BUILDING A GOVERNANCE MODEL AND FINDING MEASURES TO MANAGE WATERSHED NONPOINT SOURCE POLLUTION

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1 BUILDING A GOVERNANCE MODEL AND FINDING MEASURES TO MANAGE WATERSHED NONPOINT SOURCE POLLUTION Jong In Baek 1, Kyung Min Han 2, Yong Un Ban 3 1 Department of Urban Engineering, Chungbuk National University, Cheongju, KOREA, yahoback@nate.com 2 Department of Urban Engineering, Chungbuk National University, Cheongju, KOREA, reddug@nate.com 3 Department of Urban Engineering, Chungbuk National University, Cheongju, KOREA, byubyu@cbu.ac.kr ABSTRACT This study has intended to develop a comprehensive governance model and find measures to manage nonpoint source (NPS) pollution. This study analyzed NPS pollution source management policies, which included management process of nonpoint source pollution, total maximum daily load (TMDL), land buying over policy in Korea. Expert Delphi survey, analysis of variance (ANOVA), and factor analysis were used to build a suitable governance model and to find management measures. As a result, the governance model was composed of a structure, processes, relational mechanisms, and programs. The basic form of organization was a private-public cooperative council. Economic instrument consisted of polluter pays principle, recipient pays principle, and general tax sources principle. Relational mechanisms included motivation, confidence-building, capacity building, and optimal regulations. Programs constituted of system improvement, pilot and management project, and research and publicity. KEY WORDS: Nonpoint Source Pollution Management, Governance model, ANOVA, Factor analysis 1. INTRODUCTION After decades of working to reduce emissions from point sources, pollution from nonpoint sources now constitutes the number one source of pollution in waterways (EPA, 2000; Dowd, 2008). Nonpoint source pollution may deteriorate the water quality of rivers and lakes, residents' health, property, and ecosystem (KEI, 2008). Development of effective control measures of diffuse pollution has become a major priority with respect to the improvement of water quality (Mander, 2000). In Korea, the Ministry of Environment surveyed the nonpoint sources throughout the country in 1995, confirming that the ratio of nonpoint sources among sources to cause water pollution was from 30 to 70 percentage. Thus to prevent nonpoint source pollution in Korea, each local government is required to establish a progress plan for system improvement and nonpoint source pollution reduction based on the 'General Management Measures of Four Major Rivers' Nonpoint Source Pollution '(2004~2020)' (KEI, 2008). In its early stages, the measures have been designed to enhance the system and to carry out several pilot projects, etc. But, the measures have been conducted unilaterally by the central government. And some projects, which needed intergovernmental cooperation, were implemented without appropriate communication methods. To manage nonpoint sources effectively and to implement the management policies of nonpoint sources, it is necessary to secure plans for intimate cooperation among the stakeholders. Nonpoint source pollution is usually caused by numerous small sources, and addressing these sources requires co-ordination and co-operation among the different organizations and stakeholders who all control a part of the solutions (Hermans, 2004). To encourage coordination and cooperation between various stakeholders needs governance system in watershed management. Because effective watershed management governance covers the range of political, social, economic, and administrative systems that are in place to regulate the development and management of water resources and the provisions of water services at different levels of society (Pahl-Wostl, 2008). The literatures related to governance for managing nonpoint source pollution have focused on analyzing case studies and the partial factors of governance such as the participants, policies, and so on. Thus, this study has intended to build a comprehensive governance model to manage nonpoint source pollution effectively in dealing with Korean cases.

