300R96009
PROCEEDINGS
VOLUME 2
FOURTH
INTERNATIONAL
CONFERENCE ON
ENVIRONMENTAL
COMPLIANCE AND
ENFORCEMENT
April 22-26, 1996
Chiang Mai, Thailand
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UNEP
Ministry of Housing,
Spatial Planning,
and the Environment
(VROM) The Netherlands
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Environment Environnement
Canada Canada
ENVIRONMENTAL
LAW-INSTITUTE
EUROPEAN
COMMISSION
POLLUTION CONTROL DEPARTMENT
THAILAND
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FOURTH INTERNATIONAL CONFERENCE ON
ENVIRONMENTAL COMPLIANCE AND
ENFORCEMENT
CONFERENCE PROCEEDINGS
VOLUME 2
April 22-26,1996
Chiang Mai, Thailand
Editors:
Mr. Jo Gerardu, VROM, The Netherlands
Ms. Cheryl Wasserman, U.S. EPA
Executive Planning Committee:
Dr. Adegoke Adegoroye, FEPA, Nigeria
Ms. Jacqueline Alois! de Larderel, UNEP, IE
Mr. Antonio Azuela, Mexico
Ms. Susan Becker, UNDP
Ms. Vivianne Blanot, Chile
Mr. Christopher Currie, Environment Canada
Mr. William M. Eichbaum, World Wildlife Fund, U.S.
Dr. Ossama EI-Kholy, Egypt
Mr. Marius Enthoven, European Commission
Mr. J. William Futrell, Environmental Law Institute, US
Mr. Marco Antonio Gonzalez Salazar, Costa Rica
Dr. Francois Hanekom, South Africa
Mr. Steven A. Herman (Co-Chair), U.S. EPA
Mr. Jalaluddin Ismail, Malaysia
Mr. Zbigniew Kamienski, Poland
Dr. Pakit Kiravanich, Thailand
Mr. Sun Lin, UNEP, ELI
Mr. Robert Reiniger, Hungary
Dr. David Slater, United Kingdom
Ms. Rachel A. Vasquez, Philippines
Mr. Pieter J. Verkerk (Co-Chair), VROM,
The Netherlands
Mr. Hongjun Zhang, People's Republic of China
Sponsors:
Environmental Protection Agency, United States
Ministry of Housing, Spatial Planning and the Environment, The Netherlands
United Nations Environment Program, IE
Environmental Law Institute, United States
Environment Canada
European Commission
Ministry of Science, Technology and Environment, Thailand
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These Proceedings, Volumes 1 & 2, include papers prepared by
speakers, conference participants, and other interested parties, remarks of
the opening speakers, summaries of workshop discussions, selected exhibit
materials, and the Conference evaluation from the Fourth International
Conference on Environmental Compliance and Enforcement, April 22-26,1996,
in Chiang Mai, Thailand.
Copyright © 1996 by the Conference sponsors: United States
Environmental Protection Agency; Ministry of Housing, Spatial Planning and
the Environment, The Netherlands; United Nations Environment Program, IE;
Environmental Law Institute, United States; Environment Canada; European
Commission; and Ministry of Science, Technology and Environment, Thailand.
No part of this book may be reproduced in any form or by any means without
the prior permission of the authors and attribution to the Fourth International
Conference on Environmental Compliance and Enforcement, April 22-26,1996,
held in Chiang Mai, Thailand. Use of these materials is strongly encouraged
for training and further dissemination.
Opinions expressed are those of the authors, and do not necessarily
represent the views of their organizations.
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DEDICATION TO THE VICTIMS OF CHERNOBYL
These Proceedings are dedicated to the Victims of the Chernobyl disaster, a global
environmental catastrophe. Participants were reminded of the 10th anniversary of the disaster
in the closing moments of the Fourth International Conference by Ms. SvitlanaKravchencowho
read a statement and requested a moment of silence in memory of the victims of Chernobyl who
are still bearing its consequences.
Two million eight hundred thousand people, including more than half million children
underthe age of 14, are now living in areas contaminated by the Chernobyl catastrophe despite
the fact that approximately 200,000 people and more than 2000 settlements were moved from
the contaminated zone. 150,000 people, including children, received radiation poisoning to the
thyroid, which exceeded permissible limits. Today the Ukrainian list of Chernobyl's victims consists
of 405,576 persons, in addition to 36,000 persons who are on the military-medical list of the
Ministry of Internal Affairs and Security Service of Ukraine. Diseases of the respiratory and
digestive systems, as well as the endocrine and blood circulation systems, account for a significant
percentage of the mortality rate of children living in contaminated zones. Experts now consider
that the Chernobyl disaster has created a new epidemic called Chernobyl AICD. All children of
the Chernobyl zone have reduced immune systems.
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TABLE OF CONTENTS—VOLUME 1
Table of Contents—Volume 1
PREFACE 1
CONFERENCE PURPOSE AND GOALS 3
CONFERENCE PROGRAM 5
OPENING SPEECHES
1. Welcome and Introduction to the Conference, S. Herman 13
2. Evolution of Environmental Compliance and Enforcement Programs in Thailand
and Current Challenges, H. Yingphan Manasikarn 19
3. Chiang Mai's Environmental Challenges, V. Naewboonnien, J. Wongburanawatt 23
4. Reaching Out To Others For Effective Environmental Enforcement,M. de Boer 27
CONFERENCE PAPERS AND DISCUSSION SUMMARIES
Theme #7: Driving Forces Behind Environmental Compliance and Enforcement
Programs 31
1. Summary of Panel Discussion of Theme #1, Moderator: C. Wasserman, Rapporteurs:
S. Oley, K. Rubin 33
2. Driving Forces for Environmental Compliance and Enforcement: Sustainable
Development, International Trade, Public Pressure and Involvement in Decision-Making
and the Implications for Cleaner Production, Environmental Law, and Sustainable
Development, R. Olembo 37
7. Implications of ISO 14001 for Regulatory Compliance, J. Casio 43
8. The Impact of Driving Forces on Environmental Compliance and Enforcement
Programs—The Philippine Experience, R Vasquez 49
9. The Impact of Driving Forces on Environmental Compliance and Enforcement
Programs—Example of Poland, S. Wajda 61
10. Driving Forces for Sustainable Environmental Compliance and Enforcement
Program in Africa with Particular Reference to Nigeria, A Adegoroye 73
11. The Impact of Driving Forces on Environmental Compliance and Enforcement
Programs in Mexico, A. Azuela 85
Theme # 2: Principles of Environmental Compliance and Enforcement 95
1. Building International Networks, Cooperation, and Capacity for Environmental
Compliance and Enforcement: A Progress Report, C. Wasserman 97
Theme #3: Establishing International Cooperation and Regional Networks:
Status of Efforts Underway 133
1. Summary Of Panel Discussion of Theme # 3, Moderator: M. Enthoven, Rapporteurs:
S.Oley, K.Rubin 135
2. Emerging Networks of Environmental Enforcement and Compliance Cooperation in
NorthAmerica and the Western Hemisphere, S.A.Herman, LI. Sperling 139
3. Toward Establishing a Regional Network in the West Asia/Middle East Region,
O.A.EI-Kholy 157
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vi FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
4. Establishing International Cooperation and Regional Networks.D.H. Slater, A.W.James 161
5. Enforcement and compliance Programs in Central America, P. Madrigal Cordero 169
6. International Cooperation: INTERPOL, J. van Doom 205
7. Transfrontier Shipments of Waste: Successes and Problems with the Enforcement
of Supranational Legislation, R. de Krom 209
8. A European Enforcement Project on the Notification of New Substances (NONS);
A Cooperative Project of 14 European Countries,L.C. van Gent 215
Theme #4: International Capacity Building 219
1. The Evolving Role of Citizens in Environmental Enforcements. Casey-Lefkowitz,
W.J. Futrell, J. Austin, S. Bass 221
2. International Capacity Building for Industrial Compliance and Enforcement —
The UNEP Experience, J. Alois! de Larderel, J.H. Skinner 237
3. UNEP's Role in Capacity Building in Environmental Law,D. Kaniaru, L. Kurukulasuriya 243
4. International Capacity Building for Environmental Compliance and Enforcement,
S. Becker 255
5. World Bank Supported Environment Institution Building Investments,,/ Aden 275
Theme # 5: Institution Building: UNEP Workshops 281
1. Synopsis of UNEP Manual on Institution Building 283
2. Synopsis of Organizational Design Issues: A Comparison of International
Compliance and Enforcement Programs 285
3. Synopsis of Financing Environmental Compliance and Enforcement Programs 286
Theme # 6: Special Topic and Institution-Building Workshops 287
Special Topic Workshop A: Automation and Enforcement: Available Support
Systems 289
1. Information Systems to Support Compliance and Enforcement, C.R. Galloway 291
Special Topic Workshop B: Strategic Targeting for Enforcement 317
1. Summary of Workshop: Strategic Targeting For Enforcement, Facilitators: C. Currie,
K. Prosser, rapporteur: C. Cocault 319
2. Strategic Targeting for Compliance and Enforcement, R. F. Duffy 285
Special Topic Workshop C: Integrated Permitting and Inspection 333
1. Summary of Workshop: Integrated Permitting and Inspection Facilitators: J. Skinner, C.
Wasserman, Rapporteur: J. Mozingo 335
2. Innovative Multi-media Compliance, Enforcement and Pollution Prevention
Approaches to Environmental Compliance at Federal Facilities in the
United States of America, R. B. Cheatham, J.R. Edward, W.H. Frank, R.J. Satterfield 341
Special Topic Workshop D: Compliance Monitoring 379
1. Summary of Workshop: Compliance Monitoring, Facilitators: J. Blenkers, H. Laing,
J. Skinner, Rapporteur: J. Jeffery 381
2. Institutional Strengthening and Capacity Building in the Field of Environmental
Inspection and Enforcement in Denmark, G. Nielsen 385
3. Synopsis of International Comparison of Source Self-Monitoring, Reporting,
and Recordkeeping Requirements 393
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TABLE OF CONTENTS—VOLUME 1 vn
4. Synopsis of Multi-media Inspection Protocols: International Examples 394
5. Synopsis of Course: Conducting Multi-media Inspections 395
Special Topic Workshop E: Promoting Voluntary Compliance: Environmental
Auditing, Outreach, and Incentive Programs 397
1. Summary of Workshop: Promoting Voluntary Compliance: Environmental Auditing,
Outreach, Incentive Programs, Facilitators: M. Olman, L Rimer, Rapporteur: D. Novak 399
2. Legal Marketing of Environmental Law: The Philippines Experience.A Oposa 405
3. The Mexican Environmental Audit as a Voluntary Norm.J. Calderon 419
4. Dutch Industrial Target Group Approach: An Enforcement Study on the
Voluntary Environmental Agreement with Petrol Stations, H.F Staats 427
5. Stimulating Voluntary Compliance: New Policy Directions in the United States:
The Minnesota Experience, L Paddock 439
6. Encouraging Voluntary Compliance without Compromising Enforcement:
EPA's 1995 Auditing Policy, E.S. Schaeffer 451
7. Dutch Industrial Target Group Approach: A National Enforcement Study
on the Voluntary Environmental Agreement for the Wood Preservation Industry,
W. Huurdeman 461
Special Topic Workshop F: Measures of Success 479
1. Summary of Workshop: Measures of Success, Facilitators: J. Peters, C. Wasserman,
Rapporteur: J. Mozingo 481
2. Measuring the Success of Compliance and Enforcement Programs,/?. F. Duffy 489
Special Topic Workshop G: Communications and Enforcement 503
1. Summary of Workshop: Communications and Enforcement, Facilitators: R. Glaser,
J.C.M. Veenman, J. Wise, Rapporteur: J.J. van Klaveren. 505
Special Topic Workshop H: Public Role in Enforcement: How to Go About Creating
and Supporting Effective Citizen Enforcement 509
1. Summary of Workshop: Public Involvement in Enforcement, Facilitators: M. Axline,
J. van Dijk, Rapporteur: S. Casey-Lefkowitz 511
2. Environmental Enforcement and Public Advocacy in Ukraine.S. Kravchenko 515
3. Intergenerational Responsibility in the Philippine context as a Judicial Argument for
Public Action on Deforestation, A Oposa 521
4. Role of Public Participation in Enforcement, G. Sarmiento 527
Special Topic Workshop I: Criminal Enforcement: INTERPOL, Role of Criminal
Enforcement in Environmental Enforcement 529
1. Summary of Workshop: Criminal Enforcement Role in Environment, Facilitators:
T. Bispham, J. van Doom, Rapporteurs: J. Gras, L Sievers 531
2. The Environmental Task of the Police: 1990-1994, L. Sievers, M.J. Horstman 535
3. The Environmental Task of the Police: 1995-1998, L Sievers, M.J. Horstman 547
4. Environmental Duties of the Police in The Netherlands,/.. Sievers 559
5. Oregon's Experience in Developing and Implementing a State Environmental
Crimes Program, T. Bispham, H.Duncan, LCarlough 565
6. Targeting and Criminal Enforcement, A de Lange 577
7. The Environmental CriminalJustice in China, S. Wang 583
8. The Netherlands Manual: Investigations of Complex Environmental Offenses,
C. van Kooten 591
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VIII
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Special Topic Workshop J: Enforcement of Economic Instruments 595
1. Summary of Workshop: Enforcement of Economic Instruments, Facilitators:
J. van den Heuvel, J.Rothman, J. Wise, Rapporteur: D. Novak 597
2. Enforcement of Pollutant Discharge Fee in China, H. Baolin 601
Table of Contents—Volume 2
Special Topic Workshop K: Take-Back Laws Enforcement 609
Special Topic Workshop L: Creating Enforceable Permit Programs and Requirements:
Discussion Focus on Water Pollution and contamination of Drinking Water
Supplies 611
1. Summary of Workshop: Creating Enforceable Permit Programs and Requirements:
Discussion Focus on Water Pollution and Contamination of Drinking Water Supplies,
Facilitators and Rapporteurs: P. van Erkelens, L. Crerar. .' 613
2. The Pollution of Surface Waters Act in The Netherlands: A Story of Successful
Enforcement, P. van Erkelens, M. Olman 617
3. The Enforcement of Drinking Water Quality in The Netherlands, J. Lijmbach-Hendrikx 625
4. Potassium and Nitrate Pollution of Surface Water in the Catchment Area of the "Blankaert"
Water Production Centre in Flanders (Belgium), R. Baert, R. Loontiens, M. Devos 635
5. Protecting Drinking Water Quality Through the Clean Water Act and the Safe Drinking
Water Act, B. Devlin 643
Special Topic Workshop M: Transboundary Illegal Shipments of Hazardous Waste;
Tricks of the Trade 655
1. Summary of Workshop: Transboundary Illegal Shipments of Hazardous Waste;
Tricks of the Trade, Facilitators: F. Kesselaar, J. Rothman, Rapporteur: R. Sturges 659
2. A United States Perspective on Transboundary Investigations: Recent Cases and
Essential Strategies for Interdiction of International Environmental Crime,E.E. Devaney,
M. J. Renders ' ggg
3. The International Control of Transboundary Illegal Shipment of Hazardous Wastes:
A Survey on Recent Cases Happened in China,X. Wang 673
4. Regional Action Program and Guidelines to Prevent Illegal Traffic in Hazardous Wastes
in the Asia-Pacific Region, A.S. Tolentino, Jr. 685
5. Illegal transports of Waste: Tricks of the Trade, LC. Blanker 697
6. Transboundary Illegal Shipments of Hazardous Waste, Toxic Chemicals (Pesticides)
Contraband Chlorofluorohydrocarbons: The Nigerian Exper\ence,M.T.Odubela,
O. Soyombo, F. Adegbite, K. Ogunbuyi. ' 705
7. Cradle-To-Grave Compliance Tracking of U.S./Mexico Transboundary Hazardous Waste:
The Haztraks Tracking System, S. Coleman, J.V. Schultes 711
8. Synopsis of Transboundary Trade in Potentially Hazardous Substances 733
Special Topic Workshop N: Montreal Protocol: Enforcement of Chlorofluorocarbons
(CFC) and Related Requirements 735
1. Summary of Workshop: Montreal Protocol: Enforcement of Chlorofluorocarbons (CFC)
and Related Requirements, Facilitators: H. Kesselaar, I. Moreno, Rapporteur: R. Sturges.... 737
2. Regulations to Implement Montreal Protocol: Guatemala Country Program,
J.M. Del Valle, H. Figuerora 741
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TABLE OF CONTENTS—VOLUME 2 ix
3. Evaluation of Three Years enforcement of the Chlorofluorocarbons (CFC) Regulations
in The Netherlands, G.A.H. Tijink, J.P. Comet 747
Special Topic Workshop O: Enforcing Domestic Programs Implementing International
Agreements 753
1. Environmental Compliance and Enforcement: A Case of Nepal,K.P. OH 755
Special Topic Workshop P: Collaborative International Targeting of Enforcement 777
Special Topic Workshop Q: Organizing and Financing Programs 779
1. Summary of Workshop: Organizing and Financing Programs.Fac/Wator R. Glaser, L
Paddock, Rapporteur: K. Rubin 781
Special Topic Workshop R: Enforcement Policy and Authorities 785
1. Summary of Workshop: Enforcement Policy and Authorities, Facilitators and
Rapporteurs: M. Gade, J. Peters 789
2. Compliance Program Innovations in Polish Environmental Law.Z Kamienski 793
3. Compliance Agreements for Environmental Risk Management in the Czech Republic,
H.Cfzkova 809
Theme # 7: Making Progress: Regional Examples, Capacity-Building Agenda, International/
Regional Networks 817
1. Africa Regional Meeting Summary 821
2. Americas Regional Meeting Summary 827
• Oaxaca Declaration 84°
• Proceedings from Managua Meeting: Creation of the Central American Enforcement
Network 843
3. Southeast Asia-Pacific Regional Meeting Summary 851
4. South Asia Regional Meeting Summary 865
5. Central and Eastern Europe Regional Meeting Summary 869
6. West Asia/Middle East Regional Meeting Summary 873
7. Western Europe Regional Meeting Summary 875
8. Information Sharing as an Environmental Policy Tool: The Indonesian Experience,
N.Makarim, J.Butler 881
9. The City of Kitakyushu's Experience Concerning the Implementation of
Countermeasures for and Compliance with Environmental Protection Legislation,
R.Hitsumoto 893
10. A Survey of Environmental Law and Enforcement Authorities in China, X Zhao 903
11. Enforcement of Legislation on Genetically Modified Organisms in The Netherlands,
/. van der Leij, M.S. Thijssen 923
12. Environmental Laws, Capacity Building and Compliance Monitoring --
The Hong Kong Experience, J.E Boxall, W.F.S. Ho, C.K. Lei, C.W. Tse 931
13. Enforcement Problems with Radioactive Material in the National and International
Trade in Metal and Metal Scrap, G.M. Breas and P.I. vanderVaart 949
14. Some Environmental and Enforcement Issues Relating to the Siting of a Medium Scale
Steel Mill on the Shores of the Manukau Harbor, Auckland, New Zealand.C. Hatton 955
15. Enforcement Strategies of the Israel Ministry of the Environment, R. Rotenberg 963
16. Development and Enforcement of New Armenian Environmental Protection Legislation:
Problems and Solutions, V. Ter-Nikghosyan 971
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x FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
17. Features of Licensing and Control of Environment in Romania,/.D. Vasilescu 983
18. From Environmental Planning to Enforcement: A Case Study from Egypt,
T.M. Genena gg-l
19. El Salvador's Experience in the Design of Environmental Programs,
G. Navarrete Lopez 997
20. The Role of Goals, Steps and Content of Comprehensive Compliance Programs
in Achieving Environmental Compliance and Enforcement in Romania.D. Popescu 1003
21. Thailand's Environmental Enforcement Program, K. Homchean 1013
22. The Range of Legal Enforcement Tools in Lithuania and Problems,O. Lygis 1021
23. Licensing and Enforcement at Municipal and Provincial Level in North Brabant:
Developments in Recent Years, J. Blenkers, N. Dols, P. vander Linden 1025
24. An Integrated Approach to Environmental Enforcement -- A Case Study.S. Baron 1043
25. Compliance and Enforcement Programs on Residual Waters, Case Study:
Costa Rica's Grande deTarcoles River, M.A. Gonzalez Salasar 1049
26. Development and Implementation of Information Exchange by Enforcement
of Environmental Legislation, J. van Dijk 1069
CLOSING REMARKS FOR THE FOURTH INTERNATIONAL CONFERENCE ON
ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT, S.A. Herman, P.J. Verkerk 1077
CONFERENCE EVALUATION 1091
PARTICIPANT LIST 1105
PARTICIPANT LIST BY COUNTRY 1123
MEMBERS OF THE EXECUTIVE PLANNING COMMITTEE 1137
EXECUTIVE PLANNING COMMITTEE STAFF 1142
ACKNOWLEDGMENTS 1143
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FOURTH INTERNATIONAL CONFERENCE ON
ENVIRONMENTAL COMPLIANCE AND
ENFORCEMENT
VOLUME 2
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TAKE-BACK LAWS ENFORCEMENT 609
SPECIALTOPICWORKSHOP K
Take-Back Laws Enforcement
Papers on this special topic address the following issues:
• extent of such laws and types of activities to which they are applied: Take-
back laws reflect a new trend internationally to require producers of certain
types of products to take them back after use by customers for recycling
or proper disposal;
• what the requirements are and of whom;
• how compliance with these laws can be achieved given the difficulties of
tracing products in trade both domestically and internationally;
• approaches countries have established to promote compliance;
• approaches countries have established to monitor compliance;
• types of enforcement responses developed for violations and their success;
and
• cooperative approaches needed between and among nations to facilitate
compliance, detection of violations, and enforcement response.
Currently no papers are available on this subject because experience in this area is still too
limited. For this reason also, no workshop was held.
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610 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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CREATING ENFORCEABLE PERMIT PROGRAMS AND REQUIREMENTS 611
SPECIALTOPIC WORKSHOP L
Creating Enforceable Permit Programs and Requirements:
Discussion Focus on Water Pollution and Contamination
of Drinking Water Supplies
Papers and Workshop L discussions focus on the following issues:
• How permit programs have been designed to balance pressures to get
permits issued in a timely fashion with the need to ensure enforceable
permits and real impacts on environmental quality.
• Different approaches for how to improve or ensure enforceability in
developing new laws, regulations, and permit requirements.
• What works and does not work well in drafting laws, regulations, standards,
and permits.
• Problems that have been encountered in numerous settings with examples
of regulations and permits that are impossible or difficult to enforce and
the actions taken to improve them. Problems include poor drafting, such
as inadequate or unclear definitions of terms, inadequate authorities or
supporting requirements to obtain information to monitor compliance,
unclear or overlapping intergovernmental responsibilities, unclear writing,
technical infeasibility, inconsistent roles, etc.
1. Summary of Creating Enforceable Permit Programs and Requirements Workshop,
Facilitators and Rapporteurs: P. van Erkelens, L Crerar 613
2. The Pollution of Surface Waters Act in The Netherlands: A Story of Successful
Enforcement, P. van Erkelens, M. Olman 617
3. The Enforcement of the Drinking Water Quality in The Netherlands, J. Lijmbach-
Hendrikx 625
4. Potassium and Nitrate Pollution of Surface Water in the Catchment Area of the
"Blankaert" Water Production Centre in Flanders (Belgium), R. Baert, R. Loontiens,
M. Devos 635
5. Protecting Drinking Water Quality Through The Clean Water Act and The Safe
Drinking Water Act, B. Devlin 643
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612 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
See related papers in other International Conference and Workshop Proceedings:
1. Developing Enforceable Environmental Regulations and Permits, S. Fulton and E.
Gilberg, Volume I, Budapest, Hungary
2. Swedish System of Integrated Permitting — Whether it Enhances Compliance and
Enforceability, L Sverndal, Volume I, Budapest, Hungary
3. Compliance and Enforcement Strategies in East-Germany — Saxony as an Example,
D. Angst, Volume I, Budapest, Hungary
4. A Clear Approach Gives Full Compliance, H. de Vries, Volume I, Budapest, Hungary
5. Principles of Environmental Enforcement, C. Wasserman, Volume I, Budapest,
Hungary
6. Designing Enforceable Environmental Requirements, T. Smith, Volume II, Budapest,
Hungary
7. Summary of Theme Discussion: Designing Enforceable Environmental Requirements,
M. Mulkey, Volume II, Budapest, Hungary
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WORKSHOP SUMMARY : CREATING ENFORCEABLE PERMIT PROGRAMS AND REQUIREMENTS
613
CREATING ENFORCEABLE PERMIT PROGRAMS AND REQUIREMENTS:
DISCUSSION FOCUS ON WATER POLLUTION AND CONTAMINATION OF
DRINKING WATER SUPPLIES
Co-Facilitators and Rapporteurs: Paul van Erkelens, Linda G. Crerar.
GOALS
This session addressed the following issues:
• How permit programs have been designed to balance pressures to get
permits issued in a timely fashion with the need to ensure enforceable
permits and real impacts on environmental quality.
• Different approaches for how to improve or ensure enforceability in
developing new laws, regulations, and permit requirements.
• What works and does not work well in drafting laws, regulations, standards,
and permits.
• Problems that have been encountered in numerous settings with examples
of regulations and permits that are impossible or difficult to enforce and
the actions taken to improve them.
1 INTRODUCTION
Several participants discussed, in two separate workshops, the need for requirements
that are clearly defined and understandable and the need to communicate to the regulated
community what is expected of them to reach compliance.
2 PAPERS
The Pollution of Surface Waters Act in the Netherlands: A Story of Successful
Enforcement, P. van Erkelens, M. Olman.
The Enforcement of the Drinking Water Quality in The Netherlands, J. Lijmbach-
Hendrikx.
Potassium and Nitrate Pollution of Surface Water in the Catchment Area of the
"Blankaert" Water Production Centre in Flanders (Belgium), R. Baert, R. Loontiens, M. Devos.
Protecting Drinking Water Quality Through the Clean Water Act and the Safe Drinking
Water Act, B. Devlin.
3 DISCUSSION ISSUES
The session began with a summary of some basic concepts regarding developing
requirements. It is important to be clear about what the environmental outcome is that is to be
achieved before you begin drafting your requirements. Requirements must be clear and
understandableand adapted to the specific area (country). Precisely define sources or activities
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614 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
subject to the requirements and include any exceptions or variances. It is very important to be
specific about how compliance will be determined. What will compliance look like when it is
achieved by the regulated community? In addition, requirements must include all timelines
and/or deadlines that the regulated community must meet to comply. One of the most critical
elements of enforceable requirements is that they are based on technology or methods that
are available, reliable and affordable. Creating standards and requirements that cannot be
met will significantly reduce the creditability of the regulating agency.
Discussion centered around the difficulties in implementing permitting/requirement
programs. Participants shared similar concerns and problems in regard to getting people to
change their behaviorwhether it be a major industry or individual actions. Countries with mature
permitting programs shared their processes for managing and gaining compliance with point
source industriesand businesses. All countriesare facing similarproblems in effectively dealing
with non-point or diffuse pollution sources such as agriculture and stormwater runoff. Non-point
problems do not lend themselves readily to permit/license type of solutions.
Participants discussed the need for good data regarding the status of the environment.
Many countries are developing information and data by watershed or region. This data, both
scientific and resource availability, is important for helping build an understanding and
awareness with the public and the entities to be regulated as to the importance of complying
with environmental requirements.
Some participants were just in the first stages of drafting and implementing their
country's laws that protect the environment. All participants agreed that good environmental
laws as the base from which to build your requirements/regulations is a must. Enforcement
and compliance from the regulated community would not be possible without these underlying
laws. Some countries discussed the difficulties of having many different environmental laws
and agencies responsible for carrying out these laws. These overlapping responsibilities and
roles create confusion and conflict and make compliance of the regulated community more
difficult. Some countries have consolidated their environmental laws into one law or are starting
out with a comprehensive law that will regulate the environment for the country.
Much of the discussion centered on the need for balancing enforceable requirements
with voluntary efforts. Participants agreed that starting with the education of young children in
school will be very important to developing and maintaining the "public will" to support good
environmentalmanagement. There are several activities that promote educationand awareness
that include public outreach and media campaigns. It was suggested that every country should
adopt a "national environment day" that could help focus environmental education. It is also
important that as you enhance the public's knowledge and willingness to change their behavior
that opportunities are provided for them to "do the right thing." An example would be providing
waste collection sites in areas where they had not previously existed coupled with an
educational campaign to not litter. Participants agreed that educational programs are more
cost effective than implementing major permitting and enforcement programs which are very
resource intensive. Other examples of involving people in changing behavior was including
industry groups in monitoring and gaining compliance from members of their own industry
through peer pressure or other mechanisms.
It is importantthatenvironmentalinformation come from a credible source that is trusted
by the people or the regulated community. In some countries the government may not be a
trusted creditable source of information. In these cases, it is importantto involve others (citizens,
NGOs, industry) in the collection and dissemination of environmental information. Involving
others will also help gain understanding and awareness of the problems, help with solutions
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WORKSHOP SUMMARY: CREATING ENFORCEABLE PERMIT PROGRAMS AND REQUIREMENTS
615
and take more responsibility in implementing the requirements/standards. It is also important
to look for incentives both financial and other economic or social incentives that will motivate
the regulated community to comply with requirements.
4 CONCLUSION
"YOU CAN NOT HAVE AN ECOLOGICAL PARADISE IN A SOCIAL ECONOMIC
DESERT."
All participants underlined that clear surface water and safe drinking water must be a
top priority. Some countries choose a way of using one integral environmental law to realize
this. Other countries prefer separate legislation because they do not want solving the clean
water problem to be mixed up with other environmental issues and difficult legislation. Another
problem in solving the clean water problem is that the use of watershed requirements does not
fit to existing responsibilities.
During the discussions it became clear that environmental requirements that are
enforceable are critical for gaining compliance from the regulated community but these
requirements cannot be drafted in a vacuum. It is essential that the requirements are developed
in the context of the country's social and economic conditions. Adopting requirements that
cannot be complied with by the country's industry or populationin a timely, reliableand affordable
fashion will be difficult if not impossible to enforce and may result in "political" backlash that
causes more harm to the environment.
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VAN ERKELENS, PAUL AND OLMAN, MENNO 617
THE POLLUTION OF SURFACE WATERS ACT IN THE NETHERLANDS: A
STORY OF SUCCESSFUL ENFORCEMENT
VAN ERKELENS, PAUIJAND OLMAN, MENNO2
1 Chairman, Regge en Dinkel Water Board, P.O. Box 5006, 7600 GA Almelo, The
Netherlands
2 Chief Engineer and Director, Department of Water Management and Traffic, Northern
Directorate, P.O. Box 4301, 8901 JG Leeuwarden, The Netherlands
SUMMARY
Water Boards carry responsibility for water defenses (flood control) and water volumes
in the Netherlands. They share responsibility for water quality with the Department of Water
Management and Traffic.
There has been a significant reduction in the pollutant load on surface waters since
1970. The same applies to industrial emissions. This article describes the success achieved
in enforcing the Pollution of Surface Waters Act.
1 THE NETHERLANDS -- WATER, WATER EVERYWHERE
Central Government, the provinces and local authorities are well-known Government
bodies and many people understand more or less what they do. The Water Board (the oldest
democratic form of administration in the Netherlands) is less well known. Nevertheless, Water
Boards, along with the Department of Water Management and Traffic, perform indispensable
work in maintaining the quality of life in the Netherlands.
More than 50% of the Netherlands, an area in which more than eight million people
live and work, would be flooded if there were no dunes or water defenses. The numerous
dykes, locks, retaining dams, canals and ditches keep the country habitable.
Water Boards carry this responsibility. Apart from looking after water defenses and
water volumes, the Boards share responsibility for water quality with the Department of Water
Management and Traffic. They are continuously active countering pollution and improving the
quality of the surface water.
2 WATER CONTROL
Protecting man, animals, land and property against flooding is the oldest task of the
Water Boards. They were set up hundreds of years ago to perform this role. Work still goes on
today throughout the country in further reinforcing see and river dykes, taking due account of
falls in ground levels and rises in the water level. The major floods of 1995 revealed that the
river dykes also merit greater attention.
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3 WATER QUANTITY MANAGEMENT
The Netherlands has a comprehensive system of watercourses (streams, ditches and
canals). In the high parts the Water Boards ensure effectivedrainageto avoid any water overload.
In dry periods water is retained or fed in using retaining dams and pumps. Water is also stored
temporarily in special buffers. In the low parts of the country the water is kept at the required
level using pumps, for example in polders.
4 QUALITY MANAGEMENT
Water Boards share responsibility with the Department of Water Management and
Traffic for the quality of surface water in the Netherlands. In the past this meant that the water
had to be clean enough for the preparation of drinking water, for agriculture and horticulture, as
a raw material for products, etc. Nowadays that has been expanded to include the entire
ecosystem: water has to be clean enough for the plants and animal life to which it plays host.
One important element of quality management is the treatment of waste water.
Treatment underwent rapid development with the arrival of the Pollution of Surface Waters Act.
The Act prohibits the discharge of polluting or harmful substances into surface waters without
a license. The discharge license is an important instrument in the battle against water
contamination, giving the Water Boardsa means of controlling discharges of waste substances.
Requirements may be laid down in the license governing the nature and volume of the
substances to discharge. Such requirements may demand that companies modify their
production process or pretreat the waste water. This may also prove an attractive option
financially as a levy is linked to the license which is lower if the waste water is less polluted.
The Act also gave a major boost to the constructionand expansion of sewage treatment
plants. This move, combined with improved techniques, has doubled the Netherlands' treatment
capacity in recent years. Nowadays there are some 500 sewage treatment plants handling
more than 90% of the sewage from domestic householdsand industry. As a result of the stringent
requirements again being set for treated sewage, Water Boards are having to make major
investment in building new treatment plants or modifying existing ones. One of the targets is a
drastic reduction in phosphates and nitrogen in the years ahead.
When sewage is treated by a biological process, a residual product remains: sewage
sludge. This contains heavy metals and pesticides, which renders it unusable as an agricultural
fertilizer. Now it is dried and incinerated or composted.
5 THE POLLUTION OF SURFACE WATERS ACT: THE MOST SUCCESSFUL
PIECE OF ENVIRONMENTAL LEGISLATION
In 1995 the Pollution of Surface Waters Act celebrated its twenty fifth birthday. Without
question, it can be qualified as the most successful piece of environmental legislation. Its
introduction enabled the task of improving the quality of surface water to be tackled in a
systematic manner from 1970 onwards. Spectacular results have been achieved in virtually
every part of the country. The total discharge of oxygen-binding substances has been reduced
by over 80% in 25 years thanks to all the measures adopted (Table 1). To some extent this has
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VAN ERKELENS, PAUL AND OLMAN, MENNO 619
been achieved by building sewage treatment plants in municipalities and on company sites.
Over and above this, industry has adopted cleanup and preventive measures. The oxygen
content in the major Dutch surface waters can be described as good in most cases nowadays.
Table 1. Production of oxygen-binding substances (10s pollution per
capita) and the surface water load
Year
Companies
Households
Removed in
sewage
treatment plant
Discharged to
surface water
1970
33,0
12,5
5,5
40,0
1980
13,7
14,3
12,6
15,4
1990
9,8
14,9
17,0
7,7
1995
10,2
15,3
18,6
6,9
Source: Policy Document on Water Management (3rd)
When it comes to other substances such as nitrogen, phosphate and heavy metals,
much remains to be done. Large volumes of surface water have also been contaminated with
pesticides, even though there has been a 40% reduction in their usage. The switch to phosphate-
free washing powders and measures taken at sewage treatment plants, along with other factors,
has achieved a 65% reduction in the discharge of phosphates. The results with nitrogen are
less rosy. Open sewers have all but disappeared from the Netherlands, and nowadays only
around 0,7% of the country has open sewerage.
Positive results can also be reported on the cleanup of industrial emissions, which
has been helped by the level of the levies. Table 2 shows the picture for zinc and cadmium.
Table 2. Ciean-up of industrial emissions (tons/year)
Year
Zinc
Cadmium
1975
1250
30
1985
160
15
1990
100
6
1995
60
3
Source: Brochure on integrated water management, Department of Water Management and Traffic
LICENSING AND ENFORCEMENT
The discharge license is an important instrument in the Pollution of Surface Waters
Act. Who ought to hold a license?
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620 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• Allcompanies(andhouseholdsaswell)thatdischargetheireffluentdirectly
into surface water.
• Many companies (notably the larger ones with harmful substances in their
effluent) who are connected to a sewage treatment plant via the sewerage
system.
The license is granted by the water quality boards (Water Control Board, Ministry of
Transport, Public Works and Water Management).
Licenses for major dischargers stipulate which substances may be discharged and
which not, the quantities permitted, the preliminary treatment for the effluent that is to be
discharged, etc. Conditions may also be set in the license governing the effluent temperature.
In the case of small-scaledischargers.such as households, an instructionon the means
to be used will usually suffice. If households have a septic tank with appliances, notification will
usually suffice.
The time spent by the Water Control Board in granting a license has to be reimbursed
by the company itself in the form of fees. The company also has to pay a levy if the license is
used. The company pays for the amount of pollution that may be discharged under the license.
The licensing process is characterized by intensive consultation between the Water
Control Board and the company. The entire production process is reviewed to ascertain which
modifications can be made and at what times to reduce the quantity and harmfulness of the
substances. In a number of cases, the Water Control Board does not allow any direct discharge
of particular substances. The company then has to adapt its production process accordingly. In
some cases, consultation with the local authority for connection to the sewerage is the solution.
In other cases the company has to build its own treatment unit. The latter option may even be
an attractive one, as the levy to be paid may fall significantly if less polluted sewage is discharged.
The Water Control Board is also responsible for enforcement. Licensing and
enforcement are organizationally separate within the Water Control Board. There are three
important areas in enforcement:
• There is ongoing monitoring as to whether companies have acquired a
license in good time. Effective consultation with such bodies as local
authorities ensures that companies working without a license are soon
detected. The Police have an important part to play here in acting as the
eyes and ears. Companies may not initiate or modify their activities without
the required environmental licenses (Environmental Management Act,
Pollution of Surface Waters Act).
• Companies with a license are periodically visited and checked to ensure
that they are complying with the regulations in the proper manner. The
Water Control Board assesses whether the measures agreed have been
carried out. Effluent samples are also taken and examined in the Water
Control Board's own laboratory. In some cases the license stipulates that
the company itself must periodically analyze the effluent and submit the
results to the Water Control Board. The Board then performs random
checks on the results using its own samples. In a limited number of cases
the Water Control Board positions sealed measuring equipment to
continuously measure the quality of the effluent. The Board's preferred
approach is to perform frequent checks with a view to preventing offenses.
Major dischargers are generally visited several times a year.
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VAN ERKELENS, PAUL AND OLMAN, MENNO 621
• If offenses are detected, appropriate sanctions will have to be applied.
Measures under administrative law and/or penal law may be applied. The
following graduated structure is usually adopted as a guide:
Minor offenses:
• Consultation with the company to end the infringement as quickly as
possible. The situation is reviewed together with the company to ascertain
what technical measures can be taken.
More serious infringements:
• The Water Control Board may then deploy sanctions under administrative
law such as: total withdrawal of the license, a penalty (for example, a large
fine for every day of infringement of the license) and/or administrative
coercion (the Water Control Board obliges the company to cease the
infringement with immediate effect or does so itself at the company's
expense; in such emergencies, the consequences of the infringement can
quickly be reversed).
Severe and/or recurring offenses:
• Apart from the sanctions under administrative law, a report is drawn up in
consultation with the Public Prosecutor. The Public Prosecutor has the
backing of penal law which allows him to act swiftly and at the appropriate
level. In many cases, the Public Prosecutor will bring proceedings.
In recent years, there has been a great deal of interest in enforcement in practice.
Additional enforcement officers have been appointed everywhere, enforcement programs have
been drawn up, and cooperation between the various enforcement authorities has improved
markedly. A great deal of consultation between enforcement officers at the Water Control Board
and the Public Prosecutor has resulted in the scope available under administrative law and
penal law being exploited to best effect and with mutual reinforcement.
7 SUCCESS FACTORS
The success in enforcing the Pollution of Surface Waters Act of Surface Waters Act
can be attributed to various factors:
• Organization is clear and simple. The Water Boards and the Department
of Water Management and Traffic handle licensing and enforcement. The
license sets forth the requirements for waste water in unambiguous terms.
The measures that the company is able to take, or indeed must take, are
discussed with the company. The licensing agent regularly checks whether
the company is still complying with the requirements (the enforcement
angle).
• The cleaner the waste water, the less the company itself has to pay. There
is therefore a major financial incentive to take action at source. To put it
another way: the measures to be taken can pay for themselves.
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622 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The Water Board uses the revenues (from companies and households) to
build and run sewage treatment plants. There is therefore a direct
relationship between the funds obtained from contaminated waste water
and efforts to tackle the problem.
The organization of the Water Board ensures that the polluters (those
paying) are involved in the general council of the Board.
8 ORGANIZATION OF THE WATER BOARDS
The Water Board should be seen as a government body which differs in three ways
from provinces and local authorities:
• A Water Board has only one task: to look after the water system (water
control, water quantity and water quality).
• The council of a Water Board is made up entirely of representatives of
groups that have an interest in how it operates. The main groups are land
owners (mainly farmers), owners of buildings and companies that make
payments to the Board via the levy on contaminated waste water. In addition,
households have an interest in the Board's work (for without them a large
part of the country would be underwater). They are also represented in the
council.
• The Board is paid for in its entirety by all the interested players (owners of
land and buildings, polluters, households). The greater your interest in the
operations of the Board, the more you pay. And the more contaminated
waste water you produce, the more you pay as well.
These three characteristics based on the 'interest-pay-say' principle make the Water
Board a special, functional tier of administration, and one which is able to operate very
effectively. The Board's work, which naturally has to be conducted within national and provincial
frameworks, is very much focused on implementation. This form of organization could well
prove its value in other parts of the world. The basis for setting up a Board is soon created if
similar interests are pooled.
9 WATER DETERMINES THE QUALITY OF LIFE TO A LARGE DEGREE
Too much water is not a good thing. If we fail to provide sufficient protection against
the threat of floods, we will regularly have to face disasters of varying scale, which often totally
disrupt life in a particular area for quite some time. Everything built up with a great deal of effort
over a period of years can be totally destroyed in a very short space of time.
Too little water is just as bad. Drought can make large areas uninhabitable. Famine,
the population moving out, disease etc. are unfortunately still frequent occurrences nowadays.
Such situations are not always avoidable. Not all climatological situations are amenable to
human influence. Nevertheless, with our knowledge nowadays we are in a position to build
hydraulic works which enable us to assume better control of water management. This means
we can avoid situations of water excesses or shortages.
It is not just the amount of water but also the quality that has an important part to play.
We in the Netherlands do not fully realize that the majority of the world does not have access to
clean drinking water, let alone that it comes from a tap in unlimited supply in every home. In
many places what little water exists is severely contaminated, posing an ever-present threat to
public health and food production.
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VAN ERKELENS, PAUL AND OLMAN, MENNO 623
It is therefore both the amount and the quality of water that to a significant degree
determine the quality of life in its most elementary meaning. Many environmental problems in
the West are often seen by developing countries as a problem of luxury. However, the 'water'
environmental problem can come to be a major connecting link. The experiences gained in the
Netherlands with Water Boards and with the Pollution of Surface Waters Act can also prove
significance elsewhere.
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624 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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LIJMBACH-HENDRIKX, J.C.P.M. 625
THE ENFORCEMENT OF DRINKING WATER QUALITY IN THE NETHERLANDS
LIJMBACH-HENDRIKX, J.C.P.M.
Environmental Technologist, Regional Inspectorate for the Environment, P.O. Box 472,
4430 AL Middelburg, The Netherlands
SUMMARY
Most people in the Netherlands take water for granted. Nevertheless this very water
might quickly become one of the most important factors which inhibit the country's economic
development, possibly causing a drop in the standard of living. A shortage of clean and safe
(drinking) water causes illness, a loss of productivity, and poor public health - and it can lead to
social and political turmoil. Conversely the demand for good drinking water will continue to
increase as long as the population of the Netherlands also increases.
The authorities have developed a multitude of instruments with which they endeavour
to guarantee the long term supplies of drinking water. This contribution discusses these in
more detail.
1 THE NETHERLANDS
1.1 Geography
The Netherlands is a small country, with a surface area of some 41.000 km2 and a
population of about 15 million. It is located on the lower reaches of several big European
rivers: the Rhine, the Maas and the Scheldt. These rivers all discharge their waters into the
North Sea (Figure 1). Much of the Netherlands is below sea level and has to be protected from
the sea by dunes and flood defenses, such as dikes. As so much of the Netherlands is below
sea level the country has a highly ramified drainage system of channels, ditches, watercourses
and discharge canals.
1.2 The authorities
The Netherlands has three layers of government, which are at central, provincial, and
local level. Each layer has a govemmentalor administrativebody bearing political responsibility,
and a civil service which is responsible for the preparation and execution of policy. Parliament
operates at the central level, whilst at provincial level there are 12 Provincial Executives, and at
local level 630 Municipal Executives.
1.3 Drinking water supply
In 1996 thirty water companies provide the public drinking water supplies in the
Netherlands. All companies supply drinking water for human consumption ('quality A' water),
and some also supply 'quality B' water, which is solely for industrial and agricultural purposes.
The water companies are united in the VEWIN, the Dutch Water Suppliers'Association.
They jointly produce about 1300 million m3 drinking water each year. Of this about 1100 million
m3 is produced of groundwater and infiltrated surface water.
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626 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Figure 1. Dutch Water Management System
DUTCH WATERMANAGEMENT
SYSTEM
MAIN SYSTEM
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LIJMBACH-HENDRIKX, J.C.P.M. 627
2 DIVISION OF RESPONSIBILITIES
2.1 Central Government
The civil service prepares legislation and policies and presents these to the authorities
for approval (parliament). The policy plans contain the long term objectives.
The purpose of the policy as laid down in the Policy plan 'Drinking Water and Industrial
Water Supplies' is to safeguard the future public water supplies for the benefit of the health, the
welfare, and the prosperity of society in the Netherlands. The objective is to achieve an optimum
guarantee of the continuity of the supply of good quality drinking water; the manner in which this
is to be achieved also has to comply with the additional conditions that sustained development
of society be feasible and that the costs be acceptable to the populace. The basic premise is
that everyone in the Netherlands shall have access to sufficient drinking water which at least
meets the requirements for the quality as specified in the pertinent legislation and regulations.
Central government has the responsibility of supervising the execution of this responsibility.
The civil service is also responsible for the execution of some of the duties with regard
to the surface water. These involve the monitoring of the quality and the discharge of the big
rivers into the North Sea, the quality of the North Sea, and the granting of licenses for discharge
of water into these waters.
2.2 The provinces
At the provincial level the civil service interpretsthe govemment'sposition to the specific
situation in the province. This interpretation is then presented to the provincial authorities for
approval. A number of duties are also carried out at provincial level. The provincial authorities
supervise the quality and the drainage of the drainage system and they grant licenses for the
discharge of water into these surface waters. They also grant licenses for the pumping of
groundwater. In most provinces they are also responsible for the purification of the domestic
and industrial waste water. In furtherance of this responsibility the provincial authorities grant
the local authorities and industry permission to offer their waste water to the waste-water
purification plant and to the surface waters which subsequently receive the purified water.
However the provincial authorities do not have any specific duties with regard to drinking water;
this is the specific duty of central government.
2.3 The local authorities
Within the municipal limits the local authorities can impose additional requirements
over and above the policy as set down by the provincial authorities. This occurs only occasionally.
In some instances the local authorities are responsible for the quality and the discharge of
smaller(often innerurban) amounts of surface water. Howevertheirmostimportantresponsibility
is the collection and transportation of domestic waste water to the waste-water purification
plant. Another importanttask is to protect the soil (including the groundwater) of the groundwater
catchment areas by spatial planning, environmental licenses and similar measures.
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628 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The local authorities can forbid the siting of industry in, or in the vicinity of, groundwater
catchment areas. If industry is permitted in these areas then there may be extra conditions,
such as the requirement that measures be taken to protect the soil.
2.4 The industrial sector
By law water companies are responsible for the public drinking water supplies. The
management of the water company is obliged to ensure that the supply of sound drinking water
to the users in the distribution area is guaranteed in such quantities and under such pressures
as is required in the interests of public health. The companies carry out this obligation by
drawing surface water from the big rivers and some regional waters, and by pumping up
groundwater. This constitutes the raw waterfor the production of drinking water. After the water
has been purified it is distributed to the users.
Table 1. Division of the pumping stations according to the type of raw water
(1994)
TYPE OF RAW WATER
water table groundwater
water from the 2nd aquifer
bank-filtered river water
infiltrated surface water
surface water, direct or via reservoirs
NUMBER OF PUMPING STATIONS
131
87
15
9
7
3 PROBLEMS
3.1 Quality
The quality of water is detrimentally affected by the quality of water in the big rivers.
The water in these rivers is polluted, either directly, for example by discharges upstream,
disasters on the rivers, discharges from waste-water purification plants, illegal discharges, or
indirectly by sources such as transboundary air pollution and shipping (including anti-fouling
chemicals on hulls). As a consequence in the Netherlands the river beds and surface waters
are heavily burdened with pollutants. The pollutionalso has an adverse effect on regional waters
of all kinds. The regional surface waters are polluted in particular by diffuse sources such as
water draining from the soil (such as polluted rainwater and polluted groundwater as a result of
excessiveuse of fertilizersand protective agents used on crops). The groundwateris in particular
polluted with nitrate and pesticides, again due to the use of excessive fertilizers and protective
agents.
As the quality of the raw water is not ideal, maximum levels of various parameters
have had to be specified; when these levels are not exceeded, then the surface water and
groundwater may be used to prepare drinking water. The number of purification steps and
techniques which are required to make drinking water of an acceptable quality from the raw
water have increased in recent years.
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LIJMBACH-HENDRIKX, J.C.P.M. 629
Table 2. Development of purification techniques
Groundwater
drawing from well
treatment with oxygen
filtration
clear-water reservoir
Surface water
(traditional)
collection
prefiltration
coatilation
filtration
chlorination
clear-water reservoir
Surface water
(present day)
collection
prefiltration
coagulation
filtration
UV/ozone treatment
softening
filtration
clear-water reservoir
3.2 Quantity
The Netherlands is virtually completely dependent on other countries for the supply of
fresh drinking water via the Rhine, Maas, and Scheldt. In the first instance it would seem that
there is an abundance of water in the Netherlands; however this water is not always sufficiently
pure to be suitable as raw water for the preparation of drinking water.
The amount of rainfall which is available to replenish the groundwater drawn from the
soil is 680 m3 per year per head of the population. This makes the country one of the driest in
the world, with a rank equivalent to that of Kenya - whilst the demand for drinking water is still
increasing each year, in spite of all the measures taken to conserve drinking water.
3.3
Guarantees
The water companies are faced with the difficult task of ensuring that they can supply
sufficient good quality water at all times, whilst their influence on the quality of the raw water is
limited. This makes it difficult for the companies to give guarantees to the supervisory authorities
or to the users. They find themselves forced to build purification plants which increasingly
resemble chemical plants.
4 SUPERVISION AND ENFORCEMENT
4.1 The supervision of the water companies
The water companies have to comply with their responsibilities as laid down in the
Water Supply Act and the Water Supply Decree. The central government supervises compliance
with these requirements for drinking water supplied to users, the operation of the purification
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630 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
system and the quality of the raw water. This is affected by means of an annual inspection of
the analytical data. The government used to carry out its own analyses, but has discontinued
this practice. Consequently the supervision is now based on trust, complemented by inspection.
Values in excess of notification limits are reported at once by the water companies to
the government and if possible and if necessary measures are immediately taken to rectify the
situation. The specified limits are only occasionally exceeded "ex pumping station" or in the
distribution network.
Table 3. Summary of the number of times specified limits of some parameters
are exceeded in drinking water "ex pumping station" (1994)
Parameter
degree of turbidity
acidity
total hardness
nitrite
nitrate
manganese
bacteria, coliforms
thermoduric bact.
coligr.
pesticides
number of
measurements
15.233
16.466
3.252
5.879
1.734
8.416
15.439
2.220
10.599
number of
times exceeded
13
10
495
5
2
51
15
4
22
percentage
0,1
0,1
15,2
0,1
0,1
0,6
0,0
0,2
0,2
The raw water is frequently of insufficient quality for use in the preparation of drinking
water. As a consequence the collection of water is halted, or the use of a well is discontinued
for a longer or shorter period of time.
To date enforcement by means of administrativemeasuresand the (temporary)closure
of the water company have been used by the governmentonly in very exceptional circumstances.
The water companies are careful to protect their reputation, by avoiding the adverse publicity
such situations would create.
4.2 Supervision of the raw water
Although the quality of the raw water (surface water and groundwater) is monitored by
the water companies they can in fact only influence the quality to a limited extent. The quality of
the groundwater is determined by the spatial and environmental policy of the provincial and
local authorities. The provincial and local authorities designate areas within their jurisdiction
as groundwater catchment areas. In such areas special regulations apply to the use of the soil,
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LIJMBACH-HENDRIKX, J.C.P.M. 631
including the groundwater. The location of industry within such areas is often not permitted, or
is permitted only under stringent conditions. Activities which constitute a threat to the soil are
not allowed in such areas. The provincialand local authorities are responsibleforthe supervision
of these areas, and of the compliance with any special conditions which may have been made.
The quality of the surface water is determined by the spatial and environmental policy
of central government and of the provincial authorities. These authorities designate surface
waters for 'drinking water collection'. They take account of this when they grant licenses to
discharge water into this surface water. This does not always lead to the desired result, as can
be seen from Table 4 which is a summary of pesticides found in groundwater and surface
water.
Table 4. "Top Twelve" pesticides in raw water (1993)
substance
drins
hexachlo-
robenzene
lindane
atrazine
DDTs
heptane chloride
simazine
desmetryne
1 ,2 Dichloro-
propane
ethoprofos
bentazone
DNOC
groundwater
pumping
stations1
170
170
166
164
153
152
147
144
138
136
24
4
groundwater
measure-
ments
343
333
315
345
302
300
314
295
447
289
271
8
surfacewater
pumping
stations1
15
15
13
11
15
15
11
6
3
4
6
6
surfacewater
measure-
ments
215
254
202
348
207
216
348
189
95
115
88
26
'number of pumping stations at which the substance was measured.
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632 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The influence of the central government and the provincial authorities on upstream
discharges and diffuse sources such as transboundary air pollution is limited. However it should
be noted that since the signing of the Rhine Action Program (RAP) and the International
Conference on the Protection of the North Sea the quality of both these surface waters has
improved considerably. "Special" pollution with Giardia en Cryptosporidium still occurs in
surface water, as can be seen in Table 5.
Table 5. Concentrations of Cryptosporidium and Giardia in surface water
(1994)
Crypto-
sporidium
Maas
Twenthe
canal
Giardia
Maas
Twenthe
canal
number
of samples
39
13
39
13
% positive
90
100
85
100
arithmetic
mean
0,040
0,42
0,048
0,67
range (n/l)
0 - 0,38
0,13- 1,59
0 - 0,58
0,24- 1,29
corrected
average
(n/l)
1,4
1,6
1,5
2,9
5 INSPECTORATE FOR THE ENVIRONMENT MONITORS REMOTELY
While water treatment grows into a complex environmental business, the Inspectorate
for the Environment can do little in response. Of the more than 300 officials working at the
Inspectorate, only 4 concern themselves with drinking water, which is one of the areas where
the Inspectorate exercises first-line monitoring. The traditional manner of monitoring, as
practiced for example by a quality board for surface waters, is inadequate in this case.
If the Inspectorate had to concern itself with taking water samples, there would be little
checking at all. The Inspectorate for the Environment therefore vests a large proportion of
checking responsibility with the companies themselves. The industry itself is responsible for
the essential responsibility of ensuring that there are adequate stocks of drinking water, and of
the right purity level. There are therefore never any spectacular raids on water companies, with
a camera team in trail. Any suspicious water analyses are notified by the water companies
themselves, even before the official enforcement authorities are able to call them to account.
The report on water quality in 1993 was mainly based on measurements carried out
by the water companies themselves. There are two weak spots here: the sampling and the
systematic errors that creep into the analysis. Laboratories regularly exchange samples among
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LUMBACH-HENDRIKX, J.C.P.M. 633
themselves to identify systematic measuring errors. Such group investigations are now being
formalized into a routine control system. Staff who take samples are also exchanged. This
avoids personal methods having an impact on the results.
The Inspectorate for the Environment can then confine itself to checking the
independence and accuracy of the researchers in the company laboratory. Everything stands
or falls by this. If the Inspectorate is deceived just once, all data becomes suspicious. In that
event, they would have to measure everything themselves again. The Inspectorate itself only
takes ad hoc water samples to guarantee that the parties involved have not made any systematic
errors.
For the moment the Inspectorateforthe Environment can continue to operate remotely.
The Inspectorate looks primarily at the organization of the water supply companies and the
laboratories in order to check the approach adopted by the former and the independence of
the latter. For example, it scrutinizes the rules of conduct, disaster scripts and the division of
responsibilities. The quality management system currently being introduced is an important
tool here. The laboratories of the water companies are accredited as 'Sterlab', which means
that operations have been recorded in formal rules. This is being extended to the company as
a whole. The Dutch Water Suppliers' Association (VEWIN) agreed with the Ministry of Housing,
Spatial Planning and the Environment in 1991 that the water companies will have introduced
ISO 9001 procedures by the year 2000. The formal rule-based system along these lines infallibly
shows up the weak spots in the organization. The Inspectorate for the Environment can then
see whether the companies are effectively self-regulating.
6 CONCLUDING REMARKS
The question as to whetherthe legislation and regulations developed by the authorities
in the Netherlands will be sufficient to guarantee the supply of drinking water in the future cannot
yet be answered in the affirmative. In particular the steadily increasing demand for drinking
water is a problem. It is clear that the present drinking water supplies are guaranteed to a
sufficient extent. However, the continual enlargement and extension of the purification systems
is a cause for concern.
REFERENCES
1. Ministry of Housing, Spatial Planning and the Environment, Policy Plan Drinking Water
and Industrial Water Supplies, 1982*
2. Ministry of Transport, Public Works and Water Management, Evaluation Memorandum
Water, 1992*
3. Water Supply Act/Water Supply Decree, Koninklijke Vermande, 1994*
4. Inspectorate for the Environment, report 'De kwaliteit van het drinkwater in Nedertand in
1994' (The quality of drinking water in the Netherlands in 1994), December 1995
5. Erasmus University, Rotterdam, Levend Water en een wereldstad (The vital water of a
metropolis), Prof. dr. H.L.F. Saeijs, September 1995
6. Inspectorate for the Environment, Zicht op Zorg in de Drinkwatervoorziening (Review of
the protection of drinking water supplies), November 1995
'Available in the English language.
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634 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
-------
BAERT, DR. Sc. ROBERT; LOONTIENS, ROLAND; AND DEVOS, M. Sc. MARC 635
POTASSIUM AND NITRATE POLLUTION OF SURFACE WATER IN THE
CATCHMENT AREA OF THE "BLANKAERT" WATER PRODUCTION CENTRE
IN FLANDERS (BELGIUM)
BAERT, DR. SC. ROBERT, LOONTIENS, ROLAND,and DEVOS, M. SC. MARC
Environment Inspection Section; Environment, Nature, Land and Water Management
Administration, Environment and Infrastructure Department of the Ministry of the Flemish
Community, WTC-toren 3, Simon Bolivarlaan 30, B -1210 Brussels, Belgium
SUMMARY
The Environment Inspection Section, West Flanders Local Service has jurisdiction
over the "Blankaert" water production centre, which is completely fed by surface water from the
Ijzer river, the Blankaert pond and the Koevaardeken.
The quantity of drinking-water hourly distributed in the water supply system ranges
from 300 to 2.800 m3. Increasing pollution and seasonal differences in quality and quantity
render a reservoir (3.000.000 m3 capacity) absolutely necessary.
The rising potassium and nitrate content of the reservoir water led the drinking-water
collection company to request the Environment Inspection Section to conduct an exhaustive
inquiry into the causes of this pollution.
The potassium pollution turned out to be completely caused by the waste water
discharge of an important company. Stopping the potassium discharge turned out to be
impossibleon the short term but initiativeson the European level will eventually cause standards
as to the potassium content of drinking-water to be adopted.
The causes of the nitrate pollution are diffuse and are fully due to agricultural activities,
being the excessive manuring of lands and pastures, on the one hand and the manure
discharges on the farms, on the other. Our Local Service intensively scanned the catchment
area of the water production centre and consequently imposed various preventive measures.
Offenses have been reported to the Public Prosecutor.
1 INTRODUCTION
The water production centre (WPC) the "Blankaert" of the Flemish Water Supply
Company (VMW) is located in the extreme West of Flanders (Belgium) (see Figure 1) and
distributes 300 tot 2800 cubic meters of drinking water an hour based on surface water coming
from the Ijzer river, Blankaertpond and the Koevaardeken.
The hydrographic basin of the Ijzer river covers the municipalities listed below:
Alveringem, Poperingen, Vleteren, Lo-Reninge, Heuvelland, leper (Ypres), Zonnebeke,
Langemark, Staden and Houthulst; the overall number of inhabitants amounts to 110,000 (see
Figure 2).
The area hasa surface of about 300 square kilometersand is largely agrarian: intensive
farming and intensive cattle breeding. Overall livestock consists of more or less 100,000 bovine
animals, 630,000 pigs and 1.7 million of poultry. Only in the Ypres area do we find a limited
industrial activity.
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636 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Figure 1
Hydrographic Basin of the Uzer river as
situated in Flanders (Belgium)
the Netherlands
North Sea
France
-------
BAERT, DR. Sc. ROBERT; LOONTIENS, ROLAND; AND DEVOS, M. Sc. MARC 637
Figure 2
Hydrographic Basin of the Uzer river
North Sea
France • Belgium
Waterproduction centre the "Blankaert"
France ""} Belgium
3km
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638 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
As quality and quantity of surface waterin waterways largely dependent on the seasons,
intermediate storing in a reservoir is absolutely necessary (contents: 3 million cubic meters).
The storage of surface water takes place as a function of the quality and mainly in wet periods.
Figure 3 shows the water production center (WPC ), the "Blankaert" and the surrounding
catchment area (see Figure 3).
Initial sedimentation and a biological self-purification take place in the reservoir. After
the reservoir, the water is purified in two biological oxidation towers with lava rock. Next, the
remaining organic material is decanted with ferrichloride. Finally, afterbreaking-pointchlorination
and activated carbon filtration, sodium hypochlorite disinfection is carried out. This water is
subsequently pumped to the consumer as tap water.
Nevertheless, reservoirwaterquality is negatively affected by the following parameters:
pesticides, potassium, boron, nitrate and sewage. As far as sewage is concerned, an extended
program is currently in progress and includes constructing waste water collectors and waste
water treatment plants in the above-mentioned municipalities.
2 THE POTASSIUM PROBLEM
On July 31,1992, the Government of Flanders granted a deviation for the potassium
parameter up to 30 mg/l for the VMW the "Blankaert" water production centre, whereas then
drinking water standard for potassium amounts to 12 mg/l.
Conducting research into the cause of this high potassium concentration was made
as a condition for granting that temporary deviation.
An initial study was carried out by the Flemish Water Company. As treatment at the
water production centre itself did not influence the potassium levels, the latter completely
depends on the quality of the surface water taken in.
That's why the hydrographic basin of the Ijzer river was examined. It revealed that the
potassium levels already come close to the 12 mg/l standard value at the source in France and
that it keeps on growing downstream up to the place where the wateris collected for the reservoir.
On the one hand, this rise is caused by draining farmland through topdressing and on the other
hand by industrial discharges through the lepercanal, by far making the largest contribution.
This way, one notices that the potassium levels in the Ijzer river rises from 19 to 43 mg/
I due to the water supply from the lepercanal (51 mg/l), in turn fed by the leperlee (192 mg/l).
Table 1 summarizesthe potassium levels (in mg/l) in the surface waters of the collection
area. The code refers to the sample location indicated in Figure 2.
Furthermore, it was revealed that the high potassium levels of the leperlee came from
discharges of one of the industrial zones of Ypres town. The discharges of that particular
industrial zone contained as much as 900 mg/l and this way the main potassium source was
already found, more or less.
The Environment Inspection Section took waste water samples of all important
companies located in the industrial zone concerned. The analysis results revealed that the
potassium concentration in the waste water of a soya-processing company amounted to an
average of 1.000 mg/l or a bulk of more or less 2.500 kilograms of potassium a day. The
highest potassium concentration observed in the other examined companies amounted to 72
mg/l.
The discharge permit of the soya-processing firm did not include any potassium
standard, but the Environment Inspection Section ordered the firm to submit an action proposal
aiming at a dramatic decrease of the potassium level in the waste water.
-------
BAERT, DR. Sc. ROBERT; LOONTIENS, ROLAND; AND DEVOS, M. Sc. MARC 639
Figure 3
Catchment area of the Blankaert Water
Production centre
Uzer
Handzamebrook
•tlUVM^S* •> -V,
Pond v-Ronebrook
^^—'^^ x
Steenbrook \
France Belgium
y-j
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640 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Soon, however, one of the raw materials used (soya flakes) turned out to contain much
potassium. Consequently, the potassium level in the waste water could not be lowered by
changing the production process. Furthermore, it turned out that a period of at least two years
would be required for a water purification extension with a facility based on the reverse osmosis
principle to become operational. Moreover, this action would require the company to make a
very considerable investment.
A literature study further revealed that laying down a potassium standard for drinking
water quality is obsolete. The 1992 revision of the World Health Organization guidelines for
drinking water quality (report of the final task group meeting; Geneva; Switzerland, September
21 to 25, 1992) eliminated the potassium parameter. In its document entitled "Updated
comments on the Revision of the Drinking Water Quality Directive 80/778,1993", the EUREAU
organization stated the following regarding potassium: "...can be omitted without any effect on
the water quality or protection of the consumer." and also:" ...the parameter has no relevance
to water quality to the consumer and can be removed from the directive." In fact, the potassium
parameter will soon be omitted from the European directive.
For these reasons, it was decided to not impose any measure for the company involved
lowering the potassium levels in the drained waste water.
Table 1. Hydrographic basin of the Ijzer river: potassium-concentration
(mg/l)
SAMPLING POINT
Ijzer at Esquelbecq
Ijzer at Bambecq
Ijzer at Eybecque
Ijzer at Roesbrugge
Ijzer at Stavele
Poperingecanal
Ijzer at Elsendamme
Ijzer at Fintele
Kemmelbrook
Ijzer before confluence
with lepercanal
Ijzer after confluence
with lepercanal
WPC the Blankaert
CODE
B 18
B 17
B 16
B 12
B 19
B 14
B 1 1
B 13
Y 11
B 7V
B 7N
MEAN
11,3
12,8
18,9
16,5
20,8
23,5
20,7
16,8
25,2
34,2
42,6
22,4
MINIMUM
6,6
7,2
9,4
4,6
8,5
11,6
8,5
8,0
10,5
9,0
3,1
15,5
MAXIMUM
20,6
24,5
42,5
31 ,7
46,4
49,4
49,2
38,2
76,5
179,8
181,8
35,4
3 THE NITRATE PROBLEM
High nitrate concentrations in surface water cause problems for reaching the drinking
water standards laid down. The March 15, 1989 Government of Flanders Decree lays down
the standard to be no more than 50 mg/l. Table 2 offers a summary of the nitrate grades (in mg/
I) in the surface waters of the catchment area. The code refers to the sample location indicated
in Figure 2.
No doubt, direct liquid manure drainage combined with topdressing of farmland are
the main nitrate pollution sources.
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BAERT, DR. Sc. ROBERT, LOONTIENS, ROLAND, AND DEVOS, M. Sc. MARC 641
Table 2. Hydrographic basin of the Ijzer river: nitrate-concentration (mg/
I)
SAMPLING POINT
Ijzer at Esquelbecq
Ijzer at Bambecq
Ijzer at Eybecque
Ijzer at Roesbrugge
Ijzer at Stavele
Poperingecanal
Ijzer at Elsendamme
Ijzer at Fintele
Kemmelbrook
lepercanal
Ijzer after confluence
with lepercanal
WPC the Blankaert
CODE
B 18
B 17
B 16
B 12
B 19
B 14
B 11
B 13
Y 11
B 15
B 7N
MEAN
60
60
55
44
48
52
48
48
58
50
42
32
MINIMUM
41
39
1
0
2
0
3
0
0
0
1
5
MAXIMUM
87
85
86
85
84
115
97
98
133
119
108
50
In order to lower the impact of direct liquid manure drainage considerably, the
Environment Inspection Section took a special action.
In 1993 and 1994, 1.228 inspections were carried out in 950 stock breeding firms,
such as pig farms, cattle farms and poultry farms. Pig farms stood for 55% of the examined
firms.
These stock breeding firm examinations concentrated on the license situation of the
firm and possible illegal drainage, such as direct liquid manure drainage, cesspool overflows
(draining cesspool fluids), draining rinsing water in stables, collecting or directly draining
rainwater, dumping silo fluids, among other things.
Serious infringements-such as direct liquid manure drainage and/or running unlicensed
stables - were observed in 12 companies. In each of those cases, a report was made and sent
to the Public Prosecutor; moreover, orders were given in 5 of these cases. These orders involved
ending illegal drainage at once or clearing illegal stables. In the case of one firm, for which
several reports were made due to illegal draining, but that did not obey the orders, the authority
that granted the license was requested to abolish the environmental permit. At least, the permit
of this firm involved was suspended for one year.
In case of minor faults, such as cesspool overflows, a warning was given and
reorganization measures were imposed in order to prevent draining waste water into surface
waters or the soil. 201 warnings were given in all. After a few months, a next inspection was
carried out in order to find out wether the warnings were observed. Except in a few cases, the
imposed activities were carried out meticulously.
In case of a few larger pig farms (more than 2,000 pigs), the examination was carried
out in cooperation with inspectors of the Flemish Land Company (VLM). The latter checked
whether all documents regarding manure production were filled in correctly. When this was not
the case or when the difference between the quantity of manure produced at the firm and the
proven production was too large, this might indicate systematic direct liquid manure drainage.
As a matter of fact, several inspections were held in such cases in the neighborhood of the firm
and more particularly in ditches and brooks in the immediate surroundings.
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642 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Nevertheless, this action can be said to have had only a limited effect on the average
nitrate grade in the hydrographic basin of the Ijzer river. No doubt, topdressing of farmland now
turns out to have a dominating influence on the nitrate problem.
As topdressing occurs all over Flanders, the Government of Flanders approved a
"Manure Action Plan" (i.e. MAP) that came into effect on January 1,1996.
This Manure Action Plan aims at a long-term equilibrium in the Flemish balance of
nutrients (nitrogen and phosphor). Goals for the basic quality of soil, water (surface and ground
water) and air to be reached and/or maintained were laid down.
In protected drinking water collection areas, such as the water production centre the
"Blankaert" and the surrounding catchment area, more rigid fertilization standards apply.
Meanwhile, the Flemish Water Company decided to start constructing a nitrate
elimination facility. This facility will treat a partial flow of 750 cubic meters an hour in a fluidized
bed reactor using methanol as a carbon source.
4 CONCLUSION
Two examples were given in which the Environment Inspection Section took action
and specifically scanned companies in order to try and improve the surface water quality so
that a larger quantity of water is rendered possible for the water production centre the "Blankaert."
The impact of diffuse drainages made it clear, however, that improvement of local
sources will not do to reach a drastic surface water quality improvement.
All hopes must be set on a strict application of Manure Action Plan by the authorities
granting permits and effective and efficient enforcement. We may wonder to which extent the
authorities will balance the importance of this Plan and its environmental goals against the
economic importance of the stock breeding firms sector, among other things.
This way, we will be able to asses the effectiveness of the present Manure Action Plan
only in a few years.
REFERENCES
1. EUREAU, Updated comments bij Eureau on the Revision of the Drinking Water
Directive 80/778/EEC, August 1993, p. 51.
2. Ministerie van de Vlaamse Gemeenschap, Department Leefmilieu en Infrastructure,
AMINAL, Bestuur Milieu-inspectie jaarverslag 1993, p. 101.
3. Vlaamse Maatschappij voor Watervoorziening, WPC De Blankaert - Onderzoek
kaliumgehalte, Nota ingediend bij de aanvraag tot afwijking op het Besluit van de
Vlaamse Executieve van 15/03/89 houdende vaststelling van een technische
reglementering inzake drinkwater, p. 10, not published.
4. Vlaamse Maatschappij voor Watervoorziening, WPC De Blankaert - Onderzoek
nitraatgehalte van de waterlopen in het captatiegebied, p. 27, not published.
5. Vlaamse Milieumaatschappij, ontwerp AWP - II Ijzer - Blankaert en Handzame vaart, p.
155, 1994.
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DEVLIN, BETSY 643
PROTECTING DRINKING WATER QUALITY THROUGH THE CLEAN WATER
ACT AND THE SAFE DRINKING WATER ACT
DEVLIN, BETSY
Office of Regulatory Enforcement, Office of Enforcement and Compliance Assurance,
US Environmental Protection Agency, 401 M Street SW, Mail Code 2243-A, Washington,
D.C. 20460, United States
SUMMARY
This paper provides an overview of the programs authorized under the United States
water laws designed to protect drinking water supplies. Statistical information on the number
of drinking water supplies and their compliance with drinking water regulations is also given.
1 INTRODUCTION
Threats to the quality of drinking water come from a variety of sources — bacteria,
turbidity (caused by suspended matterin the water), overflowingstorm sewers, defective storage
tanks, pesticides, fertilizers, and other agricultural run-off, run-off from oil-slicked or salt-treated
highways, and underground injection of wastes to name a few. Protecting the quality of drinking
water sources from all these threats is a complex process which requiresa variety of approaches
from traditional permit and/or enforcement programs to those that rely more on education,
outreach, and technical assistance. The United States has two primary laws designed to protect
the quality of the nation's waters — the Clean Water Act and the Safe Drinking Water Act. The
Clean Water Act deals for the most part with surface waters; the Safe Drinking Water Act deals
with both surface and ground waters. While threats to and indicators of the quality of surface
water are often easy to see, the same cannot be said for groundwater. Yet, protection of ground
water is critical as 95% of all fresh water available on earth (excluding the polar ice caps) is
groundwater and approximately 53% of the United Sates population relies to some extent on
ground water as a source of drinking water.
This paper will briefly summarize several of the major programs designed to protect
drinking water supplies — the Public Water System Supervision Program, the Underground
Injection Control Program, and Source Protection Programs, including the wellhead protection
program, comprehensive state groundwater protection programs, and watershed protection
programs. This paper does not deal with the significant contributions made to the protection of
drinking water supplies by the hazardous and solid waste law (the Resource Conservation and
Recovery Act) or the hazardous waste site clean-up law (the Comprehensive Environmental
Response, Compensation, and Liability Act, commonly known as Superfund). The majority of
the programs designed specifically to protect drinking water supplies are authorized by the
Safe Drinking Water Act; however, as the Clean Water Act programs play a major role in
controlling and improving surface water quality, this paper will briefly summarize some of the
requirements of that Act as well.
Before examining specific statutes and programs, however, it is important to touch on
one of the key principles in environmental regulation and enforcement— that of shared
responsibility between the national government, represented by the US EPA, and the State
and local governments. Under both the Clean Water Act and the Safe Drinking Water Act, EPA
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644 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
may delegate the primary responsibility for administering programs and enforcing requirements
to the States once the States meet certain program requirements. Delegation often makes
implementation and enforcement of regulatory requirements somewhat more complex; yet it
allows States some flexibility to tailor the programs to specific situations within their boundaries.
Given pressures to reduce the size of the federal government, the fact that many States have
developed considerable expertise in environmental protection, and the fact that many
environmental problems need local solutions (for example, land use planning), there is an
increasing emphasis on partnerships with State and local entities. The full impact of this trend
on environmentalenforcement (particularly the roleof the federal government) and environmental
quality will not be known for some time.
2 CLEAN WATER ACT PROGRAMS
2.1 The National Pollutant Discharge Elimination System
The Clean Water Act, originally passed in 1972, has as its goal the restoration and
maintenance of the chemical, physical, and biological integrity of the nation'swaters. The Clean
Water Act programs protect the sources of drinking water — they do not regulate drinking
water quality directly. While the Clean Water Act established many programs, arguably one of
the most successful at controlling sources of water pollution has been the National Pollutant
Discharge Elimination System (NPDES) program. Under the Act, all discrete wastewater
conveyances (that is, point sources) that discharge wastewater to waters of the United States
must have a permit in order to discharge that wastewater. Waters of the United States include
any surface water, including intermittent streams, and those underground sources which have
a direct hydrologic connection to a surface stream.
Point sources are generally either industrial, that is commercial and manufacturing
facilities.or municipal, also known as publicly owned treatmentworks. Municipalfacilitiesinclude
domestic wastewater directly discharged to sewers and industrial waste which is indirectly
discharges to sewers. Both industrial and municipal sources can be classified as "major" or
"minor" depending on their size, location, type of discharge, and other factors.
There are nearly 100,000 point sources discharging wastewater in the United States;
there may be an additional 100,000 discharging contaminated stormwater (note, however,
that these stormwater sources are by and large not yet under the same type of controls as
other point sources). The permits issued to the point sources require them to meet certain
limits in the wastewater which is discharged. These limits are either technology-based or water
quality based. Technology-based limits are established based on the best-availabletechnology
and do not take into consideration the condition of the waterbody into which the source
discharges. In other words, the source must install the technology and achieve the limits that
the technology will meet. Water quality based limits are set based on the quality of the water
receiving the discharge.
In addition to effluent limits, permits include both standard and site-specific compliance
monitoring and reporting requirements and other site-specific conditions that EPA or the State
may deem necessary to control the discharge, for example, construction schedules, best
management practices, or additional monitoring for pollutants of particular concern.
In order to obtain a permit to discharge (or to modify or renew an existing permit), the
owner/operator of a point source submits an application to the permitting authority (that is,
either EPA or the State) 180 days before a new discharge or before an existing permit expires.
The permit writer reviews the submission and drafts a permit. This draft is sent to the applicant
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DEVLIN, BETSY 645
and is published in order to notify the general public that there has been an application for a
permit and to invite their comments. A public hearing on the permit may be held where there is
sufficient public interest. The permit writer accepts all public comments, responds to them, and
issues a final permit. The final permit may be challenged either through an administrative
process or in the courts; however, any challenge must be made within the statutory or regulatory
time frames or the permit becomes final. Permits are issued for a term of five years.
EPA may issue the permits itself or may delegate the responsibility to the States.
States and/or EPA determine compliance with permit limits and other permit terms through the
required reports and through periodic inspections. Where a facility is not acting in compliance
with its permit or if a facility is discharging without a permit, an enforcement action is usually
taken.
The Clean Water Act provided EPA many tools to create an effective enforcement
program. Under Section 308, EPA may issue an order requiring a source to perform sampling
and provide records and reports to EPA (The required sampling may be beyond what is required
in a permit.) In addition, EPA has the authority enter and inspect any facility. Under Section
309, whenever EPA has information that any person is in violation, EPA may: (1) notify the
State [if the State has an approved permit program] and provide the State 30 days to take an
enforcement action. If after 30 days the State has not acted, EPA "shall" issue an order or bring
a civil action; (2) issue an administrative compliance order; (3) issue an administrative penalty
order (the maximum administrative penalty which can be sought is $125,000); or (4) bring a
civil action for appropriate injunctive relief and penalties up to a maximum of $25,000 per day
per violation. Moreover, EPA may seek criminal penalties for negligent violations, knowing
violations, knowing endangerment, or making false statements (including falsifying monitoring
devices).
The type of enforcement action expected given the type and duration of a violation is
clearly spelled out in this program's Enforcement Management System.
The permitting system for point source dischargers and the accompanying compliance
and enforcement program have been and continue to be a major force behind many of the
water quality improvements seen in recent years. They have served as a model for other water
programs.
2.2 Other provisions of the Clean Water Act
The Clean Water Act has several other majorcomponents which are critical in protecting
and improving water quality, including: (1) the water quality standards program under which
States adopt EPA-approved standards for their waters. These standards define the water
quality goals for water bodies and consist of the designated uses of the water body, criteria to
protect those uses, and antidegradation policies to protect the existing water quality; (2) Effluent
guidelines program under which EPA develops nationally consistentguidelineslimiting pollutants
in discharges; these guidelines are used in setting the permit limits; and (3) The development
of Total Maximum Daily loads or TMDLs. A TMDL calculates allowable pollutant loadings from
the contributing point and nonpoint sources to a given water body and provides a quantitative
basis for the pollution reduction necessary to meet water quality standards. States develop
and implement TMDLs for high priority impaired or threatened water bodies.
Each of these programs is critical in protecting water quality and could be the subject
of a separate paper. They are mentioned here only to demonstrate the many elements needed
in a program to protect surface water.
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646 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The Clean Water Act programs have been very successful in controlling pollution of
surface water by point sources, that is, by "discernable, confined, and discrete conveyances."
The major sources of pollution of surface water (and therefore of drinking water sources) which
are not yet under enforceable controls are those from so called nonpoint sources, for example,
agricultural runoff. These present particular challenges as the Clean Water Act did not provide
EPA the authority to deal with them in the same way as with point sources; that is through a
permit program and clear enforcement authorities.
Given the statutory limitations on dealing with nonpoint sources and a growing
consensus among many that water quality problems are best solved at a watershed level, EPA
and many states have over the past several years been pursuing a "watershed approach" to
water quality management. Specifically, this means that managers are encouraged to examine
all factors contributing to water quality impairment and apply a coordinated, holistic approach
to solving the problem. States and/or EPA Regions using this approach target watersheds
where pollution poses the greatest risk to human health, ecological resources, or desirable
uses of the water; involve all parties with a stake in the watershed in the analysis of problems
and the implementation of solutions; and draw on a full range of available methods and tools
(including compliance and enforcement activities) to solve the problem.
For example, Watershed A is targeted for attention by a State since it: (a) contains a
river which is a source of drinking water, home to several species of fish, and serves as a
place for recreation; (b) has two facilities with NPDES permits which discharge into the river;
(c) has farms lining large segments of the river; and (d) currently does not fully meet the water
quality standards set for the river or river segments. The State managers begin a
comprehensiveanalysisof sources of pollutionand theireffects on water quality. They determine
that, in fact, the permittees and the agricultural runoff are the primary sources of pollution. The
managers review the compliance status of the permittees and determine that one is in violation
of its permit limits and one is not. An enforcement action is taken against the violator. That
action requires the violator to comply with permit limits and to perform a supplemental
environmental project which further improves water quality in the area. Additional review and
analysis of the other permit, however, indicates that the permit will be up for reissuance soon
and that levels of particular pollutants being discharged need to be tightened. As the permit
process occurs, more stringent limits for particular pollutants are proposed and are placed in
the final permit. Finally, outreach and technical assistance activities are directed at the
agricultural community in order to fully educated them about the effects of pesticide and other
runoff and the management practices which can be implemented to control the runoff. All these
actions, taken in a coordinated fashion, serve to improve the water quality in the watershed.
This watershed approach thus protects the drinking water by protecting the quality of
the source water. Protection of the drinking water source may reduce the need for treatment by
the drinking water system, for example, by reducing the level of pesticides which run off into
the source water, the drinking water treatment needs are reduced. The approach requires both
traditional permit programs as well as those which rely on education and outreach in order to
be effective.
Given this very brief overview of the Clean Water Act programs and how they generally
protect the surface waters which are sources of drinking water, we will now turn to a discussion
of the Safe Drinking Water Act and those programs which have been specifically designed to
protect drinking water supplies.
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DEVLIN, BETSY 647
3 SAFE DRINKING WATER ACT (SDWA)
The Safe Drinking Water Act was originally passed in 1974. The statute established
several programs to insure drinking water quality — the public water system supervision
program, the underground injection control program, and other groundwater protection
programs, including the wellhead protection program and comprehensive state groundwater
protection programs.
3.1 Public Water System Supervision (PWSS) Program
Under this program, EPA regulates public water systems — those systems which
provide "piped water for human consumption" and regularly serve at least 25 individuals or
have at least 15 service connections. EPA establishes national primary drinking water
regulations with which all public water systems must comply. These regulations set the health
standards for water which is delivered to the consumers. They also include the monitoring and
reporting requirementsand the methods which must be used in analyzing water samples. States
which have been approved to administer the program must have regulations which are "no
less stringent" than the federal requirements.
3.1.1 Nature of the regulated community
In the United States, there are approximately 186,000 public water systems. In order
to manage this vast number, the program divides water systems into three types: (a) community
water systems—those that provide water to the same population year-round; (b) nontransient
noncommunity water systems — those that serve at least 25 of the same people at least six
months of the year, for example, schools and factories that have their own water supplies; and
(c) transient noncommunity water systems — these provide water to transitory customers in
nonresidential areas such as campgrounds and highway rest areas which have their own water
systems. There area approximately 56,000 community water systems, 24,000 nontransient
noncommunity water systems and 106,000 transient noncommunity water systems.
Public water systems can be either publicly or privately owned. A great number of the
small community water systems and the nontransients are in fact privately owned.
A review of some information on the nature of the regulated community in the drinking
water program as well compliance statistics will enable a better understanding of the program
and some of the difficulties in implementation and enforcement. Because EPA and the States
focus most of their attention on the community water systems, the following discussion will deal
only with the community water systems and reflects the fiscal year 1994 compliance data.
EPA frequently classifies community water systems into five size categoriesfor analysis
(See Table 1).
Table 1. Categories of Water Systems Based on Population Served
System Size
Very Small
Small
Medium
Large
Very Large
Population Served
25 - 500
501 - 3,300
3,301 - 10,000
10,001 - 100,000
More than 100,000
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648 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The vast majority (87%) of the community water systems are systems which serve
less than 3,300 persons, that is, the small and very small systems. However, although there are
over 49,000 of these systems, they serve only 11% of the population served by community
water systems. Conversely, the other 13% of the community water systems serve 89% of the
population; in fact the 317 systems which serve more than 100,000 persons serve 44% of the
population.
Many of the small and very small public water systems experience particular difficulties
in complying with the drinking water regulations. Because they serve few people, they have a
small rate base; therefore they have little or no money for system improvements which may be
required due to the regulations or even for routine maintenance. Many do not have full time
operators; and, in some cases, even where they have operators, the operators are not technical
experts. Finally, the systems are often located in rural or isolated areas and therefore
consolidation with another system (either physical or managerial) is not an option as a means
of coming into compliance.
Lack of financial capability is not limited to the small and very small systems. Many of
the medium, large, and very large systems, especially those owned and/or operated by
municipalities, although they may have a large number of customers, have difficulties raising
revenue needed for major improvements. The Safe Drinking Water Act, unlike the Clean Water
Act with its Construction Grant and State Revolving Fund programs, did not authorize a federal
grant or a loan mechanism which would make it possible for water systems to obtain funds for
needed improvements. Several of the States have developed programs of financial assistance;
however, the lack of funding has contributed to difficulties in achieving compliance with
regulations.
Compliance with federal regulations, while high, has been declining in recent years. In
fiscal year 1990, 73%, almost three-quarters of the community water systems reported no
violations of federal regulations. In fiscal year 1994, only 66% reported no violations. There are
numerous factors contributing to this trend. One of the major ones is the full implementation of
many new regulations which were promulgated underthe Safe Drinking Water Act Amendments
of 1986, including the surface water treatment rule and the lead and copper rule. These complex
rules have lead to an increase in the number of systems with violations, especially monitoring
and reporting violations. Another factor is that over this period there has been more complete
reporting of violations from the States to EPA. This enables EPA and the States to have a
better understanding of the nature of the noncompliance.
Some specific information on community water systems with violations in fiscal year
1994 may be useful. In fiscal year 1994, over 19,500 community water systems reported a
total of over 88,000 violations. The majority of the systems in violation (90%) were the very
small and small systems (i.e., those that serve less than 3,300 persons). However, this is not
surprising since the vast majority of water systems in the United States are in that size category.
The most common types of violations were monitoring and reporting violations of the total
coliform rule (the basic rule of the program) and the lead and copper rule (a relatively new
regulation which required ail systems to monitor for lead and copper at a certain number of
targeted sites). The next most common violation is the violation of the total coliform maximum
contaminant level (an indicator of microbiological contamination).
The large number of systems in violation indicates that much work, using all the
compliance and enforcement tools available to both federal, State, and local officials, remains
to be done in the drinking water program.
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DEVLIN, BETSY 649
3.1.2 Implementation and enforcement challenges
Implementation and enforcement of the Safe Drinking Water Act and the national
primary drinking water regulations are complex due the nature of the regulated community
described in the previous section and due to statutory and regulatory constraints. As noted in
the previous section, EPA sets the national regulations which cover approximately 186,000
public water systems. The Safe Drinking Water Act, unlike the Clean Water Act, did not set up
a national permit program for public water systems; therefore, all of the requirements for all
public water systems must be in the national regulations. There is generally no separate process
or mechanism for specifying the limits and or the monitoring/ reporting requirements with which
a system must comply.
Because the regulations are national regulations and because EPA has recognized
that circumstances vary widely across the country, EPA has in writing the regulations, attempted
to provide some flexibility to States to deal with the specific circumstances of water systems in
their State. In addition, in these regulations EPA has tried to make some of the requirements
less onerous for small systems and has given them more time to comply, for example, by
making monitoring requirements effective later for the small systems. The need to make the
national regulations cover all situations and yet provide flexibility has made the federal
regulations very complex.
Moreover, because the regulations attempt to provide some flexibility, many parts of
them are not self-implementing; that is, they require a decision or other action by the State or
federal agency with responsibility for administering the program before the public water system
is required to comply; for example, the State many need to set a monitoring schedule or
determine of a monitoring waiver is allowable. This places an additional burden on EPA and
State staffs to make those decisions and document them. In many cases, the procedural
requirements for making these decisions are not clearly spelled out in the regulations. While
the regulations require that States (or EPA regions where EPA is running the program) keep
records of determinations made with respect to water systems, there is often not one place
where one can easily go to determine precisely what a water system must do to comply — i.e.,
there is no permit. In many instances there is also not the opportunity for public comment and
participation as on a discharge permit. This system does not compare well to the relatively
straightforward system described earlier for discharge permits. The combination of all of these
factors make the drinking water regulations difficult to implement and enforce.
There is, however, one area where the drinking water regulations may arguably be
easier to implement that the wastewater permits — that is in the area of national standards. All
drinking water systems must meet at least the same health standards. This insures a base
level of health protection throughout the United States. In the wastewater permit program,
however, different permittees may meet different effluent limits and these limits are set and can
be debated in each permit.
The difficulties of enforcing the drinking water regulations are compounded by the
fact that the enforcement authorities provided to EPA for the drinking water program are, unlike
those provided under the Clean Water Act, quite limited. Prior to the 1986 amendments to the
Safe Drinking Water Act, the only enforcement authority available to EPA was the civil judicial
action. In the 1986 amendments, EPA was provided the authority to issue administrative orders
to compel compliance with the national primary drinking water regulations. However, the statute
requires a three step process to issue a compliance order — a notice of violation to the State
and the violator, a proposed administrative order and the opportunity for a public hearing, and
then a final administrative order. EPA may assess an administrative penalty only if the final
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650 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
administrative order is violated and the penalty is limited to $5,000. EPA may also initiate civil
judicial actions for violations of the regulations. These actions may seek both injunctive relief
and penalties of up to $25,000 per day per violation.
EPA does have broad emergency authority under the Safe Drinking Water Act to deal
with "imminent and substantial endangerments" to public health. Under these provisions,
whenever EPA has information that a contaminant which is present in or is likely to enter a
public water system or an underground source of drinking water may present an imminent and
substantial endangerment to public health, and the State and local authorities have not acted
sufficiently to protect public health, EPA may take such actions as deemed necessary to
protect public health. These provisions have been interpreted very broadly and EPA has used
the authority on numerous occasions to deal with contaminated or potentially contaminated
drinking water.
Even with the substantial difficulties in enforcing the drinking water regulations, EPA
has made drinking water enforcement a priority at both the State and the federal level. This has
been a bit of a struggle given the background of the drinking water program. Drinking water
programs were State programs until the 1974 Safe Drinking Water Act— there were no federal
requirements. In the early years of the program, EPA did not really focus on enforcement as a
tool for achieving compliance. State programs relied almost totally on technical assistance.
Enforcement actions were reserved for the most recalcitrant violators. With the 1986
amendments and the additional enforcement authorities provided, EPA began to look more
closely at the State and federal drinking water enforcement programs and attempted to balance
the technical assistance and enforcement programs. Many State drinking water programs,
however, still see enforcement as an indication of the failure of their technical assistance
programs. The federal position has always been that the drinking water program needs a
balance of technical assistance and enforcement; both are tools to be used to protect public
health and should be used in appropriate circumstances.
EPA and the States have seen some successes in strengthening enforcement
programs. The following tables display some of the statistics on State and federal formal
enforcement actions.
STATE AND FEDERAL ENFORCEMENT ACTIONS (FISCAL YEARS 1990
1994)
Table 2. State Enforcement Actions
1990
1991
1992
1993
1994
BCAs*
240
427
303
375
474
Aos**
1,004
1,358
1,009
968
930
Civil
Referrals
175
156
51
182
62
Criminal
Filings
3
7
20
7
25
Total
1,422
1,948
1,383
1,532
1,491
*BCA: Bilateral Compliance Agreement — an agreement signed between a State and a
public water system which provides the system a schedule for coming into
compliance.
"AO: State administrative order, either with or without a penalty.
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DEVLIN, BETSY 651
Table 3. Federal Enforcement Actions
1990
1991
1992
1993
1994
NOVs
NOVs
453
2,448
1,485
1,466
2,831
PADS
312
443
539
629
838
1431
FAOs
149
303
352
364
309
Orders
**
**
9
8
8
CFPS
14
16
32
37
44
New
Refs
11
7
6
13
6
Total
939
3,217
2,423
2,517
4,036
Notices of Violation
PAOs: Proposed Administrative Orders
FAOs: Final Administrative Order
(Note that EPA tracks all stages of the administrative action, since the Safe
Drinking Water Act requires the agency to issue Notices and Proposed Orders
before issuing a final order.)
1431 Order: An emergency order, issued under Section 1431 of the Safe Drinking Water
Act
CFPs: Complaint for an administrative penalty for a violation of an administrative order
New Refs: New Civil Referrals to the Department of Justice
** In 1990 and 1991, the program did not track 1431 orders separately from other
final administrative orders; so any 1431 orders issued are counted in the final
order column.
The statistics on State and federal enforcement show that there is a good deal of
administrative enforcement in the program, but not a large number of judicial actions. Over the
past few years, there have been several initiatives to deal with specific noncompliance issues
(for example, lead and copper monitoring). States and EPA continue to focus their enforcement
efforts on those regulations which provide the greatest protection for public health. In addition,
State and federal programs have worked and continue to work to build the enforcement
infrastructure needed for a successful program; for example, EPA has developed many basic
enforcement policies and procedures and many States which did not have administrative
enforcement authorities have worked to obtain them from their legislatures.
The drinking water program as can be seen from this brief overview, regulates the
systems that supply drinking water and controls the quality of the water ultimately provided to
consumers. The health standards do not apply to the source water — in fact they do not apply
to those entities which may be responsible for contaminating source water. The presumption
is that it is the responsibility of the public water system to provide water to consumers that
meets the health standards. If the source water contains contaminants at levels above the
health standards, then public water system must treat the water to insure that it meets those
standards. Protection of source water is dealt with under the Clean Water Act programs as
described above and under the ground water protection programs which will be described
shortly. The challenge in creating an effective drinking water protection program is the integration
of all these programs.
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652 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
3.2 Ground Water Protection
3-2.1 Underground Injection Control Program
The Underground Injection Control program is designed to protect underground sources
of drinking water by regulating underground injection, which is defined by as the subsurface
emplacement of fluids by well injection. Underground injection is a way of disposing of both
hazardous and nonhazardous wastes. The Underground Injection Control (UIC) program
regulates more than 400,000 injection wells which dispose of approximately 11% of the fluid
waste generated in the United States.
Control of such disposal is critical to protecting the ground water. Injection wells may
threaten the ground water if the fluids do not stay within the well and the intended injection
zone. The Safe Drinking Water Act (SDWA) states that underground injection endangers drinking
water sources "if such injection may result in the presence in underground water which supplies
or can reasonably be expected to supply any public water system of any contaminant, and if
the presence of such contaminant may result in such system's not complying with any national
primary drinking water regulation or may otherwise adversely affect the health of persons."
Underground injection is authorized by permit issued by either EPA or the State (if the
state has received the authority to administer an underground injection control program), and
in some cases, by regulations. The overriding concern in developing regulations or issuing
permits is to prevent injection from endangering a drinking water source. Rules and/or permits
allowing injection include enforceable inspection, monitoring, record keeping, and reporting
requirements. They also may include siting, construction, and operating requirements.
Enforcement of the underground injection control program requirements is done by
both EPA and the States. Violationsof these requirementsare taken seriously given the potential
effect on drinkingwater sources. In an enforcementaction, EPA orthe States compel compliance
with the regulations and may require closure of the well. EPA enforcement authorities for this
program are much like those under the Clean Water Act — EPA has the authority to issue
administrative orders, administrative penalty orders (up to a maximum of $125,000), bring
civil actions, or criminal actions if a violation is willful. EPA may also use the authorities under
Section 1431 of the Safe Drinking Water Act (as described earlier) to take steps to prevent
contamination of the ground water; this could include immediate shut down of the well.
The underground injection control program is similar in many ways to the Clean Water
Act program regulating discharges to surface waters from point sources; however, there are
many other situations which result in contamination of groundwater, including leaking
underground storage tanks, septic tanks, municipal landfills, agricultural activities and
abandoned hazardous waste sites. While other statutes specifically set out requirements for
some of these situations, the Safe Drinking Water Act provides holistic approaches for dealing
with groundwater protection. Two particular examples of this are the Wellhead Protection
Program and Comprehensive State Ground Water Protection Programs. These programs are
similar in concept to the watershed approach for surface waters.
3.2.2 Wellhead protection programs
The Safe Drinking Water Act requires that States adopt a program to protect wellhead
areas from contaminants which may have an adverse effect on human health. The States were
required to determine "wellhead protection areas" which are defined as the surface and
subsurface areas surrounding a water well or well field supplying a public water system, through
which contaminants are reasonably likely to move toward and reach such water well or well
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DEVLIN, BETSY 653
field. The extent of a wellhead protection area is influenced by factors such as the depth of
draw down of the water table by the well or well field and the time or rate of travel of various
contaminants in various hydrologic conditions. The States were also required to identify all
potential sources of contamination in the wellhead protection area which may have an adverse
effect on human health and then develop a program that contains, as appropriate, technical
assistance, financial assistance, implementation of control measures, education, training and
demonstration projects to protect the water supply within wellhead protection areas from such
contaminants.
Wellhead protection programs as a whole are not federally enforceable — there is no
"violation" at the federal level of violations of wellhead protection requirements. They were
designedto be state or local programs. If the wellhead protection program includes, for example,
underground injection control requirements and hazardous waste program requirements, then
these requirements would be enforceable as other federal requirements.
3.2.3 Comprehensive State Ground Water Protection Programs
Comprehensive State Ground Water Protection Programs seek to integrate all the
statutes and programs which play roles in protecting groundwater, including the Resource
Conservation and Recovery Act, the Comprehensive Environmental Response, Compensation,
and Liability Act, the Safe Drinking Water Act, the laws regulating pesticides and toxic
substances, and the nonpoint source management programs under the Clean Water Act. The
comprehensive program is voluntary. It is composed of strategic activities — establishing a
prevention-oriented goal, establishing priorities based on the characterization of the
groundwater and identification of sources of contamination, defining roles and responsibilities
for the various stakeholders and coordinating their activities, implementing all necessary efforts
to protectgroundwater, measuring progress and reevaluatingprioritiesas needed and improving
pubic education and participation in ground water protection activities. Once a State develops
and EPA endorses a comprehensive program, EPA will seek to provide more deference to
state priorities in groundwater protection.
Comprehensive programs are being developed at State levels and EPA has endorsed
several State programs. EPA continues to support the programs and to believe that they are
important in protecting sources of drinking water.
4 CONCLUSION
EPA and the States protect drinking water quality through a variety of mechanisms,
from the traditional permits and compliance and enforcement to voluntary mechanisms and
those tools which seek to deal in a comprehensive fashion with all the threats to the drinking
water supply. This comprehensive evaluation of the quality of the water, the threats to it, and
the plans for dealing with those threats, whether it is called the "watershed" approach for surface
waters or the "wellhead approach" or "comprehensive state ground water protection programs"
for groundwater sources, is clearly the direction in which programs are moving. Such a direction
holds tremendous promise for further protecting and improving water quality. Whether such
promises can be realized is a question of time, of maintaining and strengthening the traditional
complianceandenforcementfunctions and then of going beyond the traditional programs where
needed, and of fostering the understanding among all persons that their activities affect the
quality of their water.
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654 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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TRANSBOUNDARY ILLEGAL SHIPMENTS OF HAZARDOUS WASTE:TRICKS OF THE TRADE 655
SPECIALTOPIC WORKSHOP M
Transboundary Illegal Shipments of Hazardous Waste:
Tricks of the Trade
Papers and Workshop M discussions address the following issues:
• How nations are ensuring they know of shipments with potential
environmental hazards.
• Whether procedures and other requirements are understood.
• How illegal activities are identified.
• Responses taken and why, and how effective they have been.
• Types of international cooperation and whether they have been useful.
• Particular problem areas in enforcing these types of requirements and
how can they be overcome.
1. Summary of Transboundary Illegal Shipments of Hazardous Waste Workshop,
Facilitators: F. Kesselaar, J. Rothman, Rapporteur. R. Sturges 659
2. A United States Perspective on Transboundary Investigations: Recent Cases and
Essential Strategies for Interdiction of International Environmental Crime,
E.E. Devaney, M.J. Fenders 663
3. The International Control of Transboundary Illegal Shipments of Hazardous
Wastes: A Survey on Recent Cases Happened in China, X. Wang 673
4. Regional Action Program and Guidelines to Prevent Illegal Traffic in Hazardous
Wastes in the Asia-Pacific Region, A.S. Tolentino, Jr. 685
5. Illegal Transports of Waste: Tricks of the Trade, L.C. Blanker 697
6. Transboundary Illegal Shipments of Hazardous Wastes, Toxic Chemicals
(Pesticides) Contraband Chlorofluorohydrocarbons: The Nigerian Experience,
M.T. Odubela, O. Soyombo, F. Adegbite, K. Ogunbuyi 705
7. Cradle-to-Grave Compliance Tracking of U.S./Mexican Transboundary Hazardous
Waste; The Haztracks Tracking System, S. Coleman, J.V. Schultes 711
8. One page synopsis of Technical Support Document: Transboundary Trade in
Potentially Hazardous (Waste, Pesticide, Ozone depleting) Substances Csee
combined Volumes I and II) 733
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656 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
See related papers from other International Conference and Workshop Proceedings:
1. The Enforcement Project on Transboundary Movements of Hazardous Waste Within
Europe, R. de Krom, H. Kesselaar, Volume I, Oaxaca, Mexico
2. Enforcement in The Netherlands of the European Regulation on Transfrontier Shipment
of Hazardous Waste, W. Klein, Volume I, Oaxaca, Mexico
3. The United States' Enforcement Approach to the Export and Import of Hazardous
Waste, S.E. Bromm, Volume I, Oaxaca, Mexico
4. Summary of Workshop: Export/Import of Illegal Shipments of Hazardous Waste, Toxic
Chemicals, or Contaminated Products, Facilitator. W. Klein, Rapporteur. R. Sturges,
Volume II, Oaxaca, Mexico
5. Polish Prohibition of Waste Import, W. Radecki, Volume I, Budapest, Hungary
6. Some Information on Enforcement Concerning Solid and Hazardous Wastes Disposal
in Czechoslovakia, K. Velek, Volume I, Budapest, Hungary
7. Results of Three Years of Enforcement of Regulations on Transboundary Shipments of
Hazardous Waste in The Netherlands, M. Fokke-Baggen, Volume I, Budapest, Hungary
8. Combatting Environmental Crime in an International context, Y. van derMeer, Volume
II, Budapest, Hungary
9. The Basel Convention on the Control of Transboundary Movements of Hazardous
Wastes and their Disposal, /. Rummel-Bulska, Volume II, Budapest, Hungary
10. Transition and Implementation of Waste Management Policies in Central and Eastern
Europe, S. Wassersug, Volume II, Budapest, Hungary
11. The Enforcement Experience in Catalunya on Industrial Waste, F. Relea and C. Martin,
Volume II, Budapest, Hungary
12. Specific Details Regarding Hazardous Waste Transport and Disposal, L Mara,
Volume II, Budapest, Hungary
13. The Role of INTERPOL in Environmental Enforcement, S. Klem, Volume II, Budapest,
Hungary
14. Summary of Theme Discussion: Applications to a Particular Environmental Problem—
Solid and Hazardous Waste, F. Uijting, Volume II, Budapest, Hungary
15. The Import/Export of Hazardous Waste and Toxic Substances: The U.S. Enforcement
Experience, P. Thomson, Volume I, Utrecht, The Netherlands
16. The Netherlands Case Study in Enforcement of Hazardous Waste Import/Export, J.
Gerardu andR. Bouma, Volume I, Utrecht, The Netherlands
17. Waste Movement: European Community and Outside, C. de Villeneuve, Volume I,
Utrecht, The Netherlands
18. Pesticide Export and Import Enforcement Programs in the United States, C. Musgrove
and A. Hofmann, Volume I, Utrecht, The Netherlands
19. The Basel Convention and Its Enforcement, /. Rummel-Bulska, Volume I, Utrecht, The
Netherlands
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TRANSBOUNDARY ILLEGAL SHIPMENTS OF HAZARDOUS WASTE:TRICKS OF THE TRADE 657
20. The Example of the Chemicals Weapons Convention, B. terHaar, Volume I, Utrecht,
The Netherlands
21. Third World Perspective on Hazardous Waste, B. Kante, Volume II, Utrecht, The
Netherlands
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658 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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TRANSBOUNDARY SHIPMENTS OF HAZARDOUS WASTE
659
TRANSBOUNDARY SHIPMENTS OF HAZARDOUS WASTE
Facilitators: Huub Kesselaar, John Rothman
Rapporteur: Rick Sturges
GOALS
The session addressed the following issues:
• How nations are ensuring they know of shipments with potential
environmental hazards.
• Whether procedures and other requirements are understood.
• How illegal activities are identified.
• Responses taken and why, and how effective they have been.
• Types of international cooperation and whether they have been useful.
• Particular problem areas in enforcing these types of requirements and
how they can be overcome.
1 INTRODUCTION
Fifteen participants from twelve countries discussed environmental compliance and
enforcement issues related to transboundary trade in hazardous substances. The participants
used the recommendations from a similar special topic workshop held at the Third International
Conference on Environmental Compliance and Enforcement in Oaxaca, Mexico as a starting
point and, following a general discussion of the issues, developed a list of desired actions to
be undertaken as a result of this conference.
2 PAPERS
Five papers and a Technical Support Document were prepared for the conference on
issues related to transboundary trade in hazardous waste. The papers address lessons learned
in investigating, detecting, and enforcing laws related to illegal shipments and tracking legal
transboundary shipments of waste. They include experience from North America (papers by
E.E. Devaney and M. Renders, and S. Coleman and J.V. Schultes), Asia (papers by X. Wang,
and A.S. Tolentino), Africa (paper by M.T. Odubela, 0. Soyombo, F. Adegbite, and K. Ogungbuyi),
and Europe (paper by L.C. Blanker). The Technical Support document provides an overview of
technical issues, policies, and programs related to legal and illegal trade in hazardous wastes,
pesticides and ozone depleting substances.
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660 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
3 DISCUSSION ISSUES
3.1 Review of Oaxaca Recommendations
Participants reviewed and discussed the recommendations made by participants at
the special topic workshop on transboundary trade at the Third International Conference on
Environmental Compliance and Enforcement in Oaxaca, Mexico. This workshop, summarized
in the Oaxaca Conference Proceedings, Vol. 2, included a series of recommendations related
to training, planning, policy formulation, information sharing, international cooperation, and
response to violators. Participants agreed with the great majority of these recommendations
and discussed ways in which progress had been made since the last conference.
3.2 Progress Since Oaxaca
Participants discussed a number of areas where progress has been made including:
• Development of information systems, such as the U.S./Mexico Haztracks
system, that have proven effective in providing up to date information to
customs and environmental officials on environmental shipments.
• Training programs, such as that in Canada, that have increased the
capabilities of customs officials to detect hazardous shipments.
• Programs in a number of countriesthat have encouraged closer cooperation
between customs agencies and environmental enforcement officials.
• Progress in policy and program development, such as the OECD Red,
Amber, Green system for classifying wastes and guiding response to
shipments.
• Continued international dialogue and progress on the Basel Convention
and other international agreements related to the international waste trade.
Nevertheless, participants stressed that most of the recommendations discussed at
Oaxaca remain valid, with those related to training and international cooperation viewed as
especially critical. While definitional and multi-national policy issues are far from resolved, and
conflicts remain, many participants stated that significant progress in reducing illegal trade
can be made simply by focusing on improving training and increasing access to information in
all countries.
3.3 Action Items
As a result of this discussion, the group identified three action items that they, through
informal communication, will endeavor to complete prior to the Fifth International Conference
on Environmental Compliance and Enforcement. The groups three actions items are:
Create an informal network of contacts (persons and agencies) for the quick transfer
of information regarding illegal shipments of hazardous substances with participants from
Canada and the Netherlands taking the lead. Members of this informal network will endeavor
to share expertise and experiences and, upon request, to seek to provide technical assistance
and training.
Create a library and inventory of training and other technical materials for use in
developing effective cooperative coordination between environmental enforcement and other
relevant enforcement agencies (e.g. customs and police) with participants from the U.S. taking
the lead.
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TRANSBOUNDARY SHIPMENTS OF HAZARDOUS WASTE
661
Develop a handbook to guide personnel involved in the enforcement of hazardous
waste control legislation. It will include (i) creation of generator, shipper/transporter, receiver,
disguised material, and disposer profiles; (ii) assembly of relevant case histories and
jurisprudence; and (iii) assembly of photographic and other material to aid recognition of non-
compliance with participants from Canada taking the lead.
4 CONCLUSIONS
While participants recognized the challenges in obtaining resources for these efforts,
as well as the need to organize these activities so they will not conflict with the Basal convention
or other international agreements, many felt that it was important for the group to take action,
however modest and informal, to further improve enforcement efforts related to trade in
hazardous substances.
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662 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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DEVANEY, EARL E. AND RENDERS, MICHAEL J. 663
A UNITED STATES PERSPECTIVE ON TRANSBOUNDARY INVESTIGATIONS:
RECENT CASES AND ESSENTIAL STRATEGIES FOR INTERDICTION OF
INTERNATIONAL ENVIRONMENTAL CRIME
DEVANEY, EARL E.1 AND RENDERS, MICHAEL J.2
1Director of Criminal Enforcement, Forensics, and Training,
2Special Counsel, Office of Criminal Enforcement, Forensics, and Training
401 M Street S.W., Washington, D.C. 20460, USA
SUMMARY
This paper describes several recent investigations of suspected transboundary
environmental crime conducted by the United States Environmental Protection Agency's (EPA)
Office of Criminal Enforcement, Forensics, and Training in cooperation with other federal, state,
local, and international law enforcement authorities. These case studies highlight investigative
approaches which are critical to confronting the technical and logistical challenges of an
international investigation that will satisfy the complex legal requirements of proving an
environmental crime. The EPA's experience has demonstrated the utility of multidimensional,
interagency enforcement teams which focus on particular border crossings or specialize in
interdicting particular high priority pollutants and illustrates the need to enhance cooperative
enforcement mechanisms on a regional, binational, and multilateral basis.
1 INTRODUCTION
1.1 The current context for the EPA's commitment to transboundary enforcement
The United States has long supported a strong national enforcement effort to deter
illegal transboundaryshipments of hazardous waste and other dangerous substances. In recent
years, the EPA's enforcement and compliance assurance efforts have become more focused
on the national borders and toward improving the capacity to track transboundary waste, to
detect violations of U.S. or international law, and to identify and pursue violators who export
waste in order to avoid the cost of disposing or reusing it in an environmentally sound manner.
In large part, this emphasis on border enforcement can be attributed to specific
commitments under international agreements such as the North American Free Trade
Agreement (NAFTA), and its Agreement on Environmental Cooperation or the mandate of
recently enacted laws, such as the United States Clean Air Act amendments implementing the
Montreal Protocol restricting the transboundary movement of ozone-depleting substances, and
the practical requirementsof enforcingthem. Yet, while the rhetoric of environmental enforcement
has gained unprecedented prominence in the conduct of international affairs, the technical
capacity and resources necessary to investigate potential violations of complex environmental
laws at distant border check points have barely coalesced. Still, governments and the public
alike expect vigorous enforcement of environmental laws at the border.
Indeed, over the last decade, the American and international public have reached a
consensus that significant violations of environmental laws are so serious that they are properly
viewed and prosecuted as crimes. Increasingly, this affirmation has been expressed in national
law and codified in international agreements such as the Basel Convention, which established
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664 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
that illegal traffic in hazardous waste is criminal.(1) Only very recently, however, have nations
developed the administrative measures and begun to deploy trained personnel in such a way
as to facilitate any real enforcement of transboundary environmental crime.
The EPA has had some notable successes in convicting illegal exporters of hazardous
waste and other dangerous substances, but only by virtue of extraordinary cooperation between
specialized police agencies within the United States and with other nations' police forces
abroad. The task ahead for the United States and other nations is to make successful
international investigations of environmental crime less extraordinary. The international effort
to implement laws designed to prevent the illegal transboundary movement of hazardous waste
and confront pollution problems which pose a threat to human health and the environment is at
a critical juncture. It is clearthat the emerging legal framework will mean little unless the capacity
to conduct international investigations of environmental crime improves dramatically.
1.2 Improving the infrastructure of international environmental enforcement
The EPA's Office of Criminal Enforcement, Forensics, and Training is committed to
improving the EPA's capacity to conduct transboundary investigations on a number of different
fronts. First, EPA's Criminal Investigation Division now deploys more of its Special Agents in
port cities which are significant import/export centers than ever before. This fact alone has
enabled a new level of cooperation with other law enforcement agencies at the border. Second,
more of these trained environmental criminal investigators participate in task forces with other
law enforcement agencies' specialized agents in order to collectively investigate violations in
a specific border area or to coordinate joint investigations into criminal activity related to the
import or export of specific high priority pollutants, such as ozone-depleting substances.
EPA is dedicated to improving cooperative enforcement networks on a binational,
regional, and international basis. These efforts include working with INTERPOL's Working
Group on Environmental Crime to improve the exchange of operational information between
nations on both ends of a transboundary environmental crime, sponsoring joint training of
Customs and EPA inspectors on both sides of a border, and entering into Memoranda of
Understanding with the U.S. Customs Service and other law enforcement agencies in order to
enhance cooperative working relationships and define the roles and responsibilities of each
agency with respect to transboundary investigations.
These practical measures are designed to establish the relationships and cooperative
mechanisms necessary to conduct the type of international investigation necessary to satisfy
the complex legal requirements of proving an environmental crime. The EPA's contributions to
these efforts are informed by its experience in confronting regulatory complexities and recurring
criminal schemes in the investigation of transboundary environmental crime. The cases which
follow illustrate the need for strengthening these basic enforcement tools.
2 CASE STUDIES AND INVESTIGATIVE STRATEGIES
2.1 The EXODUS investigation
In 1993, the EPA's criminal investigators in Texas launched an investigation of a
potentially illegal export of hazardous waste from the United States to Mexico that would prove
truly international in scope and ultimately led to a Mexican enforcement action in 1995. This
case began with a strategically planned surprise inspection of all railway cars destined for
Mexico from the port City of Laredo, Texas organized by the Texas Environmental Task Force.
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DEVANEY, EARL E. AND FENDERS, MICHAEL J. 665
2.2 The Task Force
The Texas EnvironmentalTask Force is composed of designated personnelfrom seven
distinct state agencies in Texas which share responsibility for enforcement of environmental
laws and who meet once a month with EPA criminal investigators, federal prosecutors and
other federal law enforcement agencies in Texas in order to coordinate the environmental
enforcement activities of all involved, to share information, and to cooperate in the investigation
and prosecution of violations of state and federal environmental laws. On December 11,1991
the Governor of the State of Texas issued a formal proclamation establishing the task force
and signed an executive order setting forth its goals and by laws. (See Figure 1).
Such task forces have proven to be such an effective mechanism for integrating state
and federal enforcement capacity, that EPA has sponsored and supported formation of them
across the country. Task forces can be organized geographically either by state, region, eco-
system, or organized around the functional and jurisdictional requirements of investigating
particulartypes of environmental crime such as hazardous waste or ozone depleting chemicals.
EPA criminal investigators now participate in 60 task forces nationally and consider
them an essential component of EPA's effort to bui'ld state and local capacity and maximize
the return of scarce public resources devoted to environmental enforcement through pooling
information, equipment and personnel. Task forces build teams which can prioritize cases,
select the most egregious violations, implement investigate strategies, and prosecute highly
complex cases which are beyond the capability of any one agency. They can also efficiently
decide the most appropriate state, local, or federal jurisdiction in which to bring a case.
2.3 The Exodus Project
In 1992, the Texas task force developed a plan to conduct periodic spot checks at
border crossings into Mexico. This cooperative endeavor, named the Exodus Project, made
use of each agency's personnel, expertise, and jurisdictionalauthoritiesin a concerted approach
to inspecting all border traffic fitting the profile of illegal hazardous waste traffickers at the
border. On June 29, 1993, the task force, including agents from the Texas Natural Resource
Conservation Commission, U.S. Customs Service, Federal Railroad Administration, U.S.
Department of Transportation, U.S. Border Patrol, the Texas Water Commission, and the City
of Laredo Fire, Environmental, and Bridge departments, set up border check points at both of
the City of Laredo International Bridges as well as at the Union Pacific Railroad storage area.
An organizational meeting was held the day before to delineate the roles and responsibilities
of each unit and to coordinate with Mexican Customs officials.
As a matter of investigative strategy, this Exodus Project team had expanded the
scope of its operations to target all modes of transportation, including rail cargo inspections
for the first time. Previously, Exodus Projects had focused exclusively on inspecting trucks on
the main highways to Mexico. A problem with that approach, however, was that truckers illegally
transporting hazardous waste could easily elude the check point inspections once they had
commenced due to radio communication between truck drivers and their trucks' inherent
mobility; train shipments, on the other hand, could not avoid inspection.
2.4 The investigation
It was on the railway that investigators discovered two truckloads, which were loaded
on top of freight cars in "piggyback" fashion, containing one hundred and twenty-seven 55
gallon drums of apparent hazardous waste destined for Mexico. They were not identified as
hazardous waste on the manifests, nor were there notification and acknowledgment of consent
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666 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Figure 1
EXECUTIVE ORDER
BY THE
Governor of the State of Texas
THE STATE OF TEXAS
EXECUTIVE DEPARTMENT
OFFICE OF THE GOVERNOR
AUSTIN, TEXAS
AWR 91-18
CREATING THE TEXAS ENVIRONMENTAL ENFORCEMENT TASK
FORCE
WHEREAS, Texas leads the nation in generation of toxic substances
and also faces serious and diverse environmental problems that include polluted
air in the state's major urban areas, contaminated surface and drinking water,
degradation of coastal areas and critical wildlife habitats, and solid waste
disposal needs; and
WHEREAS, Texas would be better served by more cohesive and
consistent enforcement of state and federal environmental laws and regualtions;
and
WHEREAS, numerous state agencies have responsibilties for
enforcement of Texas' environmental protection laws and regulations; and
WHEREAS, state agencies also share responsibility for environmental
enforcement with several federal agencies; and
WHEREAS, specific environmental problems and potential violations
may fall within the jurisdiction of more than one state or federal agency; and
WHEREAS, other environmental problems and potential violations may
all outside the direct authority of any one state or federal agency; and
WHEREAS, this fragmentation of responsibility has contributed to the
state's failure to protect public health and the environment, to address citizen
:oncerns, to respond to local government needs, and to distinguish
environmental violators from those responsible businesses that comply with
environmental standards; and
WHEREAS, legislation enacted by the 72nd Legislature creates
additional adminstrative, civil, and criminal penalties for violations of the state's
environmental laws and regulations; and
WHEREAS, no mechanism exists for coordinating the environmental
enforcement activities of different state agencies or ensuring that complex
environmental enforcement problems that fall under the jurisdiction of more than
one state agency are addressed quickly and effectively; and
WHEREAS, no mechanism exists for coordinating the environmental
enforcement activities of Texas state agencies and federal authorities,
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DEVANEY, EARL E. AND RENDERS, MICHAEL J. 667
Figure 1 (continued)
NOW, THEREFORE, I. Ann W. Richards, Governor of Texas, under the authority
vested in me, do hereby create the Texas Environmental Enforcement Task Force. The
Task Force is composed of designated staff from the following state agencies: Texas
Water Commission, Texas Air Control Board, Texas Department of Health, Texas Parks
and Wildlife Department, Texas Attorney General's Office, General Land Office, Texas
Railroad Commission, and the Governor's Office. The Task Force may be expanded to
nclude additional agencies as appropiate.
The Task Force shall meet monthly or at the call of the Chair.
The goal of the Task Force is to increase federal and state cooperation in
prosecuting criminal violations of state and federal environmental laws.
Designated staff of the participating state agnecies will cooperate with the U.S.
Attorney's Office, the U.S. Environmental Protection Agency, and the Federal Bureau of
Investigation in conducting inspections, taking and analyzing samples, and performing
other functions necessary to support criminal investigations and prosecutions. The state
agencies will also cooperate with the federal agencies in identifying and initiating criminal
investigations.
The designated staff within the governor's office will coordinate the efforts of the
Task Force and serve as the primary contact person with the federal agencies. The
Texas Water Commission will provide a staff person to chair the Task Force.
The participating agencies shall absorb the costs of the Task Force activities
within their respective agencies.
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668 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
as required by U.S. hazardous waste laws. The first question for investigators was whether
these drums in fact contained a "waste" and whether the waste was "hazardous" as defined by
law.
This can be a difficult question to answer definitively under United States law, even
when there is knowledge of the source of the waste as well as the industrial process which
produced the waste. When the waste is generated by a foreign nation by an unknown industrial
process, however, and it has passed through the hands of waste brokers further obscuring its
identity, this first question can thrust the investigation into a technical and legal quagmire. The
greatest difficulty arises with regard to materials that are not clearly either wastes or recyclables,
but is something in between.
This was the situation the Exodus investigationfound itself in. Subsequent investigation
revealed that a waste broker involved in exporting these drums claimed that they were legally
exempt from the notification and consent requirements under U.S. hazardous waste laws
because the drums contained "by-product" which was destined for tin "recycling" at a Mexican
facility. Further investigation, including the scientific testing of the contents of 44 of the drums
by the EPA's National Enforcement InvestigationsCenter, determined that while it was technically
possible to reclaim some tin from the sludge found in many of the drums, it was not practical or
economically feasible to do so. Some drums, moreover, which were interspersed with the
others contained a very different substance which was extremely toxic and whose constituents
could not possibly be recycled. The laboratory determined that most all of the 44 drums
contained hazardous waste under United States law.
In order to determine whetherthe recycling defense was viable, EPA's attention turned
to the "recycling" facility in Mexico that was listed as the destination. Due to a close working
relationship with Mexican environmental enforcers, which had been forged in the course of
bilateral cooperative enforcement initiatives, EPA investigators learned that the facility in
question was not operational. In fact, it had been shut down for four months because of
environmental violations, and could not have recycled the materials in accordance with Mexican
or United States law.
