Legal Framework and Policy Design - Stage 3

Legal Framework and Policy Design - Curated Guidance for Stage 3

Assess where you are in legal framework and policy to determine which stage you are in and identify the key activities you need to undertake as an air quality manager to go to the next stage. 

The guidance below is for Stage 3. Stage 1 and Stage 2 are also available.

Additional guidance for Stages 4 and 5 is being developed for future iterations of AQMx.

StageCapacityObjectiveActivities / OutcomesPolicy approachSustainability Plan
01.
  • No specific department for air quality policy and regulation
  • Basic technical training in environmental resource management
  • Some technical or analytical capacity specific to air quality management
  • Set up a constitutional / legislative framework for air quality protection
  • Adopt national ambient air quality standards (NAAQS)
  • Ambient standards and Regulatory approach for Ambient Air Pollution (AAP)
  • Initial regulation of ambient air pollution with regards to international standards / WHO guidelines
  • No central budget, donor dependent
02.
  • Basic technical training in air quality management and control system
  • Technical / analytical capacity specific to air quality management
  • Some practical experience
  • Clean Air Act Technology- specific performance standards
  • Subsidy reform
  • Regulations developed for key sectors and aligned with national fiscal policies.
  • Command and control performance standards
  • Subsidy reforms
  • Limited central funding
  • Major donor-dependent funding
03.
  • Some advanced knowledge of air quality management
  • Limited knowledge permitting, regulatory compliance, enforcement mechanisms, cost-benefit assessment
  • Sector-specific complementary tailored regulatory programs aligned with GHG programs
  • Key sector regulations complemented by tailored but complementary sector-specific programs (e.g. voluntary, market-based, fiscal incentives, etc.)
  • More stringent stack or tailpipe standards
  • Effective enforcement in place
  • Some central funding
  • Significant donor funded projects
04.
  • Some advanced technical training in implementing market-based regulation, voluntary programs, fiscal policy reform
  • Iterative process of review and strengthening of performance standards
  • Refined and layered complementary sector programs
  • Routine cycle of NAAQS review and regulatory revision
  • Sector specific tailored regulations to supplement such as market trading for power sectors; low emission zone (LEZ) for urban areas, etc.

  • Centrally funded regulatory program
05.
  • Advanced technical training in addition to specialists in air quality-specific regulatory programs

 

  • Fully functioning integrated Air Quality Management and Climate Action Planning at national, state and municipal levels
  • Routine compliance with NAAQS consistent with LT-LEDS strategies (Long-Term Low-Emission Development)

     

  • Routine and ongoing cycle of progress and policy reform consistent with accountability framework
  • Centrally funded including in-house research

     

01  Benchmark clean air plans and policies

Benchmark national or local clean air plans adopted in neighbouring countries, those sharing the same airshed as your jurisdiction, or other countries with similar political, social and economic circumstances. 
Analyse these plans focusing on content, timeline, level of ambition and detail, but also on adoption and review processes. 

02 Understand your jurisdiction's emission profile

If available, look at your jurisdiction’s emissions inventory. This will provide you with key information to understand the emission profile of your jurisdiction, and identify which sectors contribute the most to air pollution levels, and should be made a priority for mitigation measures. 

If your jurisdiction does not have access to a local or national emissions inventory, look at global databases to identify your largest contributors to air pollution; however, by Stage 3, you should have a well-developed national, if not subnational set of inventories (See Emission Inventory Guidance Stage 1, Step 8 for key category analysis). 

03 Ensure horizontal coordination

Ensuring horizontal coordination is key because air pollution is a multisectoral challenge requiring collaboration across ministries.  
Clarify roles and responsibilities among key line ministries and establish formal cooperation and data-sharing agreements. Designate focal points and hold regular check-ins with relevant sectors to maintain communication and policy alignment. Create inter-agency coordination mechanisms, such as task forces or memoranda of understanding, to reduce duplication and clearly define mandates.  
Focus these coordination efforts on the most polluting sectors for maximum impact. 

04  Conduct a formal stakeholder consultation

Engage a wide range of stakeholders—including sectoral ministries and experts, scientists, civil society and the private sector—in consultations on adopting a Clean Air Plan. These discussions should address the level of ambition required to comply with the National Ambient Air Quality Standards, as well as the range of sectors and types of policies to be included. 
Formal stakeholder engagement, through surveys, workshops, and bilateral meetings, helps refine policy proposals and build cross-sectoral support, ensuring the Clean Air Plan are practical, grounded in science, and widely accepted across key stakeholders groups (See Public Engagement and Communications guidance – Stage 3, Step 4).

05 Adopt a Clean Air Plan

Develop a Clean Air Plan that is structured and time-bound, outlining specific objectives, implementation schedules, and measurable performance indicators to ensure progress toward meeting the National Ambient Air Quality Standards (NAAQS).
Establish clear lines of responsibility by defining the roles of national and local authorities, ensuring coordination and accountability across all levels of government.
Ensure all policies and measures within the plan are budgeted to guarantee effective implementation and enforcement.
Finally, present the plan for official adoption through your jurisdiction’s legal avenue. Make sure the Clean Air Plan becomes a legally binding document to formalize commitment in the long run.

06 Integrate climate and clean air planning

Integrate climate and clean air planning by aligning emissions reduction efforts, maximizing synergies, and minimizing trade-offs for more impact, cost-effectiveness and multiple benefits. Harmonise planning processes and coordinate policies across sectors like agriculture, waste, transport, and energy to address sources of air pollutants and greenhouse gases comprehensively.
Include air pollutants and short-lived climate pollutants into your country’s Nationally Determined Contributions (NDCs) and climate transparency frameworks to deliver tangible health benefits.

07 Mainstream air quality management in urban development

Mainstream air quality management into urban development by encouraging and/or requiring local governments to integrate clean air objectives into documents and policies over which they have legal authority (transport plan, waste management, local zoning and building codes).
Empower local authorities with training, capacity-building, and budget allocations to support effective implementation and enforcement at the local level – while ensuring alignment with the strategic orientations for clean air at the national level.

08  Implement principles of airshed management

Adopt and implement the principles of airshed management for increased impact. First, identify the geographic extent of your jurisdiction’s airshed and long-range transport of air pollutants (see Source Attribution guidance - Stage 2, Step 7 and Stage 3, Step 8).
Develop institutional arrangements with your counterparts that enable cross-border coordination and information sharing across administrative boundaries (whether national or international).
Design and implement policies targeting shared sources of emissions driving concentrations at the airshed level.

09 Align fiscal policies, taxes and incentives with objectives of the Clean Air Plan

Align fiscal policies, taxes, and incentives with the goals of your Clean Air Plan to drive systemic change. Review existing financial instruments—such as fuel taxes, energy subsidies, and vehicle import tariffs—to identify and eliminate those that worsen air pollution. Reform fossil fuel or fertilizer subsidies to support cleaner technologies and redirect funds toward sustainable alternatives.
Leverage public procurement to prioritize low-emission solutions and use fiscal tools to reward clean practices while penalizing high-emission activities through polluter-pays principle.
Engage finance ministries early to build support and secure long-term funding.

10 Ensure compliance and enforcement

Design a Monitoring & Evaluation (M&E) framework to track progress on the implementation of the Clean Air Plan: define indicators, set baselines, assign responsibilities, and schedule regular reviews. Also clearly define sanctions and legal consequences for non-compliance with the objectives of the Plan.
As much as possible, this M&E framework should rely on robust air quality data to assess compliance with NAAQS (see Air Quality Monitoring guidance, Emissions Inventory guidance and Source Attribution guidance).