AN INVESTIGATION INTO ADOPTION OF MITIGATIVE AND ADAPTIVE

STRATEGIES TO CLIMATE CHANGE: A case of construction materials

manufacturing Business Enterprises in Lusaka Province.

By

CHANGA KATATI

OF

COMPUTER NO.

717819342

A DISSERTATION SUBMITTED TO THE UNIVERSITY OF ZAMBIA IN

PARTIAL FULFILMENT OF THE REQUIREMENTS

FOR THE AWARD OF

MASTER OF BUSINESS ADMINISTRATION (MBAZ)

AT

UNIVERSITY OF ZAMBIA

INSTITUTE OF DISTANCE EDUCATION (IDE)

©2021

SUPERVISOR:

Matthew Saili (Eng. Dr.)

 Abstract

Climate change is a global problem that affects not just the physical existence of the
world but the less physical aspects such as the economy. It is caused by both natural
processes and by man’s industrial activities. These causes results in the emission of
greenhouse gases that eventually elevate the earths global temperature consequently
affecting weather patterns causing extreme weather events such as droughts, floods,
hurricanes and more. These disruptions negatively affect communities and businesses
causing risks to not just human life but to business operations. The sectors that
contribute toward economic progression have been affected by climate change due to
extreme weather events that have caused shifts in how many activities have normally
been carried out in the past. The construction sector which contributes to a country’s
economy through GDP contribution has equally been affected. Business enterprises that
specialise in manufacturing of construction materials (located in Lusaka Province) are
of particular interest in this research as that they feed into some of the inputs that the
construction sector uses such as steel and concrete. These inputs are used in
infrastructure development such as roads, buildings and bridges which positively
contribute to the economic development of a country. However, these inputs also
contribute to climate change via greenhouse gas emissions both during their production
and as finished products. It is for this reason that this research endeavoured to establish
what adaptive and mitigative strategies business enterprises are adopting and to reveal
the influence that the lack of comprehensive implementation of climate change policy
has had and to establish whether Change Management theories are being applied by
business enterprises to guide them in their efforts to survive in the era of climate change
challenges. The research used a descriptive type of research design with a case study
approach. The data was collected using questionnaires with both open and closed ended
questions. The analysis used mixed methods with tools such as Microsoft excel and
SPSS version 20. The findings revealed that a significant number of enterprises lacked
knowledge on the existence of climate change policy, further many of them did not use
any change management strategies. Those that were knowledgeable claimed that there
was a lack of finances to adopt climate smart strategies as these were seen to be
expensive as such policy implementers provide more awareness and support systems.
Key words: Business enterprises, climate change, policy, adaptation & mitigation and
change management.
 Acknowledgements

I wish to acknowledge the assistance received from the following people who made it
possible for this document to be finalised.

My supervisor, Dr. (Eng.) Matthew Saili, who tirelessly and promptly gave me
guidance in conducting and compiling this dissertation. My husband Mr Siachaamba
and two children Muyoba and Buumi, who encouraged and patiently endured the
challenges that necessitated the completion of this work. I also want to thank the course
coordinator for UNZA-ZOU Distance Graduate studies; Mr Donald Fulai and Dr
William Phiri for their guidance.

Lastly but not the least, I also want to express my gratitude to the contact persons at
Zambia Association of Manufacturers and Zambia Environmental Management
Agency for their assistance in providing the information that built this research. Special
thanks also goes to my classmates from the MBA class of 2017 to date.
 Declaration

I, Changa Katati, do hereby declare that this work is my own, and that to the best of
my Knowledge, it has never been produced or submitted before at this University or
any other institution for academic purposes, and that all sources of information have
been duly acknowledged.

Author

Full Name: Changa Katati

Signature: ……………………………………Date: ……………………………….

Supervisor

Full Name: (Eng.Dr.) Matthew Saili

Signature: ……………………………………Date: ……………………………….

Disclaimer: All rights reserved; no part of this dissertation maybe reproduced, stored
in a retrieval system, or transmitted in any form or by any means, electronic,
mechanical, photocopying, recording or otherwise without permission of the author
or the distance learning education of the University of Zambia.
 TABLE OF CONTENTS

LIST OF TABLES ........................................................................................................iii

LIST OF FIGURES ...................................................................................................... iv

LIST OF ABBREVIATIONS ........................................................................................ v

CHAPTER 1: INTRODUCTION .................................................................................. 1

1.0 Overview .................................................................................................................. 1

1.1 Background to the Study ...................................................................................... 1

1.2 Statement of the problem ..................................................................................... 5
1.3 Aim of the study ................................................................................................... 6
1.4 General Objective of the Study ............................................................................ 6
1.4.1 Specific Objectives of the study .................................................................... 6
1.5 Research Questions .............................................................................................. 6
1.6 Significance of the Study ..................................................................................... 7
1.7 Limitations of the Study ....................................................................................... 7
1.8 Theoretical Framework ........................................................................................ 7
1.8.1 Change Management Theory......................................................................... 8
1.8.2 Features of Change Management theory ....................................................... 8
1.9 Conceptual Framework ...................................................................................... 11
1.10 Operational Definition of Terms ...................................................................... 13
1.11 Ethical Considerations...................................................................................... 13
CHAPTER 2: LITERATURE REVIEW ..................................................................... 14

2.0 Overview ................................................................................................................ 14

2.1 Back ground on Climate Change ....................................................................... 14

2.2 Climate Change and Global implications for business enterprises .................... 19
2.3 Global Adaptation and mitigation for manufacturing business Enterprises ...... 23
2.4 Policy framework on Climate Change in Zambia .............................................. 26
2.5 Manufacturing Business enterprises in Zambia and Climate Change ............... 28
CHAPTER 3: RESEARCH METHODOLOGY ......................................................... 30

3.0 Overview ................................................................................................................ 30

i
 3.1 Research design .................................................................................................. 30
3.2 Target population ............................................................................................... 30
3.3 Sample size and sampling procedure ................................................................. 31
3.3.1 Sample size .................................................................................................. 31
3.4 Data collection methods ..................................................................................... 33
3.4.1 Data collection instruments ......................................................................... 33
3.4.2 Data collection procedures .......................................................................... 34
3.5 Data analysis ...................................................................................................... 34
CHAPTER 4: DATA PRESENTATION, INTERPRETATION & ANALYSIS. ...... 35

4.0 Overview ................................................................................................................ 35

4.1 Data Analysis Method ........................................................................................ 35

4.2 Data Analysis and Representation (Part 1-Quantitative) ................................... 38
4.2 Data Analysis and Representation (Part 2-Qualitative) ..................................... 46
4.3 Summary of Findings ......................................................................................... 51
CHAPTER 5 –SUMMARY, DISCUSSION, CONCLUSION &
RECOMENDATIONS ................................................................................................ 52

5.0 Overview ................................................................................................................ 52

5.1 Summary ............................................................................................................ 52

6.2 Discussion .......................................................................................................... 53
5.3 Conclusion.......................................................................................................... 54
5.4 Recommendations .............................................................................................. 55
REFERENCES ............................................................................................................ 56

APPENDICES ............................................................................................................. 60

ii
 LIST OF TABLES

Table 1: Target group of response rate(Planned) ........................................................ 36

Table 2: Target group of response rate(Actual) .......................................................... 37

Table 3:Reliability statistics ........................................................................................ 38

Table 4:Item-Total statistics ........................................................................................ 39

Table 5: Knowledge of Climate Change Policy .......................................................... 40

Table 6: Institutions working with Business Enterprises ............................................ 40

Table 7: Adoption of Adaptation and Mitigation measures ........................................ 41

Table 8: Use of Change theory in adoption process ................................................... 41

Table 9: Knowledge of Climate Change Policy*Adoption of adaptation and

Mitigation measures(Cross tabulation) ........................................................................ 42

Table 10:Chi-Square test ............................................................................................. 43

Table 11:Correlation table ........................................................................................... 44

iii
 LIST OF FIGURES

Figure 1: The greenhouse gas effect (source IPCC 2007) ............................................ 1

Figure 2: Conceptual Framework ............................................................................... 12

Figure 3: Cluster sampling illustration........................................................................ 32

Figure 4: Bar Chart showing Knowledge of climate change policy vs adoption of

adaptation and mitigation measures ............................................................................. 45

Figure 5: Risk exposure awareness ............................................................................. 46

Figure 6:Understanding of mitigation and adaptation ................................................ 47

Figure 7: Proposed solutions ....................................................................................... 47

Figure 8: Knowledge on climate change policy.......................................................... 48

Figure 9: Adoption of Adaptation and Mitigation measures ...................................... 49

Figure 10: Challenges faced in adoption of measures ................................................ 49

Figure 11: Institutions working with Business Enterprises ........................................ 50

Figure 12: Use of Change Management theories in adoption of measures ................ 51

iv
 LIST OF ABBREVIATIONS

7NDP Seventh National Development Plan, 2017 to 2021

CRS Climate Resilience Strategies

DMMU Disaster Mitigation and Management Unit

GDP Gross National Product

GHG Green House Gases

GRZ Government of the Republic of Zambia

INDC Intended Nationally Determined Contribution

IPCC Intergovernmental Panel on Climate Change

NAMA Nationally Appropriate Mitigation Actions

NAPA National Adaptation Plan of Action

NASA National Aeronautics Space Administration

NCCRS National Climate Change Response Strategy 2010

NPCC National Policy on Climate Change

NPE National Policy on Environment

PMRC Policy Monitoring Research Centre

SDG Sustainable Development Goals

SNC Second National Communication

TNA Technology Needs Assessment

ZAM Zambia Association of Manufacturers

ZEMA Zambia Environmental Management Agency

v
 CHAPTER 1: INTRODUCTION

1.0 Overview

This chapter presents the background on climate change, its causes and effects on the
business enterprises in Zambia and world over. It stretches out a statement of the
problem, purpose of the study, objectives of the study, research questions, significance
of the study, limitations of the study, theoretical framework, conceptual framework,
and operational definitions. The subsequent chapter will review literature that is
relevant to the implications of climate change on business enterprises with special
emphasis on the construction materials manufacturing enterprises.

1.1 Background to the Study

Climate change is defined as gradual changes in all the interconnected weather elements
on our planet over approximately 30 years (National Geographics, 1996-2022). Moore
(2017) describes climate change as a ‘tide of commitment to justice and human rights,
a swelling affirmation of moral responsibility to the future and to Earth's fullness of
life’. One of the factors of climate change in an increase in the earths atmospheric
temperature. This is caused by Greenhouse gases which are emitted from the earth’s
natural processes and by human activity. This then alters the climatic patterns of the
earths regions, some experience droughts while others too much rainfall (NASA, 2020).

Figure 1: The greenhouse gas effect (source IPCC 2007)

The frequency and intensity of climate events is expected to rise in future, with negative
impacts on the economy and consequently people’s livelihoods (Ministry of National

1
Development Planning, 2017). Countries around the world have now come on board to
apply strategies that can help to manage and reduce the effects of climate change
adaptation and mitigation. However, depending on the economic status of different
countries, this will determine their ability to manage the challenges of climate change.
Bulkeley & Newel (2015) in their book on governing climate change states that those
who have contributed least to the problem of climate change in the past, including most
of the world’s poor, are those most susceptible to its worst effects now and in the future.
They further add that, Meanwhile, richer countries are better placed to adapt to the
climate impacts that they will suffer. (Besada, et al., 2009) affirms that climate change
will affect Africa profoundly, but the continent lacks the resources of the developed
world to cope with its effects. Developing countries such as Zambia which struggles
with socio economic development is equally affected by climate change (GRZ, 2016).
In Zambia, the effects of climate change have been documented in several reports and
as such, this has become a matter of concern. The Disaster Management and Mitigation
Unit (DMMU) which is a statutory government agency reported in their 2009/10
national contingency plan that 43 districts were likely be affected by floods and that
these floods were likely to affect six sectors namely agriculture and food security,
education, health, water and sanitation, habitation and human shelter and infrastructure
(DMMU, 2009). Zambia like many countries depends on its various economic sectors
for sustenance of its economy, among which are agricultural, mining, construction
(which is closely tied to infrastructure), and many others.

