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Module 2: Promoting Compliance with Environmental Law . Introduction to Compliance. Lake Victoria Falls, Zimbabwe. Source: UNESCO. What is Compliance?. Conformity or identity between an actor’s behavior and a specified rule Full implementation of environmental requirements

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Module 2 promoting compliance with environmental law l.jpg

Module 2:Promoting Compliance with Environmental Law


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Introduction to Compliance

Lake Victoria Falls, Zimbabwe. Source: UNESCO.


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What is Compliance?

  • Conformity or identity between an actor’s behavior and a specified rule

  • Full implementation of environmental requirements

  • An essential indicator of good governance and respect for the rule of law


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Who Ensures Compliance?

  • National Environment Agency / Ministry

  • Other national-level agencies

  • Other branches of government

  • Other levels of government

  • The regulated community

  • Nongovernmental organizations / Citizens


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Ways to Involve the Public in Compliance

  • Transparency of Government

    • E.g., government should notify public that requirements are being formulated

  • Access to Information

    • E.g., public should be able to receive information from government on details of regulatory process

  • Opportunity for Participation

    • E.g., public should be able to report violators and/or file citizen suits to force compliance


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Producing Compliance

Two Principal Means:

  • Coercion (enforcement)

  • Promotion


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Compliance Theory


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Creating an Atmosphere Favoring Compliance

Compliant

Noncompliant

Regulated Facilities

Impressionable

 Less Degree of Compliance More


Slide9 l.jpg

Creating an Atmosphere Favoring Compliance

Compliant

Noncompliant

Regulated Facilities

Impressionable

 Less Degree of Compliance More


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Creating an Atmosphere Favoring Compliance

Financial Incentives

Technical Assistance

Compliant

Noncompliant

Civil or Administrative Enforcement

Regulated Facilities

Publicity

Inspections

Criminal Prosecution

Recognition & Reward

Impressionable

 Less Degree of Compliance More


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Creating an Atmosphere Favoring Compliance

Financial Incentives

Technical Assistance

Compliant

Noncompliant

Civil or Administrative Enforcement

Regulated Facilities

Publicity

Inspections

Criminal Prosecution

Recognition & Reward

Impressionable

 Less Degree of Compliance More


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Compliance Promotion


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Compliance Promotion

  • Focuses on changing behavior by addressing obstacles to compliance

    • lack of knowledge

    • lack of technology

    • lack of will to comply

    • economics

    • moral values

    • social values

  • Remember that compliance promotion goes hand-in-hand with enforcement. Enforcement creates a climate in which the regulated community has incentives to use the opportunities provided by promotion.


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Compliance Promotion Tools

  • Capacity Building: Education & Technical Assistance

  • Publicity

  • Building Public Support

  • Financial Arrangements

  • Economic Incentives


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Capacity Building:Education & Technical Assistance

  • Provides information about the requirements and how to meet them

  • Provides assistance to help regulated facilities take the necessary steps to achieve compliance

  • Particularly important when:

    • Community wants to comply, but does not have the capacity to do so yet

    • A new program is in its early stages

    • Program requirements have changed


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Publicity

  • Publicize stories of facilities that have been particularly successful in complying or particularly egregious in their non-compliance

  • Publicize successful enforcement actions against environmental non-compliance

    • Can deter future violations

  • Can reinforce positive societal environmental ethics and public support in favor of strong environmental enforcement


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Building Public Support

  • Citizens can:

    • Create societal pressure for action

    • Help ensure enforcement programs receive funds

    • Be actively involved if the law provides a role for them

      It is vital that the public be involved in compliance!


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Financial Arrangements

  • Help facilities overcome barrier of cost

  • Examples include:

    • Offset requirements - investors in a new facility must pay for modifications (e.g., updating technology) to reduce or “offset” pollution at an existing facility

    • Loans – institutions loaning money for new investments require a portion of the loan be applied to restoration or protection of environmental quality

    • Revolving Funds - providers of water services finance their continuing operations with income derived from sales to customers


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Economic Incentives/Disincentives

  • Fees - Facility charged based on characteristics of its pollution (e.g., amount or toxicity of effluent). Fees should be high enough to deter pollution.

  • Tax Credits – Reduced taxes for costs associated with improving environmental quality, e.g., installing pollution control equipment

  • Pollution Taxes – Taxes based on the volume and/or toxicity of effluents generated

  • Subsidies – Facilities that comply with requirements can receive a subsidy to help defray the cost of compliance

  • Bonuses for facility or operator – For achieving better results than specified in permits, licenses, or regulations

  • Promotion point system – For senior managers in government-owned facilities achieving compliance


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Setting Priorities


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Key Concepts for Priority Setting

  • Balancing Objectives:

    • Protecting environmental quality and public health

    • Maximizing program resources

  • Apportioning resources between compliance promotion and enforcement responses

  • Setting general principles for how to respond to various types and degrees of violations

  • Targeting inspections to achieve deterrence and detect violations


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Considerations When Setting Priorities

  • Ensure consistency and harmony among regional, provincial, and local priorities

  • Respond to issues of national concern in a coherent, coordinated manner

  • Important to involve national, regional, provincial, and local governments

  • Local authorities may have best knowledge of local facilities and significant local threats


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Understanding the Regulated Community

  • Regulated community may include: corporations, small businesses, public agencies, state-owned facilities, individuals

  • Accurate profile allows policymakers to target the compliance strategy to maximize effectiveness

  • Gathering information about the community:

    • Inventories

    • Permit or license applications

    • Registration

    • Existing records

    • Overflights


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Focusing Resources

  • A program with limited resources may choose to focus on the small percentage of facilities that cause most of the pollution

  • Targeting certain facilities can have a broader deterrence effect

  • Approaches to focusing resources:

    • Significant violators, type of industry, geographic location, type of emission, compliance history, etc.


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ExercisePriority Setting


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Coming Up Next

  • Module 1: Building a Legal Foundation for Good Water Governance

  • Module 2: Promoting Compliance with Environmental Laws

  • Module 3: Responding to Violations of Environmental Laws

  • Module 4: Designing Performance Indicators for Environmental Compliance and Enforcement Programs


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