Imported
European
nursery stock
1990s
Newly
evolved
interspecific
hybrids, in
a European
nursery?
The highly aggressive
P. alni subsp. alni (PAA)
now spreading and
causing mortality of
native riparian alders
across UK and western
Europe. Threat to
North American and
Asian alders unknown.
Oak root rot
Phytophthora
quercina
Oak ( Quercus
robur ) Loss of
feeder roots
Imported
nursery stock?
Unknown,
via Europe?
Widespread and
established in UK,
Europe. Population
structure indicates
introduction.
Interacts with stress
factors-probably
contributes to oak
declines. Threat to
North America and
Asian oaks unknown.
Ramorum dieback
(sudden oak
death)
Phytophthora
ramorum
Rhododendrons,
viburnums,
beech,
other trees and
ornamentals
Shoot dieback
and stem blee-ding
lesions
Imported
European
nursery stock
1990s
Eastern
Asia? via
Europe
Widespread in
commercial nurseries.
Spreading in woods
and public gardens in
Cornwall. Uncertain
long term threat to
UK trees, Vaccinium
moorlands, gardens,
UK nursery trade.
Spreading in
European nursery
trade (currently under
regulation). Extensive
environmental damage
in California.
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Kernoviae dieback
Phytophthora
kernoviae
Beech, stem
bleeding lesions.
Rhododendrons,
shoot dieback
and
mortality.
Magnolia spp.,
leaf spots
Imported
nursery stock
1990s
Asia,
via New
Zealand?
In Cornwall, spreading,
causing dieback and
mortality of
Rhododendron ponticum
and beech.
Recently recorded on
native bilbury, Vaccinium
myrtillus.
Threat to National
Magnolia Collection?
Long term threat to
UK environment
uncertain.
Threat to European,
American, Asian,
Australasian
ecosystems unknown.
Holly shoot blight
Phytophthora ilicis
Holly ( Ilex spp.)
Shoot dieback,
defoliation, stem
bleeding lesions
Imported
nursery stock
1980s?
Unknown,
Asia?
Has become
widespread since 1980s
on native and
ornamental holly.
Very active locally in
Cornwall.
Threat to Asian
Ilex unknown but
causes severe
damage to some
Chinese
Ilex spp. in UK.
Red band needle
blight
Dothistroma
septosporum
Corsican pine (
Pinus nigra ss.
laricio )
Needle death,
defoliation,
crown dieback
Imported
nursery stock
1950s;
re-imported,
1990s?
Unknown,
via Europe?
Explosive outbreak
since ca. 1997 with
substantial
and increasing dieback
and mortality. Major
threat to future
of Corsican pine
plantations in UK.
Serious damage to
other pine species in
British Columbia,
New Zealand and
elsewhere.
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Environmental security, geological hazards and management
© 2013 ISBN 978-84-616-2005-0
Horse chestnut
bleeding canker
Pseudomonas syringae
pathovar
Aesculi
Horse Chestnut
Stem bleeding
canker
Imported
European
nursery stock or
seed, 1990s?
India? Rapid spread. Mortality
and dieback. Increasing
threat to specimen
plantings and historic
avenues across UK.
Spreading rapidly
across Europe. Threat
to North America
unknown. Has been
found on
Aesculus indica in India.
Catalpa powdery
mildew
Erysiphe elevata
Catalpa sp.
Leaf necrosis
and defoliation
Imported
nursery stock,
1990s?
Unknown,
via North
America?
Spreading on
established ornamentals
in parks,
gardens.
Impatiens downy
mildew
Plasmopara obducens
Impatiens spp.
Foliar necrosis
Imported
nursery stock or
contaminated
seed, 2002–3
Central
America
Threat to Impatiens
cultivation in UK and
elsewhere.
Heuchera rust
Puccinia heucherae
Heuchera spp.
Foliar necrosis
Imported
nursery stock,
2004
North
America
Damaging to
ornamental
Heuchera
cultivation in UK
and elsewhere
Camellia petal
blight
Ciborinia camelliae
Camellia spp.
Petal necrosis
Imported
nursery stock,
1990s?
Japan via
New Zealand
or USA?
Spreading. Threat to
National Camellia
Collections.
3. RISK ARISING FROM INTERNATIONAL PLANT HEALTH PROTOCOLS
In response to expanding world trade and concern over spread of plant diseases, interna-tional
protocols were set up in the 1950s via the International Plant Protection Convention
(IPPC) of the FAO and World Trade Organisation (WTO) rules to regulate the process of
trade and to reduce the likelihood of accidental introductions of organisms of phytosanitary
concern. Today, protecting a state from invasive plant pathogens is often referred to as plant
biosecurity. In most of Europe plant biosecurity protocols are applied via the plant health
regulations of the European Union (EU). These broadly follow the Sanitary and Phytosani-
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tary Agreement (SPS) of the World Trade Organisation as consolidated in the 1990s. In
the UK, EU regulations are usually regulated and operated to a high standard (plant health
teams within the Department for Environment, Food and Rural Affairs (Defra) and the UK
Forestry Commission (FC) have many skilled officers and scientists). Equally, many involved
in the UK plant trade aim to adhere to the protocols and to minimise the risks involved.
However, in the light of recent developments in the plant trade itself and of regular breaches
of UK plant biosecurity ( cf. Table 1; and Jones & Baker, 2007), some tenets underlying the
protocols must now be viewed as outdated and seriously flawed.
4. PROBLEMS WITH IDENTIFYING THE RISK
The SPS Agreement of the World Trade Organisation aims to minimise any disruption to
trade that plant health regulation might impose. The intention is to ensure that global com-mercial
trade in plants is not unduly hindered by artificial barriers; apparently without ques-tion
as to whether such international trade is a fundamentally sound or unsound process
based on scientific and global environmental grounds.
The protocols principally involve the production of lists of named harmful organisms. These
tend to concentrate on organisms likely to affect widely grown agricultural commodities and
timber. The case for inclusion of each organism must be founded in ‘sound science’. By defi-nition,
all ‘unlisted’ organisms remain unregulated. However, the lists principally comprise
pathogens that have already escaped from their geographical centres of origin and started to
cause overt disease in another part of the globe. Many of these ‘newly escaped’ organisms
were previously unknown to science and were not therefore on any international list before
they escaped (Brasier, 2005). Dutch elm disease, sudden oak death, phytophthora disease of
alder, and box blight in the UK (Table 1) are all examples of major disease episodes caused
by previously unknown pathogens.
Based on these and similar examples, and on estimates that only 7–10% of all fungal species
having so far been identified (Hawksworth, 2001; Crous & Groenwald, 2005), some 90% of
pathogens may be unknown to science. The number of unknown species of Phytophthora , for
example, arguably the world’s most destructive group of plant pathogens, may be between
100 and 500 (Brasier, 2008).
Darwinian evolution predicts that, being adapted to and co-evolved with their hosts, many
of these pathogens are unlikely to do noticeable damage in their native ecosystems, and so
are less likely to be detected. Thus a previous survey in the Himalayas led to the discovery
of a third species of Dutch elm disease fungus, unknown to science, highly aggressive to
European elms, yet apparently benign on Himalayan elm species (Brasier & Mehrotra, 1995).
Both practical experience and predictive science, therefore, dictate that current SPS proto-cols
are flawed. First, because they tend to concentrate on only the most noticeable escapees
and so come into effect only after a problem is identified. Second, because they may cover
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Environmental security, geological hazards and management
© 2013 ISBN 978-84-616-2005-0
only a minority of the organisms which pose a threat. Moreover, since they largely ignore the
risk from benign, co-evolved, un escaped organisms, the protocols may ignore the risk from
90% of potential pathogens. In this sense, therefore, they are non-Darwinian. Rather than
focus on already escaped organisms, it is paramount to concentrate on scientific facts and
principles which indicate that pathogens need to be contained within their centres of origin;
not distributed around the world and subject to regulation only when causing visible damage
beyond their natural range.
5. CONSEQUENCES FOR THE UK ENVIRONMENT HERITAGE
Many of the examples of recently invasive pathogens listed in Table 1 are organisms previ-ously
unknown to science; and most were probably introduced via nursery stock or a similar
import pathway. Sometimes their initial impact on the UK ‘natural environment’ is severe
and rapid, as with Dutch elm disease. Often it is more gradual, as with the current mortal-ity
and decline of native alder caused by P. alni (Table 1). Some incursions may remain un-detected
or may not be noticed for decades, especially if they are weak pathogens such as
the oak rootlet pathogen P. quercina (Table 1). Nonetheless weak pathogens can, over time,
contribute to chronic disease complexes or declines (such as the current oak decline across
Europe) that may become acute if exacerbated by climatic or other environmental stress on
the host (Jönsson, 2004). This potential for longer term damage is one reason why the arrival
of any alien plant pathogen, however initially benign, should be considered a biosecurity risk.
Often, the resulting damage extends well beyond the effect on an individual host species.
Invasive pathogens may destabilise entire local ecosystems (e.g. P. cinnamomi, Table 1); and
affect associated factors such as dependent wildlife, hydrology, fire control, recreation and
public amenity (see Waage et al. 2005). To this must sometimes be added the costs of at-tempted
eradication, damage to rural economies, loss of tourism and loss of carbon storage
value. The present sudden oak death outbreak in California is negatively affecting wildlife
food chains, fire control, native tribal traditions and land values. The current death of alders
along UK and European rivers is damaging riparian ecosystems, destabilizing river banks and
affecting shelter for fish, birds and other wildlife.
The loss of some 28 million elms in the UK between 1970 and 1990 resulted in habitat loss
for insects, birds, fungi and microbes. It also involved the loss of a characteristic English
lowland landscape (cf. the ‘elmscapes’ in some of the artist John Constable’s Dedham-area
paintings or his views of Salisbury Cathedral); and the impoverishment of upland woodland
communities in Scotland and Wales. Simple economic formulae are sometimes applied to
such landscape-scale losses, based mainly on visual and shade impact of the trees. For ex-ample
in the 1980s, US landscape assessors put the net value of a high value amenity elm at
about $2000 per annum; and a modern formula estimates the net value of a small, 6·4 cm
diameter disease resistant elm sapling with a potential life of 50 years at ca. £23 000 or £460
p.a. (Scott & Betters, 2000; Anon, 2007). However, in many ways such landscape-scale losses
23
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Environmental Security and Sustainability
are irreplaceable, and the formulae, while providing a guide, also seem redolent of ‘knowing
the price of everything and value of nothing’. Can we truly put a price on the possible loss of
native box (Table 1) from the popular amenity area, Box Hill, Surrey; or the loss of London
Plane from the capital’s streets and parks to C. platani? How does one ‘value’ evolutionary his-tory
or cultural heritage? Invasive pathogens also damage our horticultural heritage, affecting
arboreta, specialist collections and historic gardens. One current example is horse chestnut
bleeding canker caused by the bacterium Pseudomonas syringae pv. aesculi (Table 1). This has all
the hallmarks of an introduced organism. Spreading rapidly, it has already infected tens of
thousands of individual trees and many heritage avenues. Another is P. ramorum. This is not
only affecting native woodland beech and understory rhododendron in the south west. It is
damaging exotic trees (e.g. Nothofagus, Magnolia, Drymis), historic specimen rhododendrons
and shrubs in famous gardens such as those of the National Trust. Its arrival represents a
potential threat to the National Council for the Conservation of Plants and Gardens (NC-CPG)
National Camellia and Pieris collections and to Vaccinium moor-land across Britain. Its
‘co-arrivee’, P. kernoviae (Table 1), is now present on, and must therefore be considered a
threat to, the NCCPG National Magnolia Collection. It has also been found recently on Vac-cinium
in semi-natural ancient oak woodland. Phytophthora ilicis (Table 1), in addition to causing
dieback and defoliation of native holly, is killing specimen Chinese holly trees coming from
early collections (e.g. those of E.H. Wilson) and damaging ornamental holly in public gar-dens.