This is the type of information that international investigations must have access to. In
a case like this, timely information about the receiving facility can make or break the
investigation. Accordingly, EPA has taken steps toward making this type of information available
to investigators on a regular basis by fostering better contacts between nations' environmental
law enforcers and developing data on facilities which purport to recycle or reclaim products
from waste.
Other critical questions in the investigation remained to be answered, including where
the waste was generated and what its regulatory status was at its point of origin. The EPA
investigation determined that much of this waste had been imported into the United States
from Europe, and was only passing through U.S. borders in transit to Mexico. Because it had
passed through the hands of various waste brokers on its way into the U.S., investigators could
not readily identify the point of origination and thereby determine the precise nature of the
waste. Subsequently, investigators were able to trace parts of the shipment through the ports
of Belgium and into Germany. Without a network of knowledgeable law enforcement contacts
to answer such questions, many investigations of environmental crime will fail.
The Exodus investigation determined that the waste made entry into the U.S. in an
east coast state whose competent authority had rendered an interpretation that the waste in
question was not hazardous waste under U.S. law because it was destined for recycling in
Mexico. Although EPA ultimately disagreed with this determination, such a judgment by a
competent state regulatory agency, absent evidence of fraud, made criminal prosecution
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DEVANEY, EARL E. AND RENDERS, MICHAEL J. 669
untenable. If the state authority had been aware that legitimate recycling was impossible at the
Mexican facility or knew the actual composition of the waste, they should have classified the
waste differently or denied entry altogether.
Because appropriatetreatment of waste products at an importing facility can determine
how or if a substance is regulated as a hazardous waste, commentators have suggested that
hazardous waste export laws, such as those implementing the Basel Convention, be fashioned
in a way which makes the regulatory regime more enforceable.(2) Those laws may require
additional standardized information about generators and the contents of shipments on
manifests, and enforceable certification that the generators and/or exporters have current
knowledge that the importing facility is capable of reusing or reclaiming the material in an
environmentallysound manner.
In 1995, the Mexican enforcement officials who were initially alerted to the attempted
export from Laredo, Texas reported that the Mexican Government had obtained a substantial
civil judgement againstthe receivingfacility for illegally dumping some 20,000 tons of tin smelting
waste. The Mexican Government has referred this case for additional law enforcement action.
2.5 United States versus Gaston Copper Recycling, Stoller Chemical, Southwire
et. al.
Another recent illegal export investigation resulted in the conviction of three individuals
and two corporations in the United States for illegally attempting to export hazardous waste to
Bangladesh and Australia after it was mixed with fertilizer. This case, commonly known as
United States vs. StollerChemical Company again demonstratesthe need to carefully scrutinize
operations which purport to engage in recycling or reclamation processes which are exempt
from hazardous waste regulation, but may in fact be processing regulated hazardous waste.
The Stoller Company had been lawfully authorized to use a certain category of waste
product from copper processing plants as a feed stock in making fertilizer principally due to
the waste's high zinc content. Because this reclamation process is recognized by law, the
waste is exempt from hazardous waste regulations that otherwise would require reporting and
environmentally sound disposal of such waste.
An investigation into Stoller's environmental management practices revealed a
shortage of the lawful waste material during the period of time when Stoller was mixing a 3000-
ton shipment of fertilizer for use in Bangladesh and Australia. At about the same time, a waste
broker who regularly supplied Stoller with this waste had an excess of a similar waste product
that also had the high zinc content desired for fertilizer supplementation. This waste, however,
also contained high amounts of lead and cadmium, above the toxicity limits that render it a
regulated hazardous waste, and which preclude its use as a fertilizer supplement.
The investigation established that it was this hazardous waste product that was mixed
with the fertilizer and was being shipped abroad. When confronted with this finding, the suspect
broker claimed that the waste had undergone treatment to remove the lead and cadmium. In
fact, no such treatment existed. The lot of fertilizer which was used for the export shipments
was tested and it was found to contain lead and cadmium above the legal limits. There was
also evidence of $50,000 in "commissions" from this waste broker to the general manager of
Stoller who had authorized the purchase of the hazardous waste.
By the time the EPA criminal investigators had determined these facts, however, the
shipment of contaminatedfertilizerwas already en route. There had been no notice of hazardous
waste exportationto the receiving countries, nor acknowledgmentof consent by those countries,
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670 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
as required by United States law, since the product was being shipped as fertilizer. It was only
by virtue of emergent diplomatic communications that the EPA was able to alert the receiving
countries and prevent the hazardous waste from being applied to crops.
Two corporations now stand convicted in connection with this case and were sentenced
to more than one million dollars in fines, some of which was used to repatriate the waste which
had been illegally shipped to Bangladesh. Three individuals have also been convicted, including
the waste brokerand company managerwho authorized his "commission." Two were sentenced
to significant terms of imprisonment and fines as well.
Were it not for a random inspection of the Stoller facility by state and local authorities,
these crimes would not have been detected. No one can say how many similar schemes are
taking place throughout the world. Under United States law, many waste products, including
waste which many consider hazardous, avoid regulation with an assertion by an exporter that
the waste is exempt because it is destined for recycling or reclamation or is otherwise not a
waste. It is the exporter's decision how to classify the waste and thereby incur great transaction
costs or to characterize the waste in a way that exempts it from notification and consent law.
Of necessity, investigators must focus attention on those facilities which import
transboundary waste and which purport to be recycling, reclaiming products, or engaged in
environmentally sound disposal practices. EPA criminal investigators are working with various
environmental and criminal enforcement networks to make relevant information about such
facilities more readily available to international investigations.
2.6 The new black market: illegal importation of chlorofluorocarbons (CFCs)
The most dramaticrecentdevelopmentin the United States transboundaryenforcement
effort has resulted in 16 EPA criminal investigations in the last 18 months into the smuggling of
illegal ozone-depleting chemicals containing chlorofluorocarbons (CFCs). Importation into the
United States is now strictly regulated as a result of U.S. Clean Air Act Amendments which
implemented the Montreal Protocol. The importation of the most harmful CFCs, with some
exceptions, is now banned, but the sale or use of stockpiles existing in the U.S. remain legal.
The federal government has also imposed prohibitively high taxes on the production of new
CFCs in the U.S. The tightening controls have created a huge market in illegal imports, since
smuggled CFCs cost much less than the lawful alternatives. Illegal CFCs are now considered
the most lucrative contraband in the U.S. after illicit drugs.
2-6.1 The investigative strategy and common schemes
To combat the flow of illegal imports, a joint task force was formed in October 1994
consisting of the EPA's Special Agents, the U.S. Customs Service, and agents of the Internal
Revenue Service. Illegal importation of CFCs often involves violations of statutes related to
smuggling and avoiding taxes and the data from all three agencies is analyzed and compared
to identify discrepancies. Working from informants tips and business records the task force
began to build cases in a process similar to tracking drug smugglers.
There are several common schemes that criminals have used to illegally import CFCs
from production facilities in eastern Europe and Asia through ports in England and Belgium
into the United States. Since it is generally legal to export CFCs from most nations, but becomes
a violation of U.S. law only when someone imports it into the U.S.withoutanallowanceapproved
by the EPA, illicit shipments have frequently been marked with fictitious destinations in Mexico
or Caribbean nations, with Miami or New York as stop over transit points en route. Once in
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DEVANEY, EARL E. AND FENDERS, MICHAEL J. 671
those transit ports, or in bonded warehouses, the traffickers simply remove the tanks of CFC
and replace them with empty canistersor used tires, reseal the containers, and send the useless
cargo on its way.
Other times, illegal shipments are misrepresented as lawful imports such as propane
or CFCs destined for destruction or recycling, or as a different type of CFC which does not
require an import allowance. Investigators have developed simple tests to distinguish illegal
CFCs from closely related substances by using pressure gauges and other common devices.
Investigators have begun to systematically integrate the Customs Import Data Base with the
EPA Allowance Data Base to identify potential illegal shipments. Investigatorscan now compare,
for example, the quantity and nature of CFC that an exporter has an allowance for with the
actual quantity that is processed by Customs inspectors at the border.
Beginning in February of 1996, sophisticated machines developed in the last year
which detect and analyze CFCs were deployed at Customs centers where considerable traffic
in CFCs is suspected. These machines were developed by the chemical manufacturers in the
U.S. who produce the lawful alternatives to CFCs and who suffer financial losses due to illegal
imports. These companies donated this equipmenttogovernmentinvestigators.The task forces
have begun to work with Canadian and Mexican officials to interdict shipment that enter North
America in those countries and then is illegally diverted to the United States.
Thisconcertedinterdictionefforthasresultedin eleven indictmentsand nine convictions
so far. The task force which was based in Miami has now spawned similar efforts in New York,
Boston, and on the west coast. EPA has established a national coordinator for CFC smuggling
to serve as a focal point among all criminal investigator area offices and to coordinate with
Customs and the IRS. The following are the results of some recent investigations.
2.6.2 Case results and fact patterns: United States v. Adi Para Dubash and Homi
Patel
Following the nation's first prosecution under the Clean Air Act for illegal importation
of CFCs, Adi Dara Dubash was sentenced on July 24,1995 to 22 months in prison for smuggling
8,400 cylinders of CFC-12 into the United States. He and his co-conspirators caused seven
cargo containers of the CFCs to be shipped into New York-New Jersey area in bonded status.
They further arranged for five of the seven to be forwarded to Miami, purportedly for reshipment
out of the United States. The defendants submitted documents to the Customs Service to
make it appear that the containers would be loaded on a vessel in Miami and shipped to
Mexico. Instead, they offered bribes to the operator of a Customs licensed holding facility to
assist in illegally diverting the CFCs into commerce in the Miami area.
2.6.3 Case results and fact patterns: United States v. Irma Henneberg
Irma Henneberg, manager of Caicos Caribbean Lines, Inc., was convicted by a federal
jury on August 30,1995 on 34 counts of making false statements on customs documents used
to illegally smuggle CFCs into the United States. She had made false statements on shipping
manifests to give the impression that 209 cargo containers of CFC were being shipped out of
Miami. In fact, the contents of the containers had been diverted into commerce in the United
States. Inspection of the outbound vessels revealed that cargo containers claimed to be on
board were not there.
The falsely manifested CFCs had a retail value of approximately 52 million dollars
and avoided federal excise tax in the amount of 32 million dollars. On November 8,1995, the
defendant was sentenced to 57 months imprisonment.
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672 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
2.6.4 Case results and fact patterns: United States v. Casev Raja et. al.
On January 23, 1996, Casey Raja pled guilty to violations of the Clean Air Act for
illegal importation of chlorofluorocarbons (CFC). Raja admitted to conspiring with his
codefendant Bruce R. Burrell and others in a scheme in which 288 tons of CFCs were illegally
imported into the United States through various ports. The CFCs were consigned to fictitious
corporations, and the defendants sold the CFC as if it had been properly imported pursuant to
the EPA's allowance and that the excise tax had been paid. Proceeds of the sales were then
laundered through bank accounts in South Florida which had been established underthe names
of the fictitious corporations.
One of the interesting aspects of this case is that Bruce Burrell's arrest was effected
through the cooperative efforts of INTERPOL in the United States and Costa Rica and facilitated
by EPA's representativeat INTERPOL. Burrell is being held in Costa Rica pending an extradition
hearing. This arrest marks the first international extradition effort by EPA and INTERPOL for a
fugitive charged with an environmental crime.
2-6.5 Case results and fact patterns: first INTERPOL assisted extradition of
environmental criminal
On December 15,1995, Bruce Burrell was arrested in Costa Rica for the Clean Air
Act violations described in the above case. Burrell's arrest was effected through the cooperative
efforts of INTERPOL in the United States and in Costa Rica, and facilitated by EPA's
representativeat INTERPOL. Burrell is being held in Costa Rica pending an extradition hearing.
This arrestmarks the first international extradition effort by the EPAandlNTERPOLfora fugitive
charged with an environmental crime.
3 CONCLUSION
Thus, EPA is investigating more transboundary cases than ever before. In part this is
due to our enhanced capacity to deploy personnel to work with Customs Agents and other
enforcement agencies near the border. It also reflects the priority assigned to border
enforcement in recent years and the increased sophisticationthat the EPA criminal enforcement
program can bring to analyze environmental and customs data and target environmental
criminals who engage in illegal transboundary trafficking. By continuing EPA's effort to improve
enforcement coordination on both sides of our borders, and by strengthening multilateral
mechanisms for international environmental investigations, it is hoped that the United States
can maintain a credible deterrent to those who would profit from illegally exporting or importing
hazardous waste and other dangerous substances.
ENDNOTES
1. 1989 Basel Convention on the Control of Transboundary Movements of Hazardous
Waste and their Disposal. Article 4, Section 3, states: "The parties consider that illegal
traffic in hazardous wastes or other wastes is criminal."
2. See e.g. Wang, Xi," The International Control of Transboundary Illegal Shipments of
Hazardous Wastes: A Survey of Recent Cases That Happened in China", appearing in
these same Proceedings.
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WANG, Xi 673
THE INTERNATIONAL CONTROL OF TRANSBOUNDARY ILLEGAL SHIPMENT
OF HAZARDOUS WASTES: A SURVEY OF RECENT CASES THAT
HAPPENED IN CHINA
WANG, XI
Professor of Law, Research Institute of Environmental Law, Wuhan University; Member,
Commission on Environmental Law, IUCN—The World Conservation Union
Wuhan University, Research Institute of Environmental Law, Luojishan Wuchang District,
Wuhan, People's Republic of China
SUMMARY
Based upon a brief review of the international and the Chinese regulation on the control
of transboundary movements of hazardous wastes and a survey on a number of cases taken
place in China, the effectiveness of the international and the relevant domestic regulation are
evaluated. Loopholes and weak points of the regimes are identified. Suggestions for improving
the regimes are provided.
1 THE INTERNATIONAL AND THE CHINESE DOMESTIC REGULATIONS ON
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
1.1 The international regulation established by Basel Convention
The Basel Convention on the Control of Transboundary Movements of Hazardous
Wastes and Their Disposal (1989)1 established the international regime for the control of
transboundary movements of hazardous wastes and other wastes. The cornerstone of the
regime is the procedural provisions on the transboundary movement of hazardous wastes2.
The heart of the procedure is the requirements on prior notification and informed consent.
The Basel Convention defines the following transboundary movement of hazardous
wastes and other wastes as illegal traffic:
• without notification pursuant to the provisions of the convention to all states
concerned;3
• without the consent pursuant to the provisions of the convention of a state
concerned;4
• with consent obtained from states concerned through falsification,
misrepresentation or fraud;6
• that does not conform in a material way with the documents;6and
• that results in deliberate disposal (e.g., dumping) of hazardous wastes or
other wastes in contravention of the convention and of general principles
of international law.7
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674 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
exporter or the generator or, if necessary, by itself into the state of export or, if impracticable,
are otherwise disposed of in accordance with the provisions of the convention within 30 days
from the time the state of export has been informed about the illegal traffic or such other period
of time as states concerned may agree.8 If the illegal traffic is deemed to be the result of
conduct on the part of the importer or disposer, the state of import shall ensure that the wastes
are disposed of in an environmentally sound manner by the importeror disposer or, if necessary,
by itself within 30 days from the time the illegal traffic has come to the attention of the state of
import or such other period of time as the states concerned may agree.9 If the illegal traffic
cannot be assigned either to the exporter or generator or the importer or disposer, the parties
concerned or other parties shall ensure, through cooperation, that the wastes are disposed of
as soon as possible in an environmentally sound manner either in the state of export or the
state of import or elsewhere as appropriate.10
1.2 Comments on the regulation established by Basel Convention
1-2.1 The requirements of prior notification and informed consent
One of the most important provisions of Basel Convention is the procedure of prior
notification and informed consent. It is a key means to regulate the transboundary movement
of hazardous wastes and otherwastes. Under the convention, no party can export hazardous
wastes to other states or areas beyond its jurisdiction without a prior written notification to and
a written consent from the import states or areas. To the party which export hazardous wastes
or otherwastes, the prior notification to the states concerned is its international legal obligation.
To the states and areas which import hazardous wastes or other wastes, or the proposed
hazardous wastes movement may transit through, the prior notification and informed consent
procedure is a critical legal safeguard to the environment within their jurisdictions.
There are two things which are crucial to the success of the procedure of prior
notification and informed consent. They are the political will and the legislative, institutional
and technical capacity of the state concerned to monitor, supervise and regulate the activities
of the generator, exporter, importer, disposerand carrier of hazardous wastes and otherwastes.
Sometimes, local economic interests and local environmental concerns undermine
the political will of a domestic authority to strictly monitor, supervise and regulate the
transboundary movement of hazardous wastes and otherwastes. Shipping the wastes to other
countries, especially the developing countries, and storing and disposing the wastes there
would save both money and environment of the exporting countries. With a weak political will to
regulate the transboundary movement of hazardous wastes and other wastes, it is impossible
for a state to fulfill its obligation under Basel Convention.
Sometimes, a state does not put under control activities of transboundary movement
of hazardous wastes or other wastes, not because the state has no strong political will to do
so, but because it lacks the necessary legislative, institutional, and technical means to regulate.
With an inadequate legislative, institutional and technical capacity to control the transboundary
movement of hazardous wastes and other wastes, it is also impossible for a state to meet the
requirements of prior notification and informed consent.
1.2.2 Domestic implementation and enforcement
Just the same as other environmental treaties, domestic implementation and
enforcement is crucial to the success of Basel Convention. Without effective and vigorous
domestic implementation and enforcement, the convention will simply be a piece of paper
only. In addition to the general obligation of taking appropriate legal, administrative and other
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WANG, Xi 675
measures to implementand enforce the provisionsof the convention, the convention specifically
requires the parties to introduce appropriate national/domestic legislation to prevent and punish
illegal traffic.11
There is a lot of work to be done in implementation and enforcement of the regulation
established by Basel Convention. As much illegal traffic exists in the world, it is hard to say that
the parties have made substantial progress to implement the Convention. For industrialized
countries, how to strengthen their control on the illegal export of hazardous wastes and other
wastes remains a serious problem. It is frequently reported that companies of industrialized
countries ship hazardous wastes or other wastes to developing countries. For developing
countries, how to stop the domestic companies involved in the illegal traffic is also a serious
problem. Because of the seductive high profit of the illegal traffic, there are always some
companies in the developing countries willing to accept the hazardous wastes or other wastes
in spite of their inadequate capacity to handle the wastes in an environmentally sound way and
the disastrous environmental impacts on their home land and environment. Both the
industrialized and developing countries need to strengthen their domestic legislation and
regulations and administrative control on the transboundary movement of hazardous wastes
and other wastes.
It should be pointed out that the governments of industrialized countries play a critical
role in the control of transboundary movement of hazardous wastes and other wastes. That is
because almost all hazardous wastes and other wastes under illegal traffic were generated
and moved out from industrialized countries. It is also because the industrialized countries
have the necessary financial, scientific and technological resources to dispose the wastes in
an environmentally sound way. The governments of the industrialized countries have an
obligation under Basel Convention to minimize the hazardous wastes and other wastes and to
strictly ban the illegal traffic from the sources. If the industrialized countries tighten their law and
enforcementagainstthe illegal trafficand greatly reduce the wastes generated there, the quantity
of the hazardous wastes and other wastes which may enter into the illegal traffic will be greatly
reduced.
1.2.3 International cooperation
International cooperation is very important for the successful control of transboundary
movement of hazardous wastes and other wastes. The priorities for the cooperation are,
according to Basel Convention; 1) cooperation in making and enforcing laws and regulations
for eliminating illegal traffic of hazardous wastes and other wastes; and 2) cooperation in
developing technology for the treatment and disposal of hazardous wastes and other wastes
in environmentallysound way.
Parties to Basel convention should make their domestic legislation and regulations
meet the basic requirements of the convention, so as to eliminate the loopholes for the illegal
traffic. The laws and regulations should be in detail and strict enough to enable the
administrations to closely supervise the conducts of entities involving with the generation and
movement of the wastes and closely follow the movement of the wastes.
Just like the importance of information exchange in the combat against international
drug smuggling, constant and prompt information exchange, to a large extent, decides the
effectiveness of the regulation on illegal traffic of hazardous wastes and other wastes. The
parties and other states should increase the information exchange on the illegal traffic. To
achieve a better information exchange, the states should have a strong political will to do so
and should tighten the domestic control on hazardous wastes and other wastes so as to have
sufficient information for exchange.
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Basel Convention specifically requires the parties to cooperate in information exchange,
monitoring, technology development, technology and management system transfer, and
technical guideline and code of practice.12 The laws and regulations on eliminating the illegal
traffic must be backed by environmentally sound and economically feasible technology for
treating and disposing hazardous wastes and other wastes. When a company cannot find
such a technology to treat or dispose its wastes, it often chooses to sell its wastes to other
countries, so long as there is a buyer there.
1.2.4 Liability and compensation
Basel Convention requires the parties to adopt, as soon as practicable, a protocol
setting out appropriate rules and procedures in the field of liability and compensationfor damage
resulting from the transboundary movement and disposal of hazardous wastes and other
wastes.13 This is a very important but complicated work area. The entities and individuals who
engaged in the illegal traffic take every chance to escape from their legal liabilities. The setting
out of the rules and procedures would be a great help to the victim countries or regions to get
relief and compensation. It would be also a strong deterrent to the one engaging in the illegal
traffic.
1.3 The national law and regulations of the People's Republic of China on the
control of transboundary movements of hazardous waste and other wastes
The regulation on transboundary movements of hazardous wastes and other wastes
in the People's Republic of China is based on the following administrative ordinances and law.
1-3.1 The Notice on Strict Control of Hazardous Wastes Abroad Moving into
China (jointly issued by the National Environmental Protection Agency and
the Customs Administration of RR.C. in March 7. 1991. hereinafter referred
as "1991 NoticeV4
The 1991 Notice is the first administrative ordinance dealing with transboundary
movement of hazardous wastes. The Notice listed 23 categories of hazardous wastes and
other wastes that under strict control for their import. The list is attached to the ordinance as the
Annex I. The Notice prohibits the dumping and disposing the Annex I wastes in China. For
those needed as raw materials and energy or for re-utilization, the importer and user shall
apply to the environmental protection administrations for their import. The importer and user
shall prepare environmental risk assessment for the proposed import and use. A procedure
for the application and review is established by the Notice. The application shall be reviewed
preliminarily by the local environmental protection bureau and then submitted to the provincial
environmental protection administration for review. The National Environmental Agency is the
only agency that has the power to approve or refusethe application. When the proposed imported
waste arrives, the importer and user shall apply to the relevant Environmental Protection Bureau
for inspection. Only when the Environmental Protection Bureau verifies the waste, can the
customs administration allow the waste to be imported. For those wastes that are prohibited
to be imported into China, the importer is responsible for returning the wastes to abroad.
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WANG, Xi 677
1.3.2 The Urgent Notice on Firm Control of Hazardous Wastes Abroad Moving into
China (issued by the Office of the State Council in Nov. 7. 1995, hereinafter
referred as 1995 Notice)15
Because the growth of illegal traffic of hazardous wastes and other wastes between
Chinese and foreign entities in the recent years, the State Council calls for strengthening the
regulation on wastes import. The 1995 Notice prohibits any entity and individual to engage in
the import of prohibited wastes. For the wastes that can be imported as raw materials, the
1995 Notice reemphasizes the review and approval procedure set forth by the 1991 Notice.
The 1995 Notice requires the Commodity Inspection Administration to conduct compulsory
inspection to the wastes imported as raw materials. The Notice requires the competent
administrationsto punish those who committed illegal traffic. To those who committed the illegal
traffic and violate the criminal law provisions, the administrations shall file prosecution. The
Notice requires National Environmental Protection Agency, ForeignTrade Ministry, and Customs
Administration to formulate the lists of wastes for categorized management of import. The
Notice requires to return the wastes under illegal traffic to the exporting countries or regions.
1.3.3 The Law on the Prevention and Control of Environmental Pollution Caused by
Solid Wastes (passed by the Standing Committee of the National People's
Congress in Oct. 30. 1995: will inter into force in April 4. 1996. hereinafter
referred as "Solid Wastes Law"16
The Solid Wastes Law is a specialized and comprehensive law dealing with the
pollution caused by solid wastes, including hazardous wastes. The law prohibits dumping,
storing and disposing foreign solid wastes in China.17 The solid wastes which cannot be used
as raw material are prohibited to be imported.18 The solid wastes that can be used as raw
material are allowed to be imported under strict conditions.19 The law requires the National
Environmental Protection Agency and the ForeignTrade Ministry to formulate, adjustand publish
a list of solid wastes which are allowed to be imported as raw materials.20 The solid wastes
not listed in the list are prohibited to be imported. The law authorizes the National Environmental
Protection Agency, cooperating with the Foreign Trade Ministry, as the authority to review and
approve the application for import of the listed solid wastes.21 The law requires the National
Environmental Protection Agency, cooperating with other relevant governmental agencies, to
make the list of hazardous wastes, standards for identifying hazardous wastes, methods of
identification and hazardous waste labels.22 The law requires all entities engaging in business
of hazardous waste collection, storage and disposal must apply for license from the
government.23 The law has detailed requirements for activities of collecting, storing, transporting,
and disposing hazardous wastes. Hazardous wastes is prohibited to transit through China.24
The law imposes sever fines on the entities which violate the provisions of the law on
transboundary movement of solid wastes.25 The illegal importer must return the wastes to
abroad.26 The wastes in transit must be returned also.27
1.4 Comments on the legal framework of China on control of transboundary
movements of hazardous wastes and other wastes
The promulgation of the Solid Wastes Law indicates that a legal framework on control
of solid wastes has taken shape in China. The law covers all the basic areas for the prevention
and control of pollution caused by solid wastes. The law provides a firm foundation for the
future development of law and regulations in this field.
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One of the importantthings to do for China to completeand improve the legal framework
is to promulgate all the implementing regulations and other provisions as the law has indicated
as soon as possible. In the area of controlling transboundary movements of hazardous wastes
and other wastes, the most needed legal documents for implementation of the law include:
• list of solid wastes allowed for import as raw material;
• list of hazardous wastes;
• uniform standards for hazardous wastes identification;
• uniform methods for hazardous wastes identification; and
• marks of hazardous wastes. As the 1995 Notice has indicated, it would
not take too long for the enactment of these documents.
Another important thing for China to do is to firmly implement the law and other legal
provisions in this field. The governments at various levels should take measures to closely
supervise and monitor the generation, movement and disposal of hazardous wastes ant other
wastes. They should also take measures to strengthen the regulation and enforcement against
illegal traffic.
2 THE CASES OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS
WASTES TAKEN PLACE IN CHINA AND THEIR MEANING TO THE
IMPROVEMENT OF THE INTERNATIONAL AND DOMESTIC REGULATION
2.1 Cases of transboundary movements of hazardous wastes and other wastes
taken place in China in the recent years
2.1.1 The Nanjin Korean chemical wastes case28
A total of 6,440 barrels, 1,288 tons of chemical wastes under the name of "other fuel
oil" were discovered in Nanjin Port by the Xinshengyu Customs Administration, Nanjin, in Sept.
29,1993. The inspection report of the Commodity Inspection Administration found the materials
in the barrels were not fuel oil but chemical wastes. Most of the barrels contained unidentified
mixture of muddy materials with strong acid or alkali, high corrosiveness, high pressure and
strong offensive smell. The rest of the barrels contained waste water. The barrels were detained
by the Customs Administration in Oct. 8,1993. They were shipped to Nanjin by a cargo ship
chartered by a Korean company called Hanchang Industrial Company in September 25,1993.
The shipment of the wastes was according to a contract between a Chinese company in Beijing
called Beijing Zhongmaofa Import and Export Company, which is a subsidiary of the China
Foreign Trade and Development Corporation and was entrusted as a agent to import the
"cargo" by a Chinese company in Shanghai called Shanghai Huafu Business Company, and a
Macao company called Xinjingang International, Ltd. Under the contract, the Xinjingang
International shall export from Korea to the Shanghai Huafu Business Company a total of 200,000
tons of "other fuel oil." The "oil" was divided into A and B classes. The price for A class was
US$27.00/ton, the price for B class was US$8.00/ton. The detained 1,288 tons of wastes was
the first delivery under the contract. Six months later, after the Foreign Ministry and the National
Environmental Protection Agency of China notified the Korean Government and reported the
case to the Secretariat of Basel Convention, the wastes were finally taken back to Korea by
Korean side.
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WANG, Xi 679
All the companies involved in this case denied their liability to the illegal traffic. The
Xinjingang International said that it was a mistake of the ship loading company in Macao. The
representative of the Korean side said that he can provide evidence to prove that the Chinese
companies demanded the Korea chemical wastes. The China Foreign Trade and Development
Corporation and Beijing Zhongmaofa Import and Export Company claimed that the contract
was altered, the Hanchang Industrial Company was not in the original contract, the bill of landing
was not in accordance with the contract, and it was possible that someone falsely used their
import contract permit. The Beijing Zhongmaofa Company discharged its agency relationship
with Shanghai Huafu Business Company soon after the wastes were discovered. It claimed
that its reputation was harmed and would look into the legal liability of the parties concerned. It
claimed that the Korean side intentionally replaced the "other fuel oil" with the wastes. The
Shanghai Huafu Business Company claimed that it was the innocent victim and that only when
the inspection report of the Commodity Inspection Administration in Nanjin released, did it
know the cargo was not "other fuel oil" but chemical wastes. In addition, It was reported that
those wastes came from seven Korean chemical plants. Six of them declared bankruptcy after
the wastes were discovered in Nanjin in order to escape from their liability.
The only reasonable conclusion about this case would be that it was a case of illegal
traffic. The excuse of the Macao company that the loading company misloaded the cargo is
not acceptable. The barrels contained the hazardous wastes were the only cargo on board.
There was no chance and possibility to mix the 6,440 barrels with other cargo. The arguments
of the Chinese companies that they were the victim of a fraud and that they did not know the
wastes are also untenable. The import permit in this case is a permit for end product oil, not for
"other fuel oil." It is hard to believe the price for end product oil could be so low as the price in
the case. As to the Korean companies, they cannot clear themselves from the wrongdoing of
exporting the wastes to China.
2.1.2 Rian Hualong Plastic Chemical. Ltd, case 29
Rian Hualong Plastic Chemical, Ltd. is a Sino-Foreign Joint Venture in Wenzhou City,
Zhejiang Province. The company applied to the Environmental Protection Bureau of Wenzhou
City for importing 183 containers of "waste plastics", which had arrived at the Wenzhou port, in
May, 1994. During reviewing the application, the Bureau discovered that the company had
imported another 50 containers, over 1,000 tons of wastes plastics without applying permit
from the Bureau. Forty five containers of the wastes had been discharged to a ground for
separation and picking up process. The specialists of the Environmental Protection Bureau
found that the wastes were mostly plastic packaging materials collected from households and
supermarkets. They were wastes under strict control for import by China. It was reported that
the wastes came from Rotterdam via Hong Kong. The Environmental Protection Bureau detained
all of the containers and fined Rian Hualong Plastic Chemical, Ltd. 50,000 yuan.
2.1.3 Fushun Plastic Products. Ltd, case30
Fushun Plastic Products, Ltd. is a new Indonesian invested company engaging wastes
re-utilization in Longhai City, Fujian Province. The company imported 1,874.1 tons of waste
plastic from Europe as the raw material for the first operation of the plant. The waste plastic
come from Rotterdam via Hong Kong. Under the contract, the waste plastic should be leftover
bits and pieces of industrial materials. As the sample of the cargo, the first shipment of one
container did contain the materials as the contract specified. But the latter shipment of 100
containers contained mainly hazardous plastic materials including wasted hospital plastic
materials, such as plastic injectors and infusion tubes. The price of the cargo was US$20.00/
ton. It was reported that the European Community Environmental Protection Bureau subsidized
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the freight. The company was shocked by the latter shipment and telegrammed the European
exporter to stop the shipment of another 150 containers. Ironically, the first container shipped
to the exporter after the telegram contained the leftover bits and pieces of industrial plastic
materials again.
In this case, the Fushun Plastic Products, Ltd. did not obey the procedural requirements
of the 1991 Notice for import of wastes as raw materials. The Provincial Environmental
Protection Bureau only inspected the first shipment, but neglected to inspect the latter
shipments. There was no one in Chinese side claimed for damages or requested the exporter
to take the wastes back. How to dispose the imported hazardous wastes remained a problem.
2.2 The loopholes and weakness of the international and domestic regulation
revealed by the cases and the relevant suggestions on improvement
2.2.1 Prior notification and informed consent
As mentioned in 1.2.1, the notice and consent procedure is the cornerstone of Basel
Convention. Any violation of this procedure will undermine the effectiveness of the regulation
on the transboundary movements of hazardous wastes and other wastes established by Basel
Convention.
As the three cases mentioned above indicated, one frequently applied fraud for
bypassing the notice and consent procedure is to cover the illegal traffic under a name of legal
trade. For example, in Nanjin Korean chemical case, the chemical wastes were shipped to
Nanjin underthe name of "fuel oil." In Fushun Plastic Products, Ltd. case, the hazardous plastic
wastes were shipped to China under the name of leftover bits and pieces of industrialized
materials.
Basel Convention has no further specific suggestion on how to stop this kind of fraud
except the suggestion of returning the wastes and calling for the party states to adopt domestic
law and regulations to prevent and punish the illegal traffic. There is neither deterrent to the
exporters and importers nor binding requirements to party states to strictly meet the procedure
of prior notification and informed consent in the convention. This is a critical weak point of the
Convention because it exists in one of its critical requirement.
The procedure of notice and consent should be re-enforced by some operational
requirements. In the convention, there should be a legal mechanism or requirement to prevent
companies to get a consent from states concerned through falsification, misrepresentation or
fraud and punish those who committed these wrongdoing. It should be recognized as an
international obligation of the parties to the convention to discipline the companies under their
jurisdiction to faithfully meet the procedure of notice and consent. The party states should take
further measures to ensure that the permits issued for exporting or importing legal commodities
will not be used for illegal traffic of hazardous wastes or other wastes. A party state to Basel
Convention should be accountable for the violation of the notice and consent procedure by
entities under their jurisdictions.
A possible way to re-enforce the notice and consent procedure would be to include in
Basel Convention two new requirements. The one is a requirement on the responsibility of the
parties to ensure both the permits for exporting and importing commodity meeting the
requirements of the convention. The other is a requirement on the responsible inspection of
the cargo for export and import so as to prevent and suppress the illegal traffic.
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WANG, Xi 681
2.2.2 Domestic implementation and enforcement
It seems that in all the three cases, some of the local governmental administrations
responsible for the management of export and import did not strictly supervise the activities of
the companies involved in the wastes trade. In Nanjin Korean chemical case, the Korean local
administration responsible for control of wastes export did not stop the shipment of 6,440
barrels of chemical wastes. In the Rian Hualong Plastic Chemical case, the Chinese local
environmental protection bureau did not know the first shipment of 50 containers of wastes,
which the bureau should know in advance. In Fushun Plastic Products, Ltd. case, it was said
that the European Community Environmental Protection Bureau subsided the freight for the
shipments of the wastes. It is not clear whether the bureau knew or not the change of the
contents of the containers. As a regulator in control of transboundary movements of hazardous
wastes and otherwastes, the bureau is accountable for the shipments of the hazardous wastes.
It is the obligation of the party states of Basel Convention to ensure the companies
and individuals under their jurisdiction obey the requirements of the convention. To prevent the
fraud of the companies or other entities engaged in wastes trade, there should be a procedure
of double check by the competent administration.The governmental authority issuing the permit
for export or import must conduct, at least, an effective inspection to the cargo permitted to be
exported or imported after the permit was issued.
In addition, institutional arrangements should be made to enable the competent
environmental protection administration to effectively participate in the supervising process.
The work of Foreign Trade Ministry, Environmental Protection Agency, Customs Administration
and Commodity Inspection Administration must be coordinated in order to eliminate the
loopholes that could be used for illegal traffic. An effective and prompt information exchange
mechanism should be established among the relevant administrations so as to ensure a prompt
exchange of information.
2.2.3 International cooperation
The importance of internationalcooperationin combating the illegal trafficof hazardous
wastes and other wastes are clearly shown by the three cases. In Nanjin Korean chemical
case, the return of the wastes was delayed five months because each company involved wanted
to shift the responsibility onto others. It was the active intervention of the governments of the
two countries, especially the press of the Chinese government, that finally made the return of
the wastes into reality. In Rian Hualong PlasticChemical, Ltd. case and Fushun Plastic Products,
Ltd. case, how to deal with the wastes illegally shipped to China and the pollution caused by
the wastes are problems that needs cooperation between the relevant governments.
How states prevent the illegal traffic is another important area for international
cooperation. The three cases show how inadequate the cooperation among the relevant states
was. As mentioned before, the political will of the industrial countries to prevent illegal traffic of
hazardous wastes and other wastes is a decisive factor to the effectiveness of the regime
established by the Basel Convention. That is because most of the wastes were generated in
industrialized countries. Without the good faith of the industrialized countries in preventing the
illegal traffic, there would be no effective international cooperation in combating the illegal
traffic.
The three cases indicate that states, especially the party states of Basel Convention,
should strengthen their cooperation in setting up a legal mechanism to deal with the wastes
that had been illegally shipped to import countries and in preventing illegal traffic. It is suggested
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that the Secretariat of Basel Convention organize some legal experts to investigate and study
the major cases of the illegal trafficaround the world and submita proposal on howto strengthen
the international cooperation in the two areas.
2.2.4 Liability and compensation
The Basel Convention requires the parties to adopt a protocol setting out appropriate
rules and procedures in the field of liability and compensation for damage resulting from the
transboundary movement and disposal of hazardous wastes and other wastes.31 The three
recent cases indicate that the process of setting out rules and procedures for liability and
compensation should be accelerated. As developing countries are usually the victims of the
illegal traffic and the trend of moving hazardous wastes and other wastes into developing
countries has not been stopped, there should be more legal experts from developing countries
to participate into the process of the rule and procedure setting.
3 CONCLUSIONS
A legal framework for international control of transboundary movements of hazardous
wastes and other wastes has been established by Basel Convention. But the implementation
of the convention does not make people feel satisfactory. There are some loopholes and
weakness points in the implementation of the Convention. The political wills of the party states
to control the illegal traffic seems not as strong as it should, especially in the local government
level.
As the trend of moving hazardous wastes and other wastes from industrialized
countries to developing countries is still going on at a considerable large scale, the parties of
Basel Convention and other states should take firm measures to vigorously implement the
convention. These efforts should concentrate on (1) improving the procedure of prior notification
and informed consent and its implementation; (2) strengthening domestic implementation and
enforcement; (3) strengthening international cooperation, and (4) accelerating the process of
adopting rules and procedures for liability and compensation.
REFERENCES AND NOTES
1. International Legal Materials, 1989, pp.657-686.
2. Id., pp. 664-665, Articles.
3. Id., pp. 666, Article 9. 1. (a).
4. Id., Article 9.1.(b).
5. Id., Article 9.1.(c).
6. Id., Article 9.1.(d).
7. Id., Article 9.1.(e).
8. Id., pp. 666-667, Article 9. 2. (a), (b).
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WANG, Xi 683
9. Id., article 9. 3.
10. Id..Article9.4.
11. Id., Article 9. 5.
12. Id., pp.667-668, Article 10.
13. Id., pp. 668, Article 12.
14. For the Chinese text of the notice, see National Environmental Protection Agency, The
Compilation of Environmental Protection Laws and Regulations, Second Volume,
China Environmental Science Press, 1993, pp. 177-183.
15. For the Chinese text of the notice, see China Environmental News, Nov. 23,1995, p. 1.
16. The law was promulgated by the President of the People's Republic of China, Mr. Jiang
Zemin, in the same day as the law passed. For the Chinese text of the law, see Legal
Daily, Nov. 3,1995, p.3.
17. Article 24.
18. Article 25.
19. Id.
20. Id.
21. Id.
22. Article 43.
23. Article 49.
24. Article 58
25. Article 66-69.
26. Article 66.
27. Article 67.
28. Xie Zhenghua, edit., Synopsis of Enforcement and Typical Environmental Cases of
China, China Environmental Science Press, Beijing, 1994, pp. 314-318; Huang Xuchu,
Muddy flow sneaked into China, China Environmental News, Sept. 4.1994, p. 1; Wang
Guoyu, The return of over one thousand ton of Korean chemical wastes begin, China
Environmental News, March 5,1994, p. 1; Zhou Ninsheng, The case of compensation
for the damage caused by the imported Korean chemical wastes has a result, China
Environmental News, Feb. 25,1995.
29. Huang Yukan, Wenzhou discovered an illegal import of hazardous wastes, China
Environmental News, June 9,1994; Wen Gao, Hualong Company was punished
because of illegal import of wastes, China Environmental News, Oct. 29,1994.
30. Li Liang, etc., Foreign wastes burst into China again, China Environmental News, Feb.
12, 1995, p. 1.
31. Article 12 of Basel Convention.
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TOLENTINO, AMADO S., JR. 685
REGIONAL ACTION PROGRAM AND GUIDELINES TO PREVENT ILLEGAL
TRAFFIC IN HAZARDOUS WASTES IN THE ASIA-PACIFIC REGION
TOLENTINO, AMADO S., JR.
Vice-Chairman, IUCN Commission on Environmental Law
Mahiyain St., Diliman, Quezon City, Philippines
SUMMARY
In accordance with United Nations General Assembly resolution 44/226 (1989), the
author undertook an assessment of the present state of illegal traffic in hazardous wastes in
the Asia-Pacific region. The assessment report was the main document at the 1994 Economic
And Social Commission For Asia And The Pacific/United Nations Environment Program
Expert-level Workshop on the Prevention of Illegal Traffic in Hazardous Wastes held in Tokyo
which produced a regional program and guidelines to prevent illegal traffic in hazardous wastes.
The paper discusses the action program, the main objective of which is to promote
implementation of the Basel Convention and guidelines for use in capacity-building through
national-level workshop or other training programs for strengthening institutional and legislative
frameworks for hazardous waste management.
1 INTRODUCTION
The style of living to which many people throughoutthe world have become accustomed
depends on the free movement of a wide range of goods or commodities from production to
consumption sites. These goods vary from the absolutely harmless to the highly dangerous
and include the whole range of chemical substances and mixtures. Recently, interest in safety
and in protection from chemicals has developed from worker protection in factories and plants
to the transport and handling operations and user sites and now, to the external environment, in
particular as regards the disposal of hazardous wastes which has resulted to illegal traffic as a
way of disposing of the same.
Indeed, technological progress brought immense benefits to mankind - increased
food production, improved health care, eradication of deadly diseases and bestowal of longer
life expectancy and a better standards of living. However, it also brought enormous number of
pollutants to the environment. Among these pollutants are wastes from food processing,
detergents, agricultural run-offs, heavy metals, radioactive wastes, inorganic chemicals and
heated water. The pollution threat attendant to their transport, handling, and disposal from one
place to another is an ever present danger too because of their general characteristics which
may include ignitability, explosiveness, corrosiveness, toxicity and radioactivity.
Due to its very nature, therefore, hazardous waste control has to be taken care of from
the "womb to the tomb." This means identification of hazardous waste generators, monitoring
of the transport of shipping of waste for treatment/storage/disposal, assurance that treatment/
storage/disposal sites meet the minimum standards and constant and competent surveillance
of their operation, and lastly, when a site is filled up or to be phased out, its closure should be
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in accordance with the required procedure. After a site's closure, there is the continuing need
for routine monitoring and maintenance to ensure safety against personal injury and damage
to property for at least 20 to 30 years.
Legislation represents an essential element for hazardous waste control. The general
trend is for legislation to emphasize the protection of human health and well-being as the prime
consideration. The following is a brief account of the significant features in legislation and
management strategies for hazardous waste illegal traffic control.
2 UNITED NATIONS ENVIRONMENT PROGRAM/ECONOMIC AND SOCIAL
COMMISSION FOR ASIA AND THE PACIFIC PROJECT ON PRELIMINARY
ASSESSMENT OF ILLEGAL TRAFFIC IN TOXIC AND DANGEROUS
PRODUCTS AND WASTES ON THE ECONOMIC AND SOCIAL
COMMISSION FOR ASIA AND THE PACIFIC REGION
While industrialization is essential to enhance the quality of life of the people, the toxic
products and waste generated in the process pose great risks to human health and the
environment. Many countries do not have the capacity for handling and disposal of toxic wastes.
This situation is further aggravated by the illegal traffic in these products and wastes.
Considering the gravity of the situation, the UN General Assembly in its resolution 447
226 (1989) requested each regional commission to contribute to the prevention of the illegal
traffic in toxic and dangerous products and wastes by monitoring and making regional
assessments of this illegal traffic and its environmental and health implications. To follow up on
this resolution, a project on preliminary assessment of illegal traffic in toxic and dangerous
products and wastes in the region was implemented by the Economic and Social Commission
for Asia and the Pacific with funding provided by the United Nations Environment Program.
The preliminary assessment conducted by Economic And Social Commission For Asia And
The Pacific is in line with paragraph 20.45 of Agenda 21, the program of action for sustainable
development agreed upon by the countries at the United Nations Conference on Environment
and Development. Agenda 21 stipulates that "the regional commissions, in cooperation with
and relying upon expert support and advice from United Nations Environment Program and
other relevant bodies of the United Nations system, taking full account of the Basel Convention,
shall continue to monitor and assess the illegal traffic in hazardous wastes, including its
environmental and health implications on a continuing basis, drawing upon the results and
experience gained in the joint United Nations Environment Program/Economic And Social
Commission For Asia And The Pacific preliminary assessment of illegal traffic."
The Economic And Social Commission For Asia And The Pacific assessment report
was completed in 1993 based on fact-finding visits to five countries: Fiji, Pakistan, Singapore,
Sri Lanka and Thailand. It also tried to give an overview of the situation in the Pacific based on
information obtained from the South Pacific Regional Environment Program. Something which
is illegal is very difficult to assess. Economic And Social Commission For Asia And The Pacific
in 1990 circulated a questionnaire for this purpose. The effort did not yield any significant
information. Therefore, instead of reporting the quantities of waste involved in this traffic, the
assessment was made on the legislative weaknesses, institutional arrangements and control
system, manpower capability, to lay the foundation of the regional strategy to control the illegal
traffic in hazardous wastes.
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In order to have a good cross-sectorial view of the status with respect to hazardous
wastes, the participating countries for the assessment project were selected to represent
various economic categories, geographic location and the capacity to deal with this problem.
The main objective in this effort is to promote regional cooperation to strengthen the capacity
of the region to deal with the problem.
The assessment report revealed that scant information was available on the extent of
illegal traffic in hazardous products and wastes in the Asian and Pacific region. However, there
was open supposition that illegal traffic was ongoing owing to the laxity in the implementation
and enforcement of relevant legislations and regulations and in the absence of the necessary
laws and rules to prevent such traffic. There were deficiencies in the capabilities of the countries
to control imports and to detect and stop the entry or exit unwanted chemical products and
wastes. Basic to the deficiencies was the uncertainty as to the most appropriate infrastructure
for chemical/waste management within a country. Among the major problems, issues and
limitations encountered were: (a) the absence or inadequacy of national control system; (b)
legislative constraints; and (c) ineffective institutional arrangements. Other impediments to
toxic and dangerous products and wastes management included inappropriate dissemination
and use of international documentation related to toxic and dangerous products and wastes,
such as those on risk/hazard assessment; the absence of a systematic data system covering
information on quantities of hazardous products/wastes imported, produced or exported as
well as the regulated parties, for example, importers, exporters, generators, collectors,
transporters; the lack of coordination, liaison and sharing of resources and results among
existing laboratories; the lack of personnel trained in the various aspects of chemical
management, for example, the implementation of regulations, inspections, prior informed
consent procedure, identification, testing and analyses of chemicals/wastes and weak public
understanding and support to effective chemical management.
3 REGIONAL ACTION PROGRAM TO PREVENT ILLEGAL TRAFFIC IN
HAZARDOUS WASTES
In early 1994, an Economic And Social Commission For Asia And The Pacific/United
Nations Environment Program Expert-Level Workshop on the Prevention of Illegal Traffic in
Hazardous Wastes was held in Tokyo which found the assessment report an excellent
background material with which to formulate an action program to promote regional cooperation
to strengthen the capacity of the countries to deal with the problem posed by illegal traffic in
toxic and dangerous products and wastes.
The regional action program as recommended by the said workshop attended by
representatives from Economic And Social Commission For Asia And The Pacific countries
consists of the following:
3.1 National controls
• It should be ensured that hazardous wastes, as defined by the Basel
Convention, are clearly identified as such by the Harmonized Commodity
Description and Coding System administered by the Customs
Cooperation Council. In the meantime, national inventories for regulatory
control of transboundary movements of hazardous wastes should be set
up.
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• While the definitions of hazardous wastes should follow the Basel
Convention, work should be done towards achieving a uniform interpretation
of those definitions in accordance with existing international standards
and codes, such as those contained in the relevant United Nations
publications, the International Convention for the Prevention of Pollution
from Ships, 1973.
• Gaps should be closed and duplication avoided in efforts to combat illegal
traffic, collaboration and cooperation among national programs should be
encouraged, working through the secretariat of the Basel Convention.
While many countries of the region have some form of control system for the import/
export of toxic wastes, there are still a number of others which have yet to begin with their
respective regulatory scheme on the same. The latter includes countries which have not
embarked on, among others, an inventory of all hazardous wastes generated, imposition of
licensing or permitting requirements for importers/exporters as well as registration procedures
for dangerous products and wastes, reviewand revision of import/exportregulations, acquisition
of laboratory testing facilities to monitor traded chemicals/wastes, creation of an interagency
coordinating committee to oversee and resolve chemical/waste related issues, all of which
could lead to appropriate controls to prevent illegal traffic. In some countries where control
systems are in place, efforts should be exerted to make the system more efficient.
3.2 Institutional capabilities
• There should be effective interagency cooperation between government
institutions such as ports and customs authorities and the judiciary so that
all concerned officers are kept up-to-date and well-informed on regulatory
control measures.
• There should be effective communication between regulatory agencies
and the business and trade communities on the scope and application of
the regulatory measures.
• Assistance should be provided for training of ports and customs and other
officials including members of the judiciary, in the implementation of
regulatory measures at an international level.
Practically all reports, studies and appraisals on waste management recognize that
institutional constraints are among the greatest obstacle to effective development of regulatory
control for toxic wastes. Inadequate infrastructure and absence of coordinating mechanisms
among chemical management-related agencies, characterize the state of institutional
arrangements on the subject. Consequently, ways must be found to create or improve not only
the institutional arrangements but the national structure, procedure and information system on
hazardous wastes as well and to adopt the regulatory control on import/export of the same to
the full development of a chemical management system.
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3.3 Non-governmental organizations
• The role of Nongovernmental Organizations was recognized as
complementary to that of Governments. Action should be taken to extend
facilities, information and cooperation to them, and to identify the
assistance required to ensure that the contribution of Nongovernmental
Organizations is effective.
Nongovernmental Organizations have assumed important roles in many aspects of
environmental protection during the last decade. They have grown rapidly to meet real needs
in certain identified environmental sectors but with very few exceptions, their efforts in regard
to hazardous waste management had been often without a supporting legal framework.
Toxic wastes policies and laws have not yet been extensively formulated to allow the
mobilization of all private efforts in a much more effective way. Ways should, therefore, be
sought to improve the management and support of Nongovernmental Organizations if they are
to play a more positive role in hazardous management.
3.4 Establishment/strengthening of analytical laboratories
• National laboratories should be established or the infrastructure for
appropriate analytical laboratories should be strengthened.
• Appropriate uniform national and regional standards should be adopted.
The present system of analytical laboratories in the countries of the region comprise a
number of laboratories operating under several different government ministries or departments,
e.g., agriculture, health, industry, environment, etc., as well as hospital and university laboratories.
Different services are offered by them but not one could be said to have the complete analytical
or administrative facilities to conduct work related to hazardous waste identification, testing,
analysis as well as other related specialized analytical services. Indeed, it is difficult to see
how the analytical functions of a structured chemical management system could be effectively
accommodated within the present laboratory system in the countries of the region particularly
as it relates to prevention of illegal traffic.
3.5 Promotion of education
• Public awareness and information systems on hazardous waste
management should be promoted.
• Relevant academic research institutions should be identified to carry out
training on the management of hazardous wastes.
• The media should be encourage to play a role in promoting public
education. Simple courses on waste management should be introduced
in school and college syllabi.
The types of behavior which constitute illegal traffic as well as the long term adverse
effects of toxic chemicals and hazardous wastes to public health and the environment are not
known to the great majority of the population in developing countries. Harmonized hazard
assessmentand hazard communications, e.g., classification, packaging and labeling schemes,
are useful for the transport sector but do not usually benefit the actual users of chemicals or
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disposers of wastes or of the resultant products. Access to international chemical/waste
information systems is not sufficient because of the lack of computer and software facilities to
reach such systems.
Moreover, the export to developing countries of chemicals which have been banned
or severely restricted in producing countries or of the latter's hazardous wastes have been the
subject of concern because many importing countries do not have the capability to assure safe
use of those chemicals or disposal of those wastes. For this reason, the prior informed consent
procedure was introduced to enhance sound management of chemicals and wastes through
the exchange of scientific, technical, economic and legal information thereby preventing illegal
traffic in the same. Be that as it may, increased cooperation at the national, subregional and
regional levels is still necessary to effectively implement the procedures laid down by
international instruments.
3.6 Promotion of regional cooperation
• Regional cooperation should be promoted to minimize transboundary
movements of hazardous wastes, particularly from outside the region, and
to prevent illegal traffic. To that end, States in the region should accede to
and ratify the Basel Convention and, where appropriate, should enter into
regional agreements to supplement international efforts.
• Support should be given in the region to national emergencies arising
from the storage, transport, treatment and disposal or accidental release
of hazardous wastes.
• Legislation and enforcement mechanisms should be strengthened to
Prevent illegal traffic of hazardous wastes.
Country reports in the region show serious deficiencies in the capabilities of many
developing countries to detect and stop the clandestine entry of unwanted toxic and dangerous
products/wastes. Despite wide implementation of import/ export procedures, many changes
ought to be done to reduce or prevent the environmentally unacceptable traffic. Although normally,
the model approach for developing countries is not advisable on account of diversity of legal,
political, economic and social systems, perhaps the area of toxic and dangerous products and
wastes i.e., one about which harmonization of procedures including classification, packaging
and labeling to prevent illegal entry and exit could be done considering the fact that the same
dangerous products and wastes come from producers or exporters which are commonly from
developed countries.
4 GUIDELINES TO PREVENT ILLEGAL TRAFFIC IN HAZARDOUS
PRODUCTS/WASTES
Economic And Social Commission For Asia And The Pacific in 1994 came out with a
publication entitled "guidelines for the Development of a Legal and Institutional Framework to
Prevent Illegal Traffic in Toxic and Dangerous Products and Wastes." By way of introduction,
the import and export of chemicals/wastes in the developing countries of Asia and the Pacific
are regulated by customs laws or import/export control laws and for some chemicals e.g.,
drugs, poisons, pesticides by the applicable chemical product/waste control law. Among other
documentation, reliance is on a permit or license to import or export the chemical/waste before
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allowing entry or exit of shipments. Studies revealed, however, that Customs and even Ports
authorities are not yet in a position to properly control import and export of chemical/waste not
only because of lack of personnel and facilities but more because of lack of sufficient information
on chemical regulatory control with which to cope with the problem. Another hindrance to a
control system is the loosening of import requirements to hasten economic development in
many countries.
Nevertheless, chemical product/waste control legislation should have guidelines on
how to incorporate import and export controls in order to enable the authorities to have a basis
to enforce national regulatory actions. Apart from import/export permits or licenses, Customs
and Ports authorities should be provided with a list and profiles of toxic and dangerous products
and wastes. A special unit to take charge of dangerous chemicals and wastes should be set
up at the Customs and Port authorities and given access to competent laboratories.
Furthermore, countries with or without official bans on hazardous waste importation/exportation
should lay down special controls to properly manage and monitor their movements.
What would perhaps be appropriate for the developing countries of Asia and the Pacific
is a chemical waste management system under one law and one agency. However, in as much
as a number of countries already have laws covering particular kinds of chemicals and their
wastes administered by various government agencies, a comprehensive national chemical
product/waste legislation is suggested which harmonizes existing laws on the subject and
coordinates the operations of all chemical/waste regulatory/control agencies especially as it
relates to prevention of illegal traffic. More detailed regulations should then be administratively
issued which can be amended or updated as and when necessary without the need to amend
the main legislation.
The value of guidelines to help implement the intent and objective of legislation and
regulations should not be lost sight of. This is particularly true in chemical product/waste control
which is scientific/technical in nature and, therefore, requires appropriate guidelines for its
effective implementation and enforcement.
Briefly, the basic structure of a comprehensive chemical product/waste control
legislation consists of: 1) organizational infrastructure; 2) information system; 3) regulatory
system; and 4) enforcement scheme.
4.1 Organizational infrastructure
The chemical product/waste control legislation may commence with general provisions
which encompass the statement of policy, objectives, scope of the legislation, definitions and
the institutional arrangements for the implementation of the law.
4.1.1 Statement of Policy — The statement of policy gives a general overview of
the country's management strategy with respect to toxic and hazardous
products and wastes.
4.1.2 Objective — The objective sets out the purposes of the law which, among
others, should include the protection of human health and the environment
against the detrimental effects of chemical products/wastes; and the
establishment of appropriate mechanisms to control or regulate their
movements so as to prevent/combat illegal traffic in the same.
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4.1.3 Scope — This provision describes what the law will cover such as
identification of the chemical products/wastes and the activities which are
subject to regulation.
4.1.4 Definition — The definition explains the meaning of certain terms as used in
the law like chemical, hazardous waste, import and export, etc.
4.1.5 Establishment of an Authority — This provision identifies the government
agency that will carry out the law. Lately, pollution-oriented chemical
legislation as well as industrial chemical laws are placed under the
jurisdiction of the Environment Ministry/ Agency particularly in regard to
new and unregulated chemicals.
4.1.6 Inter-Agency Coordination — Chemical legislation have traditionally been
implemented by government agencies with responsibility for a particular
kind of chemical, e.g., Ministry of Agriculture (pesticides), Ministry of Trade
and Industry (industrial chemicals) Ministry of Health (consumer
chemicals). This situation calls for an interagency committee for better
coordination of efforts in chemical management with one agency designated
as lead agency. The main objectives of an interagency committee are to
make policy recommendations for control measures and to assist the national
authority in implementing the law. It may also work on scientific or technical
matters such as assessment of hazards of chemicals/wastes, formulation of
regulations to implement the legislation, updating of the listing or inventory or
chemicals, etc. Commonly, the members of the coordinative committee are
agencies with expertise or interest in handling chemicals such as those on
Agriculture, Health, Environment, Industry, Trade, Labor, Science, Customs,
Ports, Police and Justice. In addition, representatives of nongovernmental
organizations may also be appointed to coordinative committees.
4.2 Information system
In order to prevent illegal traffic in toxic substances and hazardous wastes, it is
necessary to identify the chemicals/wastes being imported into the country as well as those
being exported to other countries. This is done through an inventory, or register or a list of
chemicals/wastes which is attached to the chemical legislation.
National Register of Chemicals/Wastes. An inventory of chemicals/wastes identifies
the existing chemicals/wastes in the country and identifies also new chemicals/wastes which
have not been imported or exported before the establishment of the inventory. It is the first step
to identify possible problems and the necessary measures to solve problems which can be
caused by chemicals/wastes as they affect human health and the environment.
The inventory which becomes the national register of chemicals/ wastes includes a
designation of identity of chemicals/wastes, the category in which it is classified (e.g., explosive,
oxidizing, flammable, toxic, harmful, etc.), description of the effects they may have on man and
the environment and data relative to the ways of rendering them harmless.
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4.3 Regulatory system
Regulatory measures on chemical products/wastes include any action to control
chemicals/wastes and usually focus on preventing or reducing the harm they may cause to
human health and the environment. Among regulatory measures in use are: classification,
prioritization; registration schemes, new chemical notification programs and permitting or
licensing procedures. While many options exist to regulate/control toxic chemicals and
hazardous wastes, a country should select only those which are appropriate and capable of
being implemented given the availability of resources to enforce within the country. This lack of
resources have led many countriesto persuade the industry to regulate itself as much as possible
and work with the government in effecting control.
Import and Export Requirements —A very useful measure for controlling activities
involving toxic chemicals and hazardous wastes is the permitting or licensing procedure. A
permit or license issued by the competent national authority gives the holder the right to import/
export hazardous chemicals or import/export toxic wastes subject to withdrawal if the holder
violates any provision of the chemical legislation or any regulation issued pursuant thereto.
Chemicals/wastes for export should comply with the packaging and labeling
requirements which are domestically required as well as with the specific requirements of the
importing country. Labeling should be in an official language understandable to the importing
country.
Decisions made to prohibit the export of certain chemicals/wastes should apply
generally to all sources of import as well as any domestic manufacture, formulation or production
for local use.
Import/Export of Hazardous Chemical Substances — Import of chemicals for the first
time should be subject to notification which means provision of detailed information about the
newchemicalto the competentnationalauthority by the importer. A newchemicalforthe purpose
of notification is one which is not included in the existing national inventory of chemicals. The
information to be provided should include data relative to testing results as well as assessment
of chemicalsincluding possibleeffectson human health and the environment. In this connection,
reference should be made to IRPTC and the prior informed consent procedure being
implemented by United Nations Environment Program and FAO.
Import/Export of Hazardous Wastes — The importation of hazardous wastes would
only be upon authorization/license duly issued by the national competent authority and the
exporter should have the prior informed consent of the competent national authority of the
State of import. Be it noted that export of hazardous wastes should take place only in the
absence of local technical capacity and facilities to dispose of the wastes in an environmentally
sound manner. Furthermore, the export of hazardous wastes shall not be permitted in the
following instances: (i) if there is reason to believe that their environmentallysound management
and disposal could not be guaranteed in the prospective State of import; (ii) if the State of
import has officially banned the import of hazardous wastes. As noted above, reference should
be made to information available at the Secretariat of the Basel Convention.
4.4 Enforcement scheme
A chemical product/waste control legislation will not meet its objectives if there is
inadequate enforcement. The main elements of an enforcement scheme are: monitoring of
compliance (e.g., recordkeeping and reporting, surveillance and inspections; compelling of
compliance (e.g., warnings, investigations, prosecution, imposition of penalties); and promotion
of compliance (e.g., training and education, economic incentives, voluntary agreements,
environmentalauditing). It is usually carried out by government officers in the competent national
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authority in-charge of the law's implementation who may be assisted by officers of other
government agencies, notably the Customs authority. In particular, legislation should provide
the Customs office with power to intercept, inspect and prevent imports or exports which do
not comply with the requirements laid down by the Competent National Authority. Appropriate
personnel and other resources should be provided to the Customs office to enable it to pursue
enforcement actions.
Enforcement Power—A competent national authority in the government's machinery
is assigned and empowered to ensure compliance with the law and its regulations as well as
conditions issued pursuant to the law. It may also issue injunctions and prohibitions under
penalty of a fine.
Inspection — A vital component of a chemical product/waste control legislation is the
power of the competent national authority to make inspection. Said inspection is carried out in
the premises of manufacturers, importers, exporters and users in order to go over documents
and other relevant materials including inquiry on individuals and collect samples to find out if
the chemical products/wastes are legal and not objects of illegal traffic in the same.
Prohibited Act — Among specific offenses which may be enumerated in the law are:
import and export of banned chemicals/wastes; import and export of chemicals/wastes which
have not been properly packaged or labeled; import and export without the required license;
export of banned or severely restricted chemicals without the consent of the importing country
or use of false statements; and misrepresentation or fraud to obtain the necessary consent or
license.
5 CONCLUSION
It is indeed surprising that toxic waste control, i.e., prevention of illegal traffic, is
neglected in many jurisdictions particularly in the developing countries of Asia and the Pacific.
This attitude should be changed soon considering the increased toxicity of many wastes caused
by wider use of chemical and advent of modern transportationand communication. The problem
is further aggravated by increased urban population concentrations and less space for landfill
as the easiest and most available method of disposal.
Be that as it may, a hazardous waste control system should begin with a political
commitment. The creation of a specific governmental infrastructure is also necessary for an
effective control system considering the clear and present danger posed by hazardous wastes
to the environment. Likewise, trained personnel in hazardous waste management is a
requirement of a control system not only for the industry but also for the government. Both
regulator and regulated should be well equipped with the wherewithal to achieve the desired
control. Well-informed and trained staff are needed both in the technical aspect of hazardous
waste management and in the legal and policy areas to assist in the formulation and
implementation of laws and regulations particularly those which would prevent illegal traffic.
Training of personnel, however, need not always flow from developed to developing
countries. Country experiences showed that sharing of experiences among similarly situated
countries such as those in Asia and the Pacific proved more valuable on account of identified
similarities in problems, issues and applicable solutions. But there is no substitute for on-the-job
training to acquire the necessary expertise in regard to hazardous waste management/control.
Above all, a system of control can only be as effective as its means of enforcement.
The more critical need today is the effective implementation and enforcement of hazardous
substances control legislations/regulations. This demands the creation of awareness of the
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importance of environmental control and compliance with the requirements to develop the
facilities (laboratories and equipment) and the expertise (qualified technical staff and other
supporting manpower) to sustain a sophisticated environmental regulatory management
framework. Lastly, and perhaps the most important of all, citizen participation should be stressed
as a solution to the problem posed by toxic wastes. The best legal framework will go awry,
even the machines and modern technology will prove ineffective without the active involvement
of the citizenry in the prevention of illegal hazardous waste traffic.
REFERENCES
1. Basel Convention on the Control of Transboundary Movement of Hazardous Waste and
their Disposal. 1989 United Nations Environment Program.
2. Draft Model National Law on the Control of Transboundary Movements of Hazardous
Wastes and Other Wastes and their Disposal. 1993 United Nations Environment
Program.
3. Guidance on Chemical Management Legislation: Information on the Prior Informed
Consent Procedure. 1992 United Nations Environment Program.
4. Guidance on Chemical Management Legislation: Overview. 1992 United Nations
Environment Program.
5. Guidelines for the Development of a Legal and Institutional Framework to Prevent
Illegal Traffic in Toxic and Dangerous Products and Wastes. 1994 (Economic And
Social Commission For Asia And The Pacific).
6. International Code of Conduct on the Distribution and Use of Pesticides. 1985
amended 1989(FAO).
7. London Guidelines for the Exchange of Information on Chemicals in International Trade.
1987 amended 1989 United Nations Environment Program.
8. Assessment Report on the Status of Some Countries Covering Institutional, Legal and
Manpower Capabilities in the Monitoring ad Management of Toxic and Dangerous
Products and Wastes. 1993 (Economic And Social Commission For Asia And The
Pacific).
9. Toxic Substances and Hazardous and Nuclear Wastes Control Act. 1990 (Philippines).
10. Toxic Substances Control Act. 1976 amended 1981, 1983, 1984, 1986, 1987 (United
States of America).
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ILLEGAL TRANSPORTS OF WASTE: TRICKS OF THE TRADE
BLANKERS, LEO C.
Regional Coordinator, Inspectorate for the Environment, Ministry of Housing, Spatial
Planning and the Environment, IPC 681, P.O. Box 30945,2500 GX The Hague, The
Netherlands
SUMMARY
This article has three aims:
• toprovidesomeunderstandingoftheillegalpracticesthatmayoccurduring
shipments of waste;
• to describe the administrative and physical checks conducted to counter
these practices; and
• to illustrate the use made of the national and international enforcement
network.
1 THE WASTE ROUTE
1.1 Regulation
Western Europe is a highly industrialized area. Apart from the good things that the
industrial revolution brought in its wake, it became clear in the mid-60s that there was also a
down side: waste.
This was a different type of waste from the domestic waste and small amounts of
industrial waste that had been accustomed to hitherto. However, it was not really treated any
differently. Chemical and other industrial waste was dumped in landfills which had not been
specifically set up for that purpose.
A number of scandals, such as having to demolish new residential areas built on
contaminated land and the poisoning of nature reserves caused the population at large and
those with political responsibility to start thinking of counter-action.
Things became worse when it became known that a number of companies had decided
to ship their chemical waste - so difficult to process - to countries that are often referred to as
third-world countries. At that time they were unable to understand the impact of accepting such
dangerous wastes. Dealers seeking a quick turn severely abused the often poor economic
situation of these countries.
In the years that followed, stringent national and international regulations came into
force in the Netherlands and other countries or nations.
The regulations were designed to make the producer responsible for processing his
waste in a responsible manner in terms of environmental protection.
Policy was designed to enable this waste to be processed as far as possible in the
country of production and to limit exports of waste as far as possible. International regulations
are set forth in a EC regulation of the European Community which directly affects all member
states. Where transfrontier waste shipments do still occur, for example because the processing
capacity in the country of production is inadequate, the producer has to abide by strict rules.
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Policy was designed to enable this waste to be processed as far as possible in the
country of production and to limit exports of waste as far as possible. International regulations
are set forth in a EC regulation of the European Community which directly affects all member
states. Where transfrontier waste shipments do still occur, for example because the processing
capacity in the country of production is inadequate, the producer has to abide by strict rules.
A number of pieces of environmental legislation dedicated to individual sectors such
as the Nuisance Act, the Waste Substances Act, the Air Pollution Act, the Noise Abatement
Act and the Chemical Waste Act were replaced in 1993 by the integrated Environmental
Management Act. Hitherto, it was not possible to deal adequately with certain matters as a
result of a lack of coherence in the legislation, but the new integrated approach has significantly
enhanced the effectiveness of environmental legislation. In the European context, a previous
1994 Directive was replaced by Regulation 259/93 from the Council concerning the supervision
and control of shipment of wastes within, into and out of the European Community. The advantage
of this Regulation is that legislation in the countries of Europe on transfrontier waste shipments
is now harmonized. The concept of "wastes" was also made somewhat clearer as a result of
European Community Regulation 75/442, but differencesin interpretationin the various countries
of the European Community remain possible.
A producer of wastes has to notify the proposed shipments to the exporting and
recipientcountriesand in many cases explicit consentfrom the relevant governmentsis required.
Transit countries also have to be informed about the proposed transfrontier shipment.
It is prohibited to ship waste to countries with an inadequate processing capacity, or
none at all, or where it is not desirable that they should receive the wastes.
As proof of consent, licenses are granted and certain forms have to be carried with
the vehicle during shipment.
The success of any regulation can be measured by compliance behavior. Checks are
necessary to measure this. If the check shows that compliance is insufficient, the Government
will have to act to take corrective and/or penal measures. This process of control followed by
corrective action is termed "enforcement."
1.2 The actors
A number of players are involved in the route covered by waste. Some of these are as
follows:
1.2.1 The producer
The producer is the individual whose activities produce the waste. A producer who
surrenders waste is responsible for its disposal. For a variety of reasons, producers will in
some cases (lack of awareness of the regulations, efficiency, lack of market awareness etc.)
will opt not to dispose of the waste themselves but to leave it to:
1.2.2 The aaent/dealer
The agent/dealer is an intermediary who performs certain services and/or actions
against payment. The activities that he carries out may be quite diverse. Often he has the
commercial contacts with the handlers or processors and cannot be avoided. In some cases
he is contracted in because the producer does not grasp the regulations and applies for the
necessary license on the client's behalf. He may also assumed responsibility for the producer's
waste and handle the entire route from producer to re-user or to the party that finally disposes
of it. Once it has been decided what is to be done with the waste, contact is established with:
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1.2.3 The hauler
In many cases direct contact is not established with the hauler, but with a forwarding
agent. The forwarding agent is a sort of agent in shipments and is often called in if several
types of transport are required for the shipment (from carlo train to ocean-going vessel etc.).
He is fully familiar with the world of transport and is often able to negotiate favorable rates. In
cases of shipments where only one means of transport is used, for example a lorry, there will
be direct contact with the hauler. In cases of shipments involving ocean-going vessels, other
intermediaries may enter the scene such as the loading agent or the ship broker and the agent
or representative of the shipping company involved. In some cases haulers act as waste agents
or make their premises available for temporary storage or simple processing of wastes. The
hauler then carries the wastes to:
1.2.4 The processor
In many cases wastes are not surrendered directly by the producerto the final processor,
and interim processing steps occur. These may comprise mixing up certain substances to
comply with a certain specification, or to separate their components (e.g. stripping of used
electricity cables) or sorting by type (old metals) or particle size. These actions may be bona
fide, but illegal waste operations do occur in this part of the disposal chain. After processing, a
hauler is usually contracted to ship the waste to:
1.2.5 The re-user
The re-user may use the wastes to render them useful again. Examples are the re-
smelting of metals, the crushing of construction and demolition waste and distillation to return
certain chemicals to a particular specification. In many cases, only a proportion of the wastes
submitted can actually be used. What remains is then only suitable for:
1.2.6 Final disposal
Final disposal is defined as landfills where wastes are introduced onto or into the soil
or subject to certain types of incineration, under the right conditions or otherwise. It is on this
latter form of final disposal that there is still divergence between the various countries.
2 METHOD OF TRANSPORT
Wastes may be shipped in various ways. First of all, depending upon their nature and
composition, the wastes will be packaged or carried as bulk freight.
2.1 Packaged transport
The following packagings are commonly used to carry wastes:
• steel drums (closed or with a removable head);
• plastic containers (closed or with a removable head);
• board or fibre containers;
• bags (textiles or plastic);
• jerry cans (steel or plastic);
• composite packagings (e.g. glass bottles packed in boxes or crates); and
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700 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• IBCs (intermediate bulk containers) such as 'big bags' or octabins.
In many cases the packagings used to carry wastes already have a life behind them.
This means that the quality often ranges from moderate to poor. Strangely enough, the Dutch
and European regulations do not impose any requirements regarding the quality and type of
packaging. The packaging only has to comply with United Nations requirements if the particular
waste is also a hazardous substance within the meaning of the transport of Dangerous
Substances Act (which incorporates the international IMDG code, ADR, ADNR and IATA
Restricted Articles Provisions).
The packagings are then stored in sea containers in most cases (certainly in the case
of international shipment). The sea containers (closed or open-top) are then shipped multi-
modally (lorry, train, inland vessel, ocean-going vessel). Waste is not yet often transported by
airplane.
2.2 Bulk transport
For economic reasons, larger volumes of waste will be transported as bulk
consignments. Bulk transport obviates the costs of packaging and a proportion of the handling
costs.
A distinction can be made in bulk transport between very large consignments which
are loaded directly as loose cargo in an ocean-going or inland vessel, and consignments
which are stored as bulk cargo in an sea container or lorry. Waste chemicals are transported
as bulk cargo in tankers and tank containers. There are also cases of transport by rail tankers
for greater distances over land.
3 THE "TRICKS"
3.1 General
One widely used 'trick' is to artificially upgrade the financial value of a consignment of
waste. If a waste consignment has no value or even a negative value, it may be claimed that the
material has a positive value of $200 per ton for example. No one will then think that final
disposal is the ultimate objective, reuse is the more obvious thought. In this manner, the expense
of a disposal method in a western country can be saved and the waste can be disposed of
more cheaply in a different country. This is highly lucrative, particularly with very large
consignments of a few thousand tons in weight.
A consignment of zinc waste was once found in the Netherlands in this manner,
allegedly having a value of 350 German Marks per ton and allegedly to be reused in the Ukraine.
After checking and analysis (the materials were found to contain only 11% zinc) the final
conclusion was that the consignment was not recyclable and had a negative value of around
800 German Marks per ton.
3.2 Administration
If a producerofwasteappliesforconsent/licensefrom the relevant competentauthority,
he must provide a number of details. For example, the authority will be interested in such
aspects as the nature and composition (physical and chemical) of the particular waste. One
frequently used 'trick', particularly by collectors and those who bulk waste up, is to describe the
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BLANKERS, LEO C. 701
waste in terms as wide and nonspecific as possible. They will then be in a position to categorize
a large number of wastes under a particular heading and thus bypass the relevant regulations
in a legal manner.
As previously indicated, hazardous waste must in principle be processed in the home
country. It is therefore important for a country to have sufficient processing capacity. This can
only be achieved if there is adequate supply for the processors at a price that covers the cost.
One must then avoid waste being shipped abroad where much lower processing prices often
apply. The 'trick' that waste producers can use is to declare to the licensing authority that a
consignment for processing is much larger than the capacity of the processor in the home
country. It is also possible to declare certain parameters in the waste to be higher than they are
in reality. The emission requirements that apply to the home-country processor would thus be
exceeded, making it apparently legitimate to allow export (and thus have lower processing
costs).
It is often cause for surprise to learn that in many countries, including the Netherlands,
it is possible to apply for a license to ship wastes, nationally as well as internationally, without
some independent body checking the nature and composition of the wastes.
The licensing authorities do ask to see an average analysis of the consignment, but
no comment is made if such an analysis is provided on some unclear type of notepaper. It is
also acceptable if the commercial players involved supply the analysis information on their
own writing paper.
If one were to switch to requiring an analysis by an accredited and independent
checking agency when license applications are submitted, there would still be adequate
opportunity for fraud. At present (and how easy it is) faxes are used. It is then a simple matter
to incorporate the required analysis results under the letterhead of an accredited agency.
It is also surprising to learn that an average analysis is only required once for a
consignment of waste of several thousand tons which is then allowed to be shipped over a
period of one year using several hundred lorries or dozens of vessels.
It is also worrying to discover that the accompanying transport documents, which by
law must accompany the shipment of waste, often consist simply of a copy and thus a copied
approval stamp; and this with the consent of the competent authority. Partly because it is simply
thoughtto be too much work to stamp all the copies of the accompanying documentsas original.
3.3 Physical tricks
The waste hauler with spurious intentions will make every effort to avoid being caught.
He will ensure that the licenses required appear to be in order. More so than in the past, attention
is paid to avoiding words that have some affinity with waste transport on transport documents.
Examples are such words as 'waste'; 'dechets'; 'Sondermull'; 'Ruckstande'; 'Abfalle'. These
words are replaced by synonyms that have a greater affinity with raw materials.
In the past, you could often see from the outside that a particular lorry was being used
to transport wastes, but nowadays every effort is made not to stand out.
Increasing consideration should therefore be given, outside the targeted physical
checks on the long-established target group, to switching to a nonselective check with every
transport unit being subjected to a physical check. In terms of its logistic possibilities, a closed
sea container is a wonderful means of transport. But for the enforcement officer, checking it
often leads to problems.
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One common trick is to bulk load the container by first using a lifting crane and
positioning some support, diagonally or vertically. The container is then bulk loaded via the
doors, after which the doors are closed and the container is placed on the vehicle in its normal
horizontal position. The doors cannot be opened during checking as the load would then fall
out of the container onto the road or the quay.
In many cases, the accompanying documents will show the contents to be metal waste.
The inspector will then be disinclined to make much effort to subject the load to any check. But
appearances can be deceptive.
Where checking is required, the best approach is to track such containers to the point
of loading or transhipment where there is sufficient handling equipment to perform a check.
If a container is used for standard (208 litre) steel drums, one common trick is to load
the first two or three rows behind the container doors with a waste load which is covered by the
accompanying documents, with the illegal, environmentally harmful load further back. It is
therefore advisable to check such waste shipments regularly (at a suitable site and using forklift
trucks to empty the container).
To transport old metals and contaminated soil, what are termed 'open-top containers'
are often used. Such containers are simple to load via the open top. Such containers will not
create any additional problems for checking purposes. One drawback is that they are often
closed during transport by a covering tarpaulin and thus are not easily accessiblefor inspection.
It regularly occurs on open lorries as well as open-top containers that wastes such as
packaged waste chemicals and old batteries are 'concealed' under a load of car wrecks which
have been rolled flat. A quick visual check often fails to reveal these illegal loads.
One interesting target group comprises haulers who traditionally came back from
abroad without a return load. On the Dutch market these are haulers who transport cut flowers
and plants. In many cases an enforcement officer will not think of them as the lorries are often
expensive, thermally insulated or refrigerated. Refrigerated containers have already been found
containing hazardous wastes.
4 ENFORCEMENT
4.1 Nationally
In the Netherlands, it is the provincial authorities that are responsible for licensing and
checking domestic waste shipments that pass provincial boundaries. Central Government (the
Ministry of Housing, Spatial Planning and the Environment) (VROM) is the competent authority
for transfrontier shipments.
4.1.1 Company checks
The staff of the Inspectorate for the Environment at the Ministry perform regular, non-
institution-specific checks on producers and processors of wastes. Checks are based on the
bookkeeping, the invoices, probably weigh-bills shipment orders, internal company records
and notifications to the competent authority.
These are checks to ascertain whether the data held at the Ministry's International
Waste Notification Bureau tally with the actual data or received shipments of waste. The
International Waste Notification Bureau is an office operating as a database for transport data,
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BLANKERS, LEO C. 703
and where applications are checked as to content. There are also regular checks on whether
no wastes other than those known to the Government originate from a particular corporate
process. If this is the case, the producer must indicate where the waste remains.
4.1.2 Shipment checks
In order to achieve an effective density in the checking network, and thus to increase
the chances of catching fraudsters, a large number of enforcement officers are required.
The Ministry of Housing, Spatial Planning and the Environment has elected to assign
responsibility for this work to a small team of specialist enforcement officers within the
Inspectorate for the Environment, and to involve the regular enforcement network in the checks.
This network comprises the Police, Customs and the National Transport Inspectorate.
A strategy has been developed whereby a number of enforcement officers from this
network are trained by the Inspectorate for the Environmentto become a reference point. These
enforcement officers undergo a program comprising an eight-day course followed by an eight-
day program of in-service training. They also act as instructors for the base-line staff in their
department. They have to be able to identify relatively simple matters and deal with and process
them themselves, and to recognize relatively difficult matters and pass them on to the
Inspectorate for the Environment.
Seminars are regularly organized, at which the environmental inspectors and
enforcement officers from the network compare notes on the tricks.
4.2 Internationally
A European enforcement network has been active in Europe for a few years now in
the form of IMPEL. IMPEL stands for the European Union network for the Implementation and
Enforcement of Environmental Law. In particular Working Group IV and Ad Hoc Working Group
Ilia have proved to be active in setting up a development network. Ad Hoc Working Group 3
has two what are termed TFS' projects. TFS stands for Transfrontier Shipment of Hazardous
Waste. Within these projects, enforcement officers from various European countries have
collaborated to study and compare the various methods of enforcement.
On the basis of administrative and physical checks on a number of pre-selected waste
flows, the projects also examined whether shipments between these companies were known
and whether the load matched the given description.
The countries involved in these international forms of cooperation are enthusiastic
about the results to date. In future, efforts will be made to create a more permanent form of
cooperation.
* Acronyms
IMDG-code = The International Maritime Dangerous Goods Code
ADR = European Agreement Concerning Transport of Hazardous Substances by
Road
ADNR = European Agreement Concerning Transport of Hazardous Substances by
Inland Waterways
IATA = International Air Transport Association
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704 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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ODUBELA, M. T.; SOYOMBO, O.; ADEGBITE, R; AND OGUNGBUYI, K. 705
TRANSBOUNDARY ILLEGAL SHIPMENTS OF HAZARDOUS WASTE, TOXIC
CHEMICALS (PESTICIDES) CONTRABAND
CHLOROFLUOROHYDROCARBONS: THE NIGERIAN EXPERIENCE
ODUBELA, MODOUPE TAIWO1, SOYOMBO, OLURONKF, ADEGBITE, FEMP,
AND OGUNGBUYI, KITAN"
1 Assistant Director
2 Chief Environmental Scientist
3 Principal Environmental Scientist
4 Senior Environmental Scientist
Inspectorate and Compliance Monitoring Department, Federal Environmental Protection
Agency P.M.B. 3150, Surulere, Lagos, Nigeria
SUMMARY
Nigeria, like other developing countries, is facing continuous threats of illegal traffic
and trade of hazardous wastes, toxic chemicals [Pesticides], and Contraband
chlorofluorohydrocarbons, in spite of the stringent laws enacted after Nigeria's first experience
of hazardous wastes dumping in 1988. This paper describes the country's new experience,
the enforcement strategy put in place, and the constraints.
1 INTRODUCTION
Nigeria's dominant feature is her size and diversity. It has a population of about 88
million people evenly spread over a total land area of 910,770 square kilometers. Out of the 45
countries of sub Sahara Africa, Nigeria constitutes over 20 percent of the total population.
Nigeria is faced with many environmental problems. These problems include
deforestation, desertification, soil erosion, oil pollution, water pollution, biodiversity losses,
coastal erosion, floods, urban decay and industrial pollution, and recently the surge and threat
of illegal shipment of hazardous and toxic waste, toxic chemicals [pesticides] and contraband
chlorofluorohydrocarbonsinto the country.
With the strong and active environmental awareness and pressure groups in
industrialized countries, the hazardous waste from industrial processes in these countries were
awaiting disposal elsewhere. The toxic chemicals [pesticides] and contraband
chlorofluorohydrocarbons which have been banned in these countries are finding their way
illegally into developing countries, Nigeria included. The reasons induced for this trend in Nigeria
are:
• the down turn in the economy, which is compelling industrialists to seek for
cheap secondary raw materials and goods;
• poor awareness of existing enforcement agencies and bottle necks in the
enforcement of the regulations; and
• porous borders.
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706 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
2 THE NIGERIAN EXPERIENCE
The dumping of 4,000 tons of toxic wastes from Italy in Koko Port, Nigeria in 1988
promoted the government to promulgate the Harmful Waste [Special Criminal Provision etc.]
Decree 42. This decree made it a criminal act, punishable by life imprisonment, to carry, deposit,
transport, import, sell, buy or negotiate in trade of harmful waste within Nigeria territory. Nigeria
was the first country in Africa to sign and ratify the Basel Convention. Nigeria considerably
influenced the text of the Convention.
2.1 Alerts
Since the first experience of the illegal dumping of hazardous wastes in Nigeria in
1988, there have been many attempts by Nigerian businessmen and foreign waste merchants
in industrialized countries to ship waste, toxic chemicals, and contraband
chlorofluorohydrocarbons into the country. Various methods were employed to commit such
acts. In 1992 and 1993 fifty alerts were received by the Nation's Dump Watch Network. Notably
amongst these were:
• an offer to "dispose radioactive waste" by one Chief Kalu Ezemballa of
Gopitech Waste Disposal Limited;
• a business proposal emanating from one Prince M. M. Ajasin to import
waste through Germany;
• importation of 71.41 metric tons of waste to Nigeria from the United
Kingdom in 1993;
• a business proposal on Toxic Waste disposal in Nigeria by one Alhaji
Mohammed Suleiman of Plos-Chem Limited from Germany;
• a request for "transportation of dangerous good" gases, poisonous
substances and infectious corrosive substances and miscellaneous
dangerous goods by one Anumanu O. Anumanu from Germany;
• Nodek Limited plan to import milk suspected to be radioactive from Baltic
region;
• alerts from the Canadian High Commission of persistent efforts by Messrs
A.C. Okasi & Associates to import hazardous wastes from Canada through
letters and several phone calls; also a company called Alfa Estate solicited
for hazardous wastes from Canada;
• alerts from one Dr. Chinendu Okafor requesting toxic waste from Canada
to Nigeria;
• an alert on increase in the dumping of toxic wastes in Indonesia from
Germany, Singapore, South Korea, USA and Netherlands;
• an alert from Basel Convention Secretary on an attempt to dispose of
toxic waste into Nigeria by one John M. Eke;
• attempts to reexport twenty-two rail cars loaded with toxic waste [oil waste,
chemical alkaline, used batteries] from Czech Republic by five German
firms to unnamed third world countries; and
• alert on Australia's intention to ship toxic waste overseas.
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ODUBELA, M. T.; SOYOMBO, O.; ADEGBITE, R; AND OGUNGBUYI, K. 707
In 1994 and 1995, about 15 toxic chemicals and waste alerts were received from
Dump Watch Network. Out of these, twelve were purported requests by alleged Nigerian
businessmen, while three were deliberate efforts by foreign companies to dump toxic wastes
in the country. The latest method employed by this group of purported importers was to disguise
toxic chemicals and wastes as raw materials under various false labeling. Polychlorinated
Biphenyls were being labeled as vegetable oil and Poly Vinyl Chloride as artificial raisins. The
most outrageous and dangerous alert was on the proposed importation of radioactive milk
products from the Baltic region into Nigeria.
In March, 1993, a consignment often bags of expired chemicals labeled "ACTELLIC
25 EC", brought in by Sud Air Transport, a chartered aircraft from Conakry, Guinea, was left
unclaimed at the Murtala Mohammed International Airport. These chemicals were packed in
cement bags with instructions written in French. Because of the offensive odor emanating from
the consignment, officers of the Department of Customs and Excise called the attention of
Federal Environmental Protection Agency inspectors. On investigation, it was discovered that
the chemicals [pesticides] were expired. The summary of the investigations were as follows:
• the labeling of the Conakry consignments violated the United Nations
Program, World Health Organization and Food and Agriculture
Organization code of conduct on the safe use and handling of pesticides,
because the instructions on the consignments were not written in the
language of the users;
• the consignment contained no radioactive element, neither did they emit
radiation of any type;
• the chemical, however, exhibited all the characteristics of expired
ACTELLIC 25;
• the chemicals were unsuitable for their recognized and intended use; and
• the chemicals contained a serious environmental health hazard if allowed
in the environment.
Consequently, the Federal Environmental Protection Agency expressed grave concern
over the following:
• the latest increase in international chemical merchandising especially by
illiterates, market traders and other people not competent to handle
chemicals safely;
• the continuous dumping of deteriorated and inappropriately labeled
agrochemicals in the country;
• the recent switch to airfreighting of pesticides to sidetrack the effective
checks and inspections of Federal Environmental Protection Agency staff
at the sea ports; and
• the poor handling of chemicals including the use of cement sacks as
substitute for safe packages.
The Federal Environmental Protection Agency then made an appeal to airlines to
maintain strict compliance of International Aviation regulations and other International
Conventions when asked to carry pesticides and other hazardous chemicals and substances.
In the case of contraband chlorofluorohydrocarbons, the trend in Nigeria now is the
importation, at cheap prices, of second hand refrigerators, air conditioners, compressors,
deep freezers and cars which contained chlorofluorohydrocarbons that are being phased out
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708 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
in the industrialized countries. About 25,000 units are being imported into the country annually
according to Custom Department unofficial sources. These goods which have outlived their
usefulness are being dumped under the pretense of being fairly used.
3 ENFORCEMENT STRATEGY
The watchdog on environmental issues in Nigeria is the Federal Environmental
Protection Agency which is vested with all the legal instruments to tackle illegal shipment of
toxic wastes, chemicals [pesticides], and contraband chlorofluorohydrocarbons.
• Federal Environmental Protection Agency is the United Nations designated
authority for industrial chemical and pesticides with authority to fulfill the
London Guidelines and the Prior Informed Consent procedure.
• Federal Environmental Protection Agency is the focal point for the
implementation of the Basel Convention on the Control of Transboundary
Movement of Hazardous Waste and their Disposal.
• Federal Environmental Protection Agency maintains a combined list of
one thousand and forty five [1,045] hazardous chemicals under schedules
11 and 13 of the Hazardous Waste Regulations S.I. 15 of 1991.
• Federal Environmental Protection Agency operates the Harmful Waste
[Criminal Provisions] decree 42 of 1988. Section 1.1 of this decree
overrides the Customs and Excise Traffic etc. Consolidating decree and
it bans the importation, transit, transportation, deposit and storage of
harmful waste.
• Decree 36 of 1989 vested the power for clearance or confiscation of
imported contaminated foods jointly in the Minister of Health and the Chief
Executive of Federal Environmental Protection Agency.
• Under the London Guidelines and Prior Informed Consent Procedure, all
exporting countries should obtain the consent of the designated nation
and the authority of the importing country, before the shipment of any
hazardous chemicals and "green" waste. Where the Prior Informed Consent
was obeyed, Federal Environmental Protection Agency gave consent, and
should have notice of arrival date and port of berth of vessels carrying
wastes.
The Federal Environmental Protection Agency's enforcement strategy to tackle the
illegal shipment of hazardous chemicals and waste is the Hazardous Chemical Program, which
was established in 1992. This program monitors the exportation and importation of chemicals
which did not obey Prior Informed Consent. Federal Environmental Protection Agency is
supported by other enforcement agencies like Customs and Excise Department, Nigerian
Navy, and State Security Services. The Federal Environmental Protection Agency also enjoys
the support of Nigerian Ports PLc, Ministry of Foreign Affairs, Nigerian Missions abroad, Foreign
Embassies within the country, the Manufacturers Association of Nigeria and nongovernmental
organizations like Green Peace International.
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ODUBELA, M. T.; SOYOMBO, O.; ADEGBITE, R; AND OGUNGBUYI, K. 709
3.1 The administrative procedures of the Program are as follows:
• The owners of a chemical consignment must write to the Federal
Environmental Protection Agency attaching all import documents.
• When the consignment gets to the Custom examination stage, the
chemicals are randomly sampled by Federal Environmental Protection
Agency inspectors.
• The samples are taken to a Federal Environmental Protection Agency
accredited laboratory consultantforanalysis.The owner of the consignment
pays the cost of the analysis.
• If the result proves positive, the clearance certificate signed by the Head
of the Inspectorate and Compliance Monitoring Department of the Federal
Environmental Protection Agency is issued to enable the clearing of
chemicals.
• The handling, storage, usage, and disposal of the chemicalsare monitored
by Federal Environmental Protection Agency at the factory facility to ensure
sustainable use and proper management.
When an alert is received on an intention to import toxic waste into the country, the
Federal Environmental Protection Agency immediately puts its chemical tracking inspectors
on alert at the ports. The information is also immediately disseminated to all border posts
throughout the Federation thereby putting all government agencies such as the State Security
Services [SSS], Customs, Nigerian Ports Pic., etc., on the alert. Many other follow-up
investigations are carried out based on all available information.
Table 1
Importing Industry Category
Plastic
Steel
Petroleum
Paint
Agro-chemical
Foam
Textile
Building
Miscellaneous & Unclassified
COMPLIANCE
NON COMPLIANCE/CAMOUFLAGED
Volume [metric tons]
16,296,969
689
1,852,825
844,480
1,834,144
3,501,732
2,057,557
1 ,734,200
4,410,000
32,532,596
97,676
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The Federal Environmental Protection Agency's strategy of tracking chemicals and
recycled waste consignment, which do not fulfill the Prior Informed Consent procedure,
succeeded in preventing the importation of banned chemicals into the country. Usually, such
hazardous chemicals were camouflaged as industrial raw materials and products. In 1994, the
Federal Environmental Protection Agency was able to intercept97,676metrictons of hazardous
wastes. In all the cases, the consignments were returned to the countries of origin. It was,
however, unfortunate that permits for these consignments were obtained from another
governmental agency.
3.2 Constraints
Some of the constraints that hindered the effectiveness of the tracking program are:
• administrative rivalry among relevant government agencies;
• lack of awareness and environmental obligation of importers and their
agents. They view the tracking program as another bureaucratic bottle
neck; and
• lack of technical know-how of Customs, Police and Security officers. They
were not adequately trained to identify hazardous toxic wastes and
pesticides.
4 CONCLUSIONS
Despite all enforcement strategies to forestall illegal shipment of hazardous wastes,
toxic chemicals [pesticides] and contraband chlorofluorohydrocarbons, Nigeria is still faced
with threats of this illegal trade and traffic. The situation calls for total commitments by all
countries globally. It calls also for cooperation and collaboration of all relevant agencies within
Nigeria and abroad. There should be technology transfer and capacity building to effectively
execute all of the enforcement strategies.
REFERENCES
1. Federal Environmental Protection Agency, Press Statement on toxic chemicals
importation, 1993.
2. Federal Environmental Protection Agency, 1994 Annual Press Briefing, 1994.
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COLEMAN, SAMUEL AND SCHULTES, JOSEPH V. 711
CRADLE-TO-GRAVE COMPLIANCE TRACKING OF U.S./MEXICO
TRANSBOUNDARY HAZARDOUS WASTE: THE HAZTRAKS TRACKING
SYSTEM
COLEMAN, SAMUEL, P.E.1 AND SCHULTES, JOSEPH V., P.E.2
1 Director, Compliance Assurance and Enforcement Division
2 Haztraks Project Manager
U.S. Environmental Protection Agency, Region VI, 1445 Ross Avenue, Dallas, Texas
75202, USA
SUMMARY
This hazardous waste tracking system (Haztraks) presents a unique cooperative effort
between neighboring governmental entities through the development of a common automated
mechanism to support independent inspection, enforcement and compliance monitoring of
mutual transboundary hazardous waste shipments. Computer assisted procedures are
speeding the process for identifying non-compliant trends and regulatory deviations. Based
on information captured by Haztraks, enforcement actions have brought over 1500 tons/year
of transboundary hazardous waste shipments into compliance. Since employing Haztraks,
there has been a 20% annual increase in shipment compliance with Mexico's requirement to
return maquiladora waste to the country of origin of the raw materials for proper disposal by the
Mexican maquiladora industry and their U.S. parent companies.
1 ENVIRONMENTAL COMPLIANCE, ENFORCEMENT AND WASTE
TRACKING
1.1 Sizing the problem
Over the past 25 years, the environmental picture in the U.S. has changed dramatically.
We are at or near maintenance levels of compliance in many programs. We are moving from
an "end of pipe" orientation to one of pollution prevention. Beyond compliance, environmental
protection becomes a partnership between state, local, and federal regulators and the regulated
community. Accessible, accurate, and current information is the heart of such a partnership.
Under most of the U.S. environmental statutes, the Environmental Protection Agency
established and implemented a national compliance program as a standard to be achieved by
individual U.S. states. Once achieved, the lead passed to the appropriate state agency through
program delegation. Today, much of the national environmental compliance program is
administered by state agencies. However, the Environmental Protection Agency continues to
orchestrate the coordinated, national compliance program, particularly in the area of
transboundary waste shipments. In Mexico, there is also a federal system with delegations to
the State level authorized to carry out and maintain compliance with environmental program
mandates.
Information sharing has been particularly important to international environmental
cooperation. Among the highlights of U.S. cooperative efforts is the data system the U.S. and
Mexico uses to track the transboundary movement of hazardous waste, Haztraks.
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Haztraks reflects the Environmental Protection Agency direction in designing and using
information sharing systems. It has particularrelevanceto Basel and Organization for Economic
Cooperation and Development parties for information sharing and reporting.
1.2 Uses of automation
Effective use of computers in compliance assurance today is an evolving art, not a
science. The formula that worked for you or your agency yesterday might not be so effective
today — and could be dead wrong by tomorrow. As we move forward into the next century, and
the regulatory process becomes more knowledge based, we firmly believe that computing
strategies will become a competitive issue.
In this paper we will show computing technology can work for enforcement and
compliance strategies. Information technology has acquired a role so central in evaluating
compliance that it has become practically irreplaceable for monitoring transboundary waste
shipments along the U.S./Mexican border. Haztraks users can take advantage of information
technology to reengineer the compliance assurance process employing "wizard" programs to
help perform common tasks, such as creating forms, formatting reports, and setting up queries,
and exchanging data with the regulated community by means of electronic data interchange.
2 NEEDS FOR INFORMATION EXCHANGE
Haztraks stems from a critical need by the U.S. and Mexico to track thousands of tons
of hazardouswaste that crosses the Mexico-U.Sborder annually. Mexico is the U.S. third largest
trading partner in chemicals behind Japan and Canada. Six percent of U.S. export and 3
percent of U.S. import chemical trade are with Mexico. Since 1965, some 2000 industrial
maquiladora facilities have been established in Northern Mexico. Maquiladora facilities are
Mexican manufacturing and assembly plants which are owned by foreign parent companies.
Under Mexico's maquiladora program, foreign parent companies (most are U.S.) export raw
materials and partially assembled components to their maquiladora plants for final assembly.
Under the current system, the finished goods produced at the Mexican facility can then be
exported with tariffs charged only on the value added to the material during the processing
steps which occurred in Mexico. Mexican law requires that hazardous wastes generated in the
maquiladora plants be exported to the country of origin for management or to be nationalized.
Nationalization, whereby the waste could remain in Mexico, has been a seldom used option.
Therefore, most hazardous waste produced by maquiladora plants comes back to the U.S.
These include acids, bases, liquids containing heavy metals, metal plating wastes, organic
solvents, and cyanide wastes.
Transboundary movement of hazardous waste between Mexico and the United States
poses unique challenges. A primary concern has been the loss of waste identity at the border
until the implementation of Haztraks. Additionally, further complicating the waste identification
process, the definitions of hazardous waste varied between Mexico and the U.S. Neither the
United States nor Mexico had systematic access to information on the number of authorized
hazardous waste transporters or the amounts and types of hazardous wastes transported from
Mexico to the U.S. The problem was exacerbated by the complexities of cross-border truck
transportation and the difficulties involved in coordinating the activities of the numerous U.S.
and Mexican agencies responsible for hazardous waste regulation.
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COLEMAN, SAMUEL AND SCHULTES, JOSEPH V. 713
2.1 Waste tracking in Mexico
Waste tracking in Mexico relies on the Guia Ecologica (Ecological Guides), which
include a manifest and transport and acceptance of hazardous residues forms, as well as
semiannual shipment reports . These must be forwarded to the Mexican Secretary of
Environment, Natural Resources and Fisheries/National Institute of Ecology, which is the
Environmental Protection Agency's counterpart in Mexico responsible for environmental affairs.
Mexican law requires consent by the receiving country for exports of hazardous waste. In practice,
however, the requirement is not applied to hazardous waste exports from maquiladora plants
thereby posing a shortfall of monitoring information.
2.2 Waste tracking in the United States
Among the many challenges facing environmental managers are the millions of tons
of hazardous waste produced each year that must be managed to protect human health and
the environment. Quality information about off-site hazardous waste shipment to the site or
facility where it is ultimately disposed or treated is crucial to carrying out this task. The hazardous
waste manifest is an integral part of the U.S. cradle-to-gravehazardous waste transport tracking
system.
Required pursuant to the Resource Conservation and Recovery Act, the manifest is a
multi-part shipping document that must accompany any hazardous waste shipment, regardless
of the mode of transport. Generators of the hazardous waste are responsible for initiating a
manifest for each shipment and for ensuring a transporterdelivers the waste to the management
facility that will dispose of the waste.
Current U.S. tracking of waste received from a foreign source also consists of advance
one-time notification by the treatment, storage, and disposal facility. This notification gives the
Environmental Protection Agency, the state environmental agency and U.S. Customs advance
notice for each waste type, foreign source shipping the waste and the U.S. parties involved.
However, this information is often incomplete.
Also, U.S. waste exporters are required to file an annual notice of the projected amount
of waste that they will ship. The Environmental Protection Agency uses this information to request
consent from the Secretary of Environment, Natural Resources and Fisheries/National Institute
of Ecology for the shipment to take place.
2.3 Background of international waste tracking
On November27,1990, President Salinas of Mexico and President Bush of the United
States agreed to coordinate border area environmental activities resulting in the Integrated
Border Environmental Plan which provides for the creation of a hazardous waste tracking
system. The U.S. and Mexico focused early efforts on developing a joint capability to monitor
transboundary waste shipments in accordance with their bilateral commitmentwith the exchange
of shipment documentation. These efforts culminated with the first phase development of this
database system. The tracking system became operational as of October 1992. As a first
effort of its kind, Haztraks developed a correlation between Mexican export authorizations and
U.S. transport manifests to establish "cradle-to-grave" linkage.
2.4 Country-to-Country waste tracking coordination
Under the 1983 Agreement between the United States and Mexico on Cooperation
for the Protection and Improvement of the Environment in the Border Area, a Work Group co-
chaired by representatives of the Environmental Protection Agency and its Mexican counterpart
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714 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
was established to resolve country-to-country hazardous waste issues. The primary focus of
the Hazardous Waste Work Group centered on the maquiladora industry in Mexico. Nearly half
of the 2000 maquiladora plants generate hazardous waste. Since Mexican law requires all of
it to return to the country of origin, the vast majority of it, 30,000 tons per year (under Mexican
hazardous waste definition), which includes 11,000 tons per year (under U.S. hazardous waste
definition), returns to the U.S. Philosophically, Mexico has expected the U.S. to assume some
responsibility for U.S. affiliated maquiladora waste management in Mexico. Instances of
hazardous waste shipments and mismanagement were frequently agenda items at the
Hazardous Waste Work Group meetings. However, fruitful dialog was often impossible because
documentation as to waste origin, type, volume, etc. was anecdotal. The Work Group, agreed
to study the management of hazardous waste along the border by conducting joint visits to
maquiladora operations in Mexico and their U.S. counter parts (sister plants). While these
were valuable for training purposes, they produced little information. The Work Group also
looked at the viability of correlating hazardous waste shipment documentation to produce a
picture of waste movement.
In September 1990, the Environmental Protection Agency and SEDUE representatives
met in Mexico City to identify such documentation. Although there were several documents
that were required for transboundary shipments, not all of them were available to the
Environmental Protection Agency or SEDUE. It was important too, that there exist some
correlatable data among the U.S. and Mexican documents. The Mexican Guia Ecologica and
the U.S. hazardous waste manifest were available and contained correlatable data. The Guia
is shipment specific, describes waste type and quantity as well as destination for prospective
hazardous waste shipments. Similarly the U.S. Hazardous Waste Manifest is shipment specific,
contains waste type, quantity, and destination. Pilot data exchangein 1991 revealed reconcilable
differences in units and waste types. The pilot demonstrated the feasibility to construct a useful
data exchange and compliance monitoring tool. Accordingly, using funds designated for
enforcement and compliance monitoring purposes, the Haztraks data system was built in 1991
to serve these functions. It was also at this time that the NAFTA debate highlighted U.S./Mexico
border environmental problems, among them, illegal hazardous waste management. This helped
fuel the rapid development and expansion of Haztraks into a proven reliable compliance
monitoring tool.
2.5 Information was centrally unavailable prior to Haztraks
As stated earlier, hazardous waste shipments lost identity at the border and little data
was available to determine the magnitude and character of imported hazardous waste prior to
1992. The Environmental Protection Agency did not have accurate information on the quantity,
type, origin, method of handling, and U.S. receivers of foreign waste streams. In the U.S.,
receiving facilities are required to provide the delegated authority with a one-time notification
of intent to receive individual waste streams from a foreign source. Delegated state agencies
did not maintain databases capturing these notifications nor import manifest information. It
was difficult or impossible to maintain compliance with the one-time notification requirement.
Traditionally, an on site inspection of the receiving facility and manual correlation of notification
with the import manifest was the only means of verifying compliance. This effort was time
consuming and not efficient for monitoring large numbers of facilities managing foreign source
waste streams.
The primary hazardous waste tracking document is the manifest. The Environmental
Protection Agency import regulations require the foreign generator of the waste to be identified
on the manifest. This document is not required to be reported to the Environmental Protection
Agency. For the Environmental Protection Agency or any delegated authority to establish a
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COLEMAN, SAMUEL AND SCHULTES, JOSEPH V. 715
compliance monitoring program, the manifest is the critical document for beginning any review.
And it became quickly apparent that any appreciable success for waste tracking would be
dependent on the development of system access to manifests and other information sources.
2.6 Opening information sources
Gathering information on foreign source waste required close cooperation with a variety
of agencies including the foreign environmental authority, foreign commerce department, customs
authorities of each country, and the delegated U.S. border state authorities. It was found that
inconsistency of information handling was the general rule.
In Mexico, transport manifests are required to accompany hazardous waste shipments
but were not collected by any governmental agency at that time. However, strict compliance was
required for a 90-day authorization (Guia Ecologica) issued by the competent environmental authority
to accompany each imported or exported hazardous waste or hazardous material shipment. Since
this authorization was prospective, with overestimated quantities, it contained information useful
for tracking waste shipments when compared with the U.S. transport manifest. The Mexican authority
agreed to establisha compatible databaseand enter all applicableinformationbeginningwith the
initial authorization issued in accordance with the Mexican General Environmental Law of 1987
and share the database with the Environmental Protection Agency.
U.S. Customs port policy along the U.S./Mexicanborder, while varying from port to port,
required the U.S. importerto furnish a manifest priorto the transportof hazardous waste through
the Customs facility. Customs officials were concerned with illegal contraband accompanying
unauthorized hazardous waste shipments. The Environmental Protection Agency assisted Customs
Port agents with training courses on environmental import/export regulations, provided joint
inspections of shipments and furnished contact numbers for emergency assistance. In turn, the
Customs Port Directors informally agreed to forward this initial manifest to the Environmental
Protection Agency Region VI office on a monthly basisfor inclusion into Haztraks.
Additionally, there is a biannual reporting mechanism requiring the reporting of imported
hazardous waste shipments to the Environmental Protection Agency. This information is neither
timely, nor accurate, and generally not reported by industry. Efforts to collect imported waste shipment
information was then directed to the shipment manifestas the only reliabletracking document.
Therefore, the Environmental Protection Agency Region VI and I offices established support
agreements with each of their U.S./Mexico border states to collect completed import manifests, as
well as receiving facility notifications, and forward them to the Region VI.
The information collected from the Mexican Guia authorization,transportmanifests from
U.S. Customs and the delegated border states, and the receiving facility one-time notifications
from the states became the cornerstonefor the hazardous waste tracking system'sdata base.
2.7 Hazardous waste tracking system development
Haztraks was designed, with the support of a commercially available off-the-shelf
database management system, to track volumes and types of waste shipped between the
U.S. and Mexico. The basis of this mechanism is a series of informational and relational
databases, programmed in a menu driven format, known as the U.S./Mexico Hazardous Waste
Tracking System (Haztraks). The tracking system utilizes information received from
Environmental Protection Agency Regions VI and IX and the States in both regions, U.S.
Customs, and the Secretary of Environment, Natural Resources and Fisheries. The U.S.
database component is based on information received from Uniform Hazardous Waste
Manifests required to import or export hazardous waste. In Mexico, the Secretary of Environment,
Natural Resources and Fisheries must authorize an import or export of hazardous waste by
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716 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
issuing an Ecological Guide (Guia Ecologies). The Secretary of Environment, Natural Resources
and Fisheries/National Institute of Ecology enters the Guia data into Haztraks reporting all of
the Guias issued by the National Institute of Ecology in each of the Mexican border states.
As stated earlier, completed copies of manifests are collected by the U.S. border
States; and through Environmental Protection Agency grant agreements or through voluntary
submissions, the border States provide the manifests to Environmental Protection Agency
Region VI, (Arkansas, Louisiana, New Mexico, Oklahoma, and Texas) to enter into Haztraks.
Treatment Storage Disposal facilities file a notification with the States import notifications on
a one-time basis for each stream of waste expected from a foreign source. These Treatment
Storage Disposal import notifications are also collected by the U.S. border States, forwarded
to Environmental Protection Agency Region IX, (Nevada, California, Arizona, and U.S.
Territories), and entered into Haztraks.
2.8 Tracking system technical support
Environmental Protection Agency Region VI in Dallas, Texas supports the tracking system
through its enforcement support contract program. The contract provides software programming,
data transcription, document filing, user training programs, report development, company profile
research and data quality control. Initial funding of $30,000 was required for needs assessment,
requirements definition and prototype database development. Present funding levels have been
considerably less than comparable systems ($150,000, annually) while providing support for various
Federal, State and local agencies involved in compliance monitoring along the U.S./Mexico border.
3 HOW THE ENVIRONMENTAL PROTECTION AGENCY USES HAZTRAKS
Haztraks enables the Environmental Protection Agency to perform a variety of compliance
verification and targeting functions as well as generating ad hoc query reports and hazardous
waste tracking from generation to disposal. Manifests and notice/consent information can be cross-
checked to identify shipments which fail to conform to export notification or consent terms (e.g.,
different type of waste or greater volume than represented in export notice or consented to). Manifests
from export country and import country are cross-checked to identify manifest discrepancy violations
(e.g., inaccurate or missing waste handler information). Transporter facilities are identified for storing
waste shipments beyond authorized time limits for which they do not hold appropriate permits.
Haztraks provides information for is use by enforcement authorities in targeting inspection/
investigatory activities (e.g., information on regions and border crossings with the most waste
traffic, profile of industries which export high risk hazardous wastes, or exporter/importer/broker
compliance history data). Haztraks aids the foreign country notice review process, a waste code
translatoris integrated into the report menu to quickly correlate and identify International Waste
Identification Codes with domestic waste codes.
4 THE WASTE TRACKING PAPER TRAIL PROCESS
Waste tracking along the U.S./Mexico border can be shown by the following paper
trail processes:
• tracking maquiladora waste shipments from Mexico to the U.S.;
• tracking non-maquiladora waste shipments from Mexico to the U.S.;
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COLEMAN, SAMUEL AND SCHULTES, JOSEPH V. 717
• tracking hazardous waste shipments from the U.S. to Mexico; and
• tracking raw material shipments from the U.S. to Mexico.
Each process has been described diagrammatically followed by a process narrative.
4.1 Tracking Maquiladora Waste Shipments from Mexico to U.S.
Mexico u> U.S. Waste Shipments
Treatment. Storage,
or b'sposal Facility
(TSD)
ManTeal & TSD
Notification
Dulubuuus
Muquiluduru
Waste Generator
\Va.slc Shipijicm
r)ocumc-it''lntorrnation
Export Guia Ecologica
1. Through a guia ecologica application (Manifesto para la Importacion
o Exportacion de Materiales o Residues Peligrosos), the maquiladora
notifies the National Institute of Ecology of its intention to ship hazardous
waste to the U.S.
2. The National Institute of Ecology issues an export guia ecologica
approving this shipment.
3. The National Institute of Ecology enters information from the export guia
ecologica into Haztraks. Mexico sends its updated guia ecologica
database to the U.S. on a quarterly basis.
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718 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Treatment Storage Disposal Notification
1. A maquiladora notifies a Treatment Storage Disposal facility of its intent
to ship hazardous waste.
2. The Treatment Storage Disposal facility notifies its state agency of its
intent to receive waste from a foreign source.
3. The Treatment Storage Disposal facility forwards this notification to the
Environmental Protection Agency.
4. The Environmental Protection Agency enters information from the
Treatment Storage Disposal notification into Haztraks.
U.S. Hazardous Waste Manifest
1. The U.S. importer (referred to on the manifest as U.S. generator)
prepares a profiling copy of the manifest and sends it to U.S. Customs.
2. The waste is transported from the maquiladora to the border.
3. The waste is checked through U.S. Customs, which sends a preliminary
copy of the manifest to the Environmental Protection Agency.
4. The Environmental Protection Agency enters information from the
manifest into Haztraks.
5. Transporter 1 signs the manifest and takes the waste at the border. The
waste is shipped eitherdirectlyto the Treatment Storage Disposalfacility
or to a staging company. In the latter case, Transporter 2 signs the
manifest and takes the waste to the Treatment Storage Disposal facility.
6. The Treatment Storage Disposal facility receives the waste and signs
the manifest.
7. The Treatment Storage Disposalfacility submits the completed manifest
to the appropriate state agency.
8. The state agency submits completed manifests to the Environmental
Protection Agency.
9. The Environmental Protection Agency enters information not found on
the preliminary manifest into Haztraks.
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COLEMAN, SAMUEL AND SCHULTES, JOSEPH V. 719
4.2 Tracking Non-Maquiladora Waste Shipments from Mexico to U.S.
'I'realmtnl,
or Dispnsdl Facility
(TSD)
Mexico Hi U.S. Wsute Shipments
TSD
Waslr QiMin
Diplomatic Notice
1. A non-maquiladora generator informs the National Institute of Ecology
of its intent to ship hazardous waste to the U.S.
2. The National Institute of Ecology submits a diplomatic notice to the
Environmental Protection Agency.
3. Once the Environmental Protection Agency receives the diplomatic
notice, it responds with an Acknowledgment of Consent.
4. When the National Institute of Ecology receives the Acknowledgment
of Consent, the generator is given an export guia ecologica approving
the shipment.
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720 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
U.S. Hazardous Waste Manifest, TreatmentStorage Disposal Notification,
and Guia Ernlnnlra
U.S. to Mexico
Waste Shipments
These documents follow the same paper flow as discussed in the previous
section "Tracking Hazardous Waste Shipments from Maquiladoras to the
U.S."
4.3 Tracking Hazardous Waste Shipments from the U.S. to Mexico
Notification of Intentto Export
1. The U.S. waste generatorsubmits a Notification of Intentto Export (NOI)
to the Environmental Protection Agency.
2. The Environmental Protection Agency responds to the NOI by issuing
an AOC to the U.S. importer permitting the waste shipment. NOIs and
AOCs are not tracked by Haztraks.
U.S. Hazardous Waste Manifest
1. The U.S. importercompletesthe manifest and ships the waste to Mexico.
2. The waste shipment clears U.S. Customs. U.S. Customs sends a copy
of the manifest to the Environmental Protection Agency.
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COLEMAN, SAMUEL AND SCHULTES, JOSEPH V. 721
3. The U.S. waste generator sends the manifest to the appropriate state
agency, which then submits the manifestto the Environmental Protection
Agency.
4. The Environmental Protection Agency enters information from the
manifest into Haztraks.
5. The Mexican receiver acknowledges receipt of the waste to the U.S.
importer. Recyclers are currently the only companies in Mexico that
receive waste from the U.S.
Import Guia Ecologica
1. Through a guia ecologica application (Manifiesto para la Importacion
o Exportation de Materiales o Residues Peligrosos), the Mexican
receiver notifies the National Institute of Ecology of its intention to receive
waste from the U.S.
2. The National Institute of Ecology issues an import guia ecologica
approving the receipt of this shipment.
3. The National Institute of Ecology enters information from the import guia
ecologica into Haztraks. Mexico sends its updated guia ecologica
database to the U.S. on a quarterly basis.
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722 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
4.4 Tracking Hazardous Material Shipments from the U.S. to Mexico
U.S. to Mexico
Raw Material Shipment
Guia Ecologica
Database
U.S. Raw
Material
Source
-*• Raw Material Shipment
-> Document/Information
1.
2.
3.
Import Permit (Guia Ecologies)
Many raw materials with hazardous characteristics are imported into
Mexico for use within the maquiladora industry. These hazardous raw
materials require the maquiladora to obtain an import permit (guia
ecologica). The Mexican Intersectarial Commission for the Control of
Processing and Use of Pesticides, Fertilizers and Toxic Substances
(CICOPLAFEST) is a multi agency commission responsible for the
import control of a wide variety of hazardous materials.
The maquiladora notifies CICOPLAFEST of its intention to receive
hazardous materials from the U.S. by submitting a guia ecologica
application.
CICOPLAFEST issues an import guia ecologica approving the receipt
of this shipment.
CICOPLAFEST through the National Institute of Ecology enters
information from the import guia ecologica into Haztraks. Mexico sends
its updated guia ecologica database to the U.S. on a quarterly basis.
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COLEMAN, SAMUEL AND SCHULTES, JOSEPH V. 723
5 SYSTEM DESIGN ATTRIBUTES
5.1 Haztraks electronic platform
Haztraks is a PC-based, multi-user database application developed using Microsoft
FoxPro version 2.6 for Windows and DOS. It may be installed on a network server and has the
capability of handling many users. Haztraks is a multi-platform application which may be executed
as a DOS or a Windows program. Future enhancements of Haztraks are being researched
and may include support for Windows 95 as well as client-server capability.
5.2 Information security
The database files are protected with a tiered access password protocol to discourage
unauthorized access and changes. The Environmental Protection Agency and the Secretary of
Environment, Natural Resources and Fisheries/National Institute of Ecology system
administrators assign data entry users "read/write" or "read only" access. Changes to data
entries may only be made by the system administrator after data has been quality checked.
The U.S./Mexican bilateral agreement permits either country to protect its information
from public release. The Mexican guia database is presently handled as "business confidential"
and is not releasable by the Environmental Protection Agency. All U.S. data information is
available upon request.
5.3 Haztraks accessibility
Haztraks' system programs and User Manual are available to another country's
environmental agency upon written request to the U.S. Environmental Protection Agency.
5.4 U.S./Mexico Haztraks telecommunications
Environmental Protection Agency Region VI has successfully completed the
implementation of two electronic file transfer platforms (FTPs) to provide quick and up-to-date
access to Haztraks. The Environmental Protection Agency's public access Internet server,
known as "Earth 1", now provides State environmental offices access to domestic Haztraks
programs and databases to facilitate reporting, tracking and enforcement of transboundary
hazardous waste shipments. The specific FTP address is EARTH 1. EPA.GOV.To obtain access
via the Internet, a user account must first be obtained from Joseph Schultes, Haztraks Project
Manager, in the Environmental Protection Agency Region VI office. Requests fora user account
must include user's name, organization, user's Internet IP address, and phone number. Send
requests via E-mail or Internet to Schultes. Joseph@EPAMAIL.EPA.GOV.US.
The Environmental Protection Agency's internal FTP, known as "Lotus Notes", now
provides EPA Headquarters, Regional and border offices, U.S. Embassy in Mexico City, and
Secretary of Environment, Natural ResourcesandFisheries/Nationallnstituteof Ecology access
to domestic and Mexican Haztraks programs and databases.
5.5 Haztraks database contents
Haztraks contains data pertaining to the import and export of hazardous wastes, mainly
between the U.S. and Mexico, although some data also reflect exports and imports from Canada
and other countries. Haztraks also contains databases of international companies involved
with the handling of hazardous waste and other information such as international waste code
listings. The databases contained in Haztraks are briefly described in Annex A.
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724 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
6 COMPLIANCE MONITORING ACHIEVEMENTS
As a result of Haztraks, the Environmental Protection Agency and the Secretary of
Environment, Natural Resources and Fisheries/National Institute of Ecology can track the
volumes and types of waste imported and exported through Environmental Protection Agency
Region VI and Region IX. The tracking system enables environmental enforcement officials
from both countries to monitor and confirm the movement of hazardous waste and thus detect
violations of import/export regulations of their respective countries.
Through use of this tracking system, the Environmental Protection Agency has filed
several enforcement actions against unregistered hazardous waste handlers and handlers
which have improperly shipped tons of hazardous waste potentially impeding safe transit of
their shipments through the border communities. The Environmental Protection Agency
enforcement actions have generally dealt with violations of manifest requirements in the
transportation of hazardous waste, such as failure to list the foreign generator, failure to obtain
Environmental Protection Agency identification numbers, and use of transporters without valid
Environmental Protection Agency identificationnumbers and DOT registrations. Use of Haztraks
as a compliance monitoring tool will grow as agencies become familiar with its pragmatic user
friendly programs. The Environmental Protection Agency and the Secretary of Environment,
Natural Resources and Fisheries's Attorney General for the Protection of the Environment
(PROFEPA) now have comprehensive data available concerning the compliance history of
their mutual transboundary hazardous waste shipments. Compliance strategies can now be
developed to best resolve the patterns of violations identified.
The Environmental Protection Agency/Secretary of Environment, Natural Resources
and Fisheries effort to develop the Haztraks represents an innovative cooperative approach to
improve both countries' compliance monitoring capacity. However, Haztraks must be continually
upgraded to take advantage of technology, to meet user demands, and to handle the increased
volume of transboundary shipments of the hazardous waste. As the methods to collect
information regarding the movement of hazardous waste improve, Haztraks'capacity to capture
greaternumberof transboundaryshipmentswill also improve. This increased capacity is crucial
since there has been a substantial increase in the importation of hazardous waste from Mexico.
For example, from 1991 to 1993, the number of manifests and tonnage of waste imported from
Mexico more than doubled. Although these figures are not conclusive as to the exact amount of
waste crossing the border, they do provide support for the Secretary of Environment, Natural
Resources and Fisheries' finding of increased compliance by maquiladoras with Mexico's
requirement to return hazardous waste to the country of origin. Moreover, there has been a
significant increase in the number of Treatment Storage Disposal import notifications for the
prospective receipt of foreign wastes by the U.S. from Mexico, which reflects increased
compliance by U.S. industry with Environmental Protection Agency regulations.
