|
SECOND
INTERNATIONAL CONFERENCE ON PROCEEDINGS Table of Contents - Volume 1
ACKNOWLEDGMENTS............................................................................iii GLOSSARY............................................................................................................xiii PART I: CONTEXT
FOR ENFORCEMENT 1.
INTRODUCTION.......................................................................................1-1
What Is the Purpose of This Text?..............................................................1-1
What Is Compliance?..................................................................................1-1
What Is Enforcement?.................................................................................1-2
Why Are Compliance and Enforcement Important?........................................1-2
What are the Components of a Successful Enforcement Program?...................1-2
How Programs May Evolve in Different Cultures and Countries.....................1-4 2.
THE BASIS FOR COMPLIANCE AND ENFORCEMENT ....................2-1
Introduction .............................................................................................2-1
Factors Affecting Compliance......................................................................2-1
Deterrence.................................................................................................2-1
Economics................................................................................................
2-3
Institutional Credibility...............................................................................2-3
Social Factors............................................................................................2-3
Psychological Factors.................................................................................2-4
Knowledge and Technical Feasibility...........................................................2-4
Impact on Program Design.........................................................................2-4 3.
CREATING ENVIRONMENTAL LAWS AND REQUIREMENTS
THAT
Introduction.............................................................................................3-1
Enforceability of Different Approaches to Environmental Management..........3-1
Laws: The Framework for Enforcement.....................................................3-5
Authorities...............................................................................................3-5
Institutional Framework............................................................................3-5
Related Laws Compelling Professional and Equitable Conduct.....................3-5
Compatibility with Existing Laws..............................................................3-7
Structure and Criteria for Establishing Environmental Requirements..............3-7
Requirements: Making Them
Enforceable...................................................3-7
Balancing Stringency and Feasibility...........................................................3-10
Improving the Climate for Compliance........................................................3-10
General Requirements................................................................................3-10
Size of the Regulated Community...............................................................3-11
Analyzing the Regulated Community's Ability To Comply.............................3-11
Involving the Regulated Community and Other Interested Parties....................3-15
Involving Enforcement Officials...................................................................3-15
Coordinating with Other
Environmental Requirements and Programs...............3-17
Facility-Specific Requirements......................................................................3-17
Ensuring Enforceability...............................................................................3-17
The Permitting and Licensing Process...........................................................3-21 PART II:
DESIGNING COMPLIANCE STRATEGIES AND ENFORCEMENT PROGRAMS 4.
IDENTIFYING THE REGULATED COMMUNITY AND ESTABLISHING
Introduction................................................................................................4-1
Identifying the Regulated community............................................................4-1
Important Information..................................................................................4-1
Approaches To Gathering Information............................................................4-2
Information Management..............................................................................4-2
Considerations in Setting Priorities................................................................4-2
Who Should Set Priorities?...........................................................................4-3
Communicating Priorities.............................................................................4-3
Review and Revision...................................................................................4-5 5.
PROMOTING COMPLIANCE................................................................5-1
Introduction..... .........................................................................................5-1
Education and Technical Assistance..............................................................5-1
Approaches................................................................................................5-1
Building Public Support..............................................................................5-2
Publicizing Success Stories..........................................................................5-2 Creative Financing Arrangements.................................................................5-4
Economic Incentives...................................................................................5-4
Building a Facility's Environmental Management Capability...........................5-5 6.
MONITORING COMPLIANCE..............................................................6-1
Introduction ..............................................................................................6-1
Inspections................................................................................................6-1
Types of Inspections...................................................................................6-1
Gathering Evidence....................................................................................6-4
Written Inspection Report..........................................................................6-4
Inspection Plan..........................................................................................6-5
Targeting Inspections.................................................................................6-5
Issues To Consider....................................................................................6-5
Inspector Training.....................................................................................6-8
Support Resources.....................................................................................6-8
Self-Monitoring, -Recordkeeping, and -Reporting by the Regulated
Issues ......................................................................................................6-10
Citizen Complaints....................................................................................6-12
Area Monitoring........................................................................................6-12
Ambient Monitoring...................................................................................6-12
Remote Sensing..........................................................................................6-12
Overflights..................................................................................................6-12 7.
ENFORCEMENT RESPONSES TO VIOLATIONS .................................
7-1
Introduction .................................................................................................7-1
The Range of Response Mechanisms and Authorities.......................................7-1
Authorities....................................................................................................7-2
Response Mechanisms....................................................................................7-2
Informal Mechanisms.....................................................................................7-2
Formal Mechanisms.......................................................................................7-2
Civil Administrative Enforcement....................................................................7-2
Civil Judicial Enforcement..............................................................................7-5
Criminal Enforcement.....................................................................................7-5
The Enforcement Process.................................................................................7-6
Protecting Basic Rights....................................................................................7-6
Supporting the Enforcement Case.....................................................................7-6
The Role of Negotiation ..................................................................................7-8
Role of the Public to Ensure Accountability.......................................................7-8
Creative Settlements: Leveraging
Enforcement for Broader Results....................7-8
Pollution Prevention.........................................................................................7-9
Pollution Reductions Beyond Compliance..........................................................7-9
Environmental Auditing...................................................................................7-9
Environmental Restoration...............................................................................7-9
Publicity.........................................................................................................7-10
Training.........................................................................................................7-10
Escrow or Bond for Sources Unable To Pay Penalties........................................7-10
Enforcement Response Policies.......................................................................7-10
Criteria for Noncompliance.............................................................................7-10
Selection of Appropriate Enforcement Response...............................................7-10
When Should Civil or Criminal Responses Be Used?........................................7-10
When Should a Sanction Be Imposed?.............................................................7-11
Should a First Enforcement Response Include a Sanction?..................................7-11
What Type of Sanction Should Be Used?..........................................................7-11
What Enforcement Responses Are Appropriate for Government-Owned 8.