Susceptible species in the NCCPG National Collection of Cornus have been affected
by dogwood anthracnose; while box blight not only threatens native box but causes serious
damage to formal box hedges in historic gardens.
6. ADDRESSING THE ISSUE: INITIATING SYSTEM REFORM
The protocol weaknesses outlined above, together with the steady procession of invasive,
clearly indicate that the movement of living plants, especially rooted nursery stock, between
vegetation zones or continents is a high-risk process. Further major episodes in the UK, such
as a loss of Plane trees across London to C. platani or a loss of oaks on a scale comparable
to Dutch elm disease, may seem unthinkable. Yet, in view of the frequency and character of
recent incursions, I would suggest that none of our amenity plantings or native ecosystems,
from oak forests to grouse moors, can now be considered sufficiently biologically secure.
Surprisingly, there is a general lack of awareness about the extent of the invasive pathogen
problem among trade professionals such as horticulturalists and foresters, conservationists
and environmental scientists and even among some plant pathologists. Furthermore, inter-national
regulatory protocols appear to be conducted in much of the world as if there were
no fundamental flaws, the application of the protocols sometimes giving the impression of
being institutionalized and ‘box ticking’. There is also little serious international debate on
the issue either at a scientific or at a political level. Equally, there is little awareness of the
issues among the buying public. Rather, there is a serious gap in public education regarding
disease risk from imported plants, the geographic origins of the plants they purchase and the
24
Environmental security, geological hazards and management
© 2013 ISBN 978-84-616-2005-0
chemical treatments that have been applied to them. In this regard, there has been virtually
no public debate in the UK and little serious attempt by government agencies, horticultural
journalists, nature conservation bodies or the trade to heighten public awareness. In contrast
to the level of public debate on other risk issues such as climate change, genetically modified
organisms or ‘bird flu’, the question of plant biosecurity has tended to be overlooked.
As indicated above, the Phytophthora-nursery situation developing in the EU is perhaps best
described as one of bio-insecurity, rather than biosecurity. In terms of the consumer’s right
to be informed, therefore, there must also be a strong case for the EU and the trade to thor-oughly
investigate, and to publicize, the quarantine and non quarantine Phytophthora species
(and other pathogens?) infesting nursery stock within the Community, and the frequency of
their movement between EU states
7. CONCLUSION
Given that the detection of the early spread of many tree diseases remains difficult, the best
policy appears to be to adopt a precautionary approach, taking steps at national borders to
ensure that diseases similar to Dutch elm disease do not enter the country in the first place
. However, whilst increasing quarantine measures or rates of inspection will certainly help
in preventing the entry of known pests and diseases, this has to be founded on a sound
knowledge of all potential invasive organisms, which in itself relies on knowing what all the
potential threats are.
Clearly there will be introductions of pests and diseases that are unknown, or of unknown
threat, where the development of management plans (e.g. whether to control or not) will
benefit from modelling such as this as soon as sufficient data is available to build a reliable
model. Indeed the current Dutch elm disease epidemic on the Isle of Man is being investi-gated
using a fine scale spatial agent-based model to prioritize management effort.
REFERENCES
ANON (2007). Cavat (Capital asset value for amenity trees). In: Risk Limitation Strategy for T r e e
Root Claims, Appendix B. http://www.ltoa.org.uk/docs/LTOA_Risk_Limitation_Strategy.
pdf
BARNETT C., HOSSELL J., PERRY M., PROCTER C., HUGHES G. (2006). A Hand book
of Climate Trends Across Scotland. Scotland: Scotland & Northern Ireland
Forum for Environmental Research (SNIFFER): SNIFFER project CC03.
BRASIER C. M., (2005). Preventing invasive pathogens: deficiencies in the system. The Plants-man
(4), 54–7.
BRASIER C.M. (2008). Phytophthora ramorum + Phytophthora kernoviae = interna tional
biosecurity failure. In: Frankel SJ, Kliejunas T, Palmieri KM, eds. Proceedings of the Sudden
Oak Death Third Science Symposium. USDA Forest Service General Technical Report P SW-GTR-
214. Albany, CA,
25
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Environmental Security and Sustainability
BRASIER C.M., MEHROTRA M.D. (1995). Ophiostoma himalulmi sp.nov. a new species of
Dutch elm disease fungus endemic to the Himalayas. Mycological Research 99, 205–15.
CHAKRABORTY S., NEWTON A.C.(2011). Climate change, plant diseases and food security:
an overview. Plant Pathology 60, 2-14.
CROUS P.W., GROENEWALD J.Z. (2005). Hosts, species and genotypes: opinions versus d a t a .
Australasian Plant Pathology 34, 463– 70.
DIMITROV, R. (2002). Water, Conflict, and Security: a Conceptual Minefield. Society
and Natural Resources. 15, p. 313-334. 2002.
GLEICK P. (1991). Environment and Security: the Clear Connections. Bulletin of Atomic
Scientists. 47:3. p. 16-21. 1991.
HAWKSWORTH D.L. (2001). The magnitude of fungal diversity: the 1.5 million species
estimate revisited. Mycological Research 105, 1422–32.
HOMER-DIXON T.F. (1994). Environmental Scarcity and Violent Conflict: Evidence
from Cases. International Security. 19:2, p.4-40. 1994.
IORAS F., DAUTBASIC M., WOOD P., RATNASINGAM J. (2010). Environmental security
in post war Bosnia and Herzegovina.. In Proceedings of the Biennial International
Symposium, Forest and Sustainable Development, Braşov, Romania, 15-16th October 2010,
755- 760.
JONES D.R., BAKER R.H.A. (2007). Introductions of non-native pathogens into Great Briain,
1970–2004. Plant Pathology 56, 891–910.
JÖNSSON U. (2004). Phytophthora species and oak decline – can a weak competitor cause signifi-cant
damage in nonsterilized acidic soil. New Phytologist 162, 211–22.
PACHAURI R.K., REISINGER A. (2007). Climate Change 2007: Synthesis Report.
Contribution of Working Groups I, II and III to the Fourth Assessment Report of the Inter
governmental Panel on Climate Change. Geneva, Switzerland: IPCC.
SCOTT J.L., BETTERS D.R. (2000). Economic analyses of urban tree replacement
decisions. Journal of Arboriculture 26, 69–77.
WAAGE J.K., MUMFORD J.D., FRASER R.D. (2005). Non-native pest species: changing
patterns mean changing policy issues. Proceedings of the British Crop Protection Council
International Congress – Crop Science and Technology 2005, 725–32.
WATSON R.T. (2001). Climate Change 2001: Synthesis Report. A Contribution of Working
Groups I, II, and III to the Third Assessment Report of the Intergovernmental Panel on Cli
mate Change. Cambridge, UK: Cambridge.
27
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Environmental Security and Sustainability
THE EU TARGETS FOR REDUCING GREENHOUSE GAS
EMISSIONS FROM POLISH ECONOMIC PERSPECTIVE
Jakub Piecuch
Institute of Economic and Social Sciences, University of Agriculture in Krakow,
A. Mickiewicza 21, 31-120, Krakow, Poland
ABSTRACT: Member States of the European Union, in order to become more competitive and ad-vanced
in the research and development process, launched in 2010 a strategy for sustainable growth,
called the Europe 2020. Out of the five ambitious objectives – on employment, innovation, educa-tion,
social inclusion and climate challenges, the last one seems to be the most controversial. In the
countries where energy production is mostly based on fossils fuels, the use of renewable energy
sources has just started and the way to developed economy sill lies ahead of them, strategy 2020
seems to stop economic progress. The perfect example of such a country is Poland. This publication
provides an overview of the consequences of the EU climate and energy policy upon the economic
situation in Poland.
1. INTRODUCTION
During the Lisbon Council in 2000, the European Community set itself a new strategic goal
– to become the most competitive and dynamic knowledge-based economy in the world,
capable of sustainable economic growth with more and better jobs and greater social cohe-sion.
The major part of this strategy was focused on creating conditions for full employment
and strengthened cohesion by the end of the year 2010 [European Commission 2005]. But
even before the year 2010, it became clear that the EU would not be able to achieve the desire
objectives. In the new economic environment formed by global financial crisis, the European
Union had to rethink its strategy. Much like most other countries across the world, Western
European economies are going through a period of recession. The global financial crisis has
reduced decades of economic progress and emphasized important structural weaknesses in
the European economy. Even in times of crisis long-standing challenges connected with the
globalization process, a lack of natural resources and pressure on the effective use of the
remaining ones and an ageing population have become even more urgent problems. The new
situation forced the European Commission to change its attitude and try to adapt to this new
social and economic environment. The structural disadvantages in the Euro zone and other
EU member countries underline by the crisis can be solved through introducing a wide range of
structural reforms adapted to a completely new economic climate. All the changes the Eu-ropean
Community suggested are based on EU common policies. To survive, the European
Union needs to become far more competitive and advanced in the research and development
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process. In order to undertake these issues, in 2010 all Member States of the European Un-ion
launched a strategy for sustainable growth, called the Europe 2020 strategy. This strategy
should deal both with the current gigantic economic and social problems closely linked to
the financial crisis and the need for structural reforms guaranteeing a dynamic economic growth
in the long term perspective. Out of the five ambitious objectives – on employment, innovation,
education, social inclusion and climate challenges - to be reached by 2020, the last one seems to be
the most controversial. As it is set in Europe 2020, by the end of the strategy greenhouse gas emis-sions
should be limited by 20 % or even 30 % compared to the 1990 levels, renewable energy sources
should create 20 % of energy needs and the European energy efficiency should be higher by 20 %
[European Union 2013]. Additionally, in July 2009, the countries of the European Union and
the G8 announced an objective to reduce greenhouse gas emissions by at least 80% below
the 1990 levels by 2050. In October 2009 the European Council set the goal for its developed
economies at 80-95% below the 1990 levels by 2050 [Faber 2012]. These goals are controversial
especially in the countries where energy production is mostly based on fossils fuels, the use of renew-able
energy sources has just started and the way to developed economy sill lies ahead of them. The
perfect example of such a country is Poland.
This publication provides an overview of the consequences of the EU climate and energy
policy upon the economic situation in Poland. European structural funds have been among
the most important instruments of determining positive changes in Polish economy since
the integration with the EC but only a small part of them was used to reduce dependence
on energy production from fossil fuels. Currently, with much stronger tendency to reduce
CO2 emission to the atmosphere, industrial manufacturing costs are becoming much higher
with all the consequences of this fact: lower production levels, unemployment and a growing
development gap between Polish and West-European economies. From this perspective of
Central European countries, the changes which took place in the climate policy are impor-tant,
because the necessity of welfare increase in less developed economies is understandable
but the current tendency in political attitude puts more restrictions on this process. This pa-per
focuses on the national level. The research is based on the analysis of reports prepared
by the European Commission as well as national studies. Data collected or estimated by the
Central statistical Office in Poland (GUS), EUROSTAT, OECD and AMECO have also
been used.
The first part of the paper demonstrates economic changes in Poland since the accession to
the European Union. The second part is focused on the consequences of the EU climate
and energy policy upon the economic situation of Poland. The chronological range covers
the period from the early 21st century tothe current programming period ending in 2013.