7 FUTURE DIRECTIONS
As the tracking system develops, the U.S. and Mexico are exploring the development
of computer interfaces to allow direct electronic transmission of compliance data by the
regulated community and "real-time"sharingof data between the two countries. Direct Electronic
Data Interchange (EDI) transmission of data would greatly increase the quality and timeliness
of information entered into the system, thereby advancing the continued binational success of
Haztraks.
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COLEMAN, SAMUEL AND SCHULTES, JOSEPH V. 725
7.1 Electronic reporting of transboundry documentation
The submission of compliance reports is a labor intensive process, requiring both
industry submitter and government recipient to transpose information between electronic
databases and paperforms. To streamline the compliance reporting process, the Environmental
Protection Agency sponsored a project to explore the use of electronic data interchange (EDI)
to submit this information electronically. The Environmental Protection Agency's approach was
to adapt the existing industry standards for electronic data interchange developed by the
American National Standards Institute (ANSI) Accredited Standards Committee (ASC) X12
to the special environmental compliance reporting requirements of hazardous waste imported
from Mexico. The goals of this project were to demonstrate the electronic streamlining of
transboundary documentation and to reduce the compliance reporting time of manifests and
notifications to the State, the Environmental Protection Agency and the Secretary of
Environment, Natural Resources and Fisheries/National Institute of Ecology.
The pilot project, known as the Transborder Hazardous Waste Data EDI Pilot Project,
examined all related documentation required to ship waste between U.S. and Mexico. Project
participants involved in the transborder shipment process consisted of many stakeholders:
industry, U.S. Customs, customs brokers, importers, generators, the State, the Environmental
Protection Agency region, Environmental Protection Agency headquarters, other U.S.
government agencies, Mexican Customs (Aduana), and the Secretary of Environment, Natural
Resources and Fisheries/National Institute of Ecology. A brief discussion of this pilot project is
provided in Annex B. Pilot test transmission demonstrations of hazardous waste manifests,
Treatment Storage Disposal Notifications and TNRCC Foreign Shipment Summary reports
were completed September 1995. This project successfully demonstrated the "real time"
reporting, accuracy and paperlessefficiency of electronictelecommunicationsfor documentation
of imported hazardous waste shipments from Mexican maquiladora companies bound for U.S.
Treatment Storage Disposal receiving facilities. Full EDI implementation can reduce paperwork,
speed up transboundary hazardous waste transactions, and provide real-time data for ongoing
border compliance monitoring efforts.
7.2 Future directions for electronic reporting
The subsequent phases of the project will seek to expand the project participants.
Communications have already been established with Canada, Environmental Protection
Agency Region IX, Secretary of Environment, Natural Resourcesand Fisheries/Nationallnstitute
of Ecology, U.S. Customs, and customs brokers. Some may decide to participate in one or
more projects during the next fiscal year. The tracking system has continued to undergo
development with the exploration of state-of-the-art innovative electronic solutions.
8 CONCLUSION
The Wall Street Journal (July 30,1993) reported this hazardous waste tracking system
as "a marked improvement from the days when environmental regulators relied on informants'
tips, citizens' complaints and blind luck to nab illegal dumpers. 'It's a deterrent factor', 'says
Dick Kamp, director of the Border Ecology Project, an Arizona environmental group active in
free-trade issues. 'It's a necessary thing to do, and it's long overdue.'" In the meantime, this
tracking system has made substantial advances for international environmental compliance
and enforcement. The Haztraks system concept for tracking transboundary movements of
hazardous waste and for monitoring compliance with a country-to-country linkage for real-time
transfer of hazardous waste information sharing and reporting has significant potential for use
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726 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
by Basel Agreement and Organization for Economic Cooperation and Development parties. It
provides the technical architecture for enhancing international and interagency cooperation in
compliance monitoring and enforcement of transboundary hazardous waste laws.
In a unique cooperative effort between neighboring governmental entities, a common
automated mechanism successfully supports independent inspection, enforcement and
compliance monitoring of mutual transboundary hazardous waste shipments. The Haztraks
system assimilates appropriate information to support governmental and community
environmental concerns regarding the generation, transportation, and disposal of hazardous
materials and hazardous waste.
Increased transboundary activity underscores the importance of having a
comprehensiveand efficienttracking system. The Secretary of Environment, Natural Resources
and Fisheries/Nationallnstituteof Ecology General Directorrecentlyemphasizedthat hazardous
waste issues in Mexico are considered most important. The National Institute of Ecology desires
continued close coordinationwith the EnvironmentalProtectionAgency to continue development
of the transborder hazardous waste tracking mechanisms, Haztraks. Both countries continue
to work to provide accurate information to Haztraks to improve the quality of the tracking system
as a tool for detecting potential transboundary shipment violations.
Effective domestic environmental compliance and enforcement programs are an
important factor in global efforts to reduce international trade barriers and enhance economic
development in a manner consistent with each country's laws and regulations so as not to
create unfair competition or pressure diminishing environmental quality and stewardship over
the health and safety of the border area community. Tools, such as Haztraks, combined with
effective cooperative enforcement can provide an element of fairness to the regulatory process,
instill credibilitytogovernmentalinstitutions, and prevent short-term economic counterproductive
gains between regional areas and between facilities that might undermine longer-term
economic and environmental goals for a sustainable future.
Since 1992, considerable effort has been underway to improve the tracking of
hazardous waste across the U.S./Mexican border. Its utility for enforcement targeting has been
established with the filing of enforcement in the U.S. for violations of import/export regulations
which has brought companies shipping 1500 tons of hazardous waste per year into compliance.
Additionally, there has been a 20% annual increase in shipment compliance with Mexico's
requirement to return maquiladora waste to the country of origin of the raw materials for proper
disposal by the Mexican maquiladora industry and their U.S. parent companies.
Haztraks has demonstrated the capability to fulfill the tracking requirements necessary
to ensure compliance programs of other mutual international parties. Efforts are presently
underway to build upon the existing work between U.S. and Mexico by initiating electronic
hazardous waste tracking capabilitiesfor shipments between the U.S. and Canada and between
Mexico and Canada. Both Mexico and Canada are Basel Agreement countries and the tracking
system will include methodology to incorporate international waste code correlation with country
specific codes. The tracking system is expected to continue development with the exploration
of state-of-the-artinnovativeelectronicsolutions, since it is readily apparent that its full potential
has not been achieved as yet.
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COLEMAN, SAMUEL AND SCHULTES, JOSEPH V. 727
ANNEX A HAZTRAKS DATABASES
U.S. Documents
• Hazardous Waste Manifest- A manifestis required for international hazardous
waste shipments between the U.S. and Mexico, Canada, and other countries.
Treatment Storage Disposal Notification - A Treatment Storage Disposal
facility must notify the state of its intent to receive hazardous waste from a
foreign source.
Mexican Documents
Guia Ecologica - A Mexican generator must apply for a guia ecologica before
it can ship waste. This is the National Institute of Ecology's authorization for
the waste shipment. These documents are prospective — meaning that the
actual volume or type of waste may vary somewhat.
Semestral Report - Mexican generators, transporters, and Treatment Storage
Disposal facilities must submit a report of their waste activities to the National
Institute of Ecology twice a year.
• Diplomatic Notice - Mexico to U.S. waste shipments for non-maquiladora
companies require notification by the National Institute of Ecology to the
Environmental Protection Agency. The Environmental Protection Agency then
responds to the National Institute of Ecology with an acknowledgment of
consent for authorized shipments.
Company Databases
• Generators - This database contains facility information for generators
located in the U.S., Mexico, and other countries.
• Importers - This database contains facility and Resource Conservation
Resource Information System (RCRIS) information for U.S. importers of
hazardous waste.
• Treatment Storage Disposal Facilities - This database contains facility
information for Treatment Storage Disposal facilities located in the U.S.,
Mexico, and other countries. RCRIS information is listed for U.S. Treatment
Storage Disposal facilities.
• Transporters - This database contains facility and RCRIS information for
U.S. transporters.
Waste Code Listings
• Environmental Protection Agency waste codes
• SIC codes
• Handling codes
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728 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• Organization for Economic Cooperation and Development waste codes
• United Nations codes
• Canadian International Waste Identification codes
• Mexican waste codes
Management Databases
• Data Receipt Database - The data receipt database tracks the number
and type of documents the Environmental Protection Agency receives from
each agency for entry into Haztraks.
• Enforcement Database - The enforcement database (enforcement
confidential) enables the Environmental Protection Agency import/export
coordinator to track investigations of companies prior to enforcement
action.
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COLEMAN, SAMUEL AND SCHULTES, JOSEPH V. 729
ANNEX B ELECTRONIC DATA INTERCHANGE BACKGROUND
Environmental programs rely heavily on enormous quantities of regulatory compliance
data passed from the regulated community to Federal, State, and local environmental agencies.
In nearly all cases, paperis the medium, despite the fact that the effect of this transferis generally
to take data from one database and put it in another. Doing this via paper incurs enormous
data processing costs while at the same time seriously compromising the timeliness and quality
of the data being transferred. At least in theory, then, the elimination of paper through "electronic
reporting," that is, direct, computer-to-computer electronic transmission of data promises
dramatic improvements in the cost/benefit ratio of compliance reporting, lessening the burden
on industries and government. Furthermore, the robust nature of the EDI standards enable the
automation of other business needs, thereby permitting the re-engineering of the internal
processes of an organization.
The Mexican Maquiladora industry, which produces goods for exportation using
imported raw materials, is an extreme case of an industry subject to myriad environmental
reporting requirements. This is due to the transborder nature of their business-they are subject
to environmental compliance reporting requirements of two separate countries (U.S. and
Mexico) and the additional requirements of their respective customs and other agencies (U.S.
States, etc.). For this industry, the automation of compliance reporting may provide unique
opportunities to streamline environmental compliance reporting requirements by collapsing
the paper requirements of multiple agencies into a single electronic format. Transmitting the
data electronically can lead to dramatic reductions in data entry costs by both the industry
submitter and the government recipients. Furthermore, electronic submissions provide
opportunities for automated edit checks and audits, leading to a vast improvement in data
quality and the timeliness of the data submitted.
Electronic Reporting at the U.S. Environmental Protection Agency
Afewyearsago, the U.S. EnvironmentalProtectionAgency'sOffice of Policy, Planning,
and Evaluation (OPPE) initiated a project to introduce electronic reporting of compliance data
for Agency and State hazardous waste management programs, such as the Uniform Hazardous
Waste Manifest and Hazardous Waste Biennial Report. To institute electronic reporting, OPPE
is taking an approach known as "electronic data interchange" (EDI), a standards-based method
that permits open exchange of data among participants that may be operating on vastly different
hardware/softwareplatforms. The pilot projects conducted by the U .S. Environmental Protection
Agency, States, and corporate participants over the past two years suggest that EDI may be
the best available way to institute electronic exchange of data between government agencies
and their regulated communities.
Electronic Reporting Standards
The standardsused by the U.S. EnvironmentalProtection Agency are those developed
and maintained by an accredited standards committee (ASC) of the American National
Standards Institute (ANSI), specifically ANSI ASC X12. For more than a decade ASC X12 has
sponsored the development of standard electronic/magnetic file formats for standard business
transactions (or "transaction sets"), as well as standard protocols for their transmission. There
are currently several hundred such transaction sets covering such transactions as invoices,
ship notices, purchase requests, and more specialized reports of technical specifications and
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730 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
test results. Electronic exchanges of information that conforms to these standards have come
to be known as electronic data interchange. In the United States EDI is generally taken to be
synonymous with electronic commerce under the ASC X12 standards.
The Benefits of Electronic Reporting
EDI solves the problem of multiple electronic reporting systems by providing a common
"language" into which data being communicated between any two databases can be translated.
So long as a data set maps to a standard EDI transaction set, EDI translation will move it
between any two databases with fields for the data elements-no matter how divergent the two
database structures, and no matter how divergent the two software/ hardware platforms. In
terms of system architecture, EDI is supported by "translator" packages, available "off the
shelf from a wide array of software vendors, in versions for virtually all kinds of hardware and
operating systems. Any translator will incorporate all the current ASC X12 standards, and, with
appropriate configurations, will: 1) translate an outgoing flat file generated by the host database
into a standard ASC X12 transaction set recognizableto any other EDI translator, and 2) translate
any incoming X12 transaction set into a flat file that will automatically load to the host.
The exchange of data via EDI usually involves one more piece of architecture, a
"value-added" network (VAN). A VAN is a specialized electronic mailbox service, tailored to
the transmission ofX12-formatted data files. The "value-added" that VANs provide-over and
above the basic service of managing the connection among EDI participants-include such
things as format-checking, transmission logging, and automated acknowledgments and error
messages. Typically an EDI participant will subscribe to a VAN service in just the same way he
or she would subscribe to a phone service. Those to whom he or she sent EDI messages
would subscribe to their own VAN services-with the VANs handling an interconnect just as
different telephone companies do.
Transborder Hazardous Waste (TransHaz) Electronic Reporting Project
In the fall of 1993, the Transboundary Hazardous Waste EDI workgroup was formed
by the Environmental Protection Agency to establish a pilot project using EDI to automate the
hazardous waste compliance reporting requirements of government and industry parties
involved in U.S/Mexico transboundary hazardous waste shipments. The workgroup is a
cooperative effort by the U.S. Environmental Protection Agency, the Secretary of Environment,
Natural Resources and Fisheries/National Institute of Ecology, Texas Natural Resource
Conservation Commission (TNRCC), other State and Federal Agencies, and includes
participation by industry. The objective was to streamline the flow of hazardous waste import
compliance reporting requirements through the use of EDI fortransborder shipments.
The purpose of the project was to explore the value and economies of using electronic
data interchange as a means of transmitting environmental compliance data. The long range
goal was to achieve cost savings, and improve data quality and timeliness of data submissions
through the use of EDI over traditional paper reporting methods. The short term goal was to
establish a demonstration project to determine exactly what may be required in terms of
resources, technologies and expertise for the electronic transmission of hazardous waste
documentation to be successful. A well-defined data flow has been developed. This flow
indicates that about two dozen forms are involved in 60 paper transactions with at least 12
different agencies or private entities for the legal transport of hazardous waste to occur. In
comparing the forms, and the data elements on these forms, we were able to reduce overlaps
of data and identify their potential relationships.
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COLEMAN, SAMUEL AND SCHULTES, JOSEPH V. 731
Despite the enormous complexity of the process, there appears to be no technical or
legal obstacles that would prevent the attainment of our short term goal of a demonstration
project. The workgroup generally agreed that the project will have to be conducted in phases
beginning with test transmissions of the manifest and notification reports to the TNRCC. Follow-
on phases will include the Guia application test transmission to the Secretary of Environment,
Natural Resources and Fisheries/National Institute of Ecology.
For the purposes of the pilot project, the workgroup developed an EDI convention that
will permit the pilot transmission of three, possibly four, environmental compliance reports:
U.S. Hazardous Waste Manifest; Treatment Storage Disposal Notification; TNRCC Monthly
Summary Report; and the Mexican Environmental Guide (Guia Ecologica) Request form. The
"trading partners" for the first phase of the project included Environmental Protection Agency
Region VI, TNRCC, four Maquiladorafacilities and a treatment, storage and disposal Treatment
Storage Disposal receiving facility. A three month demonstration project was successfully
conducted during June though September of 1995. A project report and Implementation Guide
will be available later in 1996.
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732 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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SYNOPSIS OF TRANSBOUNDARY TRADE IN POTENTIALLY HAZARDOUS SUSTANCE 733
SYNOPSIS OF TRANSBOUNDARY TRADE IN POTENTIALLY
HAZARDOUS SUBSTANCES
Capacity Building Support Document for Environmental Compliance and
Enforcement Programs
PURPOSE
Consistentwith the goals of the Fourth InternationalConference on Environmental
Compliance and Enforcement, its international sponsors, and the Executive Planning
Committee, this document provides an overview of environmental issues related to
transboundary trade in hazardous waste, pesticides, and ozone depleting substances. It
provides a general introduction to environmental problems, policy issues, and potential
solutions associated with legal and illegal trade in these substances. Information in this
document will help environmental decision makers understand these issues and allow for
more informed development of environmental policies and programs for effective
management and enforcement of trade in potentially hazardous substances.
SCOPE
For each of three types of substances— hazardous waste, pesticides, and ozone
depleting substances — the document provides background information and definitions
of terms, discusses potential negative impacts of uncontrolled trade, planning and
monitoring compliance promotion and enforcement programs to address potential
problems, and an annotated bibliography for additional information.
SUBJECT AREAS
The document describes production and use of each of these substances in
developed and developing countries as well as potential impacts of each substance on
human health and the environment. The scope and nature of illegal transboundary trade
also is reviewed where evidence exists with which to document it. Major issues framing
current national and international discussions about use and trade in these substances
are then analyzed. Finally, the document provides examples of national and international
approaches to control the environmental impacts of these trade flows.
Although issues surrounding production, use, and trade, differ for each of the
three categories of substances, general environmental management approaches, such
as the use of multi-lateral treaties and agreements governing trade, the development of
import and export control systems (information collection, monitoring, and inspection),
and international policing methods, are quite similar, regardless of the substance being
traded.
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734 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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MONTREAL PROTOCOL:ENFORCEMENT OF CFC AND RELATED REQUIREMENTS 735
SPECIALTOPIC WORKSHOP N
Montreal Protocol:
Enforcement of CFC and Related Requirements
Papers and Workshop N discussions address the following issues:
• The goals of chlorofluorohydrocarbon (CFC) reduction and what particular
challenges controls and reduction of CFCs in the marketplace pose to
domestic programs given the nature of the market and regulated
community.
• Types of programs countries have adopted to control CFCs in the
marketplace.
• How effective these programs have been in achieving compliance. What
successes and problems have resulted.
• Lessons learned for design of requirements to ensure enforceability,
promotion of compliance, compliance monitoring and inspection activities,
enforcement response, and levels of government involvement.
1. Summary of Montreal Protocol Workshop, Facilitators: F. Kesselaar, I. Moreno,
Rapporteur: R. Sturges 737
2. Regulations to Implement Montreal Protocol: Guatemala Country Program,
J. M. Del Valle, H. Figueroa 741
3. Evaluation of Three Years Enforcement of the Chlorofluorocarbons (CFC)
Regulations in the Netherlands, G.A.H. TijinkandJ.P. Cornet 747
See Related papers from other International Workshop and Conference Proceedings:
1. Enforcement of the CFC Regulations in The Netherlands, G.A.H. Tijink, F.H.
Kesselaar, Volume I, Oaxaca, Mexico
2. Stratospheric Ozone Protection in the United States Compliance and Enforcement
Issues of Title VI of the Clean Air Act, J.B. Rasnic, C.R. Haas, Volume I, Oaxaca,
Mexico
3. Summary of Workshop: CFC Control Program Enforcement, Facilitator: H. Kesselaar,
Rapporteur: M. Mayo, Volume II, Oaxaca, Mexico
4. The Enforcement of the State Policy of the CSFR on the Field of the Montreal Protocol,
M. Kotaska and V. Rehacek, Volume I, Budapest, Hungary
5. Challenge of Enforcing the Montreal Protocol on Protection of Stratospheric Ozone, J.
Seitz and S. Mitoff, Volume I, Utrecht, The Netherlands
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736 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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SUMMARY OF WORKSHOP: MONTREAL PROTOCOL 737
MONTREAL PROTOCOL: ENFORCEMENT OF CHLOROFLUOROCARBONS
(CFC) AND RELATED REQUIREMENTS
Facilitators: Huub Kesselaar, Ignacia Moreno
Rapporteur: RickSturges
GOALS
The session addressed the following issues:
• The goals of chlorofluorocarbon (CFC) reduction and the challenges
controls and reduction of these in the marketplace pose the domestic
programs given the nature of the market and the regulated community.
• Types of programs countries have adopted to control chlorofluorocarbons
in the marketplace.
• The effectiveness of these programs in achieving compliance - successes
and problems.
• Lessons learned for design of requirements to ensure enforceability,
promotion of compliance, compliance monitoring, and inspection activities,
enforcement response, and levels of government involvement.
1 INTRODUCTION
Conference participants from ten countries as well as the United Nations Environment
Program (UNEP) discussed major issues related to chlorofluorocarbon production, trade, and
enforcement of the Montreal Protocol. While all countries are taking action to phase out their
use, encourage compliance, and establish and implement enforcement programs, country
programs are at differing levels of development and implementation and many challenges still
remain. In many cases, developing countries that are subject to exemptions under Article 5 of
the protocol are ahead of scheduled targets for production and use phase-out. Due to financial
constraints, imports of old chlorofluorocarbon-using products from developed nations, and
compliance promotion among small-scale users remain substantial problems for developing
countries, successes such as those in Thailand for phase-out among large manufactures are
encouraging and can serve as models to other nations. Participants from Canada, the U.S.,
and the Netherlandsalso shared experienceswith successful efforts for encouraging compliance
through public involvementand in establishing multi-agency and multilateral enforcement efforts
for the detection of illegal shipments.
2 PAPERS
In the paper of Tijink and Cornet, the results are reported on enforcement of the CFC
Regulations in The Netherlands over a 3 year period. All target groups show an improved
degree of compliance. The objectives have not been reached in the areas of refrigerating
installations and trade of CFS's; these target groups will be the focus of attention next. This
paper provides an example of how the Montreal Protocol to protect the ozone layer can be
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738 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
enforced. In the paper of Del Valle and Figueroa, a description is given of how legal norms are
applied in Guatemala related to the implementation of the Montreal Protocol on ozone depleting
substances. The system is still weak, but enforcement of these regulations can be an opportunity
for a country with a poor legal tradition.
3 DISCUSSION ISSUES
3.1 Major issues related to Montreal Protocol compliance programs and
enforcement efforts
While participants began the session by discussing the considerable progress that
has been made in both developed and developing countries in implementing production and
use requirements of the Montreal Protocol, other noted that many challenges remain. Major
Issues raised by special topic participants include:
• While many countries have made progress in phasing-out
chlorofluorocarbon use for large volume users (often ahead of Montreal
Protocol and Article 5 targets), less progress has been made with small
volume users. In particular, reduction in the use of ozone-depleting car air
conditioners and refrigerators is difficult in many countries where these
capital goods are used for many years and represent a sizable investment
for many consumers.
• Illegal shipments of chlorofluorocarbons to countries where their use is
banned or regulated through high tariffs and taxes is viewed as a serious
and growing problem. A U.S. participant noted that smuggling of
chlorofluorocarbons was viewed as the second most lucrative criminal
smuggling operation after illegal drugs.
• Some developing country participants noted that, while the
chlorofluorocarbon issue is usually framed as one where illegal
transboundary trade typically flows from developing to developed nations.
Used cars, refrigerators, and other equipment that uses ozone depleting
substances are entering developing countries, adding to challenges for
eliminating the use of such equipment.
• Financing for programs remains a problem. Participants noted that many
found the procedure for applying to the Montreal Protocol fund to be tedious
and fund amounts to be inadequate, especially for programs aimed at
small volume users.
• Phase-out of some use categories combined with continued production
in developing countries (Article 5 Nations) has led to price declines due to
over supply. This decline in prices has complicated efforts to phase-out
use in remaining sectors.
3.2 Program successes
Participants highlighted successful efforts at encouraging voluntary compliance as
well as detecting violations. These included:
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SUMMARY OF WORKSHOP: MONTREAL PROTOCOL 739
Thailand has been extremely successful using a sector by sector approach
to encouraging chlorofluorocarbon use phase-out. They have completed
efforts in the solvent sector and a largely complete phase out in the air
conditioning sector. Their program, aimed principally at multinational
corporations, has relied on close cooperation with U.S. EPA and the
Japanese governments, as well as corporate parents to encourage Thai
subsidiaries of multinationals to adopt "mother country" phase-out
schedules.
China has a national plan in place, primarily focused on the industrial sector,
and has established a group of industrial users and government
representatives that will be responsible for phase-out. Plans are in place
for a permitting and labeling system.
Canada has developed a strong education program for customs officials
aimed at improving their ability to detect illegal shipments. In addition,
Environment Canada has been successful in educating the public about
ozone depleting substancesand in publicizing violations, resultingin strong
public support for enforcement actions.
The United States EPA has developed and delivered chlorofluorocarbon
interdiction training to hundreds of Customs inspectors, agents and other
law enforcement personnel at border locations across the country and at
regional, bilateral and multilateral conferences on environmental
enforcement.
The United States has successfully launched Operation Cool Breeze, an
enforcement program aimed at detecting illegal shipments of ozone
depleting substances. A number of high profile arrests have resulted from
this effort and information-sharing between government agencies has
improved greatly.
The Netherlands has had a successful voluntary program followed by more
stringent enforcement through legal instruments. They have also
implemented a certified installer program for the refrigerator sector.
CONCLUSIONS
• While a number of programs have been a success, and the Montreal
Protocol agenda is on target or ahead of schedule in some areas,
participants noted that a number of challenges remain.
• Financial and technological assistance were cited as the major need in
most countries.
• Development of legal instruments also was viewed as critical for many
nations. Information-sharingamong importing, exporting,and transshipping
nations is still inadequate for efficient identification of illegal shipments.
These information gaps also make it difficult for countries to track imports
of used equipment that employ ozone depleting substances.
• Participants noted that funding for information systems and training
programs is required, although many stated that there was a substantial
amount that could be accomplished through informal information-sharing
networks.
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740 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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DEL VALLE, JORGE MARIO AND FIGUEROA, HUGO 741
REGULATIONS TO IMPLEMENT MONTREAL PROTOCOL: GUATEMALA
COUNTRY PROGRAM
DEL VALLE, JORGE MARIO AND FIGUEROA, HUGO
Planning Unit, National Environment Commission, Ozone Project. UNEP/CONAMA
5 Avenida # 8-07, Zone 10, Guatemala City, Guatemala
SUMMARY
This paper contains a brief description of how, in general, legal norms are applied in
Guatemala. Some concepts and values that prevent law enforcement are mentioned. This
situation is characterized by a weak legal system and certain conditions that affect legal
procedures. In this context specific environmental regulations are being promulgated.
Supportive measures need to be enacted to guarantee enforcement.
1 BACKGROUND
The political and institutional framework of Guatemala for the last 40 years has
weakened the legal system. Military-authoritarianregimes have ruled the country with no respect
for law abiding and civil rights. Repression, kidnapping, crime, human rights violations and
corruption increased. In the last 10 years (since 1985) democratically- elected governments
have been appointed to govern the country. Some efforts have been made to restore the legal
system and strengthen human rights institutions and the function of the attorney general.
In this period public opinion and human rights organizations have been active, legal
causes were prepared, and public offenders were brought to court. Nevertheless, law
effectiveness was very poor. Impunity was the main cause for having a strong case. Causes
have also prescribed for lack of evidence.
2 REGULATIONS AND THE MONTREAL PROTOCOL
To implement the Montreal Protocol, it has become necessary to establish a set of
regulations to diminish consumption of ozone depleting substances (ODS) and other measures
to regulate the selling, distribution, and use of such chemical products. According to the legal
framework, it is clear that supplementary measures are needed in order to accomplish
environmental compliance and enforcement.
Such supplementary measures include:
• Frequent reminders to the government by international agencies to
complete ozone depleting substance reports.
• Description of specific cases of applied regulations and compliance.
• Exposure and training for public officers in public compliance and law
enforcement.
• Information to the consumer.
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742 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• Certify trained technicians.
• Qualify inspectors in monitoring procedures and application of the laws.
These are considered key elements to enforce environment laws and regulations.
3 LEGAL FRAMEWORK
In Guatemala, as in many other countries, a wide body of legislation and regulations
already exist. It is worthwhile to consider the legal structure that operates within the country.
There are constitutional laws, congressional acts, sectorial agreements and municipal
regulations. For example, the Ministry of Health (at the national level) is responsiblefor analyzing
every environmental health hazard case, taking this responsibility away from municipal
competence.
Laws and regulations have been prepared one-by-one as needed, over time, there
has been a duplication and over-lapping of responsibilities and a failure to apply the law.
Civil servants have little knowledge of existing laws and procedures and there is no
compliance by end users. It is wide-spread practice to favor vested interests and serve special
privileges, impunity being a common result. Several press articles have proven this situation.
Sanctions are not relevant and they are not proportional in relation to offenses. Legal
procedures to build a case and enforce the law are slow and complex. Cases are prepared on
a documented basis by the attorney general after administrative sanctions or procedures have
been exhausted. This lengthy procedure is time consuming (2-3 years) and in most cases,
files and documents are overdue, evidence becomes blurred, and the whole case is dismissed.
The attorney general conducts these investigations to collect evidence and prepare
the cause. Procedures are slow and weak due to the shortage of specialized personnel,
financial support and poor technical procedures. Due to these factors, law enforcement
becomes extremely ineffective.
4 ENVIRONMENTAL INSTITUTIONS AND REGULATIONS
In its particular role, the National Environmental Commission (CONAMA) lacks the
appropriate resources and law compliance orientation to monitor and apply public sanctions.
Regulations related to the environment are wide-spread within different organisms
and entities. Article 197 of the political constitution states that social-economic development
should go hand in hand with environmental protection. The protection, recovery and rational
use of natural resources and ecological systems is mandated in a specific law promulgated by
Congress (Public Decree 68-86). The health code contains standards for drinking water, waste
management, contaminants, food management and toxic waste disposal.
The main responsibility for applying regulations and environmental protection is based
on Government Decree 58-88 which entitles municipalities to apply sanctions. Other specific
regulations refer to fluid discharge - maximum and minimum levels. (Decree 60-89).
Congressional Law Number 252-89 regulates the use of chlorofluorocarbons (CFCs) for the
aerosol industry.
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DEL VALLE, JORGE MARIO AND FIGUEROA, HUGO 743
5 SOCIAL, POLITICAL AND ECONOMIC BACKGROUND.
5.1 Social economic profile
Guatemala's population numbers 10.3 million inhabitants. Sixty percent live in rural
areas and 26% are concentrated in the metropolitan area. Adult literacy accounts for 37% and
total illiteracy is found in 51 % of the total population. The active economic population numbers
2.5 million and the average annual income is U.S. $600.00 .
5.2 Political profile
In the last fifty years the country has been ruled by military-authoritarian regimes. War,
poverty and unemployment have been dominant factors in this period thus weakening
Democratic and legal institutions as a result. Ten years ago (1985) civil-democratically elected
governments started a new phase. Legal institutions were created such as the Constitutional
Higher Court, The Human Rights Ombudsman, also the Public Ministry was restructured.
In 1986 the National Environmental Commission (CONAMA) was created as a
coordinating entity adjoined to the Presidential office. It has neither executive force nor
mandatory law enforcement. The Commission was established due to present causes by the
attorney general and the Justice Court, but can not apply the sanctions included in its own
bylaw.
In the last three years there has been a strong emphasis to present environmental
impact studies. This improvement is the consequence of a specific regulation that stated
sanctions to public officials that might approve development projects that have not prepared
theirownenvironmentalimpact studies. The next step should be the reinforcementof monitoring
procedures to assess proposed environmental corrective measures stated in the environmental
impact studies.
5.3 The economy
During the last 150 years there has been a strong mercantile tradition - few reguations
and low taxes with an extensive agricultural activity. In recent years, the economy has been
oriented toward a free market mode. The gross national product has substantially increased
due to an increase in banking and finance, construction, non-traditional exports and tourism
6 THE MONTREAL PROTOCOL: GOALS AND REGULATIONS.
The Vienna Convention for the Protection of the Ozone Layer was approved in March
1985 by the Conference of the parties; it was ratified by the Congress of the Republic of
Guatemala in July 1987 authorizing the governmentto comply with this international agreement.
This agreement is a regulatory instrument by which the parties agreed to take the
appropriate measures to help to restore the ozone layer depletion. To establish specific goals,
The Montreal Protocol was signed so that each country within its country program would take
specific measures to comply with the "phase out" and elimination of in the stated periods.
Basic ozone depleting substances data registered in Guatemala established that 286.3
of chlorofluorocarbonswere utilized in 1991. The principal substances utilized are refrigerants,
solvents, foams and pesticides. Chlorofluorocarbons are not manufactured in the country.
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744 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
In 1995, four industry assessments were performed: an overall assessment to verify
1991 data; another two for the refrigerating sector (small shops and servicing companies);
and methyl bromide was analyzed in the fourth study. These studies included data for imported
quantities, final users, prices, and volumes used in each branch of commercial activity. The
interviewed persons were aware of The Montreal Protocol, its regulations, the "phase out"
period, and the new products.
In 1989, a Government Decree was published to regulate the use of
chlorofluorocarbons (R-11 and R-12) in the production of sprays and aerosols. Imports were
prohibited for this specific use. A one year delay was granted to clear out inventories. Some
medical supplies were excluded from this regulation. These norms served as a regulatory
frame. Businessmen considered the benefits of establishing a large liquefied petroleum gas
plant to serve the aerosol and cosmetics industry. At present, the plant draw-back for these
industries is Central America, the Caribbean and the northern part of South America. In that
case the regulation and the use of a substitute technology created the incentives for an alternative
solution.
Some small aerosol producers utilize chlorofluorocarbons (R-11, R-12). These cases
have been denounced and sanctions have been applied in order to avoid the smuggling of
finished products.
7 THE CONTEXT OF LAW COMPLIANCE.
Taking into account the different factors that condition the applicability of the law and
compliance, it is worthwhile to mention some of the particular statements and claims of interest
groups (importers, end users, distributors) regarding regulations that are necessary to eliminate
the use of ozone depleting substances (quoting):
• Imports of chlorofluorocarbons will continue (R-11, R-12, R-502).
• Prices of chlorofluorocarbons are lower in Guatemala than in Mexico and
the USA (1 LB = U.S.$ 1.39 in Guatemala and U.S.$ 6.70 in the USA.)
• Laws and regulations negatively affect the productive activity.
• Some believe that laws and norms should not be issued because nobody
will obey the law.
• It is believed that chlorofluorocarbons will continue to be used as long as
prices are lower than alternatives, R-134
• Large agroexporters (banana, water melon, berries, orchards) comply to
U.S. regulations by using R-134 in refrigerated containers that are shipped
to the U.S. Transportation within Guatemala still uses R-12 because there
are no government regulations.
• R-134a is more expensive than R-12. In addition an over-tax has been
added to make it less competitive.
• Importers agree that import limitations will cause smuggling. At present
there are no regulations limiting imports; and smuggling of
chlorofluorocarbons from Mexico is a common practice.
Due to the previous considerations and the nonobservance of compliance, it is
expected that ozone depleting substances regulations will be difficult to put into practice.
Regulations, incentives and sanctions must be very clear and strong. Monitoring and law
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DEL VALLE, JORGE MARIO AND FIGUEROA, HUGO 745
enforcement must be set in place. The promulgation of such regulations has to be a positive
experience and enhance institutional capacity for environmental compliance and enforcement
in Guatemala.
8 PROMULGATED REGULATIONS
To attain stated objectives the following regulations were promulgated:
8.1 Government Decree to institute the Ozone Coordinating Committee.
This decree grants the committee legal authority to address and manage Country
Program implementing actions, to promote and follow up stated phase-out objectives.
8.2 Obligatory register.
By Government Decree an official ozone depleting substance registrarwas established
at the Ministry of Trade and Industry. Its main objective is to keep actualized records of such
imports, substitutes, importing Companies, distributors and end users. A basic form is used
as a monthly record. It is a Public Declaration in good faith.
8.3 Restrictions to ozone depleting substances imports.
To comply with ozone depleting substance phase out in accordance with the Montreal
Protocol calendar, this disposition regulates imports of R-11 and R-12 at levels equal to those
of 1991. It promotes the use of alternative substances by avoiding over-pricing, taxes and
sanctions and also promotes industrial changes, training and certification.
8.4 OZONE Seal.
The OZONE Seal provides industry a certification that recognizes those products that
are free of chlorofluorocarbons in their elaboration. The seal is consumer oriented. Quarterly
sampling is performed to guarantee compliance by sending products to the chromatography
laboratory.
9 COMPLEMENTARY AND SUPPORT MEASURES.
Taking into account that law abiding is a weak concept and law is violated without any
consequences (due to low and insignificant penalties) it is useful to include external factors
that facilitate the application and compliance of such regulations. Some of these actions could
be:
• Official Notes by Montreal Protocol Secretariat, reminding the Government
of Guatemala to report and to meet deadlines and agreements signed by
the government and possible sanctions and obligations.
• Progress reports and statistical data presented regularly with a standard
format for comparison purposes.
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746 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• Reports on legal instruments and sanctions related to the monitoring and
follow up to make effective the elimination of ozone depleting substances
and progress in the use of alternative substances.
To complement these actions it would be helpful to have specific support to train public
officials and law officials in law compliance and law enforcement in subjects such as:
• How to apply sanctions in specific circumstances, selling, distribution and
final use of restricted chlorofluorocarbons, if legal regulations are not
observed.
• Exposure to applied regulations in other countries, such as the United
States, the EEC (seminars, case studies).
• Ample distribution and information regarding ozone depleting substance
regulations, public awareness and consumer protection.
• Using the established registrar and controls to monitor compliance for
distributors, technicians, end users and importers regarding ozone
depleting substances and alternative substances.
• Monitoring and supervising to build causes, collect evidence and prepare
public causes and to train environmental inspectors in monitoring,
compliance and law enforcement.
10 CONCLUSION
Montreal Protocol regulations to implement the phase out of ozone depleting
substances is an opportunity for environmental compliance and law enforcement in a country
with a poor legal tradition.
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TIJINK, G.A.H. AND CORNET, J.P. 747
EVALUATION OF THREE YEARS ENFORCEMENT OF THE
CHLOROFLUOROCARBONS (CFC) REGULATIONS IN THE NETHERLANDS
TIJINK, G.A.H.1 AND CORNET, J.P.2
1 Project manager enforcement CFC Decree
2 Head of the Department Enforcement Radiation, Substances and Products,
Inspectorate for the Environment, Ministry of Housing, Spatial Planning and the
Environment, IPC 681, P.O. Box 30945,2500 GX The Hague, The Netherlands
SUMMARY
An evaluation has been made of three years' enforcement of the chlorofluorocarbon
(CFC) regulations in the Netherlands between 1993 to 1995. The results are compared with
the original objectives in order to establish the follow up for the coming years. All target groups
show an improved degree of compliance, in some cases to an extent which is even better than
was expected. The objectives have not been reached in the areas of refrigeration installations
and trade in chlorofluorocarbons. These target groups will receive the focus of attention in the
coming years.
1 INTRODUCTION
1.1 Background
A number of countries decided to reduce or terminate the production and use of
substances which cause depletion of the ozone layer, in view of the effect of these substances
on the ozone layer and the associated consequences for man and for the environment. This is
laid down in the Montreal Protocol (December 16,1987) on the protection of the ozone layer.
The international regulations dealing with substances which cause depletion of the
ozone layer resulted in the inclusion of action point A.1 in the 1989 National Environmental
Policy Plan (NEPP):
"... At home the Netherlands is striving after terminating the use and emissions
of fully halogenated chlorofluorocarbons in 1995 or as rapidly as possibly
thereafter, assuming that replacement substances are available."
To carry out this part of the environmental policy plan a chlorofluorocarbon action
program was drawn up in the form of a collaborative project between government and industry.
The action program was published on June 21, 1990, and contains voluntary agreements
concerning the termination of the use of substances which cause depletion of the ozone layer.
The action program also stipulated that legislation would be drawn up in order to provide support
to these agreements. This legislation appeared in the form of the "Ozone Depleting Substances
Decree" (Chlorofluorocarbon (CFC) Decree) which came into effect on the first of January
1993.
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748 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
1.2 Organization of the enforcement
In 1991 the Inspectorate for the Environment decided that in order to achieve the
objectives of the national policy plan the enforcement of the Decree should be carried out on a
project basis. The preparations for this project were started in 1991 with an inventory of the
total target group.
In 1991 and 1992 agreements were made with Customs, the provinces, the
municipalities, the Shipping Inspectorate and the State Supervision of Mines that these
authorities would include matters pertaining to the chlorofluorocarbonregulations in their regular
company inspections. Table 1 shows the number of companies for each target group, and the
division of responsibilities between the various enforcement authorities involved.
TABLE 1. TARGET GROUPS AND ENFORCEMENT AUTHORITIES
Target group
Production and trade in CFC's and halons
Installers of refrigerating installations
Users of refrigerating installations
Users of solvents and cleaners
Users of halon fire extinguishing systems
Traders/users of insulation material
Number of
companies1
200
1500
200.000
600
270.000
75'
Division of responsibilities between the
enforcement
Inspectorate for the Environment,
Customs
Inspectorate for the Environment
Provinces and municipalities, Shipping
Inpectorate, State Supervision of Mines
Inspectorate for the Environment,
provinces and municipalities
Inspectorate for the Environment,
provinces and municipalities, Shipping
Inspectorate, State Supervision of Mines
Inspectorate for the Environment
The figures are based on information from the Chambers of Commerce.
2 This does nog include the number of end-users of insulation material containing CFCs.
The enforcement program was published in July 1992. This program set down the
broad outlines of the required form of the organization, as well as the necessary training and
facilities, the working arrangements with the other authorities, the information to be directed
towards the various branches of industry, and the approach with regard to prosecution.
A chlorofluorocarbon (CFC) team was then formed. This team was responsible for
the enforcement of the Regulations from February 1993 until the end of 1995. 1993 was a
"test" year, during which information and warnings were given to companies in the target groups.
At the end of 1993 an interim evaluation was made. This evaluation resulted in the following:
• For each target group a clear objective was established, which was
expressed as the required degree of compliance.
• It was decided to adopt a procedure whereby a series of campaigns would
be carried out, each directed at one of the target groups.
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TIJINK, G.A.H. AND CORNET, J.P. 749
• It was decided to make more official reports when offences were
discovered.
A comprehensive description of the design of the project is given in Tijink and
Kesselaar.1 The project was completed with a final evaluation. A summary of the way in which
the final evaluation of the activities of the team was conducted is shown below, together with
the results of the evaluation.
2 OBJECTIVE OF THE EVALUATION
The objective of the evaluation is to examine the effect of the enforcement activities of
the team on the degree of compliance of the various target groups.
3 CALCULATION OF THE DEGREE OF COMPLIANCE
The degree of compliance of a target group is calculated as the number of companies
visited where no violations were found, divided by the total number of companies visited. It is
expressed as a percentage.
It should be realized that this calculation is only valid under the following
conditions:
• The companies visited must constitutea representativesample of the entire
target group.
• The degree of compliance is only applicable to those regulations which
were the subject of the inspection.
• The quality of the inspections must be such that when a company is in
violation of the regulations then it is also recognized as being in violation.
Trends in the degree of compliance were examined by comparing measured degrees
of compliance from different years. This is only possible when:
• The same aspects of the regulations have been the subject of inspections
in the different measurements.
• The regulations have not been changed during the period being reviewed.
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750 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
TABLE 2. RESULTS OF ENFORCEMENT IN THE YEARS 1993,1994 AND 1995
Target group
Production and
trade in CFCs and
halons
Installers of
refrigerating
installations
Users of
refrigerating
installations
Users of solvents
and cleaners
Users of halon fire
extinguishing
systems
Traders/users of
insulation material
Totals
1993
CV
250
235
245
590
67
73
1460
ww
17
80
205
238
5
11
556
OR
2
0
0
0
0
1
3
1994
CV
220
285
203
221
8
44
981
WW
6
48
111
80
6
4
255
OR
3
49
46
8
0
0
106
1995
CV
57
189
517
110
0
18
891
WW
10
36
116
18
0
0
180
OR
7
18
100
5
0
0
130
Totals
CV
527
709
965
921
75
135
3332
WW
33
164
432
336
11
15
991
OR
12
67
146
13
0
1
239
Key:
CV = Company visits (including repeated inspections)
WW = Warnings in writing
OR = Official reports
4 RESULTS OF THE CHLOROFLUROCARBON (CFC) ENFORCEMENT TEAM
4.1 Summary of enforcement activities and results
Table 2 shows a summary of the number of warnings in writing, official reports, and
total company visits for each of the target groups made in the years 1993, 1994 and 1995.
Fewer companies were visited in 1994 and 1995 than in 1993. The reason is that
more time was needed to prepare the visits and to make the official reports. The figures in the
table are totals for the activities for each target group. Usually more than one campaign has
been carried out for each target group. An assessment can be made of the degree of
compliance for each campaign, but the figures shown in table 2 can be used for such an
assessment in only a number of cases.
5 DEGREE OF COMPLIANCE AND FOLLOW UP FOR EACH TARGET
GROUP
The required degree of compliance for each target group was established following
the interim evaluation made in 1993. The practical feasibility was an important factor when
assessing the required degree of compliance. For this reason the required degree of
compliance for larger target groups such as the users of refrigeration installations was set at
80%. The necessary follow up can be established by a comparison of the required degree of
compliance with the actual degree of compliance as measured during the various campaigns.
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TIJINK, G.A.H. AND CORNET, J.R 751
5.1 Production and trade in chlorofluorocarbons and halons
As a result of the change in the regulations during the course of the project it is not
possible to make an assessment of the degree of compliance of this target group. In view of
the position of the production and trade in the chlorofluorocarbon chain the required degree of
compliance has been set at 100%; consequently the Inspectorate for the Environment will
continue their activities towards this target group.
5.2 Installers of refrigeration installations
The required degree of compliance for installers has been set at >90%. During the
1995 campaign "recognized installers of refrigerating installations" it was found that 90% of
the installers complied with the regulations. The compliance of the target group of installers of
refrigerating installations (maintenance level) will be supervised in the coming years by means
of random checks.
5.3 Users of refrigerating installations
Compliance with the regulations by users of stationary refrigerating installations is
poor. In 1993 the degree of compliance was 17%, and in 1995 it was 30%. It should be noted
that in 1993 the inspections were restricted to administrative requirements. In 1995 much
more extensive inspections were made. For the administrative requirements the degree of
compliance was found to be 98%; this was the only area of the regulations in which a
considerable improvement was observed. The degree of compliance with the administrative
requirements for mobile refrigerating installations improved from 15% in 1994 to 66% in 1995.
In view of the present degree of compliance it has been decided that priority will be given to the
target group of the users of refrigerating installations until the required degree of compliance
(>80%) has been reached.
5.4 Users of solvents and cleansers
The degree of compliance of this group has risen from 60% in 1993 to 80% in 1995.
In the coming year this group will not receive priority, as the required degree of compliance
(>80%) has now been achieved. From 1997 onwards the enforcement activities will increase
as a result of changes in the regulations, which will then become more stringent.
5.5 Users of halon fire extinguishing systems
No campaigns have been carried out towards this target group during the project. It is
therefore not possible to make any assessment of the degree of compliance. Information from
another source2 indicates that halon is no longer available in the Netherlands. For this reason
no enforcement activities are planned for this target group.
5.6 Trade in, and users of, insulation material
A number of random inspections at building sites have shown that insulation material
containing chlorofluorocarbons is no longer in use in the Netherlands. The required degree of
compliance has therefore been achieved, and for the time being enforcement activities are not
necessary.
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752 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
CONCLUSIONS
• The enforcement project can be considered to be a success in view of the
improvements in the degree of compliance by industry, and the level of
collaboration between the enforcement authorities.
• The Inspectorate of the Environment and the collaborating enforcement
authorities will continue enforcement of the Chlorofluorocarbaon (CFC)
Decree until the required degree of compliance is achieved.
• In the future the same general procedure will be used, i.e.
• Brief campaigns will be conducted per target group.
• Warnings will no longer be given, and instead immediate action will be
taken.
• Where possible there will be collaboration with other enforcement
authorities.
REFERENCES
1. Tijink, G.A.H. and Kesselaar, Dr F.H., Enforcement of the CFC Regulations in the
Netherlands, Proceedings of the Third International Conference on Environmental
Enforcement, Oaxaca, 1994, Vol. I, p. 492
2. CFC Action program, annual report 1994; CFC Committee, 29 May 1995, p. 40-41.
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ENFORCING DOMESTIC PROGRAMS IMPLEMENTING INTERNATIONAL AGREEMENTS 753
SPECIALTOPIC WORKSHOP O
Enforcing Domestic Programs Implementing International
Agreements
Papers on this special topic address the following issues:
• What requirements international environmental agreements include that
need to be enforced.
• What those provisions are.
• To what extent nations have made these provisions enforceable
requirements within their domestic environmental programs. What
difficulties are encountered.
• What priority enforcement of provisions of international agreements have
within domestic compliance and enforcement programs.
• Whether the agreements provide clear language as to what would
constitute compliance.
• Whether the agreements provide mechanisms and information necessary
to monitor compliance.
• What assistance is available to translate agreements into enforceable
requirements.
• What are the lessons learned. Opportunities for improvement.
1. Environmental Compliance and Enforcement: A Case of Nepal, K.P. OH 755
See related papers from other International Workshop and Conference Proceedings:
1. An Overview of Enforcement and Compliance Mechanisms in International
Environmental Agreements, S. Jajost, Q. Shea, Volume I, Utrecht, The Netherlands
2. Challenge of Enforcing the Montreal Protocol on Protection of Stratospheric Ozone, J.
Se/fz, S. Mitoff, Volume I, Utrecht, The Netherlands
3. Ocean Pollution — Protection of the Seas, R. van Dijk, Volume I, Utrecht, The
Netherlands
4. The U.S. Environmental Protection Agency Efforts to Control Ocean Dumping, T.
Davies, R. Ciupek, Volume I, Utrecht, The Netherlands
5. Enforcing Environmental Agreements Within the European Community, R. Donkers,
Volume I, Utrecht, The Netherlands
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754 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
6. The Basel Convention and its Enforcement, /. Rummel-Bulska, Volume I, Utrecht, The
Netherlands
7. The Example of the Chemical Weapons Convention, B. terHaar, Volume I, Utrecht, The
Netherlands
8. See also papers under Theme 6, Workshop N, Montreal Protocol: Enforcement of CFC
and Related Requirements
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OLI, KRISHMA PRASAD 755
ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT: A CASE OF NEPAL
OLI, KRISHMA PRASAD
Chief, Environmental Planning Program, IUCN, The World Conservation Union, P.O. Box
3923, Kathmandu, Nepal
SUMMARY
This paper deals with the present status of environmental compliance and enforcement
in Nepal. It presents the current environmental situation and reviews the international legal
instruments of which Nepal is a party for environmental conservation.
It also demonstrates Nepal's compliances with various international treaties and their
adoption in domestic law. Institutional aspects for environmental compliance in Nepal are
discussed and some of the institutional problems are identified. National legal instruments for
environmental compliance and enforcement are analyzed. Factors for successful compliance
with national and international instruments for environmental management, effective enforcement
is a prerequisite. This article provides some of the background necessary to understand the
international and national legal instruments to be complied with and enforced by His Majesty's
Government of Nepal from mid 50s to early 1990s.
1 BACKGROUND
One of the least developed landlocked countries in the world, Nepal is situated between
the two Asian giants, China in the North and India in the south, east and west. It has an estimated
per-capita income of US $170 with gross domestic product (GDP) growing at the rate of 3%.
The population growth is estimated to be 2.5%. While considering this population growth and
GDP of 3%, the country's economy has been stagnant leading to several hardships and social
and environmental problems.
The official estimated poverty incidence rate is about 50% and this is increasing.
Poverty rate and major socio-economic indicators have concluded that Nepal will face
formidable challenges for attaining higher growth and improved standards of living for its 20
million inhabitants.1
Nepal is characterized by widespread poverty, high population growth, poor
infrastructure development in the hills and mountains and unskilled labor force. This has
exacerbated its desire to be transferred from a subsistence - agrarian economy to a modern
commercialized one. With poor economic base and institutional capacity, the development
challenges are indeed formidable.
Despite challenges, there are some positive indications that Nepal could make rapid
strides for development, provided there is a strong will and commitment to do so. This demands
international, national and local level compliance, implementation and enforcement of desirable
actions for the respective areas. Compliance is also needed in order to assist Nepal fulfil its
global commitments to the environment from the developed countries.
Nepal is famous for its Himalayas, biodiversity and cultural sites. The country has a
total surface area of 147,181 sq. km. about 0.1 percent of the total world's land surface and
comprises over 2 percent of the world's flowering plants. The existing land use is shown in
Table 1. There are an estimated 5400 vascular plants including more than 700 medicinal plants.2
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756 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The country is unique for its climatic and physiographic condition. It has tropical climate to
tundra towards the Himalayas. Because of its wide climatic and altitudinal variation from lower
than 70 m to the highest peak on earth, it has the largest natural sanctuary in Asia and perhaps
in the rest of the world. There are an estimated 200 species of mammalians, 858 species of
fish and 614 species of butterflies.3 The total species may be more than what has been recorded
because many plants and animals have yet to be identified. In order to conserve and protect
Table 1. Land Use in Nepal
Forest land
Shrubland and degraded forest
Grassland
Farm land
Snow and ice cover
Water body
Uncultivated inclusion
Others
Total
Sq. Km.
55,180
7,060
17,450
30,520
22,460
4,000
9,980
830
147,480
%
37.4
4.8
11.8
20.7
15.2
2.7
6.8
0.6
100.0
Source: Land Resource Maping Project (1985/86), HMG, Nepal.
this biological diversity, an estimated 14% of the total land mass of the country has been declared
as protected area and National Parks. There are an estimated 2150 heritage sites within
Nepal.
Nepal is rich in water resources. An estimated 18% of the total annual precipitation is
turned into snow. It has abundant water resources in 22,500 sq km of snow and ice cover which
provides perennial source of water for the major river system. There are 80 glaciers, 17 glacial
and 40 Oxbow lakes, 11 hot springs.4 Presently, 6000 big and small rivers carry an estimated
174 billion cubic seconds of water run-off into the Indian plains from Nepal.5
While there still is a wide ecological system operating independently in Nepal, the
increased human pressure is a serious threat for its conservation. Therefore, environmental
compliances and enforcement is needed. The government's policies are also geared towards
reducing widespread poverty, combating threats to the environment and promoting social
equality, democracy and human rights.
2 INTRODUCTION
Nepal is in the midst of a number of fundamental changes. As stated earlier more
people are added each year than ever before. Similarly human activity has been increased
greatly which has had a greater impact on environment. The vegetation and other species are
going extinct at an unprecedented rate.
After the establishment of multiparty democracy in 1990, there is a political
sensitization within the people. This sensitization process is increasing. As a result, people
are becoming more conscious about the environment. It is now widely accepted that the
important wealth of the country is contained in biological diversity, living natural forests, the
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OLI, KRISHMA PRASAD 757
Himalayas and the plains. Mountains, wetlands, habitats and natural services to the agricultural
system such as nutrient recycling and other environmental factors are regulating through the
ecological process and are contributing towards maintaining the production system.
Many of the biological resources found in Nepal have a high market value. Their
sustainableuse could help the rural people as well as the country. Effective management system
can ensure that biological resources not only benefit us, but in fact increase while they are
being used. This provides the foundation for sustainable development and secures national
economics.
In this direction, the world charterfor nature emphasizes the right of species to survive.
Because the diversity of life is important for the functioning of ecosystem and provides the
genetic foundation for adaptation to the future changes, it is important to protect them.
Presently, countries are tied up closely by the economics and trade. They are however
divided by inequity. Sustainability of any country depends on the stabilization of its population
growth at which it is balanced with its resources. But this is not easy to achieve in a country like
Nepal. Therefore environmental compliances and their enforcement seems very crucial.
In the following section of this paper an attempt is made to investigate and discuss the
measures taken by Nepal towards environmental compliance and their enforcement in the
environmental management. A case study of Phewa Lake in Pokhara Valley of Nepal on lack
of compliance and poor enforcement of legal instruments is presented.
3 MEASURES TAKEN TOWARDS ENVIRONMENTAL COMPLIANCE AND
ENFORCEMENT
For the past decade, we have been subjected to a wealth of information regarding
environmental degradation in Nepal. The degradation was largely due to deforestation which
is often seen to be the terminal problem unless some drastic action is.6 The World Bank in
1980 calculated that if the present rate of deforestation continues, all accessible forest in the
hills of Nepal will disappear in 15 years, i.e. by 1995 and in Terai within 25 years, i.e. by 2005
(cited by Gilmore 1992, from Manandhar 1980). We are now completing 1995 and only 10
years are left to reach 2005. New trends of forest rejuvenation process are emerging unlike the
prediction made by The World Bank. The commonly perceived view is often misrepresented
and there are certain local level mechanisms for the sustainable use of natural resources which
has kept the forest and the entire ecosystem intact.
Over the past decade, the response to environmental management in Nepal has been
positive. Although it is based on solving crises, the trend is to establish compliance according
to what the local needs are and the national and international community have taken initiatives
in environmental conservation. This compliance, however, does not necessarily involve the
formulation and promulgation of legal measures for environmental conservation, but a voluntary
commitment toward environmental protection and conservation. This is accelerated through
the governments' commitment and its responsibility towards conservation.
While the government's trend is directed towards environmental management, several
commercial industries were also established. Most of them are environmentally unfriendly and
are seldom prepared to comply with the legal instruments despite legal requirements and
practically adopt them due to their cost implications. Therefore there remains a considerable
skepticism in order to comply with the legal instruments applicable to such group of
environmentally unfriendly activities.
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758 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The industries are established in the urban centers where the majority of the people
live. Pollution levels have been significantly increased. The government has recently developed
strategy to move the industries away from the urban centres. This strategy is quite attractive
and complies with the environmental policies, however, due to practical implementation
problems such as the rise in transportation cost and government's inability to make subsidies
for transforming industries to the specified area, some of the policies are not complied with in
reality.
The environmental compliance is a "win-win" approach and in the rural areas it is
highly appreciated. Nepal has undertaken various measures both for environmentalcompliance
and enforcement. The treaties, agreements, memoranda of understanding signed at various
international conventions, the legal commitments at the national level are all geared for
environmental compliance. The command and control regulations with respect to the
environmental conservations have been in practice for many years in Nepal. Particularto forest
conservation, the government has established legal provisionsand been enforcingthem through
its own mechanisms and prosecuting in the court for serious breaches. Despite this, there are
enforcement cases. Traditionally a comfortable accommodation between the regulators and
the regulated is reached, with low penalty and rare "enforcement."7 Government is under-
resourced and incapable of prosecuting except in extreme circumstances. Compliance is thus
"negotiated."Therefore environmental compliance and enforcement in Nepal has to experience
many ups and downs from policy formulation to the enforcement level.
3.1 National policies
The increasing rate of development has resulted in previously unseen threats to the
environment. Population growth, resource consumption and technological changes are
responsible for these unseen threats. The problems are not confined within the political boundary.
The deterioration of environmental quality pervading through wider areas is threatening the
regenerative ecosystems. The fundamental link between environmental protection and
economic development and threatened ecosystem was first officially recognized at the 1972
declaration of the United Nations Conference on Environment and Development (UNCED,
1972). This declaration assisted in the establishment of United Nations Environmental Program
(UNEP).
Since the Stockholm Declaration, various strategiesfor the environmental management
were developed. As a result the World Conservation Strategy (WCS) was endorsed and guided
the formation of the National Conservation Strategy (NCS). Nepal complied with the preparation
of the Strategy and finally in the year 1988 it was endorsed by His Majesty's government
(HMG) of Nepal.
Since then, His Majesty's Government of Nepal's policy on the environment has been
broadly stated in a number of documents. The environmentalconcern has also been augmented
in the constitution of the kingdom of Nepal. Consequently the Eighth five year plan of Nepal
(1992 - 1997) accentuated direct participation of the people in the management of natural
resources and in the implementation of environmental programs.8 It also appealed to the
incorporation of preventive and mitigatory measures in the planning stage of development
projects, and for the integrationof a comprehensivelegal frame work for environmentalconcerns
into development process. For the development of appropriate pollution standards and
guidelines, a series of studies is proposed. The conservation and promotion of Nepal's Natural
and Cultural Heritage is emphasized.
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OLI, KRISHMA PRASAD 759
At the time when the eighth five year plan was being implemented, His Majesty's
Government of Nepal took another policy initiative for environmental management. Nepal
Environmental Policy and Action Plan (NEPAP) was prepared and endorsed by Environmental
Protection Council of Nepal.9
Thus there seems to be a growing awareness among policy makers and the people
on the injuriouseffects of environmentaldegradation.The implementationof a series of National,
Sectorial and Subsectorial plans and programs and creation of number of conservation related
institutions clearly indicates Nepal's commitment towards environmental conservation.
The Agenda 21 adopted by the United Nations Conference on Environment and
Development held in Rio-de Janerio in 1992, outlines the strategies to halt and reverse the
effect of environmentaldegradation"in the context of increased national and international efforts
to promotesustainableand environmentallysound developmentin all countries."It recommends
a wide range of policy strategies and actions encompassing major environment-related issues
that member countries need to address from the National and International perspective. As far
as practicable, Nepal has addressed the issues raised in Agenda 21 that are of particular
relevance to Nepal.
3.2 Legal system
The adoption of international policies in domestic environmental management is a
step toward environmental compliance. As the policies are adopted, the national legal systems
are also forged accordingly. Internationalenvironmental law and the domestic law are interwoven
to the extent it is desired. This happens due to the increased interrelationshipbetween countries
in their trade industrialization and concerns of international communities towards unimpaired
environment. The international legal instrument provide norms, standards which can be adopted
by states as a guide to national law and policy making.
The constitution of the kingdom of Nepal 1990 conforms with the aforementioned
policies. Article 26 clause (4) reads that "the state shall give priority to the protection of
environment and also to the prevention of its further damage due to physical development
activities by increasing the awareness of the general public about arrangement for the special
protection of the rare wildlife, the forest and the vegetation." Thus the state has committed to
environmental management. Prior to this constitution, there were sectorial laws and bylaws
covering wider areas of environmental conservation, though they were not part of a single
environmental act.
Legal instruments for environmental management with binding obligations commonly
have originated from international level as treaties, local customs and needs. The treaties
were signed and ratified. The most desperate and practical ones needed for the country are
adopted after ratification.
In 1958, Nepal participated for the first time in the multilateral negotiation of the law of
sea held in Geneva. It ratified only one, "the Geneva Convention on the High Seas" in 1963 and
signed all 4 Conventions by reason of the fact that ratified treaties are only legally applicable in
the domestic law. Since the inception of environmental management policy and treaties, Nepal
has complied with and enforced them at the domestic level. However, there are a number of
legal measures for the ratification and implementation of the treaties through the national legal
system in Nepal.
The procedures are related to constitutional provision and statutory implementation
measures. Under the constitution of the kingdom of Nepal Article (126) the treaty that requires
ratification, accession to, acceptance of or approval of a majority of two-thirds of the members
of lower and upper house in the joint sitting of the parliament. It is also necessary to get approval
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for any treaties including natural resources, their distribution and their uses according to article
126 clause (2), subclause (d) of the constitution. Any treaties of ordinary nature which do not
affect the nation extensively, seriously or in the long term, the ratification of, accession to,
acceptance of or approval of such treaty or agreement may be carried out at a meeting of the
house of representatives by a simple majority of the members present. The examples of such
issues are that the biodiversity and climate change conventions which are passed by a simple
majority.This explainsthat the legal system is evolved in Nepal in conformancewith international
legal instruments in environmental conservations. The ratified treaties are implemented through
national legal instruments.
Afterthe treaties have been approved or acceded to through the parliamentary process,
the next step for the state is to incorporate and internalize the treaty obligation into the domestic
laws. The Nepal Treaty Act of 1991 determinesthe inclusion of the treaties in which His Majesty's
Government of the Kingdom of Nepal is a party in the domestic law to the level where the
treaties are inconsistent to the Domestic Act Section 9(1) of Treaty Act 1991. The Act provides
primacy of international treaties over the National laws. The Act also stipulates the procedures
in section 9, subsection 2, in treaties which are not ratified, approved or acceded to by the
parliament, creates any additionalobligations, His Majesty'sGovernmentof Nepal should initiate
the proceedings toward enacting law soonest. Upon approval from the parliament, the
government is required to compulsorily publish those treaties which are ratified, acceded to,
approved or accepted. It is also required to publish these treaties in Nepal gazette within 60
days of ratification, accession, acceptance or approval.
Although Nepal has no uniform approach to the adoption of treaties into the municipal
law, there are some methods which are followed here. For example, statutory incorporation of
the whole text with or without reference to the international treaty, partial incorporation or
adjustmentof treaty provisionsin a statue withoutgiving reference to the treaty and incorporation
of a treaty provision in delegated legislation without giving reference to the treaty may be
followed.
There are a number of cases in which treaties have been incorporatedthrough statutory
merger. For example, The Vienna Convention on Diplomatic Relations entered into force. The
provisions of this treaty were incorporated into the Foreign State and Diplomatic Representative
Facility and Immunity Act 1970. Similarly, for the establishment of the International Center for
Integrated Mountain Development (ICIMOD) in Nepal, it included its agreement under the Act
of 1983. This Act was promulgated with reference to the agreement reached between His
Majesty's Government of Nepal and UNESCO on September 30, 1981 in Paris on the
establishment of the International Centre for Integrated Mountain Development.
From the above, it seems that International Treaties, and agreements relating to
Environment and other matters are transferred to the municipal law in Nepal through statutory
construction and through the constitutional provisions stated in section 126 of the Constitution
of the Kingdom of Nepal. It is, however, important to note that Nepal is not yet matured to fulfil
the obligations arising from the treaties. It has committed to implement major areas which
have compliance and enforcement provisions.
With respectto the status of treaty provisions in the National Courts, the unincorporated
treaties in the domestic law have no formal standing before the court.
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OLI, KRISHMA PRASAD 761
3.3 Nepal's adoption of international treaties and conventions related to
environmental management
Nepal is a member country of the United Nations. Nepal has membership in regional
organizations such as South Asian Association for Regional Cooperation (SAARC), South
Asian Cooperation Environmental Program (SACEP) and International Center for Integrated
Mountain Development. These affiliations and domestic initiatives have made Nepal a party to
a number of international environmental instruments.
Nepal has became a signatory to a number of treaties relating to Environmental
Conservation (the protection of biodiversity, habitats and national heritage). There are four
major treaties of which Nepal has strong commitments. They include:
• ConventiononWetlandsof Internationallmportanceespeciallyas waterfowl
habitat (Ramsar Convention, 1975)10
• UNESCO Convention Conferring the Protection of the World Cultural and
Natural Heritage (World Heritage Convention, 1972).
• Conventionon the InternationalTrade in Endangered Species of wild fauna
and flora (CITIES), 1973.11
• U.N. Convention on Biological Diversity (1992).12
With respect to compliance with the above international environmental conventions,
Nepal has acceded to The World Heritage Convention on 1973, the Convention on International
Trade in Endangered Species of Wild Fauna and Flora (CITES) on 1975, Ramsar Convention
on 198813, and Convention on Biological Diversity on 1993. Besides these Nepal has ratified
Vienna Convention, Montreal Protocol and Climate Change Convention in 1994. From the
above it is apparent that Nepal has compliance on Environmental Management at the
International Forum.
However, although Nepal has acceded to a number of treaties, conventions and
protocols, with respect to national law, His Majesty's Government of Nepal has not yet
satisfactorily recognized the optimal fulfillment of their obligations. Legal instruments adopted
to date to meet the above are briefly explained below.
3.4 National legal instruments for environmental compliance
3.4.1 Wetlands conservation
The Ramsar Convention is an intergovernmental treaty providing a framework for
international cooperation for the conservation of wetland habitat. The broad objective of this
convention is to reduce the loss of wetlands and to ensure their conservation. It entered into
force in 1975 with seven parties. At the end of 1992, there were 71 contracting parties. In
Nepal, the notion of conservationof wetland habitatwas entered into force afterthe promulgation
of Aquatic Animal Protection Act 1961. This Act has recognized the value of wetlands and
aquatic animals. With increasing human population, the fragile hills, mountain and watershed
areas began to degrade leading to floods, siltation, heavy soil erosion, water logging and
salinity in the irrigated areas. To nationally tackle this problem and for proper management of
Watershed, Soil and Watershed Conservation Act was enacted in 1982.
This Act empowered His Majesty's Government of Nepal to declare any area which
needs immediate conservation as protected watershed area limiting the hostile activities within
the area. The Act also discharged responsibilityto the conservation officer interalia in protecting
vegetation in landslide prone areas and revegetation, regulation of environmentally friendly
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762 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
agricultural systems and where needed construction of checkdams, embankments, retaining
wall and terrace improvement in the hills. After the enforcement of the Act, several watershed
projects were implemented with varied degree of success.
In addition to the above, the corollary to the Ramsar Convention, National Parks and
Wildlife Conservation Act 1973, Water Resources Act 1992, Electricity Act 1992 were
promulgated and enforced. The National Parks and Wildlife Conservation Act 1993, has defined
wildlife and ascertained the list of protected wildlife. The fourteen national parks and protected
areas of Nepal are complementing for the protection and conservation of waterfowls and their
habitats. Punitive measures have been arranged through the Act for the illegal acts performed
within the area.
The Water Resource Act 1992 provides the ownership of water resources within the
Kingdom of Nepal. For the use of water bodies the act strivestominimizeenvironmentaldamage
to wetlands, lakes and rivers through environmental impact assessment studies. The act also
empowers His Majesty's Government of Nepal to fix necessary quality standards of water
resources for various uses and preventing pollution in water bodies. Similarly, the Electricity
Act 1992 forbids negative impact on the environment while generating electricity.
These legal measures are promulgated and enforced with a view to conserving
wetlands and allowing their further augmentation. After the convention, "Koshi Tuppu" in the
eastern plains of Nepal was designated as a wetland site. Although a single site is insufficient
while many wetland areas of the countries are considered, this site, however, was a start.
These legal initiatives have contributed to the protection of wetland fauna and floras. They are,
however, by far insufficient and there is a considerable scope for further expanding the wetland
conservation legal instruments.
3.4.2 Heritage conservation
The World Heritage Convention entered into force from 1973. The concerning parties
to the Convention recognized that "deterioration or disappearance of any item of cultural or
natural heritage constitutes a harmful impoverishment of the heritage of all the nations of the
world and, furthermore, asserts that parts of the cultural or natural heritage are of outstanding
interest and, therefore, need to be preserved as part of the world heritage of mankind as a
whole"14.
The convention is an inducement to the nations to take long term perspective in
protecting the environment.15. After the approval of the Treaty on Heritage Conservation in
Nepal, Seven Cultural and Natural Heritage Sites have been inscribed in the world heritage
list.
For the conservation of natural and cultural heritages, Nepal has been successfully
fulfilling its obligation through the promulgation and enforcement of Ancient Monument Act
1956, National Parks and Wildlife Conservation Act 1972, King Mahendra Trust for Nature
Conservation Act 1982 and Forest Act 1993. Nepal's Natural Heritage is protected under
National Parks; the Royal Chitwan National Park and Sagarmatha National park are world
heritage sites where natural heritages are protected. In addition, there are 5 cultural heritage
sites listed in world heritage sites lists. The Ancient Monument Act 1956 contains regulatory
mechanism to ensure the protection and conservation of cultural heritage and to restrict the
National or International trade of Archeological and Antique objects. This Act remained long
before the heritage convention. The Act has empowered His Majesty's Government of Nepal
to confiscateancient monuments located in private property. Similarly, for other natural heritages
conservation, King Mahendra Trust for Nature Conservation Act 1982 and Forest Act 1993
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OLI, KRISHMA PRASAD 763
has empowered community and His Majesty's Government of Nepal. The promulgation and
enforcement of these Acts is significant in complying legal obligation under the Heritage
Convention.
3.4.3 Convention on the International Trade In Endangered Species (CITES)
Nepal became a contracting party in this convention in 1975. This convention provided
for the international coordination of trade and control of wild fauna and flora whose conservation
status is unfavorablethroughthe acceptance of obligations under international law. The objective
of the treaty is to arrest, reduce or eliminate the international trade in those species whose
numbers or conditions suggests further removal of individuals from its natural habitat and the
activities that would be detrimental to the species survival.16
Prior to the convention, on the control of trade of wild fauna and flora, National Parks
and Wild Life Conservation Act 1973 was enforced in Nepal. This provided a regulatory
mechanism to conserve endangered species and their habitats indirectly restraining the trade
of such species. Hunting of such animals are circumscribed. The Forest Act 1993 further
emphasized the control and management mechanism of forest species and endangered fauna
and flora.
3.4.4 The convention on biological diversity
The objectives of the biodiversity convention was to conserve the flora and fauna useful
to human being and for the Sustainability of ecosystem. It is also important for the maintenance
of life supporting systems of the biosphere. The Nepalese parliament ratified the convention
on 1993 and has taken policy and legal measures for the conservation of biodiversity in
compliance with the convention. As has been explained earlier, the National Conservation
Strategy Implementation Project run jointly by IUCN, The World Conservation Union and the
National Planning Commission of Nepal and Department of National Parks and Wildlife
Conservation are the leading agencies toward developing policies relating to the biodiversity
conservations. As regards the legal instruments, Aquatic Animals Protection Act 1961, National
Parks and Wildlife Conservation Act 1973, Water Resources Act 1992 and Forest Act 1993
are promulgated and enforced. There is sufficient legal ground for the conservation of aquatic
and other forms of biological diversity both in ex-situ and in-situ.
The Aquatic Animals Protection Act of 1961, provides legislative insulation for the
habitats of aquatic life and provides punitive actions to the culprit involved in the poisoning of
aquatic life, by using explosives into the water source of aquatic life origin. Similarly, the National
Parks and Wildlife Conservation Act 1973 prohibits inter alia hunting, building houses and any
structure, cultivation, grazing, watering domesticated animals and birds, mining and firing any
site or sites within the protected area. The Forest Act 1993, has empowered department of
forest and Department of National Parks, a lead agency for the conservation of biodiversity.
The compliance for the enhancement of the environmentby His Majesty's Government
of Nepal in devising legal instruments is appreciable. The legal provisions to a large extent are
enumerated from the needs. They are also evolved to attract funds for the conservation of
resources.
Several provisions under the conventions are, however, inequitable for the poor
countries. When it comes to the equitable benefits, as a result of the compliance of treaties
and conventions for environmental management, the developed countries are mostly benefited.
Countries like Nepal have no basic infrastructure to work with the genetic resources. It has an
indigent research facility, access to technology and limited scientific coordination. There is
potential benefit to be gained as a result of environmental compliances. Presently, however,
these gains are confined.
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764 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Efforts to conserve biodiversity include the establishment of National Parks and
Protected Areas. The system of National Parks and Protected Areas helps to conserve
biodiversity in-situ. Presently, there is an estimated area of 29,273 km2 under National Parks
and Protected Areas. However, outside the protected area, efforts to conserve endangered
species are very low, with the exception of one Zoo for ex-situ conservation even the National
Park System are not well harnessed. Despite environmental compliance at the international
and national level, there has been limited action to properly monitor biodiversity programme in
Nepal.
3.4.5 Other treaties and conventions
Nepal is a party in other agreements and treaties. The Geneva Convention on High
Seas had took place in 1958, in which Nepal became a party in 1965. Treaty on Banning
Nuclear Weapons Tests occurred in 1963 and Nepal became a party in 1964. Treaty on
Principles Governing the Activities of States in Exploration and Use of Outer Space Including
the Moon and Other Celestial Bodies was made in 1966, in which Nepal became a party in
1967. Treaty on the Nonproliferation of Nuclear Weapons was made in 1968, Nepal became a
member, in addition to the above treaty, on prohibition of the emplacement of nuclear weapons
and other weapons of mass destruction of the sealed and ocean floor and the subsoil thereof
was signed in 1971 and Nepal became a party in 1972. Similarly, the Agreement on International
Tropical Timber, the Bangkok Agreement on the Network of Aquaculture Centre in Asia and
the Pacific was reached in which Nepal became party in 1990. A Majority of these treaties
listed above are applicable to the countries situated near ocean, or having nuclear facilities,
and having highly advanced form of technology. For example, Nepal has not ratified them as
yet. They may be ratified when deemed necessary. As many of the above treaties are applicable
in the activities of states involved in exploration and use of sea, space and nuclear weapons
and those also are afraid of other human beings, it does not seem necessary for Nepal to
develop a National Act incorporating these principles as yet.
The rapidly expanding international and national legal instruments are certainly a
positive move towards greater environmental conservation. The incorporation of the various
provisions within the national legal system has shown Nepal's sincere commitment to
safeguarding the deteriorating environment.
For example, in trying to foster the international treaties, one of the most important
character, is the ratification of international treaties within national systems. In order to control
the spread of the plant disease through the seeds, root stock and any other forms of stem
countries within the South Asia and Pacific Region an agreement was reached in 1956 and
Nepal became a party in 1965. Consequently, to comply with the treaty Nepal promulgated
Plant Protection Act 1972.
4 INSTITUTIONAL ASPECTS
Parallel to the growth of environmental management and regulatory provisions,
decision-making structures are also needed. This demands efficient institutional systems for
formulating policies, strategies, plans and programs. At the same time, constitutional
arrangements are also required for the development of institutions. The constitution of the
Kingdom of Nepal 1990 has established a Natural Resources and Environment Committee in
the House of Representatives. This is one of the highest institutions established by the
Constitution of Nepal to oversee and legislate environmental matters.
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OLI, KRISHMA PRASAD 765
The National Planning Commission is the apex body for finalizing environmental and
development planning in Nepal. Within the Commission there is an Environmental Protection
Division functioning as a division and serving as a secretariat for the Environment Protection
Council (EPC). It was established as a subsidiary organ of the National Planning Commission.
It was established in 1992 under the Chairmanship of the Prime Minister with representation
from 12 Ministries of Government; the Natural Resource and Environment Committee of the
House of Representatives.the National Planning Commission, nongovernmentalorganizations,
and the Federation of Nepalese Chamber of Commerce, and industry.
Many national institutions play important roles in lawmaking, policy-making, research,
monitoring and supervision. The major institution created to specifically address environmental
issues is the Environmental Protection Council (EPC) and Ministry for Population and
Environment. The latter has not yet been given its clear-cut mandate because this is a newly
created institution.
With respect to environmental compliance and enforcement, the council has initiated
important activities over the past 3 years. Through its initiatives His Majesty's Government has
ratified the UN Convention on Biological Diversity and Convention on Climate Change, Vienna
Convention on the Protection of Ozone Layer. In addition, with the same initiation vehicular
emission standards have been determined and an attempt was made for its enforcement.
In addition to the apex institutions, there are line ministries which are also responsible
for planning, implementation and enforcement of environmental instruments. As has been
explained earlier, the Ministry for Agriculture, Ministry for Forest, Ministry for Industry, Ministry
of Water Resources and Ministry for Transport, Ministry for Local Development and Ministry for
Population and Environment are major institutions for the implementation of legal instrument
for environmental conservation in Nepal. Although directly or indirectly all the above Ministries
are involved, Ministry of Forest and Soil Conservation, Ministry of Industry and Ministry of
Housing and Physical Planning have set up environment planning units to oversee environment
related polices and programs. These line agencies have their respective linkages at the
regional, district and village level for planning and implementation.
With the exception of the council and the Population and Environment Ministry, the
mandate of other institutions is to carry out development related works. The mandate of the
Population and Environment Ministry is not yet clear. All the institutions have been usually
underfunded in relation to their scope and mandate, despite efforts being made to improve the
situation. A concept for raising funds to address environmental problems has been proposed.
As a result, an environmental fund has been established within the EPC but the operations
mechanism has not yet been decided.
Besides, underfunding the institution also suffers from isolation. There is lack of
interinstitutional coordination. Much more acute, however, has been the lack of institutions'
commitments to the pursuit and enforcement of Acts and bylaws. For example, a series of
seminars and workshops are arranged and policy documents for environmental conservation
are prepared but the implementation and enforcement cannot be considered satisfactory. This
is basically due to inadequate foresight and understanding of the long-term benefits of
environmental protection by the concerned institutions.
Proposals for the establishment of new institutions to deal with the environment have
frequently been mooted. The National Commission for the Conservation of Natural Resources
(NCCNR) was established pursuant to the soil and watershed conservation Act of 1982, which
has been floated and refloated. Another recent proposal includes the creation of Environmental
Planning and Monitoring Cells within each institution. There are also ad-hoc inter ministerial
commissions and independent expert review missions. Despite these, the tortuous process of
improving environmental policy and enforcement, little progress has been made, re-enforcing
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766 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
doubts on the addition of new institutions. In the existing institutions paring of bureaucracies
and funding remains problematic. This means low cost approaches are favored. These
elements are evident in the reluctance of practical enforcement by the institutions.
5 ENFORCEMENT
Enforcement is one of the major problems of effective regulation. In a situation where
the laws, bylaws and regulatory mechanism are not observed, these are ineffective. Why these
are ineffective has been seldom reviewed and necessary amendments made. The national
laws pertaining to the international conventions, treaties and agreement are available within
Nepal. For example, Aquatic Animal Protection Act 1961, mandates conservation of aquatic
life. The Act prohibits illegal killing and trapping of aquatic life. In practice there are cases in
which fresh water fish are harvested using poison, electrical devices and trapping. So far,
since 1961, not a single case of poisoning fresh water aquatic life has been filed. Similarly,
Ancient Monument Act 1956, National Parks and Wildlife Conservation Act 1973, Forest Act
1993, are all enforced by the government. These acts are enforced through injunction and
culprits are prosecuted. Despite a few odd cases, legal violation is usually unnoticed. The
government or the enforcing agency prosecutes in the courts only for the serious breaches.
With respect to enforcement of municipal law, traditionally a harmonious relation
between the enforcing agency (regulator) and the regulated has existed in the management of
environmental resources with bribes and taking low punitive actions in Nepal. Compliance has
been "negotiated" and government, departments or enforcing agencies are under-equipped.
This traditional practices have led to lawlessness and violation in environmental protection
spheres.
The present agenda of Nepal is economic development and creating employment
opportunity for the people. This has forced environmental concerns into a back side. In recent
years the trend, however, has changed and the environment is becoming a public concern. As
a result, certain legitimate complaints are beginning to be made by the people in response to
the violation of law at the local level.
The difficulty in enforcement is that it remains in the hands of government. It makes
standards and enforces them through the organization mentioned earlier. The governments
regulatory agencies are funded through the government, and such regulators are "free riders".
They are the ones who know the legal repercussion and therefore, best know how to violate.
That is why this group of people along with the politicians are harvesting the environmental
resources free of cost and are exerting power over the people. One who violates the law cannot
enforce it correctly. The legitimate concerns of the people are deprived in major cases. Almost
everything is politicized and there is little that an individual can do for the enforcement.
With respect to enforcement of different acts related to cultural and natural
environmental protection, conservation parties, the "regulators" and "regulated", have mutually
accepted the level of destruction above which it becomes transparent to all the people. Up to
that level, whatever distracting activities occur, legal measures are violated. The government
inspecting bodies seldom operate there.
The obligationsto enact measures to prevent the above is a vital part of an enforcement
system. Domestic legislation is providing greater details such as reaching to resource user
groups level and even specifying the rare and endangered species and subordinate legislation
covering whatto harvest, when to harvest, the quality to be harvested and underwhat conditions.
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Enforcement, however, remains a weakness. A case study of Phewa Lake pollution in the mid-
western region of Nepal is shown in the Annex which explains good environmental compliance
informing laws, bylaw and a complete unwillingness of their enforcement.
Control of trade in endangered species under an international permit system is a
technique employed in the Convention on International Trade in Endangered Species, and
municipal laws are enacted. Similarly, important cultural heritages are not allowed to trade
outside the country of origin. However, due to high economic incentives in such articles by the
citizen of wealthy nations, legal measures are violated and enforcement remains weak.
At the international and national level, enforcement broadly seems to be weak. This
shows that the laws are only enforced on poor and weak sectors of the world community.
Enforcement can be seen at the local level, where traditionally the laws are self enforcing. It is
the individuals who take the measures required by regulations under such situations. All they
need is to be convinced that the measures are right and necessary in their own interest, their
country's interest and the wider interest of internationalcommunity17. This is especially important
in resource conservation areas.
6 CONCLUSIONS
After 1950, Nepalese Constitution and legal system has undergone many changes.
During this period, Nepal has signed on many international and regional treaties, protocols
and agreements. In Particular to environmental conservation and management, Nepal has
clear commitments to the treaties which are ratified and has incorporated into the national
legal system. These initiatives has resulted in Nepal becoming a part and parcel of implementing
international obligations.
In order to monitor and follow-up to the legal instruments applied to environmental
conservation, a strong institutional base is very urgently needed. Most of the institutions are of
recent origin. Therefore, in many cases when enforcement is thwarted, it is due to: a) poor
institutional infrastructure; b) lack of institutional decentralization; and/or c) shifting
responsibilities from one institution to the other which does not fulfil the obligations in reality.
Since the establishment of treaties and the promulgation of national legal measures
to comply with the treaties, the list of rare and endangered species has been prepared. The
difficulty however, is that whether the aforementioned species are still endangered or rare is
never scientifically monitored. Thus surveillance of the legal instruments both internationally
and nationally are lacking.
Similarly, during the signing of international treaties, few sites are included for example,
Ramsar Site Koshi Tappu in Nepal and became the international site, despite many more
important sites that need to be included in the list. The parameters for a site to be an international
site needs to be carefully examined and where needed more than one needs to be included.
For the conservation of cultural and natural heritage, each party is required in so far as
possible inter alia to incorporate requirements into comprehensive planning. This in many
situations is lacking. For example, there are several world heritage sites in the Kathmandu
Valley which need to be placed in the list of world heritage in danger.
The national institutions for implementing legal instruments such as The Natural
Resources and Environment Committee in House of Representatives, the Environmental
Protection Council (EPC) and line ministries have existed in Nepal. Some establishments are
olderthan the others. These institutionssufferfrom lack of training, initiativesand other resources
and, therefore, have remained defunct.
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768 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Despite Nepal's obligations under Convention on International Trade of Endangered
Species (CITES), the poaching and trade of rare wildlife specimens continues unabated.
There is ample evidence that rhinos and tigers are killed, and bears are illegally hunted for
their hides and bile, which are smuggled to Hong Kong and, ultimately, Taiwan. Similarly, there
is no reported case of the prosecution for the breach of violating Aquatic Animals Protection
Act 1961.
From the analysis, it is apparent that compliance with international commitments is
highly ineffective in Nepal. Enforcement at the local level is considered so poor that the
enforcement problem makes compliance low. There is no single legal instrument for protecting
degrading environmental situation. This shows poor enforcement and surveillance both at
national and international level of the legal instruments.
Finally, it is importantto note that Nepal has commitmentto environmental conservation.
An analysis of the monitoring procedures for the implementation of national legal instrument
suggests that the existing regime is not efficient enough for the enforcement of the treaties
signed at the international level and measures taken in the municipal law. Strong surveillance
and enforcement is required to comply with the environmental conservation if the legal
instruments are to be made meaningful.
REFERENCES
1. National Planning Commission, His Majesty's Government of Nepal and Ministry of
Foreign Affairs, Government of Finland (1995). Identification for an Environmental
Sector Program under cooperation between Nepal and Finland. Draft Report., Singha
Durbar, Kathmandu, Nepal.
2. Shresta, T.B. and Shakya, P.R. (1993). Human Impacts on Biodiversity in Nepal
Himalaya. Paper presented at XV International Botanical Congress. Yokohama, Japan.
3. Shresta, A.P. (1991). Water Resources and Energy. In: Hydropower in Nepal: Issues
and Concepts of Development Resources, Kathmandu, Nepal.
4. Sharma, C.K. (1992). River Systems of Nepal. Nepal Heritage Conservation Society,
Kathmandu, Nepal.
5. Dhungel, S.K. (1995). Aspects of Wild Life Conservation in Nepal, Past and Present.
In: Green Energy, Summer Issue 1 (I). 5-8 pp.
6. Gilmore, D.A. (1992). Not seeing the trees of the forest. A reappraisal of the
deforestation crises in two hill District of Nepal. In: Reading in Social Forestry and
Natural Resources Management in Nepal. Messerschmidt, D.A. and Navin K. Rai (ed).
Research Support Series No. 10. His Majesty's Government, Ministry of Agriculture -
Winrock International. Policy Analysis in Agriculture and related Research
Management. Institute of Forestry Project, Institute of Forestry, Pokhara, Nepal.
7. Cunningham, Neil (1994). Beyond Compliance Management of Environmental Risk. In:
Environmental Outlook Law and Policy. Ben Boer, Robert Fowler & Neil Cunningham
(ed). The Federation Press, Australian Center for Environmental Law, 254-278 pp.
8. National Planning Commission (1992). The Eight Plan. His Majesty's Government of
Nepal, Singh Durbar, Kathmandu, Nepal, 85-99 pp.
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OLI, KRISHMA PRASAD 769
9. EPC (1993). Nepal Environmental Policy and Action Plan. Integrating Environment and
Development. His Majesty's Government of Nepal, Singh Durbar, Kathmandu, Nepal, 1-
80 pp.
10. U.N. (1975). Convention on Wetlands of International Importance Especially as
Waterfowl Habitat (Ramsar). Enforced 21 December 21,1975. Amended by protocol of
1982, enforced (1986); 1987 amendments, not enforced.
11. U.N. (1973). Convention on the International Trade in Endangered Species of Wild
Fauna and Flora.
12. U.N. (1992). Convention on Biological Diversity. Enforced December 1994.
13. Veil Koester (1989). The Ramsar Convention on the Conservation of Wetlands. Alegal
analysis of the adoption and implementation of the convention in Denmark. Ramsar
Convention Bureau, IUCN and Switzerland.
14. UNESCO, 1973. Convention concerning the protection of the World Cultural and
Natural Heritage Sites. Preamble.
15. Suter, K.D., 1991. The World Heritage Convention. Jer. of Environment Plans and Law
Vol. 8 (4).
16. Favre, D.S., 1989. International Trade in Endangered Species. A guide to CITES,
IntroductionXVII.
17. Birnie, P., 1992. International Environmental Law: Its adequacy for present and future
needs in the international policies of the environment. Andrew Hurrel and Benedict
Kingsbury (ed). Clareneon Press - Oxford. 51-85 pp.
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770 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
ANNEX1
CASESTUDY
The Environmental Problems of Phewa Lake in Nepal
1 BACKGROUND
Pokhara is one of the most rapidly growing cities and also the second most visited
tourist place in Nepal. Because of its natural beauty with spectacular views of Annapurna
Himalaya range and with Machhapuchhre peak standing very close by (only 28 km), it is a
popular tourist destination. Apart from the views of mountain from Pokhara, it is also famous
for its Phewa Lake.
1.1 Location and size
Phewa lake watershed is located in south western corner of the broad Pokhara Valley
(28° 7' N to 28° 12' N latitude and 84° 5' E to 84° 10' E longitude) which falls on a relative
subsidencezone in between the Greater Himalaya and the Mahabharat Range. Administratively,
this watershed area is spread over, partially or fully, the jurisdiction of six Village Development
Committees (Sarangkot, Kaskikot, Dhikurpokhari, Bhadaure Tamagi, Chapakot and Pumdi
Bhumdi) and the south western part of Pokhara Municipality under Kaski district (Watershed
Area). The watershed area forms an unique geographical entity and represents the typical
characteristics of the mountain environment. It covers an area of approximately 123 km2 and
the length and width of this east west oriented watershed is about 17 and 7 km, respectively.
Out of this total area, 4.43 sq km surface is under Phewa lake water. The average recorded
depth of the lake is 8.6 m with its maximum depth of 19 m.
The Lake is a northwest-southeastrunning valley. It lies about one kilometer southwest
of Pokhara Town at an altitude of 793 metre although the lake level varies seasonally depending
on the withdrawal of water for power generation 1,000 Kilo Watt (KW) and irrigation purpose
and water inflows. It extends about 4 km northwest to southeast and it is about 2 km at its
widest and only a 100 metre at its narrowest. The surface area of the lake is about 443
hectacres. The reservoir storage capacity is 46 million cubic meters.
1.2 Landform
The landform of the Phewa watershed is formed by complex and rugged ridges and
spurs and valley bottoms. The hill terrain and valley bottoms stand out as distinct features in the
landscape. The hill system is criss-crossed by a number of irregular ridges and spurs.
The south facing slopes of watershed are comparatively gentler (around 30 to 50
percent) than the north facing slopes (above 50 percent). Panchase is the highest site (2,508
m) of the watershed. The lake was obviously formed by the damming up of the tributary system
by the overflow of superficial gravels along the main Seti Valley. Phewa lake has been enlarged
by damming for irrigation and power generation. Harpan Khola draining Phewa Lake makes a
sharp southeastern turn on meeting the western edge of the plain and now joins with another
stream called Phurse Khola, the tributary of Seti.
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OLI, KRISHMA PRASAD 771
1.3 Climate
The Phewa watershed area falls in humid subtropical monsoon region. It is
characterized by moderate temperature (mean temperature peak in July-August 25.5 °C and
falls to minimum in January 13.2 °C, heavy monsoon rainfall (the mean total annual rainfall is
3,710 mm) and distinct seasonal variations.
1.4 Wild and aquatic life
There are 17 different types of native fish and 4 different exotic fish, 6 species of
amphibians, 14 reptiles species, 104 species of birds and 34 species of mammals in the
Phewa lake watershed area. Out of 104 bird species, 14 are migratory and others are residents.
1.5 Land use
Pressure has greatly increased along the lake bank east of the dam of the lake. Rough
roads and poorly constructed small houses have been built, except on land acquired by the
government. Similarly, the area along Phirke Khola has been extensively used for building
construction. Government buildings, such as the Municipal Guest House and the Armed Police
Office and Quarters, as well as squatter settlements, are located near the Phirke Khola area.
In spite of the standards fixed for urban growth in the area of the lake, uncontrolled
construction has increased since the 1989 Movement for Democracy. Urbanisationis increasing
throughout the Pokhara Municipality and Phewa lake area and has negatively impacted on
facilities such as drinking water, roads and the drainage system. Growing urbanisation has
also adversely affected the urban area amenities and tourism around Phewa lake by causing
noise pollution, narrowing of the pathways, water pollution and uncontrolled sewage.
Unsightliness has also increased due to man-induced process.
Local people claim that the increase in hotel construction and other development
activities in the southwestern part of the lake (except Raniban), in Anadu and the area to Simle
and beyond, has contributed to the lake pollution and caused wildlife habitats to deteriorate. In
addition, the pressure of development has had a negative effect on land use in areas near
Phewa Lake and has begun to adversely affect tourism.
Settlements are irregularly and unevenly distributed. The site locational patterns of the
settlements are mainly determined by topography and such factors as water availability for
drinking purpose than other climatic and cultural factors.
1.6 Socio-economy
The watershed area is one of the densely populated areas in the hills. The total
population of the watershed was 31,578 (excluding town population) in 1991. The town
population is estimated to be more than 3 times of the watershed area. In this total, the percentile
share of male and female is 49.7 and 51.3 per cent, respectively. The average family size is
six as shown by the socioeconomic base-line survey of Phewa watershed. The population
density accounted for 258 persons per km2. This density further accounted for agriculture and
forest land that is 912 and 586 persons per km2, respectively. The average population growth
rate is about 3.84 percent. This rate of growth is relatively higher compared to other hill areas
of Nepal. It is particularly due to the score of highest growth rate by Pokhara Municipality among
the various Municipalities of the country. In fact, it is due to the highest influx of people into
Pokhara from hill districts of the region.
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772 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Variety of caste group of people settle there. Brahman is the dominant caste group
(about 48%), followed by occupational castes (27% Damai, Kami and Sarki), Gurung (14%),
and others (11%). About 50 % of people in the watershed are literate, with the male literacy
rate approximately double to females. The level of literacy is low among the socioeconomically
backward groups.
The predominant occupation is agriculture (about 85%) followed by service (mostly
outside the country), small business activities and both agricultural and construction labor.
Agriculture includes both crop farming and animal husbandry. Business activities are mostly
confined to the lake-side and along the trekking routes. In recent years, tourism has become a
major industry, supplementing about 16% of the economy.
2 ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Lake shoreline or the area occupied by Phewa Lake has not been defined and officially
demarcated. The alluvial plain created through sedimentation process of Harpan Khola at the
entrance which provides the main inflow of water into the lake once had been submerged.
Aerial photographs taken in 1971 by Airmap (Italy) clearly shows that the area covered by the
Phewa Lake was much larger than what it is today. Attempts to define the lake area were
made in the past, but collapse of Phewa dam in 1974 which drained off much of the lake
reservoirreduced it into much smaller in area. The receding lake's shoreline which was exposed
in land was registered by adjacent landowners in their name by providing bribe and political
pressure to the government officials. This problem was further cropped up during the cadastral
survey carried out in 1975 which registered even land submerge previously underwater, thus
converting previous lake area from public to private ownership.
There are claims and counter claims for ownership of land, which is now submerged.
Once the present dam was completed in 1978 and water restored in the lake reservoir, many
people have made claims for the compensation of land submerged under lake water, it is
learned from the Irrigation Department office in Pokhara. Although legally the ownership is with
the ministry of water resources, the land ownership dispute of the lake created by the cadastral
survey in 1974 remains to be solved. This problem was created due to malfunctioning, political
distrust and corrupt behavior of both people and civil servants responsible for carrying out the
land survey and issuing land certificates. This has also happened due to government
departments overlapping and inconsistent legal provision, resulting the deteriorating conditions
of the lake.
With respect to the inconsistent legal provision, the Municipality Act of 1991 empowers
Pokhara Municipality to take necessary measures to manage garbage collection and disposal,
and pollution control from the lake shore. The Act also makes provisions for enforcing building
norms, rules, regulations and the ability to take punitive action against defaulters. Town
DevelopmentAct 1988 allows the town development committee to enforce land use and building
regulations, and implement physical development plans and programs. The Town Development
Committeealso has the authorityto take punitive action against those who ignore the regulations,
and violate the norms and standards set by the committee. Since six Village Development
Committees (VDCs) apart from the Pokhara Municipality touches the boundary of the lake,
Phewa lake is subjected to the Committees authority derived from Act of 1991. Since the
District Development Committee (DDC) is the main coordinating agency for all Village
Committees in the district, Kaski the District Committee also has authority over Phewa Lake
deriving from the Act of 1991. Phewa Watershed is subjected to the Forest Act, Soil and
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OLI, KRISHMA PRASAD 773
Water Conservation Act, Water Resources Act, and both the District and Village Committee
Acts, Municipality Act, Town Development Act, Aquatic Life Act, 1961, thus each agency
operating under their own legal mandate and caring little for others. This situation is continuous
and is one of the major causes for environmental noncompliance and poor legal enforcement
in the watershed. This resulted in the development of uncontrolled urbanisationand inconsistent
land use.
For the regulated growth of Pokhara, in 1973 Physical Development Plan was
prepared. This was adopted by His Majesty's Government of Nepal. Consequently, Pokhara
Town Development Committee was established under Town Plan Implementation Act 1972 for
implementing the plan.
Political upheaval of 1979/80, and political change of 1989 completely destroyed the
remnant of respect for land use, and building rules and regulations regarding the lakeside
area. Random and haphazard construction activities have taken place in these areas and
along the lake side, now culminating into a rapidly deteriorating environmental condition of the
lake and its environment. The same people who were against the spirit of 1973 plan regarding
the lake side conservation concept, have now come up with the support for that concept. From
1973 to 1995, much water has flown through Phewa lake and land use in the lakeside area and
the Pokhara valley has undergone many changes, but so far no serious effort to review and
implement the 1973 plan has been undertaken. It was completely encapsulated and ignored.
This clearly shows the government's unwillingness to comply with the environmental problems
and enforcement.
With respect to the lake water pollution and poor solid waste disposal system, over
the past few years, Phewa Lake and its adjoining catchment areas have experienced few
marked changes in terms of environmental quality. In these areas tourism facilities have been
established. But serious environmental issues such as lake water pollution and solid waste
disposal problems have emerged. Although systematic monitoring of lake water quality is
lacking, a recent study indicates that waterquality in Phewa Lake is deteriorating due to increase
in biological contamination.
The density of fecal coliform bacteria ranged from 39-123 organisms per 100 ml of
water, indicating fecal contamination. The major sources of pollution are sewerage, disposal
of solid wastes, clothes washing, runoff from the farm land (nutrients) and sediments. The lake
water is contaminated mainly from the direct discharge of sewerage (domestic, urban & hotel/
restaurant) via the drains, and storm water sewers.
Domestic waste water including overflow from septic tanks, is found to be directly
discharged into the lake, especially from the hotels and restaurant. Phewa Lake is also polluted
due to wallowing of pigs and buffaloes, cloth washing by hotels, restaurants and local households.
It is estimated that more than 100 kg of soaps and detergents are daily used for washing into
the lake. In addition to the lake water pollution, the drinking water, from natural springs and
wells in the nearby areas are also found to exceed the World Health Organization (WHO)
standards and unfit for human consumption.
The improper managementand haphazard disposal of solid waste is a serious concern
especially in the urban areas and around the Phewa Lake. There is a lack of statistics on the
total waste generation. However, it is estimated that approximately 125 metric tons of solid
waste is generated per day in the Pokhara municipality.There is no effective solid waste disposal
and management system. The local communitiesusually dispose solid wastes into water bodies.
The overland flow may carry the toxic chemicals to the water bodies, thereby it is likely to enter
the human food supply, thus presenting a potential hazard for human health.
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774 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Despite legal mandates to various agencies for regulating the lake environment, the
lack of a single institution responsible for managing the lake has been the major problem. No
efforts have been made at any level, central or local, to address the issue of lake water pollution
and solid waste management problem, despite concerns that have been expressed time and
again by people and authorities at local and central level for the deteriorating condition of lake
and its environment. This clearly indicates lack of compliance and enforcement of legal
instruments for environmental conservation at the local level.
In addition to the poor attention paid for lake's pollution control the biodiversity
conservation around the lake has received little attention. Phewa lake is recognized as an
important habitat of a wide variety of aquatic life. There are 6 floating, 7 submerged, 3 emergent
rooted aquatic plant species, and 22 different native fish species. Wild geese used to be
abundant in the western part of the lake. Migratory birds arriving annually used to enhance the
biodiversity of lake and its surrounding areas. Presently, however, modern development
activities have alarmingly disturbed the ecology of the area which threatened the aquatic life
due to lake pollution. The human induced activities are becoming incompatible for the existence
and survival of aquatic life, birds and other gifts of nature in the lake and its vicinity.
Similarly, areas around Phewa Lake especially the Rani Ban and forests of Pumdi
Bhumdi are undoubtedly heavenly gifts. These areas are important for bird watching and study
of flora and fauna. These areas have wide range of vegetation species. In addition, as mentioned
in the earlier section, Panchase provides unique opportunity to conserve wildlife and rare plant
species of mid-mountain region in Nepal. If the environmental situation of Phewa Lake is to be
improved, attention to the conservation of biodiversity within immediate hinterlands should be
the first priority and that there should be environment compliance and enforcement of legal
instruments existing within the country.
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OLI, KRISHMA PRASAD 775
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776 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
MAP 2
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COLLABORATIVE INTERNATIONAL TARGETING OF ENFORCEMENT 777
SPECIALTOPIC WORKSHOP P
Collaborative International Targeting of Enforcement
The purpose of targeting enforcement resources, such as inspection and enforcement
response, is to ensure that scarce resources are employed for the greatest impact on short-
term compliance, as well as longer-term compliance, through deterrence and environmental
results. This special topic addresses the potential opportunities for international targeting
schemes.
Issues addressed within this context include:
• The potential purpose(s) of targeting enforcement internationally on
particular economic sectors, pollutants, geographic areas, or types of
violations.
• The advantages and disadvantages of international targeting schemes.
• For what types of activities and violations such schemes might be useful
and what is the expected impact.
• How such targeting schemes might be developed:
- who should be involved;
- what information would be needed;
- how decisionsshould be made, whetherby consensus, by presentation
of analysis, etc; and
- how targeting should be communicated.
• What follow-up activities should result from targeting and whether they
should be tracked and communicated in some fashion.
• If this is a good idea, what forum should be used or developed to pilot the
concept.
Currently no papers are available on this subject because experience is still too limited. For
this reason also, no workshop was held.
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778 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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ORGANIZING AND FINANCING PROGRAMS 779
SPECIALTOPIC WORKSHOP Q
Organizing and Financing Programs
(Opportunity for Further Discussion from UNEP Workshops)
Discussions built on information about organizing and financing programs from the
UNEP training manual, two new capacity-building technical support documents that were
prepared for the Fourth International Conference (which compare and present approaches
from many different countries), and the Proceedings from the International Conferences
describing country programs.
The workshop provided an additional opportunity for discussion of the design issues
touched on during Day Three workshops as well as an opportunity for discussion of country-
specific problems. Examples of the types of issues that were discussed include:
• How to make enforcement work if responsibilities for environmental
compliance and enforcement are split among several ministries with
potentially conflicting goals.
• Whether to separate permitting and compliance monitoring
responsibilities.
• Howto structurepermitand inspection fees to ensure affordability, improved
environmental compliance, and sufficient funds to run a program.
1. Summary of Organizing and Financing Workshop, Facilitators: R. Glaser,
L Paddock, Rapporteur K. Rubin 781
2. See also Synopsis of Capacity Building Support Document: Organizing
Environmental Permit, Compliance, and Enforcement Programs, Theme 5 285
3. See also Synopsis of Capacity Building Support Document: Financing Environmental
Permit, Compliance, and Enforcement Programs, Theme 5 286
1. Norway's Experience in Building an Inspector Corps: Education and Financing, G.
R0dland, A. Miller, Volume I, Oaxaca, Mexico
2. A Decentralized Approach to Inspection and Enforcement Done by Counties and
Municipalities in Denmark, 0. Kaae, Volume I, Oaxaca, Mexico
3. The Relationship between Central Government and Provincial/Municipal Authorities
with Regard to Enforcement, J.A. Peters, Volume I, Oaxaca, Mexico
4. Alternative Organizational Structures for a Compliance and Enforcement Program, W.
Eichbaum, Volume I, Budapest, Hungary
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780 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
5. Small Business Compliance, the Role of Local Communities, H. Schaap, Volume I,
Utrecht, The Netherlands
6. Defining and Implementing Effective Federal/State Local Relationships: the U.S.
Experience, L DeHihns, Volume I, Utrecht, The Netherlands
7. State Perspective in U.S. Enforcement Relationship, K. Alkema, Volume I, Utrecht, The
Netherlands
8. European Community's Prospects for Enforcement of Directives, R. Wagenbaur,
Volume I, Utrecht, The Netherlands
9. State Environmental Prosecutor's Role, S. Madonna, Volume II, Utrecht, The
Netherlands
10. Intergovernmental Relationships in the Netherlands, P. Dordregter, Volume II, Utrecht,
The Netherlands
11. Environmental Law and their Execution in the Federal Republic of Germany, D. Ubing
andL. Kropp, Volume II, Utrecht, The Netherlands
12. Compliance and Environmental Enforcement System in Poland, LS. Jarzebski,
Volume II, Utrecht, The Netherlands
13. Legal and Technical Cooperation for Effective Environmental Enforcement, D. Bryson,
D. Ullrich, Volume II, Utrecht, The Netherlands
14. Principles of Environmental Enforcement, C. Wasserman, Volume I, Budapest,
Hungary
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ORGANIZING AND FINANCING ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT PROGRAMS 781
ORGANIZING AND FINANCING ENVIRONMENTAL COMPLIANCE AND
ENFORCEMENT PROGRAMS
Facilitators: Rob Glaser, Lee Paddock
Rapporteur: Ken Rubin
GOALS
How to make enforcement work if responsibilities for environmental
compliance and enforcement are split among several ministries with
potentially conflicting goals.
Whether to separate permitting and compliance monitoring
responsibilities.
Howto structure permit and inspection fees to ensure affordability, improved
environmental compliance, and sufficient funds to run a program.
1 INTRODUCTION
The session of roughly 12 participants opened with a discussion of three generalized
phases of environmental compliance and enforcement organizations. Early in the development
of an institution, typically a country forms a council on the environment that has no regulatory
power, but can advise other ministers on environmental policy issues. The second stage is an
agency that reports to a cabinet member, prepares laws, executes limited programs, and
prepares guidelines. In the final stage, the environment agency becomes a cabinet ministry
with four functions: policy making, program execution, inspection, and feedback. Often, a
scientific advisory council is attached to the Ministry in this final stage.
DISCUSSION ISSUES
This session addressed the following issues:
• Organizing compliance and enforcement programs efficiently.
• Blending general revenues with polluter payments of one kind or
another.
• Models for budgeting and obligating funds.
• Funding of nongovernmental organizations.
• How to leverage limited public funds through partnerships with
nongovernmental organizations, members of the regulated community
and others.
• Dedication of funds to environmental programs or deposits in the
general fund.
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782 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
2.1 Financing mechanisms
Typically in the U.S., states use a wide variety of financing mechanisms to support
their programs. The state of Minnesota provides one example:
• General revenues.
• Federal government grants.
• Permit fees.
• Waste generation taxes.
• Penalties.
• Dedicated sales taxes.
• Fees for service.
• Loans/grants from state to local government.
• Deposit refund systems.
• Special disposal fees (used tires for example).
• Technicalassistanceprogramsusingstudentstoadviseindustry (offsetting
government expenditures for the same task).
• Public-private programs for energy conservation whereby private interests
loan money to state with repayments coming over 10 years on utility bill.
• ISO 14000 used as a way to leverage enforcement.
In all, about 70 percent of all revenues raised for enforcement programs is derived
from polluter payments. About the same figure is common in the Netherlands.
Typically, developing nations rely on very limited general revenues and donor aid.
Another problem in some nations new to market economies is the guarantee that revenues
once collected will be spent on environmental needs. Too often, funds are diverted to other
uses. Another problem in some countries is convincing upper management of the merits of the
polluter pays principle as a way raise funds replacing general revenues.
In most countries, once budgets are settled, responsibility for obligating funds in
incurring expenditures rests with the implementing agency. In an alternative model (Jordan),
an auditor from a separate outside auditing agency must approve all expenditures even after
budgets are approved by the Parliament.
Some countries have saved the costs of administering revenue-raising programs by
including their fees on existing consumer bills, such as electricity bills.
Innovative funding arrangements include: (1) dedicated funds from state-owned land
sales to finance contaminated sites upon transfer from public to private ownership; (2)
intergovernmental and donor aid to capitalize revolving funds that loan local governments
investment capital for environmental facilities; and (3) a variety of commodity taxes dedicated
to environmental programs.
2.2 Nongovernmental Organizations (NGOs)
A wide variety of mechanisms are used to fund nongovernmental organizations. In
the US, for example, they are privately funded by individual members and private foundations.
In the Netherlands, the government provides seed grants. Many other countries rely on donor
agency funding, such as UNEP's grant program. Some countries' nongovernmental
organizations lack information on accessing donor agency funds and/or lack the resources or
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ORGANIZING AND FINANCING ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT PROGRAMS 783
knowledge to comply with applicable financial reporting requirements. Typically, donors must
have host countries approve nongovernmental grants before they are provided. Some
multilateral banks will provide funds only to governments and will not fund nongovernmental
activity.
3 CONCLUSIONS
No organizational design is necessarily better than another. Instead, organizations
must be customized to country circumstances. Many variations exist across countries.
Training in financing techniques must involve budgeting, outside accounting, systems
of accountability for revenue raising and expenditures, and annual financial reporting. This will
ensure that funds collected for environmental purposes will actually be so used.
Nongovernmental organizations will require training on fund accounting and access
to donor agency funds so that they can be more effective in attracting these sources.
There may be little sense in central governments providing local governments grants
if they lack infrastructure to manage those funds.
Funds derived from polluter payments can be used to finance programs and send
messages to reduce environmentally harmful behaviour. Yet, they may be less certain in the
long run than general revenues. Hence a mix may be appropriate.
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784 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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ENFORCEMENT POLICY AND AUTHORITIES 785
SPECIAL TO PIC WORKSHOP R
Enforcement Policy and Authorities
(Opportunity for Further Discussion from UNEP Workshops)
Workshop R provided an additional opportunity for discussion of the design issues touched on
during Day Three workshops as well as an opportunity for discussion of country-specific
problems. The following were discussion issues that addressed how to establish authorities
and develop legal enforcement action in response to violations of environmental requirements:
• The range of legal enforcement tools.
• Advantages and disadvantages (criminal versus civil and administrative
versus judicial, etc., penalties versus other sanctions) of various tools in
specific circumstances.
• How they are used in different settings and cultures (just a few examples
to note the range of options used).
• How to develop and coordinate expertise and authorities across different
organizations that might have jurisdiction over an environmental problem.
• How to develop sound enforcement cases.
• How enforcement procedures might be structured to ensure a proper
balance between fairness and efficiency (in particular the use of
enforcement response policies and penalty policies) and how simplified
procedures are used along with more complex procedures for different
types of violations and circumstances.
1. Summary of Enforcement Policies and Authorities Workshop, Facilitators and
Rapporteurs: M. Gade, J. Peters 789
2. Compliance Program Innovations in Polish Environmental Law, Z. Kamieriski 793
3. Compliance Agreements for Environmental Risk Management in the Czech
Republic, H. Clzkova 809
4. See also Voluntary Compliance Incentives through Enforcement Policies:
U.S. EPA's Environmental Auditing and Environmental Management
Initiatives, E. Schaeffer 451
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786 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
See related papers from other International Workshop and Conference Proceedings:
Developing Authorities and Legal Enforcement Capabilities to Respond to Violations
1. Developing Authorities and Legal Enforcement Capabilities, V. O'Meara, Volume I,
Budapest, Hungary
2. The Public Prosecutor Office of Hungary and its Development, S. FiilOp, Volume I,
Budapest, Hungary
3. Developing Effective Enforcement Programs at the State Level, L Paddock, Volume I,
Budapest, Hungary
4. System to Supervise Environmental Duties and to Pursuit Infringements Taking Clean
Air Management as Example, M. Putz, Volume I, Budapest, Hungary
5. Environmental Enforcement by Municipalities in the Netherlands, P. Dordregter, Volume
I, Budapest, Hungary
6. Choosing Among Criminal, Civil Judicial, and Administrative Enforcement Options, D.
vanZeben, M. Mulkey, Volume I, Budapest, Hungary
7. The Environmental Prosecutor: The Experience of a "Central Command" Theory of
Environmental Enforcement, S. Madonna, Volume I, Budapest, Hungary
8. The Application of Criminal Law Instrument in the Environmental Law Enforcement, A.
Hamzah, R. Sucrachman, Volume I, Budapest, Hungary
9. Combatting Environmental Crime in an International Context, Y. van derMeer, Volume
II, Budapest, Hungary
10. The Development of the Police's Enforcement Position in the Field of Environment, M.
Horstman, Volume II, Budapest, Hungary
11. Environmental Enforcement by Municipalities in The Netherlands, P. Dordregter,
Volume II, Budapest, Hungary
12. Summary of Theme Discussion: Developing Authorities and Legal Enforcement
Capabilities to Respond to Violations, A. DeLong, Volume II, Budapest, Hungary
Domestic Enforcement Program Strategies, Tools, and Management Systems
13. A Survey of U.S. Environmental Enforcement Authorities, Tools and Remedies, £.
Reich and Q. Shea, Volume I, Utrecht, The Netherlands
14. Practical Applications of an Enforcement Management System, D. Bryson, Utrecht,
The Netherlands
Enforcement at Government-Owned or Government-Operated Facilities
15. Enforcement of Environmental Laws at Government-Owned Facilities: Some
Theoretical and Practical Considerations, E.F. Lowry, Volume I, Oaxaca, Mexico
16. Summary of Workshop: Enforcement at Government-Owned or-Operated Facilities,
Facilitator: M. Stahl, Rapporteur. A DeLong, Volume II, Oaxaca, Mexico
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ENFORCEMENT POLICY AND AUTHORITIES 787
17. Enforcement of Canadian Laws of Environmental Protection as Applied to Federal
Facilties, P. Cuillerier, Volume I, Budapest, Hungary
18. Enforcing the Law at Government Owned or Operated Facilties, A. Homonnay, Volume
I, Budapest, Hungary
Environmental Enforcement Challenges
19. Process of Upgrading the Polish Environmental Enforcement Procedures, Z.
Kamienski, Volume I, Oaxaca, Mexico
Field Citiations
20. Civil Field Citations, L Paddock, Volume I, Oaxaca, Mexico
21. Field Citations: A Tool for Enforcing UST Regulations in New Mexico, S.A. Sutton-
Mendoza, Volume I, Oaxaca, Mexico
22. United States' Clean Air Act Field Citation Program: New Enforcement Authority to
Address Minor Violations, J.B. Rasnic, J.M. Engert, Volume I, Oaxaca, Mexico
23. Summary of Workshop: Field Citations as an Approach to Enforcement, Facilitator: M.
Alushin, Rapporteur: K. Rubin, Volume II, Oaxaca, Mexico
See also Criminal Enforcement Papers, Workshop I
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788 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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SUMMARY OF WORKSHOP: ENFORCEMENT POLICY AND AUTHORITIES 789
ENFORCEMENT POLICY AND AUTHORITIES
Co-facilitators and Rapporteurs: Mary Gade, Jan Peters
GOALS
The goals of this workshop were to allow participants to exchange views and
experiences, to capture areas of consensus, common concerns or challenges or differences
among countries and regions on the following issues:
The range of legal enforcement tools
• Advantages and disadvantages of various tools in specific circumstances
• How tools are used in different settings and cultures
• How to develop and coordinate expertise and authorities across different
organizations
• How to develop sound enforcement cases
• How enforcementprocedures might be structuredto ensure proper balance
between fairness and efficiency
1 INTRODUCTION
More than 28 participants from 24 countries discussed in two separate workshops,
challenges and approaches in creating and implementing effective environmental enforcement
programs. Almost every country represented in the workshops is currently in the process of
establishing new environmental policies and statutes or revising older ones. Every participant
wanted to learn from others how to get things done in the right way during a period of such
dramatic change. Among the themes repeatedly raised were questions of the appropriate
roles of the authorities in various levels of governmentand administration, possible mechanisms
for educating the public and industry about environmental laws, and the range of enforcement
tools available to secure compliance.
2 PAPERS
Mr. Kamienski and Ms. Cizkova have contributed a paper to this special topic
workshop. According Mr. Kamienski the new authority which is being developed in Poland to
negotiate "compliance programs" will constitute an important instrument encouraging
enterprises to undertake pro-environmental activities for both compliance and pollution
prevention. This new authority seeks to carefully balance the need to hold polluting sources
responsible for timely compliance with requirements, while at the same time recognizing that a
multi-media risk-based approach in selected cases might require adjustments to the order
and approach to compliance for maximum impact on the environment, rationalizing resource
expenditures and achieving gains in preventing pollution beyond mere compliance in the
process. Ms. Cizkova recommends that each problem should be approached individually,
with sensitivity with respectto local economy, social and political conditions. Mr. Eric Schaeffer's
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paper describes new enforcement policies in the U.S. which preserve dollar penalties for
violators which recovery economic benefit but which offer reductions in that portion of a penalty
which is based upon the gravity of the harm of the particular violation when a violator has
voluntarily detected, promptly correctedand disclosed a violationthrough self-auditing or similar
means.
3 DISCUSSION SUMMARY
As a framework forthe discussion, the participants agreed that it made no sense to
talk about structure of a particular government or specific legislation. The differences between
countries are too large to do so. A way to handle the problem was to talk about shared values
on protecting the environment. If countries manage in identifying the shared values, make them
clear to all stakeholders, get citizens involved in serving them, then we could develop an
approach to do the right things in the right way. This approach asks forthe institutionof facilitation
and inspection on the several levels. Within this approach a critical factor of success is the
awareness of citizens about the importance of environmental protection.
3.1 How can governments educate their citizens and industries about specific
environmental laws and the importance of environmental protection?
With so many changes taking place in legislation, many of the countries were
concerned about how to educate their citizens and the regulated community. Participants
highlighted the need for adequate resources to implement programs but equally important the
need to raise the awareness of citizens and industry about why environmental protection is
necessary. Numerous innovative approaches were contributed by the participants. For example,
Latvia is using its inspectors to review its draft statutes both to assure the adequacy of the
provisions and also to educate the inspectors. Nepal is utilizing various networks of citizens
and industry to promote and enforce its laws.
Various approaches were highlighted including:
• Business Performance Ratings that are publicized.
• Voluntary Compliance Programs like Cleaner Production.
• Community Guardian Programs to mobilize citizens to identify violations
and participate in negotiations.
• Environmental Journalist Programs to educate the media.
• Warning Letters or Notices of Violation to inform violating industries of
their responsibilities without imposing penalties.
• Public/private partnerships with NGOs and communities.
3.2. What enforcement tools are available to ensure compliance?
A wide range of mechanisms are available to promote compliance with environmental
laws. The participants discussed both traditional and innovative approaches to enforcement.
Several countries are relying on public pressure to force companies to act responsibly. For
example, the United Kingdom is finalizing a procedure for rating a company's environmental
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performance while conducting inspections. Poland is relying on publication of a "List of Eighty"
of their worst polluting companies. By contrast, Ecuador not only requires remediation of any
contamination but also closes the factory during the course of the cleanup.
3.3 Has tailor-made enforcement a future?
Regarding the papers and listening to the discussions, this question was put to the
group. The participants agreed that the statement had inspiring values. Nevertheless they put
in several qualifying remarks and questions. Tailor made for whom? a sector? a region? Level
of enforcement or what tool? There was also concern that in allowing for individual compliance
through a tailored compliance schedule, overall environmental standards would be
compromised. Participants concluded that there was neither room for the tailor in complying
with the law nor in the authority that has the power to impose penalties. But there must be room
for the tailor 1) in looking for the most effective way to reach the goals and to meet the standards,
2) in making the legislation system flexible and effective; and 3) to inspire the enforcement
complex to bring industry into compliance at an optimal level.
4 CONCLUSION
There are many developments in a lot of territories that seem to interfere with
enforcement. Nevertheless, the participants in our workshop were optimistic and enthusiastic
about handling these problems. It seems that we must not try to force enforcement. We must
not try to be strong. We must try to be smart. We must try to let the processes work for us.
How? The answer is: Innovation and Mobilization.
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KAMIENSKI, ZBIGNEW 793
COMPLIANCE PROGRAM INNOVATIONS IN POLISH ENVIRONMENTAL LAW
KAMIENSKI, ZBIGNEW
Director of Control Department, Chief Inspectorate for Environmental Protection, 52/54
WawelskaSt., 00-922 Warsaw, Poland
SUMMARY
The following paper reviews the institution of "compliance programs" toward the end
of 1995 in the State Inspectorate for Environmental Protection. According to the author of this
article, the authority to negotiate "compliance programs" will constitute an important instrument
encouraging enterprises to undertake pro-environmental activities for both compliance and
pollution prevention. It will enable enterprises to adjust to requirements for environmental
protection through the case-by-case, selective application of integrated and expanded
environmental program requirements with flexible implementation schedules under schemes
which preserve the integrity of the underlying environmental laws. At the moment, a new Statute
on Environmental Protection is being prepared in Poland. The above-mentioned Statute called
a "general statute" complies with the requirements of the European Union. It is anticipated that
one of the elements of the statute will be constituted by the institution of compliance programs.
1 PRESENT ENVIRONMENTAL COMPLIANCE CONDITIONS
It is widely known that there are many organizational units (enterprises) which do not
fully comply with legal requirements defining permissible level and types of impacts on the
environment. With a little bit of exaggeration one could point out three ways of dealing with this
problem, i.e.:
• to "wink an eye" and leave the situation unchanged;
• to stop the activity that causes the adverse impact on the environment,
i.e., "closure of enterprises" that do not meet the requirements in force at
that particular moment; and
• to introduce mechanisms that will allow or facilitate meeting environmental
standards but which both discipline and encourage operating enterprises,
which for some objective reasons are not able to meet the requirement
immediately, but which show real chances for gradually succeeding in this,
and thus reach the compliance with environmental protection standards
within a certain period of time.
