C ompliance m anagement f ramework t he m inistry of e nvironment s
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C OMPLIANCE M ANAGEMENT F RAMEWORK T HE M INISTRY OF E NVIRONMENT’S A PPROACH TO E NSURING C OMPLIANCE. British Columbia Context Compliance Management Framework & Lessons Learned Initiatives to Improvement Compliance Management. Presentation Overview.

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C OMPLIANCE M ANAGEMENT F RAMEWORK T HE M INISTRY OF E NVIRONMENT’S

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C ompliance m anagement f ramework t he m inistry of e nvironment s

COMPLIANCE MANAGEMENT FRAMEWORK

THE MINISTRY OF ENVIRONMENT’S

APPROACH TO ENSURING COMPLIANCE


C ompliance m anagement f ramework t he m inistry of e nvironment s

British Columbia Context

Compliance Management Framework &

Lessons Learned

Initiatives to Improvement Compliance Management

Presentation Overview


C ompliance m anagement f ramework t he m inistry of e nvironment s

to lead the world in sustainable environmental management, with the best air and water quality, and the best fisheries management, bar none.

British Columbia Goal


C ompliance m anagement f ramework t he m inistry of e nvironment s

Species at Risk

Mountain Pine Beetle

Parks and Protected Areas

Product Stewardship

British Columbia Environmental Challenges


C ompliance m anagement f ramework t he m inistry of e nvironment s

Shifts in Environmental Governance

Drive for Regulatory Effectiveness

New Relationship with BC’s First Nations

Competitive Labour Market

Keeping Pace with the Economy

Encouragement of Outdoor Recreation

2010 Olympic and Paralympic Games

Key Factors Influencing our Business


C ompliance m anagement f ramework t he m inistry of e nvironment s

Deputy Minister

Environmental

Stewardship

Water

Stewardship

Oceans and

Marine Fisheries

Environmental

Protection

Compliance

Strategic

Policy


C ompliance m anagement f ramework t he m inistry of e nvironment s

Describes the strategic context in which the Ministry conducts its compliance activities, including the principles, goals and objectives that guide compliance-related work;

Outlines the Ministry’s approach to ensuring the effective delivery, management and reporting of compliance activities; and

Highlights the respective roles and responsibilities of Ministry staff.

Compliance Management Framework


C ompliance m anagement f ramework t he m inistry of e nvironment s

Compliance Principles

Setting Requirements

Promoting Compliance

Verifying Compliance

How to respond

to non-compliance?

Enforcing Requirements

Continuous Improvement and Accountability

Managing our Performance

Communicating Our Results


C ompliance m anagement f ramework t he m inistry of e nvironment s

Setting Requirements

Objective

  • To establish regulatory

    requirements that are clear,

    practical and enforceable.


C ompliance m anagement f ramework t he m inistry of e nvironment s

Compliance Promotion

Objective

  • To achieve high

    rates of voluntary

    compliance.


C ompliance m anagement f ramework t he m inistry of e nvironment s

Compliance Verification

Objective

  • To ensure the Ministry

    has the information

    necessary to determine

    compliance, compliance

    rates and to inform

    program management.


C ompliance m anagement f ramework t he m inistry of e nvironment s

Enforcement

Objective

  • To enforce regulatory

    requirements using

    a consistent, clear

    and predictable approach.


C ompliance m anagement f ramework t he m inistry of e nvironment s

…moving forward….

[Regulatory agencies]… have tended to organize their activities around failures rather than around opportunities for intervention [prevention].

Malcolm Sparrow Imposing Duties


C ompliance m anagement f ramework t he m inistry of e nvironment s

Assessment of the Environmental Stewardship Division

Consisted of a two-pronged approach:

  • Benchmark Survey

    Take stock of how well the division is ensuring compliance

  • Problem Identification Project

    Inventory and analyze current and emerging compliance issues


C ompliance m anagement f ramework t he m inistry of e nvironment s

Benchmark Survey

Purpose

1.To take stock of the division’s progress in ensuring compliance (a scorecard that aligns with the Compliance Management Framework)

2.To obtain staff views on what is working well and what improvements could be made


C ompliance m anagement f ramework t he m inistry of e nvironment s

Survey Format

Compliance Model

  • Setting Regulatory Requirements

  • Promoting Compliance

  • Verifying Compliance

  • Enforcing Requirements

    Continuous Improvement & Accountability

  • Managing our Performance

  • Communication our Results (Internally and Externally)

    Anything else you want to tell us?


C ompliance m anagement f ramework t he m inistry of e nvironment s

Key Survey Themes

Progress

  • Successes are being achieved!

    Resources Pressures

  • Particularly in verification and enforcement

    Focussed Efforts

  • Be specific in what we tackle and be rigorous in setting priorities


C ompliance m anagement f ramework t he m inistry of e nvironment s

Problem Identification Project

3 step process

  • Initial scan of regional staff to identify problems

  • Focused follow-up discussions (regions and HQ)

  • Problem-focused analysis on each issue

    General observations

  • Staff are generally positive, very committed, and want to spend their time on the right things

  • Balance between regulatory and non-regulatory responsibilities


C ompliance m anagement f ramework t he m inistry of e nvironment s

Key Actions Resulting from the Survey and Problem Identification

  • Develop multi-year compliance plans

  • Develop problem-focussed compliance strategies

  • Focus on high priority “provincial” problems

    Parks - Boundary Trespass

    Ecosystems - Lakefront Development

    Fish and Wildlife - Invasive alien fish


C ompliance m anagement f ramework t he m inistry of e nvironment s

Lack of information on compliance patterns and trends makes problem identification challenging

Identifying problems with “business practices” is as important as identifying compliance problems

Key Lessons Learned…on problem identification


C ompliance m anagement f ramework t he m inistry of e nvironment s

Acquiring the data necessary to analyze trends and patterns is often difficult to find

“Risk control, it turns out, is a data-intensive, analytically demanding, and very messy business.”

Malcolm Sparrow The Regulatory Craft

Key Lessons Learned…on risk and data analysis


C ompliance m anagement f ramework t he m inistry of e nvironment s

Outreach is a key tool

“…information campaigns that emphasize enhancing knowledge or altering attitudes frequently have little or no effect upon behaviour”.

McKenzie-Mohr, Fostering Sustainable Behaviour

Key Lessons Learned…on learning to affect behavioural changes


C ompliance m anagement f ramework t he m inistry of e nvironment s

Staff Training and Tools

Western Canada Training Academy

Expert Witnesses Training

Case Law Index

Initiatives to Improve Compliance Management


C ompliance m anagement f ramework t he m inistry of e nvironment s

Alternative Approaches

Commercial Environmental Investigation Unit

Restorative Justice under the Wildlife Act

Initiatives to Improve Compliance Management


C ompliance m anagement f ramework t he m inistry of e nvironment s

Expanding the Compliance “Toolkit”

Administrative Monetary Penalties

Expansion of Ticket Issuing Authority

Mitigation and Compensation Legislation

Initiatives to Improve Compliance Management


C ompliance m anagement f ramework t he m inistry of e nvironment s

Continuous Improvement

Case Review Committee

Evaluation of Compliance and Enforcement Policy

Initiatives to Improve Compliance Management


C ompliance m anagement f ramework t he m inistry of e nvironment s

Community of Practice

Sparrow Conference

Western Canadian Compliance and Enforcement Information Sharing Forums

Compliance Discussion Series

Initiatives to Improve Compliance Management


C ompliance m anagement f ramework t he m inistry of e nvironment s

Thank you

Gwenda Laughland

Director

Compliance Policy and Planning Branch

Compliance Division


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