The construction industry is an important sector of a country. In Zambia, it contributes

to a relatively large proportion of the nation’s Gross National Product (GDP). GDP is
a measure of economic growth (GRZ, 2019). To this effect it is important to take keen
interest in the players that exist within this industry and how their existence affects or
contributes to climate change which has now become a global problem and has a
bearing on the prosperity of world economies as it changes the normal ways of life for
all stakeholders as the effects of climate change affect the whole world.
A study conducted in Kenya on Vulnerability and Adaptation Levels of the
Construction Industry to Climate Change reveal the findings indicating that there is
great need to initiate early warning systems, incorporate rigorous risk assessments to
determine infrastructure vulnerability levels, integrate adaptation measures and
strengths for infrastructure and buildings to continue functioning in a changing planet,

2
and avert retrogression and mark-timing development wise (Onkangi et al, 2018). The
construction industry plays an integral part in the development of the economy and is
one of the important catalysts for growth. Activities in the industry are driven by public
and private projects, such as roads, stadia, hospitals, schools, and residential and
commercial property (Ministry of National Development Planning, 2017). This fact in
itself places emphasis on why the construction industry is of particular interest in this
research. The industry continues to grow over the years at a steady annual average rate
and may be directly attributed to increased public and private sector investment on
infrastructure development.
Infrastructure development hugely depends of the use of construction materials which
are a product of manufacturing activities and in their own production process and
lifespan contribute to climate change adverse effects through emission of greenhouse
gases. Despite great contributions of the construction industry’s business enterprises,
a number of challenges are faced by the industry, which required innovative solutions
to overcome (Ministry of National Development Planning, 2017). These challenges
include rising project costs, which could be attributed to the rise in prices of raw
materials, labour and depreciation of the local currency in progressive years (Ministry
of National Development Planning, 2017). This situation places business enterprises,
that operate in the construction industry particularly those in manufacturing business,
in a position to brace themselves for impact brought about by climate change thereby
necessitating the use of strategies and adherence to policy that guides to help mitigate
and adapt to effects of climate change. Business enterprises are faced with a number of
risks due to climate change which include risks to business operations, risk to
reputation, risk supply chains and so on.
These risks brought about by climate change, need to be covered through application
of practices that will reduce their effect and also ensure the survival of the business
enterprise by way of adaptation. The extent to which these business enterprises adapt
to sustainable practices will dictate where the Zambian economy is headed years from
now. Thus an investigation into the same can help improve Strategies and reveal areas
of policy improvement for the betterment of the economy in future. The ability of
business enterprises to respond to climate risks depends in no small measure on factors
that can be shaped through policy intervention (Crick, 2017). Addressing global climate
change requires concerted efforts from all nations – both developed and developing.

3
These efforts include assessing, planning and implementing relevant technologies and
best practices, in a cost-effective manner to unleash mitigation and adaptation potentials
in all sectors (Cam, 2012).This ultimately means that Zambia has to subscribe to
Sustainable development which is a concept of utmost importance, for the survival of
the earth. This has led to a global fight for sustainable development, with guidance of
statutory instruments and policies that that been formulated in the quest to strategically
manage the climate change challenges. Climate change is increasingly becoming a
threat to future development plans, sustainability of existing infrastructure, and
biodiversity conservation. The World Bank (2008) affirms that climate change is a
serious environmental challenge that could undermine the drive for sustainable
development. Assessment of vulnerability levels, adaptation measures, models, and
climate change variables have majorly focused on biological systems. Besides
biodiversity, the construction industry faces equally high threats from climatic changes
with enormous carbon price-related risks.
Human activity has resulted in damage to the environment. This damage has affected
all sectors of the world at national level and international level ultimately affecting even
the strongest of world economies. This is evident in the changes of weather patterns
which have emerged as a consequence of the industrial activities of man in production
processes in diverse sectors. These changes in weather have caused extreme weather
variations, some aligned to excessive rains resulting in floods, while others have cause
droughts that have impacted the availability of food due to reduced harvests or damage
to crops (GRZ, 2016).
Construction in the developing nations is gaining momentum and is a development
indicator as well as a major contributor to GDP. However, infrastructure is very
vulnerable structurally and financially to extreme weather conditions and events. This
calls for a paradigm shift in conducting business in the construction industry in
developing countries. The production of construction materials is among some of the
activities that transpire in the construction industry. These materials contribute to
climate change concerns as most of them result in emission of greenhouse gases during
production and further during their use or life span. Examples of such materials are
steel and concrete. It is therefore important to investigate what strategies are being
employed by business enterprises to counter the effects of their activities on climate
change and other activities that they have implemented in their operations to help

4
mitigate the challenges that come with climate change. There is even greater need to
look at the climate change policy and how it helps or impedes climate change mitigation
strategies of business enterprises with regards to adaptation. Some business enterprises
have had to revisit their strategies on supply chain management or the use of climate
smart technologies as these have helped them survive in this robust economic world
confounded by climate change policy and climate change weather effects that have
disrupted or changed business as we know it. Government has mandated specific
institutions to provide policy guidelines and implementation. However, the climate
change agenda in Zambia is not only a donor construction: Although the issue is not
high on the political agenda, there are de facto government interests related to climate
change (Funder et al, 2013). He also adds that donors have played a central role in
nurturing and influencing the climate change agenda in Zambia, and in developing the
institutional framework for disaster management and climate change.

In Zambia, policies and programmes on climate change are largely in place together
with relevant governance and institutional structures, but the challenges of integration
of climate change across all sectors, as well as implementation of policies remain
(ZCCA, 2016). Climate change challenges in Zambia has generally been attributed to
a lack of capacity. In addition, lack of information on climate change that is suitable for
different audiences is said to be slowing down the pace for adoption of adaptation
strategies and coping against climate change (Fumpa-Makano, 2011). However,
without clearly defined methodologies for assessing both climate change risks and
opportunities, the material financial impacts of climate change and associated
adaptation initiatives will continue to go unreported and unmeasured (West & Brereton,
2013). In view of this, the current study investigated the adaptation and mitigation
strategies of business enterprises in the wake of climate change and explored the
relevant policies that exist in Zambia to fill a knowledge gap that will provide
information relevant for all stakeholders with regards to climate change.

1.2 Statement of the problem

A lack of comprehensive implementation of climate change policy will influence

adoption of mitigation and adaptation measures to climate change in ‘construction
materials’ manufacturing business enterprises in Lusaka Province.

5
To investigate this phenomenon, it entailed looking closely at the adaptation strategies
that business enterprises are employing to counter the effects or challenges of climate
change and to also look at climate change policy. Additionally, there is no known study
conducted in Zambia on business enterprises, specifically those in the business of
manufacturing construction materials with regards to climate change. This created a
knowledge gap that this study sought to fill. Climate change assessments, identification
of vulnerability, and risk management are the first line of defence towards developing
adaptation measures. Adaptation would not be possible in the absence of reliable and
timely data. This information is expected to be sourced from policy documents and
enhanced through comprehensive implementation and monitoring of activities of
business enterprises to ensure adherence to guidelines.

1.3 Aim of the study

This study aimed to investigate the level of adoption of mitigative and adaptive
strategies to climate change with special emphasis on business enterprises that
manufacture construction materials in Lusaka Province.

1.4 General Objective of the Study

The general objective of this research was to emphasise the role of business enterprises
in climate change adaptation and mitigation while examining the policy guidelines that
exist in Zambia.
1.4.1 Specific Objectives of the study

a) To establish the current adaptation and mitigation measures to climate change

being employed by business enterprises that manufacture construction
materials in Lusaka Province.
b) To examine the current policy guidelines that support climate change
adaptation and mitigation measures by business enterprises in Zambia.
c) To establish the existence of any Supportive mechanisms that encourages
business enterprises to engage in adoption of adaptation and mitigation
strategies.

1.5 Research Questions

The following research questions were explored in order to provide guidance and focus
on the subject matter:

6
 a) What are the current adaptation and mitigation strategies to climate change
being employed by business enterprises that manufacture construction
materials in Lusaka Province?
b) What are the current policy guidelines that support climate change adaptation
and mitigation measures by business enterprises in Zambia?
c) What Supportive mechanisms exist that encourages business enterprises to
engage in adoption of adaptation and mitigation strategies?

1.6 Significance of the Study

The significance of this study was to provide current information on the state of
business enterprises in relation to their role to help curb climate change challenges. This
information would be usable to the formulators of policy documents, the regulators of
the environment such as the Zambia Environmental Management Agency to the very
manufacturing enterprises, who will learn from each other on how best climate change
can be managed. The research study endeavoured to establish the level of adoption of
mitigative and adaptive strategies by business enterprises, and to establish whether lack
comprehensive of implementation of climate change policy was an influencing factor.
Further, the study sought to inform and inspire companies to anticipate and adapt to
climate change and to engage policymakers to support business enterprise’s
contributions to climate change adaptation for more resilient communities and
societies; and also encourage civil society organizations, universities and research
institutes, and other non-governmental actors to see business enterprise’s as key
partners in contribution to economic development.

1.7 Limitations of the Study

This study was limited to Lusaka province and captured business enterprises that
manufacture construction materials.

1.8 Theoretical Framework

A theory can be used to test or run an enquiry during the study which is either qualitative,
quantitative or both (Creswell & Creswell, 2018). The theoretical framework shows the
relationship of variables of a research study and how these interact with each other hence
giving the study some kind of form (Swanson & Chermack, 2013). The former author
also notes in another 2007 publication of his, that ‘theory framework’ must articulate

7
researcher and practitioner perspectives in language, components and structure. The
theoretical Framework is said to be able to take different forms depending on the
researchers conceptualisation of society or an ideology (Gilbert, 2008). This research
used the Change Management Theory.

1.8.1 Change Management Theory

Change management theory articulates, in a systematic way, how strategies,

activities or programmes contribute to a set of specific outcomes through a
series of intermediate results. It describes the pathway through which change
will come about. It also describes the underlying assumptions and conditions
necessary to bring about this change (Ministry of National Development
Planning, 2017). Climate change is a form of change that many business
enterprises will have to reckon with. This is in the context of how the
economy can be diversified; what results are needed to attain diversification;
and what interventions will bring about these results. Change of any kind
especially that which is revolutionary or radicle, requires strategies and
innovations on the part of the affected party in order to ensure survival and
ability to thrive in a new or dynamic environment.

There are many theories of change management out there especially in an age
dominated by digital change and transformation. According to (Bruce, 2013)
Change management models can include theories that:

a) Describe group psychology and group dynamics

b) Explain processes and procedures
c) Offer step-by-step action plans

1.8.2 Features of Change Management theory

The best models of Change Management theory are those that include: Ideas
grounded in psychology, social dynamics, business, and other disciplines,
Practical action plans designed to execute change and Frameworks that act as a
lens, which helps practitioners understand why they do what they do.

8
Change management principles, models, and theories are very useful to change
practitioners. These models give change managers the materials they need to
succeed in organizational change (Bruce, 2013). The best ones include:

a) Frameworks that act as a lens, which helps practitioners understand

why they do what they do.
b) Ideas that are grounded in psychology, social dynamics, business, and
other disciplines.
c) Practical action plans designed to execute change.

(Bruce, 2013) further explains the following models on change management:

1. The Lewin Change Model- This model has been applied greatly in change
management and organizational change and is easy to grasp.
Kurt Lewin is considered to be one of the forefathers if not the forefather of
change management, organizational development, and social psychology.
Of all the theories of change Management, Kurt Lewin’s ideas have been
criticised the most and although simple in nature, his models are quite
powerful. Change practitioners who use this theory exclusively can leverage
its simplicity, then create their own roadmaps and tactics. However, people
who want step-by-step action plans will likely prefer one of the theories
mentioned below.
Every change, he says, follows a 3-step process that starts by addressing
existing mind-sets. These steps are:
a) Unfreezing – First, a process must shift away from its current state.
This is accomplished to overcome inertia, bypass defence
mechanisms, and dismantle current viewpoints.
b) Transition – The second stage is where the change occurs and It can
involve confusion and uncertainty. The end goal is not always clear.
c) Freezing – The final stage of transition involves replacing the old
ways of thinking and operating. People begin to return to their
comfort zone and feel more comfortable with this new status quo
during this stage.
2. Kotter’s 8-Step Model for Change- This change model is useful for those
who want more than just theory but also want a framework to follow.

9
 John Kotter’s theory of change management is specifically tailored for
change management and organizational change. He is a leading authority in
the change management industry. It is applicable, straightforward, and easy
to map out making it easy to follow and implement. His theory has the
following 8 steps:
i. Create a sense of urgency
ii. Build a guiding coalition
iii. Form a strategic vision and initiatives
iv. Enlist a volunteer army
v. Enable action by removing barriers
vi. Generate short-term wins
vii. Sustain acceleration
viii. Institute change
3. Prosci’s ADKAR Model- The ADKAR framework is another change
management model that was developed by Jeff Hiatt, the founder of Prosci.
This theory is designed as a roadmap and execution plan. Similar to Kotter’s
model, this change model is ideal for change managers who want theory
plus application.
It consists of 5 stages:
i. Awareness of the need to change
ii. Desire to support change
iii. Knowledge of how to change
iv. Ability to demonstrate skills and behaviour
v. Reinforcement to make the change stick

The theories above can be applied in the adoption process by using a step by step
process to initiate change by use of a combination of models. This will establish how
enterprises are formulating their strategies to ensure that the respective strategies have
a guiding framework that ensures proper execution and desired results.