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2. A DECADE AFTER THE ACCESSION - CURRENT SITUATION IN POLAND
Poland covers just about 312.5 thousand km2. The population resident in January 2012 was
slightly higher than 38.5 million inhabitants [OECD 2012]. Poland is divided into 16 regions
called Voivodships (województwa) - dolnośląskie, kujawsko-pomorskie, lubelskie, lubuskie,
łódzkie, małopolskie, mazowieckie, opolskie, podkarpackie, podlaskie, pomorskie, śląskie,
świętokrzyskie, warmińsko-mazurskie, wielkopolskie, zachodniopomorskie – 314 districts
(poviats), 65 cities with the rights of poviats, and 2479 communes (gminas). Polish local
government reforms adopted in 1998, which went into effect on 1 January 1999, created six-teen
new voivodships. These replaced the 49 voivodships that had existed from 1 July 1975.
After the Second World War Poland became a Soviet satellite state. Economic and political
problems in the early 1980s led to the formation of the independent trade union “Solidarity”
that over time became a political force with over ten million members. The free elections in
1989 ended the era of Communism and an economic program, called shock therapy, trans-formed
Poland into a free market economy. Poland joined the North Atlantic Treaty Organiza-tion
(NATO) in 1999 and the European Union in 2004.
Currently, after 25 years of transformation to a democratic and market-oriented country,
Poland has become a modern economy but the difference between the level of its economic
performance and the European average is still gigantic. In the year 2011, together with Lat-via,
Romania and Bulgaria, Poland came bottom of the ranking of well developed economies
in the EC [Eurostat 2012]. The Polish GDP per capita is around one third below the Euro-pean
average and reached 64% of it.
On the other hand, since the year 2004 - the year of accession to the European Union - Pol-ish
economy has managed significant achievements in terms of growth and employment.
A combination of an expansionary monetary policy, fiscal carefulness, beneficial structural
reforms and the positive effects of the European funds has contributed to this performance.
Real GDP grew in the years 2004 – 2008 by approximately 5.4% per year (Table 1). The
accession started a rapid process of Polish production sector adjustments to the European
common market competition. Poalnd’s entry to the European Union has also brought many
economic advantages, especially those connected with a broad range of structural funds
inflow to Polish economy. Other aspects of integration are also important, such as the ex-pansion
of Polish trade and the inflow of Foreign Direct Investments (FDI), especially
greenfield ones, into this part of Eastern Europe [National Bank of Poland 2011]. Real GDP
growth, due to a positive social and economic performance, has reached average value far
above the European Union results. Poland has also experienced a stronger private consump-tion
and investment growth. Employment rates and gross national income per capita have
increased considerably since the integration with the European Union.
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Environmental security, geological hazards and management
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Table 1. Polish economy main indicators (2000 – 2011)
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011
Total population (1000) 38256 38254 38242 38219 38191 38174 38157 38125 38116 38136 38167 38530
Employment rates1) 55.0 53.5 51.7 51.4 51.9 53.0 54.5 57.0 59.2 59.3 59.3 59.7
Unemployment rates 16.1 18.3 20.0 19.7 19.1 17.9 13.9 9.6 7.0 8.1 9.6 9.6
Gross domestic
expenditure on R&D2) 0.64 0.62 0.56 0.54 0.56 0.57 0.56 0.57 0.60 0.68 0.74 0.77
Inflows of foreign
direct investment3) 10.3 6.4 4.4 4.1 10.2 8.3 15.7 17.2 10.1 9.9 6.7 10.9
HICP-Inflation rate4) 10.1 5.3 1.9 0.7 3.6 2.2 1.3 2.6 4.2 4.0 2.7 3.9
Government deficit5) -3 -5.3 -5 -6.2 -5.4 -4.1 -3.6 -1.9 -3.7 -7.4 -7.9 -5
Gross national
income per capita6) 10529 10924 11524 11869 12655 13523 14685 16161 17699 18256 19240 20480
Real GDP growth 4.3 1.2 1.4 3.9 5.3 3.6 6.2 6.8 5.1 1.6 3.9 4.3
Real labour productivity
per person employed7) 5.9 3.5 4.6 5.1 4.2 1.4 3.0 2.2 1.2 1.2 3.4 3.3
General government
gross debt8) 36.8 37.6 42.2 47.1 45.7 47.1 47.7 45 47.1 50.9 54.8 56.4
1) Share of persons of working age (15 to 64 years) in employment. 2) As a percentage of GDP.
3) Billions of euros 4) Annual average rate of change (%). 5) As a percentage of GDP. 6)
US dollars. Current prices and PPPs. 7) Percentage change on previous period. 8)
As a percentage of GDP
Source: OECD, Factbook 2011-2012: Economic. Environmental and Social Statistics,
OECD Publications, Paris 2012. Teichgraber M., European Union Labour Force Survey –
Annual results 2011, Eurostat, Statistics in focus 40/2012.
Despite these positive changes, Poland is one of the least developed economies among all
the 27 Members States. Its location outside the main European economic centers causes
considerable problems with reducing the development gap between Poland and the group
of well developed European Union members. Economic growth is limited by weaknesses in
certain areas: in the year 2011 the inflation rate was high – close to 4% as compared to the
year 2010; recession is possible in 2013; unemployment exceeds 14% of the labour force and
labour productivity is lower than the average level in the EU area.
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3. ECONOMIC AND SOCIAL PERSPECTIVE OF EUROPEAN CLIMATE POLICY IN POLAND
After centuries of fast economic development, it become more and more clear that impor-tant
changes in the global climate which can be seen in the surrounding environment are
the results of human activity. Global temperature has increased as an effect of greenhouse
gas emission and causes more than a few major problems: a decrease of water availability in
many regions, a reduction of crop yields in most of tropical areas, an increase in human
exposure to different types of diseases, an increase in the probability of flooding (sea-level
rise), a lower labour productivity (heat stress) or higher energy consumption (summer cool-ing)
[Common and Stagl 2005]. Even though one can find counterarguments, it became evi-dent
that global warming has very serious and universal consequences. The question is who
should bear the costs of the reduction of CO2 emission to the atmosphere. Is it an obliga-tion
of rich and well developed economies or undeveloped ones with out-of-date technolo-gies
and a huge appetite for energy – just like Poland? Nowadays, undeveloped and middle-income
countries account for more than half of the total carbon emissions and developed
economies for only 47% (Figure 1).
2
3
6
34
50
56
64
47
38
0 20 40 60 80
CO2 emissions 1850 -
2005*
CO2 emissions 2005*
Greenhouse-gas
emissions from all sectors
2005
(%)
Low-income countries Middle-income countries High-income countries
Figure 1. Global carbon-dioxide and greenhouse-gas emissions by group of countries, 1850 – 2005 (%).
Source: The World Bank, World Development Report 2010. Development and Climate Change,
Washington 2010.
High-income and low and middle-income countries perceive climate-change problems in a
completely different light. For well-developed countries the basic problem is an unpolluted
environment. For developing countries like Poland, the problem is economy and justice.
Today’s wealth of Western countries cost the devastation of the environment in the
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Environmental security, geological hazards and management
© 2013 ISBN 978-84-616-2005-0
past. Currently rich countries were responsible for two-thirds of the carbon put into the
atmosphere since 1850, and their current requests to reduce emissions appear to be simply
unfair.
75
80
85
90
95
100
105
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
Years
Mtoe
0
100
200
300
400
500
600
700
800
Bln US $, current prices, PPPs
Primary energy consumption GDP
Figure 2. Primary energy demand and changes in GDP level in Poland, 1990-2010. Source: Eurostat,
Primary energy consumption, Code: t2020_33, OECD. Factbook 2011-2012: Economic, Environ-mental
and Social Statistics, OECD Publications. Paris 2012.
Poland’s energy intensity has fallen by more than a half since the period of transformation
in the early 1990s, along with economic structure changes and the modernization of capital
stock in the industry, constructing and power generation sectors, but still the energy intensity
of the Polish economy is around double that of the European Union average. What is even
more important, the average rate of energy demand growth in Poland has nearly doubled
that observed in OECD countries and the European Union since the beginning of the cen-tury
(figure 2).
The impact of the European climate policy on the Polish social an economic situation can
be discussed in different contexts: the whole economy, consumers’ interests, the industry
and construction sector and the energy production system. The climate policy influences
on the GDP performance is particularly important. At national level, along with an adapta-tion
to low CO2 emission standards and high costs of production system transformation, a
drop in the GDP is expected. Poland is the fourth largest producer of primary energy in the
European Union after the United Kingdom, France and Germany. 83.5% of primary energy
production in Poland comes from solid fuels (figure 3).
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Environmental Security and Sustainability
20,4
83,5
12,8 28,4
5,5
13,6 18,3
1,0 9,0
0% 25% 50% 75% 100%
EU-27
Poland
(%)
Solid fuels
Crude Oil
Natural Gas
Nuclear energy
Renewable energy
Total production of primary energy (million tonnes of oil equivalent)
1999 2009 1999 2009
UE-27 949,4 812,2 Poland 83,4 67,2
Figure 3. Shares of various energy sources in total gross energy production by fuel in 2009 (million
tones of oil equivalent). Source: European Union, Europe in figures. Eurostat Yearbook 2012, Lux-embourg:
Publications Office of the European Union, 2012.
Poland also experienced the second largest reduction in its output of primary energy, with
production falling by 16.2 million tonnes over the period from 1999 to 2009. Poland is one
of the eight EU countries heavily reliant on fossil fuel that have applied for exemptions from
buying carbon permits after 2013. The EU has decided that allowances will be allocated for
free to power plants in Bulgaria, Cyprus, the Czech Republic, Estonia, Lithuania, Poland and
Romania until the end of 2019. The number of allowances is set to be reduced each year and
reach zero in 2020. The source of Polish dependence on energy produced from coal also
has a strategic aspect. A large part of Polish and the EU-27 countries’ energy comes from
countries outside the EU. Much of this energy comes from Russia, whose disputes with
transit countries have threatened to disrupt supplies in recent years and coal gives the Polish
society the feeling of partial energy independence.
Additionally, from consumers’ interests point of view, the European policy in this area can
strongly increase the energy costs share in Polish households’ budgets. The climate policy
can also lead to a loss of competitiveness of the production sector as a result of higher en-ergy
costs (on the one hand higher direct costs of CO2 emission, on the other indirect costs
through increased electricity prices).
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4. COCLUSIONS
The impact of the climate policy on Poland is much higher than the average for the EU
countries, especially those well-developed. The resulting costs seem to be much higher than
potential benefits. Poland is even today affected by increasing energy prices and other negative
factors. The main danger for economic development will come during the next decades. The
climate policy proposed by European institutions generates threats to energy security for the
Polish society and stimulates an increase of gas import dependence on the monopolistic
position of the largest extractor of natural gas and one of the largest companies in the world
- Gazprom. Currently it is still too early to say if Poland can afford to implement the climate
package. A faurther discussion on compensation mechanisms is necessary, especially at this
time of global financial crisis. Recession and dynamic unemployment rate increase, along
with public debt and budget deficit, stress the necessity of economic growth and workplaces
preservation. European Union strategies in the field of climate changes create hard-to-pay
costs and from Poland’s point of view do not take into consideration the real conditions of
its economy.
REFERENCES:
1. COMMON M., STAGL S., (2005); Ecological Economics. An Introduction, Cambridge University
Press, p. 493-495, New York.
2. FABER J., et alli, (2012); Behavioral Climate Change Mitigation Options and Their Appropriate
Inclusion in Quantitative Longer Term Policy Scenarios. Main Report, Delft, CE Delft, April
2012, p. 11-12.
3. EUROPEAN COMMISSION, (2005); Working together for growth and jobs. A new start for the Lisbon
Strategy, COM (2005) 24, p 7-8, Brussels.
4. EUROPEAN UNION, (2013); Europe 2020: Europe’s growth strategy, p. 3, Luxembourg.
5. EUROPEAN UNION, (2012); Europe in figures. Eurostat Yearbook 2012, Publications Office of the
European Union, p. 542, Luxembourg.