The first of the above solutions is still used to some extent even now, but can no longer
be accepted - first of all for the constitutional principle of the "state of law", according to which
binding legal standards have to be complied with by their addressees. The role of the State is
to ensure that this really happens. It is also not acceptable because of its environmental
consequences as well as the high level of social environmental awareness and weight of
international opinion.
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The second solution is unrealistic because of the existence of a large number of such
enterprises and their economic and social importance. A large proportion of enterprises in
question have been undertaking relevant measures, however, mainly for economic reasons,
they are not able to implementthem sufficientlyfast. Some legal requirementsare not sufficiently
flexible enough for individual situations, making this process even more difficult. This does not
mean resignation from such measures, which would be taken up in relation to specific
enterprises.
In this situation it seems well justified to consider the third option and to analyze the
mechanisms that could be applied in order to achieve environmental standards by the currently
most difficult enterprises.
2 PROBLEMS AND UNCERTAINTIES
The need to introduce exceptions from the general rules, obviously can be questioned.
Exceptions (only temporary) from the general principles of fulfillment of obligations to comply
with environmental requirements and not to cause negative environmental effects could not
mean an easing or release from this obligation, but would only be a way of finding its temporary
form, with the assumption that a program will eventually achieve compliance with generally
defined obligations within an acceptable period of time.
Obligations for an individual enterprise have both the general and individual (tailored)
aspects. It results from general regulations, contained in normative acts as well as individual
acts (most often "administrative decisions"), which normally narrow general requirements to a
specific enterprise. Thus the potential exemptions could relate to the general aspect as well as
to the individual one.
The justifications for introducing an ability to adjust include some well known
environmental concerns. Achieving compliance with environmental protection standards,
especially in the areas of environmental crisis, with large numbers of difficult plants, is not
possible in the short-term perspective, exclusively relying on existing legal instruments. This
has been proved by experience. Social concerns are also important, e.g. actual impossibility
of liquidationof many enterprises (particularly because of unemployment), and related difficulties
of economically weak enterprises if one immediately adopts strictly executed environmental
requirements.
Legal requirements are yet another important factor - principles of certainty and
confidence in Law do not allow for introduction of regulations, and assumption that they will not
be conformed to, right from the start. This relates also to the existing regulations that have
similar characteristics. Environmental concerns should not be forgotten here, too. Even very
"spectacular" legal solutions but not actually adhered to, from this point of view, are not better
that the lack of regulations at all.
A real problem is, however, the necessity to ensure that the institution of "compliance
programs" is not going to become yet another prolongation of deadlines for meeting the
requirements, after which the general situation of either a single enterprise or a whole group of
enterprises would remain unchanged. Therefore, this institution must include rigorous and
effective measures for execution of obligations. An enterprise undergoing such "drastic" (in
comparison with commonly functioning) legal instruments would practically have its
environmental protection requirements not mitigated but defined in an alternative way (in return
for a temporary mitigation it will undergo a stricter regime of environmental obligations
execution).
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KAMIENSKI, ZBIGNEW 795
The main counterweight for the above consideration seems to be the requirement to
provide all economic entities with equal conditions for operation (dictated by the rules of
competitiveness). This is an important postulate, but it must not take an unconditional
precedence, and it should rather be taken into account while precisely defining of rules of use
of such type of mechanisms. Their introduction would be justified by exceptional circumstances,
strictly defined by legal standards, that would decide about a special status of a given enterprise
(or a group of enterprises).
Having thus accepted the need for consideration of the possibility of introduction and
scope of such mechanisms, we now have to answer a number of major reservations:
• Should the mechanisms be introduced on a general basis (for certain
categories of businesses) or an individual basis (for a specific enterprise)?
• What legal formula should be adopted for their introduction (related to
decisive powers of administrative authorities, and including such
possibilitiesas: normativeacts, administrativeacts, non-decisive influence,
civil law forms)?
• What nature and scope should be assigned to the legal instruments used
within the framework of the program in order to ensure required direction
of activity of a given enterprise (measuresofadministrativeforce, economic
incentives, measures based on an agreement between both parties)?
• How should the content of such a "compliance program" be decided upon
(generally — through formulation of commonly binding regulations, or
individually — for a specific enterprise, and then should this be done in a
mandatory or an arbitrary way or through negotiations)?
3 WAYS TO INTRODUCE COMPLIANCE MECHANISMS
Two solutions seem to be possible here. The mechanism can be introduced generally
(through a normative act covering certain categories of enterprises, e.g. industry sectors) or by
individual acts (based on administrative law or civil law).
It seems that introduction of the program in a universal way is less beneficial, because
we are going to encounter difficulties with specifying criteria for its introduction (resulting from
the need to extend the mechanism over very diverse situations, while assuming exceptions
from general rules would hamperthepossibilityofformulationofuniversalcriteria). Such general
approach in relation to certain categories of enterprises would require a construction of the
compliance program in relation to the enterprise whose situation can be regarded as the worst
in the group, which obviously would not be beneficial from environmental point of view.
On the other hand, an individual act gives the possibility to consider the situation of a
specific enterprise, operating in a given place. This enables adjustment of the program content
to specific environmental conditions and requirements. Such acts could obviously be applied
to otherenterprisesoperatingin the same area. It should be, however, stressed that the generally
binding law (a normative act, having a status of an Act) should give precise criteria allowing for
issuing such an individual act.
Individual programs could play a role of complementary solutionsto potential programs
focused on specific sectors or areas.
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4 LEGAL CHARACTER OF THE PROGRAM
The program (defined through an individual act) may be implemented with the use of
methods typical for various legal systems - i.e. administrative methods (one-way) or civil law
methods (characterized by equal status of parties). In both cases, methods based on the use
of economic incentives (and as such introducing an objective factor into the undertaken actions)
would have a significant, though supplementary importance.
The choice of method should be based on its effectiveness. Civil law based methods
give the businesses involved better chances of involvement in program formulation. On the
other hand they decrease possibilities of representation of environmental interests (i.e.
involvement of representative of environmental concerns in the program formulation process)
and make it practically more difficult to execute the agreed obligations (which is practically
only possible through a legal suit). Therefore, administrative methods should probably be used
in the first place, supplemented by some economic incentives (as a form of pressure in case
the agreements are not completely fulfilled) as well as possibility of using some civil law based
methods, e.g. negotiations of the program content.
An additional argument in favor of such solution is that the role of a representative of
public interests vested in the use of environment is played by the state administration. The
administration in its normal practice uses mostly the tools based on administrativelaw. Although
this must not be an obstacle for the use of civil law based forms for the problems of certain
types, administrative forms will still for some time remain dominating and typical for
administration units.
Exclusive use of economic measures, applied on the basis of general regulations
should also be considered from the point of view of the defined objectives. Such solution would,
however, require substantial extension of relevant regulations and would probably make the
entire problem more formalized and less flexible. Moreover, the economic measures sometimes
lack effectiveness (e.g. in the monopolistic situation or an exceptional profitability of a given
type of business). Thus, economic measures should function in conjunction with administrative
measures.
5 SPECIFYING THE "ESSENCE" OF THE "COMPLIANCE PROGRAMS"
"Compliance programs" is a term we are using to describe legal instruments, aimed
at ensuring gradual achievement of generally binding environmental standards by enterprises.
Clear and precise definitions of individually agreed obligations should be a prime
characteristic of the mechanism. The obligations should be defined as a program for achieving
by a given enterprise the generally binding requirements. An enterprise which is not financially
able to meet the requirement immediately, will now have the chance to do it gradually in a
precisely defined time framework and using solutions, the formulation of which it can influence
to some extent. Ensuring such influence of the enterprise being the subject of the program,
should have significant importance for optimization of decisions and rate of achieving the
required environmental standards.
Definition of commitments should be matched by the precise description of sanctions
that the enterprise would accept in return for the temporary alleviation of required standards.
The catalogue of circumstances when those sanctions could be applied should be extended
further than the one used normally. This, for example, means that the list of circumstances
justifying the temporary or permanent shut down of the enterprise's operation would be longer,
and the level of administrative fines higher than generally applied rates.
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KAMIENSKI, ZBIGNEW 797
Those mechanism should not have a universal character, but their application would
only be possible in the case of certain enterprises, for which there are particular reasons of
environmental, social, economic, technical or organizational nature. This would require a precise
definition of priorities that will guide the decisions concerning the use of such special model.
The programs would also be limited only to the existing businesses, and could not be used as
a gate to introduce new enterprises that do not conform to the standards, right from the start.
Possibleterritoriallimitationsof the program'sapplication, though questionable, should
also be considered. For instance, the programs might only be used in the areas where the
environment is particularly degraded, areas of high values, areas with high unemployment
rate, etc. or a mixture of different criteria.
"Compliance programs" assume an individual approach to a situation of a single
enterprise. This must not, however, mean an arbitrary description of such situation. On the
contrary, principles for defining the time-span and content of compliance programs have to be
precisely defined and commonly known. This is necessary in order to ensure equal chances
for all interested businesses.
6 LEGAL FORMULA OF THE MECHANISM TO BE INTRODUCED
The choice of legal formula will depend on the answers to the reservations presented
above. Accepting the above-described assumptions, the most beneficial solution seems to be
an administrative act giving permission for the use of environmental resources (environmental
permit). It should be a modification of the acts currently in force.
The act would have the form of an administrative decision introducing the program of
adjustment of the given enterprise to generally bindingenvironmentalrequirements.The program
should be given as a complex of tasks to be implemented within given deadlines. As mentioned
above, it would be highly desirable to ensure an active influence of the enterprise in question
on the content of such a decision. (Such solution proved to be successful in the countries using
similar mechanisms.)
Effective measures for execution of undertaken commitments as well as measures
for control of their implementation should also be ensured. The proposed decision should
contain as an integral part, guarantees of compliance with obligations undertaken.
6.1 Functional equivalent of integrated environmental permits
The most important, however, feature of such an act should be its complexity- the act
should ensure compliance of the enterprise involved with the requirements of protection of all
environmental components affected by its activity. Therefore, the act should have the character
of an integratedenvironmentalpermits, differentin this respectfrom the currently issued licenses
for the use of particular components of the environment.
The proposed permit, integrating through a compliance program, the policy of
protection of all environmental components in individual terms related to a specific enterprise,
would be a breakthrough in current practices. At the same time, this solution would be in line
with latesttendenciesin environmental protection activities implemented in the European Union.
Those tendencies are reflected in the draft of the Directive on Integrated Pollution Prevention
and Control (IPPC Directive, proposal No. COM/93/0423).
The proposal for an integrated permit is justified mostly by environmental concerns -
the environment is an entity, a complex of interrelated components influenced by each other; it
is a complex that reacts always as an entity even if the impacts seem to relate only to one of
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components. This is why the protective activities always have to be extended over the whole
environment and must not be restricted to the elements directly threatened by a given impact.
Such restricted approach leads to the situation when the protection is often in fact not a
prevention or liquidation of damages, but merely their transfer to another component. This
aspect was highly stressed in relation to the above-mentioned directive.
6.2 Alternatives
Some alternative to the proposed solution could be "group agreements", e.g. sectorial,
but also based on the principle for preparation of a program of compliance with general
requirements. It seems, however, that such solution would be less effective as it would essentially
average both the requirementsand implementationtime-schedules, probably even at the lowest
possible level. It would also prevent consideration of individual circumstances resulting from
e.g. economic condition or a location of a particular enterprise. Another problem to arise here
would be the right level of administration to be given competencies to agree upon the content
of such group programs - the task would probably fall on the central administration level. Legal
uncertainties would have to be clarified as the formula of an administrative act would not be
obvious any longer. Finding a good, from the point of view of the public, justification for
preferences given to a particular sector would also be difficult. Such justification is much easier
to find in the case of individual acts.
7 CONTENT OF THE "COMPLIANCE PROGRAMS"
7.1 Action programs
As stated above, the "compliance programs" would be a formula of introduction of
legal instruments ensuring gradual achievement by certain enterprises of generally binding
standards, as well as putting in place effective sanctions that would enable constant execution
of obligations undertaken by enterprises involved in the program. Having this in mind it is clear
that such a program must consist of two basic components:
• Preparation of a time schedule of individual activities, enabling gradual
achievement of all environmental requirements, including emission
standards.
• Definition of sanctions, that will be automatically applied if the planned
activities are not implemented according to the agreed schedule.
7.2 Environmental goals: beyond compliance
For further formulation of the program content it is necessary to define the objectives
to be achieved by this institution. The programs should be a kind of tool for achieving certain
objectives and not just an aim in itself. The objectives have already been mentioned but they
will be listed and systematized below. This should be useful for further definition of requirements
related to the program content. The major objectives include:
• To ensure that the enterprise achieves as fast as possible, such state of
its impact on the environmentthat conforms to the existing legal standards,
especially emission standards.
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KAMIENSKI, ZBIGNEW 799
• To accelerate achievement of such state of the environment that will meet
the requirements defined in legal standards, especially those setting
ambient standards. What is at stake is a quick and complex solution of
environmental problems, that has proved difficult to achieve under the
present conditions (which can be seen in practice).
• To improve the efficiency of enforcement of environmental standards
through:
- incorporation of the interested enterprise (and granting an equal voice
to it) into the process of formulation of the content of its obligations
(the goal is to rise the environmental awareness which will result in
implementation of the accepted obligations without the need of using
force); and
- acceleration of the use of enforcement tools (through making their use
automatic with the prior content of the interested party).
• To take into accountthe opinion of local community (especially represented
by local government) during the process of formulation of the content of
environmental commitments of the enterprises that affect the environment
of a given area (the objective is to increase public participation in the
decision making process which complies with the EC Directive No 93/
313 of June 7, 1990 on the right for free access to environmental
information).
The list of tasks to be implemented by the enterprise has to be based on the regulations
in force, and as such should enable compliance with all environmental requirements binding
for the particularenterprise. Environmental requirements are understood here as a set of legally
defined obligations and restrictions related to the use of environmental resources. Legal
definition covers regulations and standards included both in general acts and in, issued on
their basis, individual acts. Thus in this respect, the program does not introduce any easements
or release - the obligation to protect the environment and undertake necessary protective
measures will still have a universal and complex nature.
The idea and novelty of the program will be:
• Breaking down the implementation of commitments in time, still, however,
maintaining their exceptional nature - as mentioned above the programs
will not be commonly applied. The essence of the program is in this respect
the time-schedule of implementation of the protective measures,
guaranteed by mentioned sanctions. The basic assumption is to facilitate
implementation of those obligations which are impossible to be fulfilled
immediately (at the same time). Without breaking them down into stages
their fulfillment would actually be impossible, unless through a closure of
the business (which in this case is non-acceptable for social reasons,
though desirable for environmental reasons). The activity schedule should
be constructed in such a way that it will utilize all technical, organizational
and economic capacities of the enterprise towards the fastest possible
fulfillment of obligations. Taking into accountthe above, the program content
should individually (with regard to a specific enterprise), specify in detail
the scope, order, and stages of implementation of all tasks. It is also
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assumed that the maximal implementation period will be defined by an
act. The same will be true for the limits of time deviations from general
obligations.
• The second, very important novelty should be a complex nature of the
program, i.e. covering all aspects of the environmental impact generated
by the given enterprise. This is a departure from the rule of defining the
scope of the use of environment by the given enterprise with regard to
each separate environmental component and type of environmental threat.
From this point of view, the program should contain the stages and
deadlines agreed for implementation of all tasks related to environmental
protection, which should be implemented concurrently as far as possible.
• A partial novelty of the program should be a definition of potential easing
or postponements of execution of fees and monetary fines related to the
use of environmental resources. Principles and limitations of the use of
those elements in the program should also be defined through an act.
7.3 Sanctions and guarantees
An integral element of the program should be a set of guarantees, that would ensure
implementation of obligations within the agreed time limits. An important feature would be that
the guarantees are applied automatically, i.e. the foreseen sanctions would be enforced right
after the deadline given for implementation of the task has passed and the expected result has
not been achieved. The presence of sanctions in the program would be mandatory and a set of
sanctionsavailablepreciselydefined in regulationsthat would introduce the proposed institution.
The sanctions included in the program could not be less severe than those applied in a normal
routine. It seems that the sanctions should primarily be based on financial and legal instruments.
Additionally, a system of financial (property) guarantees could also be established, which could
be used for execution of dues imposed as a result of applied sanctions.
The sanctions would include:
• Administrative monetary fines — the primary rule should be an immediate
execution of fines postponed during the implementation of the program
(together with due interests); the program could also foresee additional
fines for non-timely implementation of undertaken obligations or deviations
from the program content.
• Mandatory immobilization of machines or equipment if the environmental
requirements, agreed for it, has not been timely achieved; the person
responsible for noncompliance with this sanction would be subject to penal
responsibility.
• Suspension (cease) of the program implementation and switch to the
general routine of execution of protective obligations. Administrative
monetary fines provided in the compliance program may supplement the
system of monetary sanctions foreseen towards all enterprises, or replace
this system. The relevant decision should be taken into account while
formulating the program, so the summary sanctions are adequately more
severe than those provided by the generally binding regulations. The fines
should be set at such a level so the real costs related to the fine born by
the enterprise are significantly higher than the benefits (savings) resulting
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KAMIENSKI, ZBIGNEW 801
from the neglect of implementation of a given task within the program. The
cases of mandatory holding off a particular activity defined in the program,
would essentially have to modify the solutions, based on the existing
standards. This particularly relates to the situation when, according to the
regulations currently in force, the decision about holding off the activity is
typically arbitrary (the relevant authority "may" decide). In such cases,
provisions of the program would have to precisely defined when such a
decision is made. In relation to legally foreseen cases when the decision
about holding off activity is currently mandatory, but the appraisal of
circumstances depends on an individual judgement (e.g. in the cases of
"deterioration of the state of the environment" resulting from the activity),
the program should attempt to define (using some parameters) the
situations to be classified as "the state of deterioration of the environment."
7.4 Summarizing of basic compliance program elements
Summarizing, it should be stated that the content of the program should focus on the
following elements:
• identification of ultimate and interim conditions of the use of environment,
including individual (concerning a particular enterprise), detailed definition
of the scope, order and stages of implementation of the tasks oriented
towards fulfillment of obligations related to all environmental components
affected by activity of the given enterprise;
• identification of time schedule for implementation of tasks;
• identification of potential easements (reductions or postponements) in fees
and fines related to the use of environmental resources, together with
specification of utilization of those funds for implementation of the task
encompassed by the program; and
• definition of the scope and method of application of sanctions to be applied
automatically if the tasks included in the program are not fulfilled by the
enterprise.
8 IDENTIFICATION OF CRITERIA OF ELIGIBILITY FOR "COMPLIANCE
PROGRAMS"
As mentioned and justified above, application for the compliance programs should
not be common, but restricted only to certain, eligible enterprises, characterized by a specific
situation — environmental, economic, technical and organizational. The circumstances should
be clearly specified in legal regulations. The first condition, however, should be that the program
can only be provided to the already existing enterprises. It should also be stressed that giving
the possibility to apply for a program to all businesses would be irrational also for pragmatic
reasons (it would "choke" the administration with too large and too complicated projects).
Having said that, a list should be prepared of prerequisitesto be fulfilled by an enterprise
to be considered eligible for the compliance program. It should also be assumed that those
criteria should be possibly most single-meaning, and not leave much to an arbitrary judgement.
This would help to avoid any disputes as to the issue of eligibility for compliance programs.
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The criteria could be classified in two groups — objective and subjective conditions.
The first group are the circumstances not depending on the enterprise, resulting from
environmental, technical and organizational or social conditions. The examples could be:
particular nuisance for environment caused by utilized technology and large difficulties in
changing this technology; operation in the areas or sectors subject to structural unemployment,
in "environmentally problematic" areas (i.e. whose environment is degraded or opposite - has
some special values). Also to be mentioned among the examples are difficult economic situation
caused by external factors (not depending on the quality of management, efficiency of work
and similar factors).
Precise definition of those conditions could be done, as it is in the European Union
through the use of the institution of "lists," defining for example the type of used technology
(particularly arduous for the environment), size and type of the enterprise, or types and scope
of environmental nuisance (especially emissions). Such criteria should be transparent and
precise.
A formal way to identify enterprises eligible for a compliance program would be an
authorization of the Minister of Environmental Protection, Natural Resources and Forestry to
compile such list and publish it as an executive act. There are two versions of such list possible:
• a list of names, listing specific enterprises which cause high environmental
nuisance; and
• a list based on more general criteria, e.g. a type of utilized technical
installations and equipment, type of production, type and scope of
environmental impact generated.
The need for objective criteria to be used here speaks in favor of the latter option.
Subjectiveconditionsare those that would have to be fulfilledby the enterpriseapplying
for a compliance program. A preliminary condition would be preparation of an environmental
impact assessment. The enterprise should also prove that it has undertaken or is prepared to
undertake certain activities towards fulfillment of environmental requirements, such as:
• activities resulting from binding regulations and decisions defining the
scope and requirements related to the use of environmental resources
(environmental permit, mandatory decisions, etc.);
• investment activities that enable the enterprise to obtain other required
decisions; and
• activities resulting from recommendations of environmental impact
assessment.
The enterprise would also be obliged to prove that the funding of such activities has
been secured and that the activities undertaken have a integrated character (take into account
all aspects of generated environmental impacts).
Fulfillment of such normative conditions should be evidenced in the application for
commencement of the process of issuing a decision defining the compliance program,
submitted to the relevant authority. Rejection of such application would be given in the form of
a decision. The enterprise would have the right to appeal through general legal procedures.
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9 PROCEDURE FOR ISSUING THE ACT INTRODUCING A "COMPLIANCE
PROGRAM"
Adopting the above assumptions related to objectives and legal formula of the
proposed mechanisms to be introduced, requires preparation of a procedure for issuing a
relevant administrative act. Some of the listed objectives can practically only be achieved
through relevant procedural solutions. The simplest way would be to assume that the typical
administrative procedure will be used, based on the regulations of the administrative procedure
code.
However, bearing in mind some special features of the proposed act and resulting
from them (and from some legal standards currently in place or under preparation in the
European Union) requirements, possibilities of their full implementation within the framework
of the existing procedures should be carefully examined. The main needs include:
• providing real and direct influence of the enterprise involved on the content
of the decision — through allowing for elements of contrariety at this stage
of the process where this content is agreed;
• providing mechanisms that will protect the party and at the same time
enable efficient functioning of the institution taking into account assumed
high arbitrary nature and wide possibilities of individual interpretation of
the content and scope of protective obligations impose over the given
enterprise;
• increasing the level of professionalism and objectivity of administration
authorities and restricting the possibilities of influencing these authorities
during the decision making process;
• ensuring sufficient public interest representation (including representation
of local public interests) in preparation of the program content; and
• widening possibilities of constant supervision of implementation of the
undertaken obligations and further increase in the efficiency of their
execution.
Fulfillment of the above listed needs, from the point of view of a relevant procedure,
requires an analysis of possibilities and obstacles present in the administrative procedures
currently in place. The attempt of such an analysis has been made. The example of description
of analysis of the second need is presented below:
This need assumes the need for provision of protective mechanisms, that will ensure
the possibility of effective operation of compliance programs as well as will protect interests of
the enterprise that takes part in the process. This need is dictated by an arbitrary character of
many issues involved in the process (e.g. in relation to time-deadlines, scale of easements,
size of sanctions, etc.). As it has been shown earlier, such element of arbitration is necessary
if we want to maintain the individual character of programs. Defining detailed parameters of
the principles guiding the decision making process of this type is impossible. Such situation
within the framework of the existing administrative procedures leads to the following threats:
• huge number of appeals directed to the administration authority of the
second instance; the appeals will be submitted in every case when the
enterprise was not granted the best conditions permitted by law (e.g. the
longest possible time framework, the highest easements, the lowest fines,
etc.); and
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• uncontrolled freedom in the actions of an administration authority.
The above threats are clear if we take into account that no effective mechanisms of
control of arbitrary decisions have been developed within the existing administrative procedures
framework. Especially this role can not be played by a judicial control of administrativedecisions
as this control focuses on the legality of decisions and not on their technical justification. In this
light, the typical way of imposing mandatory decisions seems inadequate for the purpose of
compliance programs which require securing both the interests of an enterprise and efficient
functioning of administration. It should be kept in mind that the large numberofappealssubmitted
might even hold up the decision making process as each appeal will require a complete, new
analysis of the basic problems. This will lead to the situation when using the entire institution
will become impossible.
It should also be taken into account that leaving decisions in the competencies of
administration authorities, when the criteria for those decisions are essentially arbitrary (which
in this case in necessary because of specific nature of the institution of programs) is perceived
in a negative light by the parties as leaving an uncontrolled freedom to the body preparing the
content of decision. This feeling could be prevented by implementation of the first need , i.e.
allowing for participation of the enterprise in the decision formulation process, as well as leaving
to it the final decision whether to accept the proposed conditions or rather remain subject to
general regulations.
It should also be noted that construction of a comprehensive (in the understanding of
the administrative procedures code) justification for such an arbitrary decision would be very
difficult for an administration authority and therefore appraisal of such decision would be difficult
for any inspection. Approval given by the enterprise for the content of the decision would
significantly reduce such problems.
Summing up - the analysis of the existing regulation has lead to crystallization of major
problems that can not be effectively eliminated on the basis of the current administrative
procedures related to the decision making process. These are:
• low, in a general opinion, efficiency of mechanisms that should guarantee
a real influence of the party on the content of a decision (according to the
adopted concept such influence seems to be essential);
• lack of legal formula enabling division between the institution representing
public interest and deciding about details of an arbitrary decision and the
institution accepting this decision;
• difficulty in implementation and little practical effectiveness of mechanisms
providing administrative and judicial control of arbitrary decisions, which
can lead to uncontrolled freedom in decision making (injustice towards a
party, corruption, etc.), blockage of administration structures (e.g. large
numbers of appeals coming in from parties that claim they were not treated
in the best possible way); and
• limited possibilities for the involvement into the process of decision
formulation of sufficiently specialized experts and representatives of broad
spectrum of public interests.
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10 SCOPE OF NECESSARY MODIFICATIONS OF THE ADMINISTRATIVE
PROCEDURE TOWARDS THE "COMPLIANCE PROGRAMS"
FORMULATION
The analysis carried out in the previous chapter shows that there are some features of
the existing procedures that do not allow it to fully meet the assumed objectives. We should
therefore find an answer to the question whether and to what extent modifications should be
proposed. Such modifications are given in the next chapter on the procedure for formulation of
the program's content.
It should also be stressed, however, that the concept limits a necessary modification
to the minimum and does not really interfere into regulations of the administrative procedure
code but only uses some institutionsprovided in this act. This relates particularly to the institution
of an administrative agreement which is proposed for the agreed compliance program. The
idea is to spread the weight of decision about the program content over the equal partners
entering negotiationsof this content and to leave the function of legal control to an administration
body (voivoda). Assumed mechanism and scope of the regulation should, through the control
of legality, ensure that the public interest is taken into account.
The essence and idea of the proposed procedural modifications towards achievement
of the said objectives would be the following:
• A stage of preparation of the content of a compliance program should be
identified, based on the principle of contrariety, with the participation of
certain equal parties who lack such a basis for involvement in the existing
legal situation.
• The parties would be: the interested enterprise and the negotiation
committee, which would provide both the expertise and representation of
local interest currently lacking a basis in the existing legal situation.
• At this stage the process would follow the regulations of the administrative
procedure code relating to a process of gathering evidence and an
administrative hearing (used respectively). Its major objective would be to
gather the approval of the program from all interested parties.
• The result of this stage of the process would be treated as an agreement
signed by both parties in the understanding the administrative procedure
code.
• The relevantadministrationauthority would endorse the signed agreement,
having checked it only in legal terms (it could not interfere into technical
decisions considered legally correct). This assumption is narrower than
the competence of the body endorsing an agreement adopted in current
regulations. Such restriction seems necessary in the light of the principles
adopted here — first of all it strengthens the importance of previously
conducted negotiations, in which public interest was broadly represented.
Decision of the administration being the result of an agreement between
interested parties body would not be subject to typical control procedures.
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11 CONCEPTUAL BASIS FOR PROCEDURES TO PREPARE THE CONTENT
OF A "COMPLIANCE PROGRAM" (DETAILED ASSUMPTIONS)
The summary of the reasoning being made in this article is constituted by the concept
which can be illustrated within the eight following points:
• Negotiations would focus on defining the content of the administrative
decision introducing a compliance program for a given enterprise. The
compliance program would have to be constructed in such a way as to
take into account all aspects of environmental impact caused by the given
enterprise. The objectives of negotiation process could normatively be
defined as follows:
- defining the shortest possible deadline for real implementation of
imposed environmental obligations;
- provision of possibilities for concurrent operation of the enterprise and
implementation of environmental objectives;
- ensuring the use of technological solutions complying with the criteria
of best availabletechnologyfrom the point of view of both environmental
protection requirements and economic capacity of the enterprise;
- facilitating implementation of protective activities by the given
enterprise through the introduction of installments, postponement or
reduction of fees for the use of environmental resources, however, only
within the limit absolutely necessary for such facilitation; and
- ensuring effectiveness of execution of the adopted decisions.
• Negotiations could be entered only by these enterprises that fulfil certain
criteria. The application for initiation of this form of process would have to
contain the draft of the program, type and characteristics of activities to
be undertaken, their importance for achievement of environmental
protection objectives (particularly in relation to the achievement of
compliance with the existing for ambient and emission standards), level of
advancement. The application should also propose a subject of
negotiations important from the point of view of the applicant. Financing
sources for planned activities should also be specified as well as deadlines
for achieving compliance with the environmental standards in force.
Acceptance or rejection would be given by the relevant voivoda in the form
of a decision. The right of appeal would apply to the cases of rejection.
• The subject of negotiations could be a content of the compliance program
within the limits defined by the act. Principles of the use of environmental
controls during the program implementation could be negotiated. At the
same time, the decision would contain orders of implementation of certain
obligations, deadlines for their completion and deadlines for reaching the
compliance with general environmental standards, level of fees for the use
of environment and schedule of payments. The scope of negotiations
concerning the level of fees and schedule of payments for the use of
environment would be limited through the provision that a potential
reduction or postponement of payments are only possible if they facilitate
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implementation of activities aimed at environmental protection. This fact
would have to be evidenced through specifying in what way (related to the
program) the funds thus "saved" will be used.
The negotiation would have to include also some restriction and guarantee
provisions, including in particularthe monetary fines applied if the protective
obligation have not been fulfilled. It is assumed that this element of the
decision will on the one hand play a disciplinary role while on the other
hand will facilitate the execution of guarantee measures through an earlier
and clear identification of circumstances of their use. When negotiating
the content of the decision permitting the use of environmental resources,
the parties would be obliged to include in it provisions monetary fines for
the failure in fulfillment of obligations within the defined time framework.
The level of such fines could not be lower that for example two-fold the
level of possible benefits (savings) from noncompliance with imposed
obligations. The parties of negotiation could also define cases when the
failure in fulfillment of a specific obligation would result in issuing an
administrative decision holding off operation of the enterprise. The parties
could also define circumstances justifying and excusing a failure in
fulfillment of the obligations.
Scope of negotiations would be defined in a normative way. This would be
done through identification of the limits within which the negotiation
commission could modify the content of imposed obligations, and on the
other hand, through defining criteria which should be used as guidance
while negotiating the decision content. While negotiating the content of
the decision permitting the use of environmental resources, the negotiation
commissions would be obliged to take into account the following
circumstances in particular:
- current state of the environment in the given area as well as ambient
standards in force;
- environmental protection programs and general emission standards
in force for the given area or a type of activity;
- current and possible to achieve (after implementation of planned
measures) level of adverse environmental impacts caused by the
applicant enterprise;
- effectiveness of the proposed technical and organizational protective
measures from the point of view of environmental protection
requirements(Best AvailableTechnology concept should be used here
in the understanding of Integrated Pollution Prevention and Control
Directive); and
- economic and financial situation of the applicant and actual capabilities
of implementation of planned activities.
The negotiations would have a form of an initial process whose result,
confirmed by a relevant protocol, would be treated as an agreement (in
the understanding of existing regulations), and would be a binding base
for the voivoda to endorse the content of the compliance program through
a decision. The voivoda could only check the compliance of the negotiation
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results with the law. The proposal does not assume the need for detailed
regulations of the process of negotiation as this is defined in the
administrative procedure code, on which that formal framework should be
based, especially in relation to administration hearing, process of
gathering evidence, and others. Some matters, however, should be
clarified. First of all, the maximum time limit for the negotiations should be
defined in order to avoid using this tool as a way of survival of the period of
time without any decision. The same purpose would be served by
withdrawal of the right to complain at the decision that accepts the
agreement (with one exception - when the decision content is not in line
with the protocol of negotiations) and by granting such decision a status of
the mandatory immediate implementation by law.
Negotiations with the applicant enterprise would be carried out by a
specially established negotiation commission, being a representative of
the public interest in the process. The Commission would be established
in the voivoda's office and would work on the basis of the rules established
by him. The Commission would comprise three people delegated by each:
voivoda, voivodeship inspectorate for environmental protection, and local
Parliament. The candidates would have to have the proved professional
knowledge in environmental protection. On the motion of an interested
local authority, a representative of this authority could be included in the
Commission with a full voting rights. The Commission would also have a
representative of nongovernmental organizations involved in the process
on the basis of the relevant regulations of the administrative procedure
code. The Commission members would be nominated and dismissed by
a voivoda. The dismissal could be the result of the member's own request,
request of his/her delegating body or own initiative of voivoda in some
situationsdefined in the relevant regulations. Impartiality of members should
also be ensured by the act during the Commission operation. The person
employed in a governmental administration body or a local authority,
delegated to the commission should in that period be excluded from the
entire decision making process concerning environmental permits related
to this particular enterprise in question. The costs of the negotiation
proceeding would lie on the enterprise applying for the proceeding.
Important for the proposed concept would be to specify some guarantee
measures that could be used in cases of breach of the previously negotiated
program conditions (apart from the measures included in the program
itself). For example, if a breach is found in the conditions of compliance
program which was negotiated between the given enterprise and the
negotiation commission, the environmental protection inspector could,
apart from using relevant legal steps, apply to the relevant voivoda for
withdrawal of the decision. Also the local authority for the area where the
enterprise is located could apply to relevant voivoda for withdrawing the
decision. The voivoda, issuing as the first instance, the decision of
endorsement of a compliance program whose content had been negotiated
with the interested enterprise, could also on his own initiative, issue a
decision cancelling the program if a breach of the program is found and
regardless of any monetary fines or other sanctions provided in the program
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itself. In such situations the enterprise would again be subject to general
regime of principles of the use of environmental resources. Issuing the
decision cancelling the program should be allowed after the prior warning
of the enterprise and call for removal of the causes in a specified period,
and only when the period granted has passed. The enterprise asked to
correct its actions should notify the voivoda within the period given and
prove that the compliance with law has been regained.
12 CONCLUSIONS
We are optimistic that the implementation of these new authorities will offer the Polish
environmental compliance and enforcement programs a sound basis for making needed
progress in both compliance with environmental laws and prevention of pollution in a practical
manner which preserves the rule of law but recognizes economic realities.
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CIZKOVA, HELENA 811
COMPLIANCE AGREEMENTS FOR ENVIRONMENTAL RISK MANAGEMENT
IN THE CZECH REPUBLIC
ClZKOVA, HELENA
International Environmental Programs Manager, Ministry of the Environment of the
Czech Republic, Regional Project Management Unit in Ostrava, Prokesovo nam. 8,702
00 Ostrava, Czech Republic
SUMMARY
In the Czech Republic, environmental protection policy has been developing rapidly
over the period from 1990 to 1995. Starting from strong repressive enforcement, Czech
environmental policy was modified to adopt a more difficult, but in a long-term perspective
more efficient strategy of compliance agreement procedures. Lessons learned from the Silesia
Project, environmental and human health risk assessment and risk management program run
by the Czech Ministry of the Environment with significant support of the United States government
are presented in this paper as a model example illustrating the viability and sustainability of
such an approach.
1 "ENFORCEMENT PHASE" IN THE CZECH ENVIRONMENTAL POLICY
1.1 Historical background
After the principal democratic political changes in 1989, the government of the former
Czechoslovakia (the Czech and Slovak Federal Republic was spilt into the independent Czech
Republic and independent Slovak Republic on January 1, 1993) facing many economical,
social and environmental problems raised during the communist regime. A polluted environment
and unsatisfactory human health conditions were the most serious ones. Requests for a cleaner
environmentwere the same level of priority as requests for building a strong democratic political
system and a stable free market economy. That is why Czechoslovakia started to form an
institutional and legislative system of environmental protection at the same time the base for
the economical reconstruction and the privatization process was founded.
1.2 Institutional and legislative framework
The first steps toward making significant changes in the environmental protection
practice were taken in the field of institution building. The Ministry of the Environment was
established and a system of state administrationat the district and municipal levels were formed
and implemented. Environmental protection activities were officially included in a public
administration system performed by elected representatives in municipalities (at the level of
"self-management" for municipal authorities). In 1991, the Czech Inspection of the Environment
(integrated from previous inspection bodies operating independently in different environmental
sectors) was formed to provide state supervision in environmental protection issues.
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During an intense period from 1990 to 1992, the basic legislative framework of
environmental protectionwas prepared. Importantnew Acts were passed (i.e., the Environmental
ProtectionAct, the Waste ManagementAct, the Nature Protection Act, the Environmental Impact
Assessment Act, a new version of the Clean Air Act) and other related Acts were amended.
Both the new Czech institutionalandlegislativeenvironmentalprotectionsystems were
based on a long-term European tradition of environmental enforcement, mostly preferring
deterrent (charges, fines, penalties) to measures of "positive stimulation" (tax relieves, systems
of subsidies). Standards specifying acceptable levels of environmental pollution were
constructed on the "emission (source) principles" for individual pollutants accordingly to
standards used in countries of the European Union. To reach the requested environmental
quality sooner, some of these standards were more strict than similar ones in Germany, France
etc. As large investments were expected and necessary to follow the strong legislation, specific
"softer" conditions were set for the period of transition (1992 to 1998). This option should
enable industrial and other polluters to make the investments "step by step" and thus to
overcome the difficult investment period easily.
1.3 Current problems in environmental enforcement
Experience gained during the recent two years can confirm now (relatively close to
the deadlines set for the "period of transition") that the original expectations tied with the desired
impacts of the new environmental legislation were too optimistic. The state administration,
inspectors and polluters are facing situations which cannot be directly solved by implementing
traditional enforcement techniques, officially used in the Czech Republic. For example:
• To be economically viable, some industrial companies have to invest at
first in improvements of their production technologies and equipment, to
build new, more efficient capacities. Continuing in the current strong
deterrent environmental enforcement (i.e., forcing companies to invest in
very expensive environmental protection options, requesting payment of
progressive charges, fines and penalties for environmental pollution
currently caused) can lead the companies to bankruptcy with serious
economic and social impacts.
• Reaching the stringent environmental pollution standards (specificallythose
more stringent than in the European Union Countries) is - in some cases -
beyond possibilities provided even by the best available technologies.
• The environmental enforcement process based on the "stack" principle is
being applied in the same way in the whole country. The stack principle
means that emission standards have been set for individual sources of
pollution, without specific attention to conditions at the place where the
source is located. Despite limited financial resources, there is no explicit
possibility to set priorities in the enforcement effort. This fact can result in
situations in which the cost of environmental protection is much higher
than benefits provided by this option, and in general, the efficiency of
environmental protection is lower than could (and should) be.
• In some cases, standards for specific kinds of pollutants which can make
a significant impact on the environment and/or on the human health, have
not been included into legislation as yet; in fact, there is no explicit
legislative way to force polluters to reduce such risks.
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2 "COMPLIANCE PHASE" IN THE CZECH ENVIRONMENTAL POLICY
To solve the problems with environmental enforcement (including these ones specified
above), a modified approach to environmental policy and its enforcement was accepted. As
making the current environmental legislative framework "softer" in general is not possible, the
Czech Ministry of the Environment developed new possibilities for using the environmental
compliance process to provide an "extra dimension" to environmental enforcement.
The principles describing this approach were included into the new "State
Environmental Policy"1 prepared by the Czech Ministry of the Environment and approved by
the Government of the Czech Republic in August 1995. Based on the leading principle (the
responsibility of the present generation to preserve and transmit fundamental life values to
future generations) the document specifies a "socially acceptable level of environmental and
health risks" as the main criterion for decision-making in dealing with the environmental and/or
human health protection. The government expects that implementation of the "State
Environmental Policy" will increase significantly long-term effects and efficiency of the
environmental protection. Normative, economic and informative measures defined in the
document should stimulateenvironmentalcompliance processes as a way to reach the expected
environmental goals as efficiently as possible, without negative social and economic
side-effects.
3 COMPLIANCE AGREEMENTS FOR ENVIRONMENTAL RISK
MANAGEMENT —THE SILESIA PROJECT
3.1 The Silesia Project
The Silesia Project has been accepted as an example that principles included into
the new "State Environmental Policy" (with specific emphasis on the environmental compliance
approach) are viable and sustainable.
The Silesia Project is an environmental risk assessment and risk management project
designed to identify actions to reduce human health risks caused by environmental pollution
originated in the coal-mining and iron and steel-producing region surrounding Ostrava (the
Czech Republic). The project is coordinated by the Czech Ministry of the Environment in
cooperation with the United States Environmental Protection Agency and founded by both the
Czech and United States Governments. During the period June 1991 to May 1992, the initial
screening risk analysis was performed for fields of environmental pollution (air pollution, surface
water pollution, drinking water contamination, food contamination, waste disposal, occupation
health) in the specified region. Based on the result from the comparative risk assessment,
environmental priorities were set in July 1992 by representatives of central government, local
governments (districts and municipalities), regional industries and scientific research
institutions. Consequently, the management strategies to address the most significant risks
were developed in the form of industrial demonstration projects.
3.2 Reducing risks of coke oven emissions — risk management strategy
Results of the screening risk analysis were released in 1992, were that air pollution
risks are considerably higher than those posed by any other category of environmental pollution
in the Ostrava Region. Reducing human health risks caused by coke oven emissions was
identified as the top priority in regional environmental protection.
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In March 1993 (after difficult considerations dealing with a risk management approach
in general), the demonstration project was started. The goal was to minimize risk posed to
human health by emissions (organic compounds, particles) from 6 coke plants operated by 4
companies in the region. Starting conditions were very "unfriendly": industries did not agree
with the risk assessment results, municipalities (mainly Ostrava City Council) decided to use
any possibility to stop coke production in the Ostrava City and considered the proposed project
activities as worthless ones. In addition, the current Czech legislation did not set any specific
standards for these types of risky emissions, therefore the Czech Inspection of the Environment
looked upon the proposed project as an unfair activity against the Czech environmental
legislative system. The situation was felt to be an important and sensitive political issue as
well.
To solve this problem, the following steps were taken:
3.2.1 Project preparation phase: March to May 1993
This phase included: developing the project proposal; attracting and involving all
necessary participants; forming a project management team; obtaining necessary financial
sources; and preparing and approving the detail project description and work plan.
3.2.2 Technical and environmental audit: June to September 1993
Detailed audits were performed for each of the coke oven batteries at each of the
operating coke plants to evaluate technical status of the facilities, identify sources of risky
emissions and estimate their quantity.
3.2.3 Coke market analysis: September 1993 to January 1994
Market analysis were prepared for each of the coke plants and for the total regional
coke production in three alternatives of scope: Czech Republic market - European market -
World market.
3.2.4 Mitigation options development: October 1993 to March 1994
Lists of mitigation options (in short-term and long-term perspectives) were prepared
for each of the coke plants. Low-investment options began to be implemented immediately.
3.2.5 Detail risk assessment: March to November 1994
Based on the audit and lists of mitigation options, detailed risk assessments were
performed individually for each of the coke plant and for the regional coke industry in general.
The risk was evaluated regarding to the current situation and to the future conditions (after
mitigation options will have been implemented).
3.2.6 Cost-benefit analysis of proposed options: November 1994 to April 1995
For each of coke plans and for regional coke industry in general, cost benefit analysis
was performed to evaluate each of the proposed investment mitigation options.
3.3 Compliance agreement for supporting risk reduction options in the coke
industry located in the Ostrava City area
In November 1993, the Ostrava City Council decided to apply land-use planning as a
tool to close down two of the coke plants operated by the Ostrava-Karvina Coal Mines Comp.
This decision would cause both troubling economic impacts on the Company and significant
social problems in the Region. The deadline was set for December 31,1997.
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Through the Project Silesia, a negotiation process was recommended both to the
City and the Company. The negotiation was to set complex conditions, necessary for reducing
human health risks currently posed by these two coke plants. The proposal was accepted and
started to be implemented in February 1994. During facilitated discussions, results of studies
mentioned above were used for drafting an agreement between the City and the Company.
The agreement covered "gaps" in current legislation and identify:
• Which options should be implemented by the Company to reach the
emission standards specifically set with the respect to the acceptable level
of human health risks posed by coke oven emissions (based on
recommendations confirmed by the Regional Institute of Hygiene and by
the Regional Office of the Czech Inspection of the Environment).
• Deadlines set individually for each of the options requested by the
compliance agreement.
• Enforcement mechanisms applied by the Ostrava City (including involving
the public by forming a citizens' "watch-dog group").
In May 1995, the consensus of all the participants was finally reached and the 14th
version of the compliance agreement (which was in fact much more stringent than the current
Czech environmental legislation) was approved. The agreement was signed in June 1995.
The information issued by the Ostrava City at the end of December 1995 has confirmed that
the compliance agreement was fully respected and followed by the Company.
4 CONCLUSIONS
The negotiation between the Ostrava City and the Ostrava-Karvina Coal Mines Comp.
had been started, run and successfully completed before any official support involved in the
"State Environmental Policy" was expressed. Also another environment compliance process
was started by the Silesia Project before this document was approved (i.e., a negotiation
between the government authorities, Ostrava City and a company responsible for an extremely
expensive complex remediation of a heavily polluted abandoned coke plant area in order to
manage human health and environmental risks posed by soil and underground water
contamination.)
Some potential problems could be identified based on this previous experience to
avoiding difficulties in early phases of environmental compliance activities:
• The historic tendency "not to act and wait for a strong legislative requests
or prescriptions" and to avoid actions based on voluntary approaches is
very significant. Attracting all necessary participants to discussions about
compliance goals, strategies and enforcement "in between" the current
environmental legislation takes much time and needs much patience from
facilitators (moderators) and participants.
• Identifying roles and responsibilities of all participants (and making them
accept these roles and responsibilities) seems to be the key step to a
constructive environmental compliance process. As the current system of
the Czech environmental legislation and enforcement does not specify the
roles and responsibilities taken in a compliance process by governmental
authorities, municipalities ("self-management" authorities), public and
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816 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
polluters clearly, each problem should be approached individually, with
sensitivity with respect to local economic, social and political conditions.
In general'most of the environmental compliance activities should be taken
by municipal authorities, industry (polluters) and public. The government
authorities should provide a guarantee for respecting the fundamental
principles of environmental policy and the basic framework of the current
environmental legislation (including encouraging participants to solve also
problems "in between" the current environmental protection acts).
• Educating the public to leave the position of passive acceptors of
environmental pollution risks (which resulted from the former "environmental
and human health protection taboo" in the communist regime) and to accept
an active role in compliance negotiations and enforcement is a difficult
and long-term process which needs much effort made by the central and
local governments, mass media and polluters.
Despite the difficulties specified above, the strategy of well enforced environmental
compliance seems to be promising, viable and efficient even in countries which have to solve
fundamental conversions toward a market economy.
REFERENCE
1. State Environmental Policy, Ministry of the Environment of the Czech Republic, Prague,
1995.
-------
THEME # 7: MAKING PROGRESS: REGIONAL EXAMPLES 817
THEME #7:
MAKING PROGRESS: REGIONAL EXAMPLES, CAPACITY-
BUILDING AGENDA, INTERNATIONAL/REGIONAL
NETWORKS
Theme 7 includes summaries of regional meeting discussions at the Conference on the
status of country programs, identification of capacity building agendas and future plans
for networking within the regions. Papers of individual country experiences outline the
following areas:
• The improvements in achievement of compliance and improved program
design since the Third International Conference on Environmental
Enforcement.
• A specific environmental problem and related environmental requirements
for which compliance is sought; in particular, it would be useful to address
problems related to the "Principles of Environmental Compliance and
Enforcement" case study topics (i.e., mining, tourism, petroleum, waste
disposal, coal burning for power, illegal shipments).
• The particular program design challenge facing the country; in particular those
related to the UNEPinstitution-buildingworkshop subjects (i.e., organizing,
human and financial resources, permit processing, and compliance monitoring
and enforcement response).
• The impediments and problems associated with achieving program goals
that existed prior to the Third International Conference on Environmental
Enforcement.
• Theimpetustocorrectthecomplianceorinstitutionalproblem.
• The steps taken to identify and considersolutions.
1. Summary of Africa Regional Meeting, Facilitators: A, Adegoroye, F. Hanekom,
UNEP Facilitator J. Skinner, Rapporteur: D. Novak 827
2. Summary of Americas Regional Meeting, Facilitators: J.C. Bravo, C. Currie, M.A.
Gonzalez S., J. Wise, UNEP Facilitators: C. Cocault, T. Udall, Rapporteurs:
J. Jeffery, R. Sturges 827
• Oaxaca Declaration 840
• Proceedings from Managua Meeting: Creation of the Central American
Enforcement Network 843
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818 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
3. Summary of Southeast Asia and Pacific Regional Meeting, Facilitators: A.
Santosa, R. Vasquez, UNEP Facilitators: M. Radka, C. Wasserman,
Rapporteurs: K. Rubin, J. Mozingo 857
4. Summary of South Asia Regional Meeting, Facilitators: A. Santosa, R. Vasquez,
UNEP Facilitator: R, Glaser, Rapporteurs: K. Rubin, J. Mozingo 865
5. Summary of Central and Eastern Europe Regional Meeting, Facilitators:
A. Mizgajski, E. Kruzikova, G. Bandi, UNEP Facilitators: H. Laing, H.
Kesselaar, Rapporteurs: S. Casey-Lefkowitz 869
6. Summary of West Asia and Middle East Regional Meeting, Facilitators:
T. Genena, R. Rotenberg, UNEP Facilitator: 0. EI-Kholy 873
7. Summary of Western Europe Regional Meeting, Facilitators: .Rapporteurs: 875
8. Public Information as an Environmental Policy Tool: The Indonesian Experience,
N. Makarim, J. Butler, S. Tumiwa 887
9. The City of Ki-Takyushu's Experience Concerning the Implementation of Counter
measures for and Compliance with Environmental Protection Legislation,
R. Hitsumoto 893
10. Survey of Environmental Law and Enforcement Authorities in China, Y. Zhao 903
11. Enforcement of the Legislation on Genetically Modified Organisms in The
Netherlands, /. vanderLeij, M.S. Thijssen 923
12. Environmental Laws, Capacity Building and Compliance Monitoring —The Hong
Kong Experience, J.E. Boxall, W.F.S. Ho, C.K.P. Lei, C.W. Tse 937
13. Problems in the Enforcement on Radioactive Materials in the National and
International Trade in Metal and Metalscrap, G.M. Breas and P.I. van der Vaart 949
14. Some Environmental and Enforcement Issues Relating to the Siting of a Medium
Scale Steel Mill on the Shores of the Manukau Harbour, Auckland, New Zealand,
C. Hatfon 955
15. Enforcement Strategies of the Israel Ministry of the Environment, R. Rotenberg 963
16. Development and Enforcement of New Armenian Environmental Protection
Legislation: Problems and Solutions, V. Ter-Nikoghosyan 977
17. Features of Licensing and Control of Environment in Romania, I.D. Vasilescu 983
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THEME # 7: MAKING PROGRESS: REGIONAL EXAMPLES 819
18. From Environmental Planning to Enforcement: A Case Study from Egypt,
T.M. Genena 99?
19. El Salvador's Experience in the Design of Environmental Programs,
G. Navarrete Lopez 997
20. The Role of Goals, Steps, and Content of Comprehensive Compliance
Programs in Achieving Environmental Compliance and Enforcement
in Romania, D. Popescu 7003
21. Thailand's Environmental Enforcement Program, K. Homchean 1013
22. The Range of Legal Enforcement Tools in Lithuania and Problems, D. Lygis 1021
23. Licensing and Enforcement at Municipal and Provincial Level in North Brabant:
Developments in Recent Years, J. Blenkers, N. Dots, P. van der Linden 1025
24. An Integrated Approach to Environmental Enforcement—A Case Study,
B. Baron 1043
25. Compliance and Enforcement Programs on Residual Waters, Case Study:
Costa Rica's Grande DeTarcoles River, M.A. Gdnzalez Salazar 1049
26. Development And Implementation Of Information Exchange By
Enforcement Of Environmental Legislation, J. vanDijk. 7069
27. See also Environmental Enforcement and Public Advocacy in Ukraine,
S. Kravchenko 515
See related papers from other International Workshop and Conference Proceedings:
1. Process of Upgrading the Polish Environmental Enforcement Procedures, Z.
Kamienski, Volume I, Oaxaca, Mexico
2. A South American Country Example: Environmental Legislation Enforcement in
Mendoza, Experience and Challenges, J. L. Puliafito, Volume II, Oaxaca, Mexico
3. Social-Economic Problems Experienced in Compliance and Enforcement in Tanzania,
W.M.K. Masilingi, Volume II, Oaxaca, Mexico
4. Russian Federation State Evaluation of Explored Reserves as an Economic and
Geological Enforcement for Meeting Ecological Requirements for the Development of
Natural Fuel and Raw Mineral Deposits, M. V. Tolkachev, Volume II, Oaxaca, Mexico
5. The Mexican Experience on the Enforcement of Environmental Normativity, F.
Bahamonde Torres, Volume II, Oaxaca, Mexico
6. Overview of Compliance and Enforcement in the United States: Philosophy, Strategies
and Management Tools, C. Wasserman, Volume I, Utrecht, The Netherlands
7. Another Country's System: Sweden, A. Melin, Volume I, Utrecht, The Netherlands
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820 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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AFRICA REGIONAL MEETING SUMMARY 821
AFRICA REGIONAL MEETING SUMMARY
Facilitators: Adegoke Adegoroye, Francois Hanekom, and John Skinner
Rapporteur: David Novak
GOALS
Workshop discussionsfocused on:
• Shared problemsand challenges
• Institution-building needs
• Opportunities for institutional support and exchange (review of existing
mechanisms)
• Proposalsfor regional networking: agenda for action
• Desired linkageto international capacity building efforts
• Targets of opportunity
1 INTRODUCTION
More than 20 participants from 10 countries within Africa, along with representatives from
the Netherlands, the United States and UNEP met on the third and fifth day of the conference to
discuss driving forces for and barriers to environmental compliance and enforcement. They
discussed the status and accomplishmentsof programs in the region, networking needs and first
steps for organizing a regional complianceand enforcementnetwork.
2 DISCUSSION SUMMARY
The first session began with a discussion of the driving forces and barriers to enforcement
and compliance experienced by different African nations. Afterthe UNEP workshopon organizing
programs was presented, participants entered into an open discussion regarding enforcement
program design, enforceable requirements, and compliance monitoring, where possible solutions
to specific problems and experiences of individual countries were discussed.
The next session began with a review of the driving forces and barriers to enforcement
and compliance discussed previously. The workshop participants then briefly reviewed issues
relating to the organizing of programs, environmental challenges, enforceable requirements, and
compliance monitoring.
2.1 Enforceable permitting requirements and implementation
Discussionsfocused on several issues:
• First, in regard to the issue of relocation or rules affecting industrial location,
representatives from Nigeria indicated that they felt that a minimum level must
be established at the federal or national EPA level even if the regional EPA
has lower or no standards, there must be some uniform minimum standards.
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822 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• Discussions also addressed bureaucratic bottlenecks and how to avoid them.
Representatives from Tanzania indicated that they involve industry in
developing a precise schedulefor permitting in orderto avoid bottlenecksor
delays by the investor, bureaucrats, etc. The question was raised about what
happens if the government misses the timeframe for issuing the permits?
Kenya describedtheirone-stoplicensing. EPA is not responsiblefor issuing
permits. In Malawi licensing agencies cannot issue permits without consulting
with the environmental agency.
• How many public hearings should be held before permitting? The group
recommended one general and one specific.
• When should a permit be revised or reapplication be made? The group
recommended that there is a need to reapply with increased production if
there is an increase in pollution or use of resources.
• Whether all facilities need a permit? The group discussed the fact that this
would be based upon size and the environmental impact and ambient
conditions.
• The question of how long a permit should be issued was discussed along
with the difference between licensingand permitting.
2.2 Compliance monitoring and enforcement response
Several issues were discussed including:
• Appropriate enforcement mechanisms and sanctions against whom: the group
discussed how one determines what a criminal action is and how to treat joint
ventures. Who is responsiblefor paying fines or serving time?
• Compliance at government owned or operated facilities with reporting and
environmental requirements, in particular, who defends the government when
violations are taken to court.
• The problem of balancing profit and other national interests versus
environmental compliance. The group decided that the language and tact
with which governmentis approached concerning violationsis critical.
• Centralized versus decentralized enforcement responsibilities and authorities:
federal governments often set policy while enforcement takes place at the
state and local levels. The fact that strategic industry is often politically protected
by national governments was raised and a solution offered that it may be
effective to take provisional steps with enforcement of regulations to get things
moving in the right direction rather than take no action at all. Another approach
is to broaden the group of persons responsiblefor non-compliance to cushion
the blow.
• Balanced budgeting: what should the relationshipbe between the budgetfor
enforcementand the budget for inspections and which should receive more
resources? What percentage of the budget should be set aside for violations?
The group decided that the answerwill vary by country, but it is necessary to
be sure to have enough enforcement resources to respond to violations.
Prosecution may come from a different budget than inspections and related
costs may just be field costs.
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AFRICA REGIONAL MEETING SUMMARY 823
• Publicizing enforcement actions: how to go about publicizing violations and
enforcement actions? Discussants indicated that it is important to train
reporters on environmental issues and to encourage an environmental
awareness section in the newspaper. Suggestions included creating
relationships with NGOs in orderto publicize information. There also must be
appropriate access to information by the legislature. Newsletters and fact
sheets by the agencies are helpful.
• Degree of public involvement, how and when the public should get involved in
designing requirements, monitoring complianceand enforcement response.
2.3 The need for institution building
The need for institution building was then discussed, and the following issues raised:
• Dealing with diversity between countries.
• Differing levels of technical expertise.
• The need for centralized institutional support within individual countries.
• The need to have a well trained and efficient inspection and reporting staff.
• The need to acquire more technical equipment.
• The need to increase the prominence of environmental agencies within
individual countries.
* Limitationson financial and capacity building expertise.
• The need to focus on regional goals.
2.4 Networking needs
Opportunitiesfor institutional support and exchange were then discussed and questions
raised. What can individual countries leam from each other? How do countries go about facilitating
the development of individual complianceand enforcement programsand the exchange of ideas
between countries within the region? Several suggestions came out of this discussion:
• Develop an inspectorexchange program between countries.
• Develop an informationexchange program between countries.
• Bilateral exchange of legal and technical advice and expertise.
• The suggestion that current inspectors receive some legal training (not a law
degree, but a minimal amount of training concerning environmental law and
the legal framework within the country).
• Develop a mechanism where academic resources can be pooled throughout
the region, and environmentaltraining can take place.
• Developalistofinternationalcapacitybuildingopportunities(inventory).
• Identify a core of experts in Africa to assist in developing capacity.
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824 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
2.5 Organizing an African environmental compliance and enforcement network:
Based on this discussion, a framework for a regional network was established. Dr.
AdegokeAdegoroyefrom Nigeria agreed to establish an African Regional Secretariat, which will
be charged with organizing and contacting enforcement and compliance officialsfrom five parts of
Africa in order to facilitate the training and exchange of information and technical expertise within
the region. Representativeswerethen selected from the participantsto act as "Coordinators"for
five sub-regionswithin Africa.
• Mr. Martin Lloyd, from South Africa, will be responsible for gathering information
and contactingenforcementagencies in Southern Africa.
• Dr. Alao Yekini Akala from Benin, will be responsible for gathering information
and contacting enforcement agencies in Western Africa, and from the French
speaking African countries.
• Mr. Frank Turyatunga will be responsible for gathering information and
contactingenforcementagencies in Eastern Africa.
• The proposal was put forward to coordinate with Dr. Tarek Genena (who
attended the West Asia/Middle East Regional Workshop) from Egypt to
perform these responsibilities in North Africa.
• The question of who will be responsible for Central Africa is still under
consideration.
2.6 First steps: an African Regional Training Workshop
The participants agreed to hold an African Regional Training Workshop in South Africa in
March or April, 1997. This Workshop will serve as a "train the trainer" workshop for enforcement
and compliance officials throughout Africa. The Workshop will also serve to strengthen ties between
the African nations and to provide enforcement and compliance principles training to officials in
countries which were not able to attend the 3rd or 4th International Environment Conferences. The
proposed Workshop will also serve to prepare African participants for future International
EnforcementConferences. Dr. Francois Hanekom, from South Africa agreed with the Workshop
premise, and will seek official approval to move forward with planning for the workshop upon his
return to South Africa.
2.7 African Regional Center(s) for Capacity Building
An official proposal to establish an African Regional Center for Capacity Building will be
put together by Dr. Adegoroye, and sent to all African participants who attended the Fourth
International Conference for review and comment. The creation of the Regional Center will be
addressed in more detail during the Regional Training Workshop to be held in March or April of
1997.
3 CONCLUSIONS
The consensus of the participants in the African Regional Workshop is that a lot of positive
accomplishmentshave come out the two meetings. The participants agreed upon a preliminary
set of institution building needs and a structure to meet the needs of Africa in five subregions, with
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AFRICA REGIONAL MEETING SUMMARY 825
sub-regional leaders identified. They agreed upon the hosting of an Africa training program to
develop a core set of trainers to be able to establish a common set of principles and frameworks
within Africa on which to build with a timeframe and structure for action.
List of Participants Africa Regional Meeting
Dr. AlaoYekiniAkala Ministerede I'Environnementde I'Habitatet de I'Urbanisme Benin
Mr. Choma Johnson Matale Department of Mines Botswana
Dr. Ossama EI-Kholy Egyptian Environmental Affairs Agency Egypt
Dr. Tarek Genena Egyptian Environmental Affairs Agency Egypt
Mr. Kihumba Francis Njuguna National Environment Secretariat Kenya
Mr. Raphael Peter Kabwaza Ministry of Research and Environmental Affairs Malawi
Mr. ErnestM. Makawa Ministry of Research and Environmental Affairs Malawi
Dr. Adegoke Adegoroye Federal Environmental Protection Agency Nigeria
Federal Environmental Protection Agency Nigeria
Federal Environmental Protection Agency Nigeria
Ministry of Transport, Communications and Environment Sierra Leone
Department of Environmental Affairs and Tourism South Africa
Department of Environmental Affairs and Tourism South Africa
Department of Environmental Affairs and Tourism South Africa
West Cape Department of Environment and Cultural Affairs South Africa
Department of Environmental Affairs and Tourism South Africa
Gauteng Provincial Administration South Africa
ParliamentofTanzania Tanzania
Ministry of Education Uganda
National Environment Management Authority Uganda
National Environment Management Authority Uganda
Ministry of Lands and Water Resources Zimbabwe
Dr. Chris lyayi
Dr. ModupeTaiwoOdubela
Ms. Jemimah Eugenia Cole
Dr. Francois Hanekom
Mr. J. J. Jordaan
Mr. S. M. Lloyd
Dr. J. H. Neethling
Mr. W.E.Scott
Ms. Ann Sugrue
Hon. Wilson Masilingi
Mr. LamexOmaraApitta
Mr. Frank Turyatunga
Mr. Robert A. Wabunoha
Mr. Mfaro Moyo
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826 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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AMERICAS REGIONAL MEETING SUMMARY 827
AMERICAS REGIONAL MEETING SUMMARY
Facilitators: Javier Cabrera Bravo, Chris Currie , Marco Antonio
Gonzalez Salazar, John Wise
Rapporteurs: John Jeffery, Rick Sturges
UNEP Facilitators: Claire Cocault, Tom Udall
GOALS
The goal of the workshop was to explore regional issues dealing with the major driving
forces and barriers related to the developmentand sustainability of an effectiveenforcementand
compliance program in each of the represented countries, including group discussions of problems
and solutions. The group's expectations for this meeting and what it hoped to accomplish in the
time frame allotted are as follows: (1) open and frank discussion of problems areas, participation in
problem solving, how these problems were overcome and why actions were taken; (2) opening
new lines of communication, cooperation, and coordination; and (3) in so doing the group would be
able to reach a joint agreement and understandingof common achievable goals.
1 INTRODUCTION
Participants from the Americas were so numerous they initially met in two separate
sessions, A and B, to permit greater opportunity for exchange. Combined sessions met together
on the final day of the Conference to address ongoing networking opportunities and needs for
exchange and cooperation. This report is a composite of both sessions and indicates when
participantsof only one session were involved.
2 DISCUSSION SUMMARY
2.1 Common themes within the region
Participants discussed common themes that provided a context for environmental
programs within the region.
• Transition towards democracy
The transition towards democracy has introduced new social systems which in turn have
raised public expectations, led to the emergence of an important role for NGOs, and opened access
to information and communications.
• Changing concept of governance
Throughout the hemisphere there have been rapidly changing notions of how to govern
with a shifting landscape of authorities, responsibilitiesand roles between the federal or national
level and state or provincial and local or municipal levels of government. This is made even more
complex by overlapping jurisdictions, and an uncertainand changing role forthe judiciary.
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828 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• Changing concept of rule of law
Throughout the region, the concept of the rule of law is being embraced which has brought
several changes. Among these are the passageof framework environmental laws, demands for
consistent and fair environmental enforcement, new concepts of property with stronger property
rights, an expansion of rights and standing to sue, criminalization of environmentally damaging
conductand corporate liability.
• Economic and social forces
All the countries in the region must deal with significant issues of poverty, economic activity
which is not entirely visible to government regulators, development pressures, globalization of trade
and industrial activity, privatization and debt service issues facing governments which require them
to cut back or at least closely manage program costs.
• Trend toward free trade
The recent moves within the Americas to establish common markets is increasing both
transboundaryflows of legal and illegal waste and potentially hazardousand toxic chemicals, and
increased environmental pressures related to tourism.
• Regional identity
There is a clear emergence of continental and hemispheric identity but a marked absence
in the leadership and structures necessary to effectively follow through in the area of environmental
protection. UNEP has been a regional constant but the promise of the "Oaxaca Declaration" which
the participants from the Americas drafted and signed at the Third International Conference in
Oaxaca, Mexico in 1994 for ongoing networking has not been realized.
• Limited resources
This includes human, technological, and financial as well as limited institutional capacity.
• International agreements
International agreements are playing a significant role in the development of environmental
programsandtheirenforcementwithin the region.
2.2 Driving forces in the region for environmental compliance and enforcement
programs
While there was some concern regarding the definition of the term public opinion, the
group agreed that if it included issues such as public awareness, participation, education, the
press, and NGOs, then it was the number one driving force throughout the region as it related to why
governments have or need an environmentalenforcementand compliance program. Secondary
issues were determined to be: economics (e.g. marketplace pressure, tourism, international
agreements),dedicated professionals,and highly visiblesources of pollutants.
2.3 Barriers to successful environmental compliance and enforcement
The major barrier was determined to be limited resources (e.g. human, technical, financial)
needed to accomplishthe mission of the country's environmental organization. Secondary issues
ranged from human nature (resistanceto change, consumerism, lack of awareness/education)to
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AMERICAS REGIONAL MEETING SUMMARY 829
political pressure and inter-governmental competition for resources to fragmented laws and
regulations to the lack of imaginative and/orflexible approaches to problem solving. These barriers
add up to limited institutional capacity to implementenvironmental programs.
2.4 Compliance and enforcement issues of concern in the region
Discussionsdealt with the following issues:
• General compliance and the need for a targeted approach (large emitters,
risk related, etc.).
• The use of agreements and why the regulated community signs them (e.g.
Are they buying time?)
• Are schedules needed to confirm compliance and are audits needed to verify
aspects of the agreement?
• When is enforcement used for those who signed but have not yet reached
compliance?
• What role do international agreements play in pressuring facilities into
compliance?
• The need for both a carrot and a stick and the concern about industrial
information being confidential and for what is it used: self-disclosure,
enforcement, funding requests.
2.5 Common environmental challenges and priorities
Anothergroup discussion was held regarding the environmental challenges and priorities
with which each country must deal. As the group comprised a mix of country sizes, environmental
organization experience and resources, political agendas and economic development plans there
was no true consensus as to a specificmajor pollution source throughout the region or the effected
medium from a specific source. However, many spoke to the need to control non-point sources
(water, agricultural run-off, storm-water, etc), automotive emissions, and the after-effects of mining
and natural resource exploration. In Canada and the United States the issues of greenhouse
gases, climatic change, ozone depleting substances, and the misuse of land lead those media
most affected. In Mexico, Chile, Paraguay, Nicaragua, and Panama each stated the need to control
emissions from non-point sources, mining, and natural resource exploration. The islands of the
Antilles and Aruba spoke to the need to control oil refinery dischargesand small businesses (solid/
hazardous waste disposal).
2.6 Country examples
Discussions provided an opportunity to highlight some country programs, summarized in
Annex 1.
2.7 Existing networks within the Americas for environmental exchange
Participants identified many existing networks within the region for both bilateral and
multilateral cooperation on environmental matters. These include:
• NACEC — North American Commission for Environmental Cooperation,
involving Canada, U.S. and Mexico
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830 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• Environmental Enforcement Associations (USA state associations which
include some border states in Mexico and Canada)
• Canadian Association of Wildlife Enforcement Directors
• Summit of the Americas
• Central American Alliance for Sustainable Development (ALIDES) —
CONCAUSA Declaration
• La Paz Agreement (U.S.- Mexico)
• Central American Commission for Environment and Development (CCAD)
• Organization of American States (OAS)
• I nteramerican Bar Association
• Central American Interparliamentary Commission for the Environment and
Development (CICAD)
• CSJ
• Bilateral Agreement
• Mexico - U.S. Integrated Border Environmental Plan (IBEP) "Border 21"
• Mercosur - Southern Common Market Agreement (Working Group to
Harmonize Environmental Laws)
• Proposed Environmental Center for the Amazon Region
• Amazon Treaty
• Andean Pact (Pacto Andino)
• NGO Network (Environment and Natural Resources Foundation is a member)
from Paraguay, Uruguay, Brazil, and Argentina
• Informal Enforcement/Compliance Officials Networks of "Working Level
Officials" (e.g. Yukon/Alaska)
• ICLEI - Urban Environmental Problems (Based in Canada —works in Latin
America)
• Megacities NGO
• Environmental Indicators Network (UNEP and CIAT- Cali, Colombia)
• Grupo de Rio
• Grupo de los Tres
• Mexico/Central American Agreements
• UNEP/ROLAC - United Nations Environment Program - Regional Office for
Latin America
• Canadian Association of Environmental Enforcement Officials
• Inter-American Convention on Human Rights and the Court of Justice
• IUCN Regional Chapter
• OECS - Organization of Eastern Caribbean States
Only a few of these networking mechanisms now address environmental compliance and
enforcement issues. The participants then focused on what the needs were for networking and
how best to use these or develop additional avenues for cooperation.
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AMERICAS REGIONAL MEETING SUMMARY 831
2.8 Networking needs for environmental compliance and enforcement for the
Americas
Several areas of networking needs were identified in six broad topical areas.
2.8.1 Information
Participants identified the importance of having the following types of information to support
enforcementprogram implementation, networking and capacity building:
• Establish an internet conference on environmental enforcement. The host
vehicle could be Environ$en$e Database sponsored by US EPA or the
NACEC Network.
• Directoryof governmentalministriesand agencies listing key contacts.
• Directoryof NGOs listing key contacts.
• List of environmental offenders, in particular, information on the operation and
compliance status of multinationalsoperating within respectivecountries.
• Compendium of environmental legislation (NACEC has North American
Environmental Laws on-line)
• Working listsof environmentaland enforcementprioritiesin other countries.
• Directory of availabletraining resources.
• Compile list of libraries (NACEC library available on-line).
• Ensure access to other key documents and reports such as:
- Copy of Portland Model Act on Crimes Againstthe Environment.
- UN Secretary General Reporton Environmental Crimes.
While the group supported the use of the internet for making this information available,
other mechanisms for sharing information were discussed. Two specific offers to enhance
information exchange were made including:
• Special issue of Brazilian Law Review on Environmental Enforcement and
Compliance (W/Contributionsof Two Groups)
• Mr. W. Futrell, President, Environmental Law Institute (ELI), volunteeredto
develop and distribute a newsletter dealing with regional issues of compliance
and enforcementas a follow-upto this meeting.
2.8.2 Training
Participants discussed the need for training programs to be developed and delivered,
operated and staffed by people from the region who are familiarwith regional issues and can offer
relevant experience to theircounterparts.Training resources should be:
• Focused on the needs and priorities of the region.
• Translated to language and custom.
• Hands-on practice and experience.
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832 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Participants also discussed the need for a compendium of training needs and training
resources. Thiswould potentially be a project developed as a cooperative project between UNEP
and individual countries.
Following one of the presentations a need was identified regarding the use of technical
assistance personnel and the role cross-cultural awareness and sensitivity plays in developing and
maintaining international relationships. The group as a whole agreed that it was better to send a
culturally aware staff member than one whose sole qualificationwas being an expert in a specific
field or function.
2.8.3 Organize a "Caucus of the Americas"
Given the many different vehicles for networking and the need to establish a focus and to
set priorities, the participants discussed the need to establish a "Caucus of the Americas."
The Caucus would provideinput into agendasfor:
• Exchangeaboutcommon issues.
• Setting regional priorities.
It was decided that regional issues that were defined and listed would include not only
enforcement issues but also financial or technical aspects of compliance and prevention issues as
well.
2.8.4 Sub-regional networks on particular geographic issues and problems
Participants agreed that to really begin to solve certain types of environmental issues, the
region would have to support the organization of smaller, more focused networks on the basis of
geographic and specific issues of interest. This could be accomplished through face to face meetings
or via the internet-Environ$en$e.
3.8.5 Establish a task force for follow-up
A small group of dedicated and interested people is needed to:
• Plan the next steps.
• Seek governmental involvement and support.
• Seek sources of funding.
• Get academics involved.
• Get judicial, executive, legislative involved.
• Develop proposal forthe nextmeetingswithinthe regionand internationally.
This same group of volunteers would serve as a liaison with the Executive Planning
Committee for the Fifth International Conference on Environmental Compliance and Enforcement
and provide agenda items for regional meetings to be held before the next international conference.
The results of these regional meetings should provide the focus and foundation of the 1998
Conference. If possible, financial support should be used to support these regional meetings,
building to the Conference. Participants should even consider whether it would be preferable to
have the Conference in 1999 or 2000, in order to give regional networks time to organize and
meet. Regional ratherthan national linkages could then be identified during the Conference. The
participants voiced concern that support for the Conference will decline unless all participants help
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AMERICAS REGIONAL MEETING SUMMARY 833
to set the agenda to ensure that topics were of importance and relevance to each country, that the
Conferences provide for translation when needed, and that exchange would be advanced by having
all abstracts, documents and cases well in advance of the Conference.
4 CONCLUSIONS/NEXT STEPS
Participants in the Americas regional meetings from the Caribbean, South and North
America found that there was a common context and theme that linked them together in addressing
environmental challengesandenvironmentalcomplianceand enforcement program design and
implementation. The two Americas' sessions, meeting separately, independently reached the
same conclusions. This consensus was reinforced and confirmed in a joint session.
Discussion focused on the value of establishing regional networks and on the notion of
organizing regionally based meetings. Participantsagreedon a new concept, a broadly defined
"Network for EnvironmentalComplianceandEnforcementforthe Americas." This network would
retainas its focus enforcement issues, but be inclusiveenough to also address matters of law and
policy. The network would help to meet needs related to increased communication and information
through both individual and governmental actions. Proposalsfor action within six specific topics
were then identified:
• Exchanging information.
• Training.
• Establishing a "Caucus of the Americas" to identify issues and set priorities.
• Establishing subregional networks to organize smaller, focused exchanges
within the "Caucus" based upon geographic or other specific issues and
interests.
• Establishing a task force to ensure Conference follow up and engage with the
Executive Planning Committeefor the next Conference
The internet was proposed as a vehicle to discuss environmental enforcement issues.
Existing systems such as those sponsored by the U.S. Environmental Protection Agency (EPA) or
the North American Commission on Environmental Cooperation (NACEC) might be used.
A regional inventory of people, programs, issues and organizationsshould be compiled
to advance the development of a regional network. For example, directories which identify key
contacts in governmentministriesand agencies, identify important contacts in non-governmental
organization communities, list environmental offenders, identify available training resource contacts
and courses, and identify library resources.
In regard to training, the needs and priorities of the region require training translated to
conform to the language and customs, combined with hands-on practical scenarios based on
relevant regional experience.
They identified many existing networks for addressing environmental issues but few with
a focus on implementation, compliance and enforcement. The participants identified networking
needs and mechanismsforfollowup.
In particular, a small group of dedicated and interested volunteers will identify themselves
to work with the members of the Executive Planning Committee in planning how the
recommendations of the Americas groups can be achieved and incorporated into the 1998
Conference. These next steps include seeking additional involvement and support from participating
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834 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
governments; seeking alternative funding sources; and encouraging the participation of those
representing academic institutions, the judiciary and the executive and legislative arms of
government.
Agenda items for regional meetings to be held before the next international conference
need to be identified. The results of these regional meetings should provide the focus and foundation
of the 1998 Conference. If possible, financial support should be used to support these regional
meetings, building to the Conference. Participants should even consider whether it would be
preferable to have the conference in 1999 or 2000 in order to give regional networks time to organize
and meet. Regional ratherthan national linkages could then be identified during the Conference.
Again, supportfor the Conference will decline unless all participantshelp to set the agenda.
The members of the Americas groups would like to pay special tribute to the hospitality
and good nature of our hosts. The "Spirit of Thailand", a spirit of opennessand support, provides a
strong incentive for moving the content and results of future Conferences to ever higher heights.
The will to improve environmentalenforcement and compliance is here, is real and is waiting to be
harnessed. We must not lose the opportunity.
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AMERICAS REGIONAL MEETING SUMMARY 835
ANNEX1
1 BOLIVIAN TARGETED APPROACH
A brief presentation was given by the Bolivian representative that covered the current
situation in which the principles of their environmental program is structured around four pillars
representing the aspects of Social, Economic, Environmental Protection, and Governmental offices.
Bolivia has adopted a policy of procedures that cover inspectionsand emission limits for new and
existing facilities. Newerfacilitiesface more stringentrequirementsin their permit approvaland in
the inspectionoftheirfacilities. Bolivia is undertaking a targeted approach looking at their largest
emitters and those sites that are the greatest risk to the environment.
2 MEXICAN EXPERIENCE WITH DECENTRALIZING ITS PROGRAM
Mexico's representative presented an overview of their environmental program and the
current and future issues facing Mexico's environmental program. With movement towards
decentralizationof the organizational structure and responsibilities, there are concerns within the
government itself, some of which aid in the resistance to change. NGOs don't believe the states
and local governments can handle these new responsibilities, while industry is worried that the
states will be too hard on them as they begin to assess fees to operate in their respective areas.
Several factors will need to be addressed such as: the establishment of a state and local infrastructure;
law reforms; increased public, academic, and NGO participation; and the need for local regional
cooperativeenforcement/compliancework groups. Many believe in Mexico that the Border Area
(100 kilometers on each side of the Mexico-U.S. border) and what is happening as a result of bi-
and trilateral international agreements will change and/or dictate what occurs throughout all of Mexico.
As part of these agreements, third party audits, even from other countries and international
organizations are becoming common place. Much has been learned from the binational work
groups. Their experiences and group dynamics are being put to use as Mexico looks to its
environmental future.
3 NACEC HANDLING OF THE MIGRATORY BIRD KILL PROBLEM IN
NORTH AMERICA: INTERNATIONAL PRECEDENT
The issue of the Silver Lake migratory bird kill was brought up as a third party external
audit and the effect that the outcome of this quick trilateral response will have on future international
agreements and actions. The CEC was able to address the transboundry issue in a mannerthat
was sensitive of the sovereignty issue, the need for better and faster communications (both between
governments and outward to the public and press) and the need for financial support, enhanced
coordination and technical assistance.
4 CHILE'S PROGRAM
The representative from Chile gave a brief overview of environmental management
conditions in her country. As a first step towards the establishment of a national organizational
structure, the National Environmental Commission (CONAMA) was given the responsibilities of
oversight and coordination of Chile's environmental activities. Within the various governmental
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836 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
agenciesand ministriesthereare over 3000 inspectorsthroughoutChileinvolved in some aspect
of environmental enforcement. CONAMA is working to review: (1) the available resources; (2) the
responsibilitiesof each institution; (3) the need for outside expert assistance; and (4) the individual
training needsforeach institution.
5 NICARAGUA'S PROGRAM
Following these discussions a brief presentation was made by the representation from
Nicaragua. While the establishment of an environmental managementframework was signed into
law in 1991, it wasn't until 1994 that problems with governmental micro/macroeconomic
management, sustainable development, and other similar concerns were addressed and the Ministry
of Environmental Directoratewas created by joining the offices of Natural Resourcesand those of
the Environment. Currently over 160 staff members of the Ministry work directly with the 143 major
municipalities. There are no state, county, or regional offices and a framework for outreach needs
to be developed to articulate this concern but resources are limited. The legal system is in the
process of reform/change and several laws dealing with general environmental management,
fisheries, mining, and water are pending final approval. There is a need to flesh out these bills
through the development of regulations, norms and limits.
One of the major sector-based industries targeted for enforcement is tanneries. There
are over 350 small to medium facilities currently operating through an international assistance
program. A pilot demonstration project is underway with facilities that have the resources to utilize
the results of this effort. Using a Japanese method, it is hoped that water discharges containing
chromium will be reduced from 12,000 to 10ppm. An inventory, mapping and indexing effort is
also being performed in conjunction with the discharge reduction portion of this project. Companies
are regulated to pay for the amount of pollutants they emit. The government was unaware that
discharges were as high as 12,000ppm and had originally thought that an acceptable limit of 0.5
ppm could be achieved without a large investment. There had been little enforcement activities
priorto this project and a lack of informationon the impact of these dischargesto the environment
which made decision making and priority setting difficult. One of the laws pending will address the
issue of waste water discharges. A question was raised as to why the government doesn't hire
more inspectors. The response was that while there is pressure internally from the public and
externally via internationally signed agreements, the government is committed to an austerity
program. However, the Environmental Ministry is getting bigger as others shrink in size. A question
was asked about the ability of municipalities to join or consolidate their resources to better address
the environmental issues confronting them. The response was that while there was no direct
restriction to this process it was very difficultto actually implement such a plan of action. A new
system has been developed to address this issue that incorporates Environmental Impact
Assessment (EIA) requirements, permits, and inspectionsand steps are being taken to integrate
public participation, community training and basic understanding of the new process itself. This
has shown to be very hard to do and industry has indicated a strong negative reaction to this course
of action. In the absenceof regulations,internationalrequirements.guidelinesandstandardsare
applied. This also pertainstomultinationalfacilitiesas well. The pilot study mentioned earlierwill
be utilized as a guideforthe futuredevelopmentandimplementationof new regulations.
Nicaragua understandsthat passing a law is not enough to protect the environment and
that through the process and framework of regulations and rules, public participation, and in the
knowledge that every issue can not be resolved at once, hopes that a phased, integrated approach
will in time overcomethe impacts to its environment. A clear example of this is the cost to clean up
refinery discharges that have polluted a local water supply. A U.S. $60 million investmentwas
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AMERICAS REGIONAL MEETING SUMMARY 837
needed to supply drinking water from an external source and the refinery has been requested to
install U.S. $40 million in control device equipment. Had the control equipment been put into place
earlierthe need for the $60 million investmentwould have not occurred.
6 NETHERLANDS ANTILLES
Another presentation was made by the representative of the Netherlands Antilles, who
spoke about the new attention being paid to the environment as a result of increased public
awarenessand information received from questionnairesgiven out to tourists visiting the islands.
The major concerns to the islands are emissions from the refinery and solid/hazardous waste
disposal from small businesses. Due to ongoing governmental and bureaucraticconflicts within
the government itself progress on regulations, policies dealing with enforcementand compliance,
along with new or pending legislation has been slowed. Coupled with limited human and technical
resources and the fact that the organization will never see much growth it is hard to develop and
maintain a sense of motivation. To overcome these issues the inspectorates of each island work in
cooperation with other governmental offices such as the police, traffic control, public housing, public
works, and securityto increase the number of field personnel availableto address environmental
concerns. Through technical and financial assistance received from the Netherlands, the islands
hope to move away from the current individual strategic island plans and develop a common vision
that sets priorities, improves communications and enhances cooperation. These efforts may require
a bottom-up change in the way things get done. The translation of governmental endorsementfor
environmental issues to the implementationof actual polices is lacking. There has been heavy
industrial lobbying to cut the cost of installing or putting into place practices currently required. A
review of the process that sets discharge limits, assesses industrial accomplishments, and
establishes standards needs to be undertaken. The use of international and other national standards
should be considered. The inspectorates are working very hard to treat each industry sector in the
same manner and to spread out its staff so that all industrial sites receive equal treatment. The
atmosphere for change in the political and public arena is now.
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838 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
LIST OF PARTICIPANTS FOR AMERICAS REGIONAL MEETING
Mr. David R. Aggett
Mr. William Andrews
Ms. Nancy Bircher
Mr. Daniel Couture
Mr. Christopher Currie
Mr. Daniel Lindsey
Mr. Guy Martin
Lie. Javier Cabrera Bravo
Mr. Carlos Gonzales
Guzman
Lie. Moises Medleg S.
Ms. Clare Cocault
Dr. Mike Axline
Ms. Dorothy Bowers
Mr. Steven A. Herman
Ms. Ignacia Moreno
Mr. John Rothman
Mr. Tom Udall
Dr. Elton Lioe-A-Tjam
Mr. J. C. Gras
Mr. Quirino Richardson
Mr. John J. Van Klaveren
Ms. Linda Duncan
Mr. Fred Campbell
Mr. Marco Antonio Gonzalez
Salazar
Ms. Patricia Madrigal
Cordero
Mr. GuillermoNavarette
Lopez
Environmental Protection Branch - Environment Canada Canada
West Coast Environmental Law Association Canada
Ministry of Environment, Lands and Parks Canada
National Programs Directorate - Environment Canada Canada
Enforcement Management Division - Environment Canada Canada
Department of Renewable Resources Canada
National Programs Directorate - Environment Canada Canada
PROFEPA Mexico
PROFEPA Mexico
Secretaria de Medio Ambiente, Recursos Naturales Mexico
y Pesca
United Nations Environment Program UNEP
University of Oregon United States
U.S. Technical Advisory Group to ISO 14000 United States
U.S. Environmental Protection Agency United States
United States Department of Justice United States
U.S. Environmental Protection Agency, Region 9 UnitedStates
Office of the Attorney General United States
VROM Aruba
Parket Officer Van Justitie Curacao, NA
MilieudienstCuracao Curacao, NA
Kabinet voor Nederlands-Antilliaanseen Arubaanse The
Zaken Netherlands
North American Commission for Environmental
Cooperation
Natural Resources Conservation Authority Jamaica
Ministerio Recursos Naturales, Energia Y Minas Costa Rica
(MIRENEM)
ConsultoresAmbientales Costa Rica
Secretaria Ejecutiva del Medio Ambiente (SEMA) El Salvador
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LIST OF PARTICIPANTS FOR AMERICAS REGIONAL MEETING 839
Ms. Clarisa de Ferrera
Vega
Dr. Desire Elizondo
Cabrera
Mr. Marco Tulio Hernandez
Dr. ClaudioMarceloCreimer
Dr. Aldo Rodriguez Salas
Mr. Daniel Sabsay
Mr. Felix Moreno
Mr. Waldo Vargas Ballester
Mr. Antonio Herman
Benjamin
Mrs. Stella Goldstein
Dr. Patricia Matus
Ms. Marta Zamundia
Dr. Doris Polania
Villanueva
Mr. Giovanni Rosania
Ms. Lillian Portillo
Dr. Jorge CaillauxZazzali
Ms. Theresa Serra
MinisterioPublico Honduras
Ministry of Environment and Natural Resources Nicaragua
Hernandez, Virviescas, Gomez & Asciados Panama
Direccion Provincial Control Ambiental Argentina
Ministeriode Medio Ambiente, Urbanismoy Vivienda Argentina
Fundacion Ambiente y Recursos Naturales (FARN) Argentina
Ministerio de Desarrollo Sostanible y Medio Ambiente Bolivia
Ministerio de Desarrollo Sostenible y Medio Ambiente Bolivia
State of Sao Paulo Brazil
State of Sao Paulo Brazil
National Commission for the Environment(CONAMA) Chile
Programa de Emisiones y Fuentes Fijas Chile
Ministry of Environment Colombia
Ministeriode Energia y Minas Ecuador
Ministerio de Agricultura y Ganaderia Paraguay
Sociedad Peruana de Derecho Ambiental (SPDA) Peru
Country Department III, Latin America and the Caribbean World Bank
Region
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840 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
ANNEX 2 OAXACA DECLARATION
DECLARACION DE OAXACA
REUNIDOS en la ciudad de Oaxaca, Mexico, el 28 de
abril de 1994, a las 18.30 hs. en el marco de la III
CONFERENCIA INTERNATIONAL SOBRE
"ENVIRONMENTAL ENFORCEMENT", los abajo
firmantes deciden constituir una RED DE FQSBSCQS -
DEL DERECHO AMBIENTAL, que tendri como fin
facilitar el intercambio de informacibn y el trabajo en
colaboraci6n entre las panes, en los siguientes temas:
* Compliance and enforcement (palabras que seran
traducidas cuando se encuentre su equivalente en
espanol).
* Acciones publicas y defensa de los intereses difusos.
* Regulaciones existentes en los distintos paises.
* Organizaci6n de cursos y eventos, siendo el primero
en la ciudad de La Plata, Argentina. Respecto a lo
.. . r' 6-S _
antedicho, tanamcn el liunui Jt LUIIIBI rant I auspicio
* Toda otra cuestidn de interes de las partes, sea
juridica o no.
Los firmantes acuerdan que solo podran integrarse
nuevas personas, siempre que sean "AMIGOS" de al
menos dos de los miembros fundadores y sean
admitidos por todo el resto de la RED.
-------
OAXACA DECLARATION 841
SIENDO TODO CUANTO SE HA CONVENIDO HASTA
EL PRESENTS, FIRMAN A CONTINUACION LOS
INTEGRANTES FUNDADORES DE LA 'RED DE
Lt'60.5
PARAGUAY
URUGUAY
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842 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
K° ML/Co TZKTZ "
. i
Viol IC
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CREATION OF THE CENTRAL AMERICAN ENFORCEMENT NETWORK 843
ANNEX 3 PROCEEDINGS FROM THE MANAGUA MEETING:
CREATION OF THE CENTRAL AMERICAN ENFORCEMENT NETWORK
Editor's Note: The Managua Meeting post-datedthe Fourth International Conference. The
Managua Proceedings are included to illustrate the networking envisioned by participants
at the Americas Regional Meeting - many of whom were at the Managua Meeting.
OVERVIEW
The First Annual Conference on the Regional Enforcement of Environmental Law was a
joint project of the Central American CommissionforEnvironmentandDevelopment(CCAD) and
U.S. A.I.D. and received support from Nicaragua's Ministry of the Environment and Natural
Resources (MARENA). Overa three day period, it brought together key players in the enforcement
of environmental law in each of the Central American countries, including Panama and Belize.1 The
conference gave valuable training to 42 public officials, created a network of actors in the enforcement
of environmental law, served as a visible sign of support to efforts to create national institutions, and
facilitated communication between NGOs and the government officials responsiblefor developing
and applying environmental laws. By the conference's conclusion, the representatives signed a
formal resolution to form CCAD's Technical Commission on Environmental Legislation. Participants
were lodged in Hotel Las Mercedes where all the sessions took place, and the hotel's relative
isolation on the edge of Managua led to greater cohesiveness amongst the participants and
contributedto the sense of mutual support fostered by the event.
1 PARTICIPANTS
The primary value of the conference was to bring togethera wide variety of officials who
are critical to enforcing environmental laws within their respective countries. The group included
participants from Public Ministries (including Procuradors and prosecutors), their Executive
Departments ("Contralorias")2, their Judicial Branch (including Supreme Court Justices and Judicial
Academies), their Environmental Authorities (Ministries of Environment or Legal Advisors) and
members of the Legislative Assembly's environmental commissions. Representativesfrom NGOs
in Nicaragua, Costa Rica and Guatemala also attended. Finally, observers and advisors from the
US EPA, US AID, Mexico's Environmental Enforcement Agency (PROFEPA) and Mexican Institute
of Ecology, representatives of sectorial regional organizations dealing with pesticides, air and
water quality, CCAD and PROARCAwere present. The participantsmade importantintemational
contacts, and officials from different countries shared their respective experiences. Furthermore,
participants from the same country had a rare opportunity to get know their counterparts in the
public or private sector.
2 TRAINING MATERIALS
CCAD provided the participants with crucial materials needed to effectively apply existing
environmental laws. These materials included: (1) a matrix of international and regional conventions
showing each state's degree of legal commitmentto it (i.e., signed, ratified, etc.), (2) lists for each
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844 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
country'sgeneralenvironmentallegislationand also those statutesspecificallyapplicableto toxic
wastes and solid wastes, and (3) copies of regional conventions, including the foundational
convention to CCAD. Potentially, the most valuable material was the personal experiences each
participantbroughtto the discussion.
3 PRESENTATIONS
The participants' presentations were designed to train the officials, allow them to share
experiences, and to discuss resolutions to common problems. These were sectorial presentations
on compliance with ALIDESenvironmentallegal commitments.
3.1 Training
The first day was devoted to training the participants. Dr. Marco Gonzalez of CCAD opened
by lecturing on the environmental law movement in Central America, detailing the formation of
CCAD and national environmental councils. He reviewed the series of obligations undertaken by
the states since the 1950's which have led to the present CONCAUSA agreement under which the
US and the Central American states have made specific promises to cooperate in environmental
protection efforts. He described the founding of the System forthe Integration of Central America,
the Protocol of Tegucigalpa which first mentioned the duty of the states to collectively protect the
environment, the subsequent impulse to form national environmental commissions, the issuance of
the Central American Agenda 2000 prior to the Rio conference, the elaboration of regional
conventionsonspecificsubjects, the ALIDESagreement which includeda detailed list of regional
environmental promises and policies, and finally the CONCAUSA agreement signed at the Summit
of the Americas. Dr. Gonzalez stressed that the sectorialization of environmental law-whereby the
environment is legally-protected only by a patchwork of laws treating specific resources (i.e., Forestry)
or specific activities (i.e., Pesticides)--iscoming to an end since five states have already passed
general environmental acts. Inclosing, he described the series of enforcementworkshops which
the EPA and CCAD are offering in each country (so far, in Belize, El Salvadorand, in October, in
Guatemala)~workshopswhich are complemented by the Regional workshop itself.
To give the participants a sense of the parameters of their mission, Erwin Garzona of
PRIDE/PROARCA presented the results of the just-completed Comparative Risk Assessment
(CRA) project for the region. He explained the concept of CRA and how the study was carried out
to identify the most pressing needs particularto the region. The project gleaned that "brown" issues
are the most pressing in Central America and specifically hierarchizedthe problemsaccordingto
the regional urgency: 1) water treatment, 2) solid wastes, and 3) pesticides. Next, he explained how
they chose the most adequate and cost-effective responses, depending on regional capabilities
and predilections, identifying two key strategiesfor counteracting each of the three problems. This
CRA project marks the first time ever that a region has collectively identified the problemsthat they
want to tackle. One participant raised concerns about the fact that Costa Rica's number one priority,
air contamination, was not included as one of the three regional priorities. Garzona explained that
the CRA procedure verified that air contamination was in fact a problem most pressing in Costa
Rica, but that the other three problems had more regional importance and also were severe in
Costa Rica as well. Additionally, he noted that Costa Rica already has programs in place to combat
this particularproblem.
Mexican and US environmental protection officials completed the training phase by
suggesting theories and strategiesfor implementingenvironmentallaw. The Mexican PROFEPA
participants, headed by Humberto Ortiz Wetzell, the General Directorof Coordinating Delegations,
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CREATION OF THE CENTRAL AMERICAN ENFORCEMENT NETWORK 845
summarized the Mexican system, including diagrams showing the institutional structure and the
role of inspectors in the process. Most questions treated the issue of building an institutional
framework that was capable of carrying out inspections and enforcement actions, and the Mexican
representativesexplained how they have progressed in this work.
Two EPA attorneys, Peter Lallas and Lawrence Sperling, and one DOJ litigator, James
MacAyeal, suggested theoretical approaches to enforcement. Lallas distributed a 50-page outline
of the institutional and legislative parameters which are potentially part of an effective environmental
legislative regime. Although the document was too expansive to cover in a brief presentation, he
raised several salient points, and, over the subsequent days, several Central American participants
commented on the usefulness of the outline for their work and understanding of such regimes.
Lallas encouraged feedback on the outline, emphasizing that it was a work-in-progress and intended
to leave space for inputs from regional actors. MacAyeal focused on an explanation of the particular
relationship between U.S. courts and the EPA in applying environmental regulations. Finally, Sperling
discussed the theoretical importance of enforcementactions, or at least the importance of creating
a culture of obedience whereby parties believe it is in their interest to comply with the law, and
therefore regularly do so.
3.2 Experiences
The second day was dedicated to sharing experiences-first, the regional efforts in specific
areas, and, second, national efforts to act through certain institutions.
3.2.1 Technical Experts on Regional Programs
First, technical experts spoke about regional programs to counteract some of the most
pressing "brown" issues: water quality, air pollution, and pesticides. Mario Gutierez, the Regional
Secretary of Technical Committees from the Regional Coordinating Committee of Potable Water
Institutions (CAPRE) opened by describing the growth and strengthening of CAPRE and its creation
of regional waterquality norms and model laws. First, he emphasized that national regulationson
potable watershould use WHO guidelines as a benchmark. Next, he explained the key aspects of
regulation, and reviewed the current status of such regulation in each of the Central American
states-El Salvador and Nicaragua have recently adopted as law the CAPRE statute. Finally, he
reviewed the articles of the CAPRE statute which imposes a duty on the State to supply water
meeting specific minimum criteria within five years, except in special circumstances. CAPRE's
work has contributed greatly to the passage of uniform and effective water quality laws in many
countries, and has led a greaterharmonizationof standards in the region.
Ronald Flores of Swisscontact ProEco, an organization supported by the Swiss government
and private sector which offers technical support and advice in controlling air quality, reviewed the
obligations relating to air quality improvement undertaken in ALIDES, and he reported on the state
of compliance with those promises. In ALIDES, Central Americangovernmentssubscribedto two
air quality obligations: (1) to eliminate the use of leaded gasoline and (2) to regulate the vehicular
emissions. In terms of leaded gasoline, Guatemala has prohibited its sale since 1992, and in 1996
the rest of the countries, except for Panama, legislated the gradual eliminationof leaded gas use.
He noted that several countries are prohibiting the import of automobiles without catalytic converters
and encouraged Nicaragua and Honduras to follow suit, or risk becoming the dumping grounds for
obsolete and dangerous motors. In terms of vehicular emissions, only Costa Rica is enforcing a
program of Inspection and Maintenance (I/M) for all motor vehicles. Flores reviewed the current
preparations for such I/M regulations in other countries, noting that all countries have the legal basis
needed to emit regulations, but that Nicaragua, Panama and Guatemala seem far from putting an
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846 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
I/M program in place. Finally, he reviewed the key aspects of an I/M program, noting that the
simultaneous elaboration of these programs in Central America makes it possible to create a
uniform regulatory system.
Roosevelt Gonzalez Vasquez of the International Regional Organization of Agropecuario
Sanitation (OIRSA) described the growth of the movement to create adequate and uniform pesticide
registration and labeling practices throughout the region. While OIRSA has existed since 1953 with
the goal of promoting the harmonizationof agropecuario legislation, regional efforts to harmonize
pesticide regulation did not begin until 1979. First, he reviewed the series of meetings that have
contributed to the drafting of model regulations for the labeling and registration of pesticides. In the
September 1996 conference of the Application Committee, it was agreed that all labeling would
be done according to the guidelines approved in the conference, and that any label approved by
one country would be accepted by the others. While there are hopes of creating a single,
comprehensive Central Americana registry, Vasquez noted that current efforts are focussed on the
passage within each state of pesticide legislation that follows the guidelines of model legislation
which the FAO helped draft.
3.2.2 Panel on Enforcing Environmental Law
Second, five panels of officials related their experiences in connection with enforcing
environmental law in their own countries. These sessions sparked the greatest number of questions,
with frequent lively interchanges between the speakers and their audience. The panelists were
encouraged to explain concrete experiences, and many participants recognized their own difficulties
and could ask detailed questions to compare the two.
The first panel generally considered the impact of citizen participation in enforcement. As
a prelude, a legal advisorfrom Belize, Dr. Winston McCalla, explained the Belizean common law
system and environmental regime. He offered particular examples of environmental problems, and
how legislation has directly responded to them. Participants followed up with questions about the
common law system, and the general interest raised appeared a valuable contribution in the process
of recognizing Belize to be a Central American country. Next, Guido Cubero, the legal advisorfor
Costa Rica's Ministry of Environment and Development, described the Costa Rican experience
with citizen participation, and was followed by brief descriptionsmade by panelists from the other
countries. The most common experience was having a new legal provision that allowed for
complaints, but little public awareness of the channel and little institutional capacity for handling
complaints.
The second panel was composed of prosecutors of environmental laws. Carlos Solozano
of El Salvadorwas the lead panelist, opening with a speech lamenting the escalating devastation
of his country'senvironment, which is already in a critical state. He complained that Salvador has
an "infinitude" of laws and his office receives a "landslide" of complaints of all sorts, but that there is
no political will or institutional ability to prosecute these charges. Fundamentally, he charged, the
problem is the impunity of officialsthat allow the environmental devastation, despite the immediate
health consequencesthat a great majority of the population is suffering. Many prosecutors echoed
his comments. ZorayadaCalix from Honduras emphasized the fact that attomeysin this field need
the support of technical advisors in order to prosecute cases which can often be complex and
difficult to define. Furthermore, she reported that there are only six prosecutors for such cases in the
country, thatthey never leave the capital, and that the majority of the cases they handle are against
small farmers who are cutting wood for subsistence needs. Alvaro Vasquez of Guatemala gave a
fiery speech about the role of a prosecutorand the need to pursue cases in the face of personal
intimidation. While inspirational and widely appreciated by the participants, his speech and the
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CREATION OF THE CENTRAL AMERICAN ENFORCEMENT NETWORK 847
reaction to it underlined a fundamental problem with creating effective environmental regimes in
the region: these few prosecutors face enormously powerful private and state interests which take
violent measures to ensure that laws are not enforced.
3.2.3 Panel on Vigilance Over the Environment
The third panel was composed of officials in the executive branch agency responsible for
vigilance over the environment (e.g., the Procurador of the Environment, the Procuradorof Human
Rights, the Attorney General's office). Teresa Centeno of Guatemala made the opening presentation,
and was followed by representatives from Nicaragua, El Salvador and Honduras. Carlos Canas,
who is responsible for the Environmental Rights division of El Salvador's Human Rights office,
explained the most pressing problems that commonly concerned regional officials in his position.
He and his three staff members are responsible for protecting the right to a healthy environment of
all Salvadorans. While there are plenty of laws which they may invoke (both national and international),
there are too few people to handle the wide variety of complaints and too little technical expertise to
properly analyze problems, both from a scientific and legal point of view. Canas reported that, when
he himself took the job in 1992, he knew nothing of law since he was an engineer trained in solid
waste management. He stressed the importance of having personnel who are both versed in
scientific fields and the law. Additionally, he offered a few sample cases of the work they have done,
including the successful closure of a small factory which had been discharging aluminum wastes
into a river in a densely-populated area for several years, despite the repeated complaints of
residents. Nevertheless, his message, like most of the panelists, was one of deep worry due to
their inability to stop the devastation of the environment.
Due to time limitations, the fourth and fifth panels had to give brief presentations. The
fourth panel was composed of members of the national courts or of the Judicial Academy responsible
for the training of judges. The panel emphasized the need not only for technical support in scientific
fields, but also the comprehensive training of judges in environmental law, considering that most
were unaware of the statutes and obligations already in force. The fifth panel was made up of
members of the "Contraloria" offices of Nicaragua, Costa Rica and Panama-the only states which
have such an office. These panelists lamented the lack of political support for environmental
programs. Augustin Jarquin Anaya of Nicaragua headed the panel and specifically complained
that his office lacked the scientific-technical expertise to handle many environmental issues.
3.3 Alternative Approaches and Resolutions: Creating an Environmental Law
Action Network.
Dr. Marco Gonzalez of CCAD led off the third day with a brief explanation of the importance
of strengthening the environmental law action network which was forming in the region. He noted
that in the ALIDES agreement, the Central American countries undertook specific obligations to
counteract the problems of water treatment, solid wastes and pesticides. He stressed the importance
of harmonizing national approaches to these problems, and reviewed the present status of regional
efforts in the three fields.
Next, Alejandra Sobenes of I DEADS gave a brief history of her organization and their
formation of RODA, the Network of Central American Environmental Organizations. IDEADS'
original work was promoting cooperation amongst regional technical experts, but has evolved into
a network that includes legal experts and aims to assist lawyers from all member countries. IN
1996, IDEADS formed RODA by bringing together founding environmental organizations from
Mexico, Guatemala, Honduras, El Salvador, Nicaragua and Costa Rica, and, by the end of the
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848 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
conference, Sobenesreportedthat Panama had just committed itselfto join RODA. IDEADS'first
project is monitoring compliance with the international convention on biodiversity and is working on
strengtheningties between NGOs and government offices.
Participants questioned Dr. Gonzales and Sobenes about the future of the network,
remarking that the network should include more organizations and involve formalized training. Dr.
Gonzales noted that moving in these directions would be an improvement, but that the network
should remain flexible-that is, that it is called a "net" for the very good reason that it includes spaces
that allow for movement, for comings and goings, for creativity, and for a wide range of commitments
to the environmental effort. He emphasized the need to first form a critical mass of lawyers with
knowledge of environmental law.
Subsequently, NGOs from Nicaragua and Costa Rica had the chance to reflect on the
networking process, emphasizing that environmental protection is necessarily an interdisciplinary
practice, including anthropology, sociology, and psychology as well as technical sciences.
4 CLOSING
In closing, participants from each country expressed their reactions to the materials
presented throughout the conference and suggested which directions that future efforts in
enforcement of environmental laws should take.
Honduran delegates voiced great satisfaction with the conference and emphasized that
future efforts should stress the strengthening of Technical Commissions to give legal support to
their enforcement arms. They also noted that in the future, more environmental legal advisors should
be included in such seminars. Finally, they commented on the value of seeing how other countries
confront the common problems that they share and remarked that the conference helped to show
that environmental problems do not respect political borders and so resolutions must surpass
those borders as well.
Panama stressed the need for a follow-up conference on the same topic and drafted a
declaration for all participant countries to sign, outlining future goals: the strengthening of an
environmental law network, increasing the Technical Commission's capabilities, holding a workshop
in Panama in December, and gaining more support for prosecutors. The delegates pledged to
continue working on environmental protection upon their return to Panama.
Costa Rica focused on worries raised by the conference. The participants recommended
that for the next seminar, each country should prepare a report which describes each organism's
ability to enforce environmentallaws, listing statisticsand giving samplecases.
Guatemala noted that the conference will help to legitimate the enforcement of environmental
provisions, making it a recognized field of law. The delegates voiced their extreme satisfaction with
the meeting, reiteratingthe importance of overcomingintimidationin orderto properly enforce the
law.
El Salvador reported that the conference had supplied them important tools needed to
apply the law, yet noted that much training and conscience-raising is still sorely-needed. "Our eyes
still need opened," the delegates said, pointing out that more lawyers need to get used to thinking
in terms of environmental protection and rights. They noted that the political actors are prone to
constant change, but the institutional actors (such as lawyers working in the government and NGOs)
are less prone to such changes, and therefore the education of the latter can have a real and lasting
effect.
Mexico expressed satisfaction in being able to share its experiences with its neighbors,
and repeated the importanceof having a deep conviction to further environmental protection.
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CREATION OF THE CENTRAL AMERICAN ENFORCEMENT NETWORK 849
U.S. EPA participants spoke about particular future plans, stressing the need for specifying
five and ten year goals. They described the on-going project to create a databank of Central
American environmental law that will allow easy access to critical knowledge for anyone with the
use of a computer. They spoke of their intention to sponsor future cooperative workshops, both on
the theme of enforcement and on specific topics such as pesticides and solid wastes.
In closing, the participants proposed, discussed and approved of a unanimous declaration.
The statement, signed by all participating nations, formally created the Regional Environmental
Law Enforcement Network, supported CCAD's new Technical Commission on Environmental Law,
and welcomed the course on environmental law to be given in Panama in the second week of
December.
REFERENCES
1. The Contraloria is potentially a very powerfully government official due to his control over
budgetary matters and his relative autonomy. The Contraloria is elected by the Parliament
and controls the execution of the national budget. He oversees the management of
governmental offices and has the power to impose civil and administrative liability on those
which are not properly meeting the legal requirements of their duties. He may also press for
penal sanctions. Only the governments of Nicaragua, Honduras and Costa Rica feature
Contralorias; these functions are carried out by the Tribunal of Accounts in El Salvador and
the Court of Accounts in Guatemala.
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850 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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ASIA-PACIFIC REGIONAL MEETING 851
ASIA-PACIFIC REGIONAL MEETING
Facilitators: Ahmed Santosa, Rachel Vasquez
Rapporteurs: Jack Mozingo, Ken Rubin,
UNEP Facilitators: Mark Radka, Cheryl Wasserman
1 INTRODUCTION
Nearly sixty participants met in two separate sessions (A and B) the third day of the
Conference and as a whole on the final day of the conference to discuss driving forces for
environmental compliance and enforcement, barriers to effective compliance and enforcement
programs, the status and accomplishments of programs in the region, common challenges, regional
cooperation and networking needs, and next steps. Many in the group also met once in the evening
to organize an informal network among the participants. The first day participants from South Asia
joined in the discussions of Session A, but because of the established environmental networks
existing for South Asia, they met separately on Friday to discuss follow up and networking. A
separate write up has been prepared on the South Asia community.
The Regional meeting resulted in a priority listing of critical environmental problems and
issues in each country and current status of legal, financial, and technical aspects for the region.
This is a very good basis for follow up action on implementation and capacity building.
2 GOALS
Workshop discussionsfocused on:
• Shared Problems and Challenges
• Institution-building needs
• Opportunities for institutional support and exchange (Review of existing
mechanisms)
• Proposalsfor regional networking: agenda for action
• Desired linkageto international capacity building efforts
• Targets of Opportunity
3 DISCUSSION SUMMARY
3.1 Driving Forces
Participants had an opportunity to express what they believed is driving environmental
compliance and enforcement in their countries and in the region as a whole. In order of most
frequently cited to least frequently cited forces they are:
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852 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• Public awareness and high public expectations (South Korea, Malaysia, New
Zealand, Thailand, Hong Kong, Bhutan), also mass media and publicity
(Malaysia, Philippines) along with increased awareness of industry to
sustainability(PRC), social traditions and values, both moral and religious
(Bhutan)
• Environmental laws and state plans(Malaysia, Mongolia, Thailand, PRC);
international obligations (Australia, Malaysia, Japan) as well as non-legal
environmental initiatives(e.g. Clean Rivers" project in Indonesia)
• NGO's: domestic influence and public pressure (Thailand, Japan, Philippines,
Malaysia, Hong Kong) as well as international NGO influence on and scrutiny
of world and regional banks and other project donors (World Bank) in turn
influencing countries (Mongolia)
• Environmental Problems (Australia, Thailand) and need to protect resource
base (PRC, Thailand, Cambodia, Malaysia); population and economic growth
(Malaysia, Australia, Philippines-energy production) and globalization (Japan)
• Education: compulsory environmental education at the primary (Bhutan),
secondary and legal education (Taiwan)
• Economic incentives, e.g Pollution prevention (Japan); privatization (Malaysia)
• Evidence of political will (Malaysia) and fear of government intervention (Hong
Kong)
3.2 Barriers to Environmental Compliance and Enforcement
Participants brain stormed what they felt were the greatest impediments to the success of
environmental compliance and enforcement. They came up with the following list:
• lack of interagencycoordinationon complianceenforcementmatters
• inability of governments to pay competitive salaries leading to difficulties in
attractingandretainingqualified staff
• rapid societal change
• poor understanding on the part of the regulated community
• corruption
• outdated laws that emphasize punitive actions and allow little flexibility
• small threat of enforcementand low costs of violations
The group then used the UNEP institution building workshop materials to explore
organizational design issues since those were most prevalent. Regulatory and enforcement program
designs are outlined in section 3.3 below, but a common issue which transcended all country
programs was fragmentation. In many countries, Inter-Ministerial councils and other organizational
responses to fragmented authorities have been constituted, but these generally focus on policy
issues; there are few if any examples where such bodies or systems dealt with ongoing
implementationissues related to permit issuance, compliancemonitoringand enforcement.
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ASIA-PACIFIC REGIONAL MEETING 853
3.3 Regulatory Program Status Overview
The region contains programs in different stages of development with many highly developed
programs and those that are first being organized. There are varied approaches as well from
which participants can continue to learn from each other. The majority of countries in the region
have environmental compliance and enforcement programs in place with adequate laws, regulations,
and requirements, permit systems, inspection programs, training, self-monitoring, third party audits,
citizen complaints, a full variety of enforcement response mechanisms, written response escalation
policies. Those that do not yet have these program elements are in the processof creating them.
Hence a tremendous amount of progress has been made within the last five years. Yet, some
problems remain with implementation. In brief:
3.3.1 Australia:
Decentralized programs, with authorities mostly at state level Difficult to summarize neatly,
but complete with respect to requirements (laws, regulations, and permits), compliance monitoring,
and enforcement. Degree of sophistication varies greatly among state programs.
3.3.2 New Zealand:
Similar to Australia, with authorities decentralized among 16 regional councils.
Sophisticated cost-recovery system based on unit costs per activity. Complete with respect to
requirements(laws, regulations, and permits), compliance monitoring, and enforcement.
3.3.3 Cambodia:
Created Ministry of Environment in 1993. Formulating framework law now. Existing
authority/programsfocused on resource use/allocation. No existing environmentalcomplianceor
enforcement.
3.3.4 PRC:
Comprehensive, constitutionally based laws, but implementation difficult. Spending 0.7%
of GDP on environment, but estimate of need is 1.5%. Permits are experimental for water in
selected regions, a corps of trained inspectors, enforcement authorities on paper but lack of
systematicfollow up to violators.
3.3.5 Japan:
1993 comprehensive law. Completewith respect to requirements (laws, regulations, and
permits), compliance monitoring, and enforcement. Programs are characterized by partnerships
of citizens, government, industry and academia.
3.3.6 Thailand:
Enforcement program at facility level handled by Industrial Works Department in the Ministry
of Industry. Overall ambient environmental protection program handled by Pollution Control
Department. Overall, program is complete with respect to requirements (laws, regulations, and
permits), compliance monitoring, and enforcement. Authority is spread among many agencies (20
laws).
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854 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
3.3.7 Philippines:
Comprehensive, but outdated laws (i.e. no discharge limits). Environmental quality agency
(Environmental Management Bureau) within overall resource management agency (Department of
Environment and Natural Resources). Some gaps in enforcement tools. Environmental impact
assessmentis a major driver of requirementsand action.
3.3.8 Vietnam:
Recent law, not much experience with implementation yet.
3.3.9 Malaysia:
Comprehensivelaws, regulations, permits. Program largely administeredat state level.
Strong enforcementauthoritiesand elaborate permit systems. 1974 legisation resulted in 17 main
regulations now there are a total of 36 environmentally related laws posing issues of how to best
coordinate their implementation. Most statutes are by sector so it is challenging to coordinate
across sectors and among three levels of government. A new act is being discussed with increased
penalties.
3.3.10 Hong Kong:
Comprehensive laws, regulations, and permit system in response to extremely high
population density. Strong compliance monitoring and enforcement response with 600 inspectors.
3.3.11 Taiwan:
Comprehensivelaws, regulations, and permit system at county and city levels. Gaps in
compliance monitoring and enforcementtools.
3.3.12 South Korea:
Comprehensive laws, regulations, and permit system. Strong compliance monitoring
and criminal enforcementauthorities.
3.3.13 Bhutan:
No specific environmental laws, but there is a Draft National Environmental Policy Act and
environmental strategy. At present, National Environmental Commission applies Land Act and
policies. Public awareness comes from religious underpinings. They now have about 20 staff
members headed by the Deputy Ministerinstitutingtheir environmental program.
3.3.14 Mongolia:
New 1995 law, with regulationsbeing developed.
3.3.15 World Bank:
Current focus is on environmental impact assessment, but would like to help with
enforcement capacity building.
3.3.16 Bangladesh:
Currently working master plans and strategies under recently passed law. Country focused
on economic growth with little interest in environmental compliance or enforcement.
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ASIA-PACIFIC REGIONAL MEETING 855
3.3.17 Nepal:
New Ministry of Environment with authorities that overlap with those at local level. Military
charged with enforcement.
3.3.18 India:
Overall, program is complete with respect to requirements (laws, regulations, and permits),
compliance monitoring, and enforcement. Authoritiessplit between national and state levels.
3.4 Compliance Monitoring (see Figure 1)
Figure 1. COMPLIANCE MONITORING (session B)
Country
Australia
Cambodia
Hong Kong
Indonesia
Japan
Malaysia
Mongolia
New
Zealand
Philippines
PRC
South
Korea
Thailand
Vietnam
Inspectors
X
X
X
Sectoral
X
X
X
X
X
X
X
X
X
Training
programs
State level
X
Sectoral
Local
X
X
On the job
X
X
X
X
Source Self-
Monitoring
X
X
X
X
X
X
X
Major sources
Major sources
X
X
X
Third party
Audits
X
X
X
new law
Some
X
X
X
X
X
Citizen
Complaints
X
X
X
X
X
X
X
X
X
X
X
X
Special Roles
for Inspectors
X
urge and
advise
advise
on-site
enforcement
able to issue
abatement
notice
advise,
closure order
Radioactive
Police only
3.4.1 Inspectors
Most countries within the region have dedicated environmental Inspectors within
environmentalagency in all countries except Indonesia, Nepal and Bangladesh where inspectors
are part of other ministries (for example, Ministry of Industry).
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856 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
3.4.2 Training
Training of inspectors is very strong in Australia (State level) and strong in the PRC, Japan,
India (training institute), Philippines, Malaysia, Thailand, and Hong Kong. Only on-the-jobtraining
available in New Zealand and none available in Cambodia, Nepal, or Vietnam. Bhutan administers
an initial examination but no furthertraining. Thailand certifies laboratories.
3.4.3 Source Self Monitoring
Source self monitoring in all countries except Cambodia, where it appears only in draft
law to date, and Bhutan. Especially focused on large industries in Japan, India, Philippines
(continuous air emissions monitoring required for large sources), and Hong Kong. Sources are
required to monitor in the Philippines, but the information is not used at present.
3.4.4 Third Party Audits
Exist in all countries except Cambodia, PRC, Japan, India, South Korea, Nepal, Mongolia,
and India. Thailand delegates auditing function to private sector to stretch limited budgets of
government agencies. Third party audits are specified in permits in Thailand and Hong Kong.
Malaysia intends to begin using third party audits, and hopes to certify auditors.
3.4.5 Citizen Complaints
All countries have some mechanism to accommodatecitizen complaintsexcept Bhutan
and Mongolia. New Zealand, India, and Malaysia maintain 24-hour hot-lines, and Thailand also
maintains a hot-line with 48-hour responses. More than half of the work effort in the Philippines
originates with citizen complaints. In Malaysia, citizen complaints sets priorities. There is no system
to respond to complaints in Indonesia. Thailand encourages use of media to raise attention to a
particular enforcement need and one newspaper has a phone hotline for pollution complaints. The
Pollution Control Department has a complaint unit, examplary of the kind of unit existing in many
countries which in turn refers complaints to relevant agencies. Hong Kong reported getting and
responding to over 12,000 citizen complaintsa year. Just to get a feeling for the extent to which
complaints were driving inspection budgets, when asked the relative importance of citizen compliants
to directing country inspection resources, Hong Kong indicated that 70% of noise, 30% of air, and
10% of water inspections were in response to compliants as compare to 10% in Japan, 20% in
Korea, 100% in Australia --at the national level, 30% in Malaysia, 100% of serious complaints in
Indonesia (with no systemmatic process for receiving and responding to complaints generally),
and less than 10% in Thailand.
3.4.6 Special Roles of Inspectors
Most countries that have inspectors provide them other duties such as provision of technical
guidance, issuance of abatement or closure orders, spot audits, water quality planning, and various
prosecution roles. Malaysia allows for on-site enforcement, and New Zealand allows inspectors to
issue abatementnoticesin the field.
3.4.7 Financing
Of additional interest is the fact that in Thailand, permit and annual fees for the cost of
inspection go to the general revenues as do permit fees in the Philippines.
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ASIA-PACIFIC REGIONAL MEETING 857
Figure 2. ENFORCEMENT RESPONSE AUTHORITIES AND POLICIES
Country
Hong Kong
Thailand
Malaysia
Bangladesh
Nepal
India
Vietnam
Japan
PRC
Cambodia
New Zealand
Australia
Informs l/Citize
n Enforcement
seldom; try to
discourage
discretion
dialogues;
informal
requests
dialogues;
informal
requests; only
directly affected
parties
Visits of
Minister and
other officials
especially used
for solid waste
citizens can
take court
action
Use mass
media reports;
shame is best
approach
Yes, but does
not happen
much
No
Yes; citizen
only
Yes, citizen
suits; not widely
used
Administrative
written warnings
revoke license;
fine revenues
accrue to
issuing agency
can impose
bond for clean-
up up to S100K
Yes, varietyof
responses
Yes, cancel
license
no
fines/penalties
Close facilities
public exposure
most common
No
Yes
Yes
Civil/Judicial
seldom used;
judicial review
available
strict liability with
compensation
government and
aggrieved party
Yes
rarely
part of culture is
to avoid courts
common;
compensation
compensation for
damages in
proposed
legislation
Judicial only
Civil more than
criminal
Criminal
Fines/Imprison
ment
fines common;
can imprison up
to 2 years, but
not used
court decides
fine and/or prison
court decides
fine up to $25K
per violation
and/or prison;
imprisonment not
used to date.
$2,000 or 5 yrsin
prison for owner
fines common,
prison rare
6 mo -6 yrs;
fines only
through court
try to avoid fines
sometimes for
most serious
cases; court
authority
No
Yes-to mitigate
effects; Up to 2
years in jail.
Try to avoid
criminal since
must go to court;
Yes tojail
Enforcement
Response
Policies
Yes, through
guiding
principles
Pyramid, but
unpublished —
flexibility to
jump
Yes, but not in
writing
Yes
Yes - done by
Department of
Industry
Yes
Yes
All specified in
law
In proposed law
only
Yes
Yes, but not
published
Penalties
10% of
maximum for
1st offense.