10
1.9 Conceptual Framework

The conceptual framework of this research borders on two main variables, the first
variable being independent and the second dependent. These respectively are: the lack
comprehensive implementation of climate change policy, and the poor adoption of
adaptive and mitigative measures to climate change by business enterprises. There are
other variables that are present in the conceptual framework as shown in the figurative
representation which are the moderating and intervening variables. A supportive policy
environment is essential to catalyse broader private sector engagement and facilitate
scale-up and replication of effective approaches already underway (United Nations,
2012). According to change management theories, there exist barriers that hinder
change in any environment. Climate change is a kind of change and it affects the whole
world from households to businesses, even the overall economy has been affected by
climate change. Business plays a crucial role in building resilience within economies
and societies and contributing to environmental protection (CRS, 2011). This research
asserts that use of change management theory in the adoption of adaptive and mitigative
measures to counter climate change can help to ensure that business enterprises
embrace change. Why is it important to embrace change in this situation? The answer
is simple- Business enterprises contribute a great deal to the economy of a country not
just through its operations that generate revenue that ends up as tax paid to government
which is used for various development projects but also through the provision of
products that are used in construction of infrastructure. This being said the construction
industry is a great contributor to the national economy. Hence, because of this nexus,
there is need to ensure that business enterprises are equipped with the necessary tools
to enhance their ability to positively contribute to national economic growth by
monitoring and guiding on sustainable processes and products that are climate friendly,
this mandate is safely placed in the hands of selected regulatory bodies whose role is to
implement climate change policy. Simatele (2010) urges that the challenges emanating
from severe weather will always be an immense task and will compromise both local
and national development if climate change specific legislation is not strengthened.
However, even with the existence of these regulatory bodies there is still a trend of most
business enterprises to not subscribe to adoption of adaptive and mitigative measures,
such as resorting to alternative power options or green processes, and reducing
greenhouse gas emissions resulting from operations. Hence, there exists a close

11
relationship between the development of an economy and the various manufacturing
enterprise’s operations. Worldwide, a growing number of companies are beginning to
pursue adaptation measures designed to anticipate, avoid, absorb and recover from
climate impacts (Cameron, 2019).

- Intervening
Variable

-Energy
Moderating alternatives
Variable
-Improved Supply
Sufficient chain management
Resources to
execute mandate -Availability of
Smart equipment
& methods

Independent
Variable Dependent
Variable
Policy
implementation Adoption of
via Climate Change
Strategies via
-Creating Efficient Business
awareness enterprise’s Adaptation and
operations mitigation
-Providing
funding =

-Providing Economic
Support Development
mechanisms

Figure 2: Conceptual Framework

Source: Self designed representation to show Conceptual framework

12
1.10 Operational Definition of Terms

Construction materials means major material used in the construction process of

infrastructure like buildings or other civil works i.e. concrete/cement and steel.

Policy means any formal documents that guide stakeholders on how to behave or act
with regards to climate change.

Adaptation: means any methods, strategies or processes that are used to mitigate or
counter the effects of climate change by business enterprises. It involves adjusting to
actual or expected climate change effects. This includes managing risk and exploiting
opportunities.

Mitigation focuses on limiting the speed and scale of climate change. It has typically
received the most attention in policy circles, such as debates over carbon pricing as a
mechanism to reduce GHG emissions across the economy.

Business Enterprises shall mean any registered business, entity that deals in
manufacturing of construction related materials by ZAM

1.11 Ethical Considerations

Saunders et al (2012) states that ethics are standards of behaviour that guide a researcher
work in relation to right or wrong. (McLaughlin, 2012) cites a named author in his book
on the topic of ethics, he adds that knowledge and skills for ethical practice include the
moral concepts of rights, responsibility, freedom, authority and power. This simply
means that the participants rights and freedom must be upheld, allowing them to freely
participate without prejudice and allowing them the freedom to discontinue at will. In
the course of a research, researchers need to be able to adequately prepare themselves
of the emergence of ethical issues by stating that consideration of ethical issues is
critical to the success or failure of any high-quality research involving humans (Berg,
2001). Hence, clearance was gotten from the University of Zambia Ethics Committee
to ensure that ethics were upheld during the conduct of the research. The researcher
also obtained informed consent before administering the questionnaires and
enlightened participants of their freedom to withdraw should they feel the need to and
assured them that confidentiality would be upheld. This is important to avoid bringing
the University of Zambia’s good name to disrepute.

13
 CHAPTER 2: LITERATURE REVIEW

2.0 Overview

The preceding chapter presented an introduction to this study. This chapter reviews
literature on what climate change is, its causes, worldwide effects of climate change,
the Zambian scenario of climate change, policy framework and effects of climate
change on business enterprises in the same vein.

Literature review can be said to simply be a collection of information that the researcher
wishes to analyse and use as a point of reference in their own research. It helps the
researcher to establish which methodology is suitable for a particular research. This
information can come in various forms that are either or both published and unpublished
from previous authors who have written about a similar issue to that which the
researcher intends to investigate. Creswell & Creswell (2018) adds that literature
review helps the researcher to determine whether a topic is worth studying and provides
insight into ways which the researcher can limit the scope to a needed area of inquiry.

Review of literature, mostly through secondary data, will look at relevant literature to
establish findings reveal from other studies done on the role of business enterprises in
climate change adaptation and mitigation in Lusaka province of Zambia. Secondary
data will include; reports, similar documents, articles, Magazines, papers, journals, and
published books.

2.1 Back ground on Climate Change

Increasing levels of carbon dioxide in the earth’s atmosphere have been recorded and
been attributed to the industrial processes done by human (NASA, 2020). The foregoing
statement necessitates an investigation into the adaptation and mitigation measures
employed by manufacturing industries in the construction industry in the wake of
climate change which has paused a number of risks for the business enterprises.

Climate change can result from natural processes and factors and more recently due to
human activities through our emissions of greenhouse gases. Examples of natural
factors include;

i. Changes in the sun's intensity.

14
 ii. Volcanic eruptions, or slow changes in the Earth's orbit around the sun.

iii. Natural processes within the climate system such as changes in ocean
current circulation.

However, the current global aim is to tackle climate change resulting from human
activities whose greenhouse gas emissions are changing the composition of the earth’s
atmosphere. Intergovernmental Panel on Climate Change (IPCC) which is a United
Nations body for assessing the science related to climate change, prepares
comprehensive Assessment Reports about the state of scientific, technical and socio-
economic knowledge on climate change, its effects and impending risks, and
possibilities for decreasing the rate at which climate change is taking place. IPCC in
the Third Assessment (2001) report states that;

‘Most of the observed increase in global average temperatures since the mid-20th
century is very likely due to the observed increase in anthropogenic (produced by
humans) greenhouse gas emissions’. Examples of human activities contributing to
climate change include;

i. Carbon dioxide emissions through burning fossil fuels such as coal, oil
and gas and peat.

ii. Methane and nitrous oxide emissions from agriculture.

iii. Emissions through land use changes such as deforestation,

reforestation, urbanization & desertification.

These emissions that are changing the composition of the earth’s atmosphere are termed
the Greenhouse effect. The burning of fossil fuels, such as coal and oil, and
deforestation have caused the concentrations of heat-trapping greenhouse gases to
increase meaningfully in our atmosphere. These gases prevent heat from escaping to
space. Hence, this research aims to investigate the adaptation of manufacturing
industries in the construction industry in the wake of climate change which has paused
a number of risks for the business world as it affects the survival of not just the earth
but the business world.

The effects of climate change have a bearing on all events that take place in the world.
Human activities that support economic development have been identified as one of the
15
major causes of climate change. Most of these activities such as industrial waste,
harmful burning of fossil and certain agricultural practices can result in not just
pollution but damage to the environment. Cameron (2019), adds that climate change
will likely lead to serious, systemic, and global consequences, posing risks to economic
activity and development aspirations across the globe. The consequences are said to be
global, meaning that even countries that do not have advanced manufacturing industries
will be affected. Bulkeley & Newel (2015) affirms this fact. Besada et al (2009) adds
that climate change will affect Africa profoundly, but the continent lacks the resources
of the developed world to cope with its effects. The continent is known to grapple with
a lack of skilled labour, immense levels of poverty and weak institutional frameworks
that contribute to poor policy formulation and implementation (Besada, et al., 2009).
The IPCC report of 2014 narrows down a sad development that it is the underprivileged
whose subsistence emanates from agriculture compounded by a lack of basic necessities
of life such as water, that will be affected the most. Watson et al (2013) reveal that
Zambia depends heavily on rain fed agriculture on which the majority of the population
relies for their livelihoods. He adds that Zambia has large climate variability across the
country making it difficult to predict climate change impacts. Further, the increased
frequency and severity of floods also threaten Zambia’s existing and planned
infrastructure. Business enterprises that manufacture building materials are an
important component to infrastructure which has a nexus with construction, which is a
great contributor to GDP.

To narrow the effects of climate change to the economy of a country, it is necessary to

investigate how climate change affects business enterprises and how they are adapting
to sustainable practices to ensure their survival and mitigation measures to reduce of
their carbon foot print.

The Seventh National Development Plan documents Zambia’s vulnerability to climate

change (Ministry of National Development Planning, 2017). Fumpa-Makano (2011)
also notes that Zambia had the highest rate of deforestation (851, 000 ha) in Southern
Africa, which alone accounted for almost half the deforestation in the SADC region
making it even more vulnerable to climate change impacts. The 2009 DMMU report
reveals that changes in weather patterns caused abnormal rainfall resulting in serious
floods that led to displacement and loss of property of over a million people (DMMU,

16
2009). Therefore, climate change adaptation and mitigation will, therefore, promote
social wellbeing, including better health, growth of the economy and at the same time
reduce environmental risks, such as shortage of water, air pollution and other effects
(GRZ, 2017). Inadequate infrastructure – Inadequate levels and low quality of
infrastructure development lead to low economic activity and high production costs
which result in low competitiveness (DMMU, 2009). Critical infrastructure, such as
housing, electricity, feeder roads, rail, air and water transport and water supply and
sanitation has not been adequate to facilitate the desired levels of economic
transformation and leverage private investment (GRZ, 2017). A study done in 2021
examine the risks from climate change that are currently being experienced and further
explores current and future adaptation strategies and barriers to adaptation (Rawlins &
Kalaba, 2021). However, colossal sums of money are estimated to be needed to embark
on the journey to address adaptation, costing above 5 billion (MTENR, 2010).

The adverse effects on business enterprises dictates that a move in the right direction to
ensure survival of the economy world over be made, thereby necessitating the
phenomenon of sustainability through adaptation and mitigation to ensure development
despite the status quo.

The BBC news documents on their webpage submitted in 2013 on the history of climate
change, which goes as far back as the 1700’s. It is only after the creation of the first
steam engine by British ironmonger Thomas Newcomen that births Industrial
Revolution and industrial scale use of coal. In the consecutive years in 1824 that French
physicist Joseph Fourier describes the Earth's natural "greenhouse effect". This started
the awareness of climate change effects and eventually in 1988, the Intergovernmental
Panel on Climate Change (IPCC) was formed to collate and assess evidence on climate
change (BBC News, 2013). Thereafter, several international organisations came on
board to see how best the earth could be saved by formulating sustainable solutions to
reduce emissions of greenhouse gases so as to reduce climate change effects. Among
these is the United Nations. The United Nations are strong advocates for building green
economy’s. They alongside other stakeholders formulated Development goals among
which are those designed to create awareness about climate change and further
mainstream it into several national policies of countries around the world. Several
events document some of the adverse effects of climate change below.

17
In the year 2017 Houston experienced its third “500-year flood” in less than forty years,
California suffered five of its 20 worst wildfires ever and parts of the Indian
subcontinent were submerged for days following epic monsoon downpours. One study
found that accounting for physical risks to corporate assets would shave 2-3% off the
total market value of over 11,000 globally listed firms. That is less than many stocks
move in a given day, and a fraction of the estimated 15% downward effect of a
transition to cleaner energy. Different from the energy transition, though, some physical
harm to corporate assets is all but certain. Not only that, but the risks rise as the world
warms.

Some companies may have to invest significant funds into upgrading polluting facilities
and installing emission control systems in order to conform with increasingly stern
regulations on the emission of greenhouse gases into the atmosphere. Under this
pollution reduction legislation being considered by Congress, companies would be
allotted a certain amount of emissions credits, allowing them to legally release only a
certain quantity of greenhouse gases into the air. Companies that emit more than their
credits allow would be required to buy additional credits, hurting profitability. On the
other hand, companies with excess credits could sell them for additional cash.
Unfortunately, companies that do not produce much pollution may be indirectly
affected by climate change laws since their suppliers and/or customers may be affected.
It is quite possible that there could be wide-ranging changes in prices caused by things
like increased transportation costs or higher electric rates. The combination of changing
prices and changing weather patterns would likely cause changing demand for goods.

From the above, it can be seen how climate change has had an impact on the world.
This has necessitated the birth of international agreements and standard instruments
that nations have ratified to provide guidance on how to manage climate change. To
this effect, the Paris Agreement was adopted on 12th December, 2015 at the 21st
session of the conference of the parties held in Paris, France, following successful
negotiations by 195 Parties to the United Nations Framework Convention on Climate
Change-UNFCCC. This agreement commits parties to implement determined efforts to
combat climate change and adapt to its effects while promoting sustainable
development. Several other statutory documents have been brought forth to provide
detailed guidance on environmental protection issues such as the CERES Principles and

18
ISO14001. The Paris Agreement of 2015 also considers developing countries via
enhanced support and seeks to bring all nations into a common cause to undertake
ambitious efforts to combat climate change and adapt to its effects.

2.2 Climate Change and Global implications for business enterprises

There are variations on how climate change will impact business enterprises. Those
located in certain geographic areas might be more impacted by climate change than
others. Similarly, it’s clear that not all businesses and business sectors will be equally
exposed to climate risks (Forfás, 2010). A study conducted in Ireland in 2017 on
adaptation to climate change summarises the implications of climate change on
business enterprises to hinge on the following:

i. Markets: climate change could change demand for goods and services.

ii. Logistics: climate change could increase vulnerability of supply chains, utilities
(in particular water and energy), transport arrangements and communications.

iii. Premises: climate change (such as more frequent flooding events, storms,
coastal erosion, etc.) could impact on location, materials, building design,
construction, maintenance and facilities management.

iv. Finance: climate change could have implications for investments, insurance and
stakeholder reputation.

v. People: climate change could have implications for workforce, customers and
changing lifestyles.

vi. Processes: climate change could have impacts on production processes (in
particular cooling requirements) and service delivery.