6. EUROSTAT (2012); GDP per capita in purchasing power standards. News Release 180/2012 – 13 De-cember
2012, p. 1-3.
7. NATIONAL BANK OF POLAND (2011); Foreign Direct Investment in Poland 2010. Annex, Octo-ber
2011, p 5-22, Warsaw.
8. OECD, (2012); Factbook 2011-2012: Economic, Environmental and Social Statistics, OECD Publica-tions,
p. 31-32, Paris.
9. THE WORLD BANK (2010); World Development Report 2010. Development and Climate Change,
p. 3, Washington.
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CORPORATE ENVIRONMENTAL PERFORMANCE
EVALUATION UNDER CONDITIONS OF SUSTAINABILITY
A. Polgár & J. Pájer
Institute of Environmental and Earth Sciences, The University of West Hungary Faculty of Forestry, Sopron, Hungary
ABSTRACT: In the interest of the real environmental performance (EP) behind the environmental
management system (EMS), in the course of ’Plan’ phase it is a high priority to explore and analyse
the environmental aspects and impacts and to select the relevant environmental aspects in the course
of the implementation of the system. According to the experiences the applied processes are often
specific, formal and defined by the self-interest of a company. The purpose of our work was the
uniformly interpretable evaluation of the varied processes, and the creation of an EMS development
model by which the physical EP can be improved. The quantitative empirical research (2010-2011)
has been conducted by using questionnaires within home companies (114 pcs) applying EMS accord-ing
to the standard ISO 14001. In the created database, by descriptive and multivariable statistical
survey, we have determined the variables which are relevant and adjustable in the process, thereby
potentially applicable for optimization, the correlations of variable pairs and the variable groups
meaning the main performance dimensions of the topic. On the basis of the identified perfor-mance
dimensions, corporate performance indexes (4+1 pcs) have been created: the environmental
motivation (MOT), environmental performance (EPI), environmental impact evaluation (EIE) and
environmental management (EMI) as well as the aggregative index (AGG). Through their values, the
evaluation of the surveyed corporate performance, describing the specified level, can be executed
uniformly, in a relative, quantifiable way, without any intervention in the varied corporate processes.
Along the outliers of EMS optimization variables, we have identified development points (36 pcs)
and their impact and field by the sensitivity analysis of the indexes, and on the basis of the meaning
of the variables causing significant differences. By this method, the self-evaluation based EMS devel-opment
model has been created.
1. INTRODUCTION
Environmental management system (EMS) is part of the management system of an organi-zation
with the task to develop and establish, operate and continuously improve the envi-ronmental
policy of the organization and manage the environmental aspects. The advantage
of these systems standardised by international organizations is that they may be certified by
specialised certifying authorities (e.g. ISO 14001, EMAS). Standardized processes providing
authoritative (certified) information for competitors and society are being applied worldwide
today. At the same time it is observable - probably just on the ground of the market com-petition
- that the processes are often specific, formal and defined by the self-interest of the
company (Polgár 2012).
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The change in the properties of the environmental elements and systems resulting due to hu-man
activity is the environmental impact (Pájer 1998). The evaluation of the environmental
impact purposes to express the consequence of the change, by which it prepares and estab-lishes
measurements and decisions withal. The evaluation of environmental impacts can be
a base on which the different activities can be compared according to environmental aspects
(Polgár 2012).
The identification, the continuous evaluation and the rating of the environmental impacts
can be considered as the important interest of a company, and at the same time, it is also a
social interest by the co-operation in environmental protection.
Because of the interrelationships in the complex environmental system, the corporate envi-ronmental
impacts have to be studied as an integral part of this system (Bulla & Buruzs 2008).
Due to the rapid spreading of ISO 14001 more and more companies are applying underlying
EMS evaluation methods (Savage 2000).
In the interest of the real environmental performance (EP) behind the EMS, in the course
of the ’Plan’ phase, it is a high priority to explore and analyse the environmental aspects and
impacts and to select the relevant environmental aspects in the course of the implementation
of the EMS.
The survey, cognition and comprehension of environmental aspects and impacts of the
organization is the element of the ’Plan’ phase, but also the most essential element of the
whole system implementation. It requires particular consideration, as well as, during its ex-amination,
engineering and technical accuracy is needed and it is of course the biggest crea-tivity
requiring step (Nagy et al. 2006).
The purpose of our survey was the uniformly interpretable evaluation of the varied Hungarian
processes, and the creation of an EMS development model concept which aimed the function-al
utilization of the results and the improvement of the parameters concerning the physical EP.
2. MATERIAL AND METHOD
During our work we tried to find the answers to the following questions: What is the role of
the ’Plan’ phase in the improvement of the efficiency of EMS? Which parameters do play
a role in its optimization? Which are the determinant dimensions of environmental perfor-mance
in the ’Plan’ phase? How and at what level can the EMS practice of home companies
be assessed? In what ways can the efficiency of EMS be improved in practice?
According to our approach, the cardinal point of the sufficient operation is the more accu-rate,
environmental science based identification and evaluation of the pairs of environmental
factor – environmental impact adjunct to the activity, which is followed by the integration of
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this environmental information in the process of the determination of the environmental
objectives.
In the physical EP dimension, specifically, the description of the “partial” performance per-tinent
to the management of the environmental impacts was defined on the basis of the
detection of the variables and optimization parameters of the ‘Plan’ phase and the EMS
impact evaluation process (Figure 1).
Figure 1. Requirements of the Plan phase and the process of selection of significant impacts in the
standard ISO 14001 (Baley 1999) (own construction)
The quantitative empirical research (2010-2011) has been conducted by using questionnaires
within (114 pcs) home companies (sampling ratio: 9,89%) applying EMS according to the
standard ISO 14001. The answers were controlled on the basis of the opinion of 10 home
certification companies (sampling ratio: 62,5%).
Besides the descriptive statistics (frequency analysis), we executed multivariable statistical
evaluation of the data base of the questionnaire survey (correlation analysis, factor analysis:
by varimax rotation and cluster analysis: by hierarchical average linkage clustering and K-means
method) too.
Implied by the requirement of quantification, by merging the connectable parameters, we
constructed performance indexes. The structure of the created system and the point values
were covered in ’index background tables’ (Appendix 1.). By the created quantified index val-ues,
the post-development, relative evaluation - describing the given level - of the surveyed
corporate performance is uniformly executable, without intervention in the varied corporate
processes in this respect.
In the course of the sensitivity analysis of the indexes, we interpreted the variables causing
significant differences as development suggestions according to their meaning. In the course
of implementation and operation of EMS, on the grounds of the detected effects of param-
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eters and the arrangements made for their improvement, the fields of corporate develop-ment
could be estimated for the sake of improvement of EP.
The summary of the influences of the identified development opportunities (36 pcs) by
dimensions can be found in ’Auxiliary Table’ (Appendix 2).
By the systematic application of the developed background and auxiliary tables of indexes
appropriate for self-evaluation, opens up the opportunity for the expedient development
of the performance and efficiency of the EMS ‘Plan’ phase. In order to support this, we
elaborated a self-evaluation based EMS development model for the determination of most
appropriate developments by organizations (Appendix 3.). On the basis of the performance
indexes, the efforts can be expressed in a numerable way. The evaluation method provides a
basis to identify the weak and strong points, and to determine the appropriate and effective
developments (decision support).
3. RESULTS
3.1. The results of frequency analysis.
In order to specify the steps of the EMS impact evaluation process (Figure 1), we demon-strate
the main statements of the research results of the frequency analysis, essential with
respect to environmental management.
3.1.1. Identification and quantification of the environmental factors
We have demonstrated that concerning the characteristics of the methodologies applied in
environmental impact assessment, in the analysed sample, own company methodology (82%)
was adopted which meant underlying level methodology to a significantly demonstrable ex-tent.
In case of the majority (70%) of the organizations the revisal of factors was required.
This fact suggested that these methods required the minimum effort from the companies to
fulfil the requirements of the standard. Therefore the quality of the initial survey is signifi-cant,
but the permanent maintenance of the impact register is also essential, even in the case
of constant technology.
In the course of the research we have found that the certain corporate methodologies are
beyond the minimal regulations of the requirements of the standard, they only provide
environmental information at underlying level. They merely take steps toward the optional
alternatives and those being proposed by the standard ISO 14001. It was demonstrated that
development of these processes and involving further means of the environmentally aware
corporate management are key points in the course of improvement of physical EP of the
EMS.
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3.1.2. The conditions of becoming significant factor and evaluation of them
Among the conditions of becoming significant factor, the data derived from the technologi-cal
knowledge were identified as strong environmental information with regard to the detec-tion
and evaluation of the impact factors in the company practice, which makes also the cri-terions
of legal and environmental science importance strong aspects in the decision process.
To this, the technology data regarding to the environmental impacts were at disposal, which
were found well covered in the material and energy balances. We concluded that based on the
data, potential opportunity is afforded to apply the environmental performance evaluation
according to ISO 14031 more widely.
3.1.3. Determination and accomplishment of environmental objectives
By analysing the influential factors of determining of the objectives, our research identified
the characteristics of the environmental objectives of the participating companies.
In the course of the survey, we identified the planning parameters which affected the degree
of assignment of the environmental objectives of EMS to the real environmental impacts.
It has been found that different deliberation of parameters results in bias in the studied ac-commodation.
Overall, we have presented that the organizations appointed their environmental goals con-sidering
dangers coming from environmental impacts in a larger proportion but regarding the
financial burdens of the execution they also keep the accomplishment potentials to the fore.
We examined the progress of the facilitating/aggravating factors of the operation of EMS
in the first three years, which is demonstrated in the below figure (Figure 2).
Figure 2. Influencing factors of the operation of EMS in the first three years (based on the data of
the authors)
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3.2. Factor and cluster analysis
In order to form factors, the database of questionnaire survey was subjected to principal
component analysis. The result of factor analysis indicated that the EP of Hungarian indus-trial
companies performing in the survey and the effectiveness of EMSs can be explained
and separated characteristically along six dimensions:
• factors of proactivity, verification of environmental impacts, adequate objectives
and EMS procedure proved to be common principal components,
• while factors of exterior motivation (business partners), interior audit occurred as spe-cific
indexes.
On the basis of the result of the factor analysis, we have grouped the companies contained
in the sample. To classify the observations of the research, we applied cluster analysis. Firstly,
we run a hierarchical cluster analysis, measuring the distance by average linkage clustering.
The analysis has demonstrated 2 separated cluster structure. Following that, we carried out
the K-means cluster analysis, in which we appointed that by this action, 2 clusters have to be
formed (41 elements in the first cluster: ‘Formalists’ while the second cluster contained 73
companies: ‘Environmental performance oriented’).
Regarding the company sample – on the basis of the cluster analysis – we confirmed the
opinion of Winter (1997), according to which the companies represented distinct groups in
regard of the formal and EP-oriented EMS operation. On the basis of our results, we have
demonstrated that the optimisation of the company application of EMS has the potential
for the development of physical EP and the beneficial influence of the state of the environ-ment
on the examined field of survey.
3.3. Developments
3.3.1. Construction of performance indexes
We have demonstrated that the relevant EMS optimisation variables affect the level of the
’Plan’ phase and the EMS impact evaluation process. According to the meaning of the vari-ables
we executed the grouping of them (partial performance dimensions).
In order to characterise variable groups as dimensions, which build up the partial perfor-mance
representing the efficiency of the ’Plan’ phase and the EMS impact evaluation pro-cess,
we constructed the following indexes: environmental motivation (MOT), environmental
performance (EPI), environmental impact evaluation (EIE) and environmental management
(EMI). We have summarised the performance indexes and the values of the company sample
in the below table (Table 1.).