Maximum 20k
$US
Used as last
step
Yes up to
$25K per
violation. Also
can restrict
offenders'
export/import
Determined by
Courts
Up to $2,000
per violation
Yes -imposed
by court
Upto$10K
per violation
usually does
not work; up to
3 million yen
for illegal
dumping.
Yes, up to
100k $US
No
$4 K/dayup
to $200K -
judge
decides
Upto$1 Mto
owners and
directors;
500k
corporate,
100k private
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858 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
3.5 Enforcement Response authorities and policies (See figure 2)
Within the region, countries utilize a range of approaches, some legal, some involving
creative use of public and private pressure, to respond to violations and gain compliance. (See
chart) For example administrativeenforcementis relied upon by Hong Kong almost exclusively
including the use of fines and possiblejail terms. Thailand uses administrativeremedies such as
license revocation and fines with revenues accruing to the issuing agency. Mass media and public
shame is used to effect in Japan. In Bangladesh they use visits by the Ministerand other officials.
Australia has an enforcement pyramid with self-correction at the base, various administrative actions
next, criminal penalties next and suspension of licenses at the apex.
3.6 What works?
Participants came up with the following list of what seemed to work and not work from
their experiences:
1) Permits tied to goals: must be specific, implementable, defensible,
measurable, enforceable
2) Reducing penaltiesforself-disclosureand correction of violations
3) Negotiating pollution prevention or audits into enforcement settlements
4) Shame, publicity
5) Frequent inspections/visits
6) Voluntarycompliance;assistanceto small-scalecompanies
7) Financial incentives: as examples, tax holiday for pollution control equipment
imports, tax creditfor pollution
8) Targeting:
- Based on sectors
- Based on local conditions: as example, air inspections in dry season,
waterinspectionsduring wet season
- Reducing permit requirementsfor active pollution prevention
9) Awards for companies that adopt IS014000
10) Maintain accountability
11) Requiring enhanced performance or cleanup in return for economic
advantages
12) Nonregulatoryapproachesto affect "guest" companies:
- Information sharing
- Publicity in companies'home country
- Requiring home country standards
- International "sanctions"
- Report to home country parent company
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ASIA-PACIFIC REGIONAL MEETING 859
Figure 3. ROUGH CUT AT COMMON ENVIRONMENTAL CHALLENGES
Country
Thailand
New Zealand
Malaysia
Indonesia
Japan
South Korea
Bhutan
PRC
Philippines
Pollution sources
Tanneries
Textiles
Automobiles
Construction
Timber
Petrochemical
Metal finishing
Food & beverage
Quarries
Rubber
Pig waste
Distillation/ fermentation
Non-industrial sources-
e.g. motor vehicles
Textiles
Tapioca
Pulp & paper
Mining (construction
materials)
Mobile sources
Small-scale operations
Wastewater plants
Deforestation
Sewage
Industrial growth
Small industry
Solid waste
Mobile sources
Affected medium (air,
water, land)
Water
Water
Air
Air
Urban storm water
Water
Other
Hazardous waste
disposal
Sediment
'Orphan sites"
Air, Water
Hazardous waste
Air
Water
Water
Endangered species
Water
Air
Water (65% nonpoint
source)
Air
Hazardous waste (no
capacity)
3.7 Common Environmental Challenges and Priorities: Targets of opportunity
To assess whether the countries within the region faced some common environmental
challenges each participant in Session B was asked to contribute their perceptions of what the
biggest challenges were. It became apparent from the discussions, that 1) there were groups of
industrial and human development activities that were common challenges within the region, 2)
some countries had successfully addressed environmental problemsfrom industrial sectors that
other nations within the region were just beginning to address, and 3) that more work could be done
to identify common problems which could benefit from shared informationon control, prevention,
compliance status information, inspection techniques and compliance strategies.
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860 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
3.8 Opportunities for Networking:
The Region already has in place, a variety of mechanisms to meet cooperation and
networking needs. Yet, additional needs were identified as follows:
1) More complete baseline information on:
• Expertiseofindividualswithinthe region
• Environmental Laws
• Environmental Policy
• Technical Solutionstoenvironmentalproblemsaccessibleresources by
persons in libraries, CIEL's database and other means.
Many members of the Asia/Pacificgroup met one evening to discuss forming a network
concerned with environmental law in the region. The group discussed whetherthe focus would be
on environmental law and policy but decided that the need was to move beyond this narrow focus to
include issues of implementation.enforcementand practical solutionsas well.
2) Electronic Bulletin Board and/or other communication methods (i.e.
newsletter)
3) Universal access to E-mail and the Internet (only half the participants are
hooked up currently)
4) Training across a wide variety of subjects:
• Environmental Managementfor small enterprises
• Sectoral information
• Customs Officials
• Inspectorsto implement Laws
• Technology and equipment
• Rule development
• Permit writing
• Enforcement responses
• Legislative drafting
• Implementation of international conventions (in particular, networks to
exchange country information on responses to these conventions)
• Judiciary personnel on criminal enforcement
• Criminal Enforcement(police, public officials, judges)
The participants also discussed the need for training in the regulated community, especially
when a new control regime is introduced. Hazardous waste control was cited as but one example.
Participants favored modularized training with one group common to all countries and
others specific to each country.
5) Personnel Exchanges -- especially on-site trips to observe/learn how one
country solved a problem
6) Follow-On Regional Meetings to keep momentum going including an Asia-
Pacific Conference on Environmental Law, possiblyin Singapore.
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ASIA-PACIFIC REGIONAL MEETING 861
7) Transboundary cooperation
• Bi-lateral agreements for disposal of PCBs
• Sharing lists of shipping companies
• Sludge dumping in Malaysia and Singapore and potential exchange of
enforcement information
Participantsdiscussed the potential fora joint submission to GEF(administeredjoinly by
the World Bank, UNDP, UNEP) which considers Transboundary/Maritime issues one of its fourtop
priorities) for a grant on coordination.
3.9 Training Resources Available
There are many training resources already available through the following channels:
• UNDP, UNEP
• World Bank, regional banks
• Country training institutes such as National Civil Service Institutein Malaysia
or
• Bilateralassistancee.g. U.S. EPAenforcementtraining, Japan International
Cooperation Agency
• Local Universities (e.g. Chiang Mai University or Asian Institute of Technology
in Thailand)
• Partnershipswith NGO's and industry
• US Asia Environmental Partnership
A "virtual regional training network" was discussed to combine training expertise of all
countries so that overlap is avoided.
4 CONCLUSIONS/ NEXT STEPS
1) Establishmentof a network among participants within the region focusing
on environmental law and policy to share baseline informationand needs
2) Cataloguing existing training opportunities with an eye toward making them
more widely available in the region and sharing them efficiently
3) Explore GEF grant funding of regional project in maritime/transboundary
protection
4) Training the trainers on criminal enforcement, who can then train country
police, public officials and judges withinthe context of theirown country
5) Implement the network to build capacity in a wide variety of areas, including,
for example, capacity building for compliance with international conventions
6) Explore opportunities for follow up meetings of this group to further develop
and implement regional linkages
7) Explore how to best link up with other regional networks
The regional meeting resulted in assignmentto six individualsto prepare position papers
to be distributed to all participants by July 1996. The conference sponsors are requested to provide
electronic listing of participants so that this step can be accomplished.
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862 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
LIST OF PARTICIPANTS FOR ASIA AND PACIFIC REGIONAL MEETING
Mr. DamchoDorji
Mr. Ugyen Tenzin
Mr. Sam Chamroeun
Mr. Mak Sophy
Mr. John Boxall
Mr. Patrick Lei
Mr. Tse Chen Wan
Mr. HamratHamid
Mr. MasAchmad
Santosa
Mr. ReijiHitsumoto
Mr. Choei Konda
Mr. Jalaluddin Ismail
Mr. James Dawos Mamit
Dr. Aziz Abdul Rasol
Mr. Mohamad Sayuti
Sepeai
Mr. H. Badam
Dr. J. Tsogtbaatar
Mr. Donald Carter
Mr. Chris Hatton
Mr. Hu Baolin
Mr.SuliWang
Dr. Wang Xi
Ms. ZhaoYing
Ms. Abigail Modino
Mr. Antonio A. Oposa Jr.
Ms. Rachel A. Vasquez
Dr. Yeong-Ren Chen
Dr. Gwo Dong Roam
Royal Government of Bhutan
Royal Government of Bhutan
Ministry of Environment
Ministry of Environment
Environmental Protection Department
Environmental Protection Department
Environmental Protection Department
Environmental Impact Management Agency
Indonesian Center for Environmental Law
Environment Bureau - City of Kitakyushu
Environment Agency
Department of Environment
Natural Resources and Environment
Board Sarawak
Department of Environment
Department of Environment
State of Sabah / Lubuan
Ministry of Nature and the Environment
Ministry of Nature and the Environment
Resource Council, Hamilton Office
Auckland Regional Council
National Environmental Protection Agency
National Environmental Protection Agency
Center for Asian Legal Studies
East Asian Legal Studies Program
Senate Committee, Environment &
Natural Resources
PhilippineEcologicalNetwork(PEN)
Environment Management Bureau
Environmental Protection Administration
Environmental Protection Administration
Bhutan
Bhutan
Cambodia
Cambodia
Hong Kong
Hong Kong
Hong Kong
Indonesia
Indonesia
Japan
Japan
Malaysia
Malaysia
Malaysia
Malaysia
Mongolia
Mongolia
New Zealand
New Zealand
Peoples Republic of
China
Peoples Republic of
China
Peoples Republic of
China
Peoples Republic of
China
Philippines
Philippines
Philippines
Taiwan
Taiwan
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ASIA-PACIFIC REGIONAL MEETING 863
Mrs. Kasemsri
Homchean
Ms. Suwamarin
Jugsujinda
Industrial Estate Authority of Thailand
Thailand Environmental Institute (TEI)
Mr. Chamnan Junruang Chiang Mai Governor's Office
Dr. Seni Karnchanawong Faculty of Engineering
Dr. Pakit Kiravanich Pollution Control Department
Ms. Sunee Mallikamarl Chulalongkom University
Minister Yingpan Manasikarn
Mr. Virah Mavichak Department of Industrial Works
Dr. Nonglak Pancharuniti Thailand Environment Institute (TEI)
Mr. Virach Payackapan The Royal Thai Police
Ms. Santivipa Phanichkul Thailand Environment Institute (TEI)
First Regional Harbour Master Office
Chaing Mai University
Sub Lt. Preecha
Phetwong
Dr. Tippawan
Prapamontol
Mr. K. Sukondhasingha The Federation of Thai Industries
Mr. Pornchai Taranatham Pollution Control Department
Dr. Saksit Tridech Office of Environmental Policy and Planning
Mr. Suvidh Voravisuthikul Department of Land Transport
Dr. Amnat Wongbandit Thammasat University
National Economic & Social Development Board
Mr. Panithan Yamvinij
Mr. Le Van Kieu
Mr. PhungVanVui
Ms. Jean Aden
Ministry of Science, Technology &
the Environment
Ministry of Science, Technology &
the Environment
Asia Technical Department
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Vietnam
Vietnam
World Bank
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864 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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SOUTH ASIA REGIONAL MEETING 865
SOUTH ASIA REGIONAL MEETING
Facilitators: See Asia-Pacific Regional Meeting
UNEP Facilitator: Rob Glaser
GOALS
Workshop discussionsfocused on:
• Shared Problems and Challenges
• Institution-building needs
• Opportunitiesfor institutional support and exchange
(Review of existing mechanisms)
• Proposalsfor regional networking: agenda for action
• Desired linkage to international capacity building efforts
• Targets of Opportunity
1 INTRODUCTION
The South Asia representation at the Conference was sufficiently small that it was deemed
desirable for the group to join in one of two Asia meetings on the third day of the Conference,
Session A, and to meet separately on Friday to discuss follow up and networking because of the
established environmental networks existing for South Asia The combined and separate South
Asia regional meeting resulted in a very good basis for follow up action on implementation and
capacity building.
2 DISCUSSION SUMMARY
2.1 Driving Forces
Participants had an opportunity to express what they believed is driving environmental
compliance and enforcement in their countries and in the region as a whole. It was interesting to
note differences in perceptions of driving forces within South Asia countries versus Asia-Pacific.
In order of most frequently cited to least frequently cited forces they are:
• Environmentallegislation (Bangladesh, Nepal )andinternationalobligations
(Nepal, Bangladeish)
• Environmental Problems related to population density, deforestation,
biodiversity concerns, natural hazardous (Bangladesh), wildlife preservation
and tourism (Nepal)
• Strong roleof the Judiciary (Nepal, Bangladesh, India)
• Publicawarenessand pressure (Nepal)
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866 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• Strong NGO's (India)
• Education: training institutes (India)
2.2 Barriers to Environmental Compliance and Enforcement
For countries within South Asia, participantsnoted:
• a lack of strong political will stemming from new democracies which are
unwilling at this timeto take on environmentalenforcementissues.
• lack of capacity building related first to legislation without supporting rules or
regulations and a prevalence of sectoral rules which lack coordination in
development or implementation therefore the lack of interagency coordination
on compliance enforcement matters was a serious impediment given sectoral
approaches.
• limited resources including the inability of governments to pay competitive
salaries leading to difficultiesin attracting and retaining qualified staff
2.3 Regulatory Program Status Overview
The region contains programs in different stages of development with many highly developed
programs and those that are first being organized. There are varied approaches as well from
which participants can continue to learn from each other. The majority of countries in the region
have environmental compliance and enforcement programs in place with adequate laws, regulations,
and requirements, permit systems, inspection programs, training, self-monitoring, third party audits,
citizen complaints, a full variety of enforcement response mechanisms, written response escalation
policies. Those that do not yet have these program elements are in the process of creating them.
Hence a tremendous amount of progress has been made within the last five years. Yet, some
problems remain with implementation. In brief:
2.3.1 Bangladesh
Currently working master plans and strategies under recently passed law. Country focus
on economic growth with little interest in environmental compliance or enforcement.
2.3.2 Nepal
New Ministry of Environment with authorities that overlap with those at local level. Military
charged with enforcement.
2.3.3 India
Overall, program is complete with respect to requirements (laws, regulations, and permits),
compliance monitoring, and enforcement. Authoritiessplit between national and state levels.
2.3.4 World Bank
Current focus is on environmental impact assessment, but would like to help with
enforcement capacity building.
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SOUTH ASIA REGIONAL MEETING 867
3.4 Compliance Monitoring
3.4.1 Inspectors
Only India and Sri Lanka reported dedicated environmental Inspectors within environmental
agency Nepal and Bangladesh inspectors are part of other ministries (or example, Ministry of
Industry).
3.4.2 Training
Training of inspectors is very strong in India and it is not yet available in Nepal, or
Bangladesh.
3.4.3 Source Self Monitoring
Source self monitoring is highly developed in India, especially focused on large industries
with requirementswhich often go to continuousairemissionsmonitoringfor example. This is fully
described in the Capacity Building Support document on Source self-monitoringrequirements.
3.4.4 Third Party Audits
Is not really relied upon by governments in the region as a means of compliance monitoring.
3.4.5 Citizen Complaints
All countries have some mechanism to accommodate citizen complaints. India maintains
24-hour hot-lines.
3.5 Enforcement Response authorities and policies
Within the region, countries utilize a range of approaches, some legal, some involving
creative use of public and private pressure, to respond to violations and gain compliance. (See
chart). In Bangladesh they use visits by the Minister and other officials
3.6 Opportunities for Networking:
The Region already has in place the South Asia Economic Cooperation, SAEC which
has an Environment Committee. It is a Ministry level Committee which can better serve the important
role of cooperation in environmental compliance and enforcement. The participants recommended
that activities of this group be expanded to address environmental compliance and enforcement
matters, and that it serve as a means of organizing regional workshops, seminarsand the like on
this subject. Next month the issue is climate change and the representatives at the conference will
raise the opportunityto review related complianceand enforcementissues.
4 CONCLUSIONS/ NEXT STEPS
Participants will expand the focus of SAEC's Environment Committee to integrate
compliance and enforcemental issues.
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868 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Figure 1. ENFORCEMENT RESPONSE AUTHORITIES AND POLICIES
Country
Bangladesh
Nepal
India
Infbrmal/Citize
n Enforcement
Visits of
Mnister and
other officials
especially used
for solid waste
citizens can
take court
action
Administrative Civil/Judicial
Yes, variety of Yes
responses
Yes, cancel rarely
license
no
fines/penalties
Criminal
Fines/Imprison
ment
$2,000 or 5 yrs
in prison for
owner
tines common,
prison rare
6 mo - 6 yrs;
tines only
through court
Enforcement
Response
Policies
Yes
Yes - done by
Department of
Industry
Yes
Penalties
Determined by
Courts
Up to $2,000
per violation
Yes - imposed
by court
LIST OF PARTICIPANTS FOR SOUTH ASIA REGIONAL MEETING
Ms. Mary Gade
Mr. Robert Glaser
Mr. Jan Van Den Heuvel
Mr. Lai Kurukulasuriya
Mr. A De Lange
Mr. M.Abdul LatifMondal
Mr. G. Rengasamy
Prof. Yubaraj Sangroula
Mr. Sadhu Ram Sapkota
US Environmental Protection Agency USA
Ministry of Housing, Spatial Planning & The Netherlands
the Environment
Ministry of Housing, Spatial Planning & The Netherlands
the Environment
United Nations Environment Program UNEP
Public Prosecutors Office The Netherlands
Government of Bangladesh Bangladesh
Tamil Nadu Pollution Control Board India
Institute for Legal Research and Resources (ILRR) Nepal
Ministry of Population and Environment Nepal
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CENTRAL AND EASTERN EUROPE REGIONAL MEETING 869
CENTRAL AND EASTERN EUROPE REGIONAL MEETING
Facilitators: Gyula Bandi, Eva Kruzikova, Andrzej Mizgajski
Rapporteur: Susan Casey-Lefkowitz
UNEP Facilitators: Huub Kesselaar, Harley Laing
GOALS
The main goal of the regional meeting for Central and Eastern Europe, including states of
the former Soviet Union, was to learn innovative approaches to environmentalenforcementfrom
each other. The participants decided to first establish the status of the participating countries'
environmental compliance and enforcement programs and then to work together to understand
challenges common to countries with economies in transition. The participants decided to then
focus on institutional and programmatic needs and to discuss opportunities for regional networking
and linking country needs to internationalcapacity-buildingefforts.
1 INTRODUCTION
Twenty-five participants from twelve Central and Eastern European countries met to discuss
environmental enforcement issues of special concern in the region. The participants represented
the point of view of both local and national offices of the Ministries of Environment and Environmental
Inspectorates, as well as the non-governmental community.
2 DISCUSSION
2.1 Status of Legal Framework in the Region
The group established that although most countries have an environmental legal framework
in place, including regulations and a permitting system, the compliance and enforcement programs
in the region are still mainly undeveloped. Most participating countries reported having the basic
elements of an enforcement program, such as inspectorates with the ability to assess fines and
penalties. Some countriesalso reported elements of compliance promotion, such as the ability to
negotiate compliance schedules in certain situations. However, no participating countries reported
having a written enforcementpolicy or integratedenforcementand compliance program.
2.2 Driving Forces and Barriers to Environmental Enforcement
The group identified some common driving forces behind environmental compliance and
enforcement programs in the region. The two most common were national legislation and the move
to harmonize that legislation with the European Union directives. The requirements of international
conventions and a desire to harmonize environmental protection practices with the practices of the
Organization for Economic Cooperation and Development (OECD) also ranked high among
common driving forces.
From the many barriers to effective enforcement, participants noted political problems,
such as lack of political will and the priority of economic issues. They also focused on problems of
governmentinfrastructure, such as a low level of professional capacity, institutional problems, and
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870 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
uncertainty during a time of administrative reform. The group also noted problems in the private
sectors, such as a lack of respect for the rule of law, out-dated industrial technology, and a low
awareness of environmental problems.
2.3 Common Challenges
From a long list of common challenges, the group selected three shared issues in the
region to discuss in more detail. These were the issue of decentralization, privatization, and
environmental policy-making.
The group identified the issue of decentralizationas being central to the debateof which
level of government should have authority and resources to regulate specific aspects of environmental
problems. After discussing advantagesanddisadvantagesofcentralizationand decentralization
in the context of environmental enforcement, the group concluded that the goal should not be
decentralization in itself, but finding the appropriate level of government to regulate each
environmental program. The group concluded furtherthat the challengeforthe region is to find this
balance for environmental enforcement authorities.
When listing barriers, many participants had mentioned the transitionto an economy with
more private ownership as one of the difficultiesfor enforcement, especially regarding land reform
privatizationand restitution. The group concludedthatprivatizationitself was not the problem, but
that environmental problems were caused when such a complex change was undertaken without a
legal and enforcementinfrastructureto handle regulation, liability, and controlson the behaviorof
private firms and individuals.
As a third shared challenge, the participants discussed how environmental policy-making
was approached in the context of laying a basis for effective enforcement programs. Most countries
in the region have developed or are developing an integrated environmental policy and a framework
environmental law. It was noted that environmental policies create the opportunity to set the stage
for integrated pollution control and pollution prevention which can become central issues to
enforcement programs. Some participants noted that policy functions as a set of statements, under
which implementation is flexible and under which enforcement priorities and allocation of resources
are determined over time to meet specific needs.
2.4 Possibilities for Effective Enforcement
The group next focused on possibilities for effective enforcement in the region. Many
participantsfelt that the main problem in the region is a lack of effective enforcementtools and a
lack of tools to measure the success of programs. Participants agreed that, in general, the
enforcement process in the region is based on traditional tools, such as fees and fines, but that
there are a few innovations in different countries which need to be shared within the region. However,
some participants felt that the barrier went deeper than traditional enforcement tools to a lack of
politicalwill and institutionalcapacityto use those tools.
The group identified citizen enforcement mechanisms, such as citizen petitions, citizen
complaintmechanisms, and citizen enforcement suits, as an example of an effective enforcement
tool.Specificexamplesof innovations included a new possibility for cooperation between citizen
enforcers and the prosecutors office in Russia.
Participants also raised negotiated compliance agreements, as an innovative enforcement
tool in the region. Examples of these included negotiated compliance schedules which are being
used in Slovakia and Romania, and compliance agreements between the government and industry
which are being used in the Czech Republic and Poland. However, the group felt that a barrier to
these newer approaches is a lack of discretion for governmentenforcersto apply the appropriate
tool to the appropriate situation.
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CENTRAL AND EASTERN EUROPE REGIONAL MEETING 871
Finally, the group discussed sharing information with the regulated community as a useful
method for achieving environmental compliance. For example, in Romania, inspectors are holding
meetings with various sectors, such as coal mine managers, to inform them as to enforcement
activitiesand to listen to theircompliancedifficultiesand needs.
2.5 Regional and International Networking
The group decided that the largest challenge facing Central and Eastern Europe is to
develop integrated compliance and enforcement programs to replace the current piecemeal
approach. It was agreed that a regional working group should be established to continue the exchange
of information in this area. As major topics for regional discussion were agreed:
• Centralization versus decentralization.
• Ownership and privatization.
• Development of enforcement programs.
• Trainingof enforcers, negotiation skill.
• Exchange and share data.
• Newenforcementtools.
• Transboundaryissues(accesstoinformationandcooperatione.g. police).
3 CONCLUSIONS
• Most of the Central and Eastern European Countries possess a legal and
organizational framework on which a second legislative system for integrated
environmental policy, implementation and enforcement can be developed.
• Main barriers for further developments are the lack of political will and the
priority given to economic development. The transferandinstitutionalization
of political and administrative structures in East European countries should
be used as opportunityto establisha sound policy and institutional capacity.
• Cooperation and exchange of information within the region as well as with
other (further developed) countries will accelerate national programs.
• To make a start with regional cooperation a meeting will be organized in 1997.
Main topics will be: centralization versus decentralization; ownership and
privatization;trainingandinformationexchange.
Assistance and input of knowledge was promised by US-EPA and the Dutch Inspectorate
for the Environment.
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872 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
LIST OF PARTICIPANTS CENTRAL AND EASTERN EUROPEAN REGIONAL
MEETING
Ivan Zavadsky
StanislawWajda
ZbigniewKamienski
Harley Laing
Jan van Doom
Svitlana Kravchenko
Vera Mischenko
Helena Cizkova
NikolaySidjimov
Huub Kesselaar
Victoria Ter-Nikoghosyan
Susan Casey-Lefkowitz
IndrikisBarkans
Dumitra Popescu
lleana Doina Vasilescu
Heiki Nurmsalu
Rein Ratas
DaniusLygis
Arunas Kundrotas
Gyula Bandi
Ministry of Environment
Ministry of Environment
State Inspectorate for Environmental Protection
U.S.E.PA
National Crime Intelligence Service
EcoPravo-L'viv
Ecojuris
Regional Office, Ministry of Environment
MunicipalAssociation
Inspectorate for the Environment
Ministry of Environment
Environmental Law Institute
Ministry of Environmental Protection
Institute for Legal Research
Ministry of Waters, Forests, and
Environmental Protection
Environmental Inspectorate
Ministry of Environment
Parliament
Ministry of Environmental Protection
Environmental Management and Law
Slovakia
Poland
Poland*
USA
The Netherlands
Ukraine
Russia
Czech Republic*
Bulgaria
The Netherlands
Armenia
USA
Latvia
Romania
Romania
Estonia
Estonia
Lithuania
Lithuania*
Hungary*
Andrzej Mizgajski
Association
Provincial Office Environmental Protection
Department
Poland
* Organizational committee for 1997 regional meeting on environmental compliance and enforcement.
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WEST ASIA/MIDDLE EAST REGIONAL MEETING 873
WEST ASIA/MIDDLE EAST REGIONAL MEETING
Facilitators: TarekGenena, Ruth Rotenberg
UNEP Facilitator: Ossama EI-Kholy
GOALS
Workshopdiscussionsfocusedon:
• Shared problems and challenges.
• Institution-building needs.
• Opportunitiesfor institutional support and exchange.
(Review of existing mechanisms)
• Proposals for regional networking: agenda for action.
• Desired linkage to international capacity building efforts.
• Targets of Opportunity.
1 INTRODUCTION
The representation from the West Asia/Middle East was smaller than expected and so
broad conclusions could not be reached on next steps. However, the group had a good discussion
which led to several conclusions.
2 DISCUSSION SUMMARY
2.1 There are significant differences among the nations in the region in terms of
environmental issues, status of environmental laws and their implementation, but each nation is
struggling to address them.
2.2 There are some cooperative efforts already underway which should be expanded
to focus on related compliance problems. The participants will go back and review existing
mechanisms and projects for these opportunities.
2.3 Political will, time, and effort is needed before a functioning network for
environmental complianceand enforcement can be established within the Region, but participants
will follow up with working groups at both the national and regional levels and see how specific
activities might benefit from exchange.
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874 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
LIST OF PARTICIPANTS FOR WEST ASIA AND THE MIDDLE EAST
Dr. OssamaEI-Kholy Egyptian Environmental Affairs Agency Egypt
Dr. TarekGenena Egyptian Environmental Affairs Agency Egypt
Ms. Bina Baron Ministry of the Environment Israel
Ms. Ruth Rotenberg Ministry of the Environment Israel
Ms. Gila Stopler Israel Union for Environmental Defense Israel
Eng. Muzahem Muhaisin Aqaba Region Authority Jordan
His Excellency Ahmed Obeidat Jordan Environment Society Jordan
Mr. AliA. Murshed Sharjah Municipality United Arab Emirates
Ms. Susan Becker United Nations Development Program UNDP
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WESTERN EUROPE REGIONAL MEETING 875
WESTERN EUROPE REGIONAL MEETING
Facilitator: David Slater
Rapporteur: Alun W. James
1 INTRODUCTION
Representatives of 10 countries took part in the meeting of the Western European Region
plus a representativeof the European Commission. As you might expect, the fact that 9 of the 10
countries belong to the European Union meant that there was a good deal of common ground - but
the discussions also exposed national differences.
2 GOALS
Workshop Discussion focused on
• Drivingforcesforenvironmentalcomplianceand enforcement.
• Barriers to compliance and enforcement.
• Institution building needs.
• Opportunitiesfor Institutional Support.
• International Capacity building efforts.
3 PAPERS
In the paper of Slater and James describes the experiences of the United Kingdom as a
Member State of the European Union. Relevant information is shared out of these experiences.
Van Doom points at the international cooperation in combatting (international) environmental crime.
De Krom provides an overview of the successes and problems in enforcing supranational
legislationof the European Community on the supervisionand control of shipmentsof waste.
Van Gent reports about the European inspection project on the notification of new
substances in which 14 European countries participated by inspecting approximately 100
companies.
4 DISCUSSION SUMMARY
4.1 Driving Forces
The main Driving Forces for environmental compliance and enforcement mentioned were:
• public concern for, and media interestin, the environment, and
• policies of the national government, these policies often reflecting legislation
of the European Union.
The Commission representative noted that the drivingforces for this legislationwere:
- the European Community Treaty;
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876 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• the 5th Action Programmeof the European Community;
• Petitionsand Questionsfrom the European Parliamentand Ombudsman;
• Non Governmental Organisations; and
• the policy of the Commission to work with Member States on improving the
compliance with EC legislationand its enforcement.
Others importantdriving forces mentioned were:
• the cost savings and market benefits to industry from good environmental
procedures ("clean technology");
• tough penalties imposed by courts; and, especially in the Netherlands and
Italy:
• Police/Carabinieriinvolvementin environmentalcrime issues.
4.2 Barriers
The most frequently identified barrierstocomplianceandenforcementwere:
• differencesbetweendifferentlevelsofgovemmentwithina country and poor
communication among these levels.
These barriers were cited even more often than decreasing financial and political support.
But these problems also were identified by most countries. Complexity of legislation and re-regulation
pressures was also cited as a major problem. As mentioned, one of the driving forces was public
concern but a backlash to this was also a perceived barrier:
• the public find it difficult to be environmentally active and don't want to
compromise theirfreedoms, for example to have cars.
Perceived pan-European barriers were:
• inequitablelegislationindifferentcountries;
• uneven implementationand enforcement of legislation in differentcountries;
• not enough integration in the legal approach between different levels, and
• the quality of some EU legislation on the environment.
4.3 Country program designs
We got bogged down a bit in discussing country program designs, but it became clear
that the main problem, again, was difficulties between different levels of government within a country.
All countries, or parts of countries, in the Region have some form of strategic plan, though
implementation is often at different levels of government.
4.4 Other topics
Othertopics of mutual interestwere discussed.
On enforceable requirements many were concerned about the treatment of small and
medium-sized enterprises (SMEs). In particular, should they be under the same permit requirements
as larger firms. It was agreed that this subject should be pursued within the EU Network for the
Implementationand Enforcement of Environmental Legislation-the IMPEL Network.
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WESTERN EUROPE REGIONAL MEETING 877
The requirement for self monitoring and EMAS was recognized as beneficial tools but
governments should not rely on these alone to get compliance with legislation - they were not a
substitutefor regulatory inspections.
It was agreed that the effectiveness of enforcement in terms of the protection of
environmental quality was more important than the number of inspections. That is, the risk posed by
an industrial plant (as a result of its inherent hazard, the quality of its operator, or the sensitivity of the
local environment) should influence the inspection frequency.
When the tools of enforcement were discussed, significant differences between countries
were found. Some enabled regulators to impose fines directly on industries not complying with
permits; others required court cases to decide uponfines. Many countries felt the fines allowed by
statute were too lenient: sometimes it was cheaper for an industry to pay the fines than install
abatement measures. It seemed, however, that new laws in some countries provided for higher
penalties.
Again, on a Europe-wide basis, the Commission would like to see a more transparent
system in all countries for the imposition of sanctions. It was agreed that a broad range of sanctions
- administrative, civil and penal - were necessary for proper control.
5 CONCLUSIONS
In the Fifth Environmental Action Program for the European Union a strategic plan for
sustainable development in Europe is presented in which enforcement is a major subject,
argumented by market oriented approaches, such as environmental charges, negotiated
agreements, fiscal instruments and environmental liability.
The European enforcements week-long staff exchanges are a great mechanism and morale
builder. Networks deliver information, consistency across programs and support for problem solving.
The conclusions of the discussionsin term of the action plans for the Region are:
5.1 Institution Building Needs
Referring back to some of the main barriers to compliance and enforcement (ie. differences
among different levels of government and complexity of legislation), it would be of great benefit if,
somehow, it were possibleto improve the relationship and communication between different levels
of government and to simplify the legislation relating to the environment including permitting
procedures.
5.2 Opportunities for Institutional Support and Exchange
The Western Europe Region has the IMPEL Network which provides support and exchange
opportunities. It already has Working Groups looking at:
1 Technical Aspects of Permitting.
2 Procedural and Legal Aspects of Permitting.
3 ComplianceAssessmentand Inspection.
4 Training and Management Issues, and
5. Trans-frontier Shipments of Wastes.
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878 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
In future IMPEL will be able to influence policy development in the European Union by
sharing with policy makers the practical experience of implementing existing regulations. At the
same time, IMPEL may also bee able to provide useful information and experience to the European
Economic Area (EEA) and other European countries.
5.3 Linkages to international capacity building efforts
More training would be desirablefor all countries in the Region, and we see a proposed
UNEP manual is a very useful tool in this regard.
Again regarding linkages, it seemed that one could benefit from the expansion of networking
in two directions:
• First, to network more effectively within each country, and
• Second, to try to network beyond the Region. That is, to try to link IMPEL to
Networks that have been, or will be, establishedin other Regions. That is, to
help create an effective worldwide network of Regional networks. It was
suggested that, just as each country in the EU has a national coordinatorfor
IMPEL, one could have a single point of contact for other regions wishing to
access IMPEL. An appropriate contact point may be the IMPEL Secretariat
which has just been established by the Commission and Member States.
5.4 Specific Opportunity
A specific opportunity identified was the rapidly developing Internet. This can provide the
practical means for inter-regional contact. Information exchange possible from the linking of Networks
can provide real benefits to complianceand enforcementin Regions in all parts of the world.
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WESTERN EUROPE REGIONAL MEETING 879
LIST OF PARTICIPANTS FOR WESTERN EUROPE REGIONAL WORKSHOPS
Mr. Waltraud Petek
Dr. Sc. Robert Baert
Ms. Sofie H. Flensborg
Mr. Gudmund Nielsen
Mr. Antero Honkasalo
Dr. Eberhard Bohne
Dr. OttoWunderlich
Mrs. Katerina lacovidou
Mr. EpaminondasToleris
Mr. DomenicoDe Meis
Mr. Joakim Lystad
Ms. Kitty Victor
Dr. Joop Blenkers
Mr. JaapvanDijk
Dr. Jit Peters
Ms. L. Sievers
Mr. Pieter J. Verkerk
Mr. Alun James
Dr. David Slater
Mr. Lee Paddock
Austrian Ministry for Environment, Youth, and Family
Environment, Nature, Land, and Water Mngt. Admin.
Danish Environmental Protection Agency
Danish Environmental Protection Agency
Ministry of the Environment
Post Graduate School of Administrative Sciences-Speyer
Bavarian State Agency for Environmental Protection
Ministry of the Environment, Physical Planning
and Public Works
Ministry of the Environment, Physical Planning
and Public Works
Ministry of Environment
Norwegian Pollution Control Authority
Swedish Environmental Protection Agency
Inspectorate for the Environment in North-Brabant
Provincial Government of Groningen
Ministry of Housing, Spatial Planning and the Environment
Korps landelijke Politiediensten
Ministry of Housing, Spatial Planning and the Environment
Environment Agency
Environment Agency
Minnesota Attorney General's Office
Austria
Belgium
Denmark
Denmark
Finland
Germany
Germany
Greece
Greece
Italy
Norway
Sweden
The
Netherlands
The
Netherlands
The
Netherlands
The
Netherlands
The
Netherlands
United
Kingdom
United
Kingdom
United States
Mr. George Kremlis
European Community
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880 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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MAKARIM, NABRIEL AND BUTLER, JOHN 881
INFORMATION SHARING AS AN ENVIRONMENTAL POLICY TOOL: THE
INDONESIAN EXPERIENCE
MAKARIM, NABRIEL1 and BUTLER, JOHN2
1MPA, MSA, Deputy Head for Pollution Control
Environmental Impact Management Agency, Badan Pengendalian Dampak Lingkungan
(BAPEDAL), Gendung Arthaloka, Lt. X, Jl. Sudirman No. 2, Jakarta Pusat 10220,
Indonesia
2Director,Policy and Framework Affairs
US -Asia Environmental Partnership/IRQ (US-AEP), 1720 Eye Street, N.W., Suite 700,
Washington, D.C. 20006. Extensive assistance provided by Samuel Tumiwa, Technical
Manager for Asia, US-AEP
SUMMARY
Indonesia has recently launched a program to report to the public on the environmental
performanceof its businesses. Under its Business Performance Rating system, called PROPER,
the Government of Indonesia'sEnvironmental Impact Agency (BAPEDAL), reports business per-
formance with the use of color codes (from gold to black). While the program is new, with the first
round of business ratings published as recently as December 1995, results as indicated by the
response of Indonesian businesses have been very promising. Further, this scheme has proven to
be easy to understand by both the public and business.
1 PUBLIC INFORMATION AS AN ENVIRONMENTAL POLICY TOOL
Environmentalauthoritiesthroughoutthe world are increasinglyrecognizingthe positive
potentialof policies that take into accountthe relationshipsof business with teircommunitiesand
their markets. Reputation is critical to these relationships, and policies directed toward the envi-
ronmental reputation of firms can be a powerful tool for improving their environmental performance.
The use of reputational incentives as embodied in public information policies is a recent
environmental policy development, and experience around the globe is fairly limited. Although
there are many ways that information on industrial environmental performance can be shared with
the public, much of the experience to date is in implementing pollutant release and transfer regis-
tries (PRTRs) which are catalogues of pollutants introduced to air, water, and land from a variety of
sources. For example, the U.S. Toxic Release Inventory, instituted in the mid-1980s, provides
information to the public about releases of toxic chemicals into the environment from nearly 23,000
facilities. Since 1988, total releases have declined by 44.1 percent.1
Alternatively, information on environmental performance can be provided to the commu-
nity through product labeling. For example, Taiwan has conducted a Green Mark program since
1993. To qualify products for green labeling, manufacturers must meet a set of criteria that includes
consideration of their compliance with environmental standards and their success in reducing
wastes.2
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882 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The Government of Indonesia has recently followed yet another approach to informing the
public about the environmental performance of the country's industries. Under Indonesia's PROPER
program, businessesare rated by the Environmental Impact Agency, BAPEDAL, based on clearly
articulated criteria; the results of this rating are reflectedin a single index that is widely publicized.
2 THE ENVIRONMENTAL PERFORMANCE RATING OF BUSINESSES
(PROPER) IN INDONESIA
2.1 Background - the need for innovative environmental policies in Indonesia
With a population of about 200 million, Indonesia is the fourth most populous country in the
world. The country has experienced remarkableeconomicgrowth, risingfrom one of the poorest
countries in the world in 1967 (with per capita income of US $50) to current per capita income
rapidly approaching US $1,000. During the 1970s and 1980s, Indonesia's manufacturing output
doubled in volume every six to seven years. Thus, by 1990, manufacturing value added was ap-
proximately eight times its 1970 level in real terms. According to World Bank staff estimates, it is
likely to expand another 13-fold by the year 2020. Manufacturing, which contributed only about
13% of total GDP growth in the 1970s, and 23% in the 1980s, is expected to contribute more than
33% in the 1990s and nearly 45% in the following decade.3
However, Indonesia's industrial expansion has brought with it largely uncontrolled indus-
trial wastes and pollution leading to severe environmental degradation. The total pollution load
contributed by the industrial sector has grown exponentially. World Bank estimates indicate that
emissions of SOx, NOx, and total suspended particulates (TSP) increased by factors of five be-
tween 1975 and 1988.
In response to Indonesia's rapidly increasing environmental problems, the Government of
Indonesia created BAPEDAL in 1990 as an independent agency whose mandate is to:
• Develop its own institutional capacity for environmental protection,
management, training and education as well as those of provincial and
municipal governments and put into place an information system for
environmental protection.
• Create and enforce environmental protection regulations.
• Develop market mechanismsandeconomicincentivesforenvironmental'
protection.
• Develop a tripartite system of enforcement which emphasizes strategy-sharing
with nongovernmental organizations (NGOs).
Unfortunately, it has been extremelydifficult to achieve this mandate.The new agency,
while growing, still lacks experiencein monitoring, and respondingto Indonesia'smounting pollu-
tion problems. Further, accordingto the Presidential Decree establishing BAPEDAL, the agency
has the mandate to control pollution and environmentaldegradation. However, this mandate was
not followed by clear authority. As such, this could be seen as a restriction on the agency but on the
other hand it may provide an opportunity for larger authorities. Consequently, the new agency has
had to be creativeand to pursue innovative policies that transcend traditional command-and-con-
trol approaches. In this light, public information has been a key policy tool in the new agency's
efforts to combat Indonesia's rapidly mounting industrial pollution problems.4
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MAKARIM, NABRIEL AND BUTLER, JOHN 883
2.2 Indonesia's experience with reputational incentives prior to PROPER
Two reputational programs that have leveraged additional resources to further BAPEDAL's
goals: ADIPURA (Presidential award for cleanest cities) and the PROKASIH (clean rivers pro-
gram). BothprogramsingeniouslyskirttheconstraintsofBAPEDAL'sinstitutionalcapacity.
ADIPURA is awarded annually by the President of Indonesia to the cleanest cities in the
country. Under this program, a national-level review committee is put together with representatives
from provincial governments, nongovernmental organizations, academia and line ministries. This
committee meets to review applications from each town and city competing for the award. In 1993,
58 towns and cities participated;thenumberwassignificantlylarger in 1994 and 1995. Mayors
are reputed to be competing for these awards understrong encouragementfrom theirgovemors,
thus providing strong incentives for the actions. Citizens also take great pride in winning this award
and hold parades and other special events to celebrate the award.
The PROKASIH program targets all factories discharging waste water into a specific
river. In essence, the program enlists industry to sign an agreement with the local mayor and
BAPEDAL on waste water management and specific levels of discharge. Under PROKASIH,
each provincial governor is responsible for program implementation within their province. The
operational responsibility is delegated to the Vice Governor who chairs a team, with representa-
tives from the provincial-level offices of the Department of Environment, Development Planning
Board (BAPPEDA), universities, research laboratories, NGOs, local officials, and other relevant
sectorial agencies that monitor the factories' adherence to the agreement. If they are found to be in
violation, factories are prosecuted on the specific standards set in the agreement instead of na-
tional and provincial regulations. The involvement of NGOs and other stakeholders in this program
has broadened the support base for enforcement, which has in turn created greater pressure on
businessesto comply with theiragreements. From 1989 to 1994, PROKASIH activities have dealt
with 31 rivers in 13 provinces; the program now encompasses more than 50 rivers in 17 (of
Indonesia'stotal 27) provinces.5
2.3 Introduction to PROPER
Building on the success of ADIPURA and PROKASIH, BAPEDAL has recently added
public information as another key ingredient of its policies to improve the environmental perfor-
mance of Indonesian businesses. Under PROPER, BAPEDAL has implemented a system for
rating the environmentalperformanceofindustriesand for publicly announcingthe ratings. Unlike
PRTRs, the PROPER system is based on publishing a single indicator of environmental perfor-
mance. The program is expected to serve two objectives: (1) promote compliance with existing
regulations; and (2) reward firms whose performance exceeds regulatory standards. BAPEDAL
announced the results of its first rating cycle in June 1995.
Like ADIPURA and PROKASIH before it, PROPER works in parallel with, not as an alter-
native to environmental regulations and enforcement. Given BAPEDAL's current limited institu-
tional and technical capacity the strategy to develop PROPER has been very careful and conserva-
tive. Foremost in the development of PROPER was to ensure that it was well articulated to all
stakeholders to ensure that everyone understood them. Further, the program needed to be accu-
rate and its evaluation and the rating process had to be transparentto lend it credibility. To ensure
this, BAPEDAL chose to rate only 187 companies in the program's first year. As technical capac-
ity develops, so too will the number of businesses in the program. BAPEDAL expects to have
about 5000 companies participating in PROPER by the turn of the century.
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884 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Table 1. Listing of the ratings and their requirements:
Exceed
Compliance
Gold
Green
In Compliance
Blue
Not In Compliance Red
Black
All requirements of Green, plus similar levels of pollution
control for air and hazardous waste. Polluter reaches high
international standards by making extensive use of clean
technology, waste minimization, pollution prevention,
recycling, etc.
Pollution level is lower than the discharge standards by at
least 50 percent. Factory also ensures proper disposal of
sludge, good housekeeping, accurate pollution records,
and reasonable maintenance of the waste water treatment
system.
Factory only applies sufficient effort to meet the minimum
discharge standards.
Factory makes some effort to control pollution, but it is not
sufficient to achieve compliance.
Factory makes no effort to control pollution, or causes
serious environmental damage.
To keep the program simple in its first year, the initial set of ratings only measured busi-
ness performance vis-a-vis the management and discharge of waste water. Although Indonesia's
existing environmental regulations cover waste water, as well as air pollution and hazardous waste,
the regulationson hazardous waste and air pollutionare recent, with a Presidential Decree issued
in 1994 for hazardous waste and a 1995 Ministerial Decree specifyingair emissions standardsfor
stationary sources. On the other hand, regulationson water pollution have a significantly longer
record of development and implementation. Further, PROPER currently uses the national water
pollution regulationsas there are both national and provincial water pollution regulations. In some
cases the provincial regulations differ significantly from their national counterparts.6 To simplify
matters and to ensure that ratings criteria are uniform throughout the country, it was decided that
national standards would be used. Eventually, PROPER is expected to be a multimedia program
and will include toxic waste and air pollution. It is possiblethat the methodology will be adapted to
include provincial regulations.
For its first year, PROPER included three groups of companies in the program: those
already in PROKASIH; those volunteering for the PROPER program; and selected "special cases."
To be rated Blue the plant has to comply with the minimum standards for waste water
management and discharge. As such, the criteria for a blue rating becomes the minimum baseline
from which factories exceed compliance or do not meet compliance.
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MAKARIM, NABRIEL AND BUTLER, JOHN 885
To move from Blue to Green thefactory must meet all the requirements for the Blue rating
and:
• Pass an inspection by BAPEDAL inspectors to prove that the factory's pollution
is at least 50 percent less than the relevant discharge standard in the most
recent six months of pollution reports priorto the rating.
• Pass an inspection by BAPEDAL inspectors to show that the factory manages
and disposes of its sludge in an environmentallyresponsiblemanner.
• Demonstrate to BAPEDAL inspectors that it practices good housekeeping.
• Submit accurate and up-to-date pollution records monthly to BAPEDAL.
• Show BAPEDAL inspectors that its waste water treatment systems are in
good operational condition and well maintained.
BAPEDAL designed the Green rating to exceed all the requirements for ISO 14000
certification. By pinning this rating-level to an international standard, it lends credibility to the
program and encourages companies interested in ISO certification to participate in PROPER
by providing a pre-certification check point against which they can measure their prepared-
ness for ISO 14000 certification.
To move from Green to Gold, the factory must meet all the requirements of the Green
rating and undertake a special audit by recognized experts. For the first cycle of ratings, no
companies were able to achieve this rating. The special audit will judge whether the plant:
• Shows BAPEDAL inspectors that its waste water treatment systems are in
good operational condition and well maintained.
• Demonstratesexcellentperformancein the adoption of cleanerproduction.
• Uses recyclable productsand environmentally friendly inputs.
• Recycles/reusesits materials.
In an attempt to include some assessment of air and hazardous waste performance and
to place a markerforfutureinclusion of standardsfor these mediums, several decision rules have
been established. However, they were done in recognition that reliable plant-level data on air and
hazardous waste data are still scarce.
• If a plant that produces hazardous waste meets the criteria for a Green
rating based on its water pollution, but does not have the operating permit
required by the hazardous waste regulation, its rating remains Blue.
• For a Gold rating, a plant that produces hazardous waste must have the
operating permit required by the hazardous waste regulation and be
determined by the special audit team to be handling and managing its
hazardous waste in an environmentally responsible manner.
The difference between a Blue- and a Red-rated plant is that the Blue plant meets the
minimum standards of waste water management and discharge while the Red plant has shown
an effort to meet the standards, but has not succeeded. These efforts are judged by:
• An observable investment in end-of-pipe treatment or at least partial
installation of a primary treatment system.
• Credible demonstration of a pollution reducing process or input change.
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886 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The difference between a Red and a Black rated plant is that the latter has neither a
primary treatment system for its waste water nor can it demonstrate that it has instituted a
process or input change to reduce pollution. In addition, if BAPEDAL receives a complaint
from a neighboring community that a plant is polluting, it is immediately considered for a Black
rating. BAPEDAL staff then follow-up with an environmental audit of the plant and an assess-
ment of damage from discharges to air, water and land.
The PROPER process is kept relatively simple. The most time involved steps are the
data gathering required of the company for the self reporting of data and the verification and
compliance analysis by BAPEDAL. Figure 1 represents the PROPER process.
Selection of Participants
Data Gathering by Plant
Self Reporting to
BAPEDAL
Report Writing and Final
Verifications
Data Verification by
BAPEDAL
Data Analysis by
BAPEDAL
Rating Submitted to the
Minister of Environment
Rating Reported to the
President
Rating Released to the
Press
Figure 1. The PROPER process
Figure 2 presents the process for compliance analysis (the "Data Analysis by
BAPEDAL" and "Data Verification by BAPEDAL" boxes in the above diagram). The compli-
ance level of a plant is first assessed based on data that is self-reported by the plan (Appendix
1 presents a summary of the requirements for pollution and production data that plants have to
self-report on - suffice to say, they are quite demanding). If the plant does not meet the mini-
mum requirements then it is judged non-compliant and rated Red or Black accordingly. If the
self-reported data shows no violation of the standards, an independent assessment by
BAPEDAL inspectors and a review of the plant's monthly monitoring reports is then under-
taken. Because data is not always reliable, BAPEDAL acts as a final filter in this three-step
process. Since Gold, Green, and Black rated companies are extraordinary, they have to go
through this final process. During this step, BAPEDAL staff from all divisions discuss any
ambiguities, and additional information from staff members may be used to improve the accu-
racy of the rating. In some cases, the final ratings have been changed as a result of these
proceedings.7
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MAKARIM, NABRIEL AND BUTLER, JOHN 887
Figure 2. The process for compliance data analysis and verification by BAPEDAL
Is there self monitored
pollution data available?
yes
Is the company in compliance based on
self?
no
yes
no
Is there pollution data from independent
sources?
yes
Is the company in compliance based on
an independent audit report?
BAPEDAL Inspection
BLUE GREEN GOLD
2.4 Results of PROPER'S First Rating Cycle
The results of the first round of PROPER were announced in June 1995 with 187
companies being rated. However, only the names of the 66 plants rated Green and Blue were
initially announced. The 121 plants rated Red and Black were privately notified of their rating
and given until December to comply before their names were publicly announced.
In December, 1995, the results of a midterm review were announced: 26 additional
companies had joined the program, and the companies that were originally rated Red and
Black and whose names were not announced in July, were also made public.
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888 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Table 2. Results of PROPER - June and December 1995
Type
of
Rating
Gold
Green
Blue
Red
Black
June
Number of
Plants
0
5
61
115
6
December
Number of
Plants
0
4
72
108
3
It is interestingto contrast the percentagesof companies compliantin June and Decem-
ber. This comparison indicates the seriousness with which companiesviewtheirPROPER rating.
Table 2 above shows that, in just six months, the percentage of companies with a blue rating (com-
pliant) increased by 18 percent, with the six poorest ratings dropping from six to three. Table 3
summarizes the final ratings by industry ownership.
Table 3. 1995 Results of PROPER by ownership in each category (percentage)
Rating
Locally-Owned
Foreign-Owned
State-Owned
Gold
Green
Blue
Red
Black
Total
0.0
0.8
30.3
65.9
3.0
100.0
0.0
7.4
70.7
19.5
2.4
100.0
0.0
2.8
50.0
47.2
0.0
100.0
2.5 Impact of PROPER
Both public announcements of PROPER'S first rating cycle resulted in a wave of re-
porting on industrial pollution and its impact on Indonesia. Both the local and international
media covered the story intensively with many articles on PROPER and other environmental
issues. The announcements also activated many communities and nongovernmental organi-
zations as they became aware of the environmental performance of plants around them.
BAPEDAL was initially wary of potential litigation from plants unhappy with their rat-
ing. On the contrary, they received phone calls from plant owners and managers asking for
assistance on how they could improve the environmental performance of their company. Even
companies that were rated Green called to see how they could improve their rating to Gold.
By the December announcements, more than 20 new companies had joined the
program. Of the original 187 companies rated in June, the number of companies rated Black
had dropped from six to three, a decrease of 50 percent for the most serious offenders.
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MAKARIM, NABRIEL AND BUTLER, JOHN 889
3 THE FUTURE FOR ENVIRONMENTAL PROTECTION POLICIES BASED
ON PUBLIC INFORMATION
Although PROPER is still in its infancy, it is an excellent example of how public information
can be a powerful policy tool for environmental protection. PROPER demonstratesthat environ-
mental agencies should rethink their role, and consider moving beyond policies based solely on
command-and-controlor economic incentives. Rather, environmental authorities can gain lever-
age through nontraditional programs that harness the power of communities and markets. Further,
there is ample room for other information-orientedapproaches, including voluntary participation/
complianceprogramssuchaslndonesia'sADIPURAandPROKASIH.
The number of PROPER-rated firms that moved from Blackand Red to Blue indicates the
effectivenessof the PROPER approachas a policy tool for improving environmental compliance.
But the fact that firms have shown a strong interest in improving their ratings to at least Green
suggests that this approach can also be an important policy tool for encouraging firms to move
beyond compliance to adopting clean production programs. Adoption of pollution prevention and
clean production has often occurred in developed countries largely by default, i.e., companies have
often gone beyond minimum compliance in order to get ahead of increasingly stringent regulations
and mounting public pressure. In contrast, PROPER is a public policy tool that provides an explicit
incentiveto adopt clean technologiesand production methods.
For environmental agencies in developing countries that are struggling to build their insti-
tutional capacity in the face of rapid industrialization, an approach such as PROPER deserves
serious examination. Indeed, countries as geographically dispersed as Mexico and the Philip-
pines have expressed interest in establishing a business rating system, and the World Bank has
recently announced that it is sending an expert to the Philippines to assist the government in estab-
lishing such a program.8
The United States - Asia Environmental Partnership (US-AEP) is also working to pro-
mote policies that use public informationto leverage more responsibleenvironmentalbehaviorby
producers. The program, led by the United States Agency for International Development (USAID),
supports the efforts of Asian countries to improve business reporting on theirenvironmental perfor-
mance and provide meaningful channels to share this information with the public.
The experience of PROPER and other similar programs elsewhere in the developing
world lend credibility to the idea that environmental policy should not be directed solely to the rela-
tionship between regulators and the regulated. Rather, it is the inclusion of all stakeholders in a
process that is well articulated, transparent and that provides both positive and negative incentives
that has produced a program that is both innovativeand, so far, shows every sign of success.
ENDNOTES
1. 1996. 1994 Toxic Release Inventory. Public Data Release. Executive Summary. Wash-
ington, D.C.: US Environmental Protection Agency.
2. 1995. Environmental Regulations (1), Environmental Protection Administration, Govern-
ment of the Republicof China.
3. 1994. Indonesia: Environmentand Development. Washington, D.C.: The World Bank.
4. See Makarim, Nabiel. 1992. "EnvironmentalImpact Management in Indonesia", pp 33-35
in T.E. Chua and L.R. Graces (eds) ICLARM Conference Proceedings, Ministry of Environ-
ment and Canada-ASEANCenter, Singapore; Asian Development Bank and International
Center for Living Aquatic Resources, Philippines.
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890 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
5. Ibid.
6. Afsah, Shakeb, B. Laplant, and D. Wheeler, 1995. "W/?af ;s Proper? Reputations!
Incentives for Pollution Control in Indonesia." World Bank, Washington, D.C.
7. Ibid
8. 1996. Public Opinion, Markets are New Weapons in Pollution Fight, Press Release No.
97/S004, Washington, D.C.: The World Bank (August21).
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MAKARIM, NABRIEL AND BUTLER, JOHN 891
Appendix 1. Summary of the Requirements for Pollution and Production Data
Key Questions
1. Does the plant meet
the effluent
standards as
specified in
Appendix I to IV of
the regulation
Kep/MEN/03/1991?
2. Does the plant
comply with the
requirements of
Articles 3.1, 5.1 and
5.2 of the regulation
Kep/MEN/03/1991?
3. How reliable are the
data used to
measure questions
(1)and (2)?
Information Needs
1. What is the pollution
per unit of the plant?
2. What is the standard
applicable to the plant?
3. Is there a flow meter?
4. Is the flow rate
measured and recorded
daily?
5. Is the effluent sampled
and analyzed once a
month?
6. Are pollution
concentration data
reliable?
7. Are flow rate data
reliable?
8. Are production data
reliable?
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
Nature of Information
Average monthly pollution
concentration?
Average monthly flow rate?
Monthly output in units as specified
in KEP-03/MENKLH/II/1991?
KEP-03/MENKLH/II/1991
standard?
Type of flow meter?
Number of observations on flow
rate per month?
Number of observations of
parameter concentration for the
month?
Is there an operational waste water
treatment system in the plant?
What is the sampling method?
How frequently are effluents
sampled and analyzed?
Is the production process batch or
continuous?
Are data reported for all outlets in
the plant?
Is the flow continuous?
Is the flow meter reliable?
Is the flow meter well maintained?
Is the flow measurement taken?
daily and recorded?
Is the production process batch or
continuous?
Are the units of production
consistent with KEP-
03/MENKLH/l 1/1991?
Are the production data correct for
intermediate products and by-
products?
Are production data consistent with
the reported capacity of the plant?
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892 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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HITSUMOTO, REIJI 893
THE CITY OF KITAKYUSHU'S EXPERIENCE CONCERNING THE
IMPLEMENTATION OF COUNTERMEASURES FOR AND COMPLIANCE WITH
ENVIRONMENTAL PROTECTION LEGISLATION
HITSUMOTO, REIJI
Deputy Director, General Affairs Department, Environmental Bureau, City of Kitakyushu,
Jonal 1-1, Kokurakita-ku, Kitakyushu 803, Japan
SUMMARY
To achieve environmental protection people must be conscious of the need for environ-
mental protection and must take concrete actions in accordance with rules established for that
purpose.
For example, in the developing nations experiencing continued economicgrowth, there
are strict standardsand rules, but this does not necessarily mean that environmentalprotectionis
being achieved. One of the biggest questions we are currently faced with is to what extent should
we enact the measures which are availableto us to protectthe environment.
A severe pollution problem arose in the city of Kitakyushu in the 1960s, but through the
partnership of the citizens and the parties responsible, the city was able to overcome this problem.
The city is now actively involved in international cooperation related to the environment in an at-
tempt to put the experience and technology that was gained in the process of dealing with pollution
problemstoworkfordevelopingcountries which are suffering similar problems. Among our activi-
ties in this venue thus far, we conducteda review of pollutionfightingexperiencesin conjunction
with the World Bank in 1993.
The city of Kitakyushu'santi-pollutionmeasuresand its laterinternationalcooperationon
environmental problems have been highly praised throughoutthe world, as is exemplifiedby their
introduction in the Organization of European Cooperation and Development (OECD) report, the
receipt of the UNEP Global 500 Award, and receipt of the United Nations' Regional Government
Commendation at the Global Summit,
1 WHY WERE THE MEASURES OBEYED?
1.1 Problem awareness and the regional government
The first step towards solving environmental problems is raising awareness of the prob-
lem. To raise awareness it is necessary to have the information and educational tools for conduct-
ing an appropriatesituational analysis.
In the city of Kitakyushu's response to its environmental problems, there was general rise
in interest in such problems throughout Japan at that time and against that background, from the
1950s onward, many anti-pollutiondemonstrationswere staged by citizens directly victimized by
pollution. These citizen groups conducted their own research on the problems, made requests for
improvementsto the factories, and lobbied to legislative assemblies on a large scale.
In Japan at that time, a local autonomy system backed by the Constitution was already in
place and local governmental leaders and representatives were chosen by direct vote by the people
of the region. At the same time, the local government, as the branch of governmentclosest to the
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894 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
people, was responsibleforthe welfare of the citizens, and while planning ways to stimulate indus-
try was also responsiblefor protectingthe health of resident citizens. As a result, the local govern-
ment was responsiblefor the comprehensiverunning of all aspects of the governmentand, thus,
they were not forced to choose between eitherthe environmentor development.
Faced directly with the facts about pollution, first citizens, then assemblies and legisla-
tures, and finally even corporations recognized very clearly the grave importance of the problems.
1.2 Incentives
Corporations, due to their responsibility as members of the local community, had no choice
but to treat these problems very seriously. Also, within the corporate community, major corpora-
tions took the lead in actively looking for solutionsto the pollution problems and other corporations
followed their example.
There are several reasons why corporationstook an active approach to looking for solu-
tions to the pollution problems. One of these reasons was that there was unbiased guidance
based on scientific proof, such as from wind tunnel experiments. Another reason was that the
period in which these problems arose was one of rapid economic growth and the purchase of new
equipment and capital investment was possible. Furthermore, the problems arose at precisely the
time when new equipment and investment were needed anyway.
The pollution countermeasures actually improved economic effectiveness in some ways.
Through improvements to production equipment, corporations were able to save resources and
conserve energy and these benefits became economic incentivesforimplementinganti-pollution
measures.
1.3 Crisis management
On the other hand, in some ways the corporate response was not as much an attemptto
strengthen countermeasuresfor the purposeof achieving cost benefits as it was the implementa-
tion of crisis management countermeasures. They implemented countermeasures immediately
because of the possibility that ignoring the problems could lead to greater damage later. A good
example of this was the dredging of the mercury contaminatedsilt on the bottom of Dokai Bay.
Crisis management has existed in Japan in the form of afforestation and flood prevention
works for a long time. These old practices, seen in the unified actions of the regional communities
(including the corporations located therein) in dealing with the pollution phenomenon, brought about
success.
1.4 Japanese culture
It is probably a unique aspect of Japanese culture, but the members of each regional
society have an extremely strong aversion to shame. When a social action of a certain community
is criticized, this provides a strong negative incentive to change. On the other hand, once an anti-
pollution measure was authorized by a community, all of the community members tended to obey it.
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HITSUMOTO, REIJI 895
WHY WAS IT POSSIBLE TO OBEY THE ANTI POLLUTION
LEGISLATION?
2.1 Local automation and the constitution
The regional autonomy guaranteed by the Constitutioncan be given as a major piece of
the framework that allowed for compliance with the pollution prevention rules. Pollution is actually a
local problem and the active approach of the local governments, which are the administrators of
each region, towards solving the problemswas indispensablein eventually overcoming them.
2.2 Organizational adjustments
The city of Kitakyushu is a city of one million people which was born out of the merger of
five cities in 1963. Each of the five cities acting independently would not necessarily have had the
socioeconomiccapacity to face these problems, but by combining into a single city they were able
to create sufficientpowerto overcomethe challenges posed by pollution.
The city of Kitakyushu started out with just one worker dedicated solely to pollution coun-
termeasures, but the function gradually expanded over time becoming a group in 1963, a depart-
ment in 1965, a division in 1970, and a bureau in 1971. The city's Environment Bureau was actually
established five days ahead of the nation's Environment Agency. Adjustments to the organization
of local governments in line with those of the federal government are indispensableforthe success
of large scale projects.
2.3 Regional leadership in pollution countermeasures
The federal government provided a basicframeworkfor fighting pollution by establishing
laws, etc., but the local governments, located closest to the people, played a major role as the
driving force which carried out the everybody-work of implementing the countermeasures. In order
to implement effective measures, the city of Kitakyushu was given the authority to establish regula-
tions on pollution. As a result, the pollution countermeasureswithin the region were able to make
progress in leaps and bounds. But, it was only possible for the city of Kitakyushuto receivesuch
authority in the first place because the city had put togetherthe capacity needed to enforce such
regulations.
In the case of the city of Kitakyushu, in order to proceed with the anti-pollution measures in
a comprehensive and well planned manner, the city first decided on an environmental pollution
control program, and then, to implement detailed countermeasures, independently decided on
local ordinances and an outline of essential points. This legislation set regulations which were
stricterthan those imposed by the federal government. The right of local govemmentsto establish
independent standards is also guaranteed by law in Japan.
In the city of Kitakyushu, individual workers acted on their own to gain a grasp of the actual
situation and to understand the systems causing the pollution problems. They also conducted
inspectionsof the corporations and gave instructionsfor making improvements. These activities
were carried out in accordance with the law. These instructions were from the very outset not in
terms of legal action, but rather were technical instructions for concrete actions to improve the
situation against the background of the authority which had been granted to the city, and were both
practical and effective.
The city workers assigned to do this work had specific knowledge of pollution problems,
but their capabilitieswere furtherdevelopedthrough their experiencesout in the field and through
being dispatched to organizationsspecializing in related technologies. The city earned the trust of
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896 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
its residents by responding to complaints from citizens and reports of pollution related accidents
immediately, and by implementing night patrols and other monitoring activities to complimentthe
strict regulations,
Among the various actions taken by the city of Kitakyushu, the agreement on environmen-
tal pollution control deserves special mention. The Agreement on Environmental Pollution Control
was a voluntary agreement between the government and corporations which called for strict pollu-
tion control measures going beyond those set out in the legislation and which were not enforceable
by law. But the corporations maintained strict compliance with the contents of the Agreement. The
reasons why the corporations complied with this voluntary agreement are as I have outlined above.
Starting with the city of Kitakyushu, local governments throughout the country formed a
network for exchanging information and sharing experiences. The work of the local government
was also made easier by communicating local desires and requests to the federal government
through this network. The local governments were also able to establish think tanks which included
experienced scholars and members of the federal government by using this network.
In order to strengthen its scientific response to the pollution problem, the city of Kitakyushu
established an environmental science research center and conducted scientific surveys and re-
search on pollution.
3 CONCRETE MEASURES TO IMPROVE THE SITUATION
3.1 Regional authority
Regional authority was of tantamount importance in assuring improvement. The city of
Kitakyushu was the first city in Japan to obtain the authority to issue smog warnings based on the
air pollution prevention law. Thisauthoritymadethereductionofpollutantemissionsasurething
because it gave the City the power to halt the operation of factories depending on the level of
pollutants in the air.
The "special weather information system" which the city established independently as an
early stage of forced improvement leadership, was based on observations of the environment, and
was a system whereby the city made demands to corporations for preventive countermeasures
prior to causing serious air pollution.
3.2 Conferences and partnerships
The city of Kitakyushu promoted the formation of links between experienced scholars and
common citizens through the creation of the "anti-pollution measure deliberation council' and other
groups to deliberate countermeasuresto the pollution problem from an expert and broad-minded
point of view.
The Kitakyushu Air Pollution Control Connecting Conference was made up of representa-
tives from major corporations based in the city, the prefecture, and the entire country. The
Conference's purpose was to provide a place for exchanging information and opinions on the
practicality of legislation, for establishing mutual understanding in the way of thinking among corpo-
rations, and for the rough enforcement of preventive measures. The Conference played a major
role in the implementation of pollution prevention measures by adding the participation of federal
developmentalagencies, clarifying the possibilityfor direct connectionsto the growth of individual
companies, and establishingtrusting relationships.
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HITSUMOTO, REIJI 897
3.3 The agreement on environmental pollution control
The city of Kitakyushu decided on local ordinances which contained provisions much
stricterthan the national standards in orderto confront the pollution problem. In addition, the city
also decided on an outline of essential points which spelled out the city's policy in detail. These
actions made possible effective and efficient countermeasures which matched the special charac-
teristicsand needs of the region.
With the implementation of the agreement on environmental pollution control (the voluntary
rules decided upon by the government and corporations) the city was able to achieve compliance
with standards stricterthan the laws that were in place, could regulate items that were not legal
regulations, and conducted pre-use inspections of new industrial equipment. The conclusion of the
agreement also played a vital role in ensuring the creation of places for discussion and argument
on the issues, such as the Conference mentioned above.
There was a federal program for providing financial assistanceto the victims of pollution,
but the city of Kitakyushu established its own independentfinancialassistanceand rehabilitation
system to help victims who did not meet the criteria for receiving aid from the federal program. This
system showed the high priority which the local government assigned to the welfare of local resi-
dents, and along with the conclusion of the Prevention Agreement helped to win the trust of the
region's citizens.
3.4 Education of personnel
In orderto ensure a sufficient number of experts in the necessary fields of knowledge, the
city hired persons with specialized knowledge and then made efforts to further develop these spe-
cialists into excellent workers with thorough experience in daily operationsth rough on the job train-
ing programs.
3.5 Monitoring and leadership
Monitoring of the sources where pollution is created is the most basic step in pollution
prevention. Production site inspectionsconducted by trained personnel without prior notification
ensured corporate compliance with legal standards, and made it possible for the city to take a
position of proper leadership against these problems.
The city also reacted immediately to complaints from citizens and reports of pollution
related accidents with sincere efforts to solve the problems. Also, the city's pollution prevention
stance was in line with the thinking of the people of the region and earned the understanding and
trust of the city's residents through activities such as the carrying out of nighttime monitoring patrols.
3.6 Technological development and survey research
The local govemmentdid not simply force compliance with the legal standardsin a one-
sided manner, but rathermade efforts in the field of scientificsurveysand research, and was able
to provide concrete technological information geared towards improvement of the pollution prob-
lems and was able to show the effectiveness of the measures being taken. Among these scientific
endeavors, the independent improvement plans adopted by corporations based on wind tunnel
experiments were not only effective as corporate countermeasures, but also helped the compa-
nies involved avoid undue financial burdens, and as such contributed to the development of trusting
relations between the corporationsand the local government.
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898 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The corporationsdid not merely adopt the production technologies and pollution preven-
tion techniques which had been developed by outsiders as they were, they furtherdeveloped the
technologies into truly useful new techniques through efforts on their own part.
3.7 Economic incentives: cleaner production
After experiencing the oil shock, the cooperations made through efforts to conserve en-
ergy by introducing new production equipment, improving equipment maintenance methods, and
by recycling. These measures also helped to reduce the volume of pollutant substances and waste
products given off by the factories and made a great contributionto pollution prevention efforts.
The corporations developed futuristic new methods for consuming energy one after an-
other. ThesenewtechnologiesincludedtheOGmethodforutilizingenergywhichhad previously
been wasted, and the serial casting method for the casting of metal products.
The simultaneous achievement of both pollution prevention and industrial development is
clearly shown by the following statistical fact. In times of industrial growth the amount of fuel con-
sumed (source of pollution) generally increases, but following the oil shock, even though the amount
of fuel consumed decreased, the amount (value) of industrial output continued to grow.
The amount of sulfuricoxide pollutants was reduced by 75% through the combination of
energy conservation efforts and by switching to the use of alternative energy sources low in sulfuric
oxide.
The switch from many small scale sources to the consolidation of equipment, while im-
proving production efficiencies, also made a great contributionto the implementation of effective
environmental countermeasures.
3.8 Public investment: improvement projects
In the area of environmentalimprovement.the local governmentand other public sector
groups also carried out actual improvement projects. The construction of a public sewer system
including a waste processing plant played a major role in alleviating the water pollution problems
caused by untreated sewage.
The city of Kitakyushu conducted a dredging projectto revitalize the Dokai Bay which had
become so polluted that it was referred to as the 'sea of death'. The project of dredging and
removing all of the bottom silt which contained more than 30 ppm of mercury was carried out based
on scientific surveys and results analysis, with great care taken to prevent secondary pollution in the
areas dredged. The costs of the dredging operation were borne fairly by the governmentand the
public based on responsibility, with the corporationsfooting 70% of the bill.
4 THE POSSIBILITY OF TRANSFERRING THE CITY OF KITAKYUSHU'S
EXPERIENCE TO DEVELOPING COUNTRIES
The experience which the city of Kitakyushu, and all of Japan gained through the process
of overcoming pollution problems can provide many hints and ideas to developing countries but,
since the economic social, and cultural conditions are different in each country and region, the
specific policies and technologies used in Japan can not be applied directly to the situations cur-
rentlyfaced by developing countries. The World Bank'sreportadvisesthatwhencooperatingwith
the developing countries in environmental matters, the developed countries should support them
not only in specific environmental activities, but also in the overall education of technological and
managerial administration.
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HITSUMOTO, REIJI 899
4.1 Economic, social, and cultural factors
On the point of economic growth and industrial strategy, the fact that Japan was able to
conduct sufficient investment in pollution prevention technology was in large part due to the fact that
Japan was able to achieve a high rate of economic growth, and also owed to the unique relation-
ship between the government and industry whereby they worked togetherto find areas of agree-
ment in laying out the county's economic policy1
The fact that the freedom of speech and the right to hold political discussions were guar-
anteed played a role in the success of dealing with pollution problems in Japan. Freedom of speech
allowed for the upsurgence of the grassroots anti-pollution movement, and the government and
industries that received the message of this movement had no choice but to take measures to
prevent pollution. Anotherfactor was that Japan had achieved the highest level of education in the
world by the 1950s and had a high level of literacy, and the people's consciousness of the pollution
problem was heightened by a campaign against pollution by the mass media. Underthese circum-
stances, private citizensand corporations realized that it would not be good to be singled out and
criticized for anti-social behavior by the citizen groups.
The roles of the Central Government and regional public organizations were divided as
follows. The Central Government created a broad legal framework and provided assistance, while
the regional public organizations, who had to be sensitive to thefeelingsof the regional residents
as their leaders were chosen by elections, took a position of leadership in the prevention of pollu-
tion.
The setting of prices as a part of the energy policy, the promotion of self-administration
systems among corporations, and the introduction of large volume transportation systems were
also effective steps taken in fighting pollution.
4.2 The applicability of Japan's experience to developing countries
The developing nations have a habit of prioritizing development over the environment but
the first thing that needs to be done is for the governmentsand industries to develop the ability to
evaluate the effects of their actions on the environment, and to strengthen monitoring capability.
The developing nations must also draw a sharp distinction between the things that were
done in Japan that can be put into use immediately, those that can be used as a part of mid to long
term planning, and those measuresthat will never be possibleto introduce.
Actions that are highly feasible include the expansion and improvement of the ability of
local governmentsto purpose and implement anti-pollution legislation, the development of environ-
mental protection systems and organizations/personnelat the regional level, governmental assis-
tance, the granting of legal authority, the conclusion of pollution prevention agreements with corpo-
rations, and the establishmentof systemsfor resolving complaintsfrom citizens, to name a few.
The existence of a system which allows for frank and cooperative discussion between the
government and industries and improves the independent administrativeability of corporations
through a pollution prevention management system is very important.
Review of the productionprocessesthemselvesleadsto the simultaneousachievement
of economic growth and environmental protection. The raising of expert technicians and the devel-
opment of pollution prevention industries and technology improvement consultantsare all neces-
sary as well.
Simple and inexpensivetraditionaltechnologiesare often highly applicableas solutions
to pollution problems. Also, it is necessary to give careful consideration to whether modem cutting-
edge technology or traditional labor intensive methods are more appropriate for fighting pollution in
each situation.
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900 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Making low-interest loans from the governmentavailableto corporations, the use of tax
breaks, the strategic setting of energy prices, and the effective management of the overall tax
system are all things that can be done to encourage corporationsto take anti-pollutionmeasures.
Education about the environment, the promotion of learning, the creation of systems to
assist victims, and the monitoringof the sources of pollution are all important. Providing ways for
citizenstoparticipatein solving environmental problems is also extremely important.
5 INTERNATIONAL ENVIRONMENTAL COOPERATION
I n order to put the experience of the city of Kitaky ushu gained in the process of overcom-
ing its pollution problems to use for the developing countries currently suffering under similar situa-
tions, the city is actively promoting International EnvironmentalConferenceswhich bring together
industry, government and scholastic institutions.
5.1 The taking in of trainees
Among the items on the international cooperation menu is the taking in of trainees from
foreign countries. The city of Kitakyushu started taking in trainees in 1980 and has now trained
more than 1,360 people. The city of Kitakyushu'straining program is run in cooperationwith Japan
International Cooperation Agency and mainly consists of on-the-job-training,taking advantage of
the wide range of corporations in the region. Over 200 firms are cooperating with the training
program and many universitiesand governmental agencies are involved as well. As is to be ex-
pected , the local people welcome the trainees wholeheartedly.
The city is making an effort to follow up with the trainees who have completed their course
and returned to their country by sending out a newsletter, Environmetopia, on a regular basis. The
contents of the program are constantly being improved but a follow up survey is conducted every
five years in an effort to maintain a good grasp of the needs in each country.
5.2 Dispatching experts
The City of Kitakyushu dispatches highly experienced experts overseas to provide tech-
nological guidance that meets local needs. To date, the city has dispatched more than thirty ex-
perts to twenty three countries.
5.3 International Conferences
The city of Kitakyushu has hosted many international conferences as a means of ex-
changing a wide range of experience and information. Since 1987, the City of Kitakyushu has
hosted thirteen international environmental conferences with participantstotalingover seven thou-
sand people.
The city of Kitakyushu does not only dispatch individual experts, but is also conducting
useful technological cooperation by going to foreign countries in the form of joint projects between
industry, government, and scholastic institutions. In October 1993, the city sent a team of forty nine
instructors and interpreters to the city of Dalian in China to conduct a technological seminar. Again,
in January of 1996, the City sent a party of 36 people to Dalian with analytical equipment and
computer software to conduct an environmental exchange seminar. The seminar was not just
"discussion" but also included many useful areas of cooperation such as high level training on how
to use the analytical equipment, etceteras.
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HITSUMOTO, REUI 901
5.4 International cooperation implementation organization
The city of Kitakyushu is the home to KITA, a specialized organization which conducts
international technological cooperation. KITA is a non-profit corporation established under the
cooperation of the local young men's organization, industry and governmental agencies which car-
ries out a wide variety of cooperative activities including the running of training programs.
Other programs the City is involved in include the "International Center for the Study of
East Asian Development" which is run jointly with the university of Pennsylvania of the United States
and does research looking at environmental problems from an economic point of view, the
"Kitakyushu Forum on Asian Women" which does research on women's issues and the environ-
ment, "The Industrial Clubof West Japan" which is a private sectorgroup involved in international
environmental cooperation through volunteer activities, and many other NGOs.
5.5 New steps in international cooperation
The city of Kitakyushu is providing supportfor the planning of the "Dalian Environmental
Demonstration Zone." This is a major project of the Chinese Government. The objective is to
cooperate with environmental improvement activities in China, which is an important country for
protecting the environment of the Earth. The aim of this plan is to designate a model city and
conducts concentrated and comprehensiveenvironmentalimprovementproject there, and then
spread the experience and achievementsof the project throughout the entire country. The idea for
the Dalian Environmental Demonstration Zone was originally proposed to the Chinese Govern-
ment by the city of Kitakyushu.
It was recently decided, based on the finalizationof the master plan that ensures the effi-
cient and effective implementation of the Dalian EnvironmentalDemonstrationZone project, that
the projectwould receive assistance in the form of ODAfrom Japan. The combination of coopera-
tion from a local government which is very familiar with the everyday work associated with environ-
mental improvement activities and the receipt of ODA brings hope and expectations for a more
practical, new level of international environmental cooperation.
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902 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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ZHAO, YING 903
A SURVEY OF ENVIRONMENTAL LAW AND ENFORCEMENT AUTHORITIES
IN CHINA
ZHAO, YING
Visiting Scholar, Harvard Law School, East Asian Legal Studies Program, 1563
Massachusetts Ave, Pound Hall 426, Cambridge, MA 02138, USA
SUMMARY
This paper provides a basic picture of enforcement of environmental law in China,a key
issue in the 1990s. Part I briefly surveys the historical development of environmental protection and
current environmental problems. Part II revealsthe driving forces to ensure enforcement: a legal
framework and implementation measures. Part III analyzes enforcementtools and response to
violations. Part IV discusses the factors that affect enforcement and examines the roles and
responsibilities of different groups of people. The author argues that the most enlightened
environmental goals would not be achieved without effective enforcement.
1 INTRODUCTION
As a developing country, China is taking steps to develop economic prosperity and im-
prove standards of living, which increases the tremendous challengeto manage its environmental
problems. Rapid economicdevelopmentin the past twenty years exploited natural resourcesand
speeded energy consumption at the expense of the environment. The government leaders, realiz-
ing that development should be handled so that environmentalprotectionandeconomicprogress
simultaneouslyaccelerateand limit each other,1 accepted the term of "sustainabledevelopment",
which within the context of China's Agenda 21, means rapid economic development aimed at
improvingthe quality of life for its people in a mannerwhich maximizes the efficiency of resources
and minimizes environmental degradation.2
Hard work in the 1980s to establish a legal and management framework promoted the
nation's capacity to protectthe environment. Progress has been made in ecologicalenvironmen-
talagricultureand forests, water and soil conservation, and industrialpollutioncontrol.3 However,
despite these accomplishments, China's efforts are weakened by inadequate enforcement and
compliancewith regulations. Enforcementissues were not emphasized until 1990."
1.1. Trends in environmental problems
Reforms and open policy accelerated the nation's economic growth.5 A calculation based
on constant price showed that from 1978 to 1996, the average annual growth rate in gross national
product (GNP) was 10%.6 Spectaculareconomic success produced severe environmentalprob-
lems. A study revealed that environmental degradation caused economic loss almost equal to one-
fifth of the total national income.7 Generally speaking, the trends in environmental problems are that
certain parts have been controlled, however, the nation's environmental status is degrading and the
prospect is one of crisis.8
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904 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Coal is the chief source of energy, which provides 73% of the total commercial energy
consumption.9 In 1994, SO2 emissions were 18 million tons and expected to rise to 23 million tons
a year by 2000.10 China is now the third largest contributor to global climate change, after the
United States and Russia.11 In the absence of major breakthroughs in combustion technology and
conversion of coal, air pollution can be expected to deteriorate with advances in urbanization,
industrializationand growing household energy consumption. As coal continues to be a primary
source of energy, air pollutionfrom coal combustion will be a persistent problem.12
Expanding industrial production discharges a large amount of wastes into the environ-
ment, resulting in a sharp contradiction between pollution control and industrialization.13 More than
40 of the country's large cities lack adequate water supplies.14 Accelerated industrialization fo-
cuses on developing energy supplies, transportation and communications as well as infrastructure
and basic industries like iron and steel which are heavily polluting industries. The control of indus-
trial pollution poses a formidable task, while the inadequacy of mechanisms defy early fundamental
solution. The major source of water pollution is industrial waste containing toxic chemicals and
heavy metals. In 1994, discharges of waste water reached 36.53 billion tons, which includes 21.55
billion tons of industrial wasteand 80% were discharged into rivers, lakes and the sea withoutany
treatment.15 Industrial solid wastes will soon reach 250 million tons a year.16 The booming township
and village enterprises were started at a very low technological level and have no incentive to
control pollution. Inadequatepollution control threatensthe ecological and agricultural system of
the vast rural areas.17
Urbanization has become the common trend of development of all countries of the world,
irrespectiveof historical background and social system. With the advances of China's economy,
urban constructionwhich includes infrastructuresand public facilities such as housing, transporta-
tion, communications, water supply, drainage, heating and gas supply, cause strains to the environ-
ment.18 Currently, only 20% of the sewage has been treated in cities.19
Overpopulation poses burdens to the ecological environment. Soil erosion, expansion of
desertification and salinization, soil loss and the decrease of its organic substances have posed
grave difficultiesfor China's agricultural development.20
1.2 Development of environmental management
The cornerstone of environmental protection in China is the promulgation of the Environ-
mental Protection Law for trial implementationin 1979 by the Standing Committee of the National
People's Congress. Before that, there were only several pieces of policies or guidelines concern-
ing water conservation, soil erosion control and "three industrial wastes (liquid, gaseous and solid)"
recycling.21 The First National Conference on Environmental Protection showed the government's
awareness and placed environmental protection on its agenda, however, environmental manage-
ment institutionswere few or suffered from a lack of staff.22 The two fundamental elements of the
1979 law were the requirements to establish the environmental protection institution nation-wide
and to set forth the basic framework and principlesfor environmental laws.23 The 1982 People's
Republic of China Constitution amendment confirmed the nation's goal to protect people's living
environmentand natural resources. Since then, a series of laws on environmental protection and
natural resource conservation have been enacted.24 In 1989, the general Environmental Protection
Law was enacted which marked that the environmental protection legal regime would finally be
established by the early 1990's.
As economic and social development changed rapidly, it called for a response in China's
statutes. Several years of implementationrevealed the factthatnon-enforcementharmed the re-
quirements of environmental legislation. After the first round of legal drafting in the 1980s, rule
makers began to evaluate the effectiveness of regulations. The other motivation for China to im-
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ZHAO, YING 905
prove its environmental legal framework and strengthen domestic enforcement is its responsibility
underthe international environmental conventions and treaties which it joined.25 The Environment
and Resources Protection Committee newly established by National People's Congress announced
in March 1994 its actions to draft and revise environmental laws over the next few years, which it
intendsto be substantially stricterandcompatiblewith enforcement.26
In 1993, the State Council issued a circular on enhancing the enforcement of environmental
law which also calls forthe new administrativelegislationactivitiesto promote enforcement. The
nation-wide enforcement inspection campaign was initiated which has lasted for four years so far.27
The National Environmental Protection Agency) is drafting the directive to strengthen environmental
enforcementon behalf of the States Council.28
BASIC DRIVING FORCES BEHIND ENVIRONMENTAL
ENFORCEMENT: LAW AND IMPLEMENTATION MEASURES
2.1 Environmental legal regime
China's legal system of environmental law is a complete and independent system com-
posed of numerous interrelated environmental laws, regulations and rules.29 The foundation forthe
framework of environmental protection law in China is the Constitution,30 which provides the duty of
the State to protect and improve the living environment.
Article 26. The state protects and improves the environment in which people live and the
ecological environment. It prevents and controls pollution and other public hazards. The
state organizes and encouragesafforestationand the protectionof forests.
Article 9. The state ensures the rational use of natural resources....Appropriation or damag-
ing of natural resourcesby any organizationor individual by whatever means is prohibited.
The 1989 Environmental Protection Law is the general guidance and basic regulatory
structureof environmental law. It providesfundamental principles, rules, basic requirementsand
legal responsibilitiesfor nature conservation and pollution control. It requires that environmental
concerns be incorporated through environmental planning into its national economic and social
development planning.31 An environmental management system has been established, underwhich
the State Council's National Environmental Protection Agency has been delegated the authority to
manage environmental protection at the national level, while local government's Environmental
Protection Bureaus have responsibility forthe environmental management and enforcement under
theirjurisdiction. The system also assignsthe responsibilitiesto other State Council'sagenciesto
coordinate environmental management.32
There are also some specificenvironmentallaws concerningthe conservation of natural
resources and areas of pollution control which were enacted by the Standing Committee of the
People's Congress, such as Marine Protection Law, Forestry Law, Mineral Resource Law, Water
Pollution Control Law and Air Pollution Control Law, etc.
The environmental administrative regulations dealing with the management, supervision,
and procedurestofacilitatetheenforcementofenvironmentallaws and policiesare issued by the
State Council and its agencies. For instance, the State Council issued the Rule on Levying Pollu-
tion Emission Fees to enforce article 28 of the Environmental Protection Law. The law is autho-
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906 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
rized to issue implementation guidelines for its programs independently or in partnership with other
agencies. One example is that it was delegated by the Water Pollution Control Law to promulgate
the Implementing Regulation on Water pollution Control Law which was approved by the State
Council.
When the environmental requirementsareambiguousor conflict with each other or in the
absence of clear statutory language, interpretation will solve the questions at hand to facilitate
enforcement. Interpretative bodies have their authorities based on who issues the regulation or
came from the delegation of the law. The Legal Committee under the Standing Committee of the
National People's Congress tells what Congress' intent of the law is, and the State Council an-
swers questions about the regulations it enacted. Normally, when passing a new regulation, the
State Council delegates the authority of interpretationto an agency. The National Environmental
Protection Agency exercises its duty by direct delegation from laws or interpretationof regulations
and rules it passes. For instance, article45 of the Regulation on Noise Control which was passed
by the State Council authorizesthe agency to interpret it. To questions arising from local environ-
mental bureaus concerning the intent of legal issues, the agency will issue interpretations directly to
the bureaus, published it in its own publication or Chinese Environmental News and disseminated
to environmental bureaus at the provincial level who will then distribute it to all local environmental
bureaus in that province.
As a complimentto national laws and regulations, local regulations play an important role
in regional environmentalprotection.33 Local regulations deal with environmental problems which
are not regulated by national laws. Some local programs may provide legal experience and prece-
dents for national programs after several years of practice. When lawmakers at the national level
try to impose a new policy for which it either lacks experience or is controversial, they will select
several provinces or cities to field trial it in local regulations and gain legal experience, then impose
it into national law. Oneexamplewastheissuingofpermitsforpreventingwaterpollution. In 1987,
eighteen provinces and cities were selected to issue water effluent permits, after several years of
field tests, the Implementing Regulation on Water Pollution Control Law in article 9 provided permit
requirements to facilities when they discharge pollutants into a body of water. Traditionally, control
of water pollutants is based on their density or concentration. Several provinces like Shanxi and
Jiansu tried to control total amountsof released pollutantsin their local regulations. The amended
water pollution prevention law which was passed on May 15,1996 recognizes this program in
article 16.
However, shortcomingsexist in the legal regime itself which pose a barrier in the law if it is
to be enforced effectively. The government primarily relied on technical or political staff, instead of
legal counsel to assist in handling environmental matters. Certain issues lack specific regulations
to apply. This can be seen in the management of toxic and harmful chemicals, desertificationand
land use. Some issues only have policies ratherthan regulations to enforce, such as the manage-
ment of ozone depletion which relies on a national plan.34 For existing regulations, some provi-
sions reflect central planning and are not flexible to take account of social realities. For instance,
the Environmental Impact Assessment is subject to be pre-reviewed by a firm's superior depart-
ment. But the reality is that firms turn independent and don't have superior departments under the
current situation. This pre-review requirement doesn't apply to private-owned enterprises which
are several millions in quantity and lead to severe environmental pollution.35 When enforcing the
regulations.theenforcementofficialsalwaysfindthattheprovisionsarenotspecificenoughtobe
enforced or lack necessary procedures.
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2.2 Environmental standards
Environmental standards are the most important part of the environmental legal regime.
They are the basis for pollution control. The National Environmental Protection Agency is in charge
of issuing the national environmental quality standards, while local governments at the provincial
level establish their local environmental quality standards for items which are not included in the
national standards.36 In accordance with the national quality standardsas well as economicand
technological reality, the agency enacts the national emission standards. For issues which are not
covered by national emission standards, local governments at the provincial level are responsible,
or they can set emission standardsmorestringentthatthe national's.37
2.3 Measures to enforce the regulations
2.3.1 Environmental Impact Assessment
Every capital construction project, technological renovation project and regional develop-
ment project which might affect the environment is required to complete an Environmental Impact
Assessment (EIA) statement or fill in the forms of environmental impact report before construc-
tion.38 The assessment includes: (1) general information of the project such as nature of the project,
technical process and situation of pollutants, etc. (2) environmentalstatus around the project. (3)
analysis and prediction of short-term and long-term impacts of the projects. (4) proposals concern-
ing monitoring. (5) cost and benefit analysis. (6) evaluation of the pollution the project is likely to
emit, its impact on the environment, and the measures to prevent and control it.39 The facility can't
commence the project until the assessment has been reviewed and approved by the environmen-
tal agency.40
The Environmental Impact Assessmentis an effective mechanismto prevent pollution in
China, especially for preventing new sources of pollution. However, only 60.8% of projects evalu-
ate their environmental impact.41 The assessment requirements do not ask that the papers as-
sess the alternatives to the proposed project. It also only focuses on the separate project and lacks
the requirementfor regional or area-wide impact evaluation. Some time it falls to just paperwork
due to impropergovernmentinterventionand inadequate public participation.42
2.3.2 Three simultaneities
"Three simultaneities" is designed to ensure control of new facilities which means installa-
tions for the preventionand control of pollution at a construction project which must be designed,
builtand operated together with principle parts of the project simultaneouslyso as to prevent new
sources of pollution.43 The design of the pollution control instrument is imposed in the Environmen-
tal Impact Assessmentrequirementand subjectto the review by the local environmental bureau.
Only after approval by the bureau, should the project put into operation. Priorapproval is required
for necessary dismantle and idle.44
2.3.3 Monitoring
Monitoring includes self-monitoringby firms and inspection monitoring by environmental
bureaus. The National Environmental Protection Agency is authorized to issue guidelines and
establish monitory network in cooperation with other agencies45. The national network has four
levels: national, provincial, city and county. Several regional networks, such as the offshore moni-
toring network and the Huaihe River Valley monitoring network, have also been established.46 Most
of the large and mediumenterpriseshavetheirown monitoring equipment.
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2.3.4 Permit
Emission permit systems have been widely applied in the international community to con-
trol pollution. China began its pollution permit field test in the mid-1980s but is still in its infant stage.
The Environmental Protection Law, Water Pollution Law and Air Pollution Law do not have provi-
sions on this matter. The only legal requirement is the Implementing Regulation on Water Pollution
Law which was approved by the State Council and issued by the agency in 1989. Due to lack of
legal position and support, permits can only be required at certain severely polluted areas and
facilities. In 1994,13,747 permits were issued in 240 cities. The current permit system in China is
still a single permit mainly in air and water. Further research has been done to extend the water
pollution permit system to the entire nation.47 In revising Water Pollution Law, law-makers intended
to impose a permit system into the statute which unfortunately was not adopted by the Standing
Committee of the National People's Congress. Losing this chance to obtain legal supportwill halt
the development of a permit system.
Combined with the emission permit system, broadly applied is the pollution emission
report and registration system. It requires facilities to reportto the local environmental bureau on
theirpollutant'scategories, quantities and concentrationsdirectly or indirectly discharged into the
environment, as well as technical information on treatment. The local environmental bureau regis-
ters the situation and keeps the file. Facilities should report to the environmental bureau any change
about the pollution discharge.48 This system provides the environmental agency with the newest
data on each facility.
2.3.5 Inspection
Environmental law delegates to the environmental protection bureaus at various levels the
duty to inspect facilities on site and the facilities are required to provide required information and
cooperated with the inspection.49 Several provinces, such as Henan, Hubei, as well as Beijing,
Tianjing have established inspector institutes specifically in charge of the inspection function which
is separate from the environmentalprotectionagencies. EachinspectorhastoshowhisorherlD
which is issued by the environmental bureau at the province level.50
Apart from the rest of the world, China uses collective action through a campaign to en-
hance the masses' environmental consciousness against violations. One way is the inspection
campaign which is normally launched by each province. The National Environmental Inspection
Campaign initiated in 1993 which has been lasting for four years promotes local government en-
forcement of environmental requirements and the fight againstviolations. A1994 inspection cam-
paign revealed that 3,000 violations had been discovered in 10 provinces. One example of the
campaign's influence on local government is that Henan province launched its pollution control
program on Huaihe River which planned to shut down 61 heavily polluted facilities in 1994, clean up
15 major polluters in 1995 and build 5 municipal sewage facilities before 2000.51
2.3.6 Economic incentive
According to the "Polluter Pays" principle, the Chinese government levies fees on pollut-
ants discharged by facilities. As long as a facility dischargespollutantsintoabodyofwater.it falls
undertherequirementto pay fees. If the facility's pollutants exceed the national or local standards,
it has to pay additional fees and should eliminate and control the pollution.52 Different from water
pollutants, only if the pollutants emitted by facilities exceed national or local emission standards,
should facilities pay fees, which also means facilities do not have an obligation to pay a fee if they
emit pollutants which fulfill the emission standards.53 Eighty percent of the fees must subsidize
facilities for pollution control, while 20% are used to subsidize environmental monitoring instru-
ments and other administrative costs of environmental protection agencies.54 The program coordi-
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nates the economic development and environmental protection and helps to balance the environ-
mental, social and economic efficiencies. The environmental agencies can concentrate money to
deal with major pollutant sources and comprehensive contamination. At the same time, it en-
hances the environmental agency's capacity.
However, several issues pose a barrier to the effectiveness of enforcement through levying
fees. The fees charged for excessive emission of pollutants are lower than the cost of pollution
control instruments, so facilities would rather pay the emission fees than control pollution. Emission
fees also are allowed to enter the production cost which facilities can shift to the consumers and
shade their responsibilities. The program itself doesn't coverall pollutants, such as sulfur dioxide,
and only the pollutantof the most excessivedischargeis subject to a levying fee regardlessof the
fact that somefacilitiesdischargeovertwo kinds of pollutants through a blow-off pipe.55 Also, there
lacks a scientific method to fairly distribute the fee as a subsidy among facilities.56
3 ENFORCEMENT TOOLS
Environmental protection agencies, both national and local environmental bureaus, are
delegated authorities to take action when the regulated community fails to comply with environmen-
tal laws. They also can call upon enforcement actions in associating with other agencies. The
enforcementtools include administrativeactions, judicial actions and criminal prosecutions.
3.1 Administrative tools
Administrative tools ensure the environmental agency's ability to order regulated commu-
nity to comply with laws orto take necessary measures to protect the environment. Administrative
orders are broadly used to deal with environmental matters in China. Local Environmental Protec-
tion Bureaus mainly undertake the enforcement tasks in their jurisdiction.
The environmental bureau has to decide whether to bring an action within 10 days after
disclosingthe violation or after citizen complaints. At least two officials work on the case, examin-
ing the severity of the violation, and providing suggestions which will be subject to approval by the
Review Committee of the bureau. It is requiredthat an order state the natureof the violation, valid
evidence, related regulations and the decision.57 The regulated party can appeal to the environ-
mental bureau at one level higher than it for rejudging or it may bring a law suit before a court
against the environmental bureau within 15 days of receiving the order directly. It is at the violator's
discretion to select either administrativeappeals or judicial review. This is different from the proce-
dure in the U.S. which requires violators to exhaust their administrative appeals before seeking
judicial review.58 Administrative orders are not self-enforcing, in that the environmental bureau shall
apply to the courts for compulsory enforcement in the event of noncompliance59 In order to pro-
mote the role of judicial in protection of the environment, some local environmental bureaus work
closely with the courts. Some have even established a courtroom to specially deal with environ-
mental cases.60
3.1.1 Warning
The environmental bureaus can issue warning letters for light violations. The purpose is to
notice the party not to let its action lead to worse pollution in order to avoid penalties. It can be
applied separately or adjunct to othertools.
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3.1.2 Fines
Environmentallawsgenerallyauthorizeadministrativepenaltiesfor most violations. For
example, a $ 35,000fine was imposed on the Capital Iron and Steel Corporationin Beijing in early
1993 under the air pollution control law. The penalties are assessed based on severity, per viola-
tion, which can be any amount but not exceeding the statutory limit. The fine is the most significant
enforcementtool in China. The amount of fine isn't stated in laws such as water and air pollution
control laws but in their implementing regulations. The newly adopted Solid Waste Pollution Con-
trol Law is the exception which states the amount in the text and imposes the highest amount.61
Environmental bureaus at different levels have different limitations on fines.62
Some environmental laws have penalty provisions limiting penalties based on the person
who is responsibleforthe violation. For example, the Regulation on Preventing Ships from Pollut-
ing the Ocean imposes penalties not to exceed 20% of one month's income of the violator.
3.1.3 Deadline for completion of required action—compliance deadline
If a company emits pollutantsexceeding the standardsand causes severe pollution, it is
required under environmental laws to take actions to eliminate and control the pollution, and achieve
full compliance within a certain date.63 The decision for such a deadline is issued by the govern-
ment where the company is located. The environmental bureau sets the requirements, inspects,
and ensures its enforcement. Non-achievementwithin the deadline will subject the violatorto pen-
alties including additional charges for emission fees, fines, and even shut down. The environmen-
tal bureau has the authority for the first two penalties. Because the shut down has an essential
influence on the economy, any shut down is decided by the government.64 Since compliance dead-
lines for small businesses are decided by the government, it causes excessive paperwork for the
government. In order to deal with the most substantial issues, there is a trend to delegate the
authority to environmental bureaus in some local environmental regulations. For instance, the city of
Wuhan passed a rule which authorizes its local environmental bureaus to set deadlines. If the
regulated party refuses to fulfill its duty, the competentagency will assign a third party to eliminate
the pollution and recoverthe cost.65
3.1.4 Injunction
Typically, the environmental agency has authority to enjoin an enterprise temporarily from
operation and the government orders the regulated party to shut down. The government applies its
authority under two conditions. One relates to compliance deadlines, the government will shut
down the facility if it can not fulfill the requirements within the deadline. The other is subjected to the
polluting facilities located in a special protected area such as drinking water source or in residen-
tial areas due to wrong-design in the past. Under this circumstance, the government issues a
decision that orders the facility to shut down its physical operation in this special area and relocate
in another area.66
Underthe "three simultaneities"requirementdiscussed above, if the pollution prevention
equipmentfor the project has not been completed or fails to meet the required standards, and the
principle project has put into operation, the environmental agency may order the regulated party to
suspend its operation and concurrently impose a fine.67 Regulationsalso allow the environmental
agency to require the regulated party to re-install pollution prevent equipmentwhich has been dis-
mantled or left idle without approval.68
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3.1.5 Permit revocation
The Implementing Regulation on Water Pollution Control Law authorizes the environmen-
tal bureau to revoke permits under certain circumstances.69 When the permittee fails to comply
with a permit condition, the environmental agency may first order it to achieve the requirement.
Only when the permittee still severely violates the permit, will the environmental agency determine
to terminate the permit.
3.2 Dispute settlement by environmental agency
A firm who pollutes the environment and harms other persons has to compensate for
damage. When a dispute arises between the firm and other persons over liability, parties may
request the environmental agency to be the mediatorto settle the case.70 Based on fairness and
willingness, the environmental agency will provide a proposal. As long as the parties agree with the
terms of the proposal, the proposal turns to be the agreement binding the parties. If a party doesn't
agree, it may file a civil action for the liability against another party before a court and the civil
settlementprocessautomaticallystops if the court accepts the case. Civil settlement by the envi-
ronmental agency is not the necessary process. The parties may also bring a law suit directly
before the courts.
3.3 Judicial enforcement
The courts' function in protecting the environment in China is not as strong as it is in the
U.S. For example, there are no authoritiesto provide environmental agencies with recourseto the
courts for enforcing environmental requirements, except the compulsory implementation of the
administrative decisions by the courts at the request of the environmental agency. Courts in China
include the People's Supreme Court, local courts at different levels and specific courts such as
maritime court and railway communication courts. The system of courts consists of several branches:
civil, criminal, commercialand administrative, plus an implementationbranch. Courts assert their
duty to handle environmental issues in the following respects: civil litigation which is claimed by
plaintiff against the polluter, judicial review of administrative actions filed by the regulated party, and
criminal sanctionsto fight environmental damage.
3.3.1 Civil litigation
Citizens or organizations may file actions before courts against firms whom they think
pollute the environment and cause damage to their property or harm their health.71 The plaintiffs can
be one person, one organization or a group. Courts handle the case according to the procedural
requirementsstated in the Civil Litigation Law. Courts can mediate the case based on the willing-
ness of parties before final judgment. Parties may appeal to a higher level court once.
3.3.2 Administrative litigation
The Administrative Procedure Law delegatesto the regulated community the rightto sue
administrativeagenciestoprotecttheirlegal rights. Environmental laws restate these provisions.
In 1994, 228 cases were completed by the courts and environmental agencies won 212.72 The
environmental agencies are liable for their illegal activities. However, not every administrative activ-
ity is subject to judicial review but certain ones which relate to (1) environmental administrative
penalties; (2) decisionson turning down an applicationfor environmental permit or license; (3) not
performing authorized duties; (4) illegally requesting a regulated party to conduct an environmental
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912 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
act; and (4) other activities stated in regulations.73 Regulationsand rules issued by environmental
agencies which have binding effects, and those activities which the environmentalagencies have
final judgment delegated by regulations are not subjecttoreviewby courts.
When courts hold that the environmentalagencies don't properly perform theirduties or
violate the regulated parties' legal rights, they will revoke the agencies'decision and request them
to reissue a new decision or act within a specified period of time.74 Normally, the courts only review
whetherthe environmental agencies properly perform ratherthan the legitimacyof administrative
activities themselves. It is the environmentalagencies' discretionaryactivitiesto make the deci-
sion. However, the courts may make their own decision on the environmental matter at hand when
the courts find the administrativeactivitiessubstantiallylack fairness.75
3.3.3 Criminal sanctions against environmental degradation
In the battle against environmentaldegradation, one of the most effectiveweapons is the
criminal sanction. In China, the public security authorities—police.are to investigate the cases of
environmentalcrimes, the prosecutorialauthoritiesare the legal supervisory body to exercise the
power of prosecution on behalf of the state, and the courts exercise the power of judgment. Envi-
ronmental agencies are consultant agencies to facilitate the investigation and provide information.
The legal rules on crimes against the environment can be found both in environmental
laws and criminal laws. The Environmental Law states:
If a violation of this Law caused a serious environmental pollution accident, leading to
the grave consequences of heavy lossesofpublicor private property or human inju-
ries or deaths of persons, the persons directly responsiblefor such an accident shall
be investigated for criminal responsibilityaccordingto law.76
Water, air and solid waste laws also provide that violations of these requirements shall be
imposed through criminal liabilities by referring to the related provisions 115 or 187 of the Criminal
Law.77 The Criminal Law has provisions prohibiting various types of environmental degradation,
however, it has no special chapter or category of "crimes against the environment", nor does it use
that term. This makes it difficulty for the courts to apply these provisions to judge environmental
crimes. For example, the crimes of poisoning, causing severe accidents due to violation of the
regulations on management of hazardous substances and neglect of duties provided in articles
115 and 187 are difficultto apply to all the activities which pollute and damage the environment.
Also, current law is silent on such issues as liability of legal persons (corporate entities) which are
the main part of environmentalcrimes, liability for activities which are potentially dangerous, and
liability in the absence of either intent or negligence. In 1994, there were 3001 environmental pollu-
tion accidents, including 141 serious cases. Most of them were settled by administrative sanctions
or only paid compensations rather than being imposed criminal penalties.78
The trend is to specify and clarify environmental crimes and penalties. The National
Environmental Protection Agency is soliciting experts to prepare a set of amendments to the Criminal
Law which will be submitted to the Standing Committee of the National People's Congress next
year. Some commentators call for setting up a precedent rule for environmental criminal penalty.79
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ROLES AND RESPONSIBILITIES
4.1 Government
The State Council is responsible for the nation's environmental quality, while local govern-
ments at various levels are in charge of the environmentalquality of areas undertheir jurisdiction.80
They have the obligation to take measures to improve environmental quality. However, the priority
of government is economic development. The country invests a meager 0.7 percent of its gross
national product in environmental protection.81 Experts have admitted that at least 2 percent of the
country's gross national product would be necessary merely to prevent a worsening of water short-
age and air pollution.82 Less environmental budgets make the governmenthave few resourcesof
technical and regulatory capacitiesto devote to the environment. It is difficult to balance between
maintaining economic and social development and managing environmental degradation. Even
environmentalistsalso admit that economic growth has a higher social value.83 A survey-based
study shows that 27 percent of those surveyed disagreed to take away funding from developmental
projects to environmentalfriendly projects; and 71 percent were strongly against the idea if it re-
quired cutting the other governmental services, such as housing and price subsidies.84 This leads
to the fact that the national policy on environmental protection evolves and builds on the basis of the
level of national economic and social developmentwhich means that environmental management
could not hinder economic growth85 When setting environmental requirements, law-makers have
to take the polluter'seconomic capacity into consideration, since the purpose of requirementsare
not to shut down the facilities.
Economic reformscaused decentralizationin China.86 Local governments accumulated
more independent power to regulate their policy. Accordingly, some local governments tend to
override the wishes of the central government in enforcing national laws and enforce them only
when the laws benefittheir local interest.87 The political accomplishmentsof a governor or mayor
are evaluated by the economic development during their five years of administration which causes
a situation in which they always favor short-term economic advantage, even if that involves sacrific-
ing the environment, especially when conflicts exist between environment and economic benefits.
1995 nation-wide inspections revealed that environmental protection lacks financial support. Most
provinces integrate environmental protection into their social and economic plan, however, the
funding for the environmentis not involved. In orderto attract investmentin their region, local gov-
ernments are willing to ease environmentalcriteria. City of Fuzhou revoked the noise pollution fee
imposed by the State Council in its regulations. Investors always are afraid of the governmental
bureaucracy which requests new projects to go through a lot of agencies to get approved. A city in
GuangDong province simplified the process and cut certain agencies, including the environmental
bureau. The local environmental bureau lost its authorities and some heavy polluting projects were
built in the area. In orderto "protect" some firms who pay a lot of taxes to its local treasury but pollute
the environment, local governments intervene in the discretion authority of environmental bureaus
which protectthe firm from its legal obligationto control its pollutants.
4.2 Cooperation between agencies
Environmental laws call for environmental protection within the authorities of the State
Council'sagencies. The agencies are also responsiblefor "the supervision and management of
the prevention and control of environmental pollution"88 and "the protection of natural resources".89
When an issue concerning environmental matters is subject to several agencies's authorities, these
agencies may work together to promulgate a regulation or rule. The Regulation on Automobile
Emission Pollution Management is such a case which was enacted by the National Environmental
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914 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Protection Agency, Ministry of Public Security and Ministry of Transportationetc. In orderto facili-
tate cooperation between agencies, the Environmental Protection Committee under the State Council
has been established to provide chances for all agencies involved in environmental protection to
exchange information and feedback, to consult with each other, to find financing and to negotiate
on some issues. Some important policies are also subject to discussion in the Committee. For
example, in 1986, the Environmental Protection Committee in association with the State Planning
Commission and the State Economic Commission passed the Regulation on Environmental Man-
agement of Construction which provides the procedure for the Environmental I mpact Assessment
and the requirement of "three simultaneities".
Since many agencies can also issue special declarations and administrativedecisions
to ensure compliance directives passed by higher level authorities regarding environmental pro-
tection, the possibility is that each agency may make its own decisionsthat deviate from what the
national policies are designed to achieve.90 Accordingly, the poor cooperation between different
agencies happens very often which leads to the situation that in some areas, authorities are over-
lapping while in some areas, no other agency likes to regulate and environmental agenciesdo not
have authority to do it. One example is the management of automobile emissions. The public
transportationagencies are delegated the authority to monitor emissions,91 however, the capaci-
ties and availabilitiesof them are not enough for this job while the environmental agencies who
have the monitoring equipment and staff do not have the authority. Some provisions require agen-
cies such as business and industry, land and planning to cooperate with environmental agencies in
which they will not agree on the project, issue a permit or license, and assign land to the project if
the environmental agencies does not approve the Environmental Impact Assessment. Unfortu-
nately, some agencies are reluctant to work together with the environmental agency.
4.3 Environmental agencies
Under the law, the National Environmental Protection Agency is authorized to conduct
unified supervision and management of environmental protection which on the face of it looks like
the agency has a lot of power in protecting the environment. However, the concept of "unified" is not
clear, especially when the authorities are overlappingwith otheragencies, it is hard to decide how
the cooperation works. Sometimes, the agency has to persuade other agencies to enforce their
legal obligation to deal with environmental matters.
The enforcement approaches are that the agency plays the role of determining law and
policy at the national level and substantial exercise of the implementationis done at the local level
of environmental bureaus. So the key to success in environmental protection work depends on
how the local environmental enforcement officials handle environmental problems and how they
condition the decision situations.
The environmental bureaus at the provincial level basically issue their local legislation and
policies, and also directly deal with the regulated community which are mostly large enterprises.
City and county environmental bureaus enforce the environmental program under theirjurisdiction.
The capacity in the local level, especially in county environmentalbureaus, lack financial and per-
sonal resources. In some areas, the environmental bureau is one department of anotheragency
and does not have an independentrole. Local environmental bureaus were easy to attack during
the governmental institutional reforms. In later 1992 and early 1993, during the institutional reforms,
some local environmental bureaus' authorities were weakened and some of the independent bu-
reaus were merged into other bureaus.
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Many local environmental bureaus do not have enough financial resources and personnel
from the government. Monitoring equipment and technology are rather backward and lack inspec-
tion vehicles and telecommunications. Forty to sixty percent of local environmental bureaus' moni-
toring stationsdon't have necessary capacityfortheirjob.92
Environmental enforcement is very complex combining legal, technical and science is-
sues. As we talked about the legal framework, Chinese environmental regulations normally pro-
vide general requirementsand sometimes the language is not clear enough. When enforcing the
regulations, environmental enforcement officials have to develop measures that combine law and
technology, to create a process which specifies the various environmental standardsand different
operational methods. Theircapacity is the main determinantof the effectivenessof enforcement
which currently is still backwardat the county level. Since environmentalprotectionagenciesare
really new, most staff came from other agencies and very few persons are specialized in the envi-
ronment. There is not sufficienttechnical expertise to monitorongoing performance. The officials
lack regulatory and administrative skills necessary to effectuate pollution control law. A survey
revealed that only 56% of those reviewed mention that they had received some kind of formal
training.93 Thetrainingwasmostlyashorttermpre-workingseminarwhichdidnotprovidetechni-
cal training, particularly for pollution control. The technical parts of the job - the sampling proce-
dures, the use of chemicals and equipment- were supposed to be learned by working together
with the more senior and experienced officers. This has been changed gradually but still very slow.
The Environmental Management Institute was established in 1981 to train environmentalemploy-
ees at the local level. The National Environmental Protection Agency established several training
centers in cooperation with universities to design courses in majors, such as environmental law,
monitoring, pollution control and information analysis.94
4.4 Industry
Industrial product accounts for 70% of GNP in China. "One of the intended effects of
environmental laws and regulations is to provide a level playing field for industry, so that it can
contributed a betterqualityoflife without depleting resources or damagingthe environment and
jeopardizingcurrent and future generations'health and economy."95 Chinese environmental laws
set up strict standards for industry to comply with. One of them is to request industry to establish its
own environment management institution and to carry out its environmental duties.96 Environmental
protection institutions have been established in industrial enterprises, especially in large and medium
sized state owned enterprises. Some are independentenvironmentinstitutionswith professional
staff in chargeof environmental protection work. Some were establishedand affiliated with safety
and technical offices. Small businesses normally assign one person or relevant office to deal with
environmental matters. Enterprises have to integrate the environmental protection into their routine
business plan which should be consistent with environmental requirements.97 Most enterprises
have monitoring institutions equipped with monitoring instruments. They regularly self-monitorthe
pollutants and report data to the environmental agencies. To ensure the firms comply with their
responsibility, environmental agencies negotiate with the firms to reach an agreement which involves
detailed measures on how they may operate and measures they need to take to comply with
environmental standards, and provide rational pollution control goals. Enterprises also should
educate their employeestodeveloptheircapacityfor voluntary compliance.
The industrial groups have more interest in developmentthan in the environment. When
law-makers issue a law or a standard, industry always argues that the law or the standard is too
strict for enterprises to apply. Individual enterprises are reluctantto invest more money in installing
equipment to control pollution. Some enterprises do not have environmental institutions or lack
professionals in charge of environmental management. The status of township enterprises is even
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916 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
worse. They only focus on their benefits and ignore the environmental requirements. An iron min-
eral factory at a county in Sichuan province dumped its wastes in the river which led to the flood and
caused serious damage to the county.98
4.5 Citizens
Citizens are an important resource for detecting certain types of violations which can
provide the necessary information for the environmental agency." Chinese Environmental law
admits citizens'right to protect the environmentand to complain on actions which polluteor dam-
age the environment.100 Citizens may report through mail or by visiting environmental agencies'
offices to notify of possible violations. In 1994,2,112 letters had been received and 2,362 people
complained and filed 1,718 environmental damage cases to environmental bureaus in Beijing.
About 95% of the cases have been settled.101
Though some project's Environmental Impact Assessments were sent to citizensfor their
comments, there are no explicit provisions concerning public hearings in the rulemaking process
until the AdministrativePenalty Law which provides public hearing principlesand requires citizens
to be noticed on administrativeactions. When making a rule, the National Environmental Protec-
tion Agency normally sends the draft to other agencies, local environmental bureaus and certain
experts at universities or research institutions for comments. During this period, some citizens
may be informed about the relevant environmental issues, but these are rather narrow and they lack
formal channelsto express their comments. It is not convenientforthe publicto access updated
information since the information is not broadly disseminated. Newly amended water pollution
prevention law imposes the requirements for public opinion to a project's impact assessment which
will enhance the public participantin environment.
Public awareness about their environmental rights has been promoted during the past
few years, however, well-organized citizens' groups concerned with protecting the environment are
very few, so the burden for government keeping its promise to protect the environment is not strong
enough. There is a need to encourage public organizations, such as labor unions, youth league,
and the women'sfederationto participates environmentalprotection.
The strategy to approach publicawareness is education on environmental knowledge to
promote their ability to voluntarily protect the environment, report violations and superintend the
government. There now are different training courses in education. The training of government
officials normally integrates environmental issues into other training courses to enhance their
awareness of the environment and to support their job. Some universities have established
environmental departments to train professional experts in environmental technology and
management. Also primary education of juveniles is very common at various schools. In 1989, the
City of Chaozhouat Gouang Dong province was awarded the "Global 500" award by UNEP.102
5 CONCLUSION
The framework of environmental legislation and enforcement measures have been
established, however, China still lacks the will to achieve compliance with and efficient enforcement
of environmental requirements, which weakens the results of requirements which are envisioned
by environmental laws. This is a significant barrier for the country to achieve its goals to protect the
environmentand public health. A sharper emphasis on enforcement from the government will
develop the nation's capacity to deal with environmental degradation burdens from rapid economic
development. The new efforts to improve its environmental legal system will promote the
environmentalcomplianceandenforcementin China.
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ENDNOTES AND REFERENCES
1. Shouqiu, Cai and Voigts, Mark. The Developmentof China's Environmental Diplomacy.
Pacific Rim Law & Policy Journal. Vol. 3,1993 Special Edition.
2. China's Agenda21. White Paper on China's Population, Environment, and Development
in the 21 st Century. Approved by the State Council in March, 1994. (hereinafterChina's
Agenda 21).
3. National Report of The People's Republicof China on Environmentaland Development,
August 1991. This is an official conference document contributed by the government of
China to the preparation for the 1992 United Nations Conference on Environmentand
Developmentheld in Brazil, (hereinafterNational Report).
4. In December 1990, the State Council issued the Directiveon Further Strengthening
Environmental Protection which calls for strict enforcement of environmental laws and
regulationsthroughoutChina. China Environmental News (in Chinese), Dec. 201990.
5. For more discussion on economic reform in China see Donald C. Clarke, What's Law Got
to do With it? Legal Institutions and Economic Reform in China, 10 UCLA Pac. Basin L. J.
1990 (hereinafterClarke).
6. White Paper on Environmental Protection, issued by the State Council, News Office, June,
1996. (hereinafterwhite paper).
7. Geping, Qu. New Development of Global Environmental Problems and China'sRe-
sponse Strategies, 1 CHINA ENVIRONMENTALSCIENCE (English) (1990).
8. Kunmin, Zhang & Ruilin, Jin. A Course in China's Environmental Protection Law (in
Chinese). Qinghus University Press, 1990 (hereinafterZhang & Jin).
9. National Report, supra note 3.
10. Annual Report On Environmental Quality of China, 1994 (hereinafterl 994 Report).
11. Elizabeth Economy. China's Thick Air, The Plain Dealer. October 2,1995.
12. National Report, supra note 3.
13. Id.
14. Head, John W. Using Criminal Sanctionsto Fight Environmental Damage in the P.R.C.
East Asia Executive Reports, Sept. 15,1995 (hereinafterHead).
15. 1994 Report, supra note 10.
16. Head, supra note 14.
17. National Report, supra note 3.
18. Id.
19. White paper, supra note 6.
20. National Report, supra note 3.
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918 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
21. Xi, Wang and Blomquist, Robert F. The Developing Environmental Law and Policy of the
People's Republic of China: An Introduction and Appraisal. Georgetown International
Environmental Law Review, 39-40,1992 (hereinafterWang & Blomquist).
22. Zhang & Jin, pgs. 54-55, supra note 8.
23. Id, page4.
24. Statutes addressing water and air pollution,forestry, grasslands,fisheries, mineral
resource, land use, soil and wildlife conservation, and marine protection were enacted in
1980's, while water and soil conservation law, and agriculture law was promulgated in 1992
and 1993 respectively.
25. Ross, Lester. The Next Wave of EnvironmentalLegislation; Special Report: China's
Environment. The Chinese Business Review, Vol. 21, No. 4, July, 1994, (available In
LEXIS NEXIS Library).
26. Two laws have already been amended and a new law has been adopted by NPC so far.
The Law on Prevention and Control of Air Pollution Amendmentwas enacted on August 29,
1995, and the Law on Preventionand Control of Waterwas just amended on May 15th,
1996. The Law on the Prevention and Control of Solid Waste was adopted on October 30,
1995 and took effect on April 1,1996. The Environmental Protection Law, the Marine
Environmental ProtectionLaw as well as forest, fisheries, grasslandsand mineral law will
be amended in the next few years. The new statutes on noise control, toxic and harmful
chemicals management, natural resource conservation, desertification prevention and
energy savings will be completed by 1998. The above information came from the unpub-
lished paper presented by Hu Baoli at the National Environmental Legislation Workshop,
April 9—11,1996.
27. In 1993, the State EnvironmentalProtectionCommittee(SEPC)underthe State Council
and the Environmental and ResourcesProtectionCommittee(ERPC)ofthe National
People's Congress co-launched a nation-widecampaign to inspect the enforcement
situation of environmental law and natural resource law.
28. Report on the National Environmental Legislation Workshop. Unpublished Paper by
Legislation and Policy Division of NEPA.
29. "Law" refers to the legal documents adopted by NPC or its Standing Committee which has
the highest priority legal documents issued by the State Council which are called "adminis-
trative regulations". NEPA and other agencies also have authority to pass "rule" and
"regulation". Fora discussionof the formal structureoflawmakingin China, see Clarke,
supra noteS, 17. Also see Keller, Legislation in the People's Republic of China, 23
U.B.C.L Rev. 3,1989.
30. The Constitution of the People's Republic of China, 1982. The National People's Con-
gress enacted Constitution in 1975, revised it in 1978 and 1979, and adopted a new
Constitution in 1982 which contained the language acknowledgingenvironmental protection
duties of the government.
31. Environmental Protection Law, article 4.
32. Id, article7.
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ZHAO, YING 919
33. Local regulationsreferto(l) rules and regulations adopted by People's Congressand their
Standing Committees at the provincial level, capital cities of provinces and large cities
which are designated by the State Council; (2) rules and regulations issued by the govern-
ments at and above the county level.
34. National Plan in Phase-out Substances Which Deplete the Ozone Layer. Available from
Common Responsibility of Human Beings (in Chinese). Environment and Science Press,
1993.
35. China Environmental Enforcement Report. Represented at the UNEP's Beijing workshop
by Legislation Division of NEPA, 1994, (hereinafterEnforcement Report).
36. Environmental Protection Law, article 9.
37. Id, article 10.
38. lid, article13. Theearly regulationforEIAwastheManagementof Construction Projects
issued in 1986 by the SEPC, National Planning Commission, and National Economic
Commission.
39. Id.
40. Id. Most projects EIA are reviewed by environmentalagencies at province, city or county
level depending on their investment. Projects whose investmentexceed 200 millionyuan($
25 million) are reviewed by NEPA.