These potential climate change impacts expose business enterprises to various risks
which need to be approached cautiously with adequate information, comprehensive
policy guidelines and support. There are variations on how climate change will impact
business enterprises. Those located in certain geographic areas might be more impacted
by climate change than others. Similarly, it’s clear that not all businesses and business
sectors will be equally exposed to climate risks (Forfás, 2010). Some of the impacts on
business are indirect, like changes in how insurance firms assess natural disaster risk,

19
while others are clearly direct, such as Coca-Cola’s fear of water scarcity and IKEA’s
dread of deforestation. These and more immediate physical impacts are leading
companies to invest in new processes and technologies to mitigate risk they are exposed
to as a result of climate change. Less intuitive impacts also exist that relate to the
transition to a carbon-free economy, as well as new developments in how customers,
investors, business partners, and regulators make decisions.

There are multiple impacts of climate change on companies, other than risks alone,
climate change creates a series of new business opportunities (Forfás, 2010). Besides
the most obvious physical risks (for example, the operational impacts of extreme
weather events, or supply shortages caused by water scarcity), companies are exposed
to transition risks which arise from society response to climate change, such as changes
in technologies, markets and regulation that can increase business costs, undermine the
viability of existing products or services, or affect asset values. Climate change also
offers business opportunities were companies can aim to improve their resource
productivity through energy efficiency which reduces. Further, climate change can spur
innovation, inspiring new products and services which are less carbon intensive or
which enable carbon reduction by others. Furthermore, companies can enhance the
resilience of their supply chains, for example by reducing dependence on price-volatile
fossil fuels by shifting towards renewable energy. Together, these actions can foster
competitiveness and unlock new market opportunities.

Globally business enterprises have been affected by climate change due to the risks that
they are faced with as a consequence of climate change adverse effects. A report on
climate change adaptation done in 2011 in Asia lists the following as the risks
businesses are exposed to due to climate change adverse effects;

a) Risks to core business operations: These stem from direct impacts on physical
structures and assets such as production facilities or buildings. Impacts such as
temperature changes or weather extremes can influence the “effectiveness or
efficiency of production processes, the cost of operations and maintenance
activities, or the quality of a product”.

b) Risks to the value chain (including the supply and demand network): These
include risks related to the availability of production inputs, changing consumer

20
 demands, and consumer access to products. Climate change could affect the
availability and quality of natural resources, particularly water, utility services,
logistics networks, and the health and safety of workers. In the U. S., heat waves
and drought significantly affect agricultural production, including corn, wheat,
soy and cotton. Without adaptation, some estimates show crop yields in
Midwestern and Southern counties declining more than 10% during the next 20
years. A shortage of drinking water or food can affect companies in parts of the
world prone to droughts, heat waves or pollution.

c) Risks to local communities: These include risks that directly impact the local
labour force and indirectly impact corporate community investment
programmes that support local community development. As business comes to
recognise the strategic importance of thriving communities, climate change
impacts that negatively impact local livelihoods will become more relevant in
business continuity planning.

d) Risks from economic and social changes: In developing countries highly

vulnerable to climate change there is a risk of humanitarian crises, conflicts, and
instability. Climate change can contribute to a situation where environmental
refugees will be forced to migrate, competition over scarce resources will
increase, and ethnic tensions can be exacerbated. Recent storms and floods have
already led to temporary and long-term dislocation of millions of people in the
Philippines and Sri Lanka. Additionally, some authors include other risks as
below:

e) Risk of Physical Damage to Buildings and Operations-Supplies and

equipment as a result of flooding or other extreme weather events can be costly.
Extreme weather events can also disrupt business by halting manufacturing or
making it impossible for employees to get to work. Companies around the world
are preparing for climate change and as a result, they are investing in resilient
buildings that can better withstand damage from storms, strong winds and
flooding. Developing countries may offer investment opportunities in new
construction and infrastructure projects that are built to hold up under extreme
weather events. In the U.S., investments can include companies that help refit
existing buildings and reinforce energy infrastructure for more resilience.

21
 f) Risk to Business Opportunities- Investors are now looking into companies
that are on the leading edge of creating products that help the environment and
also help other companies get out of “dirty” industries. Companies that stick
with processes and products that are seen as environmentally “dirty” can miss
out on new opportunities for growth. In 2017, Morgan Stanley launched the
Climate Change Mitigation Index, which highlights the potential for
innovations that mitigate climate change and provides potential market-rate
returns. As economies around the world transition to lower carbon economies,
investors could benefit from investing in companies that are positioning
themselves for this transition and mitigating the effects of climate change.

g) Risk to Reputational-Reputation is enormously important to many businesses.

Many firms today are working hard to promote a green image. BP is one
company that has invested heavily in this trend with its "Beyond Petroleum"
campaign. The company has also invested billions in renewable energy projects
to prove its sincerity. Companies are exposed to potential liability for emitting
greenhouse gases (GHG) and as a result, there has been an increase in the
number of legal cases brought directly against fossil fuel companies and utilities
in recent years, holding them accountable for the damaging effects of climate
change. Customers may shun a company that is involved in an environmental
or public relations crisis. Companies with the best quantitative and qualitative
disclosure and management practices would be an attractive investment area.
Investors who have a goal of achieving positive environmental impact can look
to green bonds for an accessible way to invest in low-carbon assets that may
receive a similar return to a regular bond.

The types of businesses that are most at risk from climate change include:

a) Businesses dependent on climate or weather-sensitive resources: Agriculture,

forestry, agro-forestry, fishing, aquaculture, and tourism sectors are already
experiencing impacts from increased climate variability. Changing seasonal
precipitation patterns, droughts, and floods are affecting yields and profits
throughout the region.

22
 b) Businesses that make long-term investments and operate long-life assets: These
include utilities such as energy or transport, industrial facilities, and ports with
a long operational life. Future climate change impacts pose risks to the
efficiency and service delivery of these systems and will challenge their
robustness and resilience.

c) Businesses with extended supply chains: These include businesses that rely
heavily on logistics and supply networks. Those who practice lean
manufacturing based on just-in-time delivery and single source supply chain
management are particularly vulnerable to disruptions that will restrict their
flexibility and challenge their ability to adapt.

d) Businesses that are global in nature: Global supply chains increase a company’s
vulnerability to disasters since natural hazards at one location can trickle
through the supply chain and create significant business disruptions. Strong
interdependencies in the production process also increase the likelihood of
business interruptions following a flood or storm.

e) Businesses that are labour intensive and highly dependent on local workers:
Local climatic disruptions may affect workers’ abilities to work or even to stay
resident in a particular location. Agricultural sector businesses are among such.

f) Small, medium, and microenterprises: The impact of a natural hazard can put
these types of enterprises out of business since they do not have the capacity or
resources to cope with and recover from major business disruptions. The bulk
of business enterprises are small scaled enterprises.

2.3 Global Adaptation and mitigation for manufacturing business Enterprises

Globally Businesses have become increasingly aware of the critical role they play in
enabling effective, timely, and appropriate adaptation. They recognize the risks that
climate change poses, not only for their operations, but also to their suppliers,
employees, customers, and people living in the areas in which they operate. Businesses
have also begun to recognize opportunities to expand operations and increase their
market share through developing climate-resilient products and services to help people,
other businesses, and governments adapt.

23
Business contributions to climate change adaptation play a very important role in
supporting sustainable development and efforts to build the green economy, while also
promoting a company’s viability, profitability, and competitive edge. Some
international market-leading businesses have started to analyse climate change risks
and opportunities, and important efforts are already underway to implement adaptation
measures in many of the world’s emerging economies and developing countries, which
represent valuable markets for new business opportunities. Business-led adaptation
interventions are particularly important in developing countries, where poor
communities have significant exposure to climate change impacts. The ten case studies
in this report represents a wide range of industries, from financial services to
construction to consumer products, and adaptation solutions applied across the globe,
from Bolivia to Kenya to the Philippines. The cases illustrate how companies contribute
to climate change adaptation in three spheres of action by:

a) Instituting new practices within their own operations to manage climate risks
and impacts;
b) Developing products and services that help vulnerable countries and
communities adapt to climate risks and impacts; and
c) Engaging with governments, communities, and other stakeholders to put
policies and ground-level practices in place that contribute to long-term
resilience.

The importance which Businesses assign to climate resilience is influenced by business

strategies, management priorities and risk perceptions (Crick, 2017). Most invest in
renewable energy such as installing solar panels and other efforts to lower their carbon
footprint

Romdhani et al (2008) declares that Climate change is slowly being introduced into
Zambian development policies, such as urban planning and national development
strategies. He further says that the shift is taking place because climate change related
droughts and floods have had significant effects on the country, and because
international aid is increasingly directed toward climate change policies. It is estimated
that the impact of climate change will cost Zambia approximately 0.4 percent of annual
economic growth. It is further estimated that without action, rainfall variability alone
could lead to losses of 0.9 percent of GDP growth over the next decade, thereby keeping

24
a significant section of Zambia’s population below the poverty line. In addition, the fall
in the country’s hydro-power generation in the recent period by about 600 MW is
mainly attributed to poor rainfall patterns. The lower supply of electricity has hampered
growth prospects of Zambia’s productive sectors of the economy, including agriculture,
manufacturing, mining and services. Other adverse effects have led to increased costs
of treating climate-related diseases such as malaria and the loss of natural environments,
damage to infrastructure and disruption of biodiversity.
The manufacturing businesses lie in the subset of manufacturing industries. These
industries produce a wide range of products whose production process requires huge
amounts of electricity and water. According to the International Labour organisation on
their website asserts that utilities are essential services that play a vital role in economic
and social development, it adds that they are a prerequisite for effective poverty
eradication.
Many developing countries face rapidly increasing water demand in future (Bijl, et al.,
2015). In the US according to the Energy Information Administration survey of 2017,
32% of energy consumption emerges from the industrial sector of which manufacturing
is a subset. In German, 50% of total electricity produced is consumed by industrial uses
(Javied, et al., 2015). A study conducted in Ghana by Abokyi, et al (2020), recommends
that government should also strengthen its energy efficient measures, which ensure that
firms in industrial sector avoid the use of obsolete and inefficient equipment and
machinery or ban their import into the country.
Studies have shown that without sustainable practices mismanagement of utilities have
negative implications both on the environment and on the cost of manufacturing in
which case when water resources become scarce, the suppliers of electricity have to
charge higher tariffs in order to meet demand. This ca further result in power rationing
which can negatively affect manufacturing processes. Lafarge Zambia reported in their
2015 annual report that their profits were down by 25% due to rising costs of power
and other inputs (Ahmed, et al., 2019).
A 2012 report by the UN Global Compact and UN environment programme entitled
‘Business and Climate Change Adaptation: toward Resilient Companies and
Communities’ presented ten case studies from a broad range of Caring for Climate and
CEO Water Mandate companies. These cases illustrate how businesses are responding
creatively and effectively to address climate change opportunities, risks, and impacts in

25
developing countries and emerging economies. Among the ten case studies is
Hindustan Construction Company-HCC whose concern is the growing water scarcity
and drought in India, this prompted it to consider “sustainable water resource
management. HCC adopted a rigorous, company-wide framework for improving water
resource management. Through its environmental management systems, the company
has implanted a wide range of sustainability measures into its core operations, has made
reduction of water use across its construction project sites a priority, and beginning in
2008, HCC adopted a rigorous, company-wide framework for improving water
resource management. The Company is applying innovations in water treatment and
rainwater harvesting to large-scale infrastructure projects in India that contribute to the
company’s goal of water neutrality by taking the “4R” approach to water interventions
(reduce, reuse, recycle and recharge). This prompts the need for business enterprises to
be innovative to counter climate change and its negative effects which presents both
risks and opportunities. Of course it is worth noting that, each company addresses
adaptation from a unique perspective. According to a report by the United Nations
Global Compact and United Nations Environment Programme in cooperation with the
CEO Water mandate published in 2012, companies pointed to the essential leadership
role that government policymakers must play in catalysing, facilitating, and supporting
business engagement in climate change adaptation that benefits vulnerable
communities. Climate volatility may force companies to deal with uncertainty in the
price of resources for production, energy transport and insurance. And some products
could become obsolete or lose their market.

2.4 Policy framework on Climate Change in Zambia

Policies and programmes on climate change are largely in place together with relevant
governance and institutional structures, but the challenges of integration of climate
change across all sectors, as well as implementation of policies remain (GRZ, 2016).
In addition, an important requirement for informed decision making on adaptation is
that it should be based upon the best available information on the implications of both
the current and the future climate in the country. This entails employment of quality
climate information and improvement of available information. This will encompass
several processes including; improving the coverage and quality of climate monitoring
data, commissioning assessments of climate change impact, vulnerability and

26
adaptation if they are not already available, and using multi-model ensembles with a
clear articulation of associated uncertainties (OECD, 2009). The 2016 Zambia Climate
Action report also documents that Zambia has put in place climate relevant policies and
strategies which include:

i. National Adaptation Plan of Action (NAPA) 2007

ii. Intended Nationally Determined Contribution (INDC) 2015

iii. National Climate Change Response Strategy 2010, and

iv. National Policy on Climate Change 2016.

