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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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introduction to compliance
Introduction to Compliance

Lake Victoria Falls, Zimbabwe. Source: UNESCO.

what is compliance
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
who ensures compliance
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
ways to involve the public in compliance
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
producing compliance
Producing Compliance

Two Principal Means:

  • Coercion (enforcement)
  • Promotion
slide8

Creating an Atmosphere Favoring Compliance

Compliant

Noncompliant

Regulated Facilities

Impressionable

 Less Degree of Compliance More

slide9

Creating an Atmosphere Favoring Compliance

Compliant

Noncompliant

Regulated Facilities

Impressionable

 Less Degree of Compliance More

slide10

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

slide11

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

compliance promotion13
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.
compliance promotion tools
Compliance Promotion Tools
  • Capacity Building: Education & Technical Assistance
  • Publicity
  • Building Public Support
  • Financial Arrangements
  • Economic Incentives
capacity building education technical assistance
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
publicity
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
building public support
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!

financial arrangements
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
economic incentives disincentives
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
key concepts for priority setting
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
considerations when setting priorities
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
understanding the regulated community
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
focusing resources
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.
coming up next
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