41. White Paper, supra note 6.
42. Wang & Blomquist, 65, supra note 21.
43. Environmental Protection Law, article 26.
44. Id.
45. Id, article 11.
46. China Environment Yearbook 1995. Chinese Environmental Science Press, (hereinafter
1995 Yearbook).
47. Chinese Environmental Science and Research Institute is responsiblefortechnical support.
48. Environmental Protection Law, article 27; Water Pollution Law, article 14; Air Pollution Law,
article 11, and Solid Waste Law, article 31.
49. Environmental Protection Law, article 14.
50. Rule on the Management of Inspection Identification,passed by NEPA in 1992.
51. 1994 National Environmental Enforcement Inspection Report, by Xie Zhenhua, Adminis-
trator of NEPA, 1995 Yearbook, supra note 46.
52. Water Pollution Law, article 15.
53. Air pollution Law, article 12. Though during the revision of Air Pollution Law, law- makers
intended to strict the requirementto charge fee upon emission of pollutants, not on exceed-
ing the standards, objectionsfrom industries prevented the NPC from accepting the idea.
54. Rules pn the Management of Emission Fees, article 10.
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920 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
55. Hu Baolin, Enforcement of Pollution Discharge Fee in China, published in Proceeding,
Volume 1 for the Forth International Conferenceon Environmental Compliance and
Enforcement.Thailand, April 22-26,1996,
56. Id.
57. Rule on Environmental AdministrativeSanction, article 20, issued by NEPA on July 7,1992.
Compilationof Laws and Regulationson Environmental Protection, 2nd ed. Chinese
Environmental Science Press, 1993. (hereinafterCompilation).
58. United States v. Beatty, Inc., 401 F. Supp. 1040.(N.D.Ky. 1975).
59. Environmental Protection Law, article 40.
60. 1995 Yearbook, p. 310, supra note 46.
61. The Law on the Control of Solid Waste Pollution impose 1,000,000 RMB($1 =8.5 RMB) by
the Customs as maximum amount which exceeds 20,000 RMB for Water and Air Pollution
Control laws.
62. Implementing Regulation on Water Pollution Control Law, article 35. The environmental
bureau at county level has the authority to impose a penalty not exceeding 10,000 RMB,
while the bureau at city level's authority is not more than 50,000 RMB. Any amount beyond
theirauthority is subjectto the approval of its superiorenvironmental bureau. The bureau at
province level can fine up to 200,000 RMB which is the highest amount the environmental
bureau has been authorized.
63. Environmental Protection Law, article 29.
64. Id, article 39.
65. Zhang Kunmin, ed., Environmental Implementation in China (in Chinese), 261-267,
University of Policy and Science Press, 1993. (hereinafterimplementation). Also see
Marine EnvironmentalProtection Law, article41 which delegates the right to Marine
Protection Agency. Recovercost is seldom used in China.
66. Water Pollution Prevention Law, article 19.
67. Environmental Protection Law, article 36.
68. Id, article 37.
69. Implementing Regulation on Water Pollution Control Law, article 34.
70. Environmental Protection Law, article41.
71. Id,article6.
72. China Environmental Yearbook, 1994. Environmental Science Press, (hereinafter 1994
Yearbook).
73. Implementation,235-247,supranote65.
74. AdministrativeProcedureLaw, article 54.
75. Implementation,235-247, supra note 65.
76. Environmental Protection Law, article43,44.
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ZHAO, YING 921
77. The Criminal Law was adopted in I979.
Article 115 provides that whoever violates the regulations on the control of articles of an
explosive, combustible, radioactive, poisonous or corrosive nature, giving rise to a major
accident in the course of production, storage, transportation or use and causing serious
consequences, is to be sentencedto not more than three years of fixed-term imprisonment
or criminal detention; when the consequencesare especially serious, the sentence is to be
not less than three years and not more than seven years of fixed-term imprisonment.
Article 187 states that state personnel who, because of neglect of duty, cause public prop-
erty orthe interests of the state and the people to suffer major losses are to be sentencedto
not more than five years of fixed-term imprisonmentor criminal detention.
78. Suli, Wang. The Environmental Criminal Justice in China. Paper presented at the Fourth
InternationalConferenceon EnvironmentalComplianceand Enforcement. April22-26,
1996, Thailand and published at the Conference's Proceedings.
79 Id.
80. Environmental Protection Law, article 16.
81. Elizabeth Economic, supra note 11.
82. Id.
83. ..."We are in favor of economic development and improving the environment within this
development. We do not agree with the pessimistic view which calls for stopping or
slowing the tempo of economic development." Qu Ge-ping and Jin Chang-li, 1984
"Environmental Management". In Qu Ge-ping and Woyen Lee, eds., Managing the Environ-
ment in China. London: Tycooly International Publications.
84. Chan, Hon S., Wong, Koon-kwai,Cheung, KC, Man-KeungLo, Jack. The Implementation
Gap in Environmental Management in China: The Case of Guangzhou, Zhengzhou, and
Nanjing. Public Administration Review. July/August1995(availableatLEXIS-NEXIS
Library). (HereinafterChan).
85. Id.
86. Nillel, Michael Irl. "ChineseCharacteristics"inCorporateClothing:Questionsof Fiduciary
Duty in China's Company Law. Minnesota Law Review. Vol.80,1995. Also see Clarke,
supra note 5.
87. Beijing closed more than 1,000 unauthorizeddevelopmentzones which were offeringtax
concessionsand other incentivesto encourage foreign investmentoutside of central
government supervision. Id. Also see Kevin Murphy, For Many China Firms, and Orderto
Sink or Swim, International HeraldTribune. August 13,1993 (availableinLEXIS-NEXIS
Library).
88. Environmental Protection Law, article 7. These includethe state administrativedepart-
ments of marine affairs, the harbor superintendencyadministration, public security, trans-
portation, and railways, etc.
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922 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
89. The administrativedepartmentsof land, minerals.forestry.agricultureand water conser-
vancy of the local governments at or above the county level exercise this function.
90. Chan, supra note 84.
91. Regulationon the ManagementofAutomobileEmission,articles and 27.
92. EnforcementReport, supra note 35.
93. Chan, supra note 84.
94. Twenty Years of Environmental Protection in China. Chinese Environmental Science Press,
1994.
95. Editorial, Industry Compliance for Sustained Environmental Protection. Industry and
Environment. Vol. 19, No. 1, January-March 1996.
96. Environmental Protection Law, article 24.
97. Id.
98. 1994 National Environmental Enforcement Inspection Report., supra note 51.
99. Cheryl Wasserman, Overview of Compliance and Enforcement in the United States:
Philosophy, Strategies and Management Tools, Proceedings for the International Enforce-
ment Workshop, May 8-10, 1990. Utrecht, The Netherlands.
100. Environmental Protection Law, article 6.
101. 1995 Yearbook, supra note 46.
102. Twenty Years of Environmental Protection in China, supra note 94.
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VAN DER LEU, I. AND ThUSSEN, M.S. 923
ENFORCEMENT OF LEGISLATION ON GENETICALLY MODIFIED
ORGANISMS IN THE NETHERLANDS
VAN DER LEU, I. AND THIJSSEN, M.S.
Inspectorate for the Environment, Ministry of Housing, Spatial Planning and the
Environment, I.P.C. 681, P.O. Box 30945, 2500 GX The Hague, The Netherlands
SUMMARY
In this paper some data will be presented on the enforcement of the legislation on genetically
modified organisms (GMO's) in the Netherlands. So far many offenses have been encountered
which are not always easily enforced. The problems with enforcement arise, for instance, from
complex procedural aspects of the legislation and several properties of the notification system.
From the experience with the Dutch legislation, we think that for the development of future enforceable
genetically modified organisms legislations simple procedures, strictly defined notifications or
permits and used terminology are of great importance.
1 LEGISLATION ON GENETICALLY MODIFIED ORGANISMS IN THE
NETHERLANDS
1.1 General concerns with genetically modified organisms
Genetic modification of organisms is a technique which is widely used to alter the genetic
constitution of organisms for, forinstance, research purposes, the production of proteins used in
the food or pharmaceutical industry and the improvement of agricultural breeds, varieties or strains.
Using this technique new organisms may arise which have potential hazards for man or the envi-
ronment. In orderto reduce or manage such potential hazards, specific legislation has been formu-
lated by some competent authorities. The Genetically Modified Organisms Decree pursuant the
Chemical Substances Act Genetically Modified Organisms Decree was enacted by the parlia-
ment in 1990 and modified in 1993.
However, formulation of legislation does not mean that it's obligations are automatically
being observed. Thus the question arises whether the regulations are being fulfilled. And, if they are
not, are they enforceable? This article means to give an answer to these questions and to give
some recommendationstowards those countries that mean to develop regulations on activities
with genetically modified organisms.
1.2 Current administrative framework
The objective of the Genetically Modified Organisms Decree is to manage the potential
risks associated with activities with genetically modified organisms. The management of potential
risks has been enacted by:
• The obligation to apply for a permit for the release of a genetically modified
organism into the environment.
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924 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• The obligation to notify one's activities with genetically modified organisms
under contained use to the authorities. Contained use of genetically modified
organisms involves activities with genetically modified organisms within the
physical containmentof a laboratory, animal facility, glass house or process
installation.
A notification or a permit application for working with genetically modified organisms
involves highly detailed information on the combinations of genes, vectors and host organisms
which are going to be used. Following notification or the appliance for a permit, a risk assessment
of potential hazards associated with the activities with these genetically modified organisms is
being executed. This risk assessment leads to a set of special precautions that should be taken to
lowerthe risks associated with the use of the genetically modified organisms. As a consequence
of this system, the allowed activitiesare restricted by the gene/vector/hostcombinationsnotified.
Therefore it is not allowed to use any other gene/vector/host-combinationthan those notified, even
in the case when an unnotified combination could be safely used under the particular safety regime.
So far 28 different companies in the Netherlands have applied for 83 permits to release
genetically modified organisms into the environment. Most of these releases involve transgenic
plants. For the contained use of genetically modified organisms 175 institutions have done over
1800 notifications. The permitted activities for the contained use of genetically modified organisms
deal with very diverse organisms like microorganisms, mammals such as mice or cattle, fish, insects,
frogs etc. (See tables 1 and 2)
Table 1. Institutions with Releases of Genetically Modified organisms (GMO's)
Institutions
Universities
Hospitals
Research institutes
Polytechnic schools
Companies for the
improvements of breeds and
seed cultivation
Companies with medical or
laboratory applications
Large industrial companies
Biotechnological companies
Contained use of
GMO's
yes
yes
yes
yes
yes
yes
yes
yes
Release in the
environment
yes
yes
yes
no
yes
yes
yes
no
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VAN DER LEU, I. AND THIJSSEN, M.S. 925
Table 2. Permits Issued for Genetically Modified Organisms (GMO's)
Organisms released
Plants:
.
.
-
-
-
-
-
-
-
-
.
-
Potato
Carnation
Cabbage
Chrysanthemum
Cichory
Swedish turnip
Rapeseed
Maize
Sugarbeet
Tomatos
Carrot
Sunflower
Other organisms:
-
-
-
-
-
-
Human bone-marrow cells
Human somatic cells
Cattle
Aujeski virus
Pseudomonasfluorescens
GMO waste
Number of
permits
36
1
1
2
5
1
6
7
11
2
1
1
1
1
1
2
1
3
Type of permitted
activities
-field trial
-field trial
-field trial
- field trial
-field trial
- field trial
- field trial
- field trial
- field trial
- field trial
-field trial
-field trial
- gene therapy
- gene therapy
- field trial
- field trial
- field trial
- transport and destruction
of waste
2 ENFORCEMENT OF LEGISLATION ON GENETICALLY MODIFIED
ORGANISMS IN THE NETHERLANDS
The Main Department Enforcement Environmental Legislation of the Inspectorate for the
Environment of the Ministry of Housing, Spatial Planning and the Environment has the responsibil-
ity to enforce the Genetically Modified Organisms Decree. So fartwo scientificallytrained people
are involved fulltime in the enforcementof the Genetically Modified Organisms Decree.
2.1 Implementation of enforcement activities
Inspections of permits for releases of genetically modified organisms are relatively simple
and involve inspection of all enforceableregulationsof the permits.
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926 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Inspectionsof institutions, in which contained use of genetically modified organismstake
place, is much more complex. This complexity leads to a rather long time which is necessary to
prepare the inspector for one inspection. One way to tackle this problem to some extent, is to
perform short inspections in which only one small topic of the legislation is inspected.
In general inspections for the contained use of genetically modified organismsdeal with
compliance to:
• the obligationof notification;
• the obligation of having a biosafety officer;
• rules on furnishing of—or the working procedures; and
• general biosafety rules.
2.2 Enforcement of offenses of the Genetically Modified Organisms Decree
During practically all inspections done so far, offenses have been encountered. Severe
offenses are enforced immediately by meansofcriminaloradministrativelaw. Other offensesare
initially enforced by a notification. Upon negligenceof this notificationor reiteration of the offence,
enforcement occurs by meansof the criminal or administrativelaw.
The frequency of offensesof release permits is relatively low, probably due to the condi-
tions of the permits which are easy to fulfil.
The frequency of offenses of the legislationfor contained use is much higher. During al-
most all inspections one to several offenses were identified. Most of these offenses dealt with
incomplete notification of activities with genetically modified organisms. A minority of the offenses
were observed on the rules concerning furnishing, the working procedures or the availability of a
biosafety officer.
So far three criminal lawsuits have been pursued. Two for the release of genetically modi-
fied organisms into the environment and one for the contained use of genetically modified organ-
isms. The recording for the release lawsuits were relatively easy, due to the fact that the offenses
involved actions that could be checked visually.
The recording for the contained use lawsuit encountered several difficulties in demon-
strating the offence. These difficulties arose mainly from:
• the complexityof the procedural aspects of the legislation;
• thelackofadministrativeobligations;
• the uncleardefinitionof terms used in notifications; and
• the vague delimitationof notifications.
The exact nature of these difficultiesare described in the next paragraph. Due to the lack
of adequate administrativeobligations 16 interrogations had to take place. The lawsuit has cost
about half a year of labor of one person and is still undersurveillance.
Administrative law is so far considered to be less effective for the enforcement of of-
fenses of the Genetically Modified Organisms Decree. This is due to the relatively long time which
is necessaryfor the execution of the administrativelaw procedures compared to the time which is
needed for execution of the proceduresof the Genetically Modified Organisms Decree.
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VAN DER LEU, I. AND ThUSSEN, M.S. 927
2.3 Problems encountered with inspections and enforceability of the legislation
Although offenses of the Genetically Modified Organisms Decree are frequently detected,
the legislation possesses several enforceabilityproblems. There are several causes for the com-
plexity of the inspections and these problems with the enforceability. One of these problems is
intrinsicto the topic: genetic modification. The others lie within aspects of the legislation, such as:
the procedures of the legislation, the notification system and the history of the development of
genetically modified organism legislation. These causes will be discussed below.
2.3.1 Genetic modification
It is intrinsicto the topicthat it is usually impossibleto see or measure whether an organ-
ism is a geneticallymodified organism. As a result the inspection whethera permit holder is work-
ing within the borders of his license, is a complex task. It involves interviews with researchers,
literature research and administrative research. However, for a great deal of information the in-
spectors are dependent on the cooperation of the permit holder. Therefore, in order to enable
inspections genetically modified organism legislation needs specific qualities compared to other
legislation.
2.3.2 Complex procedures of the legislation
The legislation means to asses and manage potential risks involved in activities with
genetically modified organisms. This risk is determined by use of technical and scientificdata and
criteria. Different levels of risk involved in activities with geneticallymodified organisms lead to a
different procedure for obtaining a permit. This means that the procedure for working with a "high
risk genetically modified organism activity"is more profound than one in case of a "low risk geneti-
cally modified organism activity". This has led to a very complex system of procedural categories of
genetically modified organism activities with very diffuse and overlapping boundaries and with
different obligations per procedural category.
As a result, during inspectionsmuch time is used for determining which procedure of the
genetically modified organism decree is relevant and whether an offense has occurred or not.
Furthermore, if offenses are determined they are often difficultto enforce by criminal law. This is
due to the loosely defined procedural categories and the necessity to demonstrate precisely which
obliged procedure has been offended.
2.3.3 Properties of the Dutch notification system
The notification system bears at the moment three main problems with enforceability.
First of all, notifications are done by (part of) a research project. Hence, an institution may have
done over 50 notifications. For enforcement by criminal law one needs to demonstrate that the
offense activity with genetically modified organisms does not fall under one of the other notifica-
tions done by the institution. One can imagine that this is a very laborioustask.
Secondly, the terminology used in notifications is often poorly defined or unclear. As a
result, encountered offenses often lead to much debate with the permit holder about whether or not
a term gives consentforthe offense as seen by the inspectors. As an example, permits often refer
to a vector and its derivatives. However, it is not defined when a vector is still considered to be a
derivative or when it should be considered as a new vector (and thus a new (changed) license
should be applied for).
Thirdly, the notifications result in consent for a very limited range of activities which is a
combination of described hosts with certain vectors and inserts. This means that for a good in-
spection, the inspector has to ascertain that no other than the permitted combinations are being
used. However, as stated before, a geneticallymodified organism can neither be seen, smelled or
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928 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
measured. Thus, in order to be able to inspect whether a permit holder is working within the limits of
his permit, there should be very precise administrative conditions in the regulation or permits.
These kind of detailed conditionsare lacking at the moment in the Dutch legislation. Such condi-
tions should considerall activities which are being performed within a laboratory and which should
be administrated in accordance with a very strict format. This way the inspector will be relatively
easily able to see whetherthere is an illegal situation.
2.3.4 History
Finally, in the period from 1982 until 1993 it was common that institutionswith genetically
modified organism activities were obliged to notify their activities to an Advisory Board. With the
enactment of the modified Genetically Modified Organisms Decree in 1993 the notificationsto the
advisory board togetherwith the advise on safety precautions which had to be taken, received the
status of permits drawn in accordance with the Genetically Modified Organisms Decree. In the
period before 1993, however, enforcement of these notifications was virtually absent and compliance
was more or less voluntary. As a result these notificationswere not established in consideration of
possible enforcement and delimitation of the 'old' notifications is poor. To inspectand enforce an
undelimited project is a very complex (sometimes impossible) task.
3 CONCLUSION AND RECOMMENDATIONS
The legislation on release as well as contained use of genetically modified organisms is
energetically enforced since the modification of the Decree in October 1993. The experiences so
far show that enforcement of this law is possible but very difficult. It must be stated that enforcement
of intended illegal activities is virtually impossible. Furthermore, enforcement activities require a
great amount of expertise and experience with the subject of genetic modification.
Most countries of the world, so far, lack legislation for activities with genetically modified
organisms. Due to expansion of activities of biotechnology companies, more and more countries
are coming into contact with activities with genetically modified organisms. To avoid possible risks
of these activities development of some sort of specific legislation is inevitable. As described
earlier, the enforcementdifficultiesof the Genetically Modified Organisms Decree in the Nether-
lands are connected with several aspects. These aspects involve the legislation itself, the way it's
been implemented and the history from which it descends. Based on our experience we would like
to bring the following points of interest and recommendations under the attention of those who want
to develop a genetically modified organism legislation.
3.1 Whether to have formal legislation or voluntarily observed guidelines
The problemswith enforcement of the Genetically Modified Organisms Decree may par-
tially result from the fact that compliance of the contained use legislation in the years before 1993
has been regarded as more or less voluntary. As a result issues concerning enforceability of the
contained use legislation have until then not been taken into consideration.
First of all, we would like to suggest that one should make a very clear decision on the
desirability of enforcementof the genetically modified organism regulationsto be developed. The
actual choice one has to make is whether a formal enforceable legislation will be enacted or a
voluntarily observed guideline will be developed. Legislation by itself has no use if it is not enforce-
able. The desirability of enforcement will influence the outcome of the bill of the genetically modified
organism regulationsto major extent.
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VAN DER LEU, I. AND ThUSSEN, M.S. 929
One should bear in mind that, if one wishes to enact enforceable legislation, much effort
will have to be invested both by the branch and the legislator. Only a part of this effort will be neces-
sary in case of voluntarily observed guidelines.
If one decides for voluntarily observed guidelines, very good examples for such guidelines
may be found in the Dutch legislation and in a set of guidelines which have been formulated by
some cooperating countries. If one decides for the development of enforceable genetically modi-
fied organism legislation we would like to give some recommendations underneath which, we
think, are of great importance.
3.2 Referencing international guidelines
One could also decide to use the internationally developed guidelines as a starting point
for the development of national legislation. Such kind of transposition of guidelines for the con-
tained use of genetically modified organisms into enforced legislation has taken place in the Neth-
erlands. The big advantage of such transposition is, of course, that the implementation can take
place within a very short time. It is, however, just plain logic that regulations or guidelines which are
written from a point of view of voluntariness of the applicant, lack enforceability. One should keep in
mind, therefore, that upon transposition of guidelines into formal legislation, a great deal of the
guidelines needs to be rewritten into enforceable conditions.
In addition it might be possible that in first instance voluntarily observed guidelines are
implemented which later on will be transposed into enforceable legislation. In that case transposi-
tion of notifications done under the guideline into formalized notifications may be attractive but will
encounter the same kind of enforceability problems as we have in the Netherlands. A solution for
this problem without severe administrative burden for applicants could be, for instance, transposi-
tion of the voluntary projects into permits connected with a limited validity.
3.3 Tailored administrative conditions
As a consequence of the fact that genetically modified organisms can neither be seen,
smelled or measured, there is a greater need for administrative conditions in the genetically modi-
fied organism legislation compared to what is normally needed for other legislation. Such adminis-
trative conditions will, however, not be welcomed by the applicants, as it will cause a substantial
administrative burden. Without those administrative conditions, however, enforcement will be very
difficult.
3.4 Specifying conditions and procedures
We recommend that the procedures for notification or permit application are kept as
simple as possible. This may lead to a preferable system in which only very few procedures exist
which do not relate directly to the potential risks involved with the activity with genetically modified
organisms.
Another point of importance is that one should decide very carefully what level of detail is
really wanted or needed for permits and notifications. The high level of detail in permits and notifi-
cations lead to a rather small permitted range of genetically modified organism activities. The
rapid development of new techniques and vector/host systems for genetic modification will easily
and rapidly lead to a large variety of new gene/vector/host combinations wanted to be used. Thus,
the limited range of permitted activities with genetically modified organisms is in conflict with the
intention of science to develop and explore. We believe that the high amount of offenses connected
with the notification system in the Netherlands is firmly connected to this conflict.
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930 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
A solution for this problem might be the development of a system in which the notifications
are being done on the level of the specific set of biosafety rules used in the laboratories. The
applicant would then only have to notify that they are working under a certain set of safety rules. This
would result in a high level of freedom in the activities with genetically modified organisms for which
consent has been given. Again as a consequence, an extensive administrativesystem would be
needed for inspection. However, the higherlevel of freedom might make the burden of the obliged
administration more acceptablefor the applicant.
3.5 Definition of terms
Once a decision has been made on the level of detail wanted forthe notification or permit
system, one should define very strictly the terms which are used in the notifications or the permit
applications. As we have seen in the Netherlands, many items in consents and permits are not very
strictly defined. This becomes a problem as soon as one wishes to enforce offenses since any
differences in interpretationof terms can cause drastic problems. It is, therefore, extremely impor-
tant to define exactly what, for instance, is regarded as a vector, a gene or a host. Another important
issue that needs a definition and clear boundaries, is the research area that may be covered by
one notification.
Finally, many other items in the regulation also need very clear conditions. For instance,
what the exact tasks of the biosafety officerare, how he/sheshould implementthem and so on.
Summarizing, we strongly advice on basis of our experience that matters of compliance
and enforcementare considered at every stage of the developmentand implementationof geneti-
cally modified organism legislation. Moreover, in orderto achieve a law, which meets the demands
of proper risk management, feasibility and enforceability and which is reasonablein its obligations,
cooperation between scientists, policy makers and inspectors is absolutely necessary from the
very beginning.
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BOXALL, J.E.; Ho, W.F. STEVEN; LEI, C.K. PATRICK; AND TSE, C.W. 931
ENVIRONMENTAL LAWS, CAPACITY BUILDING AND COMPLIANCE
MONITORING —THE HONG KONG EXPERIENCE
BOXALL, J.E.1, HO, W.F. STEVEN2, LEI, C.K. PATRICK3, AND TSE, C.W.4
1 Assistant Director
2 Principal Environmental Protection Officer
3 Principal Environmental Protection Officer
4 Principal Environmental Protection Officer
Environmental Protection Department, Hong Kong Government, 25/F Southern Center,
Wan Chai, Hong Kong
SUMMARY
A review is given of the institution building and legislative development for pollution
prevention and control in Hong Kong. The enforcement organization, compliance monitoring regime
and environmental improvements are illustrated also.
1 BACKGROUND
Hong Kong is densely populated with over six million people in an area of around 1,000
square kilometers, and faces similar environmental problems to those encountered by many other
major urban cities with rapidly growing populationsand economies. For example, diesel vehicles
contributing to high particulateconcentration in the air, dusty construction sites with noisy equip-
ment causing local pollution problems, bathing beaches polluted by untreated sewage, and the
indiscriminatedischargeoftoxicwastes into local waters.
Pollution affects the daily lives and health of the general public. In 1989 the Government
recognized that "serious environmental pollution in Hong Kong is an unfortunate by-product of eco-
nomic success and population growth," and the government's priority was to halt the environmental
declineand to commence programs to provide fundamental environmental improvements.1
While the solution to environmental problems lies with the whole community, Governments
have the role to set up the institutional and legislative framework to facilitate changes in the current
cultureandlifestylefrom "pollution generation"to "pollution prevention and control", to cultivatean
environmental ethic in the community and to encourage all sections of the community to make their
contribution.
The establishmentof a sound legislativeframework requires the strong backing of senior
government officials and community leaders. The "Pollution Black Spot" visits organized by the
Environmental Protection Departmentfor the Governor, Chief Secretary, leading members of the
Legislature, senior newspaper editors and other influential people from industry and commerce
enable them to have a better appreciation of the pollution problems faced by the majority of the
community. It also results in an attitude change in favor of proposals for new environmental measures
and legislativecontrols.
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932 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
2 CAPACITY BUILDING
With the increase in population and economic activity in the late 60's and early 70's, the
environment was under stress. Specific problems at that time included: pollution from sewage of
coastal waters including the semi-enclosedTolo Harbor, Victoria Harborand the bathing beaches;
pollution of the New Territories, in particularfrom livestock wastes and industrial discharges; and
increasing air pollution in urban areas from dark smoke and sulphur dioxide emissions by industry.
The Hong Kong Government in 1974 thereforecommissioneda team of consultantsto reviewthe
pollution problemsand to make recommendationson how they should be tackled.
The findings indicated the urgent need to develop a flexible framework for environmental
planning and management to accommodate the rapid growth of Hong Kong's thriving economy.
The Environmental Protection Unit (EPU) was set up in 1977 to formulate environmental policy and
to coordinatethe activities of the several departments involved in pollution control and otherenvi-
ronmental protection work.2
In 1981, the Environmental Protection Unit was upgraded to a better resourced Environ-
mental Protection Agency (EPA) with the role of developing a comprehensive program of environ-
mental protection measures- particularly legislative proposals- as well as collecting, through envi-
ronmental monitoring, the data needed to provide a basis for the development of policies appro-
priate to Hong Kong. While this provided a central focus fordevelopinga comprehensive pollution
control program, it still left the enforcementof environmentallegislationto a disparatecollectionof
government departments, where the environmental responsibilitieswereperipheralto their main
functions, resulting in a debilitating lack of focus and determinationfor a coordinated effort to halt
thedeclineofthedeterioratingenvironment.
These problems were recognized and dealt with in 1986 by the amalgamation of staff and
resources from six government departmentsto create the Environmental Protection Department
(EPD). The new department was given a more effective role in coordinating government efforts on
environmental protection. Additionally, in order to complement the pollution control effort the Envi-
ronmental Protection Department became responsibleforthe developmentof sewage and waste
management programs.
Other significantinstitutionaldevelopmentscontinued with the setting up of the Drainage
Services Department in 1989 which was charged, inter alia, with implementing the sewerage
programme and sewage disposal strategy.3 In 1990 a new policy branch was created within the
central government-the Planning, Environmentand Lands Branch -with overall responsibilityfor
policy making on all matters relating to environmental protection, land use and planning (Figure 2).
The nongovernmental Advisory Council on the Environment, formerly known as the Environmental
Pollution Advisory Committee was set up to provide advice to the policy branch. A Planning De-
partment was created to be responsibleforland use planning at both strategic and local levels.
The increasing range of enforcement activities under the four principal ordinances-the
Air Pollution Control, Noise Control, Water Pollution Control and Waste Disposal had brought about
an unwieldy centralized Environmental Protection Department. To improve efficiency and provide a
local focus for the community, two regional offices known as Local Control Offices (LCOs) were set
up in 19904The Local Control Offices concept was found to be both efficientand effectiveand in
1993 the number was increased from two to five and during 1995 increased to six (Figure 1). In
addition to enforcing the four principal ordinances to address local pollution problems, the Local
Control Offices are improving links with local communities to betterunderstandtheirenvironmental
concerns and be more clearly accountable to the community.
The Local Control Offices undertake a wide range of tasks to reduce pollution in their
areas, and their main tools are the four principal pollutioncontrol laws (Table 1).
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BOXALL, J.E.; Ho, W.F. STEVEN; LEI, C.K. PATRICK; AND TSE, C.W. 933
Table 1. Major Activities of the Local control Offices
Handling Complaints
. Noise from industrial and commercial premises, and construction
sites;
Odor from industrial and commercial sources;
Smoke from chimneys;
Dust from construction sites and industrial sources;
Overflowing sewage and other waste waters;
Nuisance from improper waste disposal; and
Nuisance from pigs, chickens, ducks and pigeons farms.
Restricting Polluting Activities
. Restricting the use of construction equipment;
. Approving the installation of chimneys and related air pollution
control system;
. Issuing licences for wastewater discharges;
. Registering chemical waste producers; and
. Issuing licences for the disposal of chemical waste.
Inspecting to Prevent Pollution
. Use of construction equipment;
. Use of fuels;
. Discharge of waste waters;
. Handling chemical waste, including storage, collection and
disposal; and
. Operation of pig and chicken farms.
Surveys
To spot smoky chimneys;
To locate unapproved fuel using plant;
To locate new wastewater discharges;
To locate new chemical waste producers;
To locate new pig and chicken farms in certain areas; and
To locate black spots of illegal waste disposal.
Legislative Procedures
. Prosecute offenders under the pollution control laws;
. Serve notices to stop noise and air pollution;
. Issue warnings to potential offenders; and
. Keeping records of licences for public inspection.
LEGISLATIVE FRAMEWORK
Pollution control legislation is embodied for the most part in six ordinances enforced by
the Environmental Protection Department:
• Water Pollution Control Ordinance.
• Waste Disposal Ordinance.
• Air Pollution Control Ordinance.
• Noise Control Ordinance.
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934 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• Ozone Layer Protection Ordinance.
• Dumping At Sea Ordinance.
The six ordinances contain the principal legislative provisions, and they are supplemented
by more detailed specific regulations. They were enacted at differenttimes and many have gone
through several amendments.
The Water Pollution Control, the Waste Disposal and the Dumping At Sea Ordinances
are complementary to each other, and are designed to protect the health and welfare of the com-
munity by ensuring proper handling and disposal of wastes as well as to achieve water quality
objectives for marine and fresh waters. The Air Pollution Control Ordinance is the principal legisla-
tion to control air pollution in order to achieve and maintain an acceptable level of air quality by
reference to a set of air quality objectives. The Noise Control Ordinance is designed to control
noise pollution in orderto maintain a satisfactory noise environment and to safeguard the quality of
life for the community. The Ozone Layer Protection Ordinance is enacted to fulfil Hong Kong's
obligations underthe Vienna Convention and Montreal Protocol.
3.1 Water Pollution Control Ordinance
The Water Pollution Control Ordinance (WPCO) was first enacted in 1980. Under the
Ordinance, the waters of Hong Kong are divided into 10 water control zones. Controls are exer-
cised through a system of licensing whereby discharges of liquid effluentsinto an area designated
as a water control zone require a licence from the Environmental Protection Department. The li-
cence conditions are specified for each discharge with reference to a set of guidelines stipulated
in a Technical Memorandum.
Water Quality Objectives are gazetted which are set at levels so as to safeguard the
beneficial uses of the waters. These includesuch activitiesas swimming, boating, fishing as well
as protection of aquatic communities. The Environmental Protection Department is charged with
the responsibilityto achieveand maintainthe water quality objectives.
The first control zone in Tolo Harbor was declared in 1987, the control covered only twelve
categories of industrial discharges, and exemption was granted to existing discharges which were
allowed to increase both the volume and pollution load of their discharges by 30%. When the
Ordinance was amended in 1990, the controls were extended to all types of discharges and all
exemptions removed. Eight other water control zones have been declared, and the last covering
Victoria Harbor has progressively been subject to control with the last phase to be implemented in
early 1996.
The Ordinance was further amended in 1993 to improve the enforcementprovisions, the
regulation-making powers, as well as to increase the penalty provisions. The maximum fines were
initially set at $50,000for a first offense, and $100,000 for a second or subsequent offense. The
level of fines was revised in both the 1990 and the 1993 amendments, resulting in $200,000for a
first offense,and $400,000 fora second or subsequentoffense.
3.2 Waste Disposal Ordinance
The Waste Disposal Ordinance (WDO) was first enacted in 1980 to control the collection
and disposal of wastes. It was subsequently amended in 1987 to introduce comprehensive control
on livestock waste disposal. Underthe control scheme, a total ban on livestock keeping in urban
areas and urban fringes was enforced from June 1988, resulting in an immediateimprovementin
water quality of the streams and inshore waters and odor nuisance. However, the full enforcement
of the livestock waste controls were continually delayed as a result of opposition by the industry.
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BOXALL, J.E.; Ho, W.F. STEVEN; LEI, C.K. PATRICK; AND TSE, C.W. 935
Through a series of lengthy consultations and a thorough review of the whole scheme, the
Waste Disposal Ordinance was amended in 1994. Under the revised control, the areas where
livestock keeping was banned are further extended to cover the newly developed urban areas to
avoid incompatible land-use, while in environmentally sensitive areas livestock farms are tolerated
but no new farms are allowed. The enforcement provisions were improved also to achieve more
effective controls and the penalty provisions increased 10 fold from a maximum fine of $5,000 to
$50,000.
The Waste Disposal Ordinance was amended in 1991 to introduce specificcontrols cov-
ering the handling, storage, collection, transport, treatment and disposal of chemical wastes. These
were implemented in three phases, the first phase requiring all chemical waste producers to regis-
ter with the Environmental Protection Department by November 1992, the second phase introduc-
ing controls on asbestos waste, solid tannery waste and polychlorinatedbiphenyl waste, and the
last phase extending controls to all other chemical waste commencingfrom May 1993. The maxi-
mum fines for an offense relating to chemical waste range from $50,000 to $200,000 for a first
offense.
A new provision was introduced into the Waste Disposal Ordinance in 1994 to enable the
Environmental Protection Departmentto exercise control on dumping of waste materials, which is
an increasing problem especially in the rural areas. A high maximum fine of $200,000 for a first
offense, and $500,000 for a second or subsequent offense was introduced under the new provi-
sion as a deterrent effect.
3.3 Air Pollution Control Ordinance
In 1983, the Air Pollution Control Ordinance (APCO) superseded the previous Clean Air
Ordinance which was introduced in 1959. This new ordinance has extended the scope of control
from smoke emissions from fossil fuel burning to all forms of air pollution. Under the Air Pollution
Control Ordinance, a set of air quality objectives for Hong Kong has been established and the
Environmental Protection Department is tasked to achieve these objectives as soon as reason-
ably practicableand to maintainthe air quality thereafter.
The Air Pollution Control Ordinance has been amended in 1991 and 1993 to improve the
regulation making powersand enforcement provisions. Its main provisions include a licence sys-
tem for major air polluting processes and the requirement to use the best practicable means; an
approval system for chimneys and furnaces; the powerto issue notices to abate air pollution; the
control of smoke emission; the control of asbestos through registration of asbestos work consult-
ants, contractors, supervisors and laboratories as well as the setting of fuel quality and emission
standards for motor vehicles. The maximum fine for an offense ranges from $100,000 to $500,000.
To solve the territory-wide sulphur dioxide problem, the Fuel Restriction Regulations were
introduced in 1990 which banned the use of high sulphur heavy fuel oil while allowing only gaseous
fuels to be used in Sha Tin, an area with poor dispersion characteristics. This resulted in a dramatic
drop in the recorded levels of sulphur dioxide. Additional requirements were imposed on the vis-
cosity of liquid fuel, bringing abouta significant reductioninparticulateandnitrogendioxideemis-
sions.furtherimprovingairquality in particularin the mixed industrial/residentialareas.
3.4 Noise Control Ordinance
Noisein Hong Kong was first controlled underthe Summary Offenses Ordinance mainly
in the form of breach of peace such as neighborhood noise at night, and by permits issued for
construction noise during holidays and at night. These provisions were enforced by the Police. With
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936 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
the common use of air-conditioningsystems in the 1970s, specific control on their noise emission
was introduced as a nuisance provision under the then Public Health & Urban Services Ordinance.
This was enforced in early 1977 by the Health Inspectors of the Urban Services Department.
In 1988, the more comprehensive Noise Control Ordinance (NCO) was enacted to con-
solidate the fragmented provisions in various ordinancesand to extend the controls to otherforms
of noise problems. The Ordinance was then brought into force in 1989 and was amended in 1994
to tighten up control on noisy construction equipment and noisy manual construction work during
restricted hours in densely populated areas, and to double the maximum fines for noise offenses.
The Noise Control Ordinance exercises control on construction noise such that percus-
sive piling is prohibited at night (7 p.m..to 7 a.m..) and on publicholidays.whileother construction
work involving the use of powered mechanical equipmentduring these hours would require a per-
mit issued by the Environmental Protection Department. The type of constructionequipment and
time period allowed for its use are specified in the permit by reference to a Technical Memoran-
dum, and may vary to strike a balance between construction work and the impact it has on sensitive
parties. Certain noisy equipment such as air compressors and percussive breakers is controlled
through the product noise regulations which stipulate statutory noise standards such that the old
noisy equipmentis phased out.
Regarding industrial and commercial noise problems, the Ordinance empowers the Envi-
ronmental Protection Department to issue noise abatement notices to abate noise to a certain
level within a specified period. Such noise level is determined by reference to a set of control
criteria set out in a Technical Memorandum issued by the Secretary for Planning, Environment and
Lands.
3.5 Ozone Layer Protection Ordinance
The Ozone Layer Protection Ordinance (OLPO) was enacted in 1989 to implement the
1985 Vienna Convention and the 1987 Montreal Protocol to control the manufacture, import and
export of ozone-depleting substances. The Ozone Layer Protection Ordinance prohibits local manu-
facture of chlorofluorocarbonsand halons, and imposes restrictions on their import and export. The
Ordinance was amended in 1993 to extend controls on other ozone-depleting chemicals which are
to be phased out under a new agreement of the Montreal Protocol. The maximum fine under the
Ordinance is up to $1 million.
3.6 Dumping At Sea Ordinance
The Dumping At Sea Ordinance (DASO) was enacted in 1995 to replace the Dumping At
Sea Act 1974 (Overseas Territories) Order 1975. The Dumping At Sea Ordinance is designed to
strengthen the existing controls on marine dumping and enable Hong Kong to fulfil its obligations
under the London Convention to prevent damage to the marine environment as a result of the
dumping of solid and semi-solid wastesin local waters. The maximum fine underthe Ordinance is
$200,000 for a first offense, and $500,000for a second or subsequent offense.
4 LEGISLATIVE ENFORCEMENT AND ENVIRONMENTAL
ACHIEVEMENTS
A clear and consistent enforcement policy togetherwith a credible compliance monitoring
regimeare needed to achieveenvironmentalgoals. The enforcementpolicy accords higher prior-
ity to offenses with significant environmental damage or hazard to public health or those offenses
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BOXALL, J.E.; Ho, W.F. STEVEN; LEI, C.K. PATRICK; AND TSE, C.W. 937
causing an intolerable nuisance or which are frequently repeated, where immediate prosecution
without prior warning is both necessary and justifiable. Failure to comply with a notice to abate
pollution is also subjectto immediate prosecution in order to bring about the necessary deterrent
effect. In seekingfor a higher level of fines as provided underthe Ordinance for a second or subse-
quent offense, previous conviction records are made available to the judge for reference in his
sentencingof repeated offenders.
A feature of the four principal pollution control laws (Air Pollution Control Ordinance, Noise
Control Ordinance, Water Pollution Control Ordinance, Waste Disposal Ordinance) is an explicit
requirementthat their provisionsapply equally to the Government. Howevergovernment depart-
ments and their employees are not liable to prosecution, and the control mechanism is for the
Directorof Environmental Protectionas the authority to report all breaches of the ordinancesto the
Chief Secretary who is the head of the Civil Service. This arrangement is built into the laws to
ensure Government compliance with the regulatory requirements and in sharing the environmental
responsibility.
In orderto establish and maintain a credible enforcement regime, specific"target perfor-
mance measuresfor enforcemenfhave been laid down as set out in Table 2 as the guiding refer-
ence in organizing enforcement checks. Due to resource constraints, there is a need to priorities
enforcement action. Proactive inspections according to a prioritized schedule are carried out to
check for compliance, apart from follow-up investigations in response to complaints through the
hotline set up in each Local Control Office, which serves as an effective network for monitoring local
situations and public concerns by making use of the public as eyes and ears to watch out for
pollution incidents.
In the past, inspections were carried out on a functional basis - air /noise/water/waste
control -grouped under different divisions of the Environmental Protection Department. Through the
setting up of Local Control Offices which have assumed most of the enforcement responsibility,
there is more coordination between the functional teams which operate within the same Local
Control Office. In the waste and water control areas, integrated enforcement has been practised
since 1993. Further integration covering the four media (air/noise/water/waste)will help to stream-
line the current practices and reduce the number of multiple inspectionsto the same premises.
Multimedia enforcement promotes a better image of the Environmental Protection De-
partmentto the industry, apart from improving the overall effectivenessand efficiency in deploying
staff resources. To equip all inspectors with the necessary skills to carry out multimedia enforce-
ment, multi-skill training of inspectors has been organized since early 1995 . A pilot scheme to
conduct multimedia enforcement has been launched in late 1995 in tackling pollution problems
related to construction sites and restaurants. It is expected that multimedia enforcement will be
introduced progressively throughout 1996 and 1997, with corresponding changes to the organiza-
tional set-up of the Local Control Ordinances.
The increasing number of pollution complaints, which amount to over 12 000 in 1995,
clearly demonstratesthe higherexpectationof the publicto enjoy a clean environment(Figure 3).
Whilst over 700 convictions were achieved by the Environmental Protection Department during
1995 (Figure 4), there is a need to step up enforcement in order to prevent pollution through the
deterrentapproach, and to achievefurtherenvironmentalimprovementsagainst a backgroundof
increasing pollution loads as illustrated below.
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938 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
4.1 Air control
The introduction of the Fuel Restriction Regulations in July 1990, which limited the sulphur
content of liquid fuel to 0.5 percent by weight, had led to a reduction of overall sulphur dioxide levels
by 40%, and for badly affected mixed industrial/residentialareas, the drop was as high as 90%
(Figure 5). The levels of sulphur dioxide in ambient air now generally comply with the air quality
objectives, and as a result, the respiratory health of many people has improved.
4.2 Noise control
Before the Noise Control Ordinance was introduced, construction sites were able to oper-
ate continuously for 12 hours a day between 7 a.m. and 7 p.m. on any working day. Since the control
was enforced in 1989, about 60% of the percussive piling sites are being restricted to operate 3
hours per day and a further 16% of sites are restricted to 5 hours per day (Figure 6). This control
benefits approximately 400,000 people annually.
4.3 Waste and water control
Enforcement of the Water Pollution Control Ordinance has been effective in arresting the
deteriorationof water quality at some popularbathing beaches which otherwise would have to be
closed as a result of excessive E-coli levels. The pollution was mainly caused by dischargesfrom
malfunctioningprivate sewage treatment plants installed in the nearby large residential blocks as
illustrated in Figure 7.
The livestock waste control under the Waste Disposable Ordinance has brought about
significant improvement to the water quality of certain streams and inshore waters in the New
Territories, and a notable example is the reopening of Silvermine Bay Beach. The legislativecon-
trol is complemented by financial assistance in the form of ex-gratia allowance payment to those
farmers who choose to cease operation, and some $770 millions have been paid out since 1988,
resulting in a reduction of pollution load by over 70%, which is equivalent to the domestic sewage of
1.3 million people (Figure 8).
River Indus has been heavily polluted by livestock waste, industrial discharges, chemical
waste, grease from restaurants, expedient foul sewage discharges, and sewage from village houses.
Integrated control in the waste and water areas has brought about significant pollution load in the
past few years (Figure 9). The overall water quality in the Indus has improved from the previous
"very bad" grading to "bad" grading, and by the year 2000, the control of livestock waste coupled
with the provision of new sewers to the unsewered villages will further improve the Indus to achieve
good water quality.
Integrated control under the Water Pollution Control and Waste Disposal Ordinances has
been effective in ensuring industrial effluents are pretreated before discharge to the sewers while
the more concentrated metal waste is collected for treatment at the Chemical Waste Treatment
Centre. This has brought about significant reduction in the high metal loadings of the sewage which
caused disruption to the biological processes of sewage treatment plants, in addition to protecting
public health and the marine ecosystem from their adverse effects (Figure 10).
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BOXALL, J.E.; Ho, W.F. STEVEN; LEI, C.K. PATRICK; AND TSE, C.W. 939
Table 2. Environmental Protection Department's Target Performance Measures For
Enforcement
CATEGORY
INSPECTION/INVESTIGATION
ARRANGEMENT
TARGET PERFORMANCE
MEASURES
INSPECTION/INVESTIGATION CARRIED OUT BY LOCAL CONTROL OFFICES
Air Pollution
(stationary
sources)
Regular inspection of all
significant air polluters.
Investigation in response to
complaints.
Specified process: six
times a year.
Others: twice a year.
Immediate investigation if
prejudicial to health or
transitory, otherwise
investigation within five
working days.
Noise
, Investigation in response to
complaints.
Regular inspection of permit
holders and products under
control.
. Immediate investigation if
transitory (e.g.
neighborhood noise and
construction noise at
restricted hours, by the
Police); otherwise
response within 5
working days.
. Operation of each holder
to be checked at least
once per year.
. Territory wide product
noise enforcement check
at least once per week.
Water Pollution
. Investigation in response to
complaints.
Compliance monitoring of
licensed discharges.
. Immediate investigation if
prejudicial to health,
environmentally
dangerous or transitory;
otherwise response
within 5 working days.
. Four times a year for
major discharges.
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940 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Table 2. Environmental Protection Department's Target Performance Measures For
Enforcement (continued)
CATEGORY
INSPECTION/INVESTIGATION
ARRANGEMENT
TARGET PERFORMANCE
MEASURES
INSPECTION/INVESTIGATION CARRIED OUT BY LOCAL CONTROL OFFICES
Livestock Waste
Regular inspections of all active
farms.
Investigation of ceased farms
and identification of new farms.
Investigation in response to
complaints.
. Six times a year.
. Area inspection of
recorded farms once a
year.
. Immediate investigation
if transitory or
environmentally
hazardous; otherwise
investigation within five
working days.
Chemical Waste
(waste
producers)
. Regular inspection of premises
and trip-ticket records.
. Investigation in response to
complaints.
Inspection of priority
industries once every 6
weeks; others quarterly
or half-yearly.
Immediate investigation.
Chemical Waste
(treatment &
disposal
facilities)
. Regular inspection of licence
holders.
» Investigation in response to
complaints.
In-house treatment
plants once every 6
weeks; others weekly or
twice a month.
Immediate investigation.
Waste disposal
(unlawful deposit
of waste)
. Investigation in response to
complaints.
. Immediate investigation
if transitory or
environmentally
hazardous; otherwise
investigation within five
working days.
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BOXALL, J.E.; Ho, W.F. STEVEN; LEI, C.K. PATRICK; AND TSE, C.W. 941
Table 2. Environmental Protection Department's Target Performance Measures For
Enforcement (continued)
CATEGORY
INSPECTION/INVESTIGATION
ARANGEMENT
TARGET PERFORMANCE
MEASURE
INSPECTION/INVESTIGATION CARRIED OUT BY LOCAL CONTROL OFFICES
Air Pollution
(Asbestos
emission)
Air Pollution
(mobile sources)
Ozone Layer
Protection
Marine Dumping
Chemical Waste
(disposal at
landfill)
Chemical Waste
(collection &
transportation)
. nvestigation in response to
complaint about asbestos
emissions
. Process Smoky Vehicle
Reports.
. Investigation of suspected
illegal imports/exports on
CFCs and other ozone
depleting substances.
. Regular spot check of
licence holders through land
and marine patrol.
. Investigation in response to
complaints.
. Inspection of disposal
operation and waste
checking at landfills.
. Regular inspection of
vehicles and trip-ticket
records.
. Investigation in response to
complaints.
. Immediate investigation if
friable asbestos is
released, otherwise
investigated within 7
days.
. Reports per year.
, Immediate investigation
and response.
. Ensure compliance with
requirements of the
Montreal Protocol.
, Operation of each
licensee to be checked at
least once.
. Immediate investigation
to examine any need for
punitive measures and
prosecution.
. Daily inspection and
checking at the landfill.
, Once or twice a month.
. Immediate investigation.
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942 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
5 NEW CHALLENGES
Since the setting up of the Environmental Protection Department in 1986, comprehensive
legislative control has been introduced to tackle pollution problems in all the media. Most of the
enforcement of the four principal pollution control laws is now carried out by the six Local Control
Ordinances, which provide a more visible antipollution presence and a local focus for the com-
munity. Out of some 1500 staff in the Department, around 660 staff are deployed to the Local
Control Ordinances. The enforcement experience of this staff enable them to provide valuable
feedback to headquartersmanagementgroups in formulating proposalsfor the policy branch and
the Legislature to improve existing laws or to introduce new laws.
Institutionaland legislative framework must be flexible enough to change with demands
and to meet new challenges. For example, there is a changing emphasisto adoptthe 3R concept
and pollution prevention approach as opposed to the traditional end-of-the-pipesolution in tackling
toxic waste and water pollution. Vehicle smoke emission especially from the growing fleet of diesel
vehicles has become a serious problem affecting air quality which requires tougher and more
comprehensivelaw. The success of any new environmental measure would depend on concerted
efforts between Government, the private sector and individuals within the community. The
environmental awareness campaigns organized by the Environmental Campaign Committee as
well as the liaison network set up between each LCO and its districts help to cultivate a much
improved community environmental ethic which is needed to achieve a fully sustainable environment.
ACKNOWLEDGMENT
A paper of this nature inevitably draws on the work and contributionsof many others and
the authors would like to thank the Director of Environmental Protection, the Hong Kong Govern-
ment for permission to publish this paper, and express thanks to the contributions of many col-
leagues in the Environmental Protection Department.
REFERENCES
1. White Paper: Pollution in Hong Kong: A Time to Act, Hong Kong Government, June 1989
2. Bidwell,R.,15yearsofProgress?EnvironmentallnstitutionBuildingin Hong Kong,
Proceedings of Polmet 88, Vol. 1 pp 18-28, December1988.
3. Reed, S.B. The Government'srole in managing Hong Kong's High Pressure Environment.
Proceedings of Polmet 91, Vol. 1 pp 579-598, December 1991.
4. Hong Kong Government, "Environment Hong Kong 95", Government Printer Hong Kong,
1995
-------
(Q
C
3
GUANGDONG PROVINCE.
CD
§
m
p
§
m
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O
7;
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21
x
o
en
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-------
944 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Figure 2.
Hong Kong Government Structure
for Environmental Protection
- Legislative Development & Enforcement
Policy
Secretary for Planning.
Environment and Land*
h.
\LtV)C*)
.......
Advisory Council
on the Environment
Planning, Environmental A Land*
Branch, Environmental DMaion
Policy Development
Planning & Monitoring
Envkonrnental Protection
Legislative Enforcement
EnvtTonnvtntM
Protection
Buiding*
Department
Local Control Office* &
Management Group*:
• Air emission from stationary source*
•Motor Vehicle Emotion
• Construction noise. Product nois* &
noiee from Industrial & Commercial
• Domestic and Industrial v
ater discharges
• Effluent* in water gathering ground*
• Marine dumping
•Chemical west* & Livestock waste
•to storage and collection
• Uttering
• Bathing beach management
• VN COMCDOn
•Uttering
• Bathing beech management
• Marine emoka emiuion
• Marine Ottering
• O*», Chemical* and refuee from veeeele & port*
• Dorneetfc & Industrial wastewaler discharge*
Civi Aviation
• Motor vehicle emission
•Noi** from vehicle*
• Motor vehicle emitaian
• Noise from vehicle*
• Neighbourhood noi*e, Construction
naiee & Product noiee
•Ckxupetionalr4o
• Aircraft Noiee
• Effluent* in water gathering ground*
• Supervwon of Marine R*h Cukn
Industry
• Ucensing ofOvectock farm*
• Countryside conservation and
management
-------
BOXALL, J.E.; Ho, W.F. STEVEN; LEI, C.K. PATRICK; AND TSE, C.W. 945
Figure 3.
Pollution Complaints in 1995
Waste & Water
Others
Neighbourhood Noise
Figure 4.
Vehicle Smoke
Industrial Noise
Construction Noise
Successful Prosecutions in 1995
Ordinance
APCO
NCO
WPCO
woo
OASO
OLPO
40 60 80
No. of Convictions
100
120
-------
946 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Figure 5.
SULPHUR DIOXIDE LEVELS HIT BY FUEL REGULATIONS
Implementation of Fuel
Restriction Regulations
Figure 6.
90
REDUCING THE DIN FROM PILING
Eatlnutad annual
population expoud
to pireuMlve piling
noiM>MdB(A)
12 hours exposure [>85dB(A)]
O
O
2
£
0>
00
400,000
7am 9am 11am 1pm 3pm 5pm 7pm
5 hours exposure [86-95dB(A)]
100,000
SS
300,000
| Period Alhcttd
by Percuuhti
Piling Nonw
UnaffKUd Period
for Sensitive
Routine ActivltiM
-------
(Q
E.coli count/100ml
-------
948 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Figure 9.
ACTIONS TO REDUCE POLLUTION LOADS
IN THE RIVER INDUS CATCHMENT
12.000
10.000
Uvntock -«v. nllll Mtinr i ,
WMt Control fM> SAO Control PUn 290:250100:100 90:90
1.189 1.12.9031.5.91 1.5.93 1.7.94 1.7.95 1791 1.7.97
^
+ +
«• W M M 00
Figure 10.
REDUCTION OF METAL LOADING
IN THE SEWAGE OF SHATIN
f 7000
| noo
JE •»
! **»
I"
•a 2000
1000
0
WPCO EnforcMTwnt
Chemical Wan*
Control
n
VM
-------
SUMMARY
INTRODUCTION
AZ etectors- a f° Check the scrap met' r' Passing and
*^mi
-------
_—
LEGISLATION
rssE££s3svs555£
HdOOBq/9 a permit
'
-------
BREAS, G.M. AND VAN DER VAART, P.I. 95-j
Table 1. Contaminated product import into The Netherlands
Date
1991
11-10-93
06-07-94
14-11-94
14-11-94
30-11-94
30-11-94
06-12-94
05-01-95
10-01-95
13-07-95
28-08-95
15-09-95
20-10-95
24-10-95
02-11-95
15-11-95
Country
of origin
Germany
Finland
Dutch
cont. shelf
Morocco
Morocco
Morocco
Morocco
?
Tunisia
Israel
England
Russia
South-
Africa
Russia
Germany
Russia
Russia
Metal
Fe
Ni-Cu
Fe
Fe
Fe
Fe
Fe
Fe
Fe
Fe
Fe
Ni
90%
Fe
Fe
Ni
Fe
Fe
Material
Tubing on
containers
Activated pipes
Tubing
Stainless steel
Stainless steel
Stainless steel
Stainless steel
Tubing on
containers
Stainless steel
Screen
Spraynozzle
lngots/bars(Ni-Cu)
Stainless steel
Stainless steel
Catalyst
Heat exchanger
Tube with small
tube inside
Isotope
""Pa etc.
^Ra etc.
238U etc.
238U etc.
2MU etc.
2MU etc.
22SRa etc.
?
238U-
238Ub
?
?
^Ra
226Ra
Bq/g
2E3
2E3
2E3
3E4
?
?
2
KBq
6E5
4E4
2E4
250
?
?
4
Action
Removed from
containers
Sent back
Cleaned
Sent back
Sent back
Sent back
Sent back
Search for the rest,
remove from
containers & cleaning
Sent back
Selected/stored
Selected/stored
After research sent
back
Unopened sent back
Unopened sent back
Processed
After research sent
back
Selected/stored
a Natural Uranium b Depleted Uranium
4 ENFORCEMENT IN CASE OF IMPORT OF RADIOACTIVE METAL SCRAP
4.1 Enforcement following a report from metal scrap trader
If a metal scrap trader detects a significant quantity of radioactive material when scrap
has been offered, there are several possible alternatives. From these it is preferred by all
parties including the Dutch government, that the whole shipment (often one or more sea
containers) be refused by the addressee and sent back immediately to where it came from.
When containers are sent back, the metal traders immediately inform the exporting company
abroad and the Dutch Inspectorate. No further measures are taken unless the radiation level
-------
952 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
on the outside of the container is equal to or greater than 10 micro Sv/h and/or there are
indications that it is a high radioactive source causing the increased radiation level. In these
cases a further inspection will be necessary by an expert.
In these cases there is a reason to investigate the cargo. This has to be done by a
company with the necessary expertise, with permission for such activities from the Inspectorate.
This investigation is at the expense of the owner of the material. Any radioactive materials
found in such investigation will be sent back to its originating country according directives
determined by law or is being disposed of to the Central Organization for Radioactive Waste.
4.2 Enforcement after reports from third parties
Sometimes the Inspectorate is informed by others about suspected import of
radioactive metal scrap. When this happens the Inspectorate will conduct an investigation;
measures will be taken against the transporter and owner if limit values are exceeded.
4.3 Structu red action plan for enforcement
Proactive, well organized measurements of all transports with metal and metal scrap
that cross the border require much equipment and manpower with expertise. Thus only a very
limited number of spot checks is possible.
This proactive way of enforcement by carrying out spot checks is used for shipments
that come from countries where there is no sufficient legislation and/or enforcement on
radioactive materials.
Also measurements and spot checks will be executed following information from
abroad regarding suspected suppliers or suspected goods that are shipped to the Netherlands.
A structured action plan is being set up to put hold on the import of radioactive metal
scrap. Such structured enforcement can only be realized through international information
exchange and cooperation with other enforcers such as Customs. This action plan will also be
communicated to and coordinated action is foreseen with the Inspectorate and other enforcers
for chemical waste.
5 CONCLUSIONS
There is a problem regarding the illegal import of radioactive metal scrap. To prevent
such materials from being traded in the Netherlands, Dutch companies have now the obligation
to perform their own checking and/or decontamination of radioactive objects.
A structured action plan is being set up to put a stop to the import of radioactive metal
scrap. International information exchange and cooperation with other enforcers is necessary.
6 RECOMMENDATIONS
It is recommended that in all countries legal measures are taken to ensure that
industries check all possible contaminated metal scrap before export. Countries should inform
importing countries about suspected traders and shipments. The exchange of information and
cooperation regarding enforcement should be improved. Internationallythe same measurement
standards and limit values should be applied. In the international trade in metal scrap chemical
-------
BREAS, G.M. AND VAN DER VAART, P.I. 953
contamination can be found too. Assistance in finding suitable solutions on the enforcement
on radioactivity may be obtained from Inspectorate and other enforcers who are involved in the
enforcement on chemical waste.
REFERENCE
1. Lubbenau, Joel O. and Yusko, James G., Health Physics, vol. 68, no. 4, April 1995, pp.
440-451
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954 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
-------
HATTON, CHRIS 955
SOME ENVIRONMENTAL AND ENFORCEMENT ISSUES RELATING TO THE
SITING OF A MEDIUM SCALE STEEL MILL ON THE SHORES OF THE
MANUKAU HARBOR, AUCKLAND, NEW ZEALAND
HATTON, CHRIS
Manager Resource Quality, Auckland Regional Council, PB 68912, Auckland, New
Zealand
SUMMARY
A Steel Mill (in various corporate forms on its present scale) has operated a site on
the shores of the Manukau Harbor since the mid 1980s. The two major consents (permits)
granted in 1985 relating to combined stormwater and treated wastewater discharges from the
site were in the period 1986 to 1988 often in varying degrees of noncompliance and
consequently the subject of extensive consultation and a prosecution for serious breaches of
the Consent (Permit) in 1988. Consent (Permit) approvals included stringent environmental
standards, self-compliance monitoring, check monitoring (inspection) by the Regional Council
(licensing authority), and environmental monitoring within the mixing zone and wider harbor
environs.
Many problems have arisen with respect to the definition of compliance, the extent of
the mixing zone1 and with interpretation of environmental effects. These have resulted in a
range of responses from regulatory enforcement (prosecution) to fully consensus based solutions.
This case study looks at the evolution of both statutory and voluntary controls on the
site and its operations. Also how environmentalvalues were identified, monitoredand protected.
1 INTRODUCTION
1.1 Administrative framework
The Auckland Regional Council ("the Council") is the agency responsible for
environmentalmanagementandenforcementin the Auckland region. Itsresponsibilitiesinclude
the permitting of discharges of contaminants to air, soil and water. It is also responsible for
pollution abatement and control.
1.2 Background to the paper
The Steel Mill has occupied a site on the shores of the Manukau Harbor since the
early 1970s (see Figure 1). In the early 1980s the Company applied for a comprehensive set
of land-use and contaminant discharge permits to cover a major expansion at the site. The
permits included discharges to air and water and noise emissions. This paper discusses
issues relating only to the water discharges.
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956
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
1.3 The permits granting process
The applications for discharge permits were the subject of vociferous opposition by
environmental interest groups and local Maori (the indigenous people). The applications were
considered and granted by a statutory hearing committee of the Council. Stringent effluent
standards and self-monitoring were imposed. Subsequently these decisions were appealed
to a full judicial body (the Planning Tribunal). The original decisions were upheld and consents
(permits) consequently came into effect with a term of fifteen years.
Figure 1. Location of Work
2 PERMITS SET THE SCENE
2.1 Liquid effluent standards
Annex 1 details the effluent parameters, standards and compliance definitions. It is of
interest to note that the Company requested a set of interim standards be included. These
would have been somewhat less stringent than the final standards to allow for the construction
phase. This request was denied.
It should be noted that the effluent quality standards were proposed by the Company
and its consultants. These were considered to be particularly stringent and therefore Council
saw no need to oppose their adoption.
-------
HATTON, CHRIS 957
2.2 Environmental monitoring requirements
Annex 2 reproduces the two key special conditions relating to the environmental
monitoring to be undertaken.
It will be noted that the final specifications were to be agreed between the Company
and the Council at an unspecified future date.
3 ENFORCEMENT HISTORY
Right from the earliest days of the expansion at the site the Company had difficulties
complying with some of the effluent standards. Initially this involved pH, temperature, suspended
solids and total zinc. Ultimately the chronic noncompliance revolved around suspended solids
and total zinc. The pH problems were resolved and temperature exceedances were waived
as the standards were considered inappropriate. It should be noted that during this period the
Company was complying with all other liquid effluent standards.
Forthe first coupleof years the Council adopted a highly pragmaticapproachto reported
noncompliance. During this phase dischargevolumes were well belowthosepermittedtherefore
even with concentration exceedances mass discharges of contaminants were considered
acceptable.
In late 1986 the Council became more and more concerned at the on-going
noncompliance. From this time onwards the Council began 'flagging' to the Company its
increasing dissatisfaction. Several written warnings were issued to the Company.
In an attempt to resolve the situation Council and Company staff met on several
occasions. While progress was made a satisfactory level of compliance did not eventuate
and the issues came to a head in early 1987.
After a monthly self-monitoring report identified significant noncompliance with respect
to zinc the Council resolved to initiate a prosecution of the Company. The Company responded
by requesting a meeting with the Council at political level. As a result of the meeting the
Company agreed to bring forward a review of its wastewater treatment systems using overseas
consultants but the prosecution was not withdrawn. Ultimately however, the case did not proceed
as charges were withdrawn after the Company's consultants provided a credible defence at
the eleventh hour to be excused from being held responsible. The Company engaged the
consultants to review the capability and performance of its stormwater and effluent systems
and identify a means for compliance.
An action plan was developed which included significant separation of stormwater
and treated effluent systems, recovery of stormwater for process use, surge capacity for storm
flows and the installation of a centrifuge to manage the growing slurry handling problem.
However, before the actions were fully completed by the second half of 1988 a series
of significantnoncompliancerecords were reported which the Council considered unacceptable.
These involved exceedances of the suspended solids standard by 195 times and the zinc
standard by 21 times. The Company's explanation was not considered acceptable and the
Council resolved to initiate a prosecution. Thirteen charges were laid.
The case proceeded to court and the Company was subsequently convicted on twelve
of the thirteen charges. Fines and costs amounting to NZ$41,000 (US $67,556) were imposed.
NOTE: The maximum penalty providedfor at the time was NZ$150,000(US $247,158)
and NZ$10,000 (US $16,477) per day for an on-going offense.
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958 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
4 ENVIRONMENTAL MONITORING ISSUES
The initial environmental monitoring program involved multiple sites, sediment sampling
and three species of shellfish. This design was reduced to one species of shellfish after three
years of sampling as the additional monitoring was contributing little to the detection of impacts.
The Company undertook monitoring within the mixing zone and at a control site. The
Council undertook monitoring outside of the mixing zone and at a control site. Overlapping
sampling at one control and one test site was undertaken. Sampling and analyses were
undertaken by independent field staff and laboratories.
For the first two or three years no problems came to light. However, after this time
significant increases in total zinc were recorded in shellfish and the two data bases came
under close scrutiny. Both data bases were confounded by major discrepancies at the
overlapping sites.
Neither laboratory would accept responsibility and what transpired was a drawn out
debate over methodology, This was only resolved when an independent reviewer audited the
various designs and procedures. The outcome was that one laboratory was to be used and
this was to implement a jointly agreed to quality assurance/quality control (Quality Assurance/
Quality Control) program.
A considerable amount of time and money was wasted because the issues were not
identified and addressed at the beginning of the monitoring program.
5 COMPLIANCE AND ENFORCEMENT PROBLEMS
5.1 From the Company's perspective
For various reasons there were problems for the Company inherent in the original
permits. The major ones were:
• Without a transitional set of more relaxed standards there was virtually no
way the Company could achieve compliance during the construction and
commissioning phases.
• The nine at source effluent treatment systems were shown to be highly
vulnerable to being compromised. They were without "downstream" back-
up and when one system went down the whole effluent stream was at risk
of noncompliance.
• The importance of contaminated stormwater from the 92ha industrial site
was not recognized. The stormwater and effluent streams were combined
well "up-stream".
• The Company's management staff perhaps for too long believed that
compliance would be possible by better process control rather than major
engineering modifications.
• The detailed effluent standards promoted by the Company were always
going to be difficult to achieve.
• The higher than anticipated amounts of zinc in the iron ore, subsequently
released from the thermal processes and captured by wet scrubbers,
resulted in higher than anticipated loadings on the liquid effluent treatment
systems.
-------
HATTON, CHRIS 959
• Delays in the reporting of effluent analyses exposed the Company to on-
going noncompliance and late response to problems.
• Standards imposed meant that zinc and chrome based water treatment
corrosion control regimes could not be used. The Company has struggled
for years to gain acceptable corrosion rates in cooling systems.
5.2 From the Council's perspective
While the development of the effluent permit standards and general conditions were
the subject of comprehensive technical input a number of fundamental problems were present
which were not recognized. The major ones were:
• That the complex effluent and environmental monitoring required a very
high level of Quality Assurance/Quality Control between the participating
laboratories. This was ultimately resolved by detailed inter-laboratory
checking and in the case of the environmental sampling a single laboratory
was finally used. However, the lack of forethought resulted in much wasted
effort and rendered blocks of data unusable.
• The definition of an "unacceptable effect" was not resolved until mid 1987.
• The definition of the mixing zone was not finalized until 1987.
• While effluent mass discharge was specified the mixing with contaminated
stormwater completely undermined the use of mass discharge to measure
permit compliance.
• The fact the Council in general had to rely upon self-monitoring data for
enforcement created potential legal problems with respect to the use of
such data for a prosecution.
6 LESSONS FOR BOTH THE REGULATOR AND REGULATED
Reliance on what were considered to be stringent effluent standards based on USEPA
criteria gave all parties a false sense of security.
The Company incorrectly assumed it could achieve the standards "at source". The
standard adopted for total zinc at one of the outfalls was in fact below "normal" stormwater
levels.
The deferring of the definition of the 'mixing zone' was wrong as it was fundamental to
the defining of compliance.
The deferring of defining an'unacceptableeffect'was also wrong. Too much emphasis
was placed upon effluent standards as against the purpose of imposing such standards.
During the permit hearings the focus of evidence adduced was on the effects upon
natural ecosystems. In fact, the final criteria for acceptability related to ensuring shellfish were
not rendered unsuitable for human consumption outside of the 'mixing zone'.
The interaction between various processes was not acknowledged. The interaction
between the air emissions controls and the liquid effluent stream was not allowed for. Also, for
the purposes of liquid effluent concentrations stormwater was assumed to be uncontaminated,
this was incorrect.
The Company failed to give the compliance with consents (permits) the importance it
deserved considering the penalties involved.
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960 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
This was reflected in the learned Judge's written decision in convicting the Company.
In brief the Judge concluded:
"My essential finding was that — (The Steel Mill) — pushed its production program
well ahead of its ability to comply with the water right. When it encountered difficulties in
complying with that right it did not adequately adjust its operations."
Analytical time frames need to reflect those defined in the permit compliance
specifications.
Under New Zealand law there is an unresolved question mark over the admissibility of
self-monitoring data as evidence for a prosecution.
7 CONCLUSIONS
Effluent standards should be relevant to the environmental protection issues involved
and not simply adopted 'holus bolus' from published criteria.
Environmental monitoring programs intended to protect against unacceptable impacts
should be considered in their entirety at the permitting stage.
Sampling and analytical procedures need to be the subjects of detailed protocols and
Quality Assurance/Quality Control specifications prior to implementation.
Companies holding comprehensive waste discharge permits need to ensure those
responsible for compliance are given the administrative technical and operational support
necessary to achieve permit compliance.
Regulators dealing with large and complex procedures need to ensure that all
interacting components are identified at an early stage and dealt with comprehensively.
The objectives of effluent standards and the particular resource values to be protected
need to be identified at an early stage.
Enforcement via legal remedies is exceptionally time consuming and expensive for
all parties.
ENDNOTES
1. Editors note: The definition of a mixing zone is the geographic area of a waterbody
over which a pollutant concentration is mixed with the water and diluted.
-------
HATTON, CHRIS 961
Annex 1. Effluent Discharge
Parameter
CONVENTIONAL
PH
Temperature (°C)
Suspended solids
Dissolved Oxygen
Chemical Oxygen
Demand
Oil and Grease
TOXIC
SUBSTANCES
Zinc
Chromium 3+
6+(1)
Nickel
Lead
Copper
Mercury
Silver
Antimony
Cadmium
Arsenic
Cyanide (2)
NON-
CONVENTIONAL
POLLUTANTS
Iron
Aluminium
Phosphorus
Fluoride
Maximum or
Range not to
be Exceeded
6-9.5
25
30
4 (minimum)
40
10
1.5
0.2
0.1
0.5
0.2
0.2
0.0025
0.02
-
0.6
5
0.3
12.5
-
-
Type of
Monitoring
to Detect
Maxima
a
a
a
a
g
9
a,d
b
b
b
b
a
b
c
c
c
c
c
b
-
-
Maximum
Monthly
Averages
N/A
N/A
15
N/A
-
2
0.2
0.005
0.005
0.03
0.06
0.03
0.00125
-
-
0.0025
0.6
0.05
3
-
-
20
weekly
result only
Monitoring
and/or
Calculations to
Establish
Averages
-
-
Monthly avg. of
results from (a)
-
-
Monthly avg. of
results from (g)
e
e
e
e
e
e
e
e
e
e
e
e
e
e
e
f
NOTES AND MONITORING FREQUENCY CODES
1. Chromium may be measured as total chromium until the concentration exceeds 0.1 mg/
1 on grab samples and 0.005 mg/1 on composited samples.
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962 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
2. No monitoring of cyanide is required until this material is used in the works.
3. Limits are for total concentrations determined on unfiltered samples.
MONITORING FREQUENCY CODE
a. Single grab sample taken and analyzed once daily, seven days a week.
b. Single grab sample taken and analyzed once per week.
c. Single grab sample taken and analyzed once per month.
d. A 24 hour flow proportioned composite sample collected and analyzed daily.
e. A monthly composited sample of flow proportioned aliquots of the daily (24 hour)
composite sample.
f. A weekly composited sample of flow proportioned aliquots of the daily (24 hour)
composite sample.
g. A 24 hour flow proportioned composite sample taken and analyzed once per week.
ANNEX 2 PERMIT CONDITIONS RELATING TO ENVIRONMENTAL
MONITORING
1. That the Grantee shall carry out annual monitoring of the level of heavy metals in
sediments and key species of shell fish within the zone of initial dilution of the effluent
and at a control site. The sites, parameters, species chosen, timing of sampling and
other details of the sampling program are to be approved by the Manager, Regional
Water Board. The Grantee shall carry out any studies necessary to define key species
and develop criteria to be used in this monitoring program. Provided that the levels of
heavy metals in sediments and biota within the mixing zone shall be determined before
commencement of discharge.
2. That the Grantee shall immediately carry out further studies on the dilution and dispersal
of the wastewaters and storm waters in the Waiuku Estuary if any significant ecological
effects or unacceptable accumulation of heavy metals in shellfish become apparent.
-------
ROTENBERG, RUTH 963
ENFORCEMENT STRATEGIES OF THE ISRAEL MINISTRY OF THE
ENVIRONMENT
ROTENBERG, RUTH
Head, Legal Department, Israel Ministry of the Environment, P.O. Box 34033, Jerusalem
95464, Israel
SUMMARY
Enforcement of environmental legislation is a top priority at the Israel Ministry of the
Environment. Environmental compliance and enforcement techniques are not goals in
themselves, but rather means to an end. They are based on a variety of components which
include proper legislation addressing administrative, civil and criminal aspects. Thus, effective
enforcement is a tool to achieve prevention and deterrence rather than punishment. As such,
enforcement requires administrative measures, effective inspection, pre-criminal proceedings
and an efficient prosecution system — all of which are geared towards reducing litigation in
court and achieving desirable environmental solutions. These measures should be further
enhanced by more active public participation in environmental enforcement.
1 INTRODUCTION
The problem with being an environmentalist is that sometimes you stop seeing the
view, and only see the garbage. Similarly, at the Ministry of the Environment, in our constant
efforts to prevent and control pollution, we run the risk of losing sight of the many who do abide
by environmental laws—and change their practices: fill out forms and reports and secure the
appropriate permits and licenses to run their businesses. For every one of us who sees the
cup half empty and fears that our limited resources do not allow for sufficient enforcement of
the laws, there are others who see the cup as half full — even too full.
In fact, the Ministry was recently paid a backhanded compliment. The Israel Association
of Industrialists expressed concern that under new conditions created by the newly established
Palestinian Authority, Israeli goods and services will face undue competition from Palestinian
competitors, due in part to the increased costs to Israeli industry caused by the need to comply
with the high level of environmental requirements and enforcement. While we at the Ministry
sometimes fear that our impact is not felt strongly enough, others apparently feel differently.
However, achieving this level of compliance and awareness has involved years of
effort — and we still have a long way to go. Not every potential polluter is willing to abide by our
demands. Thus, enforcement of environmental legislation remains a top priority issue of the
Ministry of the Environment.
The prevailing approach to enforcement is of those who see enforcement merely in
terms of criminal prosecution. Often the image in the public eye is that of an officer of the law
taking a polluter to court, and a judge imposing criminal penalties. Environmental enforcement
as practiced by the Ministry of the Environment, however, is a much broader issue and is
comprised of a wide range of components.
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964 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
2 ENFORCEMENT COMPONENTS
2.1 Legislation
Enforcement begins with, and is based on, effective legislation. To be effective,
environmental legislation must aim for achievable standards, and have practical application.
Where legislation is realistic, compliance is greater; and if prosecution is necessary, it is then
that much easier.
Israeli environmental legislation is wide-ranging. It includes the application of national
and municipal legislation as well as international law. It affects many national and local authorities
and forms an integral part of the system of government. On the local level, nearly every aspect
of municipal responsibility is related to environmental concerns —whether it be sewage, roads,
garbage collection or general sanitation.
Environmental legislationis comprised both of laws that deal with specific environmental
issues, and laws of a general nature which cover environmental matters. For instance, there is
specific legislation concerning air, water, sea and noise pollution, litter and the use of hazardous
substances. In addition, more general laws, such as the Planning and Building Law and the
Licensing of Businesses Law, provide not only a framework but also an important legal base
for controlling the use of resources and promoting sustainable development.
Regulations under the Planning and Building Law require the preparation and
presentation of Environmentallmpact Statements which constitutean integral part of the planning
and building process.
The Licensing of Businesses Law, despite its apparently general nature and the fact
that it was legislated in 1968 before environmental issues were on the agenda, is a most
central and vital tool in environmental enforcement. It provides efficient tools, both on national
and local levels, for the supervision of industries and businesses, by stipulating special
conditions to a license and by allowing for the administrative or judicial closure of businesses
not abiding by the law, its regulations and the above mentioned special conditions.
A very important characteristic of Israeli environmental legislation is that it is enforced
through administrative, civil and criminal measures. For instance, within the Abatement of
Nuisances Law, all three remedies serve as tools of enforcement. Underthis law, administrative
action is taken through special directives (known as "personal decrees") which order an
individual polluter to take specific cleanup action. Issuing a personal decree allows the
introduction of professional and technical requirements. Such decrees also ease enforcement,
since it is easier to prove a breach of technical or administrative requirements in a decree than
to prove the cause of a nuisance, or the level or extent of pollution.
Civil law is employed through the application of the Torts Ordinance. A breach of the
Abatement of Nuisances Law would be considered a nuisance under the Torts Ordinance,
making available all civil remedies, including the payment of damages.
But undoubtedly the most effective enforcement tool of the law is that of criminal
prosecution. Under the Abatement of Nuisances Law, it is forbidden to cause strong or
unreasonableair and noise pollution or odors, and the offenderis subjectto criminal punishment.
Criminal prosecution has some obvious enforcement merits. It is an effective deterrent
tool, especially for those in high positions, such as managers of major industries, who are
prepared to do a lot in order to avoid the stigma of criminal proceedings.
As much as we at the Ministry recognize the importance of criminal proceedings, we
are also aware of its weaknesses. The main weakness in this context is that while it can be a
deterrent for future crimes, criminal prosecution deals with an accomplished act —pollution
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that has already occurred and caused damage. Criminal procedure is intended mainly to
punish an offender—it is usually not effective in preventing crimes. For environmentalists, this
is a very important consideration.
2.2 Prevention
A top priority issue for the Ministry of the Environment is the enforcement of preventive
measures within the laws under its jurisdiction, as we all know that it is almost impossible to
compensate for pollution and environmental damage after the event. Therefore, our main goal
is to prevent the occurrence of pollution and damage, rather than to punish the offender and to
impose fines. Prevention may therefore be considered as the ultimategoal of our environmental
enforcement strategies. In order to achieve this goal, we utilize various methods.
2.3 Administrative measures
Administrative measures constitute a most important link and one of the bases of
prevention. Thus, the granting of licenses for businessesis made conditional upon the fulfillment
of certain stipulations aimed at preventing environmental damage. Among about two hundred
thousand businesses which are licensed in Israel, the administrative and professional staff of
the Ministry of the Environment intervenes in about five thousand cases per year, inter alia, by
imposing "special conditions."
Likewise, the possession and use of hazardous substances is subject to approval by
the Ministry through a permit system. Since the end of 1993, when the relevant law was amended
and the Ministry started to implement this permit system, about fifteen hundred permits were
dealt with and issued, out of an estimated potential of about seven thousand. Permit systems
are operated at the Ministry of the Environment also in other fields, such as dumping at sea,
but in much smaller numbers.
We at the Ministry consider that the very existence of such requirements in itself
constitutes an enforcement measure.
Administrative and professional inspection and follow-up reveal that a vast majority of
the public subject to particular requirements will abide by them and by the conditions stipulated
in license or permit granted specifically to them. Out of the huge amount of regulated activities,
only a relatively small number (a few hundred) of businesses are subject to further enforcement
measures, as described below. As already mentioned, administrative enforcement has
procedural advantages and it provides a more efficient method of enforcing environmental
legislation.
2.4 Inspection
Of course, the mere existence of legislation and licensing requirements is not enough:
close supervision is necessary to ensure strict compliance with legal stipulations. Executing
inspection and surveillance is an essential expression of the Ministry's seriousness and rigor
in performing its enforcement role. Without proper inspection mechanisms the Ministry cannot
carry out the enforcement procedure, and with a lack of surveillance, even the most law abiding
person may consider noncompliance.
On the administrative level, the Ministry operates a number of inspection bodies to
enforce legal and administrative measures. These bodies are staffed by professionals in their
respective fields who are also trained to perform inspection procedures and conduct
investigations. In order for supervision to be effective, not only must the personnel have the
necessary knowledge and qualifications, but they must also be legally authorized to carry out
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their tasks. In fact, we place much effort into strengthening their powers with regard to entry,
investigation and detention, as well as for an increase in their number and professional skills.
Supervisory functions (inspections) are carried out in coordination with the scientific
professional staff of the Ministry and its regional offices.
On the criminal supervisory level, a well equipped and highly mobile "environmental
patrol," staffed by trained personnel authorized with police officers' powers, operates within
the Ministry of the Environment. In addition, the Ministry also operates some specialized
supervision units in specific areas: the Marine and Coastal Inspection Unit, and the Monitoring
Unit for Poisonous Substances. Other bodies, such as the Nature Reserves Authority, the
Drainage Authorities and various ministries (among them the Ministries of Health, Agriculture,
Transportationand the Interior), also carry out supervisory duties and assistdirectly and indirectly
in the enforcementof environmental matters as part of a so-called "Green Police." Furthermore,
the local authorities have their own supervisory infrastructure, with thousands of inspectors
who play a most important role in the supervision of business licenses, and in enforcement of
municipal legislation. We recognize the need to improve the cooperation and coordination
between the various bodies in order to avoid duplication and to increase their efficiency.
The role of effective professional inspection cannot be overestimated. A large number
of cases of noncompliance are solved at this stage — after a "visit" from an interrogating
inspector, who demonstrates the Ministry's strict intention to ensure that its directives and
requirements are fulfilled.
Unfortunately, the Israel Police Force, which is nationally responsible for enforcement
of the law, is involved in the enforcement of environmental laws only to a limited extent, partly
because of a shortage of manpower and mainly because of their priorities in which the
enforcement of environmental legislation is placed very low. In addition, it should be noted that
the police lack professional skills regarding environmental issues.
In light of this, it would be correct to say that generally in Israel the role of enforcing
environmental law is carried out by professional environmentalists trained and empowered as
police officers, rather than by police officers equipped with technical and professional skills.
2.5 Public participation
As part of our efforts to strengthen the enforcement of environmental laws and to
increase the number of people participating in the process, we have also recruited the general
public.
Not without considerable opposition, but with the consent of the Knesset (Israel's
parliament), we succeeded in introducing some years ago an innovation in the field of Israeli
law enforcement procedures — the appointment of individuals from the general public as
"Cleanliness Trustees." These volunteers participate actively in the enforcement of the
Maintenance of Cleanliness Law by filing complaints against offenders of the law. The law has
granted these volunteers the power to request a person, who in their sight commits an offence
against the law, to identify himself. The complaints are the basis for a subsequent "finable
offense" procedure. By the end of 1995, more than 120,000 "Cleanliness Trustees" were
recruited from the general public, and about 10,000 tickets and court actions per year are
initiated by their activities — not to mention the educational and preventive value of this
widespread public activity.
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2.6 Pre-criminal proceedings
As already mentioned, it is our policy at the Ministry to exhaust administrative and
deterrent means of enforcement to the fullest extent possible. Unfortunately, however, there
are those who are not deterred by any of the early stages of enforcement. Some people will
continue to violate the law, even after they have been caught, until they are prosecuted in court
and stopped. In such cases, we are left with no choice but to prosecute; a course we undertake
without hesitation when it is unavoidable.
Sometimes, the actual threat of prosecution is sufficient, and can also be used to
solve an environmental problem. For instance, before filing a case with the court, the relevant
administrative or professional authority in the Ministry conducts a "hearing process" where the
details of the case are presented to the suspect; he is called upon to respond and offer an
explanation for his violations, and to suggest remedial steps he intends to undertake within a
reasonable time period. This process has proved to be efficient: at this stage many of the
violators find themselves embarrassed and threatened as they realize the severity of the
Ministry's intentions, as well as the unpleasant consequences of the criminal proceedings they
face.
Another example of a pre-criminal proceeding process is connected to the request to
attain the consent of the Attorney General in order to prosecute a local authority (municipality)
or the head of a local authority. In one case concerning pollution emanating from the waste
disposal site of a small village in the Galilee, merely applying to the Attorney General caused
the otherwise stubborn head of the local authority to carry out the required improvements.
2.7 Prosecution
Of course, at the end of the line are the truly determined violators, for whom the
courtroom is the only option. Thus we reach the final stage of enforcement, which in the public
eye is the principal image of enforcement.
The cases brought against polluters are handled within the general criminal system.
Again, as in the case of the police, the State prosecution system rarely handles environmental
issues due to an absence of both resources and awareness. The Ministry, therefore, prosecutes
without going through the State prosecution system. The Ministry has taken on the services of
private law firms that have been empowered by the Attorney General to represent the State in
criminal proceedings. These legal services are financed through a special budget that has
lately been allocated in order to finance the prosecution of environmental pollution offences,
with special emphasis on prosecution in cases of pollution of water resources and pollution by
solid and liquid wastes; or otherwise financed by the Maintenance of Cleanliness Fund and the
Marine Pollution Fund — which are operated within the Ministry.
The budgets of these funds are based upon fines imposed in breach of the respective
laws, from fees levied on manufacturers and importers of beverage containers (in the case of
the Maintenance of Cleanliness Fund) and from a "Marine Environmental Protection Fee"
imposed on owners or operators of vessels or certain shore installations. To a limited extent,
the budgets of these funds are also derived from the State budget and from contributions. In
each case, it is stated in the relevant law that the purpose of the fund is to concentrate monetary
resources for the combat against and prevention of the related type of pollution, for cleanup
operations, as well as for encouraging environmental education and awareness activities, and
forfinancingtheinspectionandenforcementof these laws. Both the Maintenanceof Cleanliness
Fund and the Marine Pollution Fund are administered by committees composed of
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968 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
representatives of the Ministry of the Environment, the Ministry of Finance and the public (two
mayors), within the framework of the Ministry of the Environment under specific operational
regulations and within a separate budget.
Out of the many administrative cases dealt with, as described above, only few reached
the stage of criminal prosecution and had to be brought to court. During 1994/5 these amounted
to twenty cases concerning pollution of water resources, fifteen cases on breach of terms of
business licenses or hazardous materials' permits.
Different statistics characterize prosecution in the fields of solid waste and littering as
a result of the work of the Cleanliness Trustees and the EnvironmentalPatrol: about ten thousand
"tickets" (finable offences) are issued per year, and about one hundred cases are brought to
court by the above mentioned prosecution system.
The conclusion of a successful prosecution is, of course, when it results in a meaningful
punishment. Attaining this end is not easy in light of the handicaps of the court system which is
overloaded and lacks proper environmental awareness. The majority of environmental cases
are dealt with in the magistrates and local courts. Even so, some cases are deliberated upon
at the district court level and by the Supreme Court, sitting as a Court of Appeal or as the High
Court of Justice.
3 FINAL REMARKS
3.1 General observations
It should be reiterated that we would always rather prevent environmental damage
than punish the offender. And where punishment is necessary, it is not a goal in itself, but
rather a means to an end. All aspects of enforcement — from administrative action to
supervision, court action, imposition of a fine or a prison sentence — are tools and not ends in
themselves. Likewise, punishment is used as a deterrent not only against the actual offender,
but against potential violators as well, and it has most important educational value.
Israel's system of punishment needs more muscle. Most notably, the level of fines
should be increased to be more effective.
In conjunction with the Ministry of Justice, we are currently working to put forward a
proposal that will raise the level of fines for the violation of almost all environmental laws. Also
under considerationisincreasingthe use of the fine option (fineable offenses) where the offender
has the option of paying a fine rather than going to court. In many cases, this is more efficient
than court proceedings, and can be more effective.
In certain situations, however, a monetary fine is too weak a sanction. The stigma of
a criminal sentence carries greater weight. For instance, although the head of a local authority
or a manager of a large firm or industry does not care very much about the payment of a fine
from public or otherwise non-private funds, even the potential threat of a prison term — and, of
course, the stigma of criminal proceedings — have proven to be very effective.
Therefore, another aspect of the Ministry's prosecution policy and practice is that
whenever legal proceedings are initiated against a company or authority, as a matter of regular
practice measures are also taken on a personal basis against a high-ranking individual (mayor,
manager, partner, etc.), even when it is clear that he has only indirect institutional responsibility;
unless, of course, there is clear evidence that no responsibility or guilt whatsoever can be
attributed to him.
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3.2 The public's role
Last but not least, a componentof the enforcement structure, which must be mentioned
and which regrettably is still in its early stages in Israel, is the role of the public. As already
mentioned, citizens play an important role as "Cleanliness Trustees" by filing complaints against
offenders, which result in legal actions.
For many years, Israeli citizens have had the right to bring private criminal complaints,
as well as to initiate civil proceedings in environmental matters under various civil and
environmental laws. However, the amount of private environmental litigation has been very
small (and this is not because we are a non-litigating society — quite the opposite).
Thus, the Abatement of Nuisances (Civil Claims) Law was passed in 1992 in order to
encourage the public, and to ease the way for citizens to bring civil claims and secure injunctions
against potential and actual polluters. Procedures according to this law provide a standing
status to environmental groups and allow for a "group claim" — a rare phenomenon in Israeli
legislation. The law also provides for special proceedings and grants the courts powers to
issue immediate remedial decrees to prevent and stop pollution of various kinds (such as: air,
noise, water, waste, hazardous materials, radiation and marine pollution, as well as nuisances
caused by them) and to impose corrective measures.
When the law was passed, its main opponents claimed that the courts would be flooded
by the number of claims of aggrieved citizens and environmental organizations. In actual fact,
during the years since the law has been in force, we know of very few citizens' claims that have
been brought under this law in all of Israel. Citizens direct an enormous number of complaints
and requests to the Ministry, yet they fail to bring legal actions to court.
Nevertheless, it should be noted that in the past there have been several cases initiated
by the public — by individuals as well as by organizations — which contributed greatly in the
enforcement of environmental standards and improved environmental decision-making
processes. Unfortunately, these cases are too rare, and the public's role is still the weakest
link in the Israeli system of environmental enforcement.
It is therefore our opinion and belief that the challenge ahead rests not only with the
legislatureor statutory enforcementbodies, but also with the public. The Israeli public is expected
to be the most effective enforcer of the law, both directly and indirectly.
As part of our enforcement strategies it is also our task to encourage the public,
especially the young generation, and to inform and educate it on its right to a clean and healthy
environment, to provide it with the technical data and legal tools to fight for that right and for a
high quality of life and environment.
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TER-NIKOGHOSYAN, VICTORIA 971
DEVELOPMENT AND ENFORCEMENT OF NEW ARMENIAN
ENVIRONMENTAL PROTECTION LEGISLATION: PROBLEMS AND
SOLUTIONS
TER-NIKOGHOSYAN, VICTORIA
Advisor to the Minister, The Ministry on Environmental Protection and Mineral Resources
of Armenia, 35-MoskovianSt., Yerevan 375002, Armenia
SUMMARY
This paper provides a brief background on Armenia and the current situation with an
overview of new Armenian environmental protection legislation. Analysis of the enforceable
requirements in the new legislation and related reforms are presented. Enforcement institutions,
theircurrentcapacitiesand necessity of improvement of existing institutionsand capacity building
are discussed.
1 BACKGROUND
Armenia is a landlocked, mountainous country located in the southern part of the
Caucasus region. The smallest republic of the former USSR, Armenia covers an area of
29,800 square km and has a population of 3.7 million, over 96 percent of which is ethnic
Armenians. Armenia shares a border with Turkey to the west, Georgia to the north, Azerbaijan
to the east and southeast, and Iran to the south.
The following brief description of reasons for the current situation provides information
on and clarifies reasons for the current design of environmental programs in Armenia.
The democratic process in Armenia began in February 1988 with environmental
demands to stop operations of dangerous plants. After a few days, the movement turned into
a political one that ultimately resulted in a declaration of independence and new parliamentary
elections. In fact, the environmental movement's claim was so powerful that it resulted in shutting
down very important components of the national economy without strong factual argumentation.
After closing four main constituents of the Armenian economy (the Nuclear Power
Plant, Rubber (caoutchouc) producing chemical plant, and two other chemical plants), the
economy collapsed. The situation became worse, even unbearable, after Azerbaijan and later
Turkey imposed economic blockades, and there was political instability in Georgia. With only
one undeveloped link to the outside world via Iran, even fuel had to be imported by air. Such
arrangements could provide only basic, and sometimes less than that, needs of the population.
For three years till the winter of 1995, Armenians had been living at the physiological level of
survival, with no (sometimes one or two hours a day) electricity and no heating.
Those three winters caused:
• Extensive deforestation. The tree cutting was permitted by government
but had gotten out of control.
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972 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• Release of water from Lake Sevan (the only pure water reservoir for the
whole region both for the present and future generations) for energy
production needs. Speedy eutrophication of the lake has become a real
unmanageable environmental problem. One of the consequences of this
problem is the impact on biodiversity of the region.
• Reopening of potentially hazardous Metzamor Nuclear Power plant due to
the circumstances of the economy and energy crisis. Another concern is
an intention of the Government to build a new Nuclear Power Plant on
Armenian earthquake-sensitive territory.
• 90% of actual unemploymentand, unusual forthe one of the richest among
former USSR countries, poverty.
• Decline of health and education levels of the nation.
• Informational isolation from the world due to lack of electricity, technical
equipment and disruption of postal services.
• Lost public credibility of the environmental movement and Nongovernmental
organizations.
With these circumstances in mind (in fact, feeling them on our skin) we realized
nationwide that economic and energy crises became a real environmental disasterfor Armenia.
That is why, in the process of developing the new law, we carefully kept balance between
environmental protection and socio-economic development.
Fortunately, we were able to overcome some problems. Even under the blockade
situation, the economy has started to go up (up to 17%) and people overcame the old mentality
of relying and depending on government to solve their problems. This is the most important
achievement of our transition period. Now most Armenians rely on themselves and mutual
assistance. Many governmental reforms, such as 98% privatization of agricultural land 1 and
privatization of many sectors of economy, contributed to this phenomena. Now 85% of the
trade, 45% of transportation, 25% of service are in private hands. Currently, Internet access in
Armenia is in very good shape, and Armenia can exchange information more freely and fully
than the other former USSR countries. Privatization of industry is underway. Ongoing formation
of the free market economy in the country presents an opportunity for economic development
and we could invest more resources to recover our environment. To preventfuture deterioration
of our environment, we accepted as our development path an integrated pollution prevention
and control approach. The reflection of this approach is basing the national environmental
protection legislation on uniform proceduresand principlesof environmentalimpactassessment.
2 LEGAL ENVIRONMENTAL FRAMEWORK
At the very beginning of legislative activity (independent from Moscow) the Parliament
imitated the US legislative structure, i.e., developed media-specific and field-specific laws.
The experience inherited from the past regime did not allow us to quickly turn them into a legal
system with detailed procedural enforceable requirements. Firstly adopted acts remain mostly
declarative with some enforceable provisions and "open room" for application of environmental
impact assessment (EIA). At the same time, study of other countries' experience helped us to
realize in which way to move to reach environmental compliance and enforcement. Integrated
pollution prevention and control approach was chosen as a preferable path 2. Armenia has
taken steps toward integration by passing laws that authorize assessment and control of toxic
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TER-NIKOGHOSYAN, VICTORIA 973
substances across media, as well as laws that require environmentalassessment of all projects.
Ironically, the very declarativeness of the firstly adopted Acts helped to overcome this problem
easily. Environmental Impact Assessment Act (EIAA) which was developed with the assistance
and experience of the Environmental Law Institute (US) 3,Centerfor International Environmental
Law (US)4'5 and U.S. EPA became a curative tool for those mistakes. Experience of countries
in transition was taken into account as well. The logic of the Armenian environmental legislation
will work in the following order: separate acts will regulate the current status-quo, whereas
EIAA will ensure sustainable development and reform.
2.1 Principles of Environmental Protection Legislation of the Republic of Armenia
On July 9,1991, the Parliament passed "The Principles of Environmental Protection
Legislation of the Republic of Armenia" as a constitutional Act in the environmental protection
field. The Act states the overall environmental protection policy and establishes a framework
within which the Parliament will develop specific separate acts to protect the atmosphere (air),
water, soil, natural (mining) resources, forest, flora, fauna, specially protected territories,
endangered species, and manage waste, etc.
The Act also stipulates the following economic mechanisms for compliance with
legislation to ensure nature protection:
• charges for using natural (mineral) resources, for pollution and other impact
within the permissible limits;
• fines for violation of environmental legislation;
• higher taxes and other economic sanctions for failing to install new
environmentally benign technologies;
• extra taxes for using environmentally hazardous technologies;
• tax, credit and other privileges for environmentally friendly manufacturing
and conduct;
• licensing for unavoidable releases and discharges;
• compensation duties for damage caused by deterioration and destruction
of natural subjects; and
• imposing obligations to restore destroyed environment and its separate
components.
According to this Act, the state takes responsibility to provide safe, healthy and
favorable natural conditions to satisfy the social, esthetic and cultural needs of the population.
The law imposes obligations on the State Environmental Protection Bodies to timely and
accurately inform the population about the condition of the environment.
By this Act the citizens have received:
• Rights to claim and to receive in a timely mannerfull trustworthy information
about environmental conditions.
• Rights to receive full compensation for health damage caused by polluted
environment, environmental accidents or disasters.
• Rights to live in the pure (no amendment yet!) environment, and in case it
is destroyed, to receive the status of environmental refugees and to get
equivalent compensation.
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974 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• Rights to participate in a process of developing environmental protection
laws and enactment and to control their implementation.
The idea for the application of environmental impact assessments have expression in
the "State Ecological Expertise" article, where all economic and social development programs,
economic projects and plans, operating businesses and so on are considered the subjects of
environmental impact assessment. In a required preliminary declaration, a list of binding
protection activities to mitigate environmental impact according to standards should be
submitted. This part of the Act is relatively less declarative since it specifies (maybe even
more than it will be possible to manage) subjects of assessment. For large economic programs,
permissions may be given by the Parliament or by a referendum.
The Act has shaped an idea about creation of an environmental prosecution and eco-
police institutions. This was supposed to stimulate changes in the legal system. A General
Environmental Prosecutor of Armenia was appointed by the Parliament and is working with
already formed eco-police. They have prepared many cases to start prosecutions.
I would like to mention that this Act was worked out and passed when Armenia was
still a part of the USSR; less than one year later Armenia became independent and the
Parliament started to function freely.
2.2 Act on Specially Protected Territories
The second "Act on Specially Protected Territories" was passed on December 17,
1991, just after the referendum and declaration of independence. The Law determines different
levels of protection of different kinds of specially protected territories and puts the responsibility
on the state.
2.3 Act on Natural Resources
The third Act, the "Act on Natural Resources" was passed on March 19,1992.
This Act ensures, to a certain degree, sustainable use of natural (mining) resources. It
requires that natural resources be extracted and used with implementation of advanced
technologies. This requirement is especially important for Armenia, which has limited deposits
of a wide variety of rare natural resources, that, if used prudently, could be enough to cover
some raw material requirements of the economy (e.g. electronic industry).
• The Act leaves "open door" for future full application of Environmental
Impact Assessment in this area.
• This Act dictates restructuring in the executive branch to improve exploration
of natural resources and environmental protection. This restructuring is
still going on. Lack of appropriate experience hinders development of
effective regulations.
• The first advanced law passed by the Armenian Parliament was a law
about agricultural land privatization. We have already privatized 98% of
our agricultural land, but the Parliamentary Committee decided that natural
resources cannot be privatized. So the Act declares that the natural
resources are the exclusive property of the Republic but can also be made
available for private utilization.
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TER-NIKOGHOSYAN, VICTORIA 975
• Mining and processing of the natural resources is paid for and can take
place by license and awarding of contracts. The natural resources are
freely available for a geological study, scientific research and geology-
mining proposals.
• A contract between the Republic and user is the basic legal document that
determines relations of parties. Only a court can resolve a dispute between
them.
• The geological and other information about natural resources can be
subject of buying and selling.
• According to this Act, any information about natural resources can be the
property of a funding organization (state or private) or private persons.
The state can buy that information from private sellers, but has it free from
state organizations if they used the state budget to get this information.
• The Act stipulates the right of authors of scientific discoveries in this area.
• The primary discoverer in this area receives privileges to be the first
explorer of a discovered field.
The problem with developing regulations with enforceable mechanisms still exists.
2.4 "Act on Water"
The "Act on Water" was prepared by the government. Our Committee had just enough
time to examine it and prepare recommendations. During the Parliamentary hearing of this
act, the Committee's environmental protection amendments were adopted and in this case we
have acquired an opportunity to impose stronger environmental claims on water users with
imposing EIA requirements. This act mainly regulates water-use relations and the Committee
may draft new acts on safe drinking water and quality of water.
2.5 "Act on Protection of Air"
The Act entered into force on November 1,1994. According to this Act the Parliament
took responsibilities as the principal state body which will adopt all programs and policies
related to air protection and oversee them for compliance.
The Act is mainly declarative and leaves "an open room" for Environmental Impact
Assessment application. But there are some provisions which could be enforced immediately.
Local authorities and inspectorates received authorization to prevent an entry of mobile sources
to regions of their jurisdiction in case of violations of standards. Violations of standards by
stationary sources could cause temporary closing until compliance is ensured or forever.
2.6 "Act on Forest"
The Act entered into force on November 1, 1994. According to the Act the forest is
the exclusive property of the Republic until it grows up to industrial utilization volume. Currently
the Armenian forest is the subject of protection, rehabilitation, recreation and sustainable
utilization only. Only temporary utilization (up to 5-10 years) under supervision of a state
authorized body and local authorities is allowed.
The forests are divided into three groups:
• protected forests;
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• recreative forests; and
• forests for specially protected natural territories.
There is the "open room" for environmental impact assessment application.
The Act stipulates fees for forest utilization. All detailed procedures have to be
developed in regulations. There is a need to develop guidelines for pricing for different kind of
utilization (recreation, hunting, scientific research, tourism etc.).
2.7 "Environmental Impact Assessment Act"
Armenian Environmental Impact Assessment Act (EIAA) was adopted by the National
Assembly (the Parliament) on November 20,1995 and was signed into law by President on
December 12, 1995.
The Act implants uniform principles and procedures of environmental assessment
into all passed and proposed acts.
The Act aims to ensure joint professional and public assessment of economic, social
and other kinds of activities (including new construction, reconstruction, modification,
enlargement,technicalre-equipment.and demolition). In the conditionsof a changing economy,
most activities could be covered by this Act. Other aims are to evaluate the proposals on
important development concepts, proposals, policies, complex projects and programs (strategic
concepts) — in relation to assumed impact on the environment and socio-economic
development. The assessment acts as a basis for eventual approval or disapproval of an
activity or concept.
The Act is harmonized with environmental impact assessment approaches of
International Conventions and development assistance agencies standards (the World Bank,
EBRD, etc.), and includes:
• detailed procedure of environmental impact assessment (EIA) of proposed
activities;
• environmental impact assessment procedure in the case of an activity of
a transboundary context;
• brief procedure for assessment of proposals of concepts;
• detailed provisions to serve as workable tools for implementation and
enforcement;
• detailed binding provisions on ensuring public participation and
involvement in decision-making;
• a specific activity list based on the specifics of the country to be covered
by and incorporated into the Act;
• binding provisions with time frames to be met both by promoter and
authorities to avoid violations;
• certain provisions on extent of assessment;
• provisions which give rights to interested parties to appeal procedural
violations through the court;
• provisions to ensure comprehensibility and intelligibility both for the
promoter of an activity and the public;
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TER-NIKOGHOSYAN, VICTORIA 977
• provisions incorporating mechanisms enabling bottom-up initiatives
(regional and local authorities, public and nongovernmental organizations)
to conduct environmental impact assessments for activities under the
threshold values;
• requirements to submit an intention in at least two variants (alternative
solutions); and
• requirements for post-project monitoring and analysis, which has to be
articulated in the permit to start activity.
The Armenian legislation continues to be more declarative, and detailed procedures
on enforcement and implementation are developed by various ministries in administrative rules
and regulations. These shortcomings were overcome with this Act. The National Assembly
was persuaded to include detailed enforceable procedures and requirements in this Act.
Another shortcoming we could not yet overcome is very little experience with laws
containing precise numerical values. To avoid ambiguity in the law's application, a list of planned
activities that require environmental impact assessment should be incorporated in the law. It
should also specify criteria (threshold values) for the majority of activities, according to degree
of impact. The legislative structure in Armenia does not allow appendixes to the Act with such
a list. At the same time, scientifically developed and adopted threshold figures for different
kinds of activities are also not developed for Armenian circumstances. The solution was to
include in the Act a list of activities without threshold values as transitional provisions. The
Parliament agrees that once these are developed they will be incorporated into the Act. In
other words, solution was: without destroying the structure of the entire legislation, include the
contents of annexes into the Act. The Act is still enforceable for those listed activities which
need full EIA without any threshold values.
2-7-1 Parties involved in environmental impact assessments (EIA^
• Promoter — a legal entity intending to realize an activity subject to the
EIA. The promoter of the assessed activity bears the major part of the
cost and responsibility associated with the assessment process.
• Submitter — a government entity who is the promoter of a concept.
• Authorized body—the body of the state administrationwhich is responsibL
for managing the entire process. It issues the final approval or disapproval
to start realization of an activity and submits a recommendation to the
Approving body for decision on implementation of a concept.
• Approving body — the National Assembly, the Government and other
authorized state bodies which are responsible for final decision on
implementation of a concept.
• Affected authorities — regional state administration authorities and
community self-administration authorities of an area or territory, that are
likely to be affected by the environmental impact of a planned activity.
• Interested state body —a body of state administration which has concerns
on a planned activity.
• Public—the population of an area or territory, which is likely to be affected
by the environmental impact of planned activity or implementation of a
concept.
le
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978 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• Experts — specialists who could be hired by proponent or submitter to
prepare EIA.
• Authorized persons — organizations, groups, individual specialists who
are granted license of professional competence by authorized body, and
are eligible to perform and prepare relevant expert opinion on EIA
documentation.
2.7.2 Procedures of EIA process
The Act contains all standard steps of the EIA process and determines the duration of
each step.
• NOTIFICATION AND SCREENING — The EIA is initiated as soon as a
notification on intention is submitted to the authorized body. The EIA
procedures involve a promoter, experts, regional and communities
leadership, the public, Nongovernmental organizations and the interested
state body. A promoter has to submit notification with an already
processed and categorized information. The notification must contain at
least two alternatives of the activity together with a provision for a situation
which might arise were the plan not to be implemented (zero alternative).
• SCREENING — In the case of activities under threshold values the
authorized body shall conduct screening on the basis of notification and
decide whether or not the activity in question is to be assessed under the
Act. In this part of the Act we managed to persuade the Parliament and
later the President to include bottom-up initiatives for conducting EIA. The
interested state body, regional state authorities, community leadership and
public receive the rights to require EIA for projects below threshold values.
The authorized body, based on the received opinion, will decide whether
to conduct a full EIA.
• QUALITY CONTROL starts at the beginning of public involvement when
public can bring in any experts for advice. A more thorough control is
carried during the elaboration of expert opinion on EIA documentation.
• SCOPING — The current Armenian legislation does not allow for stating
content of EIA in the Act, but we have a minimal scope of requirements
and philosophy for this in the Act. More detailed scope is developed in
regulations which are currently tailored to meet the specific conditions of
Armenia. The wider scope for EIA documentation shall be decided by the
authorized body based on public opinion.
• EIA DOCUMENTATION—The promoter shall conduct an evaluation of its
own activity from the assumed environmental impact and socio-economic
points of view. The promoter can hire experts to perform this task. She/he
has to submit documentation to the authorized body. The Act does not
make reference to any strict time frames to conduct EIA for promoter.
• IMPACTS — EIA should evaluate four types of impacts: direct, indirect,
cumulative and synergetic.
• PUBLIC HEARINGS — The Act contains three articles with detailed
guidelines for public participation. The public starts to be involved in EIA
process at the very beginning, immediately after notification of the
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TER-NIKOGHOSYAN, VICTORIA 979
authorized body by the promoter. The second round of participation is at
the stage of discussing of prepared documentation on EIA. The third one
is at the stage of expert opinion discussion with the authorized body. At all
stages of public participation, the authorized body is responsible and has
an obligation to organize it together with the promoter and regional and
community leaderships. All public comments have to be taken into account
during expert opinion preparation and decision making. However, the Act
does not contain any precise criteria on how to do that. This part of the
Act and regulations needs improvements.
• EXPERT OPINION ON EIA DOCUMENTATION — Authorized body has
to arrange expert opinion on EIA documentation before making decision.
There is a possibility for voluntary preparation of documentation on EIA,
but the assessment has to be exercised by licensed authorized persons
designated by the authorized body. These authorized persons have to
meet specific requirements to earn certificates and become authorized
personsfor assessing EIA documentation^ university degree, successfully
passed authorized body's exam, 5 years experience in the field).
• FINAL DECISION (APPROVAL OR DISAPPROVAL) —The final decision
is the responsibility of the authorized body. Without approval, no activity
can start. The Approving body may not approve any concept for
implementation without positive decision on by authorized body. These
are very important requirements in the Act. They provide a single final
operating permit for any activity by a single national body.
The authorized body, after receiving prepared EIA documentation, should
give a final decision to promoter during a specific time. If not, promoter
can start activity without any decision taken prior to that. We understand
that this is a very dangerous provision in the Act from environmental
protection point of view because more complex projects will take more
time for consideration. On the other hand, however, this provision enables
us to try to protect the promoter from abusing of the Act by bureaucrats
and corruption.
• POST-PROJECT PROCEDURES — There is no precise articulation of
post-monitoring/auditing requirements in the Act, but the permission to
start activity implies introduction of these requirements and monitoring of
their implementation. The authorized body is responsible for carrying
them out. The authorized body is also responsible for designating
consultants for post- monitoring.
• RESPONSIBILITIES —Any kind of violation of procedures of the Act can
be appealed by involved parties through the court. The Parliament
Committees are currently developing detailed provisions to include them
in civil and criminal laws.
Inadequate quality of EIA documentation can be appealed by any involved party to
authorized body.
2-7-3 Importance of the adoption of EIAA for further reforms and development
Adoption of EIAA is a very revolutionary Act, not only for the Armenian Environmental
Protection legislation but for the whole Armenian legislation as well.
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980 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The Act eventually unifies Armenian Environmental protection legislation into one logical
framework. More declarative media specific acts will regulate the current status-quo, whereas
EIAA will ensure sustainable development.
The Act introduces detailed enforceable provisions, which is the first experience in
Armenian legislation.
The Act introduces precise figures in the legislation. This is unusual for Armenian
legislation'smostlydeclarativecontextand might become a startingpoint for future development.
The importance of having precise numerical values in the law prevents the executive bodies
from manipulating threshold values. Only the National Assembly can make amendments.
The act introduces three detailed articles on public participation,obliging the authorized
body to involve and earn public opinion. Before that, our legislation contained some declarative
provisions on taking the public opinion into account, but no procedures and obligations were
articulated to enforce them and earn public opinion.
2.7.4 Problems to be addressed
Adoption of EIAA is a really advanced step in the reform of environmental protection
field in Armenia. However, there is still a long way to go in establishing the EIA system by
creating more institutions and capacity building.
We have to continue the development of the regulations emanating from the Act,
prepare academic and Nongovernmental communities for EIA documentation preparation,
prepare officialsforimplementationand enforcement of the Act, ensure higher public awareness
in this field, get public credibility and eventually establish the whole system for EIA.
Currently, there is no annually published statistics on EIA performance in Armenia. All
documentation on EIA is in the Department of Ecological State Expertise of the Ministry on
Environmental Protection and Mineral Resources.
There are no guidelines for EIA pricing yet.
There is no information on quality of ElAs performed available for the public. All these
problems should be addressed through development of appropriate regulations.
2.8 Prepared drafts
The National Assembly's Committee on Health Protection, Social Issues and
Environmental Protection has worked out the following drafts: "Act on Flora;" "Act on Fauna;"
"Act on Waste;" "Act on Sevan National Park;" and is developing an "Act on Biodiversity."
An Act on Environmental Rights is under development and discussion. A draft that
was already prepared needs improvement. The idea behind drafting this Act is to stimulate
public involvement and influence decision making in the environmental protection area and to
start the public participation and pressure process. We suppose that the direct act will focus
people's attention on their rights - something we have experienced at the beginning of our
independence. With the new act on free election 6 and with comprehensive articulated
procedures on right to be elected we could change the composition of the Parliament and start
building a democratic society.
The principles of this Act are supposed to be the following:
• The right to access information about environmental quality, proposed
decisions, etc..
• The right to live in a favorable environment.
• The right on sustainable utilization of natural resources by any state or
private producers.
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TER-NIKOGHOSYAN, VICTORIA 981
The Committee intends to work out this Act in a comprehensive way to encourage
people to know, understand and struggle for their own rights even trough receiving
compensations for physical and moral damage. The latter point is important for our country
where the people in economic survival situations cannot think globally and abstractly even
about the nearest future.
There is an intention in the future to streamline the whole relevant legislation into one
single universal Act on Environmental Protection.
3 CURRENT ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
INSTITUTIONS
After the new parliamentary elections and referendum on New Constitution held on
July 5, 1995 the whole Executive Branch has been undergoing reform. The Ministry on
Environmental Protection and Mineral Resources now oversees almost all pertaining
environmental fields. Assembling all institutions under one umbrella this a taking step toward
institution integrated pollution prevention and control. This structure will facilitate integration
pollution control across environmental media and fields. But reforms at the legislative and
administrative levels without parallel capacity building are not enough to ensure proper
functioning of institutions in changed circumstances. Regulations which should follow each
new environmental acts are not developed in their whole scope yet. Lack of experience and,
more importantly, lack of enough information to develop them present another obstacle to
accelerating this process.
Eco-prosecutor institution and eco-police cannot operate effectively until judicial and
court-system reform is completed. Adoption of the new Constitution has accelerated these
reforms but there is not enough attention to the environmental aspects of the development
process. Capacity building in this sphere is extremely important.
None of above mentioned institutions have any register or any kind of publication to
keep public aware on ongoing events.
The painful issue is interest groups and nongovernmental organizations. Indifference
and frustration of people are real problems that need to be solved. There is no doubt that
interest groups and Nongovernmentalorganizationsare there, but they have not been too visible
during this past four years. As I mentioned above, hopefully along with economic growth,
legally provided right could be a basis for stimulation of public activity. This could be a proper
way to foster the voluntary compliance attitude as well.
4 OPPORTUNITIES AND PROBLEMS IN FURTHER DEVELOPMENT OF
ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Development of Armenian Environmental laws and some programs illustrated that in
spite of an extremely difficult transition situation Armenia could come up with innovative
approaches and create opportunities for future reforms and development. For example;
• A basic environmental legal framework exists based on uniform principles
and procedures of EIA. The path of further development and improvement
is chosen.
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982 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• An authorization to issue a single operating permit covering discharges to
all media is given to a single national body which is responsible for
enforcement as well. It means that Armenia took a commendable step of
linking the EIA process to final permitting decision, so that the proposed
activities may not go forward until it has been demonstrated that they will
not have unfavorable impact on the environment.
• The Ministry on Environmental Protection and Mineral Resources is
developing National Plan for Action.
• Basic state enforcement environmental institutions are established.
• Legally provided opportunity for development of interest group and
nongovernmental institutions exists.
• Information flow capacities exist.
Problems to be addressed are the following:
• further development of regulations, guidelines, rules, instructions;
• provisions of sufficient information flow to the state and public institutions;
• organization and provision of education and training for officials and
academic and Nongovernmental communities;
• development of capacities for information exchange inside Armenia; and
• establishment of newspapers, magazines, and registers to ensure public
awareness.
After independence and before the economic crisis came through, many international
organizations offered their assistance to Armenia. During the four years of blockade these
offers have been gradually decreasing. With no effective support from the international
community, we could not prevent reopening of the Metzamor Nuclear Power Plant. The most
we could do was just require some assessment. But no national consensus was earned by
government for the reopening. Our government is intending to build another Nuclear Power
Plant in a seismically active zone.
Now Armenia has its basic legal framework and our economy is going up. There is an
opportunity to build effective system of ensuring wise decision-making trough sustainable
development. Assistance of international community could contribute to this process.
REFERENCES
1. Armenian Legislation: "Land Code" 29 January 1991.
2. Haigh N. and Irwin F. (Eds.), Integrated Pollution Control in Europe and North America.
The Conservation Foundation, Washington D.C. and Institute for European Environmen-
tal Policy, Bonn, Brussels, London, and Paris, 1990.
3. Working Papers prepared under the auspices of the Environmental Law Institute's
Environmental Program for Central and eastern Europe., Washington D.C., 1991,
1992, 1993, 1994, 1995.
4. Hunter D. and Bowman M., 13 Mich. J. Int'l. L, 1992, pp 921.
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VASILESCU, ILEANA DOINA 983
FEATURES OF LICENSING AND CONTROL OF ENVIRONMENT IN ROMANIA
VASILESCU, ILEANA DOINA
Main Inspector, Ministry of Waters, Forests and Environmental Protection 12 Blvd.
Libertatii, Bucharest, Romania
SUMMARY
Romania's present environmental policy matches with worldwide concerns in this field.
The responsibility for preparing legislation acts belongs to the Ministry of Waters, Forests and
Environmental Protection (MoWFEP) in collaboration with other Ministries. The Environmental
Protection Law representsthe most important legislativeimprovementof the legal environmental
framework and in the future all elaborated norms will derive from it. According to the
Environmental Protection Law in Romania no industrial discharges into air, water or soil are
permitted without authorization. The enforcement of the environmental legislation is achieved
by Inspection. Its tools range from informal mechanisms such as warming through to prosecution,
fines and imprisonment. It has established specific implementation programs consisting of
actions to improve the environmental conditions of certain areas. Some "win-win" solutions for
industrial restructuring and solving difficult environmental problems were found.
1 INTRODUCTIONTOTHE COUNTRY
Romania is a European country and is located in the South-Eastern part of Central
Europe. There are three important elements that define the geographic position of Romania
in Europe:
• the Danube River;
• the Black Sea - named by the ancient people "Pontus Euxinus" which means
"The Welcoming Point"; and
• the Carpathian Circle (Mountains) - named by the ancient people "Corona
Montium".
Romania covers an area of 237,500 sq. km and it has a population of about 23 million
inhabitants at a density of about 95.8 inhabitants per sq. km.
Romania is today in a phase of transition to a democratic status resulting in reforms
and restructuring in many sectors of the society.
Romania's present environmental policy matches with worldwide concerns in this field.
One urgent issue in the protection of environment is its health related to industrial activity. The
main environmental problems related to industry are:
• the reduction of discharges using better technology;
• the prevention of accidental pollution; and
• the change of pollutant technologies to less polluting ones.
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984 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
2 LEGAL FRAMEWORK
In Romania Parliamentestablisheslaws for the control of pollution in Acts of Parliament.
These Acts provide the general framework for pollution control and they give the authority to
issue more detailed requirements, for example standards, in Regulations.
The responsibility for preparing legislation acts belongs to the Ministry of Waters,
Forests and Environmental Protection (MoWFEP) in collaboration with other ministries: the
Ministry of Health or the Ministry of Public Works and Territorial Planning, Research Institutes
and as a final step, approved by the ministries these institutes are subordinated to.
The environmental legislative system provides separate laws for different parts of the
environment: water, air, soil, waste, noise, dangerous substances. The main laws, regulations
and administrative decrees or orders applicable to discharges to the environment are listed in
Appendix 1.
At the end of 1995, the Romanian Parliament voted the new Environmental Protection
Law carried out by the Ministry of Waters, Forests and Environmental Protection with all the
ministries and all the factors involved. The Environmental Protection Law represents the most
important legislative improvement of the legal environmental framework and in the future all
elaborated norms will derive from it.
3 INSTITUTIONAL FRAMEWORK
The Ministry is the central authority responsible for dealing with environmental
protection issues. However, the day to day implementationofenvironmentalpolicy is undertaken
by regulators that work within the legal framework established by the Ministry. These regulatory
bodies are:
• Environmental Protection Agencies (EPA) which are responsible for
environmental protection at the local level; and
• National Water Authority "APELE ROMANE" (NWA) which is responsible
for water protection, for authorizing discharges to the natural waters and it
has branches at the local level; it is based on river catchment.
4 PROCEDURE FOR LICENSING
According to the Environmental Protection Law in Romania no industrial discharges
into air, water or soil are permitted without authorization:
• All discharges in water require a license from the Ministry, for the most
polluting processes, or to the National Water Authority, for all other
discharges;
• Emissions into air require a license from the Ministry, for the most polluting
processes or from the EPA, less polluting processes; and
• Treatment, storage or disposal of waste requires a license if it is emitted
from one of the most polluting processes identified by the Ministry, or if it
is waste controlled by the EPA.
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VASILESCU, ILEANA DOINA 985
Table 1. Summary of responsibilities for licensing industrial discharges
Discharge
To Air
To Water
To Land/Waste
Issuing License
MoWFEP
EPA
MoWFEP
NWA
Radioactive
Substance
All Other
Processes
MoWFEP
EPA
Monitoring
EPA
NWA
MoWFEP
MoH
NRA
EPA
Enforcement
MoWFEP-lnsp
EPA
MoWFEP-lnsp
NWA
MoWFEP-lnsp
NRA
MoWFEP-lnsp
EPA
Prosecution
MoWFEP-lnsp
MoWFEP-lnsp
NWA
MoWFEP-lnsp
NRA
MoWFEP-lnsp
EPA
1.
The responsibilities for licensing industrial discharges are divided according to Table
• MoWFEP: Ministry of Waters, Forests and Environmental Protection
• EPA: Environmental Protection Agencies (local level)
• NWA: National Water Authority
• MoH: Ministry of Health
There are three key elements of this system:
• a clear separation of regulators from the regulated;
• the regulators are appointed to specialist organizations; and
• each regulatorhas responsibilityforthe whole regulation and enforcement
cycle, from issuing permits to enforcing consent conditions; however, an
important role in enforcement and prosecution is taken by inspections.
Some forms and procedures have been established in low to ensure proper
communication among the regulators. The environmental license cannot be obtained without
the water authority permit moreover the National Water Authority can veto the discharge if it will
cause damages to environment.