There are other policies and sectoral strategies that contribute to environment, climate
change adaptation and mitigation, including

i. National Policy on Environment (NPE, 2007)

ii. National Forestry Policy of 2014

iii. National Energy Policy of 2008

iv. National Agriculture Policy of 2014

v. Transport Policy of 2002

vi. National Strategy for Reducing Emissions from Deforestation and Forest
Degradation (REDD+, 2015)

vii. Second National Biodiversity Strategy and Action Plan (NBSAP2)

viii. Technology Needs Assessment (TNA, 2013)

ix. Nationally Appropriate Mitigation Actions (NAMAs, 2014)

x. Second National Communication (SNC, 2015).

National Climate Change Policy (NCCP) of 2016 was born from realisation that
adverse effects and the threats posed by climate change would have an impact on the
development process including attainment of the Vision 2030 (GRZ, 2016). Hence,
steps were taken to reduce some of these effects and minimize the potential for further
damage. In spite of these efforts, the steps and actions undertaken so far on mitigating
27
climate change and adaptation to the adverse impacts of climate change have been
fragmented and done in an ad-hoc manner (GRZ, 2016).

The government of Zambia has developed the National Policy on Climate Change to
provide a framework for coordinated response to climate change (GRZ, 2016). It
provides guidance on how the Zambian economy can develop in a sustainable way and
thus allow for implementation of Development Plan and subsequent visions such as the
vision 2030 (GRZ, 2016).

In spite of the above policy documents in place, there are still policy gaps at sectoral
level to enable integration of climate change adaptation as an important issue.

2.5 Manufacturing Business enterprises in Zambia and Climate Change

There is a vast number of manufacturing enterprises in Zambia, the bigger number of

these business enterprises consists of small to medium scale business entities. The
Zambia Association of Manufacturers-ZAM has registered over 1500 enterprises. 14%
of these are specialised in the manufacturing of construction related materials, those
that largely comprise of cement and steel inputs. These are essential elements of the
global economy and industrial development, as they deliver key materials for buildings,
infrastructure, industry and almost all structures (GDSS, 2019). Further, these sectors
are significant and growing emitters of CO2. Iron & steel represents 6-8% and cement
& concrete 6% of global energy system combustion and industrial process CO2
emissions. This aggravates the quest to fight the challenges brought about by climate
change. It is on this premise that this research sought to investigate the adoption of
mitigative and adaptive strategies to climate change by business enterprises particularly
those that manufacture construction materials.

According to an issue paper done by the GDSS forum which is an initiative of OECD,
demand for concrete and other construction materials is on the rise due to the need for
infrastructure development. Onkangi, et al (2018) adds that infrastructure, which is a
product of construction, is very vulnerable structurally and financially to extreme
weather conditions and events and as such calls for a paradigm shift in conducting
business in the construction industry in developing countries. It goes without saying
that the main material in the Zambia construction process is steel and concrete, which
comes from cement. These contribute a great deal of greenhouse gas emissions both

28
during production and as a finished product during its life span as part of existing
infrastructure like buildings. Engineering design decisions can produce more
sustainable civil infrastructure systems, but cognitive barriers to innovative thinking
often inhibit such outcomes (Ruth, et al., 2018). It is therefore important to establish
how business enterprises that deal with such are doing to reduce their ecological
footprint and also to adapt to the new normal which is characterised by regulations and
adverse weather patterns that affect supply chains, work pattern and production. Having
a deeper understanding of what is prevalent on the ground regarding these business
enterprise will enable policy makers, investors and other stakeholders to re-strategize
their approaches towards bracing themselves for climate change challenges and
formulating more workable solutions. Several authors have written about climate
change but emphasis has been on industries such as mining, agriculture, tourism and
others. This creates a knowledge gap that needs to be filled to establish facts from a
manufacturing business enterprise angle from the construction industry, which is also
one of the major contributors to Zambia’s Gross Domestic Product-GDP. According
to the Zambia Manufacturing Sector Profile of June 2013, the Manufacturing sector
accounts for 11% of Zambia’s GDP. 25% of the country’s exports come from the
manufacturing sector which absorbs outputs from other sectors and ultimately supplies
inputs to other sectors such as mining and construction (Zambia Development Agency,
2013).

29
 CHAPTER 3: RESEARCH METHODOLOGY

3.0 Overview

This chapter presents the research methods that this dissertation used to accomplish the
aim of this research. It provides details of how the data was processed using selected
instruments such as questionnaires and also shows how the respondents were selected
and how the data collected was finally analysed to establish findings.

3.1 Research design

Bryman (2008) asserts that a research design provides a framework for the collection
and analysis of data. Research design is defined as, “the plan and structure of
investigation so conceived as to obtain answers to research questions” (Kerlinger,
1986). The type of research will ultimately dictate the research design suitable for the
same. The choice of a research design is closely linked to the type of study being
conducted. This means that the type of research will dictate the research design suitable
for the same. To this effect, there are different types of research designs. This decision
on which type to use will affect reliability, validity and replicability of the research
(O’Connor & Gibson, 2003).

This study adopted a descriptive research design using a mixed method approach that
uses both qualitative and quantitative methods of data analysis. These methods of data
analysis have their own strengths and weaknesses. However, the use of either methods
does not always completely eliminate certain components of the other (Bless, et al.,
2013). A researcher can use both methods to leverage on their advantages.

3.2 Target population

An entire set of objects or people that is the focus of a research project is called a
population (Bless, et al., 2013). The target population consisted of approximately 1,500
registered Manufacturing enterprises by the Zambia Association of Manufacturers-
ZAM, with special attention on approximately 135 enterprises that manufacture major
construction materials such as steel and cement/concrete. In addition, as mandated by
government to spearhead issues bearing on climate change specific institutions hold
that responsibility. These included institutions such as the Climate Change Secretariat,
Disaster Mitigation and Management Unit-DMMU, Ministry of National Development
Planning and Ministry of Lands, Natural Resources and Environmental Protection-
30
through Zambia Environmental Management Agency (ZEMA). Upon close
consultation it with these institutions, guidance was given to obtain information from
ZEMA which was the sole authority in environmental protection and regulation.

3.3 Sample size and sampling procedure

The researcher was guided by the sample size that they chose for their research. The
sample was selected using step by step procedures in a chronological order as shown
below under the sampling procedure. This process ensured that the sample derived was
representative and without bias.

3.3.1 Sample size

A sample is a subset of population whose characteristics will be generalised to

the entire population (Bless, et al., 2013). A sample is needs to be representative
in order to reflect the true nature of a population. The sample size was derived
from a comprehensive updated list obtained from the Manufacturers
Association of Zambia-ZAM, which revealed the number of manufacturing
enterprises located in Lusaka Province that specifically deal in production of
construction materials.

3.3.2 Sampling procedure

Simple random sampling was used to derive the sample size for this research. It
is a sampling procedure that provides equal opportunity of selection of each
element in a population (Bless, et al., 2013). Using a list compiled by Zambia
Association of Manufacturers-ZAM, the researcher segregated the list into
clusters in order to identify the subpopulation of interest. ZAM has registered
over 1500 registered manufacturing enterprises. Using cluster sampling, from
the population of over 1500, three groups were identified, the biggest category
of approximately 1365 consisted of business enterprises that manufacture
various products that are not construction related. This group was not of interest
to this research but the rest of the population consisted of two categories; one
group of 43 enterprises manufactures cement, concrete and steel while another
group of 92 enterprises manufacture any other construction material. The last 2
categories were the subpopulations of interest to this research from which
samples were drawn. Using simple random sampling, a 50% sample of 92 and

31
 43 of the enterprises was drawn, giving 46 and 22 respondents respectively. This
gave a more representative sample to reduce bias. Non-probability sampling
was used to select respondents of particular interest. The researcher also
employed purposeful sampling regarding an interview that was be conducted
ZEMA. The representative sample is one that is able to account for a significant
number of elements in a population, therefore 50% is a representative number.
Although for descriptive research 10% of the sample is considered
representative according to an author cited in the Advanced Business Research
Methods Module MBAZ 521 (Zimbabwe Open University, 2019).

Legend of manufacturers

General population=1,500

Other construction materials=92

Steel and concrete=46

Figure 3: Cluster sampling illustration

Source: Self-composed illustration

Method for simple random sampling

1. A list of all the business enterprises for each of the two clusters was made. (as
shown above there are 135 business enterprises in the main population of over
1500 consisting of 43 Manufacturers of steel and concrete and 92 Manufacturers
of other construction materials.
2. A sequential number was then assigned to each business enterprise. This
became the sampling frame for each category (the list from which the simple
random sample is drawn)
3. The sample size was aimed at half of the cluster populations. (In this case, the
sample size was 50% of 92 and 43 which translates to 46 and 22 respectively).
Using the formula below, where N is the population size and n is the sample
size. According to (Bryman, 2008) the formula below can be used to get the
sample size.

32
 P=1- N-1/N. N-2/N-1…. N-n/N-(n-1)

Cancelling=1-N-n/N

=n/N

=46/92

=50%

From the above, the sample is chosen due to a number of issues such as cost,
time and response rate. Hence, for this research the deciding factor was to ensure
that cost and time were within the time frame of the research.

4. Using a random number generator, a list was then generated which came to a
combined sample of 65 respondents.

3.4 Data collection methods

Primary data and Secondary data

According to Bless, et al (2013), data consist of measurements collected as a result of

scientific observations which can be classified according to the way it is collected. That
collected anew by the researcher by way of questionnaires or interviews is called
primary data, While, that acquired from concept papers, books, journals, reports,
publications, and annual reports is considered as Secondary data. This research used
both types of data collection methods.

3.4.1 Data collection instruments

Questionnaires had a mix of questions to include Yes or No questions, multiple

choice questions, open ended and closed ended questions to allow the
respondents to provide information on the topic of research. Questionnaires
were used to collect data from Business enterprises while a list of questions was
used during interviews with relevant respondents within bodies and institutions
identified as key stakeholders in the implementation of climate change in
Zambia, such as ZEMA.

33
 3.4.2 Data collection procedures

Data was collected from mid of March, 2021 to end of April, 2021. Interviews
were conducted in person to all respondents who were requested to answer the
questions. Further, key informants in the in relevant institutions responsible for
climate change issues were also interviewed. These interviews were done face
to face with careful precautions to avoid the risk of exposure to Covid 19 which
at the time of research was a matter of concern.

3.5 Data analysis

Data analysis is said to take different forms depending on the type of research being
undertaken (Creswell & Creswell, 2018). Most qualitative research will use a lot of
narratives and other graphical or pictorial representation to show this. However,
quantitative studies use more of statistical methods to analyse data. This study used a
mixed method approach and as such both methods of data analysis were conducted as
will be seen. The data was collected using questionnaires and interview. These were
checked for completeness, consistency and accuracy. Further, the unprocessed data that
was collected from the field was subjected to a coding process. Data was then exported
to Statistical Package for Social Sciences version 20 for data modification and analysis.
Data analysis involved descriptive statistics of the variables including frequencies and
percentages, and charts and tables using Excel which has the ability to generate
meaningful graphical representations of the findings.

34
 CHAPTER 4: DATA PRESENTATION, INTERPRETATION & ANALYSIS.

4.0 Overview

With reference to the preceding chapter, the collection of this data was done through
the application of qualitative and quantitative methods. The qualitative part of data
collection was done via collection of data from open ended questions from the
questionnaire. The responses from the respondents had to undergo further qualitative
restructuring to enable responses to be grouped or coded. This required what is known
as ‘Thematic analysis’ which looks at patterns of meaning in a data set. These themes
aid in making sense of the content and deriving meaning from it (Warren, 2020).

This chapter focuses on research methodology that was employed to collect data on the
investigation of adoption of mitigative and adaptive measures for business enterprises
to climate change in Lusaka Province particularly those that manufacture construction
related materials. If further gives a description of the research that was conducted, the
research instruments which were mainly questionnaires, the criteria for sampling and
the data analysis tools. It also shows means used to represent findings through charts
and tables.

4.1 Data Analysis Method

The data collected was analysed using the methods cited in the first Chapter of this
research, such as the Statistical Package Storage System-SPSS and Microsoft Excel
Package. This data was derived from the answers given to the questions in the
questionnaires that were administered. The questionnaires were designed to
accommodate both open and closed ended questions in order to allow for both
qualitative and quantitative analysis of data. The questions were structured in line with
the research objectives and research questions whose essence was to reveal:

a) Climate change awareness

b) Risk exposure awareness
c) Understanding of adaption and mitigation
d) Proposed solutions
e) Knowledge of climate change policy
f) Adoption of adaption and mitigation measures
g) Challenges in Adoption of adaption and mitigation measures

35
 h) Institutions working closely with Business Enterprises
i) Use of Change Management theory in adoption process

The researcher planned to obtain data from the respondents below with regards to the
above information that was planned to be collected.