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Table 1. Values and abbreviation of the created EMS performance indexes (own construction)
EMS performance index Abbreviation Number of variables
(pce)
Index value
(1,00-5,00)
Deviation
1. Environmental motivation
index
MOT 15 3,14 0,74
2. Environmental performance
index
EPI 6 3,49 0,66
3. Environmental impact
evaluation index
EIE 16 3,09 0,61
4. Environmental management
index
EMI 26 3,05 0,50
5. Aggregative index AGG - 3,20 0,20
About the structure of each index, we created a background table (Appendix 1.), which pro-vide
detailed, quantifiable information by dimensions about the partial performance peculiar
to the corporation in the given time.
When calculating the index values, the question of the weight of the variables, taking part in
the construction, arose (Miakisz 1999 and Tóth 2002). Finally, to calculate the values of the
indexes, we chose the average calculation of the values of the variables as the most appropri-ate
method, in which we calculated the variables with equal weight.
In order to express the result of the survey in one single number without dimension, we
created the aggregative index (AGG). The construction of it was executed by averaging the
values of the above EMS indexes.
We followed the evolution of the values of the performance indexes per organization. In
order to quantify environmental information we used the evaluation of each variable as a
base (range of values: 1-5). By quantifying the information we gave the organizations op-portunity
for carrying out a kind of self-evaluation. The results were usable for status review
concerning each index and their variables building them up. In the variable groups (in partial
performance dimensions), we calculated the typical performance, by which we presented
results compared to the maximum values accessible, relative through the index average value
(range of values: 1-5). In this way, we applied information about the efficiency of the ‘Plan’
phase developing in the given period.
3.3.2. The self-evaluation based EMS development model
In the course of the sensitivity analysis of the indexes, we interpreted the variables caus-ing
significant differences as development suggestions according to their meaning. The en-visagable
result, i.e. influence, of the improvements, we identified by the evolution of the
index average values. We stated that according to the cognition of the influences, targeted
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developments are able to be assigned for the certain performance dimensions. To support
the assignment process, we elaborated detailed auxiliary tables (Appendix 2.). In case of the
certain indexes, we designated the significance of the impact of EMS variable by numbers
from 1 to 4: primariness, secondariness etc. Finally we gave the interpretation of the differ-ences
experienced in the aggregative index, as the complete, partial or neutral speciality of
the impact relating to index dimensions. The ranging of the EMS variables was based on the
differences of the average values experienced in the aggregative index.
To put our research achievements into practice, we evolved the self-evaluation based EMS
development model for those who adopt (Figure 3).
Figure 3. Model flowchart: Display of the EMS development model concept based on self-evaluation for the
’Plan’ phase of EMS accordingly to the principle PDCA (own construction)
By the model, we created a system for the detected correlations and gave technical recom-mendations
(Appendix 3.) for appointing and programming the targeted development tasks.
By this, we afforded the organizations a decision support tool in order to the continual im-provement
of EMS, in the surveyed partial performance dimension.
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4. CONCLUSIONS
In the course of our methodological research, we have achieved the potential indirect devel-opment
of the physical EP. The identified, envisageable development efforts affected those
planning parameters, which pertain to the treatment of the environmental aspects and im-pacts.
We ensured the uniform evaluation of different organizations, which does not require
the modification of the varied corporate processes, additionally provides the opportunity for
comparison. The developed model is a development and decision support tool. The organi-zations
applying the model, will be able to improve the efficiency of the ’Plan’ phase directly
and of their environmental management system indirectly, on the surveyed field.
Acknowledgement
We express our sincere thanks to Dr. Botond Héjj CSc associate professor, Dr. László Tamaska PhD
director, Dr. Olivér Bogdán PhD director and János Nagy head auditor, who all assisted us with
useful advices conducive to our research. Without the participation of the companies and certifica-tion
authorities in the survey, this work could not have been achieved. Thanks for their support-ing
approach. We wish to thank for the Programme in Environmental Security and Management
(517629-LLP-1-2011-1-UK-ERASMUS-EMCR).
REFERENCES
Bailey, A. (1999): Environmental audit [Környezeti auditálás]. In: Bailey, A. – Bezegh, A. – Frigy-er,
A. – Bándi, Gy. – Galli, M. – Kerekes, S. – Tóth, G. (1999): Training for Environmental
Leaders and Auditors [Környezeti vezető és auditor képzés – Tankönyv], Magyar Szabványügyi
Testület (MSZT), Budapest. pp. 79-88.
Bulla, M. & Buruzs, A. (2008): Indicators of Sustainability of Regional Developments in the EU
[Regionális fejlesztések fenntarthatósági indikátorai az EU-ban. In: Nagy, G. – Pestiné, R. É. V. -
Torma, A. (Szerk.): 8th Symposium of Environmental Sciences, Sustainable Use of Environman-tal
Resources. Proceedings [VIII. Környezettudományi Tanácskozás, A környezeti erőforrások
fenntartható használata. Konferencia kiadvány], SZE, Győr: 135-144.
ISO 14001: MSZ EN ISO 14001:2005 Environmental management systems. Specification with guid-ance
for use (ISO 14001:2004) [Környezetközpontú irányítási rendszerek. Követelmények és al-kalmazási
irányelvek (ISO 14001:2004)], Magyar Szabványügyi Testület, Budapest, 2005
ISO 14031: MSZ EN ISO 14031:2001 Environmental management. Environmental performance
evaluation. Guidelines (ISO 14031:1999) [Környezetközpontú irányítás. A környezeti teljesítmény
értékelése. Útmutató (ISO 14031:1999)]. Magyar Szabványügyi Testület, Budapest, 2001.
Miakisz, J. (1999): Measuring and Benchmarking Environmental Performance in the Electric Utility
Sector: The Experience of Niagara Mohawk. In: Bennett, M. – James, P. (eds.): Sustainable Mea-sures,
Greenleaf Publishing, Sheffield, p. 221-245.
Nagy, G., Torma, A. & Vagdalt, L. (2006): Evaluation and Development of the Environmental
Performance [A környezeti teljesítmény javítása és értékelése] Universitas-Győr Nonprofit Kft.,
Győr, pp: 11-13., 15-16., p. 24., 25., 35., 38., 60
Pájer, J. (1998): Environmental impact assessments [Környezeti hatásvizsgálatok]. Soproni Egyetem,
Sopron
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Polgár, A. (2012): Environmental Impact Evaluation in the Environmental Management Systems.
Doctoral (PhD) Dissertation. [Környezeti hatásértékelés a környezetirányítási rendszerekben.
Doktori értekezés.] NYME-EMK, Pál Kitaibel Doctoral School for Environmental Sciences, K1
Doctoral Program for Bio-Environmental Sciences, Sopron, 380 p., defended June 2012. (Online:
http://ilex.efe.hu/PhD/emk/polgarandras/disszertacio.pdf)
Savage, E. (2000): MSV and Public Disclosure of Performance Goals are Key Agenda Issues, Chemi-cal
Market Reporter, May 22, 2000, Vol. 257, Iss. 21, New York, p. 25.
Tóth, G. (2002): Evaluation of Corporates’ Environmental Performance. Doctoral (PhD) Disserta-tion.
[Vállalatok környezeti teljesítményének értékelése, doktori disszertáció], BKÁE, Budapest,
pp: 33-34., p. 53., 54., 74., 114., 117., pp: 130-140.
Winter, G. (1997): Blueprint for Green Management: Creating Your Company’s Own Environmen-tal
Action Plan [Zölden és nyereségesen], Műszaki Könyvkiadó, Budapest, p. 7., pp: 19-21., p. 23.
APPENDIX 1.
Construction of the environmental motivation index (MOT) (MOT background table)
Motivation topic Variable Evaluation
Motivation of environmental actions External motivations
Strict regulatory system
Expectations of banks and insurers
Requirements of business partners
Expectations of competitors
Market and customer demands
Strong influence of local population
Civil organizations
yes = 5 points
no = 1 point
Internal motivations
Expectations of the owners
Nature of product/service
Expectations of the employees
Motivation implied by the quantifia-ble
benefits
Quantifiable benefit yes = 5 points
no = 1 point
Motivation for the future application
of EMS
Future application of EMS essential = 5 points
neutral = 3 points
unnecessary = 1 point
Environmental awareness of the
senior management in the determina-tion
of environmental objectives
Determination of the environmental
objectives
Environmental awareness of the
senior management
Environmental strategy of the orga-nization
yes = 5 points
no = 1 point
Motivation for the environmental
purpose orders (in the last 3 years)
Order for environmental purpose yes = 5 points
no = 1 point
Comment: variable marked in italic: parameter identified by correlation analysis, variable marked in bold: large
principal component weight parameter of factor analysis, non-marked variable: variable built in with process-oriented
approach
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The index represents the following environmental motivations: extent of the environmental external-internal
motivation, occurrence of the quantifiable benefits, approach for the future application of the EMS,
environmental awareness of the senior management, environmental strategy of the organization and the orders
for environmental purpose.
Construction of the environmental performance index (EPI) (EPI background table)
Performance topic Variable Evaluation
Purposefulness of EMS and the
service of organizational interests
Purposefulness of EMS 1-5 points: slightly = 1 point, … fully
= 5 points
Evaluation of the timeline data
of environmental impacts
Evaluation of the changes
occurred in the environmental
impacts
maintenance and operation of envi-ronmental
performance evaluation
system = 5 points
in a manner specified in processes
documented in case of certain im-pacts
= 3 points
yes, sometimes = 2 points
no = 1 point
Life cycle approach (LCA) trend LCA application completed LCA = 5 points
planned LCA = 3 points
lack of LCA = 1 point
Influencing external partners by
environmental certification of
the suppliers/sub-contractors
Documented environmental
certification degree
for each sub-contractor = 5 points
project specifically = 3 points
no = 1 point
Fulfilment effectiveness of envi-ronmental
objectives
Fulfilment of objectives
compared to the targets
First three years
In long terms
100-81% = 5 points
80-61% = 4 points
60-41% = 3 points
40-21% = 2 points
20-0% = 1 point
Comment: variable marked in italic: parameter identified by correlation analysis, variable marked in bold: large
principal component weight parameter of factor analysis, non-marked variable: variable built in with process-oriented
approach
The index represents: the purposefulness of EMS, the evaluation of the changes occurred in the environ-mental
impacts, the emergence of life cycle approach, the environmental influence of external partners and the
fulfilment effectiveness of objectives.
Construction of environmental impact evaluation index (EIE) (EIE background table)
Impact evaluation topic Variable Evaluation
Aspect/impact detection level
of impact register
Aspect/impact detection level
of impact register
not reached = 5 points
after multiple EMS certifications = 4
points
after first EMS certification = 3 points
from the outset = 2 points
has not used = 1 point
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Reasons of the revisal of the
impacts
Reasons of the revisal of the
impacts
Reason detected during inter-nal
audit
Modification of technology,
product properties,
Innovation of new technolo-gy,
product
Change in regulations, legal
and standard requirements
yes = 5 points
no = 1 point
Level of impact evaluation
methodology
Level of impact evaluation
methodology
synthetic method (e. g. environmental
performance index, eco-point method,
recalculation into impacts) - 5 points
hierarchizing method (e. g. multi-stage
environmental rating, environmental
qualification) = 4 points
material- and energy flow method (e. g.
eco-balance, environmental costing) = 3
points
indicator method (e. g. ISO14031, eco-effectiveness
evaluation) = 2 points
underlying method (e. g. graphical, sco-ring)
= 1 point
Modification and development
of identification and evalua-tion
methodology
Modification and develop-ment
of identification and
evaluation methodology
several times = 5 points
once = 3 points
permanent from the outset = 1 point
Significance criterion Sugnificance criterion
Environmental science consi-derations
Ethics, ideological principles
Politics
Compliance with legal requi-rements
Financial situation of the
organization
reasons = 5 point
does not reason = 1 point
Knowledge of the environ-mental
impacts of the main
technology
Knowledge of the environ-mental
impacts of the main
technology
1-5 points: enough = 1 point, … fully =
5 points
Articulation of environmental
objectives to the local signifi-cant
aspects/impacts
Articulation of environmental
objectives to the local signifi-cant
impacts
100-81% = 5 points
80-61% = 4 points
60-41% = 3 points
40-21% = 2 points
20-0% = 1 point
Consideration of risks due
to environmental impacts in
setting the objectives
Consideration of risks due to
environmental impacts when
setting the objectives
yes = 5 points
no = 1 point
Comment: variable marked in italic: parameter identified by correlation analysis, variable marked in bold: large prin-
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cipal component weight parameter of factor analysis, non-marked variable: variable built in with process-oriented
approach
The index represents: the detection and management of impacts, the explanations of revisal, the advance-ment
of environmental impact evaluation methodology, the improvement requirement, the significance
criterions, the information about the environmental impacts of the main technology, the conformity of
objectives and the consideration of the riskiness of impacts.