The existing framework of licensing covers today about 3,000 facilities of industrial
discharges. The main criteria used in the licensing process are designed to prevent unbalanced
natural systems based upon existing natural conditions, to avoid overloading the existing
capacity of the environment to support "the load" that is to be added by the respective industrial
activity. For instance, consider an existing situation on a river. If another industrial activity
requests to discharge certain "quantity" (load) of BODS (biochemical oxygen demand), the
procedure to give the license is based on the calculation of self purification capacity of the
river receiving the respective load in the respective location.
The license duration may vary up to five years. The license is to be renewed whenever
the environmental authority considers it necessary. The industrial facility is obliged to require
the license modification when the quantity or quality of the substance discharge changes. The
environmental authority may modify the conditions provided in the existing license in special
circumstances. These conditions are: environmental changes (e.g., changes of functions of
the receiving river); quality standards changes; and any modification or technology applied.
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986 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
5 IMPLEMENTATION AND CONTROL
Self-monitoring by industry is a common element in many licensing systems. The
most significant discharges are required to undertake self-monitoring. The actual strategy of
environmental protection provides the promotion of the self-monitoring systems. However the
highest level of compliance monitoring is undertaken by the National Water Authority and EPA
that check the industrial discharges.
Responsibility for the implementation of the environmental enforcement process has
been arranged by Inspection.
At the national level:
• there are the inspectors from the Ministry (MoWFEP).
At the regional level:
• the directors of the regional water authorities pertaining to the "APELE
ROMANE", and also the persons nominated by them; and
• the directors and inspectors of the EPA.
The main duty of the Inspectionfrom the Ministry of Waters, Forests and Environmental
Protection is the management of the environmental process, including promotion of compliance,
supervision and enforcement.
By Romanian Environmental Protection Law the facility has to allow the inspector to
come onto the site any time, whenever he is sent by the environmental authority.
There is a wide range of enforcement tools available, including:
• consent withdrawal;
• consent suspension;
• consent amendment;
• plant closure;
• prosecution leading to fines; and
• prosecution leading to imprisonment.
Actions taken in cases of noncompliance are decided on a case-by-case basis. The
action will depend on the severity of the impact and the reason for noncompliance. The
enforcement tools range from informal mechanisms such as warring through to prosecution,
fines and imprisonment. Prosecution is normally seen finally or for persistent offenders.
The main economic instruments to make the investors or the companies to respect
the regulations are fines. It corresponds to the polluter pays principle promoted in the Law of
Environmental Protection (1995).
The fining procedure is provided by:
• Government Decision No. 138/1994 concerning penalties applied for those
who do not respect the existing regulations regarding water protection.
• Government Decision No. 127/1994 concerning penalties applied for those
who do not respect the existing regulations regarding environmental
protection.
All the penalties listed in these Decisions are applying to both individual or juridical
persons for breaking the existing laws.
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VASILESCU, ILEANA DOINA 987
Table 2. Enforcement Actions — Summary of the enforcement proceedings used
by MoWFEP Inspection in 1994
Enforcement Action
No. of Inspectors (1994)
Typical training of Inspectors
No. of facilities regularly inspected
No. of compliance visit (1994)
Frequency of visits
Violations (total)
Serious violations
(putting in dangerhuman health)
No. of closures (1994)
No. of licenses withdrawn
No. of licenses suspended (1994)
No. of prosecutions (1994)
Fines (total)
Use by MoWFEP
450
Graduated specialist (most engineers) have 5-10
years experience in industry. Technical
instuctions elaborated by MoWFEP.
2,900
52,100
typically industrial units varies from 2 to 12
year depending on "the size" of impact on
environmental in the zone.
per
6,234
6
1
25
12
6
1,000 million lei
The punishment with imprisonment appears for the first time in recently promulgated
Environmental Protection Law. These important aspects of the law reveal the increasing of
awareness toward the environmental issues and it is contained in the European legislation.
The actions of Inspectors are not only based on punishment. Their duties focus on
important industrial pollutants in targeted geographic areas considered environmental "hot
spots". A number of industrial plants which are subjected on a zonal pollution were taken into
account. A special observing regime was set upon them, with the special purpose of decreasing
the global amounts of industrial pollutants. The factories belong to the following industries:
metal-processing, chemical and oil-processing and agro-processing ones.
Some solutions were found for the waste waters deriving from these industrial areas:
• change of technical conditions;
• introduction and use of pretreatment conditions before discharges waste
waters into municipal waste water system; and
• supplementary monitoring systems of discharges.
The Ministry of Waters, Forests and Environmental Protection Inspection takes place
in good cooperation with the branches of the National Water Authority and EPA. It has
established specific implementation programs consisting of actions to improve the
environmental conditions of certain areas.
The beginning was the metallurgical region from Baia Mare, in the North part of
Romania. Two big nonferrousmetallurgicalfactoriesfrom Baia Mare City produced an important
environmental impact by noxious releases evacuated in to the air, water and land. Some "win-
win" solutionsforindustrialrestructuringandsolvingdifficultenvironmentalproblemswere found.
The successful result was obtained with the collaboration of Inspection with local health
administration and the managers of the two factories.
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988 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The Inspection's future goal is to establish training programs for specialists belonging
to coal industry and waste water treatment plants. It hopes that by this course the quality of their
knowledge in environmental issues will increase. An important role is played by the mass-
media in illustrating the Inspection's activity.
Romania has capability and competence in the environmental field and potentially
large administrative resources. Still, it lacks presence of foreign currencies for better
investments in the industrial restructuring and "clean technologies."
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VASILESCU, ILEANA DOINA 989
APPENDIX 1
1. Law No. 5 (1989) concerning the rational water management and water quality assur-
ance.
2. Law No. 18 (1991) regarding the land fund.
3. Law No. 2 (1987) concerning conservation of forest.
4. Law No. 41 (1992) concerning the protection of forest fund.
5. Law No. 9 (1971) concerning the meadows' management.
6. Law No. 5 (1982) concerning cultivated plants and pesticides' regime.
7. Law No. 3 (1978) concerning human health insurance.
8. Law No. 17 (1990) concerning the legislative framework for the inland marine water,
Romanian territorial sea water and the adjacent area.
9. Decree No. 414/1990 - establishing the admissible limit value of the main polluting
substances in the waste waters before their discharge into natural waters.
10. Decree No. 466/1979 concerning the toxic products and substances' regime.
11. Gov. Decision 437/1992 concerning the import regime of any kind of wastes as well as
of other goods dangerous for human health and environment.
12. Ministry of Agriculture and Food, Ministry of Health and Ministry of Resources and
Industry Order No. 15/1991 concerning the production, trading and use of the pesti-
cides for agriculture and forestry.
13. Ministry of Environment Order No. 170/1990 that approves the procedure and the
competencies for issuing the environmental permit;
14. The Decision No. 113/1990 that approves the Content Regulation of the Documentation
necessary to be submitted to obtain the environmental permit.
15. Ministry of Environment Order No. 437/1991 concerning the issuing of the environmen-
tal authorization.
16. Ministry of Environment Order No. 619/1992 concerning the elaboration of the ecologi-
cal impact assessment studies for investments with impact.
17. MoWFEP Order No. 462/1993 concerning the approved of technical conditions for
atmosphere protection.
18. Law No. 69/1991 concerning the public local.
19. Law regarding the Transport of Hazardous Substances (1972).
20. MoWFEP Order No. 9/1990 regarding the approved of Regulation for quantitative and
qualitative waters necessary for industrial units.
21. Gov. Decision No. 861/1992 concerning general actions regarding the national water
management.
22. Gov. Decision No. 615/1992 regarding the fight against flood, dangerous meteorologi-
cal phenomena and the accidents at hydrological constructions.
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990 FOURTH I NTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
APPENDIX 2
1. Law on the management of water resources-draft.
2. Law on the management of the forestry (forestry code)-draft.
3. Law on the organization, management and exploitation of pastures-draft.
4. Law on the management of land and reclamation activities draft.
5. Law on the exploration and exploitation of the natural resources draft.
6. Law on the plants' protection, phytosanitary, quarantine and regime of products for
phytosanitary use-draft.
7. Draft on the creation and management of the Danube Delta Biosphere Reserve.
8. Law on the setting up of the regime for protected natural areas and natural monuments
and on their management - draft.
9. Law on the seashore and coastal area protection-draft.
10. Law on the waste and hazardous waste management-draft (List of toxic products and
hazardous waste with special regime of administration).
11. Guidelines for the activities submitted to authorization and permit procedures.
12. Guidelines for the activities requiring environmental impact assessment in view of
environment permits emission.
13. Guideline on the limitation of the emissions of noxious gases in the atmosphere.
14. Guideline on the requirements for the waste treatment and limitation of noxious dis-
charges in surface waters.
15. Guidelines on the conditions for the water courses' management and land reclamation.
16. Guidelines on the procedures for report and assessment of natural resources and
environment state statistical indicators.
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GENENA, TAREK M. 991
FROM ENVIRONMENTAL PLANNING TO ENFORCEMENT: A CASE STUDY
FROM EGYPT
GENENA, TAREK M.
Director, Technical Cooperation Office for the Environment, Egyptian Environmental
Affairs Agency and National Coordinator for the National Environmental Action Plan, 16,
Lebanon St., Mohandessin, Cairo, Egypt
Note: The author would like to acknowledge the assistance of Dina El Naggar, Technical
Cooperation Office for the Environment, in helping to prepare this paper.
SUMMARY
This paper presents and discusses the Egyptian experience in preparing a National
Environmental Action Plan (NEAP) and a major environmental law. The analysis includes the
processes of preparation, its shortcomings and the extent of interlinkages between the plan
and the law.
1 INTRODUCTION
The Egyptian Environmental Affairs Agency was established under the Cabinet of
Ministers by Presidential Decree 631 for 1982. Until 1990, the Agency was a rudimentary
body having weak authority and relying on a limited human resource base to perform its functions.
The initiatives undertaken by the Agency at the time could be described as being of an ad hoc
nature, restricted effectiveness and efficiency.
With the onset of the 1990s, the Government of Egypt embarked on two major initiatives
on the way to establish a planning and regulatory framework for environmental management in
Egypt. These are:
• the National Environmental Action Plan (NEAP); and
• the Environmental Law (Law 4/1994) and its Executive Regulations.
Following is an overview of the preparatory processes and both outputs.
1.1 The National Environmental Action Plan (NEAP)
In 1991, the Government of Egypt "requested" the World Bank for its assistance in the
preparation of a National Environmental Action Plan. Basically The World Bank assisted in:
• managing the preparation process;
• management of the input of the international experts;
• refining the outputs of the national experts; and
• production of the final output, i.e., the National Environmental Action Plan.
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992
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
On the national level, ten working groups were formed comprising experts, researchers
and decision makers. Members of the groups were drawn from line ministries, research centers,
and universities. The working groups prepared background reports addressing the following
environment-related issues:
• air pollution;
• land resource degradation;
• water resource quality and management;
• marine and coastal zones;
• solid waste;
• natural heritage;
• cultural heritage;
• institutions;
• education and awareness; and
• population
World Bank led missions made up of international experts from its member states
scrutinized, discussed, refined the outputs and finally produced an action plan document.
The plan focused mainly on policy and institutional actions. In addition, the plan briefly
outlined a two-phase investment program, each lasting five years. Table 1 gives the main
components of the Action Plan together with the estimated investments for each of the two
phases.
Table 1.
COMPONENTS
Natural Resource Management (land and
water)
Air Quality Improvement (industrial & urban)
Solid Waste Management (including
hazardous waste)
Protection of Egypt's Heritage
(natural/cultural, marine/coastal zones)
Development of Environmental Institutions
Total
PHASE I
(L.E. MILLION)
385
435
290
365
75
1550
PHASE II
(L.E. MILLION)
990
895
905
420
110
3320
note: US$ = 3.391 L.E
1.2 The legal framework - "the environmental law"
The early 1980s witnessed the "birth" of a number of important "environmental" laws
and decrees. The most important of these are:
• Law 48 of 1982 for the protection of the River Nile and its waterways.
• Presidential Decree 631 of 1982 establishing the Egyptian Environmental
Affairs Agency.
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GENENA, TAREK M. 993
• Law 102 of 1983 concerning natural protectorates.
• Law 101 of 1985 levying a charge on air tickets earmarked for tourist
development and environmental protection.
It is worth mentioning that the degrees of enforcement of these laws and compliance
with their standards have been very weak. Law 48/1982, for example, addresses the protection
of Egypt's most vital natural water resource - the Nile River - from municipal and industrial
sources of pollution and yet untreated industrial and municipal wastewater continues to be
discharged into the Nile and its waterways. Failure to comply with the law could be partially
attributed to the absence of realistic phasing of discharge reductions to meet its standards.
The Governorate, which is a regional administrative area, is responsible for much of
the enforcement of statutes in Egypt. While it has been difficult to enforce Law 48 on many
larger industrial facilities because of a number of factors including older technologies, depressed
economics, and government ownership of large sectors of industry, there has been more activity
on the smaller sources of pollution where the solution is less capital intensive but the
environmental problems are very pervasive. For example, last year in the Ismailia Governorate,
approximately 200 decrees were issued to small discharges to the waterway under the Law
48 authority. As a result of this effort 190 discharges were converted to septic tanks.
In 1990 an integrated environmental bill was presented to the Parliament. It was ratified
in January 1994, becoming Law 4 of 1994, the "Law for the Protection of the Environment." In
preparing the law an attempt was made to complement and fills gaps in previous legislation
related to the environment. The Highlights i.e. particularities of the new law-as compared to
previous legislation-are briefly summarized in the following points:
a. Restructures and strengthens the Agency. The law clearly designates
the Egyptian Environmental Affairs Agency as the highest national
environmental authority in charge of (in most cases in coordination with
other competent authorities) the following:
• preparing draft legislation and decrees relevant to fulfilling the objectives
of the Agency and evaluating proposed legislation that is related to
environmental protection;
• preparing national reports related to the state of the environment and
formulation of the national environmental plan;
• preparing and implementing the National Environmental Information and
Monitoring Program;
• preparing environmental education, training and awareness programs and
following up on their implementation;
• managing of natural protectorates;
• setting principles and measures for environmental impact assessment of
projects;
• follow!ng-up on compliance and undertaking legal procedures against
violators;
• preparing, coordinating and implementing a contingency plan for
environmental disasters;
• preparing and implementing a hazardous material and waste management
plan; and
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994 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• participating in the preparation of a national integrated coastal zone
management plan.
b. Introduces Environmental Impact Assessment (EIA) as a legal requirement;
c. Allows operating economic tools and creates an environmental fund to be
managed by the Agency; and
d. Grants a grace period for compliance.
2 ANALYSIS AND ASSESSMENT
In an attemptto assessThe National Environmental Action Plan and the Law as outputs
and analyze the processes of their preparation, the following general and basic conclusions
can be drawn:
2.1 The plan
a. A major constraint manifested since the outset of the process has been the
difference in perception and vision as to the output itself , i.e., the Plan,
between the two key players: the government, represented in the
environmental authority, and the World Bank, the leading counterpart. On the
national side, the Plan was expected to be project oriented and saleable to
the donor community to provide the technical and financial support required
for its implementation. Or so was the promise. On the other hand, the World
Bank was more focused on proposing policy and institutional actions. An
investment program was very briefly outlined based on vague project ideas.
Accordingly, the output produced cannot be accurately described as being
an action plan. Rather, it is an environmental policy report with a number of
annexed project ideas. Nevertheless, it could well serve as a basis for
preparing an action plan.
b. Despite the active participation of researchers and decision makers drawn
from the different competent authorities in the National Environmental Action
Plan preparation process, the draft plan was not adequately discussed among
the various stakeholder groups. Accordingly, there was no actual consensus
on the document in general and its proposed policy actions in particular.
Consequently, the plan was viewed as one proposing action to be undertaken
by the Environmental Agency and not by the government at large, whereas it
proposes integrated policy action that the Environmental Agency-individually-
can do little about.
c. The Plan lacked an in-depth assessment of financial resources that are
available and/orthose that could be mobilized from national and othersources.
This resulted in a serious discrepancy between resources needed and those
actually available for operationalization of the Plan.
d. Despite its focus on policy and institutional actions, the Plan fell short of
indicating the optimal mix of policy tools required to effectively implement
these actions.
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GENENA, TAREK M. 995
2.2 The Law: "Law 4/1994 For The Protection Of The Environment"
As mentioned previously, several environmental laws that have been ratified over the
past 2 decades have not been enforced such as Law 48/1982 for the protection of the river
Nile. Yet in drafting the environmental law, Law 4/1982, due consideration was not given to the
same factors that rendered other laws unimplementable, i.e. affordability, practicality, realism,
and flexibility. More specifically, the lack of consideration of the following factors may restrict
and hamper the enforcement of Law 4/1994:
• high costs of environmental monitoring and testing;
• lack of skilled and trained human resources;
• unclear roles, responsibilities and legal requirements;
• inadequate flexibility (for instance permitting); and
• devising legal tools for promoting changes in environmental perception
and behavior when other tools would have been much more cost effective
and efficient.
Failure to address these shortcomings may be largely attributed to the following
reasons:
• Insufficient experience on the part of the legislators with respect to the
high cost and technical implications of the law that would influence the
degree of compliance and level of enforcement.
• Indirect pressure from members of the international donor community
whose commitment for support and assistance to the environmental sector
was tied to the ratification of the law without being "diluted."
• Members of the Parliamentwho fully supportedthe Law with a predominant
position that it is urgently needed to protect long neglected natural resources
and threatened public health. Hence the issues of cost, practicality and
affordability were masked and not raised.
• Inadequate participation of and discussions with other concerned
authorities.
Nevertheless the grace period granted for compliance and the use of economic
instruments as per the law are two of its innovative positive features that could allow for an
implementable compliance and enforcement program.
2.3 The plan — law interaction
Although the preparation of the National Environmental Action Plan and the Law was
initiated more or less, simultaneously, each was developed and prepared independently and
in isolation. A dialogue and interaction between the two exercises would have facilitated the
desired transition toward rational environmental management. Simply stated: it would have
made the Plan more realistic and the Law more enforceable and both harmoniously functioning
within the same context.
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996 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
2.4 Compliance and enforcement
As previously stated, the Egyptian experience in compliance and enforcement has
been limited and could be described as being non-supportive to the regulating system.
Enforcement, occasionally practiced in the past, has been mainly of the legal type. Furthermore,
court orders against violating of environmental standards were never carried out.
Hence, the Agency has adopted an innovative approach that is based on creating a
demand for compliance and enforcement. First, it allows a grace period of 3 years for
establishments to comply with standards of the new law. The grace period is currently used by
the Egyptian Environmental Affairs Agency to providetechnical and financial supportto pollution
abatement efforts. An example of such support is the National Industrial Pollution Prevention
Program (NIPPP) that has been launched by the Agency in 1994. This program serves as an
umbrella for a multitude of projects that are generally characterized by their focus on a low-
cost/no-cost interventions for pollution abatement. Indeed, the program, among others, may
be considered a positive step in the future of environmental management in Egypt as it
demonstrates the transition by a government agency from relying solely on rigid command and
control measures to employing a wider range of economic instruments for enhancing
enforcement and compliance. The potential success of such instruments has been based on
estimates that 50% of industrial pollution in Egypt could be treated at a negative incremental
cost.
Secondly, for more aggressive forms of pollution, the Agency is extending its support
through establishing credit facilities, of which a major component is the provision of capacity
building and technical assistance. All of these are geared toward creating an environment that
is conducive to a positive change.
3 CONCLUSION
The Egyptian experience as described in this paper shed the light on a number of
constraints that could be encountered with respect to environmental planning and law
formulation. These constraints could be summarized in the following points:
• varying perception and vision of national vs.. international experts that
reflected on the design, structure, efficacy and effectiveness of the output
(the Plan);
• inadequate national environmental experience on part of legislators,
planners and decision makers likewise;
• external pressure on members of the donor community who linked their
commitment to providing financial and technical assistance to the
environmental sector with the ratification of the law;
• the absence of rational financial resource planning for environmental
interventions; and
• deficiency of a mix of policy tools that is vital to enforcement of the law and
compliance with its standards.
For Egypt, the next steps should necessarily aim at formulating environmental strategies
that would encompass a mix of policy tools. More importantly these strategies should be the
output of a negotiating process ending in actual consensusof line ministriesand other concerned
authorities.
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NAVARRETE LOPEZ, GUILLERMO 997
EL SALVADOR'S EXPERIENCE IN THE DESIGN OF ENVIRONMENTAL
PROGRAMS
NAVARRETE LOPEZ, GUILLERMO
Specialist in Urban and Rural Development, Unit of Policies and Special Studies,
Executive Secretariat for the Environment, Urbanization Buenos Aires, Pasaje Mar del
Plata No.2, San Salvador, El Salvador
SUMMARY
El Salvador is located in Central America, and is the smallest country of the region,
with a high demographic pressure and many environmental problems, which are attributed to
the lack of environmental education, lack of environmental policies and natural resources use,
inadequate practices for profiting of resources, as well as a weak and fragile framework of
legislation. Viable instruments for environmental matters are being designed, whose application
it is hoped will lead to compliance and citizen participation in harmony with development.
1 INSTITUTIONAL FRAMEWORK, AS AN ELEMENT FORTHE
ENVIRONMENTAL SUBJECT
In El Salvador, the manifestations of society and some dissatisfied persons from
nongovernmental ecological organizations, gave the impetus for the governmental authorities
to start including some actions towards solving the problem of natural resource and
environmental degradation. As a first intent of environmental authority, in the mid 1980s the
Environmental Recuperation Committee (CREMA) was created.
This committee was made up of governmental, private enterprises, entrepreneurial
groups and nongovernmental ecological organizations institutions, what allowed it to have
national presence, since it was the first institution created specifically for protection and
conservation of natural resources and the environment conservation. It developed informative
environmental education programs (TV, radio and press campaigns) and the execution of
projects and reforestation campaigns, especially with school children.
Later and as a consequence of the covenant of the Central American Commission of
the Environment and Development, where presidents of the central American region seek to
assure a better quality of life to Central American peoples and promote respect for the
environment within a framework of a sustainable development model. The strengthening of
the national agencies in charge of the subject of environmentand natural resources is promoted.
And to have an organization of greater capabilities in its actions and attributions for the
protection, conservation, restoration and profiting from natural resources and the environment.
The National Council for the Environment (CONAMA) was created, made up of all ministers
and chaired by the minister of agriculture, besides the inclusion of a representative from private
enterprise and from the Salvadorean Institute for Municipal development (ISDEM), an
autonomous body.
Under the protection of the National Council of the Environment a research process
starts, related to the environmental subject, establishing as a first national document "The
Environmental Agenda and its Action Plan", which was presented during the Rio Conference
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998 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
"ECO 92". This document collected basically the environmental problem and guidelines to put
to work actions to stop the accelerated degradable process of natural resources and the
environment.
As one more action the decree for the formation of National Council of the Environment
is revoked and the Executive Secretariat for the Environment (SEMA) is created, a ruling body
with the main objective to be the coordination and follow up for environmental matters, understood
as the integration within a single focus of all sectorial actions related to the environmental and
natural resources, as well as the preparation, development and compliance with the national
environmental strategy. Additionally, it is the political authority on environmental matters.
2 ENVIRONMENTAL MATTERS ELEMENTS
2.1 National environmental strategy
In El Salvador, through a participation process, the national environmental strategy
has been developed, containing the directivesfor increased developmenttowardssustainability.
The strategic objective is to propose solutions for the main environmental problems
derived from development and to present a system for environmental matters which promotes
the analysis of decisions on development activities and adopt the same as an element of
compliance and environmental application. This document has been structured in three
important sections:
• Development and Environmental experience, referring to the economic,
social and institutional context, serving as reference of the presentation of
problems and solution proposals,
• Main problemsand strategiesof interventionproposed. The main problems
identified are described, an estimate of the economic, social and
environmental impact are made, as well as an analysis of the causes, to
present briefly but as comprehensive as possible, the presentation of the
strategies towards solving problems presented.
• Environmental matters and participation mechanisms; instruments
designed to develop strategies reviewed in the previous section.
2.2 From environmental matters to participation mechanisms
2.2.1 Legal and institutional reforms
Legal and institutional changes are most important to the promotion of the
environmental matters. According to the proposal of the national strategy of the environment,
are:
• approval of the law for the protection of the environment, congruent with
the same strategy (at present in a participation and consultation process
with the population);
• approval and reform of sectorial laws related to the management of
renewable natural resources, as well as its corresponding regulations; and
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NAVARRETE LOPEZ, GUILLERMO 999
• establishment and functioning of the national system of negotiation for the
environment and changes in the structure and function of the Executive
Secretariat for the environment.
2.2.2 Environmental negotiation instruments
• evaluation system for impacts on the environment;
• ecological-economic ordering;
• national system of environmental information;
• environmental monitoring; and
• environmental fund for El Salvador.
2.2.3 Participation mechanisms
• women's role; and
• promotion of civilian participation.
2.3 Legislation
The subject of instruments for environmental matters has already been mentioned,
and for this paragraph the proposal of environmental law in El Salvador will be quoted. At
present we are developing a participatory consultation process with all social sector to validate
that mentioned pre-project, considering in this manner civilian participation mechanisms. This
basically strengthens national agencies which have the responsibility of natural resources and
the environment, and promotes in the country a participative, democratic and decentralized
environmental administration.
2.3.1 On the environmental administration in the proposal of environmental law
The environmental bill in El Salvador is divided in three sections: a) general, containing
concepts, principles and rights which would sustain the law and be oriented to seek complete
respect for the right of a healthy environment for all inhabitants. This section establishes the
standards for environmental administration; b) the special section includes standards and
precepts which assure the sustainabilityand rationality in the use of natural resources; c) section
of procedures, the law to be applied requires procedures. In the case of environmental standards
regulating highly hazardous processes and trying to prevent contamination, makes necessary
that these processes be agile and assure public participation.
2.3.2 From the instruments for environmental administration
According to the environmental bill in El Salvador, the following is proposed:
• the aforementioned law and all environmental standards of sectorial or
casual relevance;
• environmental ordering of space and national or regional plans, as well as
territorial development;
• the evaluation system of environmental impact;
• citizen participation;
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1000 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• environmental incentives system;
• national program of environmental science and technology; and
• environmental education.
2.4 Policies related to natural resources and environment
In El Salvador there is an incorporation process of environmental dimension in the
different sectors, on natural resources and the environment, and these activities are developed
under the premise of an institutional coordination and citizen participation and with the basic
concept that politics is: A guideline to orient behaviors in the achievement of an objective." As
an example of the actions being taken, we have enclosed a proposed scheme for the design
of the policy for territorial ordering and similar schemes for the other policies being proposed.
(See Chart 1).
After having prepared the specific policy, we proceed to design a general framework
which promotes the legislative bill under study, in order to later be able to define standards and
regulations according to national reality.
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NAVARRETE LOPEZ, GUILLERMO 1001
CHART 1
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1002 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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POPESCU, DUMITRA 1003
THE ROLE OF GOALS, STEPS AND CONTENT OF COMPREHENSIVE
COMPLIANCE PROGRAMS IN ACHIEVING ENVIRONMENTAL COMPLIANCE
AND ENFORCEMENT IN ROMANIA
POPESCU, DUMITRA
Professor of Law, Institute of Legal Research, Str. Ciurea no 14, cod 73296, Bucharest,
Romania
SUMMARY
This paper presents a general analysis of the state of environment in Romania, giving
some statistical data. The challenge and obstacle influencing the environmental compliance
and enforcement processes are pointed out. Taking account of the lists approach for the major
violators the paper offers, besides coercive measures, an overview on innovative compliance
and enforcement program actions in respect to violators in order to protect the environment.
The results of such actions illustrate an increasing degree of compliance and enforcement
actions, which are reflected in environmental quality improvement.
Such achievements, as well as the positive changes taking place in Romania are
estimated as encouraging and motivating factors in shifting the actors' behavior in favor of
promoting environmental voluntary compliance and enforcement.
1 INTRODUCTION
Pollution in Romania is generated mainly by industrial, energy and urban sources and
is severe, but mostly localized.
Before 1989, its real roots were built as elsewhere on the false precept that economic
growth and environmental protection are two opposed elements forever, meaning that we could
have one or the other, but never both.1 Due to political and economic systems of that time
environmental legislation was largely unenforceable.
After 1989, environmental degradation concerns moved the Romanian authorities to
start enacting some new environmental regulations and to set up the Ministry of Environment,
actually being the Ministry of Waters, Forests and Environmental Protection.2 During the
transition period toward a market economy and democracy, the impact of the reform process
soon started to be felt and with it, a positive impact on the environment.
However, in spite of the fact that, between 1990 and 1994, there have been significant
reductions in emissions and discharges due to production cutbacks, industrial restructuring
and certain measures to alleviate environmental degradation, pollution levels in some localities
are still high. We have many human settlements which have not clean air to breathe, clean
water to drink, or which did not eliminate environmental hazards.
Since 1991 to 1992 the Environmental Strategy prepared by the Government of
Romania and Americans and other experts as well as the World Bank has identified fourteen
localized environmental "hot spots," among which are Baia Mare, Copsa Mica, Zlatna, Ploiesti.
However, due to government changes the Strategy and the National Environmental Action
Program have not been approved until recently. During this time the Government took a range
of measures to alleviate pollution, especially within the "hot spots."
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1004 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Obviously, the compliance and enforcement processes are influenced by quite a
number of factors such as: a certain inadequacy of environmental legislation, lack of incentives,
the types of pollution facing certain localities, difficulties with public participation, awareness
and education, as well as especially the lack of technology and financial limitations.
Above all such factors, the slow process of privatization and corruption at all levels
accounted for negatively influencing the processes of environmental enforcement and
compliance.
2 A FORGOTTEN DIMENSION
In Romania the basic environmental legislation currently in force dates from 1960s to
1970s.3 The most burning questions concerning permitting, environmental impact assessment,
fines, as well as, charges and penalties (the last two only for water) have been regulated by
way of secondary legislation. In a short period of time the persistence of such a situation
turned out to be an obstacle interfering with the process of compliance and enforcementactions.
Generally speaking, in certain cases this situation was invoked as an alternativefor not enforcing
the laws.
Needless to say, some other matters such as industrial compliance programs are not
at all regulated and others, e.g., environmental auditing have not been strongly and directly
emphasized, not even properly denominated. It is called environmental analysis and it has
tended to be narrow in scope, covering only few environmental aspects. Perhaps the most
distressing situation consists in the fact that in practice it is not so much and not enthusiastically
used.
The environmental legislative process has been too slow. The proposed environmental
framework law was presented to Parliament about three years ago. However, it was only last
December (1995) that both the Senate and the Chamber of Deputies agreed to passed that
law. On December 29, 1995 the new environmental protection law was promulgated by the
President of Romania and on December 30, 1995 the law came into force. We hope the
environmental framework law will open the way that many other old laws and regulations which
are backward to be as soon as possible repealed by new ones more responsiveand anticipatory
to new challenges of environmental concern.
In this respect, it might be mentioned that throughout the old laws and regulations the
involvement of nongovernmental organizations, both groups and individuals was quite palely
reflected in the law, as well as in the real life. Now with the privatization progress other actors
will have a role to play.
Moreover, in the old regulatory system there were no clauses dealing with economic
incentives or other incentives. The regulatory system was based mainly on fines and less on
penalties and charges. All of these payments were so low that they did not compensate society
for damage caused to the environment and did not bring environmental results and deterrence
as elsewhere.4
However, we should point out that a modest recovery in the economy, mainly after
1993, opened opportunities for improvements. The December 1995 move in the legislative
process, e.g. passing by Parliament of the new environmental framework law and its coming
into force on December 30,1995, followed by passing within Senate and Chamber of Deputies
of the draft law on water and forestry code, as well as, the adoption by Government of the
Environmental Strategy and the National Environmental Action Plan, definitely illustrate new
developments.
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POPESCU, DUMITRA 1005
3 NEW PREMISE TOWARDS SETTING UP COMPLIANCE AND
ENFORCEMENT ACTIONS
3.1 The key legal premise
It is for the first time that the permitting procedure is provided for within the law. That is
the new Environmental Protection Law No. 137 of December 1995. In this way the permitting
procedure and other related issues will take their proper place by the front door, not as it used
to be by back door, or not at all.
The key permitting provisions of the Environmental Protection Law are embodied in
Articles 8 para. 3,10 para. 4, and 14 para. 1 and 2. According to such provisions the following
remarks are highlighted.
3.1.1 The distinction between new and existing facilities
Whereas, for the new facilities having an environmental consent (acceptance), the
permit application is obligatory at the time of their putting into motion, for the existing ones the
permit application is obligatory within a year time from coming in force of the new law.
3.1.2 The gradual actions towards existing facilities which do not meet the permitting
requirements
In respect of such facilities the environmental authority establishes the compliance
program based on the carrier out of environmentalaudit; and on the basis of common agreement
with the holder of the facility. It is said that elapsing each agreed term, in case of noncompliance,
the environmental authority decides closing down the facility, and this is an executory order.
3.1.3 The changing of destination, property or ceasing of facility
In such cases, the former owner of the facility generating an environmental impact is
obliged to carry out the environmental audit in order to establish the obligations related to
environmental rehabilitation within impacting area. The environmental authority is checking
the audit and establishes the compliance program.
As will be seen, at the initiative of the Ministry of Waters, Forests, and Environmental
Protection and other factors a number of existing facilities already started taking a range of
actions in order to prepare themselves to meet environmental requirements. Also the above
provisions underline the importance of the compliance program in bringing the polluting facilities
into conformity with the law. Lastly the establishment of the permittee status provides legal
justification for procedural requirements which may be imposed and enforced immediately
even though substantive compliance is delayed.
A notable remark is that the Environmental Protection Law is paying attention to public
participation, education and awareness. In addition, it also introduces incentives, e.g. tax
exemption, specific rewards and other similar exemptions, which have already been
experienced as attractive methods to influence public behavior in regard to environmental
concern.
3.2 The "lists" approach: an open way towards innovative actions
As mentioned earlier, between 1990 and 1994 there has been a significant reduction
in emissionsand discharges into environmentin comparisonwith 1989, due mainly to production
cutback.5 Partly, this is also the result of actions taken in 'hot spots" to improve technology and
reduce pollution with an aim to mitigate the environment.
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1006 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
At an early stage (1993) of the process strategy at the initiative of the Ministry of
Waters, Forests, and EnvironmentalProtection lists were made6 identifyingbothlocalitieshaving
the major sources of air pollution and other environmental constituents pollution, as well as the
major sources of water pollution.7
One of the two main lists contained44 localities, including 14 hot spots focused primarily
on items such as: the locality; the kind of pollutants; the annual medium concentration; and the
allowable maximum concentration within 24 hours and the frequency of exceeding of allowable
maximum concentration.
The other list focused on the hydrographic basins, the kind of industries (activities)
and the facilities that were the major violators of the water laws and regulations. It identified
over 110 major violators, e.g. different kind of industrial, zootechnical, energy producing, food
producing plants.
Towards violators a range of coercive measures were taken such as: inspections,
compliance visits, fines authorization withdrawn, few prosecutions, but not even one successful
prosecution. What seems worthy of mentioning is that, during 1991 to 1994, the major polluting
plants primarily involving metallurgical, chemical, refineries plants were compelled to install
water and air polluting control equipment required for initial compliance.
Here, it is interesting to mention among such actions:
• the supplementary catching of the black "snow" of Carbon at CARBOSIN
chemical plant in Copsa Mica;
• prevention of air pollution by powders, sulfur dioxide (SO2) and Carbon
dioxide at SIDEX metallurgical plant in Galati;
• modernization of the treatment water system and of air protection by setting
up of an electrofilter at FIBREX chemical plant in Savinesti;
• improvements, including erection of a 350m. chimney at PHOENIX sulfur
acid plant in Baia Mare;
• enlarging the acid pitch-pit at PETROTEL in Ploiesti;
• expanding the municipal stations of waste water treatment in Arad and
Satu Mare; and
• small particulate control equipment at ARLO nonferrous plant in Slatina.8
The results of the above mentioned actions rapidly proved their ameliorative effects
on the environment and economically they turn to be profitable and inspiring for more ambitious
and innovative actions, moving towards voluntary compliance.
A notable example of a successful specific program is the setting up of the gas filter
bags at ROMPLUMB smelter, in Baia Mare. This equipment induced lead recovery instead of
holding back (reduction) in such a quantity which is enough to supply the raw material at
ROMPLEMB for about 1.5 months per year.9 It is just one example from which people can
learn about others experience.
Moreover, other plants, as for instance, ARLO in Slatina went beyond and took
innovative and sensitive actions in respect of health and comfort of inhabitants. In 1995, ARLO
experienced a number of initiatives, e.g. supporting a part of heating cost for inhabitants in the
area, offering a daily meal for its workers, free of charge medical care, treatment and medicines
in case of workers illness. The practice of some facilities to offer a free of charge two weeks
vacation for their workers' children is more common.
The general state of the pollutants emitted in the air could be illustrated by pointing out
few examples out of those given in the process of Environmental Strategy in Romania.
-------
POPESCU, DllMITRA 1007
Such few examples referring to the specific emissions of pollutants in the air (kg. per
capita/year) are as follows.10
• the Carbon dioxide (C02) decreased from 8563.0 in 1989 to 5299.1 in
1993;
• the Carbon monoxide (CO) decreased from 143.0 in 1989 to 104.9 in
1993; and
• the Sulfur oxide (SOX) decreased from 65.1 in 1989 to 40.0 in 1993.
The main contributors to pollutants emissions were the energy generating plants which
accounted for 70% of total sulfur oxide, and industries which accounted for 75 to 80% of total
Carbon dioxide and monoxide.11
Globally, throughout the country the pollution level is about the same as the medium
pollution level in Europe, in 1990. In respect to some pollutants, e.g. S02, CO2, the pollution
levels are even lower in Romania in comparison with other countries.12.
However the pollution is still severe in the areas of major polluting sources, e. g., Baia
Mare, Copsa Mica, Ploiesti due to metallurgical industry, chemical and petrochemical industries,
and other industries and activities.
To illustrate this we mention that in 1993 the systematic measurements of pollutant
concentrations have been carried out in over 50 cities with areas of major polluting sources.
The data obtained reveal that in respect to Nitrogen dioxide (NO2), Sulfur dioxide (SO2) and
Ammonium (NH3) the medium annual concentrations exceeded the allowable maximum
concentrations in three cities only (Baja Mare, Brasov, Ploiesti), whereas the maximum
concentrations on 24 hours exceeded allowable maximum concentrations with a frequency of
over25% in about 20 cities.13 The situation is similar for other types of pollutants. The pollution
is due to either old technology or the absence of gas filter bags or other equipment.
Regarding surface water quality the same factors contributed to improvement in all
those four water categories. For instance, in comparison with 1989 to 1991 the water quality
has improved in the first and third categories as follows:14
• In 1989 the water of first category represented 35% out of 20,500 km,
whereas in 1993 it represented 54% out of 20,500 km.
• In 1989 the water of third category represented 18% out of 20,500 km,
whereas in 1993 it represented 11%.
• Still we have 15% of the total water courses, which is very polluted, that it
is harmful to fish life.
In Romania there are 2770 stations for waste water treatment, but out of this number
300 do not operate, whereas 535 are poorly operating.15
The groundwater is also in certain areas polluted with ammonium nitrate and less
frequently with phosphates and others.
Waste management constitutes an important issue of the Romanian environmental
policy. In spite of this, waste management has not yet been strongly organized. The increasing
quantity of industrial wastes and municipal and household wastes has a negative impact on
environment and imperil human health. In 1993 the generated wastes have been estimated at
268 million tons (that means 98 tons less than in 1992), out of which 260 million tons represent
industrial wastes and 8 million tons municipal and household waste, out of which 92% were
wastes generated by treatment of industrial waste waters. The $8 million cost allocated to the
number of inhabitants represent about 0.92 kg per capita/day.16
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1008 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The reuse of wastes is at the very low level, except wastes wood, copper, lead, zinc,
paper, and glass. Landfills are the predominant means of disposal, but most of them are
operated in a rudimentary manner. There are no incinerators for hazardous wastes.
Therefore, taking account of the great danger the hazardous wastes and other kind of
wastes pose for human health and the environment there is an urgent need for specific actions.
4 INCREASING ENVIRONMENTAL COMPLIANCE AND
ENFORCEMENT THROUGH PRIORITY OBJECTIVES, MORE
TARGETING AND COMBINING CONTENT
During 1995 the Environmental Strategy and the National Environmental Action Plan
were completed. In the September 1995 Report on the National Environmental Action Plan
guided by priority criteria, e.g., human health, sustainable development, 21 priority objectives
were established such as:17
• modernization and technological advances in pollution reduction by means
of efficiency of water treatment and emissions recovery;
• waste technology updating;
• solving the 14 "hot spots";
• acid rains by SOX NOXemissions abatement;
• solid waste management;
• the improvement of production process;
• environmental restoration;
• environmental auditing;
• integrate monitoring and self-monitoring;
• public participation and awareness;
• finalization the investments for environmental protection which are already
in line;
• biodiversity conservation (e.g. the Danube River Delta the Black Sea
Coast, human settlements); and
• the implementation of international treaties.
These priority objectives are reflected in a quite big number of priority projects with
time frames for carrying them out and proposed investments. The National Environmental
Action Plan contains a number of 296 priority projects.18
Out of these 296 projects 102 (34.3%) are projects, included in a list, on short term,
for which the amount of 935 billion lei is allocated (see notes, US$ =1850 lei). The proposed
financing sources are: 418 billions lei from the state budget; 159 billion lei own sources; and
358 billions lei equivalentfrom external sources. The other 194 (65.7%) are projects on medium
term for which the amount of 1780 billion lei is allocated.19
The completed form of the National Environmental Action Plan gives priority to the hot
spots. Thus, out of 102 projects, 41 projects are considered selected project and included in a
special list. The amount of money allocated is provided for per year.
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POPESCU, DUMITRA 1009
4.1 The projects and their goals
The carrying out of a project might involve many goals such as water, air and waste
equipment and installation. That would benefit to all these environmental constituents and
might prove economically profitable.
The overwhelming majority of proposed projects are designated to determine the
reduction of gas inducing the greenhouseeffect and the minimizationof gas emissions depleting
the ozone layer.20 To give a few examples of proposed specific goals we mention the reduction
by 7.7% of SOx, 4% of NOx, and 0.23% of C02 by the end of year 2000.
As regards sectorial achievements, e.g., air protection in the following 3 to 4 years the
industrial priority projects on short term are estimated to contribute to reduce polluting emissions
from 2% up to 10% in comparison with 1989.
In respect to surface and underground waters the estimations are that in comparison
with 1989, the quality of surface water shall improve diminishing the degraded water, and the
third water category by about 8 to 10%. During the same time period the water pollution
indicators, inter alia, Biochemical Oxygen Demand will decrease by 15%.21
To give an idea about proposed priority projects i.e., their area, goals, the time frame
and the allocated investments we selected out of the 41 projects a number of 21, which are
presented, according to our own scheme, in annex 1.
5 CONCLUSIONS
From the above analysis few remarks could be pointed out. The regulatory framework
and its enforcement did not reach the required levels yet, but it is in the process of improvement,
especially with the coming into being of the new environmental framework law. Still other
obstacles are interfering. However, Romania made her choice to promote compliance and
enforcement by means destined to make use of more adequate and profitable mechanisms
and to continue to take coercive actions when such actions are justified and needed.
The established objectives aim at pollution reduction and securing human health and
sustainable development, introducing incentives and disincentives, enlarging number of actors
involved in environmentalenforcementwill positively influence public behaviortowards voluntary
compliance.
REFERENCES
1. Hall, J. In: Gerardu, Jo, Wasserman, Cheryl (Eds), Third International Conference on
Environmental Enforcement, Conference Proceedings, vol. I, April 25 to 28,1994
Oaxaca, Mexico, pp. 505-506. Proceedings, Mexico, 1994.
2. Government Decision no 457/1994
3. Popescu, D. In: Proceedings, Mexico, 1994, Vol. 2, pp. 117-122.
4. Kajura, H.M. In: Proceedings, Mexico, 1994, Vol. I, pp. 517-523.
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1010 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
5. Romania, Ministry of Waters, Forests, and Environmental Protection, Environmental
Protection Strategy, Draft (the Romanian version used), Bucharest, 1994, p. 34.
thereafter, Environmental Strategy, 1994.
6. The method reflects the other experience, Heuvelen, R. and Rosenberg, P. In: proceed-
ings, Mexico, 1994, Vol. I, pp. 164-173.
7. The Environmental Strategy, 1994, p.30.
8. Idem, pp. 100;100-103.
9. Idem, p.34-35.
10. ldem,p.33.
11. Idem, p.36.
12. Idem p. 34.
13. ldem,p.48.
14. Idem, 51-58.
15. Idem, pp. 51-63.
16. Idem, p,. 77; 78.
17. Romania, Ministry of Waters, Forests, and Environmental Protection, Report on The
National Environmental Action Program, Synthesize, Bucharest, 1995, Thereafter,
Report.
18. Idem pp. 12-13.
19. Report, p.22.
20. Report, p.24.
21. Idem, p. 24-25.
Notes: At the time of proposed investments, US $ =1850 lei. The year 1989 is taken as year
of reference in emphasizing the pollution reduction, due to production cutback. The 20,000 km
represent the length water of reference.
-------
POPESCU, DUMITRA 1011
Annex 1
A Selective List of "Hot Spots" Priority Projects
and Appropriate investments included in the
N EAP on Short Term
1*
0
1
2
3
4
5
"Hot Spots"
1
BAIAMARE
CODLEA
COPSAMICA
CRAIOVA
GALATI
Objectl-
VM
No
2
3
1
3
2
2
PROJECTS
Objective
3
1.1.
1.2.
1.3.
2.1
3.1
3.2
3.3
4.1
42
5.1
5.2
Projects goal*
(targets)
4
Increasing output
holding back of SOj at
PHOENIX S.A
Baia Mare
Ecological
rehabilitation of
agricultural soil,
Baia Mare
Cleaning up of
workplace,
modernization of
interphaiic transport
and of metallurgical
fumance at S.C.
ROMPLUMB
Baia Mare.
Waste water treatment
atS.C. COLOROM
3.A
Equipment
modernization at
nonferous
metallurgical
3OMETRA S.A
Copia Mica
Gradual increasing of
3Oi recovering at
3OMETRA3.A
Copsa Mica
Afforestation Copsa
Mica
Waste Water treatment
Craiova
Modernization of
Nitrogen acid
installations n and HI
itDOLJCHIM.S.A
Craiova
Modernization of
distilling and
despowderization
installation and
pollution reduction at
S.C. 3IDEX Galati
Despowderization and
recoverej of CO out of
converter gases OLD1 ,
OLD3,UORlaC.S.
STOEX 3 A Galati
Short Urm propoied Investments
1996
S
14400
1209
rm
13526
2424
8640
2000
10,000
5667
10000
3000
1997
6
35000
1500
3775
13526
2424
8640
5000
10,922
5667
10000
8133
1998
7
35000
1500
3775
13526
2424
8640
5000
5667
10000
8133
1999
8
3775
8640
5000
8134
2000
9
8640
5.000
Total
Investments
10
84400
4209
15100
40579
7272
43200
22000
20,922
17,001
30000
32400
11
103709
40579
72,742
37,923:
62,400
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1012
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Annex 1 (continued)
0
6
7
S
9
10
11
12
1
ORADIA
PITESTI
PLOIESTI
TURDA
TORNU
MAGURKLE
VALEA
CALUGA-
REASCA
ZLATNA
2
2
1
2
1
1
2
2
3
6.1
6.2
7.1
8.1
8.2
9.1
10.1
11. 1
11.2
12.1
12.2
4
Main household sewer
Crisul Repede.Oradea
Modernization of
waste water treatment
of Oradea town
Wastes household
management, Pitesti
Modernization of
installation DORS
PETROTELPloiesti
Modernization of
treatment station at
3.C. PETROTELS.A
Ploiesti
Installation of
electrolysis at S.C.
UCTTurda
Modernization of
Nitrogen acid
insulation H and m
TURNUS.A,
TumuMagurele
Modernization of
Sulphur acid
installation out of
pyrites
ROMF03FOCHIM
S.A
Valea Calugareasca
Operation
improvement of
phosphorus acid
installation at
ROMFOSFOCHIM
S.A
Valea Cqalugareasca.
Building ecological
instalations on the
AMPELLUM plant
platform, Zlatna.
Ecological
rehabilitation work,
Zlatna
5
1500
4000
300
2000
1870
30000
17553
24133
3807
MOO
3,442
6
1000
3500
10000
2000
1870
30000
17553
24133
3807
3.442
7
500
3040
9614
2000
1870
20410
17553
24133
3807
3,442
8
3,442
9
3,442
10
3000
10540
18914
6000
5610
80410
52660
72400
11420
16400
17,210
11
13,540
18914
11,610
80410
52,660
83,820
22,610
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HOMCHEAN, KASEMSRI 1013
THAILAND'S ENVIRONMENTAL ENFORCEMENT PROGRAM
HOMCHEAN, KASEMSRI
Director, Environmental Control and Safety Division, Industrial Estate Authority of
Thailand, 618 Nikhom Makkasan Road, Rajathevee, Bangkok 10400, Thailand
SUMMARY
Specific enforcement in the area of industrial estate is mentioned. Some integrated
strategies of service and enforcement have been applied. Service fee can include penalty
cost. Finally, third party (no power) inspection is applied together with efficiently service.
1 ENVIRONMENTAL MANAGEMENT OF INDUSTRIAL ESTATE IN
THAILAND
1.1 Background
The Industrial Estate Authority of Thailand (IEAT) was established in 1972, to support
the systematic and orderly development of industries.
Thailand has seen a vast explosion of industrial production over the past few years.
Strong governmental support has increased the progress of such development and has made
possible some outstanding feats of organizational and logistic achievement.
However amongst the success of increased production and the subsequent economic
benefits that have been accrued it must be remembered that the costs of production are not
only economic but also social and environmental.
1.2 Roles and activities
In 1972 in order to install some kind of brake and control on this problem it was decided
to set up the Industrial Estate Authority of Thailand.
The authority is in place for a number of reasons, primarily it functions to ensure that a
cohesive industrial development planning and zoning system can be maintained.
The authority is also concerned with the orchestration and evolution of environmental
management involved with new industry within the estates. At present there are 23 estates
throughout Thailand and will raise up to 54 in the year 2001.
Further, the authority is at liberty to ease problems caused by a malfunctioning
infrastructure by installing a central wastewater treatment system, solid waste treatment and
disposal facilities, water supply system, electricity distribution line system, telephone and road
network within all of the industrial estates
In addition to these tasks the authority is also in a good situation to select the most
suitable location where less environmental impact to communities. Industrial estates are in
fact self-contained communities complete with their own infrastructure commercial banks,
shopping centers and residential area.
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1014 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The Pollution Control Department has authority to monitor environmental quality, for
example, quality of rivers, sea water, ambient air, etc. in industrial estates and surroundings.
The monitoring report will be sent forward to Industrial Estate Authority of Thailand as information
for pollution control strategies.
1.3 Enforcement policy
The authority is a semipublicgovernmentagency existing underthe Ministry of Industry.
The agency is chartered to carry out the government's industrial development policy in harmony
with the environment. The Industrial Estate Authority of Thailand seeks to maintain the highest
standards at its industrial estates. For this reason, the authority sets very strict regulations
over industries located within the boundary of each estates. According to national strategy
documents and ministerial speeches, the Thai government has based its environmental policy
on the "Polluter-Pays-Principle". The Industrial Estate Authority of Thailand had experience in
the application of the Polluter Pays Principle through a system of pollution charges to industries
which make use of common waste treatment facilities for many years. The charge formula
employed in industrial estates builds from investment cost, operate and maintenance cost,
variable cost (depends on the biological oxygen demand -BOD loading) and penalty costs.
Extra charges or penalty costs are imposed for industries contributing wastewater exceeding
influent standard to the central wastewater treatment facility.
2 CENTRAL POLLUTION CONTROL FACILITIES PROVISION
2.1 Design criteria for control facilities preparation
2.1.1 Solid waste generation
a) Industrial zone 18 kg/rai*/day
b) Residential and commercial zone 0.8 kg/rai*day
2.1.2 Hazardous generation estimate 5 % of total solid waste
2.1.3 Water use
a) Industrialzone 7-9 m3/rai*/day
b) Residential zone 8-503/rai*/day
according to type of building
c) Office and commercial zone 20 m3/rai*/day
* Note: 1 acre = 2.5 rai
2.1.4 Wastewater discharge
Amount of wastewater estimated 80% of water consumption plus 10% of infiltration
into collection system.
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HOMCHEAN, KASEMSRI 1015
2.2 Operation and maintenance
The Industrial Estate Authority of Thailand dispatches managers and their staff to
operate and maintain facilities in good condition as well as to integrate permits and inspect
industries. Since 1994 Industrial Estate Authority of Thailand has allocated only the job of
operation and maintenance to private professional contractors.
3 ENFORCEMENT IMPLEMENTATION
3.1 Wastewater pretreatment
Pretreatment process on-site of each industry will be required before discharging to
the central unit if quality of influent is beyond acceptable limit of design. This process must be
approved before issuing a permit license. The acceptable parameters are shown in Table 1.
The expected effluent quality will meet the standards, set forth by government authorities as in
Table 2 and must be monitored by other government agencies.
3.2 Air pollution
Major source of air pollution comes from exhaust gas of incinerators and stacks.
Thereby all factories must conform both the air emission standards as shown in Table 3 and
maximum allowable emission rate at different height of stack recommended by the EIA report
of the specific estate location. Some examples are shown in Table 4.
3.3 Solid waste disposal
3.3.1 General waste
Industrial Estate Authority of Thailand provides either incinerator or sanitary landfill as
a central unit for each estate both for industrial zone and residential commercial zone.
3.3.2 Hazardous waste
Since there is no final disposal for hazardous waste in Thailand, all industries must
store their own waste at place and report to Industrial Estate Authority of Thailand when need
to transport to other places. For new estate, Industrial Estate Authority of Thailand provides
central hazardous wastestorage house up to 3,000 square meter to collect waste at least 5
years.
4 CONCLUSION
In supplementary of enforcement, Industrial Estate Authority of Thailand promote high
standards performance in industry by giving annual awards under the title "Best Factories
Awards". A competition which allows the best factory to be acknowledgefor their high standards
of workmanship, organization and working condition will regularly highlight under criteria,
covering all aspect of operations. Efficiency in organizational management, efficiency
production process, environment and energy conservation, safety and bio-sanitation, and social
responsibilities are concerned topics for judging. Industrial Estate Authority of Thailand do
hope that strategies mentioned above will create an effective compliance and enforcement
action and also appreciate for recommendation to motivate compliance behavior.
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1016 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Table 1. Acceptable Characteristics for Central Wastewater Treatment,
Process
1. Average BODS = 500 mg/l
2. Average Suspended Solids = 200 mg/l
3. pH = 5.0 - 9.01
4. Temperature = 45 °C
5. Sulfide as hydrogen sulfide = 5 mg/l
6. Cyanide as hydrogen cyanide = 2 mg/l
7. Oil and Grease = 10 mg/l
8. Tar =10 mg/l
9. Formaldehyde = 2 mg/l
10. Phenol and Cresols = I mg/l
11. Free Chlorine = 5 mg/l
12. Insecticide = none
13. Radioactive compound = none
14. Fluoride (F) = 5 mg/l
15. Free Ammonia = 5 mg/l
16. Total ammonia Nitrogen as N = 50 mg/l
17. Mercury and Mercury Compound = 0.005 mg/l
18. Soluble Iron and Manganese = 10 mg/l
19. Chromium, Arsenic, Silver,
Selenium, Lead, Nickel, Barium,
Copper, Cadmium, Total or Each = 1 mg/l
20. Other materials that should not
discharge into the waste water
pipeline
- High viscosity material
- Setteable solids that Cause pipe
clogging
- Calcium Carbide Sludge
21. Synthetic Detergent = 30 mg/l
22. Chloride (Cl) as Chlorine = 2,000 mg/l
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HOMCHEAN, KASEMSRI 1017
Table 2. Industrial Effluent Standards Ministry of Industry (1982)
Parameter
Allowable Concentration
1. pH
2. Permanganate
3. Dissolved Solids
Discharge into Water Course:
Discharge into sea or estuaries
(Salinity higher than 2,000 mg/l):
4. Sulfide as H2S
5. Cyanide as HCN
6. Heavy metals:
_ Zinc
Chromium
Arsenic
Copper
_ Mercury
Cadmium
Barium
_ Selenium
Lead
_ Nickel
Manganese
7. Tar
8. Oil & Grease
9. Formaldehyde
10. Phenols & Cresol
11. Free Chlorine
12. Insecticides and radioactive
active substance
Between 5.0 and 9.0
60 mg/l
2,000 mg/l or more but not exceedin
5,000 mg/l depending upon
discharging point
5,000 mg/l higher than dissolved sol
content in sea or estuary water
1.0 mg/l
0.2 mg/l
5.0 mg/l
0.5 mg/l
0.25 mg/l
1.0 mg/l
0.005 mg/l
0.03 mg/l
1.0 mg/l
0.2 mg/l
0.2 mg/l
0.2 mg/l
5.0 mg/l
Nil
5.0 mg/l
(Except for crude oil refinery and
lubricant blending plant:
less than 15 mg/l)
1.0 mg/l
1.0 mg/l
1.0 mg/l
Nil
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1018
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Table 3. Industrial Emission Standards by Ministry of Industry (B.E. 2536)
No.
Substances
Sources
Standard Values
Particulate
2 Antimony
3 Arsenic
4 Copper
5 Lead
6 Chlorine
7 Hydrogen Chloride
8 Mercury
9 Carbon monoxide
10 Sulfuricacid
11 Hydrogen Sulfide
12 Sulfurdioxide
13 Oxides of Nitrogen
(measure in NO2 form)
14 Xylene
Boiler & Furnace
- heavy oil as fuel
- Coal as fuel
- Other fuel
- Steel or Aluminum
Manufacturing
- Other source
any source
any source
Furnace or smelter
any source
any source
any source
any source
any source
any source
any source
H2SO4 production
Boiler
- Coal as fuel
- Other fuel
any source
300 mg/m3
400 mg/m3
400 mg/m3
300 mg/m3
400 mg/m3
20 mg/m3
20 mg/m3
30 mg/m3
30 mg/m3
30 mg/m3
200 mg/m3
3 mg/m3
1,000 mg/m3 or 870 ppm
100 mg/m3 or 25 ppm
140 mg/m3 or 100 ppm
1,300 mg/m3 or 500 ppm
940 mg/m3 or 500 ppm
470 mg/m3 or 250 ppm
870 mg/m3 or 200 ppm
Remark: Standard Values are measured at 1 atm 25 °c from stack emission.
Table 4. Emission Loading of Map Ta Phut Air Emission for each industry
Parameter
Allowable Emission Loading
kg/hectare-day
CO
NOX
SOX
TSP
2,579
13
13.5
7.5
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HOMCHEAN, KASEMSRI 1019
Figure 1
INDUSTRIAL ESTATE ( PROPOSED )
( 1995-2001 )
•fr CHIANG RAI
CHIANG
ft HHWAE
ft PHITSANULOK
O PHICHIT
ft NAKHON SAYYA
"& LOP BUKI
& KANCHANAB^RI
ft SUM I AN BUR
ft RAKHAP.URI
ft RANONC
URAT THANI
I -&PATTANI
NONC KIIAI
KMON KACN
UBON
RAKHAUIArv
SRISAKEl
BURIRAM
iVSURIN
ft PRACUINBURI
ft NAKHON NAYOK
ft PMETCHABURI
ft STEEL BASED
INDUSTRIAL COMPL
(PRACHUAP KHIIRyKHAN)
•^ CIIUMPIION
ft SURAT THANI
ft NAKHON SI
THAMMARAT
•fr KRABI
"ft TRANC
QSONCKHLA
(CHALUNC)
•& 5ATUN
RAYONC
ft CHAQTOENSAO
LAEM CHABANC II
(CHONBURI)
ft UNDERSTUDY
UNDCR CONSTRUCTION
PRINCIPLE PROVINCES
PREPARED BY IEAT.
APR/95
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1020
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Figure 2
INDUSTRIAL ESTATE [ BY TYPE OF INDUSTRY ]
ELECTRONICS
CERAMIC
AGRO-MACHINERY
AGRO-INDUSTRY
TEXTILES
AGRO-INDUSTRY
PAPER
PRODUCTS
Q3
PETROLEUM
PETRO-CHEMICAL
AUTOMOBILE *
SPARE PARTS
STEEL/
IRON
PALM OIL
RUBBER PRODUCTS
FOOD CANNING
PMMMDKT
IMDUSTHIAL ITtATI
AWTMOKITT or THMIAMO
-------
LYGIS, DANIUS 1021
THE RANGE OF LEGAL ENFORCEMENT TOOLS IN LITHUANIA AND
PROBLEMS
LYGIS, DANIUS
Environmental Advisor to Environmental Committee, Seimas (Parliament) of the Republic
of Lithuania, 53 Gedirninas Avenue, Vilnius 2002, Lithuania
SUMMARY
The purpose of this paper is to give an overview of the environment protection history
and administration structure in the Republic of Lithuania. It will cover main legislative and
normative instruments being used, and environmental protection problems. It will also analyze
main causes why legal Instruments not always bring expected results.
1 INTRODUCTION
1.1 Historical background and administrative framework
Lithuania is a country in Eastern Europe situated on the East Shore of the Baltic sea.
The Republic of Lithuania covers an area of approximately 65,300 square kilometers and it
has 3.7 million inhabitants. It is divided into 10 regions and 44 districts. The forests cover
30% of area; and water, 1.5%. 11.4% of the total area of the country is protected; and there are
4 reservations, 5 national parks, and 30 regional parks. The national nature framework which
consist of all protected areas and natural complexes provides environmental stability in the
whole territory. Traditional elements of protection come from ancient ages, but the beginning
of official nature protection in Lithuania is considered to be a year of 1957 when the
Environmental Protection Committee was established. The functions of this Committee were
to regulate and control usage of natural resources and to register and proclaim natural objects
protected by state. In 1990 when the independence of Lithuania was restored, the Nature
Protection Committee was reorganized into the Nature Protection Department with extended
structure and functions. In 1994 the Nature Protection Department which was under
Parliamentary control was reorganized into Environment Protection Ministry which is now
responsibleto the Government. The main functions of this Ministry are preparationof normative
documents and laws, implementation of monitoring programs, regulation and control of usage
of natural resources. The Ministry has 8 regional departments and 56 Inspection Agencies.
There are approximately 1500 people working in the environmental protection system. There
Local Environment Protection Departments in all the 56 Local Municipalities, their function is
to implement state, regional and local environmental protection programs. Also there are
many public environmental organizations which activities made official authorities to change
their decisions.
1.2 Financing and priorities of the environment protection
At the present time the main priority is construction and renovation of sewage treatment
plants, for this purpose 4% of the national budget is allocated. Nowadays about 20% of sewage
is released into water basins without any treatment. It is expected that, if state and foreign
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1022 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
institutions continue support for environmental projects, by the year 2000 only 8% of sewage
will be released into water basins without any treatment. The second priority is conservation of
biological variance and natural biotopes. Also a lot of attention is paid to the preparation of
the territorial planning documents and implementation. Ambient air quality in our country is
mainly defined by pollution from the neighboring industrial countries. The air quality in the
major cities is constantly bad because of increasing number of cars, especially by uncontrolled
import from western countries of old used cars. Mainly these old cars and tires come into our
country as industrial waste. The environmental laws in our country prohibit such import of
industrial waste, but our environmental protection authorities are unable to control this process
without international cooperation. Another problem is big amounts of overstocked pesticides,
whose utilization (burning in cement plant) is very complex because of protests of local
authorities.
2 THE RANGE OF LEGAL ENFORCEMENT TOOLS
2.1 The laws
There are not many main laws regulating environmental protection. The strictest of
them is Criminal code which foresees the possibility to put a person into jail when one constantly
trespasses environment protection laws or without permission uses a chemical or radioactive
material. In practice such cases are very rare. The Administrative Code is applied more often.
Fines are in wide range from 1 US$ to 100,000 US$ that depends on the criminal category.
Beside a fine, an offender also has to pay compensation for harm to nature. The person who
had shot an animal without a license has to pay a fine equal to 120 US$ and compensation up
to 2500 US$ also hunting weapons could be confiscated. All money collected from fines and
compensations come into the Environment Protection Fund account. This fund is controlled by
the Environmental Protection Ministry. 40% of funds from this fund are used to compensate
damage done to nature, 30% of funds are used for remuneration of employees (inspectors)
and the rest of the funds are used for education, social work and other purposes.
The Law On Pollution Taxes regulates relations between the polluter and the
environment. There are set standards for acceptable pollution. 70% of these taxes are
transferred to environmental protection funds of local municipalities and 30% are transferred
into state budgets. The Law On The Taxes For Using Natural Resources sets main taxes for
each natural resource used in the Republic of Lithuania. These taxes go to the budget of the
Republic. The Law On Protected Areas establishesa system of protected areas, sets objectives
and status of each protected area. The Law also regulates the management system, allows
types of activities and ownership forms in these areas.
2.2 The regulations
When the privatization of land, forests and other natural resources started "Conditions
For Use of Land And Forest" were prepared. According to this document when an owner
receives a land deed it establishes the compulsory conditions for the usage of owned land or
forest. If a prospective owner does not agree with proposed conditions then land or forest is
not given to him. If the owner obtained land in a protected area or close to a water basin where
economic activity is restricted and started prohibited activities he has to stop doing that and
also has to pay fines, compensations set by the law.
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LYGIS, DANIUS 1023
The "Order Of Estimating Of Damage Done For Nature" is the document according to
which the damage done for nature is estimated and amounts of necessary compensations are
calculated. This methodology is quite complex and always has subjective elements. In courts
there are a lot of disputes for evaluation of indirect damages with lengthy periods. In order to
solve these disputes high naturalist qualifications are required.
2.3 Enforcement and problems
We named only principal laws and directives which, in our opinion, are enforced regularly
and have the greatest influence on the whole of environmental protection. New environmental
standards and regulations are generated constantly, also a harmonizationof all legal documents
using the same documents the European Union started. The specialists from the European
Union are assisting in creation of new laws, but differences in social and economic conditions
do not allow us to use their experience in the full scale. If we accept foreign specialists
recommendations not adapted to local conditions we can cause more damage to nature. Some
standards in our country are and have to be more strict than abroad mostly because of different
sensitivity of ecosystems to the antrophogenical influence. The law on pollution taxes is
ineffective because it does not encourage local authorities to build new sewage treatment
plants. At the present time it is cheaper to release untreated water than to clean it. This is
mostly a political problem, politicians do not want to impose new taxes, and in places where
water treatment plants are working users have to pay more for clean water.
Land reform and the privatization process are implemented quickly so environmental
protection agencies can't follow and control this process. It is clear that when the state puts
some restrictions on a land owner it has to pay compensation but now state budgets do not
allow us to do that in full scale. Compensation amounts do not satisfy land owners so they go
against the law. Taxes for natural resources, which are not big compared with ones in industrial
states, promote natural resources export. The State has an interest that local enterprises use
these resourcesand give employeesjobs and pay taxes. The current policy does not encourage
rational usage of natural resources. Air and water pollution migrate from one country to another
is also becoming a very urgent international problem. Interested foreign companies use
economic means to pressure Lithuanian authorities to accept huge quantities of waste oil
products and other hazardous chemical materials for utilization In our electric power plants
which are not designed for this purpose. This time we did not agree with that, but who knows
if this lasts for long, if this will not be prohibited by international treaties.
3 CONCLUSION
Legal environment protection tools are effective only when they are combined with
economic possibilities of a country. Environmental protection nowadays crosses national
borders especially in areas of pollution regulation and rational use of natural resources.
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1024 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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BLENKERS, JOOP; DDLS, NIEKOL; AND LINDEN, PETER 1025
LICENSING AND ENFORCEMENT AT MUNICIPAL AND PROVINCIAL LEVEL
IN NORTH BRABANT: DEVELOPMENTS IN RECENT YEARS
BLENKERS, JOOP; DDLS, NIEKOL; AND LINDEN, PETER
Regional Inspectorate for the Environment in the Province of North Brabant, P.O. Box
6195,5600 HD Eindhoven, The Netherlands
SUMMARY
This article examines the efforts made in recentyearsby municipalitiesin North Brabant
(The Netherlands) and by the governing authority of the province itself to overcome the backlog
in licensing and enforcement of the Environmental Management Act. Dutch central government
has been contributing no less than 500 million guilders since 1990 to the efforts to eliminate
these backlogs and to implement environmental responsibilities arising from the National
Environmental Policy Plan. The funds are mainly used to recruit additional manpower to
discharge these environmental responsibilities.
1 INTRODUCTION
During the mid 1980s, environmental licensing and enforcement of licensing provisions
and environmental regulations received increasing attention from municipalities and provinces
in the Netherlands.1 This growing attention was primarily a result of the recognition within
political circles and society at large of the severity of the environmental problem in the
Netherlands, which is so densely populated. At that moment there were major backlogs in
licensing and enforcementbymunicipalitiesand provinces. To acceleratethe work of eliminating
these backlogs, central government is developing financial assistance schemes (see Section
2). These have been found to be of enormous assistance to these authorities in implementing
environmental policy in an orderly manner.
The expectation is that virtually all companies subject to licensing in the Netherlands
will have an adequate environmental licence by January 1,1997, and that they will be regularly
monitored, in accordance with agreed inspection schedules.
Since the end of the 1980s, municipalities have been working together in what are
termed regional cooperative associations in implementing environmental policy. These are
clusters of municipalitiesthat work together on theenvironmentand in other areas. The province
of North Brabant has six such cooperative associations. One large municipality (central
municipality) or a joint regional environmental centre provides support in terms of environmental
technology, with licensing and enforcement as its main task. Cooperation plays an important
and indispensablepart in the implementationof environmentalpolicy by municipalities. Regional
cooperation on the environment is now something beyond dispute, and certainly in the province
of North Brabant (Figure 1), which accommodates 120 municipalities varying in numbers of
inhabitants from 2000 to almost 200,000.
Enforcement was given a major boost in 1991 by the setting-up of enforcement
coordination centres, within the regional environmental centers or central municipalities. The
task of enforcement against companies placing the heaviest load on the environment within
the areas covered by the cooperative associations is implemented and coordinated from within
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1026 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Figure 1. The province of North Brabant is situated in the Southern part of the
Netherlands
these coordination centers. The aim is to achieve the greatest possible uniformity in
enforcement. These efforts to achieve uniformity are not confined to the cooperative
associations but also apply on a provincial and national scale. And when it comes to
enforcement of environmental legislation, the centres cooperate with other municipalities, the
province, the water quality management agencies, the Department of Public Prosecutions, the
Police and the Inspectorate for the Environment.
2 A CLOSER ANALYSIS OF THE FINANCIAL ASSISTANCE SCHEMES
IN THE NETHERLANDS
2.1 Introduction
At the end of the 1980s, central government developed financial assistance schemes
in close consultation with the provinces and the Association of Netherlands Municipalities, with
a view to overcoming the severe backlog in licensing and enforcement in companies. These
schemes, the Administrative agreement on licensing and enforcement for provinces and the
Contribution decree on the implementation of municipal environmental policy for municipalities,
were designed to recruit extra staff for licensing and enforcement. The Contribution scheme
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BLENKERS, JOOP; DDLS, NIEKOL; AND LINDEN, PETER 1027
financing implementation of the National Environmental Policy Plan, which covered
municipalities as well as provinces, was designed to enable these authorities to recruit extra
manpowerto implement environmental responsibilities— otherthan licensing and enforcement
— arising from the National Environmental Policy Plans (ref. 1). The financial assistance
schemes are discussed in further detail in the following sections.
2.2 Administrative agreement on licensing and enforcement (provinces)
The Administrative agreement on licensing and enforcement came into force in 1991.
Its aim was to achieve a satisfactory level of licensing and enforcement of the Environmental
Management Act by January 1,1995 at the latest. A satisfactory level of implementation implies
that all companies from that date have a licence which is adequate for the purpose and that
they are then inspected in accordance with agreed inspection schedules. The financial resources
made available in this context by the Ministry of Housing, Spatial Planning and the Environment
are designed to strengthen the provinces' manning levels.
Research established at the end of the 1980s that the provinces were short on
manpower by 32 million guilders if they were to be able to achieve and sustain a satisfactory
level of licensing and enforcement. Central government is reimbursing 25 million guilders
annually, by means of the Administrative agreement. The provinces themselves have to make
up the shortfall — though not all of them have yet managed to do so.
2.3 Contribution decree on the implementation of municipal environmental policy
(municipalities)
The Contribution decree on the implementation of municipal environmental policy
(BUGM) came into force on January 1,1990. The main objective of the scheme was to achieve
a satisfactory level of licensing and enforcement of the Environmental Management Act by
January 1,1995 at the latest. With a view to achieving this objective, municipalities were able
to apply under the provisions of the Contribution scheme for a basic financial contribution in
the form of a fixed amount per inhabitant from the Minister of Housing, Spatial Planning and the
Environment. The contribution was intended to be used for the recruitment of manpower for
licensing and enforcement purposes. It is mandatory for municipalities with fewer than 70,000
inhabitants to cooperate. In return for this cooperation, they received an initial premium of 25%
of the basic contribution. Central government made a total of around 50 million guilders per
annum availablefor the scheme. The municipalities themselves were deemed to be contributing
an equal amount from their own resources. The structural costs of implementation, excluding
the elimination of existing backlogs, were estimated at over 100 million guilders per annum at
the end of the 1980s.
2.4 Contribution scheme financing implementation of the National
Environmental Policy Plan (municipalities and provinces)
The Dutch Government adopted the National Environmental Policy Plan and the
National Environmental Policy Plan Plus (ref. 1) in 1989 and 1990 respectively. Those two
plans resulted in a number of action points, in some cases quite comprehensive, for municipal
environmental policy. The action points for municipalities are described in a framework plan,
which sets out a whole range of environmental tasks, such as:
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1028 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• the application of laws in areas other than licensing and enforcement, such
as the provisions in the Housing Act regarding soil investigations and the
prevention of construction on contaminated land;
• policy and implementation plans, such as a segregated collection and
processing of organic household waste, a municipal sewerage plan and
an action plan for energy conservation;
• setting good example, for example in producing environmental (including
energy conservation) management systems; and
• the promotion of good communications and information, for example by
applying good communicationtechniquesin municipal plans and measures
and the active provision of environmental information.
Implementing these action points presented a significant additional workload.
The Contribution scheme financing implementationof the National Environmental Policy
Plan (FUN) came into force in 1991 to enhance implementation of the action points by
municipalities. The Ministry of Housing, Spatial Planning and the Environment gave
municipalities a fixed amount per resident, the total rising from 13 million in 1990 to 43 million
in 1994. Municipalitieswere expected to earmark resources of their own forthese environmental
responsibilities over and above government funding. As with the Contribution scheme, the
Financing scheme aims to foster cooperation between municipalities by financial means. The
provinces have also received funds under this scheme to enable them to discharge provincial
responsibilities under the National Environmental Policy Plan.
2.5 Follow-up contribution scheme for the development of municipal environmental
policy (municipalities)
At the end of 1993 the Minister of Housing, Spatial Planning and the Environment
decided to continue the two schemes for municipalities- the Contribution decree and the
Financing scheme- for three years with effect from January 11,1995 in the form of the Follow-
up contribution scheme for the development of municipal environmental policy (VOGM). This
decision was taken after research had revealed stagnation in implementing the Contribution
decree and Financing schemes2 After this three year period, the municipalities will be free as
from 1 January 1998 to deploy the Follow-up funds as they see fit, including purposes other
than the environment.
The Follow-up scheme is explicitly designed to add a quality dimension to the
discharging of environmental responsibilities by municipalities. In the period covered by the
Contribution scheme, the primary goal was to eliminate backlogs in licensing and enforcement
(quantity in short). In the Follow-up scheme, implementation of the action points of the National
Environmental Policy Plan has been simplified. Municipalities are obliged to make a selection
from the action points for the purposes of implementing the responsibilities of the National
Environmental Policy Plan. Government funding to the tune of 94 million guilders is available
annually for the Follow-up scheme.
Environmental cooperation between municipalities, for example in the form of regional
environmental centres, remains a major condition of eligibility for funds during the period of the
Follow-up scheme.
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BLENKERS, JOOP; DDLS, NIEKOL; AND LINDEN, PETER 1029
3 THE INSPECTORATE FOR THE ENVIRONMENT AND ITS ROLE IN
ASSISTANCE SCHEMES
The Inspectorate for the Environment is part of the Directorate-General for
Environmental Management at the Ministry of Housing, Spatial Planning and the Environment.
The Inspectorate monitors implementation of a large proportion of legislation relating to the
environment. In other words, it ensures that all parties abide by the agreements that have been
made to protect or enhance the environment. The Inspectorate works throughout the country
from nine regional offices, with central control vested in the main branch in The Hague.
The Inspectorate reviews and fosters progress in implementation of environmental
policy, including licensing and enforcement via municipalities and provinces. Each year, they
have to submit an Environmental Report in order to give account of progress in implementation
of environmental policy. On behalf of the Minister, the Inspectorate assesses whether this
progress in individual municipalities and provinces is sufficient for continued eligibility for
environmental subsidies. Agreements are reached with any municipalities or provinces that
are lagging behind, often in the form of action plans, with a view to achieve a satisfactory level
of meeting environmental responsibilities within the foreseeable future. Apart from assessing
the annual environmental reports, the Inspectorate performs studies on its own account into
implementation of the various environmental responsibilities by municipalities and provinces,
particularly into the quality of licensing and enforcement in various categories of companies.
4 DEVELOPMENTS IN LICENSING AND ENFORCEMENT IN THE
MUNICIPALITIES OF NORTH BRABANT
4.1 Staffing levels
As a result of the Contribution (BUGM) and the Financing (FUN) assistance schemes,
the staffing capacity for discharging environmental responsibilities has increased enormously.
Figure 2 illustrates this increase in municipalities in the province of North Brabant for licensing
and enforcement (BUGM) and for tasks arising from the National Environmental Policy Plan
and the National Environmental Policy Plan Plus (FUN). Approximately 75% of total BUGM
capacity is deployed on licensing and 25% on enforcement.
The number of municipal civil servants dedicated to the environment in North Brabant
has tripled since 1990. At present there are no fewer than 600 staff members working daily on
the environment in North Brabant. Approximately 20% (some 120 people) operate from a
regional environmental centre or a central municipality. The staffing capacity on a cooperative
basis rose somewhat in 1994, whilst there was a slight fall in the deployment of staff on the
Contribution scheme (BUGM) and the Financing scheme (FUN). After 1994, a slight rise is
forecast in personnel capacity for implementing the Contributory scheme. These additional
hands will be used to improve the quality of licensing and enforcement. After the remaining
backlogs in licensing and enforcement have been eliminated, the excess capacity is expected
to be used in implementing other environmental tasks (compare Section 2.5, the Follow-up -
VOGM scheme). Attention will particularly focus on the quality of discharging environmental
responsibilities.
In general, manning levels would appear to be sufficient for tackling environmental
policy with sufficient vigor. The Inspectorate does still have some concerns about a group of
municipalities who are lagging behind, and who have too little capacity to discharge
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FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Figure 2. Available staffing capacity for implementing municipal
environmental policy (BUGM, FUN) in North Brabant(S)
400
300
200
Man-years
100--
1990
1991
1992
1993
1994
I223 BUGM •• FUN
Source: BUQM and FUN annual report*
I In cooperation
environmental responsibilities in terms of quality as well as quantity to an appropriate level.
Furthermore, there are a number of cases in which little or too little use is made of the specialists
available within the regional environmental centre or central municipality.
4.2 Eliminating backlogs in licensing
In the province of North Brabant there are about 60,000 companies (16% of the total
number of companies in the Netherlands)for which the municipalitiesare the competent authority
(responsible for licensing and enforcement). These companies are classified into four
categories by environmental load. Examples of this classification are given in Table 1.
Companies in the Categories 2, 3 and 4 need a licence under the Environmental
Management Act. The small businesses of Category 1, placing less of a load on the environment,
have to fulfil the regulations of an Environmental Management Decree.
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BLENKERS, JOOP; DDLS, NIEKOL; AND LINDEN, PETER 1031
Figure 3 shows that the backlog in licensing in North Brabant in 1988 was around
45%, in other words only some 55% of companies subject to licence had a licence of a
satisfactory standard. Vigorous efforts have been made since 1990 and the backlog has been
Table 1. Classification of companies into categories by environmental load
Categories
(number of companies)
Category 1 (21,000)
Category 2 (26,000)
Category 3 (11, 000)
Category 4 (2,000)
Examples of classification
bakeries, butcher's shops, office buildings, schools,
hairdressers, cemeteries
intensive stock-farming, repair shops (garages, etc.),
catering industry, cleaning firms, clothing industry, petrol
stations
wool and cotton mills, printing industry, small metal
engineering works, photo and film laboratories, hospitals,
swimming pools, crematories, wood preservation industry,
transporters
abattoirs, breweries, animal fodder industry, chemicals
industry, tanneries, paper manufacturing industry, rubber
and plastic processing, dairy industry
largely eliminated: at the end of 1994 89% of companies had a satisfactory licence. The
municipalities had not succeeded, however, in entirely eliminating the backlog by January 1,
1995, the target date set forth in the Contribution decree (BUGM).
The percentage of satisfactory licences at the end of 1994 does not, however, say
much about the quality of licences. For example, a study carried out in 1994 by the Inspectorate
for the Environment in North Brabant (ref. 2) indicated that little if anything had been done to put
any flesh on the expanded scope of the Environmental Management Act. The Environmental
Management Act4, which came into force in 1993, offers greater scope for protecting the
environment compared to previous environmental legislation. For example, the licence must
look at prevention, reuse, storage and disposal of wastes, and to the sparing use of energy
and raw materials. The licensing authority is permitted to include logistics measures in the
licence in order to restrict car mobility.
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FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Figure 3. Percentages of satisfactory licenses (planned in advance and
subsequently achieved) among municipalities in North Brabant
100
Percentage
40
20
1988 1090
1991
1992 1993
1994
Plan
Actual
Soure*: BUQM annual reports
There was insufficient attention paid to prevention or reuse of wastes in 79% of
municipal licences investigated. In 87% of licences there was little or no attention to energy
conservation (and no licence refers to the sparing (re-)use of raw materials) and in 91% of
licences the traffic-generating impact of the establishment is not included in the picture.
In response to the new opportunities created by the Environmental Management Act,
the Inspectorate for the Environment in North Brabant published a brochure (ref. 3) in 1995 with
the aim of assisting licensing authorities in applying the expanded scope of the Environmental
Management Act. The brochure explained what opportunities now existed.
It can be concluded on the one hand that the municipalities of North Brabant have
performed well by granting licences to 89% of companies, but on the other that the environment
should be afforded better protection and at a higher quality level.
4.3 Eliminating backlogs in enforcement
The granting of licences is of course important, but equally important is compliance
with the licensing regulations by the companies. Compliance is to some extent achieved by
regular company checks (preventive enforcement). National reference standards have been
set for the frequency of these checks. For example, Category 4 companies (see Table 1) must
be checked twice a year, Category 3 companies once every 2 years, Category 2 companies
once every 5 years and Category 1 companies once every 10 years.
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BLENKERS, JOOP; DDLS, NIEKOL; AND LINDEN, PETER 1033
Figure 4. Number of multi media company checks (planned in advance and
subsequently achieved) in municipalities in North Brabant
Quantities x 1000
1990
1991
1992
1993
1994
Actual
Source BUQM annual reports
Figure 4 shows that the number of company checks by municipalities in North Brabant
has doubled since the start of the 1990s.
In 1994, 97% of the checks to be performed on the basis of the reference figure,
around 15,000, were actually carried out. In itself this is a good result, but here, too, the number
of checks says little about the quality of the checks themselves or the degree of compliance
with licensing regulations by companies.
A study carried out by the Inspectorate for the Environment in North Brabant in 1995
showed that the enforcement procedures agreed by municipalities in the province of North
Brabant are by no means applied in all cases. It was concluded on the basis of this enforcement
study that the deadlines imposed by municipalitiesfor the ending of infringementsare frequently
exceeded, reinspections are by no means always carried out and the recommendations
submitted to municipal executives on the basis of the visits paid were by no means always
complete. What is clear is that as a result situations which are undesirable in terms of
environmental protection continue to exist for an unnecessarily long period.
In summary, now that municipal enforcement performance would appear to be just
about in order in terms of quantity, the quality of this performance must be brought up to the
same level. As previously indicated, regional environmental cooperation is an important and
necessary instrument here. The forms this could actually take includea knowledge concentration
(expertise available to more municipalities), regional coordination of enforcement and
availability and exchange of enforcement data.
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1034 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
5 DEVELOPMENTS IN LICENSING AND ENFORCEMENT IN THE PROVINCE
OF NORTH BRABANT
5.1 Developments regarding companies and staffing capacity
As from 1991, the province of North Brabant has received an annual government
Table 2. Classification of companies for which the province of North Brabant
is the competent authority
Categories
(number of companies)
Category industry (193)
Category waste (471)
Category sundry (21)
Examples of classification
large textile industry, glass-works, ship building yards,
electricity producers, heavy chemicals industry, concrete
goods plants
car wreck dealers, shredders, refuse incinerators, refuse
dumps, waste recycling plants
wastewater treatment installations, marshalling-yards
contribution under the Administrative agreement on licensing and enforcement for the purposes
of ensuring that a satisfactory level of licensing and enforcement is permanently achieved. At
present, this contribution is almost 3 million guilders per annum. The province contributes an
annual amount of over 3 million guilders from its own resources. The provincial contribution
went up to over 4 million as from 1995.
The companies falling under the jurisdiction of the province can be divided into three
categories, namely industry, waste and sundry. Examples of these three categories are given
in Table 2. All these companies need a licence under the Environmental Management Act.
Companies falling under the jurisdiction of the province impose in general a heavier
burden on the environment than companies where the municipality is the competent authority.
The numberof companies falling underthe jurisdiction of the province of North Brabant
has experienced tremendous growth since the early 1990s (Figure 5). The major growth in
1991 and 1992 was caused almost exclusively by a sharp rise in the number of companies
collecting, treating and processing wastes. As a result of jurisprudence and legislative
modifications, many of these companies in those years have changed competent authority,
from municipalityto province and from central governmentto province. The decline in the number
of companiessince 1993 has mainly been caused by company closures within the waste sector.5
The trends in manning levels for licensing and enforcement in recent years is shown in
Figure 6.
On the basis of the number of companies as at 1 January 1995, the province of North
Brabant ought to have 65 licensing officers and 25 preventive enforcement officers. The reality
is, however, that in early 1995 the province had 55 licensing officers and 7 preventive
enforcement officers. The shortage of enforcement officers can partly be explained by the fact
that the province of North Brabant has given priority to licensing in recent years. Apart from
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BLENKERS, JOOP; DDLS, NIEKOL; AND LINDEN, PETER 1035
Figure 5. Developments regarding number of companies in the province of
North Brabant
1000
800
Number of companies
600
400
200
512
821
685
1991 1992
Source: Adm. agreement annual reporta
1993
1994
1995
their own staffing capacity, consultancies have been deployed to support licensing activities.
Extra licensing and enforcement officers are expected to be recruited at the end of 1995 and
early 1996.
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FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Figure 6. Available staffing capacity for licensing and enforcement in the province
of North Brabant
Man-year*
10
1990 1991 1992 1993
V/A Licensing •• Enforcement
Source: Adm. agreement annual reporta
1994
5.2 Eliminating the licensing backlog
In early 1991,28% of the former provincial companies had a satisfactory licence (see
Figure 7). To achieve the satisfactory level of licensing in time, 72% of the companies
(approximately 500) in North Brabant had to acquire a new licence by 1 January 1995.
The province and the Inspectorate for the Environment in North Brabant concluded in
early 1995, however, that despite all the efforts, the province had failed to eliminate the backlog
in time: at the end of 1994,72% of all companies had a satisfactory licence.6 Among the group
of industrial companies, the licensing backlog was relatively small (19%) and greatest among
the group of waste companies (32%). The province will only be able to eliminate the backlog in
its entirety by 1996 at the latest by recruiting additional manpower for licensing in the short
term.
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BLENKERS, JOOP; DDLS, NIEKOL; AND LINDEN, PETER 1037
Figure 7. Percentages of satisfactory licences (planned in advance and
subsequently achieved) in the province of North Brabant
100
Percentage
40
20
1990
1991
1992
1993
1994
Actual
Source: Adm. agreement annual reports
Generally speaking, in terms of quality, licences granted by the province of North
Brabant in the nineties range between acceptable and good.
5.3 Eliminating the enforcement backlog
As a result of the province giving priority in recent years to eliminating the backlog in
licensing, little attention has been paid to licence enforcement. To a significant degree,
enforcement has been handled by licensing officers by "keeping a finger on the pulse" during
their periodical company visits for licensing purposes. This form of monitoring can best be
described as "promoting compliance."
The province of North Brabant intends to separate licensing and enforcement more
explicitly by entrusting enforcement to the regional cooperative associations. A start was made
in 1993 by transferring enforcement of some categories of companies (car wreck dealers,
shredders, concrete goods plants and crushing plants).
The route adopted by the province for separating licensing and enforcement in staffing
terms is generally endorsed. Here, the licensing officer endeavors to achieve the optimum
climate of consultation with the company by adopting the position of a discussion partner. The
enforcement officer, on the other hand, is regarded by the company more as an adversary,
which may disrupt the climate of consultation. However, effective coordination between regional
enforcement and provincial licensing remains vital.
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1038 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
5.4 What next?
The Minister of Housing, Spatial Planning and the Environment indicated at the end of
1995 on the basis of the joint study by the provinces and the Inspectorate for the Environment
(ref. 4) that the provinces have made significant progress in improving licensing and
enforcement. However, further efforts were needed in a number of provinces, including North
Brabant, if they were to achieve a satisfactory level of licensing and enforcement within the
foreseeable future (by January 1,1997 at the latest).
The province of North Brabant gave an undertaking that, in consultation with the
Inspectorate for the Environment, it would draw up an action plan in the near future, describing
how it proposed to achieve a satisfactory level of enforcement by January 1,1997.
Not just the quantity but also the quality of implementation are aspects that demand
explicit attention in the years ahead. The provinces are currently developing quality criteria for
licensing and enforcement in conjunction with the Directorate-General for Environmental
Management and the Inspectorate for the Environment.7
6 CONCLUSIONS
In general, a solid basic position for achieving further improvements in implementing
environmental policy, particularly in terms of quality, is now within reach for the municipalities of
North Brabant. One point that should be made is that quality improvements will in all probability
require greater efforts and more discipline on the part of executive and administrative staff
than the quantitative BUGM catchup operation for licensing and enforcement. Sundry recent
inspections have revealed that "dotting the i's and crossing the t's" is something that remains
to be done but "where there's a will, there's a way."
The province of North Brabant must continue to make solid endeavors in terms of
quantity and quality, and in quality in particular when it comes to enforcement. If, however,
provincial licensing is in order, and monitoring — separate from licensing — is exercised by
regional enforcement officers, the basis exists for paying greater heed to the quality of
implementation.
ENDNOTES
1. There are three tiers of government in the Netherlands: national, provincial (12 prov-
inces) and local (620 municipalities). Each tier has its own powers by virtue of various
acts of Parliament, including environmental legislation. The cornerstone of environmen-
tal legislation, the Environmental Management Act, makes municipalities the licensing
and enforcement authority (in short: the competent authority) for what are generally the
lighter categories of companies. The provinces are the competent authority for the
heavier categories of companies such as companies that treat or process waste and
large complex chemical companies.
2. One of the things to emerge from the study was that several municipalities needed
between one and two years longer to achieve a satisfactory level of licensing and
enforcement. Furthermore, the quality achieved in discharging the two responsibilities
in 1993 left a lot to be desired and it was found that municipalities were lagging behind
in implementing their responsibilities under the National Environmental Policy Plan.
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BLENKERS, JOOP; DDLS, NIEKOL; AND LINDEN, PETER 1039
3. The "BUGM" and "FUN" bars in the figure show total manning levels. The capacity
shown by the "in cooperation" bar indicates the proportion of this total capacity de-
ployed on a cooperation basis.
4. A brief summary of the statutory framework of the Environmental Management Act in
relation to licensing is shown in the annex to this article.
5. In the interests of the effective collection, treatment and processing of wastes, it was
deliberately decided that these activities should be handled by companies which were
healthy in economic terms and in their approach to environmental protection. In prac-
tice, many companies are unable to achieve this, which has resulted in company
closure in many cases.
6. The national figure for the 12 Dutch provinces at the end of 1994 was 77% for the
average percentage of licences granted. The range was 52-91%.
7. A few Acts -which are also to be regarded as environmental legislation — have not
been integrated in the Environmental Management Act. This means that companies
which carry out activities which fall under said Acts must have a separate licence for
these activities. This applies, for example, in the case of the Surface Waters Pollution
Act (in respect of the discharge of waste water), the Nuclear Energy Act (in respect of
the use of radioactive materials) and the Groundwater Act (with regard to the abstrac-
tion of groundwater).
REFERENCES
References 2 through 4 are only available in the Dutch language.
1. National Environmental Policy Plan, The Hague, May 1989; National Environmental
Policy Plan Plus, The Hague, June 1990.
2. Vergunningverlening Wet milieubeheer, praktijkervaringen van de Inspectie
Milieuhygiene Noord-Brabant, Eindhoven, April 1994.
3. Hoe ver reikt de Wm-vergunning? Mogelijkheden voor de toepassing van de verruimde
reikwijdte Wet milieubeheer, Regional Inspectorate for the Environment, North Brabant,
February 1995.
4. Landelijk Handhavingsproject uitvoering Bestuursovereenkomst Vergunningverlening en
handhaving door de provincies in 1994, Inspectorate for the Environment, Enforcement
of Environmental Laws, 1995/102.
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1040 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
ANNEX: LEGISLATIVE FRAMEWORK OF THE ENVIRONMENTAL
MANAGEMENT ACT
The Environmental Management Act came into force in the Netherlandsin March 1993.
This new environmental Act integrates the former Nuisance Act, the Air Pollution Act, the Noise
Abatement Act, the Waste Substances Act and the Chemical Waste Act. Whereas, in the past,
some companies had to have three or four environmental licences, a single integrated permit
under the Environmental Management Act7 now suffices.
The Environmental Management Act offers new possibilities for environmental
protection (expanded scope), which go beyond those previously available under the former
individual acts. Waste prevention, efficient use of energy and raw materials and restriction of
traffic to and from the company are all aspects which can be regulated in the licence granted to
a company under the Environmental Management Act. The alara - as low as reasonably
achievable - principle is also new.
The new possibilities under the Environmental Management Act are discussed briefly
below.
Waste prevention
Companies are obliged to take account of prevention, reuse, storage and disposal of
waste and to give substance to these in practice. Measurement and recording of raw materials,
ancillary materials and wastes, as well as of the sources where waste originates, give insight
into the possibilities for prevention within a company. Prevention must preferably be tackled by
measures directed at the source (the production process).
Raw materials consumption and energy saving
The Environmental Management Act offers the possibility of making the licence
contingent on energy saving and responsible use of raw materials and ancillary materials.
Efficient use of raw materials and energy is of direct commercial economic interest
since unnecessary loss of raw materials and energy depresses company profits. In addition,
the unnecessary use of raw materials and energy is in conflict with the aim of sustainable use
of the environment.
Measurement and recording of raw material and energy consumption are the first
steps towards savings. More detailed investigation can then reveal specific economy measures
to be taken. The implementation of the measures can be laid down in a plan of approach.
Traffic-restriction of people and goods
The authority granting the licence is able to lay down logistics measures and measures
to restrict the use of vehicles.
Regulations relating to the transportation of persons or goods can be incorporated
only in those cases where the traffic gives rise to a nuisance affecting the immediately
surrounding area. A further requirement is that the regulations relate to circumstances over
which the company has control. These include, for example, the delivery of goods and materials
and the dispatch of products and waste. The company has no direct control over the means of
transport used by staff to travel to work. However, the company can offer company transport for
employees, in order to restrict the nuisance caused to the surrounding area as far as possible.
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BLENKERS, JOOP; DDLS, NIEKOL; AND LINDEN, PETER 1041
The alara principle
Under the Environmental Management Act, first of all an attempt must be made to
prevent adverse consequences for the environment by imposing restrictions in the licence.
Insofar as the adverse consequences cannot be prevented, regulations must be incorporated
which provide the greatest possible protection against said consequences, unless this cannot
reasonably be demanded. The greatest possible protection of the environment implies that
the licence is made subject to measures (techniques, processes or organizational measures)
which are based on what is known as best technical means, i.e. the best techniquesor measures
which are available.
If regulations or provisions which offer the greatest possible level of protection cannot
reasonably be demanded, the Environmental Management Act allows for deviation from these.
In such cases, however, the company must clearly demonstrate that said measures are
technically not feasible or are not feasible from the standpoint of business economics. The
specification of best practicable means, i.e. the techniques which can best be applied, must
be regarded as a minimum requirement.
The alara principle is proving to be one of the most difficult aspects in practice. In
particular, the interpretationof the concept of reasonably is provinga headache forthe authorities
responsible for granting the licences. It will be up to jurisprudence in particular to provide more
clarity with regard to the interpretation of this term in the years to come.
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1042 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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BARON, BINA 1043
AN INTEGRATED APPROACH TO ENVIRONMENTAL ENFORCEMENT—A
CASESTUDY
BARON, BINA
Head, Enforcement Division, Legal Department, Israel Ministry of the Environment, P.O.
Box 34033, Jerusalem 95464, Israel
SUMMARY
This paper presents a review of enforcement difficulties regarding environmental pollution
in solid waste landfill sites in Israel, and describes the success achieved through the integrated
approach applied to solve this problem.
The integrated approach consists of two focal levels: the first level addresses governmental,
public, legal and professional areas of authority; the second concentrates on the employment of
various legal instruments including laws, regulationsand other enforcement measures.
1 INTRODUCTION
In 1992, there were over 400 solid waste landfill sites in Israel which had been established
without the necessary legal permits and were operating without regard for environmental
considerations. These sites caused a number of detrimental environmental effects, such as
contamination of water sources (especially groundwater), stench, air pollution and aesthetic damage.
In addition, the major landfill site of Hiriya, serving the entire greater Tel Aviv metropolitan area and
located one kilometerwest of Ben Gurion InternationalAirport, posed a threat to flight safety from
flocks of birds attracted to the organic waste.
The landfills were established and operated during the past forty years by municipal
authorities (cities and villages), independently, through subcontractors or by private individuals.
Landfills were established in the "backyard" of every settlement, with little or no attention allotted to
environmentalcriteria or to properplanning procedures.
When the Ministry of the Environment first initiated measures designed to resolve the
environmental problems posed by these landfills, it soon became apparent that individual treatment
of landfill sites through often drawn-out litigation processes offered symptomatic relief for specific
sites, but that these efforts were ultimately wasted as alternative sites were established in their
place which once again operated without the necessary permits and environmentalcriteria. The
primary factors hindering the efficiency of these enforcement measures were the Ministry's inability
to provide municipal authorities with valid alternative solutions, the high cost of adequate treatment
of solid waste, and a general lack of awareness for the environmental pollution caused by the
existing sites.
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1044 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
2 THE INTEGRATED APPROACH FOR TREATING LANDFILL SITES
An integrated approach for achieving a comprehensive resolution of the environmental
hazards caused by landfill sites throughout Israel was adopted by the Ministry of the Environment.
This approach consists of two stages: the first stage is addressed within the sphere of governmental,
public, legal and professionalfields of authority; the second stage includes in-depth appraisal and
implementationof various legal instruments.
The first level of enforcement includes:
• raising the issue to top public priority;
• findingalternativesolutionsforshut-downsites; and
• providingfinancial incentives.
The second level of action applied through legal measures includes:
• expandingthe legal basisforaction; and
• conducting investigationsand pressing legal charges.
2.1 Raising the issue to top public priority
In 1993, a proposalfor comprehensive treatment of the landfill problem was presented to
the government by the Ministers of Environment, Interior and Finance. The proposal, which received
governmental endorsement, called for expediting the establishment of five central landfillsto allow
for the closure of hundreds of illegal waste dumps throughout the country, and to create an infrastructure
for environmentally-safesolid waste disposal both in the short and long terms.
Specifically, the government decision dictated the closure of all illegal landfill sites, and
the transfer of waste from these sites to the five authorized landfills. The new sites will operate in
accordance with accepted criteria for preventing environmental contamination from solid waste.
As of 1995, the Ministry has completed international tenders for the planning and construction of
two of the designated sites, and preparationsforthese sites are presently at an advanced planning
stage.
2.2 Finding alternative solutions for shut-down sites
As stated above, preliminary conclusions revealed that the key to success of the process
was to provide immediate alternatives for the landfills which the Ministry intended to shut down. The
Ministry prepared a long-term action plan which defined stages for closure of specificlandfills, the
number of sites to be closed at each stage of the process, and the alternative sites which would
receive the solid waste.
In the final stagesof closing a specificsite, the site operators are permitted—fora limited
period of time—to accept construction waste which assists proper preparation of the closed site
for ultimate sealing. Plans for the removal of buried wastes prior to final closure are prepared
according to the Ministry's instructionswhich include provisionsfor close monitoring of the clean-
up process by environmentalenforcementofficials. In addition, the Ministry provides professional
guidance and daily monitoring services for every shut-down landfill.
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BARON, BINA 1045
2.3 Providing financial incentives
Waste disposal treatment in municipal authorities is financed by local taxes. The
government of Israel devised a formula for compensating local authorities who are obligated to
transport their wastes over greater distances due to closure of local landfill sites. These compensatory
fees help prevent the opening of new illegal landfill sites in place of the site that was closed. In
addition, the State is financially involved in closing the landfill, and in paying for transitory sites
which are part of the scheme for transportingwastes to more distant landfills.
2.4 Expanding the legal basis for action
Expansion of the legal basis for treatment of environmental pollution created by landfills
was negotiated along a number of complementaryangles. The primary point of departure held that
enforcement needed to be implemented against the managers of the landfills, the disposal
companies and the heads of local authorities who hold prestigious positions in society. The persons
involved are not viewed as ordinary criminals who aim to contaminate the environment; and the
fines and other legal sanctions are too low to constitute significant deterrence. The Ministry uses to
its advantagethe fact that adverse publicityand the stigma of criminal proceedings are incentives
for action.
2.4.1 Regulations for the Abatement of Nuisances (prevention of unreasonable air and
odor pollution from solid waste disposal sites), 1990
Within the framework of the Abatement of Nuisances Law, 1961, regulations for the
prevention of air and olfactory pollution from solid wastedisposal sites were promulgatedin 1990.
The regulations designate smoke, gas, fumes, dust, and the like, released during the burning of
waste in a waste disposal site, as constituting unreasonableair pollution. The regulations obligate
operators of solid waste disposal sites to maintain and operate such sites in a manner which will
prevent unreasonable air and olfactory pollution, and to undertake steps to prevent such pollution.
Operators may not bum waste at landfills, must undertake means to prevent fires, and must extinguish
fires in the event of their occurrence.
The requirementsspecified in the regulationsinclude: daily cover of landfillswith at least
15 cm of covering material; possession of appropriate mechanical equipment for extinguishing
fires; preparation of procedures for extinguishing fires, including manpower and equipment;
establishmentofproperwork procedures for wastedisposal at the site; installationof a gate at the
site entrance; and erectionof a surrounding fence. The requirementsalso specify placementof a
clearly visible sign at the entrance including the site's name, working hours, the operator's name,
address and telephone number; placementof signs in several locations on-site and in the vicinity
stating that burning is prohibited, and warning that violators will be penalized.
2.4.2 The Water Law, 1959
The Water Law establishesacomprehensiveframeworkforthe control and protection of
Israel's water resources. Under this law, all sources of water in Israel are public property. Use of
water is ensured for every person, as long as undue salinizationor depletion of water resources is
avoided.
The Water Commissioner, appointed by the government, is responsiblefor enforcing the
Water Law and Regulations and for maintenance of waterquality. For this purpose, the Commissioner
is authorized to order personal injunctions against a person not in compliance with the requirements
of the law. Furthermore, the law allows for judicial recourse where only "reasonable suspicion"
exists regarding possible contamination of water resources. A1992 amendmentto the Water Law
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1046 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
provides that in case of violation, a fine of 150,000 NIS may be imposed—the steepest fine in
Israeli environmental legislation today—in addition to an incremental fine which can be imposed for
each additional day of violation.
2.4.3 Collection and Disposal of Waste for Recycling Law, 1993
The Recycling Law provides the framework for recycling, and authorizes and obligates
local authorities, when required by the Minister of the Environment, to allocate sites for recycling
centers and to install recycling facilities which will ensure that a certain percentage of the local
authority's waste is recycled annually—thereby reducing the total amount of waste disposed at
landfill sites.
2.4.4 The Licensing of Businesses Law, 1968
This law empowers the Minister of the Interior, in consultationwith the Ministers of Health
and the Environment, to designate businesses which require licenses in order to ensure proper
environmental conditions. Special environmental conditions may be imposed within the framework
of the license. In 1995, an amendment to the Licensing Law was approved which stipulates that the
operation of landfills requires a business license under the law. The Minister of the Environment has
the authority to define specific instructionsfor the operation of the site, to close the site through an
administrativeprocedure, or to appeal to the courts for a judicial injunction.
2.4.5 Amendment of Environmental Legislation (Punitive Measures) Law
A comprehensive law revising the punitive measures in case of environmental crimes is
presently being drafted by the Legal Department of the Ministry of the Environment. Among its
other provisions, the law establishes that the State is responsiblefor any environmental pollution
caused by State-owned facilities; it defines personal responsibility of corporate managers, imposes
stiff punishment against polluting corporations or local authorities, and provides for incremental
fines for each day of ongoing violations of environmental laws. The law also establishes wide-
ranging investigation and monitoring authority for inspectors authorized by the Ministry, and allows
the Ministerof the Environmentto issue clean-up injunctions.
2.5 Conducting investigations and pressing legal charges
2.5.1 The Environmental Patrol Unit
The Environmental Patrol, operated by the Ministry, is authorized by the Ministers of Police
and the Environmentto conduct formal investigations against suspected violators of environmental
laws. The Patrol cooperates closely with the Legal Department of the Ministry in all facets of its daily
operations. In regard to solid waste landfills, the unit's officers execute hundreds of monthly
inspectionsat the various disposal sites.
Once a site is found to be operating in contravention of its specific operating conditions
and relevant laws, causing environmental damage, a criminal investigation is conducted against
the site's managers and the manager of the sanitation department in the relevant local authority. In
special circumstances,the mayor or head of the local authority is also investigatedunderoath. In
light of the public implicationsof such investigations and the unpleasantness they involve, these
investigations often facilitate and expedite the implementation of remedial measures. Public
employeesand elected officials are very sensitiveto the stigma of criminal investigations,and the
Ministry makes good use of this deterrence effect.
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BARON, BINA 1047
2.5.2 Pressing legal charges
When the Environmental Patrol has completed its investigation, the Legal Department
reviews the file and decides whether criminal charges should be pressed against the violators. The
litigation process is then advanced by private attorneys who have been authorized for this purpose
by the State Attorney. These private attorneys operate underthe strict supervision of the Ministry's
Legal Department. This arrangement relieves the Ministry of dependency on the State Attorney's
office which already operates under heavy work loads; and also offers an added dividend of more
efficient and expert legal representation. The budget for this "private" litigation comes from the fund
established underthe Cleanliness Law, 1984, in addition to special moneys allocated for this purpose
by the government.
In each individual case, the Legal Department considers the relevant law or laws which
should be applied, and the various legal instruments which can be implemented to serve specific
goals. One of the characteristicproblemsin dealing with solid waste landfillsis that the polluter or
"beneficiary" of the polluting activities is often the municipal authority itself, as this body is also
charged with enforcing the environmentalconditions issued underthe Business Licensing Law.
2.5.3 Example of a lawsuit against the managers of a landfill
For many years, the Municipality of Hadera operated its dump site in contravention of the
relevant laws and instructionsissued by the Ministry. Located on private land and run by a private
company on the basis of a commercial contract with the Municipality, the Hadera site caused
environmentaldamage and nuisances, such as airand water pollution and aestheticdegradation.
The Hadera Municipality—although invested with effective legal and administrative authority
to enforce the required environmental criteria and regulations relating to licensing of businesses—
consistently refused to make use of the powers at their disposal. This reluctance was due to a fear
of contractual dispute with the operating company, as well as to the fact that proper management of
the dump site would entail additional costs forthe Municipality.
On three occasions, the Ministry of the Environment submitted lawsuits against the
operating company and its directors for management of the site contrary to the applicable regulations,
which led to severe environmental nuisances. Following the amendment to the Licensing of
Businesses Law referred to above, the Ministry issued an administrative order closing down the
site, and ordering the Hadera Municipality to evacuate the urban waste to an alternativesite.
The administrative closure was upheld by the court. The court also ordered that the site's
operators were to be permitted to bring construction waste to the landfill for a limited period of six
months to enable adequate covering of the wastes before final sealing of the site.
Once the site was finally closed, the Ministry reached a court settlement for the three
lawsuits, according to which the company and its directors were convicted and fined US $15,000
(or, in case of nonpayment, 120 days imprisonment against the directors). In addition, the company
and its directors signed a commitmentto desist from any similar offense for a period of three years,
accompanied by a fine of US $7,000 in case of further violation.
3 ACCOMPLISHMENTS OF THE ENVIRONMENTAL ENFORCEMENT
MEASURES AGAINST LANDFILLS
Approximately two and a half years after the government decision, and thanks to the
relentless actions of the Ministry of the Environment, 186 of the solid waste sites which were slated
for closure were shut down. The most problematicsites were dealt with first; the additional actions
undertaken by the Ministry were carried out according to predeterminedprioritiesand time tables.
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1048 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Hiriya, the largest domestic waste site in Israel — receiving 2,500 metric tons of refuse
per day—will finally be shut down in the coming year when the five designated national landfill sites
defined in the governmental decision are opened.
The measures described above are resulting in better management of existing landfillsin
the time remaining until the designated sites are open. To enhance these measures, the Ministry is
currently reviewing the remedial action and authority available to the Environmental Patrol officers.
Furthermore, criminal investigation and prosecution are carried out in each case of continued
violations of regulationsor licensing conditions.
Due to intensive efforts by the Environmental Patrol and unrelenting prosecution of violators,
the phenomenon of new illegal dumping sites taking the place of landfills closed by the Ministry has
almost entirely vanished. Another positive consequence of the new trend are the exemplary
sentences imposed by the courts. In recent years, judges have convicted municipalities with severe
fines, and have accompanied these fines with commitments to avoid equivalent offenses over two
or three years. These judicial measures have greatly contributed to the abatement of environmental
nuisances and pollution caused by solid waste landfills.
4 CONCLUSIONS
The enforcement of environmental norms has various objectives, including: elimination of
existing nuisances, prevention of future nuisances, restoration of previous conditions, penalization
for existing violations and deterrence. In order to implement these goals, we have various tools
which can be employed to bring about the most effective solution in each specificcase according
to the nature and scope of the nuisance, its causes and, more generally, according to the goals we
wish to achieve.
Enforcement tools are not viewed as ends in themselves—the policy of the Ministry of the
Environment is to use the enforcementtools at its disposal in such a mannerthat environmentally
acceptable solutions will be attained. The Ministry's aim is to strengthen understanding and
awareness of environmental protection; to promote sustainable developmentthrough the central
governmentand local authorities, as well as through the private sector and the general public.
The Ministry's strategies are directed towards achieving a future in which potential polluters
and decision makers will feel personally committed to reducing the level of nuisances, and to
preventing damage to the environment. One of the means for achieving this goal is by impartinga
clear message of firm and effective enforcement.
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ENG. GONZALEZ SALAZAR, MARCO ANTONIO 1049
COMPLIANCE AND ENFORCEMENT PROGRAMS ON RESIDUAL WATERS,
CASE STUDY: COSTA RICA'S GRANDE DE TARCOLES RIVER
ENG. GONZALEZ SALAZAR, MARCO ANTONIO
Vice-Minister of the Environment and Energy, Ministerio Rescursos Naturales, Energia Y
Minas, Calle 25 Avenidas 8 y 10, Entre 11 y 13 Calle Poniente, San Jose, Costa Rica
SUMMARY
Costa Ricans are entering an era of great change. The present government is
determined to transform this country into a pilot project for sustainable development.
What we are looking for is a social transformation that involves interactive mechanisms
of education for citizen awareness, and real participation of society in decision-making; it
strengthens basic necessities and improves the quality of life of present and future generations,
but without destroying ecological bases or altering the vital life supports on which environmental
quality and overall development depend.
We have to reexamine policies, identify programs, link up with governments and with
the civil society in order to bring us all into a collective effort. Costa Rica's principal competitive
advantage lies in the quality of its people, and in their capacity for innovation and creativity.
The following is a sample of an updated vision of the actions of the Costa Rican
Government and the participation of the civil society in the control and management of agro-
industrial wastes and wastewaters in the country, through an analysis of the legal and
administrative situation of the entities involved in the protection of water resources, and the
compliance and enforcement programs relating to this matter.
Because of its condition, the Grande de Tarcoles Watershed was selected as a pilot-
watershed to develop interinstitutional actions and to promote the participation of the civil
society in order to rescue this important water resource.
1 INTRODUCTION
1.1 Costa Rica: geographical, social and environmental situation [See Annex 1]
Costa Rica lies in Central America, 10,429 miles (16.784 kilometers) from Chiang
Mai, Thailand. It is bordered to the north by Nicaragua, to the northeast by the Caribbean Sea,
to the southeast by Panama, and to the west and southwest by the Pacific Ocean. It lies
completely within the tropics.
The average temperature is 72 degrees Fahrenheit in the highlands and temperature
vary from the high 70s to the low 90s in the lowlands. We have dry season from December to
April, and wet season from May to November.
Costa Rica, a Spanish speaking country, has 3.5 million inhabitants, with a literacy
rate of 93% and a life expectancy of 75 years for men and 79 for women. Our major exports are
coffee, bananas, tourism, sugar and beef.
Geographically, Costa Rica is an extremely varied country despite its tiny size (51,100
square kilometers). A series of volcanic mountain chains runs from the Nicaraguan border in
the northwest to the Panamanian border in the south east, thus splitting the country in two.
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1050 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Many different microclimates and ecological habitats are found corresponding with
altitudinal changes up the mountains.
We have a strong commitment towards preservation of nature. Our wilderness areas
provide shelterfor almost:
• 1200 varieties of plants.
• 237 species of mammals.
• 848 kinds of birds.
• 361 amphibiansand reptiles.
The currentuse of land is as follows: some 70% of the country is a mosaicof agricultural,
forestry and livestock use; 25% is wildlife conserved for nondestructive use of their biodiversity and
ecosystem services, and the remaining 5% is for urban life and the community network. [See Annex
2]
1.2 Costa Rican water resources: technical diagnosis
The situation concerning treatment of wastewater and river contamination is of great
charm. Less than 10% of wastes go into sanitary conduits and most of the cities of the Central
Valley decreased the number of the treatment plants that existed in the past.
Agro-industrial wastes, which represent nearly four million metric tons per year,
constitute another important focus of contamination for waterways. The Grande de Tarcoles
watershed, which has a high energy potential and is also one of the most beautiful, has been
reduced to the level of a gutter for the wastes produced by almost half of the Central Valley.
Costa Rica has 34 major rivers, which have not been already deeply studied in relation
to their quality, except the Grande de Tarcoles River, that is 2.149 kilometers long and drains a
large area of the Central Region of the country.
The most potential sources of pollution in the urban zone (Greater Metropolitan Area)
are:
• Solid and liquid wastes from coffee industry as first pollutants of the rivers of the
country, providing some 191.500 kilograms of biochemical oxygen demand daily.
• Food, paper, cardboard, textile, tannery, jewelry industry wastes and others,
providing approximately 40.485 kilograms of biochemical oxygen demand daily.
• Domestic fecal wastes, providing about 40.485 kilograms of biochemical oxygen
demand daily.
These estimations were made during the dry season. No estimations were made for
heavy metals, chemicals, and small industry.
90% of the total amount of industries of the country do not have stations for wastewater
treatment.
Among the main sources of pollution in the rural zone we find: agro-chemicals,
pesticides, herbicides, insecticides and coffee industry waste.
Coffee industry constitutes the main pollutant of the country. It represents 70% of the
global river pollution of the national territory. Such industry is seasonal (from November to
February), that is, during the dry months, when there is not much volume of water and there is
minimal oxidation capacity.
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ENG. GONZALEZ SALAZAR, MARCO ANTONIO 1051
Sixty-one percent of the coffee industry is located in the Central Region of the country,
that is also drained by the Grande de Tarcoles River. Most of the population is concentrated in
the Central Region of the country (Greater Metropolitan Area), where also the main social and
economic activities take place. This situation has caused great damage to the aforementioned
river.
The main responsibilitiesfor the pollution of the Grande de Tarcoles Riverare:
• Coffee industry (68%).
• Otherindustrialactivities(18%).
• Domestic waters (14%). [See Annex 3]
In addition, it has been estimated that the Grande de Tarcoles River collects 33 tons of
wastes daily, including hospital, industry and domestic wastes.
It has been determined that industry togetherwith solid wastes, have polluted 40% of the
rivers of the country, agro-chemicals,40% and fecal wastes, 20%.
Even without a constant monitoring program of the aquatic ecosystem parameters, different
studies have determined non-quantitative levels of pollution.
• Low polluted rivers—35%.
• Medium polluted rivers—25%.
• High polluted rivers—20%.
The most damaged and contaminated rivers of the country are:
• Grande de Tarcoles River—67%.
• Reventazon River—10.8%.
• Grande deTerraba River—7.7%.
2 LEGAL AND ADMINISTRATIVE BACKGROUND: CENTRALIZED MODEL
The year 1948 became the starting point of new political, economical and social
transformationsin our country. The well-being of Costa Ricans increased during the four decades
which followed and was extended to more and more extensive sectors of society.
The State assured and propitiated advances in education, social and individual rights,
health, road services and hydroelectric development. The abolishment of the army and the
perfected electoral system has given Costa Rica a completely new social and democratic
character over a time period of scarcely five decades. In the next years, the socio-economic
improvementsin all sectors was not detained. It continued to make our country more recognized,
at the close of the 80s, as one of the most advanced countries in terms of human development.
Nevertheless, the general conditions that have altered the world in the recent years,
as well as the combination of internal, political and economic factors, have produced troubling
signs indicating that the quality of life for Costa Ricans has begun to deteriorate in a way that
runs contrary to the development model presented in 1948.
Not only the well-being of the poorest sectors of our society begun to decrease, but
even the more sheltered sectors of our society are encountering difficulties in enjoying their
advantages.
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1052 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The development models which have been imposed upon us, and that some internal
sectors have chosen to acceptwithoutforethought.arereproducingdeterioratingcircumstances
in Costa Rica which are visible in other regions of the world.
In the 1950's and the 1960's, undera centralized model, we experienced an extraordinary
economic and social development, however this development mined our natural resources and
damaged the environment. In the 1980's and 1990's, we suffered the costs of economic
disequilibrium which was followed by a period of economic development without a social dimension.
The application of the laws relating to the contamination of waters (since 1942), propitiated
a model of centralized management that restricted the participation of the civil society, and also
lacked environmental compliance and enforcement programs. As a consequence, the legal
framework was not being implemented in an efficient way; we reached high pollution levels in
rivers; there was not knowledge of how to use the water resources, and the pollution problems of
surface-and underground waters were worsening.
For these reasonsthe present administration proposesto change course in orderto turn
tides of economicgrowth which proceed together with the highest possible level of environmental
sustainability.
Our current interest in environmental compliance and enforcement programs shows the
determination to ensure that environmental requirements take us to real improvements. We
understand under the concept of environmental enforcement the range of actions governments and
others may take to encourage and compel compliance with environmental requirements. This is
our new guideline in orderto achieve environmental objectives.
2.1 Traditional legislation relating to water pollution
During the last fifty years there have been many efforts to implement the legislation of
water pollution efficiently, such as the Water Act, N°276 (August 27, 1942), General Potable
Water Act, N° 1634 (September 18, 1953), Aqueducts and Sewerages Law, N° 2726 (April
14, 1961), General Health Law, N°1634 (October 30, 1973), Organic Law of the Ministry of
Health, N° 5412 (November 8, 1973), Industrial Sanitation Regulation, N° 11492 (April 22,
1980), the Forestal Law, N° 7174 (June 28, 1990), and the Municipal Code.
We consider it is important to highlight certain aspects of some of the laws mentioned
above that are relevant to our present study.
The Water Act mentions in its ChapterX, article 162-1 punishments from one to twelve
months of imprisonment for those who contaminate surface and underground waters.
The General Health Law and its amendments establish controls over the effects and
negative impacts on watersheds, as a result of the industrial, agricultural and human activities
relating to wastewaters and other wastes.
This Law in its articles 275,276 and 277 prohibits the pollution of surface, underground
and sea waters; the contamination and damage of watersheds; and also, established the
licenses required for draining or altering areas.
The General Health Law, the Organic Law of the Ministry of Health and the Industrial
Sanitation Regulation establish the entities that are responsiblefor complianceand enforcement
of environmental programs and authorizes the Ministry of Health to supervise the quality of
water.
Among other faculties, the Municipalities must promote environmental education and
reforestation programs and also must protect the watersheds in order to supply potable water
to the communities, among others.
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ENG. GONZALEZ SALAZAR, MARCO ANTONIO 1053
Although there were many attempts to regulate water resources, there were no
monitoring and control systems to supervise the maximal permissible concentrations in solid
and liquid wastes in receptor waters and rivers, and that caused great damage to the
environment. The lack of environmental compliance and enforcement programs was also an
obstacle to implement the legislation efficiently.
2.2 Costa Rica's traditional water resources administration
The traditional institutional structure for the management and use of water shows a
Rector Ministry, a Management Entity and Private and Public User Entities. [See Annex 4]
The Rector Ministry is the Ministry of Environment and Energy. The entity in charge of
the management of the water resources is the National Electricity Service, that regulates and
authorizes the potable water services rate.
The users are public entities that need the resource to provide a service, and also
physical and juridical persons that use the resource for their own interests.
The Ministry of Health is responsible for monitoring the water quality in general, the
priority here is for provision of safe water for the public to utilize, and through its Department for
Environmental Sanitation, ensures potable water supply, the observance of the public health
regulations and the prevention of damage to the environment.
The Costa Rican Aqueduct and Sewage Institute is an autonomous institution created
in 1966 to manage, to fix policies, to implement rules, and to promote the planning, financing
and development of projects relating to drinking water, sewerage, etc.
In the past years, the Municipal Governments, 82 councils in the whole country, were
supposed to control all aspects relating to the rivers and health. As an example, the Municipal
Corporation of the Central Canton of San Jose established in August, 1991, a twenty four-
month term forthose industries that discharged non-treated wastes in rivers, streams, or sanitary
sewers for the installationof treatment plants in production centers otherwise risking cancellation
of their operational licenses.
This traditional structure lacked mechanisms to the coordinate activities and for this
reason efforts were often duplicated and no one was responsible of following up on the legal
actions.
2.3 Legal and administrative problems of Costa Rica's water resources
Some legal problems have arisen and weakened the administrative sector relating to
our water resources. The Water Act is in force since 1942, which lets us assume that it needs
to be brought up-to-date. Basically, this Legislation was billed to regulate the use of waters by
private persons. There is no entity that grants water to public institutions. This Legislation lacks
new concepts for planning, use and recovery of water resources. There are no monitoring and
control systems to determine whether procedures are being respected or not. We can say it is
obsolete and incomplete.