Table 1: Target group of response rate(Planned)

Source: Generated by SPSS version 20.0 software

Category of respondents Number of Number of Response

questionnaires responses rate
administered obtained

Manufacturing enterprise 22 22 100%

(steel and concrete products
only)

Manufacturing enterprise 43 43 100%

(other products)

Policy Implementers 7 1 14%

Note: It was however established that, the organisation that was able to give valid
information on policy implementation was ZEMA as it was the principle regulator of
the environment, hence the 6 other policy implementers fell off the list of planned
respondents.

36
Table 2: Target group of response rate(Actual)

Source: Generated by SPSS version 20.0 software

Category of respondents Number of Number of Response

questionnaires responses rate
administered obtained

Manufacturing enterprise 22 22 100%

(steel and concrete products
only)

Manufacturing enterprise 43 43 100%

(other products)

Policy Implementers 1 1 100%

As stated above only ZEMA was interviewed with regards to how they were interacting
with business enterprises and the challenges they were facing in executing their
mandate. ZEMA submitted the following:

ZEMA monitors greenhouse gas emissions country wide, it has two departments that
work closely with business enterprises, that is the operations department and the
corporate affairs. The former works in the field to check compliance of business
enterprises while the latter deals with providing awareness on environmental issues. To
ensure that mitigation is done ZEMA conducts Environmental Impact Assessments for
all manufacturing enterprises to ensure that they are within the authorised pollution
ratings, they also provide public hearings and encourage participation by awarding
compliant enterprises with best practice recognition awards. Further, ZEMA has now
enhanced its communication platforms by having an online platform that can provide
more prompt and easy to access information, this will help increase awareness as it has
been difficult to have full physical contact with all the enterprises due to Covid 19
restrictions and financial limitations. Latest technology envisaged to be adopted by
ZEMA is monitoring via the use of drones so as to reach all areas of the industry that
have been hard to reach as a result of limited financial capacity.

In summary, ZEMA submitted that it has financial limitations that hindered its ability
to fully implement its mandate to provide awareness and monitor compliance of

37
business enterprises. This validated that indeed there was a lack of comprehensive
implementation of policy and from the findings below, there was evidence of lack of
awareness and low levels of adoption of adaptive and mitigative strategies to Climate
Change.

4.2 Data Analysis and Representation (Part 1-Quantitative)

In order to evaluate the quality of the research, it is necessary to test the data for
reliability and validity. This means that reliability checks the data for consistency while
validity checks the data for accuracy. The Cronbach’s alpha is used to verify reliability
and validity of research. Using SPSS version 20.0, the following information was
generated;

Table 3:Reliability statistics

Source: Generated by SPSS version 20.0 software

Cronbach's Cronbach's Alpha Based N of Items

Alpha on Standardized Items
.584 .602 9

38
Table 4:Item-Total statistics

Source: Generated by SPSS version 20.0 software

Scale Mean Scale Corrected Squared Cronbach's

if Item Variance if Item-Total Multiple Alpha if
Deleted Item Deleted Correlation Correlation Item
Deleted
Knowledge of climate
3.32 4.472 -.162 . .669
change policy
Adoption of adaption and
3.74 4.571 -.209 . .650
mitigation measures
Risk exposure awareness 3.17 2.987 .763 . .416
Understanding of
3.75 3.626 .477 . .518
adaptation
Understanding of
3.75 3.626 .477 . .518
mitigation
Proposed solutions 2.74 2.696 .361 . .546
Challenges in Adoption
of adaptation and 3.62 3.272 .554 . .479
mitigation measures
Institutions working
closely with Business 3.74 4.040 .141 . .585
Enterprises
Use of Change
Management theory in 3.31 3.466 .360 . .531
adoption process
The requirement is that the Cronbach alpha must be within a certain number to show
if the data is reliable. The value of the alpha will change depending on the number of
variables included in the analysis. When the variables are less than 10, the value of
the alpha must be greater than 0.5. In the data set above, there were 9 items used and
the alpha was 0.58, which verified the reliability of the data set. However, for items
more than 10, the Cronbach alpha can be greater than 0.75.

The researcher then proceeded to analyse the data accordingly, through frequency
tables, cross-tabulations and correlations.

39
Using SPSS software version 20.0 as the tool to facilitate quantitative analysis, several
analyses were conducted in order to obtain frequencies, cross-tabulations and
correlations. The two variables that were considered in order to ascertain if there was
an association between the variables, to ascertain whether this association was
significant and the nature of relationship between the variables, and finally the strength
of this relationship between variables were climate change policy implementation and
adoption of adaptive and mitigative strategies.

Frequency Tables

The number of cases in each categorical variable can be depicted by frequencies,

however frequencies cannot further categorise respondents in each variable category.
Below is a number frequencies of selected variables.

Table 5: Knowledge of Climate Change Policy

Source: Generated by SPSS version 20.0 software

Frequency Percent Valid Percent Cumulative

Percent
YES 28 43.1 43.1 43.1
Valid NO 37 56.9 56.9 100.0
Total 65 100.0 100.0

The table above shows that there is a higher frequency of Business enterprises that are
unaware of climate change policy.

Table 6: Institutions working with Business Enterprises

Source: Generated by SPSS version 20.0 software

Frequenc Percent Valid Cumulative

y Percent Percent
ZEMA 36 55.4 55.4 55.4
ZEMA &
10 15.4 15.4 70.8
Valid NCCN
NONE 19 29.2 29.2 100.0
Total 65 100.0 100.0

40
There is significant number of enterprises that submitted that they did not work closely
with any policy implementers with a percentage of close to 30%. However, a good
number did submit that they worked with ZEMA and NCCN.

Table 7: Adoption of Adaptation and Mitigation measures

Source: Generated by SPSS version 20.0 software

Frequency Percent Valid Percent Cumulative

Percent
YES 55 84.6 84.6 84.6
Valid NO 10 15.4 15.4 100.0
Total 65 100.0 100.0

The adoption levels of business enterprises have a very high frequency showing that
over 80% of the enterprises have adopted some kind of climate change strategy.
However, among these a good number only adopted a strategy toward having an
alternative power supply.

Table 8: Use of Change theory in adoption process

Source: Generated by SPSS version 20.0 software

Frequency Percent Valid Percent Cumulative

Percent
YES 27 41.5 41.5 41.5
Valid NO 38 58.5 58.5 100.0
Total 65 100.0 100.0

From the table above less than 50% of the respondents were using strategies from the
Change Management theory. Only the component on creating awareness and supply
chain management was prominent. This shows that there is need for business enterprise
to also work on their internal processes to help then facilitate for adoption of climate
change strategies.

41
Table 9: Knowledge of Climate Change Policy*Adoption of adaptation and
Mitigation measures(Cross tabulation)

Source: Generated by SPSS version 20.0 software

Adoption of adaption and Total

mitigation measures
YES NO
Count 27 1 28
Expected Count 23.7 4.3 28.0
% within Knowledge of
96.4% 3.6% 100.0%
climate change policy
YES
% within Adoption of
adaptation and 49.1% 10.0% 43.1%
mitigation measures
Knowledge of climate % of Total 41.5% 1.5% 43.1%
change policy Count 28 9 37
Expected Count 31.3 5.7 37.0
% within Knowledge of
75.7% 24.3% 100.0%
climate change policy
NO
% within Adoption of
adaptation and 50.9% 90.0% 56.9%
mitigation measures
% of Total 43.1% 13.8% 56.9%
Count 55 10 65
Expected Count 55.0 10.0 65.0
% within Knowledge of
84.6% 15.4% 100.0%
climate change policy
Total
% within Adoption of
adaptation and 100.0% 100.0% 100.0%
mitigation measures
% of Total 84.6% 15.4% 100.0%

The above table shows a cross-tabulation analysis performed using SPSS. The cross-
tabulation statistics provide several remarkable observations about the data collected
42
from business enterprises. In the table above, there appears to be an association between
Knowledge of climate change policy and adoption of adaptation and mitigation
measures category, as the expected values, which are the values expected by chance,
and the actual counts are different from each other. However, in order to ascertain how
significant this difference between the expected counts and observed, a Chi-square test
was conducted.

The Chi-square statistic uses the difference between observed and expected values. It
assesses the probability that the differences between the observed and expected values
would happen under the null hypothesis that there is no difference between these values.
Below is the table for the said analysis

Table 10:Chi-Square test

Source: Generated by SPSS version 20.0 software

Value df Asymp. Sig. Exact Sig. (2- Exact Sig. (1-

(2-sided) sided) sided)
Pearson Chi-Square 5.273a 1 .022
b
Continuity Correction 3.799 1 .051
Likelihood Ratio 6.129 1 .013
Fisher's Exact Test .034 .021
Linear-by-Linear
5.192 1 .023
Association
N of Valid Cases 65
a. 1 cells (25.0%) have expected count less than 5. The minimum expected count is 4.31.
b. Computed only for a 2x2 table

From the table above, the large Chi-Square statistic (5.273) and its small significance level
(p > .000) indicates that it is very likely that these variables are independent on each other.
Thus, you can conclude that there is no relationship between Knowledge on climate change
policy and the adoption levels of business enterprises to climate change strategies via
adoption of mitigative and adaptive strategies but it is possible that the levels of adoption
can still increase even with limited policy knowledge.

43
To verify the kind of relationship that exists between the two variables a correlation analysis
was done as shown below.

Table 11:Correlation table

Source: Generated by SPSS version 20.0 software

Adoption of Knowledge of
adaptation and climate change
mitigation policy
measures
Pearson Correlation 1 .285*
Adoption of adaptation
Sig. (1-tailed) .011
and mitigation measures
N 65 65
Knowledge of climate Pearson Correlation .285* 1
change policy Sig. (1-tailed) .011

N 65 65

*. Correlation is significant at the 0.05 level (1-tailed).

Correlations are a measure of the linear relationship between two variables. A

correlation coefficient has a value ranging from -1 to 1. Values that are closer to the
absolute value of 1 indicate that there is a strong relationship between the variables
being correlated whereas values closer to 0 indicate that there is little or no linear
relationship. Pearson's is appropriate for continuous data and since the hypothesis being
tested is to make a prediction about the direction of effect between the two variables
that positive relationship between the variables exists then the one-tailed test is
appropriate.

1. The sign of a correlation coefficient describes the type of relationship between

the variables being correlated. A positive correlation coefficient indicates that
there is a positive linear relationship between the variables meaning that an
increment in one variable also causes an increment in another.
2. From the correlation table above the output shows the positive correlation
coefficient (.285) indicates that there is a statistically significant (p < .001)
linear relationship between these two variables such that the more knowledge a
44
 business enterprise has on climate change policy, the more likely that it is able
to also adopt climate change measures of adaption and mitigation.

Figure 4: Bar Chart showing Knowledge of climate change policy vs adoption of

adaptation and mitigation measures

Source: Generated by SPSS version 20.0 software

The bar chart above shows that proportions of business enterprises that were aware of
climate change policy was also showing a high level of adoption of adaptation and
mitigation measures.

45
4.2 Data Analysis and Representation (Part 2-Qualitative)

a) Climate change awareness

All the enterprises that were issued questionnaires had a clear understanding of
what climate change is, what causes it and its effects on the global weather
patterns. 100% of the respondents were climate change aware.
b) Risk exposure awareness
A significant number of respondents were not aware of the implications that
climate change had on their business. 72% of the business enterprises were of
the view that climate change had no effect on their production or business while
28% noted that climate change affected their business by way of lower
production as shown in the pie chart.

Figure 5: Risk exposure awareness

Source: Generated by Microsoft excel

c) Understanding of adaption and mitigation

It was established that a significant number 86% of business enterprises did
have a good understanding of what the terms, adaptation and mitigation mean.
They were able to give a good illustration of examples of what the terms
meant. This means that the ability to adopt adaptation or mitigation strategies
have little to do with limited Climate Change awareness.

46
 Figure 6:Understanding of mitigation and adaptation

Source: Generated by Microsoft excel

d) Proposed solutions
Having knowledge on the meaning of the terms adaptation and mitigation mean
is not sufficient without implementing the strategies aligned to these terms.
Hence, it was important to also establish what challenges could hinder the
adoption of strategies to climate change adverse effects and proposed solutions.
It was established that funding was inadequate to help business enterprises to
easily adopt strategies especially those that depended on advance technological
equipment. A small number of enterprises submitted that lack of awareness also
contributed to low levels of adoption of strategies, while a 43% number also
submitted that there was need to have better stakeholder inclusion as most
enterprises felt they are side-lined. A combined percentage of 71% established
that funding would be a good way to help enterprises to adopt strategies.

Figure 7: Proposed solutions

Source: Generated by Microsoft excel

47
e) Knowledge of climate change policy
The National Climate Change Policy of 2016, is the main document that
provides policy guidelines with regards to Climate Change. However, it was
noticed that even though business enterprises were knowledgeable on what
Climate Change is and what adaptation and mitigation strategies meant, there
were not fully aware of what this policy is all about and its essence. Close to 60
% did not have any knowledge of the policy document. The remaining 40% was
only knowledgeable on its existence but did not know much about the contents.

Figure 8: Knowledge on climate change policy

Source: Generated by Microsoft excel

f) Adoption of adaption and mitigation measures

Business enterprises showed a good level of adoption but were however limited
to only two strategies, that being management of resources inputted into the
production process such as water and electricity/power. 72% of these
enterprises were found to also employ alternative power supply such as solar
power for their basic operations, 14% had revised their supply chain
management systems to ensure that they are able to get their production inputs
on time. Only 14% had done nothing at all to adopt any strategies to counter the
effects of climate change.