2 2. NONPOINT POLLUTION SOURCE MANAGEMENT POLICIES IN KOREA Management System for Nonpoint Source Pollution of Four Major Rivers Department of Government Ministry of Environment Prime Minister's Office The nonpoint pollution source takes up 22~37% and is increasing every year. However, the policies are mainly focused on the treatment of nonpoint pollution source. This is making it difficult to manage the improvement of the water quality in a ground-breaking way. Based on this particular situation, a management system for the nonpoint pollution source was adopted by the Ministry of Environment in 1998, but the control policies applied only by the Ministry of Environment were inadequate to efficiently manage the water quality. Therefore, the comprehensive countermeasures covering 4-four major rivers in Korea were established through the participation of the Ministry of Environment, the Ministry of Land, Transport and Maritime Affairs, the Ministry of Food, Agriculture, Forestry and Fisheries, and other related institutions. In spite of these new attempts, the policies still display issues such as the lack of understanding of the characteristics of the lands and the rivers, the indiscriminate adaptation of foreign policies, and the weak cooperation between the government institutions. Table 1. Present conditions of four major rivers Expenses Project (1,000 Outlines of Promotion Project Period dollars) 8 types, 27 facilities Han River `04~08 1,083 (Equipment type: 12, 15 undercurrents, etc.) Nakdong 4 types, 5 facilities `05~08 1,250 River (Sewage treatment type: 1, Equipment type: 2, etc.) Gum 5 types, 15 facilities `06~09 1,000 River (Equipment type: 7, Natural type: 8) Yeongsan River Seomjin River `06~09 1,250 9 types, 21 facilities (CSSOs, Combination type, etc.) -Submission of the -Submission of the -Management of the detailed plan comprehensive implementation detailed plan accomplishments -Organizing and including the operating of T/F implementation of the union check Figure 1. Management process of nonpoint pollution source Table 2. Stages of promotion plan Classification Stage 1 (`04~`05) Stage 2 (`06~`11) Stage 3 (`12~`20) Institution Management Project Research & investigations Basic plans for the institution (management obligation of the local governments, plan establishment) Model projects (nations, governments) Examination of causes, development of the treatment techniques Authorization of the management obligations for the principal pollution source Optimized management project for the main basins of the 4 major rivers (national government, local governments) Correction of monitoring skills and establishment of design standards Propulsion duty of management Continuous promotion of the reinforcement of management obligations Promotion of the full scale project (leads by local governments, supports of the national government) Sustainable facility development considering cost efficiency There are four approaches to resolve the issues. First, a specialized management institution for the point pollution source must be established. Second, the management guidelines must reflect and cover all kinds of regulations, ordinances, and guidelines that are related to the national land development, the maintenance and the management of the structures of the farmlands. Third, the management project of the nonpoint pollution source must be established. Lastly, the surveys and research must be conducted for the purpose of the improvement of the management of nonpoint pollution source and the promotion of the public awareness. Total Maximum Daily Load In Korea, the large population and the major facilities are mostly located around the midstream and downstream of 4four major rivers, so the current methods of controlling the pollutant concentration put limits on the implementation the environmental standards. To resolve these issues, the national government adopted regulation of <Total Maximum Daily Load> to keep the total load of the pollution sources under permissible levels to maintain the water quality close to the assigned goal. If the local government succeeds in reducing the actual displacement of the pollution sources, the national government awards them with incentives. To the contrary, if they exceed the pollution displacement standards, the responsible local government will receive penalties. The procedure of TMDL is as shown in Figure 2. TMDL took effect in the metropolitan cities and the local cities as

3 of August, 2005 and expanded stage by stage. A total of 59 local governments implemented TMDL from 2004 to Three areas enforced TMDL in 2004, twenty three areas in 2005, thirteen areas in 2006, and twenty areas are expected to enforce TMDL in Even though they were adopted in numerous localities, there are other related issues such as difficulties in promoting TMDL due to the lack of the basic materials, the implementation by institutions that include nonpoint pollution sources in a situation where the control of the point pollution source is more urgent, and the cases where because of the lack of specialized experts there was no personnel to manage the establishment of the plans or the allocation of the permissible pollution source for each local government. Fulfillment of public department Fulfillment of civil department Basic policies for total maximum daily loads Set up of the goal water quality Master plan and implementation plan of the basic policy for total maximum daily loads Land Buying Over Policy Order for improvement and restraint Submission of evaluation report for fulfillment Restraint for non-fulfillment Figure 2. Procedure of TMDL Land buying over policy is pushed ahead to improve the management of water quality by purchasing the land of the source water basins. It is also a project for the support of the residents to resolve the issue of infringement on the private property ownership which is caused by the regulations of pollution source locations. The Ministry of Environment and the operation division of the 4four major river basins are purchasing the land surrounding the 4-four major rivers, the major tributaries, and the dams for the management of the water quality. The land within 1 km diameter of the river basins is purchased to demolish the facilities that displace the pollution sources by using the water system funds and to construct a green zone. Acceptance and review process for buy-over applications Decision making on the eligible enterprises for buy-over Price quotes review and consultations Bounds determination for the object of research Appraisal Figure 3. Land buy-over process A field study Price estimation and advising sessions Marketing agreement The government bought over the land as shown in the below table by year The land of 34,808,000 m2 was purchased over at the basins of 4 major rivers, and the total cost was 769,699 million won. Table 3. Buy-over conditions Classification The number of cases Purchase price Area (one million (thousand m2 ) won) Total 4,035 34, ,166 7,533 Han River 569 7, ,003 2,914 Nakdong River 1,503 7, ,350 1,808 Gum River ,939 63, Youngsan 1,235 7, ,913 2,006 River By the end of 2008 Incidental expenses (one million won) The drawback of this policy is that, first, the rational management and post management plans are not supported. In case of Han River example, only two were hired to manage the river basin. This is leading to the situation that many people are illegally cultivating the land, dumping the wastes, or constructing the facilities. Another issue is the land purchasing method. Originally, the land or facilities around where the pollution sources are concentrated must be preferentially purchased if the purpose is to improve the water quality. However, the reality is that the buy-over process is being conducted mostly by the application process of the residents.