CLARIFYING ROLES AND RESPONSIBILITIES......................................8-1
Introduction ....................................................................................................8-1
Dividing Responsibilities Among Government Levels..........................................8-1
The U.S. Experience: Parallel
Responsibility with the Primary Role Delegated......8-3
The Netherlands' Experience: Divided
Responsibilities........................................8-5
Role of Other Government Institutions...............................................................8-7
Legislative Institutions......................................................................................8-7
Executive Institutions........................................................................................8-7
Judicial Institutions...........................................................................................8-8
Agencies with Jurisdiction in
Areas Related to Environmental Management...........8-8
Police .............................................................................................................8-8
Role of Nongovernment Groups........................................................................8-9
Industry Associations.......................................................................................8-9
Associations of Government Officials.................................................................8-9
Professional and Technical
Societies...................................................................8-9
Trade Unions and Workers' Councils..................................................................8-9
Universities......................................................................................................8-10
Insurance Companies.........................................................................................8-10
Public Interest Groups.......................................................................................8-10
Use of Independent Contractors To Supplement Government Personnel..................8-10
Special Centers..................................................................................................8-10 9.
EVALUATING PROGRAM SUCCESS AND ESTABLISHING
Introduction .......................................................................................................9-1
Issues in Measuring Success................................................................................9-1
Measures of Success...........................................................................................9-3
Environmental Results.........................................................................................9-3
Compliance Rates................................................................................................9-4
Progress in Returning Significant Violators to Compliance......................................9-4
Measures of Compliance Monitoring.....................................................................9-5
Number of Enforcement Responses.......................................................................9-5
Timeliness of the Enforcement Responses.............................................................9-6
Monetary Penalties Assessed................................................................................9-6
Measures of Technical Assistance..........................................................................9-6
Other Measures ...................................................................................................9-6 PART III: IMPLEMENTATION
AND EXPERIENCE 10.
BUILDING AN EFFECTIVE ENFORCEMENT PROGRAM
..........................10-1
Personnel ............................................................................................................10-1
Role of Program Personnel....................................................................................10-1
Staffing Level.......................................................................................................10-1
Training...............................................................................................................10-1
Use of Third Parties..............................................................................................10-3
Information Management Systems..........................................................................10-3
Program Funding..................................................................................................10-4
Evolution of Enforcement Programs.......................................................................10-4
Enforcement as a Priority......................................................................................10-4
Evolution of Authorities........................................................................................10-5
Identifying the Regulated Community and Establishing Priorities.............................10-6
Compliance Promotion.........................................................................................10-6
Compliance Monitoring........................................................................................10-6
Enforcement Response.........................................................................................10-7
Roles and Responsibilities...................................................................................10-7
Evaluation and Accountability..............................................................................10-7 11.
CASE STUDIES: PULLING
IT ALL TOGETHER.......................................11-1
Introduction ......................................................................................................11-1 Case Study 1: Enforcement of Air Regulations in Allegheny County, USA...........11-2
Introduction........................................................................................................11-2
County Profile....................................................................................................11-2
Air Pollution Control Before 1970........................................................................11-4
Authority for Air Pollution Control, 1970-1991......................................................11-4
Allegheny County Air Quality Regulations, 1970-1991...........................................11-4
The Air Pollution Control Advisory Committee......................................................11-5
Standards and Methods.........................................................................................11-5
Enforcement Mechanisms.....................................................................................11-6
Resources...........................................................................................................11-8
Monitoring..........................................................................................................11-8
Emissions...............................................................................................................
11-8
Inspection.........................................................................................................11-9
Role of the State and Federal Governments............................................................11-9
Role of Environmental Groups and the Public.......................................................11-10
Role of Industry.................................................................................................11-10
Results ..............................................................................................................11-10
Factors Influencing Success.................................................................................11-11
Case Study 2: Responsible Processing of Derelict Cars in the
Netherlands............11-11
Introduction........................................................................................................11-11
Regulations.........................................................................................................11-12
Derelict Cars Plan.................................................................................................11-12
Implementing the Plan in North Holland..................................................................11-12
Conclusions.........................................................................................................11-13
Case Study 3: Collection and Processing of Hazardous Waste from
Ships
Introduction.........................................................................................................11-13
The Decree on Collection of Wastes from Ships.......................................................11-15
Enforcement Approach...........................................................................................11-15
Enforcement Results..............................................................................................11-16
Case Study 4: Enforcement of Municipal Wastewater Requirements in the
Background.........................................................................................................11-16
Enforcement Activities..........................................................................................11-17
Results...............................................................................................................11-17
Reasons for Success of the National Municipal Policy.............................................11-17
Case Study 5: Enforcement of Marketable Reductions of Lead in the.........................11-20
United States of America
Background.........................................................................................................11-20
Enforcement Activities.........................................................................................11-20
Results..............................................................................................................11-22
Deterrence..........................................................................................................11-22
Conclusion.........................................................................................................11-25 12. INFORMATION
RESOURCES..................................................................12-1
|