48
 Figure 9: Adoption of Adaptation and Mitigation measures

Source: Generated by Microsoft excel

g) Challenges in Adoption of adaption and mitigation measures

As noticed from the adoption levels above, it was established that so of the
business enterprises had not adopted any strategies due to challenges as noted
in the figure below which shows that 72% claimed that limited funds and lack
of awareness was the biggest challenge, 28% submitted that alternative methods
and equipment that help counter climate change adverse effects were too costly
as compared to the conventional ones that have previously been employed.

Figure 10: Challenges faced in adoption of measures

Source: Generated by Microsoft excel

h) Institutions working closely with Business Enterprises

As mandated by the NCCP of 2016, a number of organisations have been tasked
to spearhead all matters concerned with Climate Change. Among which, the
Zambia environmental Management Agency has been tasked to oversee
environmental concerns. Close to 30% submitted that they have not interacted

49
 with any policy implementers such as ZEMA. This shows that there is need for
more awareness and inclusion of business enterprises through comprehensive
policy implementation.

Figure 11: Institutions working with Business Enterprises

Source: Generated by Microsoft excel

i) Use of Change Management theory in adoption process

Having noted that Change is hard to implement, it is important to adopt certain
management strategies to ensure that there is a smooth transitioning. Change
Management strategies can be employed to help in this regard. Close to 60% of
the business enterprises did not employ any change management strategies. The
remaining number had only employed one component of creating more
awareness on the need to employ change but the rest of the measures were not
adopted hence compromising the efficiency of implementing change. This
shows that there is need to ensure that Change Management strategies are
employed in the change adoption process for adoption of adaptation and
mitigation to climate change adverse effects.

50
 Figure 12: Use of Change Management theories in adoption of measures

Source: Generated by Microsoft excel

4.3 Summary of Findings

i. Although all the respondents were aware of what climate change was and its
effects, 43% did not have any knowledge of the existence of climate change
policy.
ii. Even though good number claimed to have not been in contact with the policy
implementers (80%), some of these did not also adopt any strategies to climate
change.
iii. A significant number of enterprises 60% were not aware of climate change
policy and only 21% acknowledge being directly affected by climate change.
iv. Only a small number of enterprises used components of change management
theories (only one of the steps in Proci’s ADKAR model was employed).
v. All the enterprises used both electricity and water in their production processes
but only a selected few used alternatives as these were said to be expensive.
vi. Only 14 % did not adopt any form of strategy but the rest were limited to use of
alternative power like solar and supply chain management review.
vii. Limited funding and lack of awareness were some of the challenges that these
enterprises cited.

51
 CHAPTER 5 –SUMMARY, DISCUSSION, CONCLUSION &
RECOMENDATIONS

5.0 Overview

This chapter starts by giving a summary and then gives a discussion on the research and
finally gives a conclusion followed by recommendations.

5.1 Summary

The study set out to investigate the adoption of adaptive and mitigative measures to
climate change; A case of construction materials manufacturing business enterprises in
Lusaka Province. A sample of 65 respondents was investigated using a descriptive case
study methodology. The study was prompted by submission of several authors on the
challenge of policy implementation which was alleged to be inadequate despite the
existence of climate change policy guidelines. Seeing that business enterprises in
question are producers of inputs that feed the construction industry which is one of the
largest contributors to Zambia’s Gross Domestic Product, it is imperative to ensure that
their current means of coping in this era of climate change challenges are reinforced so
as to foster economic development, whose backbone rests on sustainable infrastructure
development.

Based on the data analysis in chapter 5 above, there was a strong affirmation that indeed
‘A lack of comprehensive implementation of climate change policy through provision
of climate change policy knowledge has contributed to poor adoption of mitigation and
adaptation measures to climate change in ‘construction materials’ manufacturing
business enterprises’. This was evident in that a significant number of respondents who
were not very knowledgeable on climate change policy also had low adoption levels,
another issue was that a bulk of these enterprises had limited financial capacity to adopt
measures that required the use of smart technologies in their production processes. A
lack of funding was cited as being the major deterrent for business enterprises. Another
aspect was on lack of awareness on part of some enterprises that seemed to not have
good knowledge of the implications of climate change for their business. A significant
number of business enterprises were found to closely work with policy implementers
through the Zambia Environmental Management Agency but needed more awareness
and monitoring.

52
There is need for government to invest more resources into the manufacturing business
industry to provide both funding and proper awareness of Climate Change adverse
effects and how they inhibit economic growth at national level and globally. As
business enterprises, there is need to embrace change management theories to help in
the adoption of new processes and procedures which also include strategies aimed at
combating and countering the effects of climate change on business enterprise.

6.2 Discussion

An Investigation into Adoption of Mitigative and Adaptive Strategies to Climate

Change: A case of construction materials manufacturing business enterprises in Lusaka
Province, was the research topic whose problem statement was that a lack of
comprehensive implementation of climate change policy will influence adoption of
mitigation and adaptation measures to climate change in ‘construction materials’
manufacturing business enterprises. To establish this assertion, the research had the
general objective to emphasise the role of business enterprises in climate change
adaptation and mitigation while examining the policy guidelines that exist in Zambia.

This objective entailed examination of policy guidelines, establishing the strategies that
business enterprises where adopting in the adaptation and mitigation to climate change.
The research thus adopted a mixed approach descriptive design by considering a case
study of business enterprises that were specific in their manufacturing business.
Questionnaires with both closed and open ended questions were the main tool used to
collect data and these instruments had to be physically delivered to the respondents who
were located in the industrial area of Lusaka Province, however due to busy working
nature of the businesses and restrictions of Covid 19, a number of return visits had to
be done in order to collect the full number of respondents planned.

The data collected was then analysed using Coding to obtain some form of uniformity
in the qualitative responses, and SPSS was also used to obtain quantitative analysis of
the data in order to arrive at the findings.

Grounded on change management theories, it was expected that if these theories where
used extensively by the enterprises in the adoption processes of adaption and mitigation,
it would ensure a smooth transitioning to change that was brought about by climate
change and thus encourage the levels of adoption of strategies. This would thus lead to
a more successful business outcome for the enterprises thereby enhancing production

53
and building revenue which would lead to economic development of the country at
large. However, with reference to the findings, only 42% of business enterprises were
using Change management theories in their adoption process of change that emerged
as a consequence of climate change adverse implications through adaptation and
mitigation. The remaining 58% was also only employing one aspect of the change
management process hence this coupled with a lack of comprehensive implementation
of climate change policy which was established by a lack of proper awareness of
climate change policy and poor interactions with business enterprises on part of policy
implementers, could possibly be the reason behind the poor adoption of change in these
enterprises.

5.3 Conclusion

The research revealed that Climate change has affected business enterprises adversely
and that there is need for policy implementers to ensure that they provide more
awareness for these business enterprises alongside adequate funding to facilitate
procurement of latest methods and equipment that are climate smart. Business
enterprises also need to implement strategies to help them be able to have a smooth
adoption of Climate Change strategies through the use of Change Management theories.
It is only then that the business enterprises will thrive and contribute to the country’s
economic development by providing climate smart inputs that do not affect their
revenue or the environment negatively while at the same time enhance the longevity of
infrastructure which plays an important role in economic development.

From the findings of this research as revealed in Chapter 4, the objective of this research
were met; The research findings in view of the three (3) research questions revealed the
following:

a) The current adoption of adaption and mitigation of climate change measures

revealed that business enterprises are adopting measures mostly bordered on use
of other forms of power specifically use of solar power, but this was only for
operations within the enterprise and not for manufacturing. The other measure
was restructuring their internal processes such as supply chain management.
b) Policy documents that provide guidelines on climate change are in place. The
National Climate Change Policy of 2016. However, there is poor knowledge of

54
 its existence and business enterprises do not understand its significance. This
lack of knowledge coupled with a lack of comprehensive implementation of the
policy has affected the adoption levels of business enterprises.
c) Due to poor funding, there are currently no support mechanisms for business
enterprises to ensure that they are able to adapt climate change measures that
will enable them to become competitive and be able to make profits in spite of
climate change challenges.

5.4 Recommendations

i. There is need for government to review climate change policy in order to cater
for business enterprises more comprehensively by use of evidence led policy
reviews that consider the current challenges brought forth by business
enterprises
ii. More funding has to be reserved for business enterprises to help them mobilise
smart equipment that can enable these enterprises to adopt climate friendly
technologies.
iii. There is need for more awareness on climate change to equip business
enterprises on the urgency of adopting adaptation and mitigation strategies.
iv. Further studies need to be conducted to establish the nature of industrial
processes that are being employed by business enterprises that manufacture
construction materials to ascertain their real effect on the environment and to
investigate the latest technologies on the market that can be used to counter or
reduce the effects of climate change.

55
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59
 APPENDICES

1. Gantt Chart (Time table)

2. Study Budget
3. Maps (only if I wish to show proximity of manufacturing enterprises to each
other’s location)
4. Instruments for Data collection –Questionnaires
5. Paris Agreement
6. The CERES Principles
7. BOP ISO 14001_1600_10 (extract)
8. Ethical clearance letter

60
 APPENDIX-1: Gantt Chart (Time table)

THES IS TIME S CALE

FEBRUARY MARCH APRIL MAY

1 5 8 12 15 19 22 26 1 5 8 12 15 19 22 26 29 2 5 5 9 12 16 19 23 29 26 30 3 7
DURATION IN WEEKS
No. DES CRIPTION
1 2 3 4 5 6 6 8 9 10 11 12 13 14 15
1 LITERATURE REVIEW
2 QUESTIONAIRE DESIGN

3 FIELD RESEARCH AND DATA COLLECTION

4 DATA ANALYSIS
5 THESIS DRAFTING
6 THESIS PROOFING/CHECKING
7 SUBM ISSION OF THESIS
8 THESIS PRESENTATION (TBA)

61
APPENDIX- 2: Study Budget

ITEM DESCRIPTION OF EXPENSE COST

1 Printing of Proposal And Dissertation 200.00

2 Binding of Dissertation 600.00

3 Transport Costs 1,500.00

4 Internet Cost 500.00

5 Miscellaneous Cost 300.00

TOTAL BUDGET 3,100.00

62
APPENDIX-3: Maps (showing proximity of manufacturing enterprises to each
other’s location)

NOTE: A good number of manufacturing enterprises are located in the Industrial area.

63
APPENDIX-4: Instruments for Data collection -Questionnaires

QUESTIONNAIRE FOR BUSINESS ENTERPRISES/POLICY

IMPLEMENTERS

-Are you registered with Zambia Association of Manufacturers-ZAM? a) Yes b)

No

-What is your line of

manufacturing?.....................................................................................

-What resources do you use in the manufacturing process? a) Water b) Electricity c)

Both

-Are there any sustainable practices you employ to use these resources well?

1. What do you understand by climate change? (list of possible answers)

a) Normal Weather changes

b) Climatic changes caused by human activity alone

c) Climatic changes caused by the earths’ natural activity alone

d) Climatic changes caused by a combination of human activities and earth’s

natural processes

e) Other definitions
…………………………………………………………………………………………
…………………………………………………………………………………………
……………….

2. What do you think causes it? (list of possible answers)

a) Not aware of causes

b) Human activities

c) Earths natural processes

d) A combination of human activities and earth’s natural processes

e) other…………………………………………………………………

64
3. Do Business Enterprises contribute to climate change as a result of
manufacturing processes? (Closed Ended-Yes or No)

a) Yes

b) No

4. Are Business Enterprises such as yours exposed to any form of risks as a result
of climate change?

a) Yes

b) No

If Yes in above question, what risks are Business Enterprises such as yours
exposed to as a result of Climate change?

…………………………………………………………………………………………
…………………………………………………………………………………………
………………

5. What do you understand by adaptation (adjusting) to climate change? (list of

possible answers)

a) Adjusting to the new environment that climate change has brought about

b) Changing business strategies to maximize profits

c) No knowledge of such

d) Company rules and regulations

e) other …………………………………………………………………………….

6. What do you understand by mitigation (reducing effects) to climate change?

(list of possible answers)

a) Business operations that focus on making profit through climate change

b) No knowledge of the meaning

65
c) Limiting the speed and scale of climate change by use of alternative
methods/operations

d) Working with government to improve work conditions affected by climate change

7. What should government do to help Business Enterprises such as yourselves

develop resilience to climate change negative effects?

…………………………………………………………………………………………
…………………………………………………………………………………………
………………

8. What do you understand by climate change policy? (list of possible answers)

a) Procedures for internal management of operations

b) Any formal documents that guide stakeholders on how to behave or act with
regards to climate change

c) No knowledge of such

d) Climate change

e) other
……………………………………………………………………………………....

9. The National Climate Change Policy is a policy document on climate change.

Do you know how it applies to Business Enterprise? (Open Ended)

a) Yes

b) No

Briefly explain
…………………………………………………………………………………………
…………………………………………………………………………………………
……………………

10. Does National Climate Change Policy lack in adequately addressing climate
change challenges? (Open ended or list of possible answers)

a) Yes

66
b) No

If Yes, briefly explain how and suggest possible

solutions………………………………………………………………………………
……………………………………...…………………………………………………
…………………………………………………………………………………………
……………………...