4 3. METHODS General governance model was derived through literature review related to watershed management governance. The components of general governance model included structure, process, relational mechanism, and program. And this study has derived the management plans of nonpoint source pollution from policy directions, central agendas, and sectional measures included in General Management Measures of four Major Rivers', which were comprehensive measures for managing nonpoint source pollution according to the Ministry of Environment (2003), Cooperation of relevant authorities(2004) and KEI (2008). Based on the management plans and the components of general governance model, this study made questionnaires to ask experts to evaluate the suitability of each section of both management plans and governance model using 5-point Likert scale. The experts have been working on such fields as nonpoint source pollution management, watershed management, governance, and environmental planning, and so on. Respondence ratio was about 55% (25 over 45). This study has employed One-way ANOVA to find out the most statistically significant alternative in such sections as governance type, council type, alternative financial resources, and relational mechanism of participants which were the operational components of governance system except the role of participants. As for the specifics of statistical analysis, this study verified the statistical significance using one-way ANOVA under 95% confidence levels, and tested differences among groups using the Tukey method of post-hoc analysis. As mentioned above, this study has found out the level of participants' role through suitability verification. To elicit the measures for nonpoint source pollution management, the factor analysis was employed following the central agenda of the General Management Measures of Four Major Rivers.' The results of the factor analysis have shown that a plan with more than 1 of eigen value was chosen as a category of nonpoint source pollution management measures. The following governance model is an integrated system composed of both governance characteristics and nonpoint source pollution management programs. Table 4. The results of ANOVA Governance type Council type 1 Council type 2 Alternative financial resources Relational mechanism of participants Sum of Square s df Mean Squar e F Sig. Difference Group The central Government & related departments Joint, Local Government / Council Total Total Total Total Total Government-led, Private sector-led / Public-private partnership Polluter pays principle, Beneficiary pays principle, Victim pays principle / General tax sources principle 4. BUILDING A GOVERNANCE MODEL AND FINDING MEASURES TO MANAGE NONPOINT SOURCE POLLUTION Table 4 showed the results of ANOVA. To manage nonpoint source pollution, basic form of governance was private-public cooperative council. As shown in Figure 4, membership of the council consisted of central government, local authority, citizens' group, residents, developer and enterprises, and experts. Authority group (central government and local authorities) play a decision making role, and non authority group (citizens group, residents, developer and enterprises, and experts) play a role of discussion and coordination. Economic instrument consisted of polluter pays principle, recipient pays principle, and general tax sources principle. Relational mechanism included motivation, confidence-building, capacity building, and optimal regulation. Figure 4. A Governance model to manage NPS pollution

Table 5, 6 and 7 showed the results of factor analysis. Program consisted of system improvement, pilot and management project, and research and publicity.