Construction of environmental management index (EMI) (EMI background table)
Environmental management topic Variable Evaluation
Customization of EMS to the specifi-cities
of the organization
Customization of EMS 1-5 points: slightly
= 1 point, ... fully
= 5 points
Extension of the environmental data
to the influenceable environmental
factors in the material and energy
balance of the organization
Extension of the environmental data 1-5 points: slightly
= 1 point, … fully
= 5 points
Consideration of the management
factors of the organization in setting
the environmental objectives
Setting the environmental objectives
Financial situation in the organization
Quality of the internal environmental commu-nication
between organizational levels
yes = 5 points
no = 1 point
Factors influencing the operation of
EMS in the first three years
Factors influencing the operation of EMS in
the first three years
Level of organizational opposition
Awareness level of employees
State of knowledge of environmental processes
Level of impact assessment knowledge of the
evaluation experts
Level of elaboration of the technology and pro-cess
descriptions
Availability of resources
Accurate definition of responsibilities, authori-ties
facilitated = 5
points
did not influenced
= 3 points
aggravated = 1
point
Specialities of documented proces-ses
by application of environmental
instruments
Specialities of documented processes by appli-cation
of environmental instruments
Disposal of contaminants
End-of-pipe solutions (intervention at the
place of the emission)
Careful treatment (e. g. bringing leakage to a
stop, energy savings)
Recycling
Technological development
Replacing materials
Prevention
Environmentally friendly product design
Influencing the attitude of customers
1-5 points: not ty-pical
= 1 point, …
fully = 5 points
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Environmental conflict emerging in
integrated management system
Environmental conflict emerging in integrated
management system
QMS
EHS management system
Information protection MS
Food safety MS
Health care standards
1-5 point: not ty-pical
= 1 point, …
typical = 5 points
Prevailment of environmental issues
in the integrated management system
Prevailment of environmental issues in the
integrated management system
1-5 point: slightly
= 1 point, … fully
= 5 points
Comment: variable marked in italic: parameter identified by correlation analysis, variable marked in bold: large
principal component weight parameter of factor analysis, non-marked variable: variable built in with process-oriented
approach
The index represents in the practice of environmental management: the customization of EMS, the
availability of environmental data, the relation between the objectives and financial situation, the quality of
internal communication, the parameters influencing the operation of EMS (organizational resistance, aware-ness
of employees, knowledge of the environmental processes, impact assessment knowledge, technology and
process descriptions, availability of resources, responsibilities), the methods of documented environmental
processes (decontamination, end-of-pipe solution, careful treatment, recycling, technology development, re-placing
materials, prevention), environmental conflicts, prevailment of environmental issues.
APPENDIX 2.
Auxiliary table: Identified impact of EMS variables upon the indexes
EMS variable
Impact of EMS variable Ranging: diffe-rence
experien-ced
in aggregati-
MOT EPI EIE EMI AGG ve index (B-A)
Application of environmental perfor-mance
evaluation system 2 (1) 3 4 complete 0,7
Articulation of environmental objecti-ves
to the local significant aspects 2 3 (1) 4 complete 0,47
Importance of the future application
of EMS (1) 3 4 2 complete 0,46
Targetedness of EMS 2 (1) 3 4 complete 0,45
Extension of the data in the material
and energy balance of the organization
to the factors on which the organiza-tion
has an expectable influence 1 3 4 (2) complete 0,44
Environmental awareness of senior
management in setting environmental
objectives (1) 3 4 2 complete 0,43
Application of impact register 4 (1) 3 2 complete 0,41
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EMS variable
Impact of EMS variable Ranging: diffe-rence
experien-ced
in aggregati-
MOT EPI EIE EMI AGG ve index (B-A)
Customization of EMS 3 2 4 (1) complete 0,4
Preventive approach in the documen-ted
environmental processes of the
organization regarding the material/
energy extractions and emissions 2 3 4 (1) complete 0,35
Careful treatment in the documented en-vironmental
processes of the organization
regarding the material/energy extractions
and emissions 2 3 0 (1) complete 0,51
Adequacy for legal requirement in the se-lection
of significant environmental factors 2 0 (1) 0 partial 0,44
Environmental strategy of the organization
in setting the environmental objectives
(1) 3 2 0 partial 0,43
Expectation of the owners (1) 0 0 0 specific 0,43
Certification of the suppliers 0 (1) 0 0 specific 0,37
Recycling in the documented environ-mental
processes of the organization
regarding the material/energy extrac-tions
and emissions 1 0 0 (2) partial 0,34
Application of LCA 3 (1) 2 0 partial 0,34
Emergence of quantifiable benefits
arising from the operation of EMS (1) 0 0 0 specific 0,33
Expectation of employees (1) 0 2 0 partial 0,33
Further development and modification
of the environmental impact identifi-cation
and evaluation process 2 3 (1) 0 partial 0,32
Environmentally friendly product de-sign
in the documented environmental
processes of the organization regar-ding
the material/energy extractions
and emissions 2 3 0 (1) partial 0,32
Revisal of environmental impacts 0 2 (1) 0 partial 0,31
Knowledge level of the environmental
processes 0 2 0 (1) partial 0,31
Replacement of materials in the do-cumented
environmental processes of
the organization regarding the mate-rial/
energy extractions and emissions 2 0 0 (1) partial 0,3
Environmental protection purpose
orders (1) 2 0 0 partial 0,28
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EMS variable
Impact of EMS variable Ranging: diffe-rence
experien-ced
in aggregati-
MOT EPI EIE EMI AGG ve index (B-A)
Quality of the internal environmental
communication between organiza-tional
levels in setting environmental
objectives 1 0 3 (2) partial 0,24
Financial situation of the organization
in the selection the significant environ-mental
factors 0 0 (1) 0 specific 0,24
Consideration of risks due to environ-mental
impacts in setting the objectives 1 0 (2) 0 partial 0,23
Environmental science considerations
in the selection the significant environ-mental
factors 2 0 (1) 0 partial 0,18
Availability of resources 0 0 0 (1) specific 0,17
Prevailment of environmental issues in
integrated management system 0 0 0 (1) specific 0,17
End-of-pipe approach in the docu-mented
environmental processes of
the organization regarding the mate-rial/
energy extractions and emissions 0 0 0 (1) specific 0,16
Accurate definition of responsibilities,
authorities 0 0 0 (1) specific 0,16
Awareness level of employees 0 0 0 (1) specific 0,15
Level of impact assessment knowledge
of the evaluation experts 0 0 0 (1) specific 0,13
Company centre 0 (1) 0 0 specific 0,07
Level of elaboration of the technology
and process descriptions 0 0 0 (1) specific 0,03
Knowledge of the environmental im-pacts
of the main technology applied 0 0 (0) 0 neutral 0,14
Emergence of QMS-EMS conflict 0 0 0 (0) neutral 0,13
Financial situation of the organization
in setting the environmental objectives 0 0 0 (0) neutral -0,05
The date of the first EMS certification 0 0 0 0 neutral -0,08
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APPENDIX 3.
Self-evaluation based EMS development model for the ‘Plan’ phase of EMS (Steps 1-7.)
Phase Step Function Result
PLAN Step 1.
START
Study of the EMS performan-ce
indexes (4+1 pcs) and their
variables applied in the model
in regard of the values definable
by the organization. Collection
of data.
Criterion: All of the EMS variables are
evaluable concerning the organization:
MOT (15 variables)
EPI (6 variables)
EIE (16 variables)
EMI (26 variables)
AGG
Preparation of evaluation: back-ground
tables of the indexes and
their variables, development auxiliary
tables. Collected environmental data of
company.
Step 2. First corporate self-evaluation
by the indexes meaning the
performance dimensions and
their valuable variables. Status
review. Completion background
tables.
First completed self-evaluation..
Quantifiable values by variables and in-dexes,
as well as in case of aggregated
index. Completed background tables.
Registration of the certain environ-mental
performance of EMS. (1,00-
5,00).
Step 3. Examination of the results of
self-evaluation by variables and
indexes.
Detection of weak and strong points.
Interpretation of the first self-evalua-tion
of organization.
Step 4. Analysing the manageability of
the weak points.
Establishment of order of priority for
the development of weak points.
Step 5. Determination of development
fields on the level of evaluated
variables and indexes (by priori-ties),
application of background
tables.
Development objectives set out
concerning the certain variables and
indexes (by priorities).
Step 6. Assignment of the relevant
EMS variables relating to the se-lected
development objective(s),
forecast of their expected im-pact
by using the auxiliary tables
1 and 2.
Development program: EMS va-riables
assigned to the targeted
development(s). Identified targeted
development field(s) and expected
impact(s).
DO Step 7. Realising the development
objective(s) according to the
meaning of the EMS variable
and in view of the expected
impact.
Execution of development(s).
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Self-evaluation based EMS development model for the ‘Plan’ phase of EMS (Steps 8-11.)
Phase Step Function Result
CHECK Step 8. Second corporate self-evaluation
by the indexes meaning the
performance dimensions and
their valuable variables for the
assessment of achievement(s).
Completion background tables.
Second corporate self-evaluation.
Quantifiable values by variables and
indexes, as well as in case of aggregated
index. Completed background tables.
Registration of the environmental per-formance
of EMS. (1,00-5,00).
Step 9. Comparison of the achieve-ments
of the targeted and
realized development field(s).
Controlling of the field and
extent of development by varia-bles
and indexes.
Interpretation of the second self-evalua-tion
of organization. Comparison with
the results of the first self-evaluation by
variables and indexes.
Step 10. Detection and identification of
development point(s). Determi-nation
of critical point(s).
Detected development and critical
point(s).
ACT Step 11.
STOP
Inter-corporate communication
of the realised development(s).
Detection of the background
of critical points.
Development of the environmental per-formance
of EMS by the improvement
of the efficiency of the ‘Plan’ phase.
Casual detection of the background of
critical points.
Optional: Re-run of the cor-porate
self-evaluation after the
carry out of the priorities based
on the first self-evaluation.
Feedback to the ‘Plan’ phase (Step 1.).
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MODELING FOR DECISION-MAKING: THE CONSTRUCTION
OF AN AIR QUALITY INTEGRATED ASSESSMENT MODEL
FOR SPAIN
M. Vedrenne, R. Borge, J. Lumbreras & M.E. Rodríguez
Environmental Modeling Laboratory, Technical University of Madrid (UPM). Escuela Técnica Superior
de Ingenieros Industriales. c/ José Gutiérrez Abascal, 2. 28006. Madrid, Spain.