11. What are you doing as an enterprise to Adapt (adjust) and Mitigate (reduce
effects) to Climate Change? (Open ended or list of possible answers)

a) Resorting to alternative energy sources e.g. solar

b) Nothing is being done

c) Strategizing on how to implement supply chain and manufacturing processes

d) Weather proofing premises against extreme weather

e) Others………………………………………………………………...

12. What challenges are Business Enterprises facing in adjusting and reducing
the effects of climate change? (Open ended or list of possible answers)

a) Lack of funding from government to support initiatives

b) Lack of adequate knowledge on climate change

c) Expensive alternatives available

d) Others
…………………………………………………………………………………………
……...

13. What organizations are working closely with Business Enterprises to support
and guide Adaptation and Mitigation Strategies? (Open ended or list of possible
answers)

…………………………………………………………………………………………
…………………………………………………………………………………………

67
…………………………………………………………………………………………
………………………

14. What would be helpful for Business Enterprises with regards to policy
framework? (Open ended)

…………………………………………………………………………………………
…………………………………………………………………………………………
………………

15. What is the role of policy implementers such as Climate Change Secretariat,
Disaster Mitigation and Management Unit-DMMU, Ministry of National
Development Planning and Ministry of Lands, Natural Resources and
Environmental Protection, with regards to Business Enterprises and their
approach to climate change? (Open Ended)

…………………………………………………………………………………………
…………………………………………………………………………………………
………………

16. What challenges are policy implementers facing in executing their mandate?
(Open Ended)

…………………………………………………………………………………………
…………………………………………………………………………………………
………………

17. Do you agree that Business Enterprises are contributors to national economic
growth? (closed Ended-Yes or No)

a) Yes

b) No

18. If Yes, briefly explain how or in what way?

…………………………………………………………………………………………
…………………………………………………………………………………………

68
…………………………………………………………………………………………
………………………

19. Change is difficult to implement, what steps did you follow to ensure that the
strategies you put in place as a business enterprise would support your efforts to
implement adaptation and/or mitigation successfully? (refer to Question 11)

a) Created awareness of the need to change

b) Weighed the desire to support change

c) Acquired Knowledge of how to change

d) Gained ability to demonstrate skills and behavior

e) Made reinforcement to make the change stick

f) None of the above

g) others
…………………………………………………………………………………………
…………………………………………………………………………………………
……………...

20. Climate change is an issue that affects the world. It has brought changes that
need to be managed in order for a business to become resilient to its effects. Do
you agree that Change Management strategies can help Business Enterprises in
their efforts to adapt and mitigate climate change?

a) Yes

b) No

Student ID:717819342 Supervisor: Dr.(Eng.) Matthews Saili 0955 759402

69
APPENDIX-5: List of manufacturing enterprises(ZAM)-steel and concrete products

No. Project name Country ofStreet

origin Year
1 Happy Metal Resources Company Limited Chinese Nampundwe 2015
2 African Needs Limited - Manufacture of Corrugated Iron Sheets & Iron Nails
BurundeseMumbwa Rd 2008
3 Oriental Steel Manufacturing Ltd - Various Steel Products Chinese Mungwi Road 2005
4 Chilanga Cement Plc French Kafue Rd 2001
5 Nasla Cement Limited - Manufacturing of Cement Lebanese Bombay Rd 2008
6 Technical Engineering Co. Ltd - Manufacture Of Steel Products Lebanese Chinika Area 2010
7 Laiwu Iron & Steel Group (Z)Mining Company Ltd Chinese Impala 2007
8 Shonga Steel Limited Zambian Mukwa 1995
9 New Century Steel Zambia Limited Chinese Mukwa 2000
10 Bright Vast Concrete Pole Factory Ltd - Manfacture of Concrete Poles Chinese Great North 2011
11 Generation Steel Ltd - Manufacture of Steel Products Zambian 2010
12 Saltech Investments Ltd - Steel Fabrication Indian Mukwa Rd 2008
13 Eon Metal Almacs Steel Company Ltd - Steel Products Zambian Luanshya Rd 2008
14 Good Time Steel Company (Z) Ltd - Various Steel Products Chinese Mungwi Rd 2005
15 Star Steel And Wire Product (Z) Limited Ugandan Off Lumumba Rd 1998
16 Steel Tech Investment Limited Indian Off Chandwe Musonda 2014
17 Steelworx Zambia Limited British Nkachibaya Road, Rhodespark
2014
18 Chisteel Zambia Limited-Steel Products Chinese Lumumba Road 2011
19 Amalgamated Steel Engineering Company Limited - Expansion for Steel & Roofing
Indian Products
Mwembeshi Rd 2008
20 Dangote Industries Zambia Ltd - Establishment of a Cement Plant and Packaging
Nigerian
PlantKatemo Rd 2008
21 Scirocco Enterprises Ltd - Cement Production, Mining, Quarring and Concrete
Zambian
block Making
Makeni 2007
22 Good Time Steel Company Zambia Limited Chinese MUNGWI ROAD 2012
23 Afil Engineering Limited - Manufacture of Steel Products British/Lebanese
Katanga Rd 2008
24 Universal Mining & Chemical Industries - Manufacture of Steel Products Zambian Nampundwe Rd, Industrial 2007 Area
25 Zenith Investments Ltd - Wood Processing Indian Mumbwa 2008
26 Sonar Steel Ltd - Fabrication of Roofing Sheets & Other Steel Products Indian Mukatasha Rd 2008
27 Steel World Zambia Limited Zimbabwean Lumumba Rd 1994
28 Kitchenware Industries Ltd - Manufacturing of Alluminium and Kitchen utensils
Indian Kalambo 2007
29 Global Products Ltd - Manufacture of Packaging Products Indian Chinika Area 2011
30 Steel Tubes & Hardware Manufacturing Ltd Indian Lumumba Rd 1994
31 Office Spectrum (Z) Ltd Zambian Malasha 2001
32 Infraset Zambia Limited South African/Zambian
Off Great North Rd2009
33 Master Timber Joinery and Alluminium Ltd Tswana/Zambian
Olympia 2014
34 Sikale Wood Manufacturers Ltd - Wood Processing Chinese Middleway Rd 2007
35 Safintra Zambia Limited - Manufacture of Steel Roofing Sheets Indian/Mauritian 2009
36 Planet Home Innovations Limited - Wood Processing Zambian/Zimbabwean
Tina Road, Ibex Hill2012
37 Ductshop Limited - Manufacture of Cables Zambian Kachidza Rd 2010
38 Asbestors Roofing Ltd - Manufacturing of galvanised iron sheets and Lipchannels
British Lumumba Road 2007
39 Malata Roofing Limited British/Zambian
Lumumba Road 2013
40 Wonderful Industry (Z) Company Ltd Chinese Mulalika Rd, Off Mumbwa2012 Rd
41 Amalgamated Steel Engineering Company American/Indian
Mwembeshi Road 2012
42 cx British - 2010
43 Hai -Tian Investments Limited-Manufacturing of steel products Chinese Off Mumba Road 2011

70
71
APPENDIX-6: Paris Agreement

72
APPENDIX-7: The CERES Principles

CERES PRINCIPLES

First published in the fall of 1989, the Ceres Principles are a 10-point code of corporate
environmental ideals to be publicly endorsed by companies as an environmental
mission statement or ethic. The Ceres Principles are;

1) Protection of the Biosphere

We will reduce and make continual progress toward eliminating the release of any
substance that may cause environmental damage to the air, water, or the earth or its
inhabitants. We will safeguard all habitats affected by our operations and will protect
open spaces and wilderness, while preserving biodiversity.

2) Sustainable Use of Natural Resources

We will make sustainable use of renewable natural resources, such as water, soils and
forests. We will conserve non-renewable natural resources through efficient use and
careful planning.

3) Reduction and Disposal of Wastes

We will reduce and where possible eliminate waste through source reduction and
recycling. All waste will be handled and disposed of through safe and responsible
methods.

4) Energy Conservation

We will conserve energy and improve the energy efficiency of our internal operations
and of the goods and services we sell. We will make every effort to use environmentally
safe and sustainable energy sources.

5) Risk Reduction

We will strive to minimize the environmental, health and safety risks to our employees
and the communities in which we operate through safe technologies, facilities and
operating procedures, and by being prepared for emergencies.

73
6) Safe Products and Services

We will reduce and where possible eliminate the use, manufacture or sale of products
and services that cause environmental damage or health or safety hazards. We will
inform our customers of the environmental impacts of our products or services and try
to correct unsafe use.

7) Environmental Restoration

We will promptly and responsibly correct conditions we have caused that endanger
health, safety or the environment. To the extent feasible, we will redress injuries we
have caused to persons or damage we have caused to the environment and will restore
the environment.

8) Informing the Public

We will inform in a timely manner everyone who may be affected by conditions caused
by our company that might endanger health, safety or the environment. We will
regularly seek advice and counsel through dialogue with persons in communities near
our facilities. We will not take any action against employees for reporting dangerous
incidents or conditions to management or to appropriate authorities.

9) Management Commitment

We will implement these Principles and sustain a process that ensures that the Board of
Directors and Chief Executive Officer are fully informed about pertinent environmental
issues and are fully responsible for environmental policy. In selecting our Board of
Directors, we will consider demonstrated environmental commitment as a factor.

10) Audits and Reports

We will conduct an annual self-evaluation of our progress in implementing these

Principles. We will support the timely creation of generally accepted environmental
audit procedures. We will annually complete the Ceres Report, which will be made
available to the public

74
APPENDIX-8: BOP ISO 14001_1600_10 (Extract)

7. ENVIRONMENTAL MANAGEMENT SYSTEM (EMS) DEVELOPMENT

AND PROCEDURES.

This section explains the steps involved in establishing an ISO 14001-based EMS and
developing procedures to establish, operate, and maintain an EMS at each Bureau
institution.

A. Background. ISO 14001 is an environmental management system based on a

methodology known as Plan-Do-Check-Act (PDCA). PDCA is briefly described in ISO
14001, Environmental management systems - Requirements with guidance for
use, as follows:

# Plan: establish objectives and processes necessary to deliver results per the
organization’s environmental policy.

# Do: implement the processes.

# Check: monitor processes against environmental policy, objectives, and legal and
other requirements and report results.

# Act: continually improve performance of the EMS. ISO 14001 follows the PDCA
model by setting requirements within each subsection (Plan, Do, Check, Act):

1. Plan

# Establish and implement a procedure to identify aspects of an organization’s

activities, services, or products that affect the environment; determine which aspects
have a significant affect on the environment; and take into account these significant
aspects when establishing and implementing an EMS.

# Establish and implement a procedure to identify legal and other requirements related
to environmental aspects; determine how the requirements apply to the environmental
aspects.

# Establish and implement objectives to improve environmental performance.

Establish and implement environmental programs for achieving objectives.

75
2. Do

# Ensure availability of resources and define roles, responsibilities, and authority.

# Identify training needs.

# Develop internal and external communication procedures related to the EMS.

# Maintain and control EMS documentation.

# Prevent deviations from environmental policy and objectives.

# Prepare for and respond to emergencies.

3. Check

# Monitor and measure controls established to prevent deviation from policy and
objectives.

# Evaluate compliance with legal and other requirements related to the EMS.

# Identify and correct EMS nonconformance.

# Identify and protect records related to the EMS.

# Perform EMS audits.

4. Act

# Review the EMS to ensure its continued suitability, adequacy, and effectiveness.

# Initiate actions to maintain the institution’s commitment to continual environmental

improvement.

B. Establishing EMS Procedures. Procedures play a vital role in an ISO 14001-based

EMS. They provide instructions to develop the system and information to manage it.

The Occupational Safety and Environmental Health Branch, Health Services Division
(HSD/Safety), will help institutions develop their EMS by providing the following
sample documents:

# Identifying Significant Environmental Aspects.

76
# Identifying Legal and Other Requirements.

# Determining Objectives and Targets.

# Determining Environmental Management Programs.

# Environmental Training for Employees.

# Emergency Preparedness and Response.

# Document Control.

# Records Control.

# Identifying and Implementing Operational Controls.

# Providing Internal Communication. Responding to External Interested Parties.

# Internal Auditing.

# External Audits.

# Management Review.

# Monitoring and Measuring EMS Performance.

# Compliance with Legal and Other Requirements.

# EMS Nonconformity, Corrective Action, and Preventive Action.

HSD/Safety provides training on ISO 14001 requirements and procedure

development to institution EMS Committee members.

After training is complete, the EMS Committee reviews each sample provided by
HSD/Safety and may make modifications (conforming to ISO 14001) to meet
institution needs. EMS procedures are used by the EMS Committee to develop,
implement, and maintain the institution’s EMS.

C. EMS Development Steps. An ISO 14001 EMS has numerous interdependent

elements; it is necessary to follow sequential steps when developing the system. The
EMS Committee uses the following steps:

# Develop EMS procedures.

77
# Identify significant environmental aspects.

# Determine objectives, including numerical targets.

# Develop environmental programs, including controls for significant environmental

aspects.

# Identify and provide staff training.

# Establish the EMS audit program.

# Establish the management review process.

# Self-declare concurrence with ISO 14001.

78
APPENDIX-9: Ethical clearance letter

79