5 Table 5, 6 and 7 showed the results of factor analysis. Program consisted of system improvement, pilot and management project, and research and publicity. Detailed program system improvement included the following sections: 1) the provision plans, guideline, and regulation related to manage NPS pollution, 2) and vesting control obligation and establishing system. Pilot and management projects consisted of the following sections: 1) implementing sectional pilot and management projects, 2) and monitoring and maintenance. Research and publicity included research and promotion of participation. Table 5. The results of factor analysis for system improvement section Preparation of plan, guidance, and regulation for managing and reducing NPS in construction and redevelopment projects Reflecting measures of NPS from stage for making all sorts of development planning Preparation of comprehensive coordination function Component Table 7. The results of factor analysis for research and publicity section Development of NPS outflow model and reduction facilities Basic research and development of watershed management model Research on the actual condition of NPS and building NPS data Spreading awareness of NPS through national education and publicity Component Promotion of residents participation Establishing guidelines of NPS management Total Variance Explained(% of Variance) Linking with superordinate plan Leading establishment of NPS management system Vesting management obligation to central government, local authority, enterpriser, residents, etc Total Variance Explained(% of Variance) Table 6. The results of factor analysis for pilot management projects section Investing and installing sectional reduction facilities for city, rural community, forests, road, river, place of business, etc Strengthening ability for NPS management in flood prevention facilities within city, urban parks, urban infrastructure, etc Prevention of earth and sand erosion in the fields / Management through precaution to spay fertilizer and agrichemicals Management and utilization of land facing river Preventing outflow of earth and sand in the forests / Emission reduction of NPS by road and forest fire Reducing and treatment after inflowing to Component public waters Monitoring Precaution and treatment projects Monitoring regulation, plan, and policy Monitoring river restoration Total Variance Explained(% of Variance) Figure 5. Management programs of NPS pollution Relational mechanism, a core of an integrated governance system to connect NPS management plans with governance structure and process, offered the following functions to each section: 1) providing the basis of cooperative operation to NPS management program, 2) establishing network relations between stakeholders, 3) conducting the roles of decision making, discussion and coordination, consultation, and providing information, 4) assigning reasonable burden share between stakeholders. NPS management program could be operated effectively by such systems as governance structure including membership and role, and governance process like economic instrument, helping to find stable financial resources to run the system.

Figure6. A integrated governance model to manage NPS pollution comprehensively Hermans, L.M. (2004) Dynamic actor network analysis for diffuse pollution in the province of North-Holland.

6 Figure6. A integrated governance model to manage NPS pollution comprehensively Hermans, L.M. (2004) Dynamic actor network analysis for diffuse pollution in the province of North-Holland. Water Science and Technology. 49, KEI. (2008) Study on Connection Strengthening Measures for Nonpoint Source Pollution Projects by Governmental Departments. Claudia P.W. and David T. and Rene B. and Marc C. and Art D. and Erik M. and Dagmar R. and Tharsi T. (2008) The importance of social learning and culture for sustainable water management. Ecological Economics 64, The Ministry of Environment. (2003) Nonpoint pollution management -necessity and techniques- Ulo M. and Curt F. (2000) Nonpoint pollution in agricultural watersheds of endangered costal seas. Ecological Engineering 14, Cooperation of relevant authorities(the Office for Government Policy Coordination, The Ministry of Public Administration and Security, The Ministry for Food, Agriculture, Forestry and Fisheries, The Ministry of Environment, The Minister of Land, Transport and Maritime Affairs, The Korea Forest Service). (2004) 'General Management Measures of 4 Major Rivers' Nonpoint Source Pollution. CONCLUSION Nonpoint source pollution was the best critical issue of water quality control. This study suggested new governance or a network governance model to manage nonpoint source pollution effectively in Korean case. The governance model was derived from analyzing the characteristics of governance and the management plan of nonpoint pollution source. To build objective model, expert survey and statistical analysis methodologies which were ANOVA and factor analysis were employed. The governance model constituted of governance operation structure, process, relational mechanism and governance operational program. Of these, relational mechanism was critical factor for operating the other governance factors. The relational mechanism play a role as establishing network relation, conducting the roles, rational assignment of financial resources and offering foundation of cooperative operation program. The reasonable distribution of memberships roles acts as effective operation for program. The governance process which was economic instrument guarantees the stabilized financial resources for program. REFERENCES Brian M.D. and Daniel P. and Marc L.H. (2008) Agricultural nonpoint source water pollution policy: The case of California's Central Coast. Agriculture Ecosystems and Environment. 123, Environmental Protection Agency. (2000) Office of Transportation and Air Quality. National Water Quality Inventory. Washington, DC

Sung Ryong Ha* Chungbuk National University, Korea.

2013. 6. 6 Sung Ryong Ha* Chungbuk National University, Korea. Objectives 2 1. Change of Korean water quality management policies 2. Introduction of K-TMDL 3. Achievements and limitations 4. Improvement