ABSTRACT: Integrated Assessment Modeling is an interesting approach for describing the complex
interrelations existing between the elements that constitute the air quality problem: emissions, atmos-pheric
processes and related impacts. The purpose of this paper is to describe the actual developments
in the construction and design of a generic Integrated Assessment Model (IAM) applied to Spain.
Currently, this IAM has been designed to describe the concentration profiles of two criteria pollutants
subject to regulations: NO2 and SO2. The computation of such profiles is possible through the applica-tion
of percentual variations to a number of transfer matrices (TM) for policy-relevant emissions sec-tors.
These TM act as a parameterization of an Eulerian air quality model (AQM). In order to validate
its performance, an evaluation of the IAM against the ordinary AQM for a given emission scenario has
been carried out. Finally, a brief discussion on the potentialities and limitations of the IAM is addressed.
1. INTRODUCTION
Integrated Assessment Models (IAM) are tools that aim to describe quantitatively and as
much as possible the cause-effect relationship of events, cross-linkages and interactions be-tween
issues for a given problem. Since these models do not seek to offer a comprehensive
picture of all the processes that are involved in this problem, they are simply used as inter-pretative
rather than predictive tools (Quesnel et al., 2009). To this respect, constructing an
IAM for describing the air pollution problem is very useful for studying the interrelations
that exist between the processes that describe the emissions of a given pollutant, its atmos-pheric
dispersion and chemical transformation, as well as the impacts to ecosystems or hu-man
health that it produces (Oxley & ApSimon, 2007).
The development and application of IAMs is usually not a scientific-driven activity, but
rather an effort to facilitate interaction between scientists, policymakers and stakeholders in
environmental problems. As a result, an air-pollution IAM seeks to provide answers that are
both scientifically rigorous and policy-relevant within a comprehensive framework. The tra-ditional
approach for the description of the complex processes that compose the air-quality
problem has been its simulation with computational air-quality models (AQM). However, the
exploitation of such models requires a high degree of technical expertise as well as a robust
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© 2013 ISBN 978-84-616-2005-0
computing infrastructure. These issues obviously call for constructing a model that produces
scientific-sound results that is easy to operate.
In Europe, the RAINS/GAINS Integrated Assessment system (Amann et al., 2011) has been the
most used air-quality IAM and is considered an essential tool for European-level policymaking and
negotiations. However, the need of having an IAM at the national level has led to the development
of a detailed version of the Spanish case, which seeks to capture phenomena that occur at a lower
scale (i.e. urban centers). This IAM is based on the SIMCA project (Borge et al., 2008a,b) and up to
now, it is able to simulate the atmospheric fate of nitrogen dioxide (NO2) and sulfur dioxide (SO2),
expressed as a mean annual concentration.
2. MATERIALS AND METHODS
2.1. Parent air-quality model
The air-quality model from which the IAM was developed is composed of three models. The
meteorological fields are obtained from the Weather Research Forecast (WRF) model, which
is a non-hydrostatic mesoscale model that includes the latest developments for meteoro-logical
modeling (Skamarock & Klemp, 2008). Time-resolved emission datasets are obtained
from the Sparse Matrix Operator Kernel Emissions (SMOKE) model (IC, 2009), while the
atmospheric transport, transformation and deposition processes were described with the
Community Multiscale Air Quality (CMAQ) model (Byun & Scheere, 2006).
2.2. Geographic and temporal domains
The geographic domain that is described by the IAM consists of a grid of 4500 cells of 16 km
each, arranged in 75 columns and 60 rows. It is centered in 40°N and 3°W and covers continental
Spain, Portugal, the Balearic Islands, and Andorra as well as parts of France, Morocco and Algeria
(Fig. 1). The IAM considers the emissions reported in the Spanish National Emission Inventory
of 2007 as the reference scenario, so any variations have as baseline the emissions of year 2007.
2.3. Basic formulation
As it has already been told, the construction of the IAM consists in a series of parameteri-zations
expressed as transfer matrices (TM). In general terms, a transfer matrix is an array
of transformation coefficients that relate two variables. In this case, the variables to be cor-related
are percentual variations in the emissions of a given pollutant (i.e. NO2) by a relevant
sector (i.e. road-traffic).
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Fig. 1. Geographic domain covered by the Integrated Assessment Model.
The magnitude of the coefficients that will conform a given transfer matrix are obtained
from a statistical regression of a number of AQM outputs. These outputs were generated
from a series of datasets originated by systematically perturbing the baseline scenario of
emissions (perturbations expressed as percentual variations in emissions), so that linear rela-tionships
between variables could be obtained. An outline of the followed methodology can
be found in Economidis et al., (2008).
Fig. 2. Aspect of the programmed GUI for the operation of the IAM.
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2.4. Emission sectors
Due to the fact that the developed IAM acts as a parameterization of the full AQM, only a
number of emission sectors that are policy-relevant were selected for the construction of
TM. The considered are basically related with combustion in energy transformation and
road traffic and its description is consisted with the SNAP nomenclature of the EMEP/
CORINAIR methodology (EEA, 2007). The specific sectors, as well as their computed
emissions for the reference scenario (RS) are listed in Table 1.
Table 1. Emissions at the hypothetic scenario (HS) as a variation of the reference scenario (RS).
SNAP
Code Activity name
SO2 NO2
ERSa %HS ERS %HS
010101 Combustion plants ≥300MW 805700 -88.6% 235331 -58.8%
020202 Residential plants <50MW 12544 -59.7% 24648 15.5%
030000 Combustion in manufact. 83069 -33.0% 225942 -58.8%
070101 Passenger cars: highway 599 0.0 % 135466 -62.1%
070103 Passenger cars: urban 571 0.0 % 75670 -17.3%
070301 HDV >3.5 t: highway 605 0.0 % 111414 -9.9%
070303 HDV >3.5 t: highway 324 0.0 % 72325 -65.0%
aEmissions are presented in annual metric tons (t · yr-1)
2.5. Architecture and software requirements
The IAM has been constructed to be as simple and as intuitive as possible. With these needs
in mind, it has been programmed to run as a MATLAB®-based GUI (Fig. 2) with a full
compatibility with typical desktop applications such as ArcGIS® or Microsoft Excel®. The
I/O flows are in the form of ordinary Excel spreadsheets (.xls) and common text files (.txt),
therefore keeping data pre-processing routines to a minimum.
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3. MODEL VALIDATION
The validation of the constructed IAM has been carried out through the comparison of
its outputs with those obtained with the conventional AQM. To this respect, a hypothetic
scenario (HS) with policy-related emission reductions to be attained in 2014 was elaborated
according to the methodology stated in Lumbreras et al., (2008). Both models were fed with
this HS and run annually, and their outputs were statistically compared through the correla-tion
coefficient (r). This correlation coefficient was calculated according to Equation 1:
P M
N
i
i i s s N M P N M P r ⋅ ⋅ − 



⋅ ⋅ − ⋅ = Σ=
( 1)
1 (1)
where P = IAM results, M = AQM results, N = number of cells of the domain, s = standard
deviation of the dataset. In general terms, the discussion on the validation of the IAM is
conducted following its ability to reproduce the results yielded by the usual AQM
4. RESULTS
The concentration outputs generated by IAM are depicted in Fig. 3, where it can be seen that
the IAM is able to predict the spatial allocation of pollution hotspots. In the case of nitrogen
dioxide (NO2), high concentration areas are evident for cities such as Madrid, Barcelona and
Lisbon. As for sulfur dioxide, urban contributions as well as coal power plants (most of them
located in the north of Spain) can be seen.
Both scatterplots (Fig. 3) reveal a good correlation degree between the full AQM and the
parameterization provided by the IAM for the mean annual concentration of NO2 and SO2.
The correlation level for NO2 is lower than that of SO2, but in both cases these two are
higher than 0.90. This strongly suggests that the IAM is able to mimic the performance of
the ordinary AQM for these two pollutants.
It is worth noting that the use of the IAM allowed obtaining results in a calculation time of
less than 30 seconds, while the use of the complete AQM took 168 hours of computer time.
Although the use of an AQM is far more versatile when the BS is significantly changed or
when a totally different one is used. On the contrary, the use of an IAM is completely justi-fied
for providing policy-discussion start points and is in no way a substitute of the conven-tional
AQM, but rather an instrument directed to a non-scientific audience (i.e. politicians).
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Fig. 3 a) Mean annual concentrations obtained with IAM for HS. b) Scatterplots and correlation
coefficients.
Although the IAM has been formulated to reproduce AQM outputs acceptably, it is still
being subject of an intense development. Further lines of extension of this model might in-clude
the description of other pollutants such as ammonia (NH3) or primary particulate mat-ter
(PM), as well as ground-level ozone (O3) and the formation of secondary particles. Up
to now, results consist in spatial representations of mean annual concentrations yet it would
be desirable to obtain indicators that suggest possible impacts on human health as well as on
ecosystems. Additionally, the architecture of the IAM is being structured to assure an easy
extension process to other common IAM stages such as optimization and cost modules. .
5. CONCLUSIONS
The present work is a brief description of the current developments on air quality evalua-tions
for Spain under an Integrated Assessment Modeling approach. For the time being, the
IAM that has been constructed for the description of the national air-quality problem only
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describes a minimal part of it (two pollutants and seven emission sectors), producing annual
mean concentrations as a result. However, the ultimate goal of this project is the consecution
of a fully-operative model that can deal with more pollutants and more sectors, as well as
to extend its scope to the quantification of impacts and costs. Although still under develop-ment,
the core methodology for the description of other sectors and pollutants, and much
more importantly, a modeling framework has been outlined. Up to now, the results that are
being obtained look promising and further research will be done applying the knowledge
gained during the first modeling stages.
REFERENCES
AMANN, M., BERTOK, I., BORKEN-KLEEFELD, J., COFALA, J., HEYES, C., HOGLUND
ISAKSSON, L., KLIMONT, Z., NGUYEN, B., POSCH, M., RAFAJ, P., SANDLER, R.,
SCHOPP, W., WAGNER, F., & WINIWARTER, W. (2011); Cost-effective control of air qual-ity
and greenhouse gases in Europe: Modeling and policy applications. Environmental Modelling &
Software, 26, 1489-1501.
BORGE, R., LUMBRERAS, J. & RODRIGUEZ, M.E., 2008a: Development of a high resolution
emission inventory for Spain using the SMOKE modelling system: A case study for the years 2000
and 2010. Environmental Modelling & Software 23, 1026-1044.
BORGE, R., ALEXANDROV, V., DEL VAS, J.J., LUMBRERAS, J. & RODRIGUEZ, M.E., 2008b.
A comprehensive sensitivity analysis of the WRF model for air quality applications over the Ibe-rian
Peninsula. Atmospheric Environment 42, 8560-8574.
BYUN, D.W. & SCHERE, K.L. (2006); Review of the governing equations, computational algo-rithms,
and other components of the Models - 3 Community Multiscale Air Quality (CMAQ)
Modeling System. Appl. Mechs. Rev. 59, 51-77.
ECONOMIDIS, CH., KERAMIDAS, D., DEMERTZI, A., STROMPLOS, N., SFETSOS, A.,
VLACHOGIANNIS, D. (2008); The compilation of a Greek Environmental Input Output ma-trix
for 2005, and its application as a methodological framework for assessing emission reduction
options. In: International Input Output Meeting on Managing the Environment (IIOMME). Se-ville,
Spain. July 9-11.
EEA – EUROPEAN ENVIRONMENT AGENCY (2007); EMEP/CORINAIR Inventory Guide-book
- 2007. EEA Technical report 16/2007. Available online at: http://www.eea.europa.eu/
publications/
IC – INSTITUTE FOR THE ENVIRONMENT. (2009). SMOKE v2.6 User’s Manual. University
of North Carolina. Chapel Hill, NC. USA.
LUMBRERAS, J., BORGE, R., DE ANDRÉS, J.M., & RODRIGUEZ, M.E. (2008); A model to
calculate consistent atmospheric emission projections and its application to Spain. Atmos. Environ.,
42, 5251-5266.
OXLEY, T. & APSIMON, H.M. (2007); Space, time and nesting Integrated Assessment Models,
Environmental Modelling & Software 22, 1732 - 1749.
QUESNEL, G., DUBOZ, R. & RAMAT, E. (2009); T�h�e� �V�i�r�t�u�a�l� �L�a�b�o�r�a�t�o�r�y� �E�n�v�i�r�o�n�m�e�n�t� �–� �A�n� �o�p��-
erational framework for multi-modelling, simulation and analysis of complex dynamical systems.
Simulation Modelling Practice & Theory 17, 641 - 653.
SKAMAROCK, W.C. & KLEMP, J.B. (2008); A time-split nonhydrostatic atmospheric model. J
Comp. Phys., 227, 3465-3485.
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IMPLEMENTING BIM TECHNIQUES FOR ENERGY
ANALYSIS: A CASE STUDY OF BUILDINGS AT UNIVERSITY
OF LA LAGUNA
N. Martin-Dorta, P. González de Chaves Assef, J. De la Torre Cantero, G. Rodríguez Rufino,
Escuela de Ingeniería Civil e Industrial, Universidad de La Laguna
ABSTRACT: This paper presents the strengths and weaknesses found during the execution of
the research project of the Higher School of Agricultural Engineering, using BIM technology to
calculating energy efficiency savings. The integration of energy and environmental issues during the
design, construction and remodeling, in order to get adapt to the energy needs that arise through
new techniques or technologies, requires new methodologies that allow us to manage infrastructure
throughout its lifecycle. In recent years, there has been produced incorporating BIM technology for
the realization of a project thus can be life cycle information of this, improving cooperation between
disciplines and reducing duplication of information.
1. BUILDING INFORMATION MODELING (BIM)
Building Information Modeling (BIM) is a broad concept that has been defined in several
ways in the literature. The acronym BIM can be used to refer to a product (building informa-tion
model, meaning a structured dataset describing a building), an activity (building infor-mation
modeling, meaning the act of creating a building information model), or a system
(building information management, meaning the business structures of work and commu-nication
that increase quality and efficiency) (NIBS, 2007). Building Information Modeling
is defined broadly as being “a set of interacting policies, processes technologies generating
a methodology to manage the essential building design and project data in digital format
throughout the building’s life-cycle” (PENTTILÄ, 2006; SUCCAR, 2009). Project planning
and execution depends on the valuing and trading-off of the scope, time, and cost of the
project (WINCH, 2010; SEARS, SEARS, & CLOUGH, 2000). Scope defines the work that
is required to complete the project successfully.
The introduction of BIM tools for the building supposes the integration of various disci-plines
as architecture, building engineering, civil engineering, construction, facilities, renew-able
energies, among others. All the professionals involved in the project can manage from
the same technological platform the information of the project lifecycle, allowing the reuse
of data in a coordinated, coherent and more efficient manner, thus reducing data loss oc-curring
during the exchange between the different disciplines, facilitating workflow, reducing
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© 2013 ISBN 978-84-616-2005-0
redundant information, increasing productivity, improving quality and eliminating disparate
formats and multiple files.
The concepts and working methods that nowadays are included under the term BIM dates
back more than thirty years (see Figure 1). In 1975 Charles M. Eastman described his con-cept
of “Building Description System” as “interactively defining elements...deriving sections, plans,
isometrics or perspectives from the same description of elements…Any change of arrangement would have
to be made only once for all future drawing to be updated. All drawing derived from the same arrangement
of elements would automatically be consistent…” any type of quantitative analysis could be eas-ily
generated…providing a single integrated database for visual and quantitative analyses…
automated building code checking in city.” But the history of working with software began
well before. In 1957 Dr. Patrick J. Hanratty is known as “the father of CAD” for pioneer-ing
contributions in the fields of computer aided design. In 1968 Donald Welbourn saw the
possibilities of using computers to help draw complex three-dimensional shapes and in 1973
developed a way to build 3D computer solid. In 1979 Mike and Tom Lazear developed the
first CAD software. In 1982 Autodesk aimed to create a CAD program for PC. Also in 1982,
ArchiCAD creates the first computer platform used BIM, with the so-called „Virtual Build-ing
Solution” (Virtual Buildings), followed by Allplan, Nemetschk German company. In
1984 was the beginning of the Company Graphost, which began developing CAD’s program
in 3D. In 1985 Keith Bentley, from the Bentley Systems company, provides advanced func-tions
of computer aided design (TJELL, 2010). The first document that appeared with the
term „Building Model” was probably the one that Robert Aish wrote in 1986, it was an appli-cation
that allowed the three-dimensional modeling through parametric elements, automated
extraction of documents, relational databases, planning according phases, etc. The software
was successfully used in the design and construction of Terminal 3 of Heathrow airport.
Later, we find the full term, „Building Information Model” in an article for GA And F. Van
Nederveen Tolman published in December 1992 in the journal Automation in Construction.
Figure 1. BIM Timeline
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Laiserin Jerry is recognized as the responsible person for the popularization of the term BIM
from his article (Comparing Pommes and Naranjas), written in 2002 where he defended his
universal decision to identify the applications destined to create building information models
(PICÓ, 2011). In 2002, Gehry Technologies, created the software Digital Projects, the form
it works is called „Integrated Project Models” (Integrated project model). Already in 2002
Autodesk purchased the company Revit Technology Corporation, with the aim of entering
the platforms BIM with the Revit software. „Building Information Modeling” (The model
of building information) (BIM) is a relatively new term, to describe an innovative approach
to building design and construction.
2. ENERGY EFFICIENCY
Energy Efficiency (eE) can be defined as „a set of actions that allow to optimize the relation be-tween
the quantity of consumed energy and the final products and services obtained”. The high consump-tion
of energy in the building sector implies a higher reduction potential, also in view of the
low optimization of resources employed in the design, construction and management found
usually in Spanish construction with relation to energy.
The buildings suppose a high energetic cost and have a significant percentage of total energy
consumption, resulting at the moment in highly polluting factor. The integration of energy
and environmental aspects during all phases of the building lifecycle necessitates the use of
new methodologies that allow us to manage infrastructure in the most efficient form.
We must take into account that buildings are responsible for 40% of carbon dioxide emis-sions
worldwide, percentage repeated in the European Union. The building sector is, there-fore,
key to reduce these emissions in global scale.
Directive 2002/91/EC of the European Parliament (2002), promotes the reduction of en-ergy
demand through the improvement of the energy efficiency of buildings. This directive
has been recast in a new text Directive 2010/31/EC which are updated and emphasize new
aims that have emerged these years. In Spain, the Technical Building Code (TBC, known
by the Spanish acronym ‚CTE’) (Royal Decree 314/2006 of 17 March 2006), Regulation of
Thermal Installations and Buildings (RTIB, known by the Spanish acronym ‘RITE’) (Royal
Decree 1027/2007 of ) and the Basic Procedure to certify energy efficiency in new-construc-tion
buildings (Royal Decree 47/2007 of 19th January), establish the application of minimal
requirements on energy efficiency, in new buildings, or in the existing ones when they are an
object of major renovations. In 2007 the census recorded in Spain a total of 16.28 million
primary residences. About half of them are 30 years old or older (INE, 2001) and more than
half of the buildings are constructed without proper thermal protection ��������������(WWF, 2010). Dif-ferent
organisms and studies conclude that the economic saving due to the thermal improve-ment
of a building ranges between 30% (IDAE, 2008) and 74% (GARCÍA NAVARRO,
2009), which shows that the improvement in energy efficiency is not only sustainable, but
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profitable. The improvements to the properties can be classified into three main groups: Im-provement
in the building envelope, improvement in the air conditioning, and improvement
in the performance of the lighting.
Currently, the law on certification of existing buildings is in phase of approval, changing the
national scene and giving an important step towards the national and European aims for En-ergy
efficiency (eE). The Public Administrative buildings will be the first ones in adapting to
this legislation. This study tries to be an element of approximation for the future obligatory
nature of the energy label qualification certification. Currently, the University of La Laguna
lacks a management methodology that includes the energy efficiency of their facilities, ser-vices
and resources.
3. CASE STUDY
The objective of this work is to detect the strengths and weaknesses in the use of BIM
technology in the calculation of energy efficiency. In order to do this, we create a building
information model of the Higher Technical School of Agricultural Engineering to meet the
requirements contemplated in The Basic Document HE Energy Savings 2010 (Documento
Básico Ahorro de Eenrgía – BDHE) of the Technical Building Code of Spain (see Figure 2).
Figura 2: An Energy-Savings Calculation Methodology using BIM Technology.
The problem is approached by a new methodology based on an information model of the
school mentioned. The aim objective was to create an information model of a building from
the University of La Laguna that will be used for our experimental prototype to adopt a
reference methodology with the use of BIM technology, analyzing their strengths and weak-nesses.
This study has the support of ApliCAD, company of programming services special-ized
in the implementation of graphical environments and databases management.
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We use the building of the Higher Technical School of Agricultural Engineering of La La-guna
(Tenerife). It has four floors, ninety rooms and a total area of approximately 5300m2,
with a U-shaped geometry. We used commercial software Autodesk Revit and created a
library of constructive systems based on the own database Lider materials.
In this paper we want to emphasize the strengths and weaknesses detected making the model
of the Superior Technical School of Agricultural Engineering with BIM technology. The fol-lowing
table details an analysis summarized of the most important items (see Table 1):
Table 1. BIM Technology: Strengths and Weaknesses
Strengths
Promotes the integration of designs in context / environment.
Allows the analysis of different alternatives of the design.
Rectifies errors in real time.
Faster project definition. Better speed in the analysis of the limitation of energy demand.
Increase in productivity as less time is devoted to the project.
Reuse of the information of the different analyses based on the same model. To analyze the struc-tural
behavior in real systems, concentration of gases, analysis of shades.
Ease of generating the graphic documentation of the project.
Virtual Simulation allows project assessment and decision making at earlier stages.
Control of the project lifecycle. The elements can be defined as built, reformed, being built or to
be built, which allows us, besides having more accurate and realistic database (DB), to have control
of a project, whether at design stage, the construction phase, total or partial remodeling, or the
management of the completed infrastructure.
Allows the junction between design control/construction and economic factor. Work planning
analysis. We have instant data of the volume and surface of materials to be used, and at the same
time, we can associate to each element other technical characteristics.
Promotes collaborative and multidisciplinary work. The modifications are realized, coordinated and
are reflected in all relations, highlighting the interferences detected in the designed model.
Weaknesses
Interferences between constructional elements. Solving connections between elements to export
the model to other applications (see Figure 3).
Level of complexity of the information model. For calculation applications (for example: energy
efficiency) the model needed can be simpler, with minor detail.
Data Exchange Standards
The need for a plug-in to export the project and use it with other software, for example Exporter
Revit-LIDER.
Implementation of BIM technology. The percentage of professional architects and engineers using
BIM is still low, but is increasing.
In Spain only a very low percentage of university centers offer training in BIM.
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Environmental security, geological hazards and management
© 2013 ISBN 978-84-616-2005-0
Figura 3: Details of links of building elements and interference detection/solution.
4. CONCLUSION AND FUTURE WORK
In this article, we show that BIM can help the different collaborators of a project based on
an exchange of information. We have seen that in the different projects realized at the Uni-versity
of La Laguna, bearing in mind the current Spanish regulation and the methodology
tha