There is a great need of agile and effective mechanisms for the solution of water use
conflicts. Other laws have been passed which have limited the functions of the National Electricity
Service and have granted its competencies to other institutions, which results in duplicity of
action.
In the past years the necessity of more production intensified the irrigation culture,
which amplified the necessity of water for this activity. The population, together with industry
increased and that implied more water supply and more pollution, respectively.
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1054 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
The volume of pollutants increased and there were no treatment systems. The rivers
became urban trash deposits and the levels of deforestation were too high. There are no
statistical reports of denouncements and punishments relating to water pollution.
There was a lack of governmental interest and of an integrating vision of water
management. The National Electricity Service lacked political, economical and technical support
to develop its functions and to regulate the big and powerful user institutions.
The Ministry of Health, which performs water quality management functions, did not
have the mechanisms to assure compliance with, and enforcement of environmental legislation
for the prevention of water pollution.
To conclude, we have to emphasize that three main reasons obstructed the efficient
water resources management in the last years:
• Our water resources were not a priority for the last Governments.
• There was a lack of coordination between the institutions relating to water pollution.
• The water legislation was obsolete.
There comes the time to recuperate what we have lost, without stepping back to the
past, with a new vision of things, that involves decentralizing the decision-making process
through the participation of the civil society.
We have to minimize overlaps and conflictsoffunctionsto make efficientuse of existing
capacities and local knowledge and to emphasize sustainability.
3 SUSTAINABLE DEVELOPMENT MODEL
Sustainable Development is the yardstick guiding the actions of the Figueres
Administration, 1994-98. This is a national objective aimed at improving the quality of life of
Costa Rican citizens through the management of production, economy and commercial activity
in such a way as to ensure that they are in harmony with natural resources and the environment.
[See Annex 5]
The concept of Sustainable Development means "to find a better well-being in the
present while sustaining the initial equilibrium that has made our development possible in the
long term, combining a strong social investment with macroeconomic equilibrium and an
alliance with nature," after our President's words.
The complex social-environmental situation and the existence of an obsolete legal
framework propitiated the generation of a new policy related to wastewaters and pollution of
the watersheds that includes the new guidelines with the effective collaboration of the civil
society, that is:
• The search for a consensus between all parts involved.
• The establishment of voluntary plans.
• An acknowledgment and incentive plan.
• An authorization system.
• The allianceandcoordinationamonggovernmentalentities relating to environmental
control.
• An active participation of the civil society in the prevention and solution to pollution
of waters.
• Permanent dialogue with the companies or enterprises.
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ENG. GONZALEZ SALAZAR, MARCO ANTONIO 1055
• A Public Service Office with an efficient, quick and non-bureaucratic procedure for
attention to the public.
3.1 Institutional and legal framework
According to the sustainable development model, new legislation was billed, which
makes a great difference between the old patterns and the current ones, and activates the
efforts in search of a better use of our water resources through an efficient institutional
coordination and the creation of new entities: the Wildlife Preservation Law, N° 7317 (December
7,1994), the Competence Promotion and Consumer Defense Law, N° 7472, the Environmental
Organic Law, N° 7554 (November 13,1995), and the new Forestal Law, Expedient N° 11.003,
recently approved by the National Assembly.
The Wildlife Preservation Law establishes regulations to protect the wildlife of the
country. Its article N°132 prohibits the dischargeof wastes or any polluting substancein streams,
rivers, etc. This article also confirms that every industry must have treatment systems in order
to avoid the destruction of the wildlife. With the implementation of this article, since December
1994, this specific law gains importance by regulating and controlling wastewaters.
On the other hand, the Competence Promotion and Consumer Defense Law
establishes the National Quality System, that allows the participation of the civil society through
a network of "Authorized Laboratories," and is based upon international regulations to test that
industrial activities do not contaminate the environment.
Article N° 8 of this Law establishes the faculty of the Ministry of Economy, Industry and
Commerce, and the National Technical Environmental Secretary to authorize those entities
that accomplish all technical and regulatory requirements in order to control the results of the
laboratory studies and pollutant analysis.
The Ente Nacional de Acreditacion is the national entity in charge of the authorization
of laboratories, and is also a dependency of the National Commission of Quality. At the same
time, the National Office of Standard and Measurement Units, which belongs to the Ministry of
Economy, Industry and Commerce, functions as a Technical Secretary for these authorizations.
There are many criteria established by the series EN-4500, that are taken into account
when authorizing a laboratory, among others, the technical and professional level of the
personnel, the characteristics of the installations, the existing equipment, observation of the
good laboratory practices, the quality management policy, the protocols of analysis and
standardized operation procedures, the preservation and maintenance of infrastructure, the
maintenance of reference patterns and storage of reagents and materials, the validation of
methods, and the use of statistical techniques for the validation and control of the methods and
procedure analysis.
The Executive Decree N° 24158 - Ministerio Rescursos Naturales, Energia Y Minas-
S, of April 21, 1995, fixes the residual water disposal norms to the bodies of surface- and
groundwaters.
The Executive Decree N° 24662 - Ministry of Economy, Industry, and Commerce, of
October 2,1995, through the ISO-25 Guide and the EN-45000 Series, establishes the criteria
for the authorization of national laboratories, being also approved by the National Technical
Environmental Secretary. These criteria are:
• EN-45001: establishes general criteria about the functioning of the authorized
laboratories.
• EN-45002: establishes the general criteria for the evaluation of the authorized
laboratories.
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1056 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
• EN-45003: establishes the general criteria according to the functioning of the
authorizing organisms.
The approval of the Law N° 7554, Environmental Organic Law, of November 13,1995,
in its Chapter XV, Articles 59-70, establishes a series of regulations relating to pollution through
wastewaters over the national territory, and the obligation to treat wastewaters before disposing
them into any watershed.
We have to emphasize again the importance of these new regulations in the
establishment of compliance and enforcement programs on wastewaters with the direct
participation of the civil society.
3.2 Current compliance and enforcement programs on wastewater's and results
Effective domestic environmental compliance and enforcement programs are an
important factor in global efforts to reduce international trade barriers and enhance economic
development in a way that does not create unfair competition, or pressure to diminish
environmental quality of valuable natural resources. [See Annex 6]
Effectiveenforcementalso can provide an element of fairness to the regulatory process,
instill credibility to governmentinstitutions.and prevent short term economic competition among
regions and between facilities from undermining longer-term economic, social and
environmental goals for a sustainable future.
As a result of this new vision, the Ministry of Environment and Energy together with the
Ministry of Health have joined efforts to implement all aspects relating to enforcement and
compliance of environmental actions, as an instance of political will and interinstitutional
coordination.
The Government of Costa Rica in its search for sustainability through compliance and
enforcement programs on wastewaters has implemented the Authorization System, the
Voluntary Plans, Acknowledgments and Incentives, and the Environmental Organic Law.
3.2.1 Authorization system
The authorization system gives the civil society the opportunity to have a direct control
of the water resources through the use of the laboratories, where people can identify and pursue
violators by testing the quality of water.
Based upon the Executive Decree N° 24158 - Ministerio Rescursos Naturales, Energia
Y Minas-S and Executive Decree N° 24662 - Ministry of Economy, Industry, and Commerce,
the authorizationoflaboratorieswasestablishedtoofferthe services of analysisof wastewaters.
These laboratories must be supported by a National Authorization Entity, constituted by
experienced professionals, and approved by the Ministry of Environment and Energy and the
National Technical Environmental Secretary. In this way, the uniformity of the analysis
methodologies will assure the confidence of the results.
The Civil Society will become the main actor in all this process and will support it in a
permanent way by:
• Temporarily authorized laboratories to be put to the test.
• If the laboratory does not accomplish the requisites, it can be unauthorized
immediately.
• As of January 1996 there are three new authorized laboratories to start functioning.
There is already a list of companies which will soon begin the process.
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ENG. GONZALEZ SALAZAR, MARCO ANTONIO 1057
Throughthe execution of "interlaboratorialstudies,"that consist in interchanging control
samples and comparing analytical results, the reliability of the laboratories and the quality of
the results can be assured.
By means of the process of "certifications" through the authorized laboratories and
other modalities, not only for goods, but also for services, the Government delegates in the
private sector the vigilance for environmental quality, and makes use of the capacity installed
and of the existing human resources, permitting the professionalization of the new system in
stages of investigation.
3.2.2 Voluntary plans
Based upon the legal framework, a tripartite agreement was signed between the
Ministry of Environment and Energy, the Municipality of San Jose and the Chamber of Industry
as an alternative to generate "Voluntary Plan Projects," public and transparent, with the
compromise of the companies to avoid the use of pollutants, and with the faculty of the civil
society to denunciate any irregularity.
This project was thought to solve the pollution problems generated by wastewaters.
So far we have:
One hundred of voluntary plans introduced by industrial or Agro-industrial
enterprises.
The signing of three Agreements of Interinstitutional Cooperation with the
productive sectors of the country: coffee, sugar cane and pig farming. These
sectors gather some of the most important productive enterprises of the country.
[See Annex 7]
As a result of these actions, during 1995, 96% of the coffee mills reduced
their waste use through the implementation of recirculation mechanisms
in every stage of the process, such as the filtering process.
Sedimentation tanks, dry extraction of pulp, and non-hydraulic pulp
transportation were also installed in 92 of the 129 coffee mills existing in
the country.
An adequate on-site visit plan for each company involved in order to convince
the people to protect the environment.
An "Action Plan" is being elaborated to evaluate on the short and medium terms
the firms involved in these voluntary plans for wastewater treatment.
3.2.3 Acknowledgments and incentives
As part of the actions of the Chamber of Industry, the Municipality of San Jose and the
Ministry of Environment and Energy, the "Ecological Flag Project" was created in September
1994, through the ratification of the Coordinating Commission of three communities, including
the one drained by the Grande de TSrcoles River, Playa Guacalillo.
The "Ecological Flag Project" consists in a distinction that is awarded to those
industries, communities and institutions that help protecting the environment and cleaning up
the rivers. During 1995 there were 13 ecological flags awarded to industries, and 10 schools
were acknowledged because of their support to the protection of watersheds.
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1058 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
This project is divided into three parts — cleaning of rivers, reforestation, and
maintenance. The first step incorporates the different communities through their organizations
in order to clean up the banks of rivers. The second phase is reforestation based upon a plan
elaborated by technicians of the Ministry of Environment and Energy. The third step consists in
the application of measures established by the citizens to keep rivers clean and trees protected.
To obtain an "Ecological Flag" the industry, the community or the institution must
accomplish the three steps mentioned above. The flag is granted by the respective Coordinating
Commission and the Ministry of Environment and Energy.
3.2.4 Environmental Organic Law, N° 7554
With the publication of the Law N° 7554, the name of the Ministry of Natural Resources,
Energy and Mines (MinisterioRescursos Naturales, Energia Y Minas) changes to that of Ministry
of Environmentand Energy, increasing its action area on environmental matters. That represents
a new challenge in relation to waste management and a change of perspectives with the help
of environmentaleducationand the participationof the community in a sustainabledevelopment.
That is the reason why many agreements have been signed, for instance, with the Spanish
Cooperation Agency, the Institute of Municipal Development and Consulting, and the Ministry
of Health for the construction of solid waste management systems with 40 municipalities of the
country and the construction of sanitary conduits.
4 INTEGRAL MANAGEMENT OF THE NATURAL RESOURCES OF THE
GRANDE DE TARCOLES RIVER PROJECT: A CIVIL SOCIETY INITIATIVE
4.1 Background
In August 1992, the first "Seminary of the Grande de Tarcoles River" took place as an
incentive of the municipalities and as an example of the interest of the Costa Rican society to
implement actions to benefit the environmental quality of the resources of this watershed. Local
Governments, private and public institutions, and nongovernmental organizations took part in
the event. [See Annex 8]
As a result of this Seminary, the "The Grande de Tarcoles River Commission" was
created, with the participationof Ministries, Local Governments, Autonomouslnstitutions.NGO's
and Private Enterprises. This Commission will support the Ministry of Environment and Energy
by controlling and recuperating the environmental quality of this important watershed.
The Inter-AmericanDevelopmentBankapproveda projectforthe Integral Management
of the Natural Resources of the Grande de Tarcoles River presented by this Commission in
May, 1993.
4.2 General objectives
The general objectives of the "Integral Management of the Natural Resources of the
Grande de Tarcoles River Project" are:
• To reach an integral development through the sustainable use of resources and
land use planning program based upon a successive approximation system that
propitiates an increase in the agricultural, cattle and Forestal productivity.
• To improve the quality of life and the environmental conditions including the rural
and urban communities in these initiatives.
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ENG. GONZALEZ SALAZAR, MARCO ANTONIO 1059
4.3 Duration of the project
The project will last twelve years divided into three consecutive periods of four years
each. During the first phase a strategy of land use planning of the watershed must be elaborated,
the potable water supply to rural areas must be guaranteed, and there must be an adequate
use of soil and training of local organizations, among others. The project starts in April 1996.
4.4 Beneficiaries
In general, the Costa Rican community will benefit through a better environmental
quality, public health, recuperation of the water resource with the help of the sub-programs of
the project, that include land use planning, natural resources, monitoring and control of pollution,
and monitoring and control of potable water.
"The Grande deTarcoles River Commission,"the Ministry of Environmentand Energy,
and the Chamber of Industry granted "Ecological Flags" in February 1995 to all the new
enterprises that joined this pilot project, as an incentive to promote the participation of more
sectors of the society to contribute to the preservation of our natural resources. Also were
awarded with an "Ecological Flag" those companies that since 1993 have been distinguished
with the "EnvironmentalConservation Prize" granted by the Ministry of Environmentand Energy,
the Municipality of San Jose, and the Chamber of Industry because of their new productive
process that reduce or eliminate the discharge of pollutants in the environment. These are only
few examples of what we have done in order to be in harmony with nature.
5 CONCLUSIONS
Based upon the results obtained, the sustainable development model, that propitiates
a high level of participation of the civil society, has allowed the introduction of viable actions
and practices to give short term solutions to the problem of wastewaters of the country. Such a
model could be emulated by other countries that suffer similar limitations.
Costa Ricans are taking up their share of the responsibility for long term preservation
of our watersheds. This is the case of the Grande de Tarcoles River, which we have analyzed
above and that shows that through the real participation of the civil society many valuable
experiences can be reached in our journey to sustainability. The Authorization System, the
Voluntary Plans, the Acknowledgments and Incentives, and the Environmental Organic Law
are only a sample of the new mechanisms our present Government is implementing, whose
results have been also very positive in a short term.
As we have seen there are various roles the citizens may play in environmental
enforcement and achievement of compliance, that is, their role as an economic and social
force for compliance, their role in identifying violations, and their role in pursuing enforcement
actions or forcing governments to pursue violators.
In analyzing the causes of environmental destruction, it is evident that we, human
beings, need to make fundamental change in how we view the world. We need to see ourselves
as part of the natural world, and we need to radically change our relationship to it. We need to
be aware of the fact that we are not owners, but in a certain manner, custodians of nature an all
the living things that populate the planet. We need to recognize that we have acquired an
enormous responsibility for ourselves and for the future generations, as well as for the other
beings that inhabit the planet. This is a genesis of a new Costa Rican citizen for this new stage
of development in alliance with nature.
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1060 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
REFERENCES
1. Asamblea Legislativa de la Republica de Costa Rica. 1995. Ley Organica del
Ambiente. La Gaceta, Diario Oficial. 8 pags.
2. Blanco, Rigoberto. 1995. Sistema Nacional de Acreditacion para Laboratorios.
Comunicacion Personal. Oficina Nacional de Normas y Medidas. Ministerio de
Economia, Industria y Comercio.
3. Camara de Industrias de Costa Rica. 1994. Informe a la Municipalidad de San Jose
sobre los resultados obtenidos por las industrias cuestionadas por sus desechos
solidos.
4. Duarte, Asdrubal. 1995. Informe del Comisionado de la Sociedad Civil. Ministry of
Environment and Energy. 8 pags.
5. Informe de la Republica de Costa Rica sobre gestibn de los recursos hidricos
(Apendice B). 1994. Documento presentado en el Seminario Taller sobre la Gestibn de
los Recursos Hidricos del Istmo Centroamericano. Sede del PARLACEN. Guatemala.
pp. 1-69.
6. Ministerio de Planificacion y Politica Economica. 1995. Plan Nacional de Desarrollo en
Marcha: Principales logros de la Administraci6n Figueres Olsen, 1994-1995. Sistema
Nacional de Evaluacion. pp. 32-38
7. Ministerio del Ambiente y Energia. 1995. Informe de labores: Bandera Ecolbgica,
periodo 1995. 4 pags.
8. Agreements of Inter-institutional Cooperation among:
• El Institute del Cafe de Costa Rica.
• Ministerio de Recursos Naturales, Energia y Minas.
• Ministerio de Salud.
• Liga Agricola e Industrial de la Cana.
• Camara de Porcicultores.
• Comite Coordinador Regional de Instituciones de Agua Potable y Saneamiento
de Centroamerica, Panama y Republica Dominicana.
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CARIBBEAN SEA
PACIFIC OCEAN
56 mi
PANAMA
COSTA RICA
Pnpulation
3.5 million
Area (so km}
51.100
Spanish
Ijteracv Rate
93%
TJfe Expectancy
men 75 yrs
women 79 yrs
Average Temperature
70°-90° F
Government
Execuuve Branch
Legislative Branch
Judicial Branch
Electoral Tribune
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1062 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
ANNEX 2
COSTARICA: CURRENT LAND USE
Urban Life
Conserved and
Wldands Community
25% Network
5*
Agriculture,
Forestry and
Livestock
70%
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ENG. GONZALEZ SALAZAR, MARCO ANTONIO 1063
ANNEX 3
MAIN RESPONSIBLE FOR THE
POLLUTION OF THE GRANDE DE
TARCOLES WATERSHED
Other Domestic
Industrial Watere
Activities 14%
18%.
Coffee
Industry
68%
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FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
ANNEX 4
ADMINISTRATIVE FRAMEWORK
Ministry of Health
MSP
.
DSA
4 h
Minn
Environ
En
Ml
stryof
mentand
ergyf „
MAE
SETENA
Ministry of
Economy, Industry
and Commerce
MBC
I
ONNUM
i
CMC
SNE
Private & Public Entities
ICAA
DSA: Department for Environment Sanitation
SETENA: National Technical Environmental Secretary
SNE: National Electricity Service
ONNUM: National Office of Standard and Measurement Units
CNC: National Commission of Quality
ENA: National Equity for Authorization
ICAA: Costa Rica Aqueduct and Sewerage Institute
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ENG. GONZALEZ SALAZAR, MARCO ANTONIO 1065
ANNEX 5
COSTA RICA -A PILOT PROJECT FOR SUSTAINABLE
DEVELOPMENT
What do we understand under the concept of sustainable development?
"To find a better well-being in the present while sustaining the initial
equilibrium that has made our development possible in the long-term,
combining a strong social investment with macroeconomic equilibrium
and an alliance with nature, "as our President, Eng. Jose Maria
Figureres said, at the First International Forum "From Forest to Society"
held at San Jose, Costa Rica, on May 9,1994.
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1066 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
ANNEX 6
CURRENT ENYIRGSIMENrAL COMPLIANCE
A^ ENFORCE]
1 Authorization System
1 Voluntary Plans
1 Acknowledges and Incentives
1 Environmental Organic Law, No.7554
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ENG. GONZALEZ SALAZAR, MARCO ANTONIO 1067
ANNEX 7
COFFEE RESIDUAL WATER TREATMENT
IN COSTA RICA
National Electricity
System
Costa Rlcan -
Aqueduct of
Sewerage Institute:
ICAA -
Ministry of Environment
and Energy
MINAE
{ PresidenctodetaRepublica
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FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
ANNEX 8
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VAN DlJK, J. 1069
DEVELOPMENT AND IMPLEMENTATION OF INFORMATION EXCHANGE BY
ENFORCEMENT OF ENVIRONMENTAL LEGISLATION
VAN DlJK, J.
Member of the Provincial Executive, Provinciehuis Groningen, P. O. Box 610, 9700 AP
Groningen.The Netherlands
SUMMARY
This papergives a brief description of the Environmental Offenses Notification Bureau as
a component of the 'Information Exchange Framework'established in one of the provinces of the
Netherlandsto assist in the enforcement of environmental legislation.
The exchange of information is also discussed, in particularthe informationinvolved, the
recipients and where the information is stored. This framework makes it possible to compile surveys
and management reports, which can be of use, for example, in the evaluation of collaborative
projects, and the determinationof (cooperative)priorities based on the yield for the environment.
Once a good structure for cooperation and consultationhas been realized, this system of
information exchange will be a step forward in the direction of increasing the quality of enforcement
cooperation.
1 DEVELOPMENTS
In the Netherlands many government authorities are involved in the enforcement of
environmental legislation. Enforcement is not only effected under administrative law. The police
and the Public Prosecutions Department are responsible for dealing with violations of environmental
legislation under criminal law. To achieve good results it is important that there is close cooperation
between these various authorities.
All authorities involved in the enforcement of environmental legislation have representatives
in the National Coordination Committee for EnvironmentalLaw Enforcement, which operates at a
national level. This consultative platform stimulates further implementation of the enforcement structure
and facilitates the realization of the national enforcementprioritiesas established by the platform.
In its intermediate position in the administrative structure, it is the statutory duty of the
provincial authority to establish consultative bodies, and to implement a consultation structure between
all authorities involved in the supervision and the enforcement of environmental legislation within its
territory.
An annex to this paper gives an introductory description of the Netherlands as a
decentralized unified state and of the enforcementactivities at a provincial level.
In October 1990 the enforcement authorities received a letter from the Minister of Housing,
Spatial Planning and the Environment (also on behalf of the Minister of Transport, Public Works
and Water Management, the Minister of Justice, and the Minister of Home Affairs) in which the
outlines of the administrative enforcement structure were given. This letter stipulated that an
enforcement organization should be created, in which all authorities involved in the enforcement of
the environmental legislation shall cooperate in orderto ensure that systematic attention is given to
enforcement.
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The broad outlines of this structure have now been realized. A Provincial Environmental
Forum has now been established in each province. Administrative and judicial enforcement are
attuned to each other in this Forum, by the use of scenarios, annual programs, etc.
Consultations are also held to make a joint assessment of the priorities based on the
expected environmental yield. A further objective is to practice integral enforcement wherever
possible, i.e. supervision and inspection which are not restricted to one compartment (air, water,
soil, waste, noise).
The heart of this cooperative enforcement - and of the enforcement structure - is the
intermunicipal cooperation in the regions as defined by the Joint Regulations Act of the Netherlands.
2 EXCHANGE OF INFORMATION
This cooperation needs a propermutual exchange of two types of information.
The first type is information about environmental incidents and violations, in particular
actions under criminal law, and administrative law from administrative warnings onwards. This
information was not previously registered as such, or exchanged.
To this end the Provincial Environmental Forum established the Environmental Offenses
Notification Bureau in Groningen a few years ago. This bureau is under the management of the
regional police.
The second type is information about environmental licenses, areas and installations within
which activities take place which are of relevance to the environment. As a result of the relevant
statutory provisions this exchange of information was already operationalto a large extent.
A system, a framework, is now needed to facilitate the proper exchange of these two
types of information and, where necessary, to store the information. This paper explains which
information is stored where, how, and to whom the information is supplied.
2.1 The environmental offenses notification bureau
Those responsiblefor enforcement in the field also need the right information at the right
time. This is one of the reasonsforestablishingthe Environmental Offenses Notification Bureau.
This bureau is a joint initiative of the provincial enforcement authorities and uses a computer system
which is managed by the police. This computer system is fed with information about environmental
offenses from all the enforcementauthoritiesinvolved, so that those responsiblefor enforcement
have the correct information at their disposal.
ENFORCEMENTS PRACTICAL EXAMPLE (of how not to do it)
Somewhere in the province a car breaker isn't too concerned about environmental
legislation. There's rubbish far beyond the boundaries of his grounds, the drainage ditches are
polluted with oil, and the storage of the car wrecks is certainly not as it should be. This attracts the
attention of several enforcement authorities. The water control board sends a registered letter
which orders the breaker to remove the bits of cars scattered outside his grounds within four
weeks. Then the water quality board sends a demand that the pollution of the drainage ditches
be rectified within a periodoftwo months. A week later the police draw up an official report because
of immediate critical damage to the environment. Finally, the provincial authorities send a warning
that the car breaker is conducting a business illegally. He is granted six weeks to take the necessary
measures, and to apply fora license.
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The breaker is now on the verge of despair. He does not have the faintest idea which
authority has demanded what measures be taken within which period of time. So for the time
being he does nothing at all.
This situation could have been avoided by calling in the Environmental Offenses Notification
Bureau.
2.2 The Environmental Offenses Notification Bureau: a practical aid
An enforcement authority can exchange operational information in consultation with a police
environmental inspector. Here the Environmental Offenses Notification Bureau can be a source of
information with a clearadded value. All police environmental inspectors have direct access to the
database. For example, the information from the bureau can show whether another authority is
already dealing with the same case. Or it might show that the perpetrator has previously committed
a similar offense. The bureau enables the enforcement authority to be fully informed before it takes
any action. The information provided by the bureau may lead to the authority deciding to conduct a
joint action.
As well as information of a more general nature, the EnvironmentalOffensesNotification
Bureau can also supply information which can be traced back to one specific individual. The Data
Protection Act requires that two conditions shall be met before such information may be exchanged:
the exchange must be necessary for the enforcement and may only be exchanged between two
competent persons (for example between supervisory officials from an administrative authority and
investigating officers from the police).
2.3 Environmental Offenses Notification Bureau: a management tool
The Environmental Offenses Notification Bureau is more than an aid for just those
responsible for enforcement in the field. It can also be a tool for the collaborating enforcement
authorities when deciding on policy matters. For example, the bureau can show trends in violations,
or it can provide information about the results of enforcement actions during a specific period of
time. For easy reference this information is presented graphically. On request, members of staff of
the bureau can also compile management reports.
2.4 Up-to-date information is important
The Environmental Offenses Notification Bureau can assist in ensuring that the right
information is available in the right place at the right time. Obviously the extent to which the bureau
can do this depends entirely on the entry of up-to-date information. This information must be provided
by all the enforcement authorities. The information is indicative information: the relevant information
after a specific stage in enforcement.
When the bureau is to be used for project evaluation then it is also necessary to provide it
with additional information.
This means that in addition to the information processed by the EnvironmentalOffenses
Notification Bureau, the bureau also has to have informational its disposal about environmental
licenses, areas and installations within which activities take place which are of relevance to the
environment.
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1072 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
2.5 Central information and coordination points
It was decided that the municipalities would manage the information about environmental
licenses, areas and those installationswithin which activities take place which are of relevance to
the environment. In accordance with the statutory obligationsthe municipal administration already
receives all licenses, both new and modified, in so far as these are for installationswithin the
territory of the municipality concerned. In turn, the municipalities constitute three intermunicipal
collaboration groups within the province. The municipalities periodically provide their collaboration
group with the latest available relevant information on environmental matters, and in so doing
constitutea Coordination and Information Point for environmentalenforcement.
3 USE IN PRACTICE: THE INFORMATION EXCHANGE FRAMEWORK
Agreement has now been reached about the way in which the municipal administrations
and the other enforcement authorities involved receive the requisite information, and how they
make the information available to the others. These arrangements have been laid down in a written
agreementinorderto further compliance with them by all parties involved. Thisforms the structure
of the informationexchangeframeworkas establishedin the province of Groningen.
3.1 The added value of information exchange
Information exchange is intended to be a support tool for the enforcement activities; it is
not an objective as such. Informationexchange should contribute towards a better enforcement of
the environmental legislation. The formulation of the general assumptions and the specific
agreements for each authority involved provides structure to the agreements on information
exchange; this is the added value.
Overlaps in providing information are discontinued; it becomes clear who has what
information at his disposal. The intention is that information exchange be at an optimum rather than
a maximum.
3.2 Just two telephone calls
As a result of the designation of two concentration points for up-to-date information
(municipalitiesand the Environmental Offenses Notification Bureau) just two telephone calls are
sufficient to determine the environmental status of any specific installation: one telephone call to the
relevant municipality for the administrative status, and one telephone call to the Environmental
Offenses Notification Bureau for information about violations (under both administrativelaw and
criminal law). It should be realized that both bodies have only a referral duty. This means that they
only state whether, for example, a license has been issued; or that, for example, there is some
violation of environmental legislation. More detailed information about the license and the violation
should be requested from the relevant enforcement authority. Mutual contacts between enforcement
authorities remain essential. An additional advantage of the reinforcementof the municipalitiesas
a concentration point for information is that they now have a much better idea about matters
concerning their own territory. This will be of help to them, for example in responding to complaints
from their citizens. The additional information can also be used in the execution of the municipality's
own enforcement tasks. The Coordination and Information Point plays no part in keeping the
information up to date.
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VAN DlJK, J. 1073
3.3 Identification of trends and developments
An additional benefit is the identification of trends and developments, which is possible
for two reasons. First, the supply of information to the Environmental Offenses Notification Bureau
has been improved. Second, information is periodically compiled at the Coordination and Information
Point - and the Coordination and Information Point can readily compile the information because the
municipalities within each Coordination and Information Point use the same software. Together
these advantages allow this information to be combined and processed in orderto identify trends
and developments. This analysis allows more efficient use of the limited means the cooperating
enforcement authorities have at thei r disposal.
3.4 Guarantee and quality control
This information exchange is guaranteed by making and implementing clear agreements,
and obtaining firm commitments. Information exchange supports enforcement. It furthers cooperation,
and it assists in the execution of the enforcement tasks. This means that information exchange
responds to developments in cooperation, and in methods of enforcement. It is necessary to make
an annual evaluation of the agreements which have been made, and the extent to which they are
being complied with. For this reason the agreements are being integrated in the 'enforcementof
environmental legislation'manual. The interests and improvement of this guarantee and quality
control should also be borne in mind with regard to both personnel and the organization. All
enforcement authorities involved have signed an agreement in which they declare themselves willing
to allow a verification of the quality of the information they provide. This has created a framework
within which information exchange can further develop.
3.5 Usefulness to others
This paper shows that information exchange at a provincial level, in consultations with all
involved, can be brought to a higher level. The precise way in which this is achieved in other situations
is dependent on the specific conditions within the cooperation.
4 EXPECTATIONS FOR THE FUTURE, TOGETHER TOWARDS A BETTER
ENVIRONMENT
The Environmental Offenses Notification Bureau was officially launched in September
1994. From that moment on the bureau was availablefor consultation. Obviously the framework is
continually being perfected, with the wishes of the various cooperating enforcement authorities
being taken into account. Practice will show that the efficiency of environmental policy and its
implementation will be improved by this information exchange - if possible linked to other information
systems, together with the consultation of other national and possibly international information
exchange networks. This will allow the information needed for individual cases to become available,
together with the preparationof surveys for monitoring and for managementinformation.
This is why it is important that information is processed in one standardized manner, that
the systems are compatible with each other, and that, where necessary, they can be linked to each
other (on-line).
This standardization will make the cooperating enforcement authorities more decisive
- and more credible to the general public, and to offenders. And... the environment will be the better
for it.
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ANNEX AN INTRODUCTION TO THE NETHERLANDS
1 INTRODUCTION
A general impression of the duties of the different levels of government in the Netherlands,
especially of the province will be given.
It is important to note that the Netherlands has a parliamentary democracy on all three
levels of government.
This requires a system of cooperation between the government and parliament for central
government, provinces and municipalities.
Since a system of proportional representation is abided by the government needs a
parliamentary each time items of policy are charged or produced. The government works under the
rule of law, which means that the power of governmental bodies is based on a legal competence.
1.1 Decentralization
The Kingdom of the Netherlands is a unitary, but decentralized state. The framework of the
State and State laws comprises of:
• provinces; and
• municipalities.
On a special level these both consist of a region which is a part of the State's land. The
government of the provinces and the municipalities have their own councils of elected
representatives.They work in the general interest of the public inhabiting these regions.
1.2 Main responsibility to ministers
The main duties and aims of policy have been assigned to the ministers of State. Specific
planning systems have been set up for most of the fields of policy, both on the national and provincial
level. For example:
• environmental plans;
• spatial plans; and
• watermanagementplans.
2 PROVINCES
The situation in the province of Groningen is as follows:
• The Provincial Council or Provincial State. This is the provincial parliamentconsisting
of 55 members, directly chosen by the inhabitantsof the province.
• The Executive Committee, comprising of 7 members, chosen from the members of
the Provincial Council. Theirs is a full time job, governing the province. As a memberof
this committee the author is responsible for affairs in the field of the environment,
agriculture, nature, landscape and public information.
• The Queens Commissioner, who is appointed by the Queen. He chairs the Council
and the Executive Committee.
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VAN DlJK, J. 1075
There is also a provincial administration helping the Executive Committee to prepare and
implement policy in all the differentfields.
The province consists of seven different departments, includingthe department of water
quality, spatial planning, traffic and transport, welfare and economic affairs and the environment
and water management.
2.1 Decentralization of the province
Since 1970 there has been a great increase in the amount of legislation in the fields of the
environment and water management. Many of the tasks and responsibilities have been decentralized
to provinces, municipalitiesor water boards.
It is important to emphasize that the province has an important strategic role in the field of:
• spatial planning/land use;
• environmental planning; and
• water management planning.
Although there is no formal hierarchy between the national and the provincial environmental
policy plans, the provincial government takes account of the main aims of the national environmental
policy plan, as well as those of the European Community.
Besides planning the province is responsiblefor granting and enforcing perm its to larger
industries and installations, and to large-scale activities in the open field, with the Executive
Committee as the competent authority.
2.2 Task of municipalities
The municipalitiesare not obliged to make an environmental policy plan. Howeverthey
are responsiblefor granting and enforcing permits for installations, businesses and activities in the
open field with less environmental impact.
3 ENFORCEMENT ACTIVITIES OF THE PROVINCE
The enforcement activities of the provinceare:
3.1 Inspection and control activities
The province is the competent authority to grant licenses and also carry out inspections to
enforce the environmental law for those activities which have the greatest effects on the environment
(10%).
The municipalities are responsible for the environmental licenses for the rest of the activities.
The waterboardsare the main authorities to grant licensesand also carry out inspections
to enforce the Pollution of Surface Water Act.
Therefore several civil servants have been appointed by the province, municipality and
waterboardas inspectors. They regularly pay visits to their license-holdingindustriesand firms.
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3.2 Coordination and enforcement activities
Many authorities are involved in enforcing environmental law in the Netherlands.
Enforcement does not only involve administrativeenforcement, but also the police and the Public
Prosecutortracing and persecuting criminal activities which breakthe environmental laws.
Close cooperation is necessary to achieve good results. The provincial administration,
as the administrative body on the "middle level" has been given the legal responsibility to organize
regular meetings between the representatives of the organizations involved with enforcing the
environmental laws. It has done so by instating a consultative body.
3.3 Tasks of the provincial policy for environmental law enforcement
• tocompareandadjusttheenforcementpolicyofalltheauthoritiesinvolved;
• to set up a network for enforcementand to promote cooperation;
• toexchangeallkindsofenforcementinformation;and
• scenario.
The "scenario enforcement of environmental lawforthe province of Groningen" discusses
the common aspects of enforcement, which are of importance for all the authorities and for the
different regulations.Thingsdiscussedincludegeneralaspectssuch as:
• publicity;
• exchange of information;
• coordination;
• recommendationsconceming the supervision; and
• the choice between a criminaland/oradministrativeapproach.
The scenario also deals with diverse specific subjects as fertilizerand waste products. It
also concentrates on what (and at what point in time) is expected from whom with respect to specific
issues.
Good administration and official consultation also take place on local level between the
municipalities, province, police, Inspectorate for the Environment and Public Prosecutor. These
consultations take place regularly(5 to 7 times a year). They also allow the participants to get to
know one another better.
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HERMAN, STEVEN A. AND VERKERK, PIETER J. 1077
CLOSING REMARKS FOR THE FOURTH INTERNATIONAL CONFERENCE ON
ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
HERMAN, STEVEN A.1 AND VERKERK, PIETER J.2
1 Assistant Administrator, Office of Enforcement and Compliance Assurance, U.S.
Environmental Protection Agency
2 Inspector General, Inspectorate for the Environment, Ministry of Housing, Spatial
Planning and the Environment, The Netherlands
Ladies and Gentlemen, on behalf of the Executive Planning Committee for the Fourth
International Conference on Environmental Compliance and Enforcement, we bring this Conference
to a close. We want to thank the speakers, the moderators, the facilitatorsand of course you as
participants for your contributions in the plenary sessions, the workshops and the regional meetings.
We observed very active participation and lively discussions not only during the formal working
sessions but also among you as participants well after the meetings stopped. You went on even
afterthat, during lunch, afterdinnerand well into the night.
Your energy and enthusiasm was evident and in saying that we feel free to conclude that
this conference was a very great success. We took great strides forward in establishing the kind of
networking and exchange of experiences the conference organizers hoped to achieve. We look
forward to reviewingyourevaluationforms.
The conference was sponsored by: the United States Environmental Protection Agency;
the Environmental Law Instituteof Washington, D.C.; the European Commission in Brussels; the
United Nations Environment Program in Paris; Environment Canada; the Pollution Control
Department of the Royal Thai Government; and the Ministry of Housing, Spatial Planning and the
Environment of The Netherlands. They were assisted in preparing this Conference by the Executive
Planning Committee with representatives of the Environment Ministries of Mexico, Chile, Costa
Rica, South Africa, Egypt, Nigeria, Poland, Hungary, England and Wales, Malaysia, the Philippines
and the Peoples Republic of China as well as representativesof the United Nations Development
Program, the World Wildlife Fund and the United Nations EnvironmentProgram in Nairobi. Their
efforts were in response to the growing demand for a fourth conference in Asia following the Third
Conference in Oaxaca, Mexico.
OPENING AND WELCOMING REMARKS
Minister Yingpan, the Environment Minister of Thailand, welcomed participants, establishing
the commitment of Thailand to effective environmental enforcement viewed in the context of
sustainable development. His country, undergoing such rapid growth as is the rest of Asia, has
been working to catch up to the intense pressures on the environment. He recognized that domestic
programs contribute to global environmental improvement and this justifies regional and international
cooperation. But also in Thailand a new law has been passed with enforcement measures that has
already started to enhance the environmental quality in ten designated pollution control areas.
Steve Herman, Assistant Administrator of the US Environmental Protection Agency,
opened the conference, reflecting on the strong public support for enforcement and growing
awareness that environmental pollution affects economic productivity, health and the quality of life
for now and for generationsto come. He emphasized, however, that strong enforcementmust be
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1078 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
the underpinning of all environmental efforts. Voluntary programs and compliance programs will
not work unless they are constructed on a foundation of strong and vigorous enforcement. Strong
enforcement guarantees the credibility and integrity of a nation's environmental policy. Since pollution
does not respect borders, neither can our enforcement programs. Nations must work together and
this conference will strengthen curability to continue to work together.
Minister Margarethade Boer of the Netherlands by means of her Inspector General Pieter
Verkerk addressed the need for government enforcement programs to work with each other at
both the domestic and international levels. In the Netherlands the Environment Ministry has integrated
its activities broadly by establishinga National Committee on environmental law enforcementwith
other ministries, regional authorities such as provinces, municipalitiesand water boards and the
police. The Netherlands strongly supports regional cooperation and has a strong position within
the European Union's network for implementation and enforcement of environmental law. Projects
on transbordershipments of waste as well as bilateral contact in individual enforcement cases are
part of this international networking.
1 DRIVING FORCES FOR ENVIRON MENTAL COMPLIANCE AND
ENFORCEMENT
Mr. Reuben Olembo of the United Nations Environment Program delivered the keynote
address for Elizabeth Dowdeswell on theme 1, the driving forces behind environmental compliance
and enforcement programs.
Ultimately, there is only one driving force: the inescapable need for environmentally
sustainable development. Making progress toward sustainable development means making
progressin six areas: atmosphereand climate; deforestationand desertification;fresh water and
the oceans; toxic chemicals; biodiversity; and energy and natural resource consumption. Chapter
8 of Agenda 21 at the 1992 Earth Summit specifically states the need to build compliance and
compliance capacity as an essential element of environmental management. Further driving forces
are: publicdemand; industry and internationaltrade; and standardsand agreements.
Following the keynote address on this theme the panel discussion revealed the importance
to industry of certification under emerging international voluntary standards. Industry sees ISO
14000 as a way to make more environmental progress at less costs and an opportunity to sell this
to advantage in the marketplace. There is awareness that certification simply means that an
environmental management system is in place, but not that the company is in compliance. And,
while governments must try to developappropriaterelationshipsand recognition of industries who
subscribe to these standards, they must take these factors into account.
Furthermore, a concept of social acceptability is a driving force. In the Philippines this
system of seeking popular approval of environmental actions works and citizen involvement and
interest is driving compliance. Privatization can be a driving force as can transformation of economies
and desires to join in economic blocks. In Poland privatization turned out to be a driving force
several years ago but now the key influenceis a desire to join the European Union. In Mexico and
Nigeria commerce and international trade and problems in concern with illegal shipments are
driving the countries'environmentalcomplianceand enforcement programs.
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HERMAN, STEVEN A. AND VERKERK, PIETER J. 1079
2 APPLYING PRINCIPLES OF ENVIRONMENTAL COMPLIANCE AND
ENFORCEMENTTO SOLVE ENVIRONMENTALPROBLEMS
We had an excellent overview of the definitions of the terms compliance, enforcement,
and compliance and enforcement programs, which provided us with a common frame of reference
for discussion and exchange despite our different cultures and legal settings. We all had an opportunity
to apply those principles to interesting case studies reflecting shared environmental problems in
residentialand industrial waste disposal, petroleum refining and petrochemicals, mining, tourism,
deforestation, coal burning and processing, and in a new case study on transboundary illegal
shipments of hazardous waste, pesticides and ozone depleting substances. These workshops
were supported by standalone technical support documents highlighting control and prevention
opportunities.
3 ESTABLISHING INTERNATIONAL COOPERATION AND REGIONAL
NETWORKS
The Fourth Conference builds upon several networks for enforcement that have grown out
of these conferences. Conference participants heard reports on progress from the European
Implementation and Enforcement of Environmental Legislation Network, IMPEL. In the Fifth
Environmental Action Program for the European Union a strategic plan for sustainable development
in Europe was presented in which enforcementis a major subject, augmented by market oriented
approaches, such as environmental charges, negotiated agreements, fiscal instruments, and
environmental liability. The European enforcement's week-long staff exchanges are a great
mechanism and morale builder. Networks deliver information, consistencyacross programs, and
support for problem solving.
The workings of Interpol were explained and achievements cited in networking country
police and information and expertise exchange. Interpol maintains a worldwide network of police.
The standard of information exchange regarding environmental crime is the "ecomessage." Interpol
supports training programsto build environmentalexpertise.
In Asia, ASEAN represents a potentially strong network for environmental compliance
and enforcement. In particular, the ASEAN Senior Environmental Officer forum maintains six working
groups on environment: 1) transboundary pollution; 2) environmental management approaches; 3)
environment and economy; 4) environmental information; 5) sea water; and 6) environmental
conservation. It also establishes bi- and tri-lateral dialogues. South Asia also has a network to
explore environmental issues but similarly it does not focus on implementationand enforcement
issues.
At the moment there is little regional cooperation in the Middle East on environmental
matters but there are possibilitiesand opportunitieswhich may be realized with high level support,
further advances in domestic environmental programs and legal frameworks, support from
international organizations and common commitments to international agreements. The first steps
will be getting to know each other, exchanging preliminary information and identifying common
needs. Then it may be possible to identify national focal points and sketch a possible structure and
potential objectivesforexchangeandappropriatecommunicationmechanisms.
In the Americas, international cooperation is yielding real results. Efforts such as joint
training of inspectors and customs officials, targeting, and conducting enforcement actions are
showing that regional cooperation works. Additionally, programs to encourage responsible
environmental behavior by industry conducting business on both sides of the border are also
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1080 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
promising. Haztracks, a US-Canada-Mexio) effortto track transboundaryshipmentsof hazardous
waste, has led to identification of international violators. The North American Council on
Environmental Cooperation is serving as a neutral forum bringing countries together. In Central
America programs for cooperation in sustainable development and harmonization of environmental
laws are just beginningto address implementationand enforcementissues.
4 INTERNATIONAL CAPACITY BUILDING
The purpose of this session was to present the kind of international support available to
countries and NGOs for building capacity for effectiveenvironmentalcompliance and enforcement
in addition to bilateral exchanges.
First, the United Nations Environment Program presented both their environmental law
and their industry and environment programs and the support they offer. This presentation opened
by establishing sustainable development as the general framework for capacity building post-
UNCED. Four steps were dted to capacity building: 1) development of legal and institutional policies;
2) development of national laws; 3) negotiation on environmental programs; and 4) developing
institutional capacity for industrial compliance including permitting, compliance monitoring and
enforcement. UNEP has taken on the responsibilityofcoordinatingeffortsof all UN agencies.
To accomplish these goals, UNEP'senvironmentallaw center focuses on use of country
experts, not outsiders. Program assistance must be sustained until results are attained. Partnerships
are key. UNEP programs must support country enforcement programs, move environmental attention
"up the pipe" to prevention, support partnerships with other institutions, encourage technology transfer,
and integrateenvironmentand other policies.
The Environmental Law Institute, U.S., a leading NGO, suggested that thee are three
elements that are necessary to build capacity for effective public involvement in supporting
compliance and enforcement: (1) legal rights- i.e. standing; (2) access to information; and (3) clear
enforcement standards. Several NGO's offered the fact that they were greatly assisted by ELI and
the Alliance for Environmental Law in establishing effective NGO's and in training through their
regional and international projects.
The United Nations Development Program, UNDP, was the task masterfor Chapters of
Agenda 21 on capacity building. UNDP is focusing its efforts on desertification, finance (the Global
Environment Facility), energy and atmosphere, natural resources management, and sustainable
development networking.
The World Bank has a growing portfolio of projects devoted to institutional capacity building
usually in association with specific projectsanddevelopmentprograms.
Other elements of capacity building mentioned during the general participantdiscussions
included:
• measuring success through reporting;
• joint enforcement efforts among governmentand NGOs;
• formal training programs to build skillsforattomeys;
• use of internetassourceofpublicinformationon offenders;
• engagement of media in support of program goals;
• grade school education on environmental values; and
• use of citizen lawyers for enforcementactions and prosecution.
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HERMAN, STEVEN A. AND VERKERK, PIETER J. 1081
SPECIAL TOPIC AND INSTITUTION BUILDING WORKSHOPS
5.1 Strategic Targeting
Participants in two separate workshops from countries with a broad range of existing
environmental enforcement programs, including a few who had strategic targeting plans for
environmental compliance and enforcement and many who were interested in developing these
plans, discussed and made observationson the following:
1. Strategic priority setting requires discussion with others, both within the organization
responsible for environmental compliance and enforcement as well as with other
ministriesor organizationsand the public.
2. Strategic targeting requires an overall framework, for example, national action plans to
enable priorities to be set.
3. Strategic targeting and priorities often have to be set without complete information.
Several criteriafor information to considerinclude:
• compliance history of the industry or particularfacility;
• experiences in other countries;
• political agendas;
• public concern;
• quantities of pollutants;
• urgency of problems;
• geography;
• topography; and
• specific pollutants.
5.2 Integrated permitting and inspection
Participants from several regions and countries in different stages of development of
permit programs attended the session ~ five countries with developing permit programs and twelve
countries with ongoing permit programs.
5.2.1 Defining "integrated permits and integrated permitting"
Integrated permits were defined by the group as one permit related to one facility covering
all elements of the environment. The group realized that there were different approaches and goals
for integrated permitting systems and integrated permits that existed around the globe, ranging
from integration of permitting processes to integration of substance. These different approaches
were:
a. An additive approach (or the big staple) which essentially added togetherthe results
of what were essentially separate permitting processes to deliver a single permit.
b. A coordinated approach in which separate permitting processes are coordinated
to ensure that cross-media and cross-program transfers of pollution do not occur
and that information about the facility is shared.
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c. Holistic approaches which create new substantive requirements as a result of permit
integration at threedifferentlevels:
• best availabletechnologyfrom a multi-mediastandpointis applied;
• pollution prevention and cleanertechnologyis emphasized in addition to a base-
line of compliance including resource; and/or
• the integratedpermittakes into account overall environmental impacts.
5.2.2 Implementation issues
In reviewing country experiences, it was clear that they reflecteda variety of approaches
and that few countries have had actual experience with integrated permitting that is holistic. Among
the countries participating in the workshop, only New Zealand had experience with holistic
approaches and had carried out integrated permitting to the 3c level by using EIA as an application
and including ecological conditions in the single environmental permit. They have only issued 3 to
4 such permits since their laws were changed in 1991. Some U.S. states are experimentingwith
level 3b integrated permitting but have not yet issued such permits. Many countries in Western,
Central and Eastern Europe are preparing to comply with European Union's IPPC requirementfor
integrated permitting and are facing some very real issues regarding implementation. The
participants discussed several issues:
• The relationship between Environmental Impact Assessment (EIA) processes and
integrated permitting In many countries around the world, environmental impact
assessment either precedes permitting or can serve as a basis for an integrated permit
application. The EIA typically involves an holistic assessment of releases, risks,
ecological impacts, resource usage and all other environmental implications. EIA if
followed up with operational conditions, brings many of the advantages of integrated
permitting even where such permitting is not practiced. If an integrated permit is intended
to identify, measure, weigh, and resolve tradeoffs among media, risks, and impacts,
difficulties remain as to how this can be accomplished, particularlygiven the absence
of methods, technical skills and discretion not easily exercised by the typical permit
writer. Possible solutions involve more guidance, including such judgments in standards
for such permits in advance, and getting discussions among teams of experts who can
help to address such issues. Additional concerns are the pressures to permit new
construction and the potential for delay to address ecological issues related to flora
and fauna.
• Organizational issues: Single-medium permitting and inspection is the norm in many
countries, and organizational lines are drawn by medium. A move to integrated
permitting or inspections raises organizational issues created by organizational
autonomy and the need to cut across organizational lines of authority. Solutions included
New Zealand's approach of making one person responsible both for a site and a sector
to ensure consistency. Related approaches include assigning lead responsibility to
one organization to coordinate and integrate permits as is done in Romania, and South
Africa's proposed tiered model in which local inspectors serve largely to screen for
compliance problems and regional experts, who have sector specific expertise, are
brought in less frequently or when necessary, ensuring familiarity with local conditions
while maintaining expertise. Romania used audits of permit writers and inspectorsto
provide integration.
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HERMAN, STEVEN A. AND VERKERK, PIETER J. 1083
• Multi-media Inspections: The group reviewed the new capacity building support
document on integrated multi-media inspection approaches and discussed the
distinctions that are similar to those in integrated permitting between different
approaches (i.e., screening, teams, consolidated and process based inspections) and
their substantive purpose and scope (i.e., compliance only, screening of environmental
impacts, technical assistance for prevention and compliance). The group discussed
whether the same individuals should write permits and perform inspections. While Austria
and South Africa have combined these roles, and New Zealand's site coordinator
coordinates both for a site, there was general sympathy for Italy's experience that it
works better to separate responsibility for inspectionand permitting.
• Programs can have integrated permitting not accompanied by integrated inspections
and integrated inspection but not integrated permits: There is insufficient experience
to assess whether an integrated permit would assist multimedia inspection.
5.3 Compliance Monitoring
Thirteen participantsattended two sessions and developed recommendations:
• Representatives from developing countries expressed a need for integrated (multi-
media) inspector training. There was considerable interest in the potential for the
modified US EPA multi-media screening checklist in the new capacity building
document on "Multi-media Inspection Protocols". Indeed one official from a developing
country felt that the checklist could serve as a first step for those countries with no
inspection program.
• There was considerable interest in working towards the development of a
communications network and database for the purpose of exchanging information
among countries on multi-national companies operating in several locations as to their
compliance history and use of control technology.
• There was need for training in IS014000 and therefore requested training, in particular
on the relationshipbetween the IS014000 provisionsand the country'sexisting legal
system.
• A particularly interesting part of the discussion focused on the issue of bribery of
inspectors. One of the observations that the group made was that multimedia team
inspectionscan deter the possibilityfor bribery since it is likely that at least one of the
inspectors will be honest.
• The participants had an extensive discussion on self-reporting, self-monitoring, and
record keeping. One need that was uniformly expressed was to obtain a reliable quality
assurance/quality control system to verify such data. Once again, there was interest in
the new capacity building support document on the general subject of source self-
monitoring.
5.4 Promoting Voluntary Compliance
Participants discussed ways to promote voluntary compliance in two sessions. The
participants discussed the notion of "voluntary compliance" for some time since any compliance
with requirements was not really considered to be purely voluntary. Efforts to promote voluntary
compliance and purely voluntary programs were considered to be important ways to achieve
environmental protection and behavior change which can focus on both compliance with
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1084 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
environmental mandates and "prevention" of environmental pollution. Voluntary compliance programs
can achieve results by offering positive and negative incentives, information, education,
communication, and certification of sound environmental performance for use in domestic and
international markets. Nevertheless, participants agreed that there could be no voluntary compliance
without a strong enforcement program that is executed. Many factors drive the success of voluntary
compliance including: public opinion, global competitiveness, enforcement programs, self-motivation
and awareness, improvements in internal accounting systems that identify higherthan expected
costs of waste management, and requirementsof suppliersand buyers.
Some voluntary compliance-oriented programs such as IS014000, shift from a regulatory
to a market based approach that implies the need for a change in attitude. The common denominator
among classical enforcementand new economicand voluntary measures is ensuring some form
of accountability. Market based measures for accountabilitystill need to be developed.
5.5 Measures of Success
There are many ways to define success for an environmental compliance and enforcement
program. Participants in this workshop developed a potential list of measures with dozens of activity
and results measures, but agreed on several principles:
• A mix of quantitative measures and qualitative assessments: no single statistic can be
made useful in the absence of qualitativeinformation.
• Linkage between objectives and measures that are appropriate: For example, an
increasing number of violations is a success in a program seeking to improve detection
and a failure in a program trying to reduce the rate of noncompliance. Similarly in
programs such as those of Thailand and Malaysia increased numbers of public
demonstrations may evidence an increase in desired public involvementwhereas it
may be considered a negative indicator elsewhere. Purposes may range from seeking
to support requests for program resources, to assessing performance, to seeing if
actions resulted in desired results, to assessing overall strategy and accomplishments.
Measures of success identified by participating countries ranged from counting
inspectionsto measuring concentrationsof toxic pollutants in shellfish. They included
reductions in government roles, reductions in repeat violators, increases in compliance
rates, and increased level of public awareness and participation. They included
increased environmentaldepartmentbudgets. Measures also includeaccomplishing
something that gives a feeling of pride and accomplishment, accomplishing something
"to feel good about." I n addition, different measures are appropriate at different stages
of development of environmental programs. This is caused in part by the different
program objectives. Enforcement should be considered as instrumental to environmental
policy programs, not in isolation, and their successes should be considered in that
light.
• The ideal measure of enforcementsuccess is improvement in environmental quality,
however, indicators of enforcement or compliance activities such as numbers of
inspections or numbers of penalties are necessary to know what we are doing. The
U.S. is trying to ensure environmental measures accompany every enforcement action.
There appears to be a natural life cycle to a program and what are appropriate measures
of success at different stages of the program, such as the case in British Columbia,
Canada where shell fish beds needed protection through enforcement but measures
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HERMAN, STEVEN A. AND VERKERK, PIETER J. 1085
evolved over time from numbers of enforcement actions initiated and inspections
undertaken in the early stages to penalties and clean up imposed through enforcement
to eventually measure shellfish bed improvements.
• Multiple audiences for measures must be addressed and new sources of creative
ideas developed for "evaluating progress"—potentially a preferred conceptto that of
measuring success. Many measures used for internal managementare not sufficient
or convincing for ourextemal audiences.
• We should work on the development of environmental indicators. Those are difficultto
relate to enforcement activities since so many other factors affect environmental quality.
Several leading industries have developed composite measures of their own
compliance and environmental performance that might be useful including several
shared with the group which weighted number of incidents, their severity and the
complexity of the facility'soperations.
In short, there is no one magicformula.
5.6 Communication Strategies for Enforcement
A new workshop was introduced for the first time at the conference to enable participants
to plan communication actions in the process of enforcement in orderto enhance the effectiveness
of compliance and enforcementactivities.The participantsengaged in exercises to identifya mix
of preferred communication media and activities within limited financial and other resources to
assist in accomplishing an enforcement goal. The participants became aware of the need for using
communicationsas a means of getting the results they wanted from enforcementand learned that
it was actually possible. While they enjoyed the game and felt it offered valuable lessons, participants
recommended that it could be valuable to augment it by role playing and application to an actual
enforcement program plan of a country.
5.7 Public Role in Enforcement
The two sessions on public role in environmental enforcement focused on different aspects
of how citizens can be involved in enforcement. Both groups agreed that public involvementcould
function both as a supplementto and replacement of governmental enforcement. Both sessions
focused on the conditions which facilitate citizen participation, such as access to information,
independent judiciary, public awareness of enforcement needs and a public right to enforce. In
addition, the groups discussed how public involvement takes place, including citizen monitoring of
compliance, citizen complaint systems, and citizen enforcement lawsuits. The morning session
developed eight principles for effectivepublic involvement:
1. The public should have the right to a healthy environment.
2. The public should have the rightto enforce environmental law against any violator
(including the government)
3. The public should have the right to require the government to carry out its mandatory
enforcement duties.
4. Government should provide mechanisms for the public to enforce these rights in
court, (standing)
5. Government should build an awareness among the public concerning environmental
policies, enforcementneeds and the role citizenscan play.
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1086 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
6. Government should provide support and opportunity for the public to monitor
environmental problems and channels to communicate those observationsto the
government.
7. The public should have timely and affordable access to information necessary for
enforcement efforts, including current environmental monitoring data.
8. Government should provide financial incentives for citizen enforcement and remove
barriers to citizen enforcement.
5.8 Criminal Enforcement
In two sessions, several topics were addressed. It was a general view that environmental
enforcement may take years to develop. It is a long process of training, coordinating efforts and
knowledge, draughting laws and regulations, setting up permit systems etc. In countries that seem
to be far ahead now it also took years to come to the point where they are now. The problem of
getting and keeping environmental cases high on the priority list is worldwide: it always has to
compete with murder, rape, drugs etc.
It was evident that a number of countries are in need of good training programs for
investigators and prosecutors, and for judges too. Various networks need to be established to
provide this service. USEPA and the US regional enforcement project may be able to serve this
need to some degree. There is also a very basic need for some countries to have information on
what constitutes civil concern or a crime. In some areas a checklist approach has been found
valuable in assisting inspectors to identify an environmental crime. Because of other priorities such
as murder and drugs it appears that countries need to develop resources for dedicated environmental
prosecutors. This would also be beneficial because many times the crimes are so complex it takes
a full time prosecutorto learn and apply the laws.
It was also very apparent that the most effective and efficient approach to addressing
environmental crimes is a cooperativecoordinated approach between affected programs like the
police, the environment agency, prosecutors, fire and haz-mat-teams etc. Defining roles,
responsibilities, and assigning accountabilitiesare imperative. It was said that in countries where
the police are not involved in environmental enforcement but they should take part, a basic expertise
is needed.
There is a great diversity between countries regarding the nature of the sanctions and the
use of sanctions. The sanctions vary from fines to jail terms. Six papers were produced to introduce
this topic, including one from China, which recovers costs of investigations, imposes costs for
repair or clean up, enforcement notice, to preliminary measures (by the prosecutor), external audit
and the recovery of profit.
The role of Interpol was explained and the way this network operates. There was much
interest to try and coordinate more between the various countries. An additional piece will be
produced in which the Interpol-function will be explained. The network covers some 157 countries.
In the European region Interpol has a working group established for further concrete information
exchange. Until now it was hard to get in contact with Eastern Europe in the Interpol working group,
but now there will be extra effort made to involve this region.
Further areas to address:
• lack of investigator/knowledge problem;
• inadequatepriority;
• skills or knowledge on how to handle major environmental cases;
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HERMAN, STEVEN A. AND VERKERK, PIETER J. 1087
• problemswithsmugglingofendangeredspecies, which are on the brinkof extinction;
and
• desludging of ships in the waters of Malaysia.
There is action being taken but it could be more effective if there was information exchange
about these kinds of criminal activitiesand the owners of the ships or the agents internationally.
The conclusionsof the third conference were supported: civil and criminal sanctions can
play an important role in an environmental enforcement program and send a strong deterrent
message to industry and public. Effectiveness in enforcement is best reached by cooperation
among all agencies involved. Training remains essential to effective enforcement.
5.9 Enforcement of Economic instruments
Participants first addressed the need to have a regulatory structure in place before
governments use economic instruments. A goal of the majority of participants is to begin to shift
away from, or to supplement command and control types of regulatory and enforcementsystems
with systems that incorporate market incentives for pollution control.
Economic instruments can be used to internalizethe real costs of pollution, often better
than regulatory schemes to encourage behavior changes. The discussions in both sessions
attempted to deal with four primary issues associated with implementing market based incentives
in the environmental enforcement arena: First, how to establish economic incentives; second, how
to administereconomic incentives; third, how to ensure compliance with a market based program;
and fourth, how to respond to violations. Participants discussed these issues on a country by country
basis giving examples of successes in their country and areas where they would like to see
improvement. They concluded that what is necessary for effective compliance and enforcement will
vary based upon the nature of the economic instruments. For example: an environmental tax is only
possible when a country has an appropriatetax system. The importance of economic instruments
forenvironmental purposes will growin the future as countries explore ways to make it possibleto
lessen the need for enforcementof regulationsby using economic incentivesfor compliance.
5.10 Creating Enforceable Permit Programs and Requirements: Discussion Focus
on Water Pollution and Contamination of Drinking Water Supplies
All participants underline that clean surface water and safe drinking water must be a top
priority. Some countries choose a way of using one integral environmental law to realize this. Other
countries prefer separate legislation because they do not want solving the clean water problem
mixed up in other environmental issues and complex legislation. Also, solving the clean water problem
with watershed requirementsdoes not fit neatly into existing responsibilities.
During the discussionsit became clearthatenforceableenvironmentalrequirements are
critical for gaining compliance from the regulated community but these requirements cannot be
drafted in a vacuum. It is essential that the requirements are developed in the context of the country's
social and economic conditions. Adopting requirements that cannot be complied with by the country's
industry or population in a timely, reliable and affordablefashion will be difficultif not impossibleto
enforce and may result in "political"backlash that causes more harm to the environment.
The session began with a summary of some basic concepts regarding developing
requirements reinforcingthe criteria and approaches set forth in prior conferences.
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1088 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Participants discussed the need for good data regarding the status of the environment.
Many countries are developing information/data by watershed or region. This data, both of a scientific
nature and resource availability, is importantfor helping build understanding and awareness with
the public and the entities to be regulated as to the importance of complying with the environmental
requirements.
Some participants were just in thefirst stages of drafting and implementing their country's
laws that protect the environment. All participantsagreed that you must have good environmental
laws as the base from which you build your requirements/regulations. You will not be able to enforce
and gain compliance from the regulated community without these underlying laws. Some countries
discussed the difficulties with having many different environmental laws and agencies responsible
for carrying out these laws. These overlapping responsibilities and roles create confusion and
conflict and make compliance of the regulated community more difficult. Some countries have
consolidated their environmental laws into one law or are starting out with a comprehensive law that
will regulate the environment for the country.
5.11 Transboundary Shipments of Hazardous Waste -Tricks of the Trade
Participants at the special topic workshop on transboundary shipments of hazardous waste
developed a list of desired actions to be undertaken by the time of the next international environmental
compliance and enforcement conference. Problems related to enforcement and compliance
monitoring of international traffic in hazardous waste are still viewed as significant. Recommendations
from the Oaxaca conference regarding the need for clear and uniform definitions, clear
responsibilities and organization, strong linkages for information exchange and an international
network of enforcement agencies remain valid. Also, the group highlighted as an additional goal,
the need to enhance communications and relationships between environmental agency enforcement
officials and customs officials.
The group's three action items are as follows:
• Create an informal network of contacts (persons and agencies) for the quick transfer of
information regarding illegal transboundary shipment of hazardous substances.
Members of this informal network will endeavor to share expertise and experiences
and, upon request, to seek to provide technical assistanceand training.
• Create a library and inventory of training and other technical materials for use in
developing effective and cooperative coordination between environmental enforcement
and other relevant enforcementagencies(e.g. customs and police)-with participants
from the U.S. taking the lead.
• Develop a handbook to guide personnel involved in the enforcement of hazardous
waste control legislation. It will include (I) creation of generator, shipper/transporter,
transshipper, receiver, disguised material, and disposer profiles; (ii) assembly of relevant
case histories and jurisprudence; and (iii) assembly of photographic and other material
to aid recognition of non-compliance.
5.12 Montreal Protocol: Enforcement of CFC and Related Requirements
The Special Topic Workshop on the Montreal Protocol: Enforcement of CFC and Related
Requirements was attended by several representatives, including both developed and developing
countries. During discussions it was agreed that:
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HERMAN, STEVEN A. AND VERKERK, PIETER J. 1089
• The goal of reducing and phasing out the production and consumption of ozone depleting
substances under the Montreal Protocol has been adopted by both developing and
developed nations. The developed nations in attendance have met the deadline for
banning CFCs; certain developing nations have already phased out some ozone
depleting substancesahead of schedule.
• Both developing and developed nations have designed enforcement programs to
implement the requirements of the Montreal Protocol. Developing nations have generally
relied upon voluntary compliance approaches and are beginning to adopt legal
instruments containing specific requirements. The enforcement programs designed
by both developing and developed nations have documented successes, but more
work needs to be done. The progress made in phasing out and/or banning ODSs has
resulted in other enforcement challenges for some nations, such as phasing out the
use of ozone depleting substances by consumersand small business and facilities.
• Export flows to developing nations of used equipment and appliances containing ozone
depleting substances continue to be a problem. The "dumping" of low costs ozone
depleting substances also continues to be a problem for developing nations, and will
make it difficult for them to comply with the phase out schedules in the Montreal Protocol.
• Developing countries may need financial and technological assistance to improve and
enhance compliance with the Montreal Protocol.
• While problems in illegal importation of banned ozone depleting substances have
occurred in countries adopting bans, it did not yet pose a major problem among the
majority of nations in attendance.
5.13 Organizing and Financing Environmental Compliance and Enforcement
Programs
Participants explored a range of organizational designs. The workshop session opened
with a discussion of three generalized phases of environmental compliance and enforcement
organizations. No organizational design is necessarily better than another, and organizations must
be customized to country circumstances and overcome some of the disadvantages of the
organizational arrangements selected. Many variations exist across countries, however a consistent
theme in some of the regional meetings is the problem of confusing and overlapping laws and
organizationaljurisdictionsand the lack of attention to implementationand enforcementissues by
interministerialcommitteesestablishedto overcomethese problems.
The participants reviewed funding options and the mechanisms described in the new
capacity building support document on financing and budgeting programs. There may be little
sense in central governments providing local governments grants if they lack infrastructure to manage
those funds.
Funds derived from polluter payments can be used to finance programs and send
messages to reduce environmentally harmful behavior. Yet, they may be less certain in the long run
than general revenues. Hence a mix may be appropriate.
NGOs that arejust getting started may require training on fund accountingand access to
donor agency funds so that they can be more effective in attracting these sources.
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1090 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
5.14 Enforcement Policies and Authorities
Participants discussed the full range of approaches to achieve changes in behavior
including not only traditional enforcement approaches such as administrative, civil judicial and criminal
enforcement tools and authorities but also compliance promotion and economic incentive schemes.
Participants from Asian countries relied heavily on economic incentives and voluntary approaches
to augment enforcement. Participants briefly discussed new approaches under development in
Central and Eastern European countries to support creative solutions to enforcement of violations
to maximize risk reduction and address economic realities while maintaining requirements for
compliance.
6 MAKING PROGRESS: REGIONAL EXAMPLES, CAPACITY-BUILDING
AGENDA, INTERNATIONAL/REGIONAL NETWORKS
An important conclusion after fourconferences is that the participantsare on a very steep
curve in increasingthe level of understanding and practice on environmental enforcement. During
these four conferences we have built frameworks of knowledge, documents with a wealth of useful
and practical information on enforcement. The principles of environmental compliance and
enforcement are clear and understandable to everyone that is interested in environmental
enforcement. We must use this momentum to carry the knowledge, expertise, training experience
and regional networks to a even more effective level. This will be an important goal for the next
conference, as will be the further development and broadening of these networks for both enforcement
of domestic and international requirements. At this Conference we had 200 participants and 90
countriesandinternationalorganizationsparticipated.
Ladies and gentleman, we are at the end of what I have recognized as a very good
conference. You as participants were very active in discussionsand workshops; so you are part of
that success. We want to thank the active participation of the Executive Planning Committee
members. A special word of thanks is also going to our host of the Pollution Control Department of
the Royal Thai Government for their active participation and their hospitality at the cultural event with
the Khan Toke dinner on Tuesday evening. We wish you a very good trip home.
Thankyou
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CONFERENCE EVALUATION 1091
CONFERENCE EVALUATION
Participants were asked at the end of the conference to complete an evaluation form giving their
appraisal of the programs and materials presented at the conference as well as their valuation of the
experience. This information was solicited to enable the conference organizers to evaluate the
conference and respond to participant needs and interests when planning future activities.
Of the evaluation forms distributed, 88.5 percent (177 out of 200) were completed and returned.
The regional distribution of the respondents was roughly the same as the regional distribution of the
conference (table 1) which makes this evaluation a fair representation of the participants' views. Tables
2 and 3 categorize the respondents by organization type and area of expertise. Eighteen percent of the
respondents had attended prior conferences in this series.
Table 1.
Regional Response to the Evaluation
Respondents
Region
Asia and the Pacific
Africa
Central and Eastern Europe
Middle East
Western Europe
North America
Central America/Caribbean
South America
International
Total
No.
46
19
18
7
28
22
8
11
18
177
%
26
11
10
4
16
12
5
6
10
100
Participants
No.
55
20
18
8
30
25
10
13
21
200
%
27
10
9
4
15
12
5
7
11
100
Table 2. Organizational Type
Table 3. Area of Expertise
Respondents
Type
International
National
State/Province
Municipal
Nongovernment
Industry
Other
Unspecified
Total
No.
14
100
35
5
14
1
6
2
177
%
8
56
20
3
8
1
3
1
100
1
GENERAL COMMENTS
Respondents
Area
Legal
Technical
Policy/Management
Other
Unspecified
Total
No.
63
43
57
5
9
177
%
36
24
32
3
5
100
There was general praise for the conference among the respondents. Many found it
informative, well organized and stated that the subject matter was well handled (57 respondents').
Others found it a valuable forum for exchanging information, expanding their perspectives and
networking on a regional and international level (36). The wide diversity of participating countries
was remarked upon frequently. Many respondents (16) commented on the benefits derived from
' Throughout this report we identify in parentheses the number of respondents who commented.
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FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
such a diverse group and others suggested that more sessions be structured for regional or like
groupings to facilitate discussion(18). Still others brought out the need to be increasingly sensitive
to different orientations between developed and developing countries(S). Respondents praised the
wealth of information presented, the quality of the materials and the caliber of the participants. It
was suggested that future conferences place additional emphasis on presenting specific
environmental problems, new strategies and practical tried solutions. Many respondents
suggested that the workshop sessions be less structured and present more time for participant
exchange and discussion. All respondents supported the idea of a fifth conference.
2 CONFERENCE PURPOSE AND GOALS
The participants were asked to evaluate the appropriateness of the Conference purpose and
goals. A breakout of their responses is presented in figure 1. Seventy-one percent of the respondents
(126) rated the purpose and goals very good to excellent. More specifically, some respondents (17)
considered the conference a success of significant value and others (16) commented on the benefits of
the range of participant experience and the opportunity for transfer of knowledge. Other respondents
(7) suggested that there were differences between developed and developing countries, and between
regions and one felt that diversity made specialized, in depth discussions harder.
Appropriateness of the Conference Purpose and Goals
^Excellent
DVery Good
QGood
• Fair
HQPoor
Promote importance
and underscore
driving forces of
environmental
compliance and
enforcement
Foster institutional Serve all
capacity to enhance stakeholders
existing and develop influencingthe
new environmental design of
and enforcement environmental
programs complianceand
enforcement
programs
Encourage ongoing Foster exchange
internationalexchange of expertise and
and regional learning through
networking active
participation
Figure 1. This figure shows the overall percentage ratings given by respondents who evaluated the
appropriateness of the conference purpose and goals
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CONFERENCE EVALUATION 1093
The participants were asked how they felt about the conference's focus on the development of
domestic compliance and enforcement programs. Sixty-six percent (117) felt it was very good to
excellent. Respondents wrote that this subject matter, theme and focus was well handled (12), it
provided a good forum for exchange of information and experiences (13), and it was particularly
helpful for developing programs (8). Some respondents (3), commenting on the size and depth of the
subject, suggested that compliance and enforcement be treated separately, but the majority of
respondents felt the emphasis as presented was successful.
3 SUCCESS IN ACHIEVING GOALS
Sixty-five percent of participants (115) who responded to the evaluation question concerning
the conference's success in achieving its stated purpose gave a rating of very good to excellent. A
breakout of the responses is shown in Figure 2. Both the appropriateness and successful achievement
of goals relating to the exchange of experience, learning and networking were consistently rated higher
than those relating to capacity building and more theoretical exercises. This perception was reflected
in various forms and answers throughout the evaluation.
100
90
80
70
60
50
40
30
20
10
Success in Achieving Conference Purposes
Promote importance Foster Institutional
and underscore capacity to enhance
driving forces of existing and develop
environmental new environmental
compllanceand and enforcement
enforcement programs
Serve all
stakeholders
influencing the
design of
environmental
complianeeand
enforcement
programs
Encourage ongoing Foster exchange of
international expertise and
exchange and learning through
regional networking active participation
Figure 2. This figure shows the overall percentage ratings given by respondents who evaluated the
success in achieving Conference purposes
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FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
4 CONFERENCE PARTICIPATION
Seventy-one percent of the respondents (125) rated the number of conference participants and
the mix of countries, organizations and experience very good to excellent. Figure 3 represents a
breakout of the responses. A number of respondents (10) suggest increasing the number of
participating countries and others (22) suggested expanding the nongovernmental and private sector
representation. Comments relating to the mix of expertise included the suggestion that there be more
enforcement agency participation and fewer representatives from the policy and law disciplines(3), and
that more representatives from each country attend so that different sectors within the country could be
present (2).
Conference Participation
100
90
80
70
60-|
50
40
30
20
10-1
0
Number of
participants
Countries
represented
Organizations
represented
Mix of expertise
Figures. This figure shows the overall percentage ratings given by respondents who evaluated
Conference participation
5 STRUCTURE OF CONFERENCE
Fifty-eight percent of those who responded (103) to the question concerning the structure of
the Conference gave a rating of very good to excellent. A breakout of responses is shown in Figure 4.
Generally respondents found the plenary sessions and workshops useful and informative. Several
commented that the sessions covered a lot in the given time and would benefit from a more limited but
more detailed approach (16) and some commented that the topic were well handled but would benefit
from shorted presentations and more discussion time. A number of respondents advocated more
emphasis on the exhibits (9) increasing the counties represented, the materials, and the technology
displays with technical staff in attendance (12). Additionally, several participants felt the program was
very full and intensive and suggested some time ne scheduled for informal meetings and networking
(4).
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CONFERENCE EVALUATION 1095
Conference Structure
10
Day One
Plenary
Session
Day Two
Principles of
Environmental
Compliance &
Enforcement
Workshops
Day Three
Regional
Meetings
UNEP
Institution-
Building
Workshops
Day Four Day Five
Special Topics Regional
Workshops Meetings and
Plenary Closing
Session
Exhibits
Figure 4. This figure shows the overall percentage ratings given by respondents who evaluated the
structure of the Conference
6
CONFERENCE TOPICS
Most participants agreed that the topics presented at the Conference were cohesive, well
handled and covered a suitably broad range of interests and disciplines within the environmental
enforcement community. Additional issues and topics that were recommended for future conferences
included: economic incentives in compliance and how to address industry interests to involve them (5);
criminal investigations and enforcement, penalty orders and illegal ocean dumping.(4); endangered
species and wildlife sustainable utilization (3); and ISO 14000 (4). Several respondents recommended
that more real life cases be presented and discussed and specific country or regional problems
addressed(12). Many recommended that more emphasis be given to regional topics and issues
including inter and inter- regional communication(16).
6.1 Day One and Day Five Conference Plenary Sessions
For each themes the evaluation included a question regarding the usefulness of the session's
theme content, the mix of topic addressed, and the opportunity for discussion. Figures 5 shows the
range of ratings given for the Conference themes discussed on Day One and figure 6 shows the
ratings for the theme presented during the Day Five plenary session. While the majority of the
respondents found both the Usefulness of the themes and the mix of topics to be quite good, numerous
respondents (24) contended that the presentations attempted to cover too much and as a result were
rushed. In relate comments some respondents recommended shorter presentations and more time for
discussion during the plenary sessions(9).
-------
1096
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Theme #1: Driving Forces Behind Environmental Compliance and Enforcement
Usefulness of theme contents Mix of topic addressed
Theme # 2: Principles of Environmental Compliance and Enforcement (Plenary)
• i
7 •
I •
I •
4 •
I f
i e
1 0
E i c • IK n I
O o o t
F • Ir
Usefulness of theme contents
Mix of topic addressed
Opportunity for discussion
Theme # 3: Establishing International Cooperation and Regional Networks:
Status of Efforts Underway
Usefulness of theme contents Mix of topic addressed Opportunity for discussion
Theme # 4: International Capacity Building
101-
11
11
E K c • II* H I
3V«ry 00o
O 0 • 4
' • >'
F1 • o r
Usefulness of theme contents
Mix of topic addressed
Opportunity for discussion
Figure 5. This figure shows the overall percentage ratings given by respondents who evaluated the Day
One plenary themes
-------
CONFERENCE EVALUATION 1097
Theme 7: Making Progress: Regional Examples, Capacity-Building Agenda, International-
Regional Networks
Usefulness of theme contents
Mix of topics addressed
Opportunity for discussion
Figure 6. This figure shows the overall percentage ratings given by respondents who evaluated the Day
five plenary theme
6.2 Day Two workshops on Principles of Environmental Enforcement
Eleven workshops were presented on Day Two using seven case studies. Three of the studies
were presented in more than one session because of the number of participants interested in those
cases. The participants were asked to evaluate each workshop according to the following criteria:
Ability to apply principles of environmental enforcement in a realistic setting; quality of the workshop
materials; usefulness of contents and usefulness of the technical support package. Table 4 shows the
evaluation for each case study. Most respondents found the format of these workshops to be valuable
for exploring the principles of environmental enforcement. Although comments varied by workshop and
session, there were several observations that were made by respondents from all workshops. A
number of respondents (20) commented that the studies were too compressed and too much to handle
in one day and others recommended that the facilitated presentation not be as structured and allow
more time for discussion and sharing of experiences (14). An additional suggestion was made that the
workshops were more beneficial to participants who were attending these conferences for the first
time(5).
6.3 Day Three Regional Workshops and Institution building (UNEP)
Seven regional meetings were held on Day Three and continued on Day Five. Many
respondents felt that these were the most valuable sessions of the conference. Comments on the
meetings varied by region. In several of the meetings, a number of the respondents felt initially that the
goals were unclear (17) but as the meeting progressed many respondents reported that the
discussions were very good and informative (22 ). Also, several respondents reported that the setting
and format of the meetings were somewhat restricting (31) but that the participants were able to set a
more workable framework and the discussions became successful. Other respondents noted that
some of the regions had already established networks while others were just beginning the process
and so suggested that the formats and discussions be tailored to the individual region (8). Numerous
respondents recommended that the efforts started in the meetings be continued and regional meetings
or other networking activities be undertaken before the next Conference (25).
-------
1098
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Table 4 Principles of Environmental Compliance and
Excellent
1 %
Coal
Realistic
Quality of Materiels
Usefulness of Contents
Usefulness of Package
Reelistic
Quality of Materials
Usefulness of Contents
Usefulness of Package
Petrochemical
Reelistic
Quality of Materials
Usefulness of Contents
Usefulness of Package
Deforestation A
Realistic
Quality of Materiels
Usefulness of Contents
Usefulness of Package
Deforestation B
Reelistic
Quality of Materiels
Usefulness of Contents
Usefulness of Package
Wist* A
Reelistic
Quality of Materials
Usefulness of Contents
Usefulness of Package
Waata B
Realistic
Quality of Materiala
Usefulness of Contents
Usefulness of Package
Waste C
Reelistic
Quelity of Materiels
Usefulness of Contents
Usefulness of Package
Tourism
Reelistic
Quality of Materials
Usefulness of Contents
Usefulness of Package
Transboundary A
Realistic
Quality of Materials
Usefulness of Contents
Usefulness of Peckaga
Transboundary B
Realistic
Quality of Materials
Usefulness of Contents
Usefulness of Package
IS)
(5)
(2)
ID
(6)
131
15)
(4)
(1)
ID
(D
12)
(2)
(3)
121
(4)
(21
12)
12)
12)
(4)
121
(1)
ID
(5)
(3)
14)
(4)
(D
ID
(1)
ID
(6)
(2)
IS)
(2)
(51
(3)
13)
(3)
(31
ID
(2)
36%
36%
14%
7%
46%
21%
36%
31%
8%
8%
8%
17%
9%
14%
9%
19%
17%
17%
17%
18%
29%
13%
7%
7%
31%
19%
25%
27%
9%
9%
9%
11%
32%
11%
26%
11%
29%
17%
18%
18%
0%
23%
8%
15%
Enforcement Workshops
Very Good
t % »
(5)
(5)
(8)
(8)
(3)
(8)
(5)
(7)
(7)
(9)
(4)
(3)
(7)
(8)
(10)
(7)
(5)
(4)
IS)
(4)
(5)
(8)
(61
(5)
ID
(4)
(2)
(2)
(5)
14)
(6)
131
(7)
(1D
(7)
(8)
(5)
(5)
(8)
(5)
(8)
(71
(7)
(61
36%
36%
57%
57%
23%
57%
36%
54%
58%
75%
33%
25%
32%
36%
45%
33%
42%
33%
42%
36%
36%
53%
40%
33%
6%
25%
13%
13%
45%
36%
55%
33%
37%
58%
37%
44%
29%
28%
47%
29%
57%
54%
54%
46%
(2)
0
(2)
ID
(3)
(3)
(2)
(D
(4)
(2)
(7)
I7I
(7)
(7)
(5)
I6I
(3)
(5)
(3)
(4)
(2)
(3)
(5)
(8)
(6)
(5)
(6)
(4)
(1)
(4)
(D
131
IS)
(6)
(71
(7)
(4)
(8)
(4)
(9)
(2)
(1)
(3)
(3)
Good
14%
0%
14%
7%
23%
21%
14%
8%
33%
17%
58%
58%
32%
32%
23%
29%
25%
42%
25%
36%
14%
20%
33%
53%
38%
31%
38%
27%
9%
36%
9%
33%
26%
32%
37%
39%
24%
44%
24%
53%
14%
8%
23%
23%
,
(2)
(4)
(D
(3)
(1)
(2)
(D
0
0
0
0
(6)
(3)
(41
(3)
(2)
ID
(2)
ID
13)
(2)
(3)
(D
(4)
(3)
(2)
15)
(31
(2)
12)
(2)
ID
0
0
(1)
(3)
12)
(2)
0
12)
(2)
(1)
(2)
Fair
14%
29%
7%
21%
8%
0%
14%
8%
0%
0%
0%
0%
27%
14%
18%
14%
17%
8%
17%
9%
21%
13%
20%
7%
25%
19%
13%
33%
27%
18%
18%
22%
5%
0%
0%
6%
18%
11%
12%
0%
14%
15%
8%
15%
„
0
0
ID
(1)
0
0
0
0
0
0
0
0
0
ID
(1)
(D
0
0
0
0
0
0
0
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(D
12)
0
(D
0
(D
0
0
0
0
0
0
0
0
0
12)
0
ID
0
Poor
0%
0%
7%
7%
0%
0%
0%
0%
0%
0%
0%
0%
0%
4%
4%
4%
0%
0%
0%
0%
0%
0%
0%
0%
0%
6%
13%
0%
9%
0%
9%
0%
0%
0%
0%
0%
0%
0%
0%
0%
14%
0%
8%
0%
-------
CONFERENCE EVALUATION 1099
Respondents reported that in several meetings the lack of time prevented the inclusion of the
UNEP workshops within the regional meetings, however those who did attend the workshops reported
favorable reactions. Some respondents commented that, as in the case of the Principles of
Environmental Enforcement workshops, these workshops were more beneficial to participants
attending the conference for the first time. Figure 7 represents the ratings of those who evaluated the
UNEP workshops.
UNEP Workshop - Institution Building
100 -,
90
80
70
60
SO-|
40
30 -
Usefulness of
contents
Mix of topic
discussed
Opportunity for
discussion
Quality of
materials
Usefulness of
contents
Usefulness of
manual
Figure 7. This figure shows the overall percentage ratings given by respondents who evaluated the
UNEP workshops
6.4 Day Four Special Topic Workshops
Fourteen Special Topic workshops were presented in two sessions on Day Four. Many
respondents who completed this section of the evaluation form noted that the workshops were
valuable and discussions were good (12). Figure 8 shows the overall percentage ratings for "very
good" to "excellent" given by respondents who evaluated the Workshops. Table 5 gives a breakout of
the responses by workshop. Some respondents found the session very good and well directed, while
others felt the facilitators could have been more responsive to the individuals in the workshops.
Several participants, commenting on the short duration of the workshops suggested that materials
could be prepared and handed out in advance (9). Additional comments included the recommendation
that the workshops be less general and address more concrete examples (7) and the observation that
the diversity of experience and regional make-up of the workshop participants impacted the flow of the
workshop and more depth could be achieved with a more homogeneous group (8).
-------
Special Topic Workshops
1 0 0
9 0
8 0
7 0
6 0
5 0
4 0
3 0
2 0
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Figure 8. This figure shows the overall percentage ratings for "very good" to "excellent" given by the respondents who
Workshops
Q R
evaluated the Special Topic
m
O
m
m
Table 5. Special Topic Workshops
Workshop
B Strategic Targeting
C integrated PemKttng and Inspection
D Compliance Morutonng
E Promoting Voluntary complianc*
F Measures of Success
O Communications and Enforcement
H Public Role
1 Criminal Enforcement
j Enforcement of Economic Instruments
L Creating Enforceable Permit Program!
M Tfansboundary Illegal Shipments
N Montreal Protocol
Q Organizing and Financing
R Enforcement Policy and Authorities
22
20
27
26
12
13
30
22
24
22
16
12
12
26
Were Your Goals Accomplished by the Discussion?
Excellent
# %
(2) 7%
(6) 30%
(7) 26%
(1) 4%
(2) 17%
(4) 31%
(3) 10%
(5) 23%
(1) 4%
(1) ' 5%
(4) 25%
(1) 8%
(1) 8%
(3) '12%
Very Gooo
# %
(7) 26%
(6) 30%
(6) 22%
(10) 38%
(1) 8%
(4) 31%
(13) 43%
(8) 36%
(5) 21%
(6) 27%
(9) 56%
(8) 67%
(5) 42%
(6) 23%
Good
# %
(10) 37%
(5) 25%
(10) '37%
(8) 31%
(4) 33%
(1) 8%
(10) 33%
(3) ! 14%
(12) 50%
(9) ;41%
(2) 13%
(2) '17%
(4) 33%
(9) 35%
Fair
# %
(2) 7%
(1) 5%
(3) :11%
(7) !27%
(4) 33%
(2) :15%
(2) ' 7%
(5) '23%
(6) ^25%
(4) ' 18%
- ; -
(1) ; 8%
- : -
(3) '12%
Poor
» %
•
- \ -
- ! -
(1) ' 8%
-
- i -
- i -
-
- : -
- : -
_ i ' _
. : .
(2) ' 8%
Were the Issues Addressed Adequately?
Excellent
# %
(2) 7%
(7) 35%
(6) 22%
(1) 4%
(2) 17%
(5) 38%
(8) 27%
(6) 27%
(1) 4%
(2) 9%
(3) 19%
(1) 8%
(1) 8%
(3) 12%
Very Gooc
# %
(8) 30%
(6) 30%
(8) !30%
(10) '38%
(2) |17%
(4) 31%
(10) 33%
(6) 27%
(7) '29%
(8) 36%
(9) ! 56%
(4) '33%
(3) !25%
(9) '35%
Good
# %
(6) 22%
(4) ;20%
(8) 30%
(9) 35%
(4) 33%
(2) 15%
(9) '30%
(7) 32%
(11) 46%
(6) '27%
(2) 13%
(4) '33%
(4) ;33%
(8) 31%
Fair
# %
(4) 15%
(1) ; 5%
(2) 7%
(6) 23%
(4) 33%
(D '. 8%
(1) ! 3%
(1) 5%
(5) 21%
(4) ! 18%
(1) i 6%
(2>;17%
(1) ; 8%
(3) :12%
Poor
# %
(1) 4%
-
-
- ' -
-
-
-
(1) 5%
-
- ' -
- ' -
d) ; s%
-
(1) 4%
Quality of the Workshop Materials
Excellent
# %
(2) 7%
(6) '30%
(3) 11%
- ' -
- ' -
(5) 38%
(4) 13%
(3) 14%
(1) ' 4%
(2) 9%
(3) |19%
- | -
(D ; 8%
(3) 12%
Very Gooc
# %
(8) 30%
(10):50%
(16) 59%
(8) 31%
(2) 17%
(5) 38%
(12) 40%
(9) 41%
(8) 33%
(8) 36%
(9) :56%
(7) 58%
(4) 33%
(8) :31%
Good
# %
(8) 30%
(4) 20%
(6) 22%
(7) 27%
(2) 17%
(1) 8%
(10) 33%
(5) 23%
'(10) 42%
(6) 27%
(3) :19%
(2) 17%
(3) 25%
(12) '46%
Fair
# %
(2) ; 7%
- ! -
l
(7) 27%
(4) 33%
(1) 8%
- | -
(4) '18%
(4)^ 17%
(3) ; 14%
_ i
(3) '25%
(2) ,17%
. I -
Poor
# %
-
- ' -
- ' -
- ' -
- : -
-
-
(1) 5%
-
- ' -
- '' -
- ' -
-
• ' -
TJ
5
o
m
I
o
-------
CONFERENCE EVALUATION 1101
7 TECHNICAL AND CAPACITY BUILDING SUPPORT DOCUMENTS
The participants were asked to evaluated the technical and capacity building support documents
that had been prepared for this series of conferences. Figure 9 represents the overall ratings of those
respondents who evaluated these documents. A number of respondents suggested that the approach
presented in the documents favored the Western countries (4). Others felt the documents were valuable and
stressed the need for their dissemination (3).
Technical & Capacity Building Support Documents
1 00 -,
90 -
80
70 -
60 -
SO -
40
30 -
20
10-
0
BE x c e lie n t
OV e ry Good
C3G o o d
BFair
o o r
Organizing
environmental
permit,
compliance and
enforcement
programs
Financing
environmental
permit,
compliance and
enforcement
programs
Communications
strategies for
enforcement
Transboundary
trade in potentially
hazardous
substances
Source self- Multi-media
monitoring inspection
requirements protocols
Figure 9. This figure shows the overall percentage ratings given by respondents who evaluated the
technical & capacity support documents
8 EXHIBITS
The participants were asked to evaluated the displays and exhibits provided at the conference.
These included computer exhibits, databanks, videos, and regional country information. Numerous
participants felt that the exhibits were both informative and interesting, and they provided a good exchange
of information (90). Fifty-six respondents commented favorably about the computer display and forty-four
commented favorably about the videos. Seventy-three respondents praised the country information. Some
respondents felt that the exhibits were dominated by Europe and the US (8) and others and suggested that
efforts be made to solicit displays from a greater number of countries. Another suggestion (6) was to assign
a staff person to man the exhibits (6) and answer questions.
-------
1102
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
9 ORGANIZATION OF THE CONFERENCE
The majority of the respondents lauded the efforts of the Conference staff, calling the conference
extremely well organized (33) and in some cases the best of this size they had attended. The respondents
were very pleased with the accommodations and enjoyed the location, cultural events, and the food.
Respondents also commented that the program was very intense and would have benefited from an
afternoon off for sightseeing, networking or relaxation (18). Additional comments included the
recommendation that there be more contact with the Executive Planning Committee and staff (3) and that E-
mail access be available (1).
Logistics
1 V W -
BO-
80
7 0
60 -
50-
40
30-
20-
1 0 -
0 -
I
[
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Illlllllllllllllllllllll
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•
=
=
S
i
i
=
=
•
i
Accommodations
Location Schedule
Service Special Food and Contact Availability
desk events beverages with of
executive conference
planning staff
committee
Figure 10. This figure shows the overall percentage ratings given by respondents who evaluated the
organization of the Conference
10 FOLLOW-UP TO THE CONFERENCE
All participants that responded to the evaluation supported the idea of a fifth conference. Forty-one
respondents suggested holding the next conference in the United States, thirty-three suggested Africa, and
eight suggested South or Central America. There was a mixed response about when to hold it, and most
respondents realized that it would depend on the venue. However, forty-six specifically requested the
spring; thirteen, the fall; and fourteen, the summer.
-------
1103
There were several specific requests for subjects to be covered at the next Conference. These
included:
Illegal Ocean dumping (1)
Criminal investigations (2)
Implementation of international agreements and treaties(4)
Endangered Specie(1)
ISO 14000 (4)
Other suggestions for future conferences were more general. These included the following:
• Working groups for participants with similar problems (not necessarily in the same region) (9).
• Subjects and workshops that are tiered in terms of experience so that participants who have
been to the conferences before can attend more specific workshops, while the more basic ones
are still available for first time participants (15).
• Programs with a regional focus (33); nine participants suggested that regional meetings be held
before the next conference.
• Programs and presentations that are more technical and realistic in nature (rather than
theoretical and "teachy") (15).
• Subjects and workshops specifically geared to developing countries (10).
• Workshops that deal with industry problems and how to address industry's interests (7); three
respondents suggested that more industry representatives attend the conferences.
-------
1104 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
-------
PARTICIPANT LIST 1105
PARTICIPANT LIST
Dr. Adegoke Adegoroye
Director of Inspectorate and
Compliance Monitoring
Federal Environmental
Protection Agency
Games Village of Eric Moore
Road
Lagos, Surulere PMB 3150
Nigeria
Tel: 234-1-585-0123
Fax:234-1-585-0123
E-Mail:
Ms. Jean Aden
Institutional Specialist/ EA
Coordinator
Environmentand Natural
Resources Division
AsiaTechnical Department
The World Bank
70018th Street, NW
Washington, D.C. 20344
United States
Tel: 1-202-458-2749
Fax: 1-202-522-1664
E-Mail: aden@worldbank.org
Mr. David R. Aggett
Head, Enforcement Section
Emergenciesand Enforcement
Division
EnvironmentalProtection
Branch
EnvironmentCanada
5th Floor, Queen Square,
45 Alderney Drive
Dartmouth, Nova Scotia
B2Y 2N6
Canada
Tel: 1-902-426-1925
Fax: 1-902-426-9709
E-mail:
Dr.AlaoYekiniAkala
Chief
Studies and Legislation
Department
Ministerede I'Environnement,
del'Habitat.etde
TUrbanisme
Boite Postal 01-3621
Cotonou
Benin
Tel: 229-315-596
Fax: 229-315-081
E-mail:
Mr. William Andrews
Executive Director
West Coast Environmental Law
Association
1001-207 West Hastings St.
Vancouver, BCV6B1H7
Canada
Tel: 1-604-684-7378or689-
3235
Fax:1-604-684-1312
E-Mail: bandrews@wcel.org
Mr. Lamex Omara Apitta
Assistant Secretary
IGAD Environmental Education
Desk
Ministry of Education
Crested Towers (Short Tower),
Floors
Room 14/15
P.O. Box 7063
Kampala
Uganda
Tel: 256-41 -234-451 (456)ext.
128
Fax:256-41-230-658
E-Mail:
Dr.MikeAxline
President
Environmental Law Alliance
Worldwide-US Board
Professor, School of Law
1221 University of Oregon
1101 Kincaid Street
Eugene, OR 97403-1221
United States
Tel: 1-541-346-3826
Fax:1-541-346-1564
E-Mail: elawus@igc.apc.org
Mr.H.Badam
Officer
Forest Resources
Management
Ministry of Nature and the
Environment
Khudaladaanygudami 5
Ulaanbaatar 11
Mongolia
Tel: 976-1-327-725
Fax:976-1-321-401
E-Mail:
Dr. Sc. Robert Baert
Inspector General
Environment Inspection
Section
Environment, Nature, Land,
and Water Management
Administration
WTC-Toren3
Simon Bolivarlaan,30
B-1000 Brussels
Belgium
Tel: 32-2-208-3420
Fax:32-2-208-3440
E-Mail:
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1106
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Prof. Gyula Bandi
Professor of Law
University Eotvos Lorand
Egyetem ter 1 -3
H-1053 Budapest
Hungary
Tel: 36-1-266-4156
Fax:36-1-266-4156
E-Mail:
Mr. HuBaolin
General Director
Department of Policy and Law
National Environmental
Protection Agency
No. 115 Xizhimennei Nanxiaojie
Beijing 100035
Peoples Republic of China
Tel: 86-10-6615-1773
Fax:86-10-6615-1762
E-Mail:
Mr. Indrikis Barkans
Deputy Director
EnvironmentalProtection
Department
Ministry of Environmental
Protectionand Regional
Development
Pelduiela25
LV1494 Riga
Latvia
Tel: 371-7-227-283
Fax:371-7-820-442
E-Mail: bebris@varam.gov.lv
Ms. Bina Baron
Head
EnforcementDivision; Legal
Department
Ministry of the Environment
P.O. Box 34033
Kanfei Nesharim, No. 5
Jerusalem 95464
Israel
Tel: 972-655-3741
Fax:972-655-3744
E-Mail:
Ms. Susan Becker
EnvironmentManagement
Advisor
Sustainable Energy &
Environment Division / BPPS
United Nations Development
Programme (UNDP)
One United Nations Plaza -
FF1006
New York, New York 10017
United States
Tel: 1-212-906-6021
Fax:1-212-906-6973
E-Mail: susan.becker®
UNDP.org
Mr. Antonio Herman Benjamin
Senior Public Prosecutor
Environmental Law
State of Sao Paulo
Rua. Cons Rodrigues
Alves#948,Apt.92
Sao Paulo 04014-002
Brazil
Tel: 55-11-574-7542
Fax:55-11-574-7542
E-Mail:
Ms. Nancy Bircher
Director
Enforcement and
Environmental Emergencies
Branch
Ministry of Environment, Lands
and Parks
Province of British Columbia
888 Fort Street, 2nd Floor
Victoria, BCV8V1X4
Canada
Tel: 1-604-387-9401
Fax:1-604-387-1041
E-Mail:
Mr. Tom Bispham
Administrator
Northwest Region
Oregon Department of
EnvironmentalQuality
2020 SW Fourth Ave, Suite 400
Portland, OR 97201-4987
United States
Tel: 1-503-229-5287
Fax:1-503-229-6945
E-Mail: torn.bisham®
state, or. us
Dr. Joop Blenkers
Deputy Regional Inspector
Inspectorate for the
Environmentin North-Brabant
Schimmelt28, Eindhoven
P.O. Box 6195
5600 HD Eindhoven
The Netherlands
Tel: 31-40-265-2911
Fax:31-40-246-0902
E-Mail: j.blenkers@IMH-
NOORD-BRABANT.
DGM.minvrom.nl
Dr. Eberhard Bohne
Professor of Public
Administration
Post Graduate School of
Administrative Sciences -
Speyer
Freiherr-vom-Stein-Strasse2
Speyer 67346
Germany
Tel: 49-6232-654-321 or 326
Fax:49-6232-654-208
E-Mail: bohn @ hf r-speyer.de
Ms. Dorothy Bowers
U.S.Technical Advisory Group
to IS014000
c/o Merck and Company, Inc
WS2F-32
P.O. Box 100
Whitehouse Station, NJ 08889-
0100
United States
Tel: 1-908-423-6860
Fax:1-908-735-1109
E-Mail:
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PARTICIPANT LIST 1107
Mr.JohnBoxall
Assistant Director
Local Control
Environmental Protection
Department
25/F Southern Centre
Wan Chai
Hong Kong
Tel: 852-835-1004
Fax:852-834-5648
E-Mail:
Lie. Javier Cabrera Bravo
General Director for
InternationalAffairs
PROFEPA
InsurgentesSurNo. 1480,14o
piso
Col. Barrio Actipan, Del. Benito
Juarez
C.P. 03230, Districto Federal
Mexico City
Mexico
Tel: 525-534-8157or 524-5931
Fax: 525-534-8156or 8152
E-Mail:
Dr. Jorge Caillaux Zazzali
Presidente
Sociedad Peruana de Derecho
Ambiental(SPDA)
Plaza Arrospide S.P.D.A. 9
San Isidro
Lima 27
Peru
Tel: 51 -1 -440-0549or 422-4033
Fax:51-1-442-4365
E-Mail:
postmaster@spda.org.pe
Mr. Fred Campbell
Deputy Executive Director
Environmentand Compliance
Natural Resources
Conservation Authority
531/2MolynesRoad
Kingston 10
Jamaica
Tel: 1 -809-923-5155or 5166 or
5125
Fax:1-809-923-5070
E-Mail:
Mr. Donald Carter
Manager
Resource Use and Monitoring
Division
Resource Council, Hamilton
Office
401 Grey Street, Hamilton
P.O. Box 4010
Hamilton East
New Zealand
Tel: 64-7-856-0555ext. 703
Fax:64-7-856-0551
E-Mail: donaldc@wairc.govt.nz
Ms. Susan Casey-Lef kowitz
Co-Director
Environmental Program for
Central and Eastern Europe
Environmental Law Institute
(ELI)
1616 P Street, NW
Suite 200
Washington, D.C. 20036
United States
Tel: 1-202-939-3865
Fax:1-202-939-3868
E-Mail: Casey@eli.org
Mr. Sam Chamroeun
Director
Department of Legal Affairs
Ministry of Environment
48 Samdech Preach Sihanoak
Tonle Bassac
Phnom Penh
Cambodia
Tel: 855-23-427844
Fax: 855-23-427844
E-Mail:
Dr.Yeong-Ren Chen
Director General
Bureau of Waste Management
EnvironmentalProtection
Administration
41 Sect 1. Chung Hwa Road
Taipei
Taiwan
Tel: 886-2-311 -7722ext. 2600
Fax:886-2-311-7741
E-Mail:
Ms. Helena Cfzkova
National Coordinator
Protect Silesia
Ministry of the Environment of
the Czech Republic
Project Management Unit in
Ostrava
New Town Hall
Prokesovo nam. 8
702 00 Ostrava
Czech Republic
Tel: 42-69-628-2362
Fax:42-69-621-2061
E-Mail:
Ms. Clare Cocault
Consultant
Industry Office
United Nations Environment
Programme (UNEP)
32 bd du Roi Rene
49100 Angers
France
Tel: 33-41-810-812
Fax:33-41-810-812
E-Mail:coucault@UNEP.fr
Ms. Jemimah Eugenia Cole
Environmental Officer
EnvironmentalProtection
Section
Ministry of Transport,
Communicationsand
Environment
Ministerial Building
George Street
Freetown
Sierra Leone
Tel: 232-22-240-367
Fax:232-22-225-615
E-Mail:
Ms. Maria Comino
Environmental Lawyer
Healthy Rivers Commission
Level 18, Trans City House
15CastlereaghSt.
Sydney NSW 2000
Australia
Tel: 61-2-231-2977
Fax:61-2-232-5973
E-Mail:
maria @ law.usyd.ed.au
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1108
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Ms. Clare Cory
Environmental Lawyer
Regional Office for Asia and the
Pacific (ROAP)
United Nations Environment
Program (UNEP)
United Nations Building, 10th
Floor
Rajadamnern Avenue
Bangkok 10200
Thailand
Tel: 66-2-288-1877
Fax:66-2-280-3829
E-Mail: cory.urvescap@un.org
Mr. Daniel Couture
Deputy Director
Office of Enforcement
Enforcement Branch
National Programs Directorate
Environment Canada
Place Vincent Massey,
17th Floor
351 St. Joseph Boulevard
Hull, Quebec K1A OH3
Canada
Tel: 1-819-953-1174
Fax:1-819-953-3459
E-Mail:
Dr. Claudio Marcelo Creimer
Chief Legal Advisor
Direccion Provincial Control
Ambiental
18No.980,Dto.3
La Plata Buenos Aires 1900
Argentina
Tel: 54-21-52-6640
Fax:54-21-240891
E-Mail:
ccreimer@netverk.com.ar
Ms. Linda Crerar
Assistant Director of Water and
Shorelands
Water and Shorelands
Department of Ecology
State of Washington
300 Desmond Drive
Lacy, WA 98503
United States
Tel: 1-360-407-7013
Fax:1-360-407-6574
E-Mail:
Mr. Christopher Currie
Acting Chief
Office of Enforcement
Enforcement Management
Division
Environment Canada
Place Vincent Massey,
17th Floor
351 St. Joseph Boulevard
Hull, Quebec K1AOH3
Canada
Tel: 1-819-953-3882
Fax:1-819-953-3459
E-Mail:
curriech@cpits1 .am.doe.ca
Mr. Eric R. Dannenmaier
Environmental Law Advisor
USAID
Box2117
National Capitol Station, NW
Washington, D.C. 20013-2117
United States
Tel: 1-202-588-2029
Fax:1-202-547-0140
E-Mail: edan@igc.apc.org
Mr. Domenico De Meis
Inspector
Air Pollution Control
Department
Ministry of Environment
Delia Ferratella in Laterano 33
00184 Rome
Italy
Tel: 39-6-703-62404or 772-
57015
Fax:39-6-772-57016
E-Mail:
Mr.Jaapvan Dijk
GedeputeerdeProvincie
Groningen
Provincial Government of
Groningen
Martinikerkhof 12
Postbus610
9700 AP Groningen
The Netherlands
Tel: 31-50-316-4127
Fax:31-50-318-5615
E-Mail:
Mr. Jan van Doom
Chief
Environmental Crime Unit
National Crime Intelligence
Service
INTERPOLe.v.
Postbus3016
2700 KX Zoetermeer
The Netherlands
Tel: 31-79-345-9911
Fax:31-79-345-8741
E-Mail:
Mr. Damcho Dorji
Deputy Registrar General
High Court Thimphu
Royal Government of Bhutan
P.O. Box 466
Thimphu
Bhutan
Tel: 975-22-26-13
Fax: 975-22-29-21
E-Mail:
Ms. Linda F. Duncan
Head
Cooperation in Law and
Enforcement
Commission for Environmental
Cooperation
393 rue St-Jacque West,
Bureau 200
Montreal H2Y1N9
Canada
Tel: 1-514-350-4334
Fax:1-514-350-4314
E-Mail: lduncan@ccemtl.org
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PARTICIPANT LIST 1109
Mr.OssamaEI-Kholy
Senior Advisor
Egyptian Environmental Affairs
Agency
13 Street 265, New Maadi
Cairo 11742
Egypt
Tel: 20-2-352-1325
Fax:20-2-378-0222
E-Mail: eeeaa@idsc.gov.eg
Dr. Desire Elizondo Cabrera
Director
Environmental Division
Ministry of Environment and
Natural Resources
Apartado Postal 2500
Managua
Nicaragua
Tel: 505-2-632-095
Fax:505-2-632-620
E-Mail:
Mr. Marius Enthoven
Director-General Environment
Environment, Nuclear Safety
and Civil Protection
European Community
Rue de La Loi 200
B-1049 Brussels
Belgium
Tel: 32-2-299-4949
Fax:32-2-299-1105
E-Mail:
Mr. Paul A. van Erkelens
Chairman of the Water Board
Waterschap Regge en Dinkel
Kooikersweg 1,7609 PZ Almelo
Postbus 5006
7600 GA Almelo
The Netherlands
Tel: 31-546-823-525
Fax:31-546-821-176
E-Mail:
Mr. Eric Esler
Environmental Attorney/
Institutional Specialist
UNDP/ETAP
P.O. Box 877
Phnom Penh
Cambodia
Tel: 855-23-428-370
Fax:855-23-426-982
E-Mail: undpetap ©forum.org.kh
Mr. J.Warren Evans
Senior Project Specialist
(Environment)
Water Supply, Urban
Developments Housing
Division
Asian Development Bank
6 ADB Avenue
Mandaluyong, Metro Manila
P.O. Box 789
Manila 0980
Philippines
Tel: 632-632-6770
Fax: 632-636-2305or 636-2444
E-Mail:
jevans@mail.asiandevbank.org
Ms. Clarisade FerreraVega
Abogaday Notaria
Fiscal Especial de Medio
Ambiente
MinisterioPublico
Bo. la Palzuela,
100 Metros al Sur de Banco
Futuro
Tegucigalpa
Honduras
Tel: 504-38-6372or 21 -3122
Fax: 504-38-6373or 504-39-
4752
E-Mail:
Ms.SofieH.FIensborg
Head of Section
Supervision and Legislative
Division
Danish Environmental
Protection Agency
Strandgade 29
DK 1400 Copenhagen K
Denmark
Tel: 45-32-66-01 -OOFax: 45-32-
66-04-79
E-Mail:
Mr. J.William Futrell
President
Environmental Law Institute
(ELI)
1616 P Street, NW
Suite 200
Washington, D.C. 20036
United States
Tel: 1-202-939-3800
Fax:1-202-939-3868
E-Mail: futrell@eli.org
Ms. MaryGade
Director
Illinois Environmental
Protection Agency
2200 Churchill Road
P.O. Box 19276
Springfield, IL 62702
United States
Tel: 1-217-782-9540
Fax:1-217-782-9039
E-Mail:
epa8106@epa.state.il.us
Dr.Tarek Genena
Director
Technical Cooperation Off ice
for the Environment
Egyptian Environmental Affairs
Agency
16 Lebanon St., Mohandeseen
Cairo 12411
Egypt
Tel: 20-2-340-9078
Fax:20-2-302-9081
E-Mail: eeeaa® idsc.gov.eg
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1110
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Mr. Jo Gerardu
Deputy Director
Enforcement Division/ IPC 681
Ministry of Housing, Spatial
Planning and the Environment
RijnstraatS
P.O. Box 30945
2500 GX Den Haag
The Netherlands
Tel: 31-70-339-2536
Fax:31-70-339-1300
E-Mail: Gerardu® IMH-
HM.DGM.minvrom.nl
Mr. Robert Glaser
Inspector
Internal Affairs
Ministry of Housing, Spatial
Planning and the Environment
Seissingel4
P.O. Box 394
NL-4330AJ Middelburg
The Netherlands
Tel: 31-11-863-3792
Fax:31-11-862-4126
E-Mail: glaser® IMH-
HM.DGM.minvrom.nl
Mrs. Stella Goldstein
Deputy Minister of Environment
Sao Paulo Environmental
Secretary
State of Sao Paulo
Av. Prof. Frederico Hermann
Junior, 345
Sao Paulo SP CEP 05489-90
Brazil
Tel: 55-11-212-1554
Fax:55-11-813-6451
E-Mail:
Mr. Carlos Gonzales Guzman
Director of Audits
Office of Under Attorney of
Environmental Audit
PROFEPA
Insurgentes Sur No. 1480,14o
piso
Col. Barrio Actipan, Del. Benito
Juarez
C.P. 03230, Districto Federal
Mexico City
Mexico
Tel: 525-534-7587
Fax:525-534-5877
E-Mail:
Mr. Marco Antonio Gonzalez
Salazar
Vice Minister
Ministerio Recursos Naturales,
EnergiaYMinas(MIRENEM)
Calle 25 Avenidas 8 y 10
San Jose
Costa Rica
Tel: 506-257-5658
Fax: 506-222-4580
E-Mail:
Mr. J. C. Gras
Public Prosecutor
Parket Officer Van Justitie
Wilhelminaplein 4
Willemstad
Curacao, Netherlands Antilles
Tel: 599-9-634-333
Fax:599-9-611-888
E-Mail:
Mr. Hamrat Hamid
Senior Enforcement Advisor
Badan Pengendalian Dampak
Lingkungan (BAPEDAL)
Environmental Impact
Management Agency
Gendung Arthaloka, Lt. X
Jl. Sudirman No. 2
Jakarta Pusat 10220
Indonesia
Tel: 62-21-251-2562
Fax:62-21-251-1422
E-Mail:
Dr. Francois Hanekom
Deputy Director-General
Department of Environmental
Affairs and Tourism
Private Bag X447
Pretoria 0001
South Africa
Tel: 27-12-310-3666
Fax:27-12-322-9231
E-Mail:
Mr. Chris Hatton
Manager
Resource Quality
Auckland Regional Council
21 Pitt Street
Private Bag 68
Newton
Auckland 912
New Zealand
Tel: 64-9-379-4420
Fax:64-9-366-2155
E-Mail:
Mr. Steven A. Herman
Assistant Administrator
Office of Enforcement and
Compliance Assurance
U.S. Environmental Protection
Agency
MC2211 A
401 M St., SW
Washington, DC 20460
United States
Tel: 1-202-564-2440
Fax:1-202-564-0070
E-Mail:
Mr. Marco T. Hernandez
Virviescas
Attorney
Environmental Litigation
Hernandez, Virviescas, Gomez
& Asciados
Edificio El Conquistador
Via Espana Y Calle 45 Es
Primer Alto, No. 3A
Panama
Tel: 507-23-6759or 23-5291
Fax: 507-69-8465
E-Mail:
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PARTICIPANT LIST 1111
Mr. Jan van den Heuvel
Director
General Policy Affairs/ IPC 660
Ministry of Housing, Spatial
Planning and the Environment
RijnstraatS
P.O. Box 30945
2500 GX Den Haag
The Netherlands
Tel: 31-70-339-4025
Fax:31-70-339-1303
E-Mail:
Mr. Reiji Hitsumoto
Deputy Director
General Affairs Department
Environment Bureau
City of Kitakyushu
Jonai 1-1, Kokurakita-ku
Kitakyushu 803
Japan
Tel: 81-93-582-2187
Fax:81-93-582-2196
E-Mail:
Mrs. Kasemsri Homchean
Director
Environmental and Safety
Control Division
Industrial Estate Authority of
Thailand
618 Nikhom Makkasan Road
Rajathevee
Bangkok 10400
Thailand
Tel: 66-2-253-0561 ext. 6300
Fax: 66-2-252-9273or253-
4086
E-Mail:
Mr. Antero Honkasalo
Senior Advisor
Ministry of the Environment
P.O. Box 399
SF-00121 Helsinki
Finland
Tel: 358-0-199-19707
Fax:358-0-199-19716
E-Mail:
Mrs. Katerinalacovidou
Division of Industries
Ministry of the Environment,
Physical Planning and Public
Works
147 Patission Street
GR-11251 Athens
Greece
Tel: 30-1-865-2493
Fax: 30-1 -864-7420or 865-
2493
E-Mail:
Mr. Jalaluddin Ismail
Director
Department of Environment
Tingkat 17, Wisma MPSA
Persiaran Perbandaran
40675 Shah Alam,
Selangor Darul Ehsan
Malaysia
Tel: 60-6-559-4787or 550-2918
Fax: 60-6-559-4788
E-Mail:
Dr. Chris lyayi
Zonal Head
Federal Environmental
Protection Agency
198BBARoad
Port - Harcourt, Rivers State
PMB5159
Nigeria
Tel: 234-84-236-868
Fax: 234-84-230-238or236-
864
E-Mail:
Mr. Alun James
Regional IPC / RAS Manager
Environment Agency
Rivers House
St. Mellons Business Park
Cardiff CF3OLT
United Kingdom
Tel:44-1222-770088
Fax:44-1222-798555
E-Mail:
Mr. HansW. Jeronimus
Liaison Officer
National Criminal Intelligence
Division
Royal Netherlands Embassy
106 Wireless Road
P.O. Box 404
Bangkok 10501
Thailand
Tel: 66-2-253-2262
Fax:66-2-255-1306
E-Mail:
Mr. J. J. Jordaan
Secretary
Office of Deputy Director
General
Department of Environmental
Affairs and Tourism
Private Bag X447
Pretoria Sautenig 0001
South Africa
Tel: 27-12-310-3522
Fax:27-12-322-9231
E-Mail:
Ms. Suwamarin Jugsujinda
Research Associate
Thailand Environmental
Institute (TEI)
210Sukhumvit64
Bangchak Refinery, Building 4
Prakanong, Bangkok 10260
Thailand
Tel: 66-2-331-0047
Fax: 66-2-332-4873
E-Mail: nancy@tei.or.th
Mr. Chamnan Junruang
Chief
Directing and Coordinating
Division
Chiang Mai Governor's Office
29/10 Moo 2 Chang Puak
Muang
Chiang Mai 50300
Thailand
Tel: 66-53-212-661
Fax:66-53-210-520
E-Mail:
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1112
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Mr. Raphael Peter Kabwaza
Environmental Coordinator
Ministry of Research and
Environmental Affairs
P.O. Box 30745
Lilongwe 3
Malawi
Tel:265-781-111
Fax:265-781-487
E-Mail:
Mr. Zbigniew Kamienski
Deputy Chief Inspector -
Environmental Protection
State Inspectorate for
Environmental Protection
ul.Wawelska 52-54
00 922 Warsaw
Poland
Tel: 48-22-254-859
Fax:48-22-254-129
E-Mail: gios@warman.com.pl
Dr. Sen! Karnchanawong
Asst. Professor
Department of Environmental
Engineering
Faculty of Engineering
Chiang Mai University
Chiang Mai 50200
Thailand
Tel: 66-53-221 -699ext. 4133
Fax:66-53-210-328
E-Mail:
Dr. Huub Kesselaar
Director
Inspectorate for the
Environment/ IPC 681
Ministry of Housing, Spatial
Planning and the Environment
RijnstraatS
P.O. Box 30945
2500 GX Den Haag
The Netherlands
Tel: 31-70-339-2569
Fax:31-70-339-1300
E-Mail: kesselaar® IMH-
HM.DGM.minvrom.nl
Mr.LeVanKieu
Director of Inspection Body
Inspectorate Body of the
National Environment Agency
Ministry of Science,
Technology and the
Environment
39 Tran Hung Dao Street
Hanoi
Vietnam
Tel: 84-4-261-517
Fax: 84-4-252-733
E-Mail:
Dr. Pakit Kiravanich
Director General
Pollution Control Department
404 Phahon Yothin Center
Building
Phahon Yothin Road
Sam Sen Nai Phayathai
Bangkok 10400
Thailand
Tel: 66-2-619-2316
Fax:66-2-619-2285
E-Mail:
Mr. John J. van Klaveren
Policy Maker for Environmental
Cooperation
Kabinet voor Nederlands-
Antilliaanse en Arubaanse
Zaken
Postbus 20051
2500 EB Den Haag
The Netherlands
Tel: 31-70-362-4301
Fax:31-70-365-2679
E-Mail:
Mr. Choei Konda
Special Advisor
Environmental Health
Department
Environment Agency
1-2-2Kasumigascki
Chiyoda-Ku
Tokyo 100
Japan
Tel: 81-3-3580-5975
Fax:81-3-3581-3370
E-Mail:
Ms. Svitlana Kravchenko
President Ecopravo - Lviv
Lviv State University
Universitetskastr. 1
Lviv 290 000
Ukraine
Tel: 38-0322-722-746
Fax:38-0322-271-446
E-Mail:svitlana@epac.lviv.ua
Mr. George Kremlis
Head of Unit
Legal Affairs and Application of
Community Law
European Commission
Avenue de Beaulieu 5
Office Bu 5 4/11
B-1160 Brussels
Belgium
Tel: 32-2-296-6526or 299-0363
Fax:32-3-299-1070
E-Mail:
Dr. Eva Kruzikova
Director
Institute for Environmental
Policy
Hradebni 3
11 000 Praha
Czech Republic
Tel: 42-2-248-11 -085ext. 255
Fax:42-2-231-5734
E-Mail: eva.kruzikova@ecn.cz
Mr. Arunas Kundrotas
Secretary
Ministry of Environmental
Protection
Juozapaviciaus 9
2600 Vilnius
Lithuania
Tel: 370-2-726-306
Fax:370-2-728-020
E-Mail:
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PARTICIPANT LIST 1113
Mr. Lai Kurukulasuriya
Chief
Regional Environmental Law
Program
United Nations Environment
Program (UNEP)
Regional Office for Asia and
the Pacific
United Nations Building, 10th
Floor
Rajadamnern Avenue
Bangkok 10200
Thailand
Tel: 66-2-288-1877
Fax:66-2-280-3829
E-Mail:
Mr. Harley Laing
Regional Counsel
Region 1
U.S. Environmental Protection
Agency
John F. Kennedy Federal
Building
One Congress Street
Boston, MA 02203
United States
Tel: 1-617-565-3451
Fax:1-617-565-1141
E-Mail:
Mr. A. de Lange
Public Prosecutor
Public Prosecutors Office
Prinsessegracht28,2514AP
Den Haag
P.O. Box 20302
2500 EH Den Haag
The Netherlands
Tel: 31-70-360-0846
Fax:31-70-365-8915
E-Mail:
Mr. Patrick Lei
Principal Environmental
Protection Officer
Waste and Water Policy
Environmental Protection
Department
Hong Kong Government
28 F Southern Centre
130 Hennessy Road
Wanchai
Hong Kong
Tel: 852-2755-2230
Fax: 852-2305-0453or852-
2838
E-Mail:
Mr. Daniel Lindsey
Manager
Enforcement and Compliance,
Field Services Branch
Department of Renewable
Resources
Box2703
Whitehorse, Yukon Territory
Y1A2C6
Canada
Tel: 1-403-667-8936
Fax:1-403-667-2691
E-Mail:
Dr. Elton Lioe-A-Tjam
Director
VROM
Frankrijkstraat7
Oranjestad
Aruba
Tel: 297-8-32345
Fax:297-8-32342
E-Mail:
Mr. S. M. Lloyd
Director
Air Pollution Division
Department of Environmental
Affairs and Tourism
Private Bag X447
Pretoria Sautenig 0001
South Africa
Tel: 27-12-310-3522
Fax:27-12-322-9231
E-Mail:
Mr. Danius Lygis
Environmental Advisor to
Environmental Committee
Environmental Division
Seimas (Parliament) of the
Republic of Lithuania
53 Gediminas Avenue
2017 Vilnius
Lithuania
Tel: 370-2-61-9463
Fax:370-2-61-5871
E-Mail:
Mr. Joakim Lystad
Head of Department
Norwegian Pollution Control
Authority
P.O. Box 8100
N-0032Oslo
Norway
Tel: 47-2-257-3400
Fax:47-2-267-6706
E-Mail:
Ms. Patricia Madrigal
Cordero
Parliamentary and
Constitutional Court Advisor
Consultores Ambientales
P.O. Box 20-1017
San Jose 2000
Costa Rica
Tel: 506-231-0024
Fax:506-231-0024
E-Mail:
Mr. Ernest M. Makawa
Environment Legal Officer
Ministry of Research and
Environmental Affairs
P.O. Box 30745
Lilongwe 3
Malawi
Tel: 265-781-111
Fax:265-781-487
E-Mail:
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1114
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Ms.SuneeMallikamarl
Director of Environmental Law
and Development Center
Faculty of Law
Chulalongkom University
Bangkok
Thailand
Tel: 62-2-215-0891 ext. 2068
Fax:62-2-218-2018
E-Mail:
Mr. James Dawos Mam it
Controller of Environmental
Quality
Natural Resources and
Environment Board Sarawak
18th Floor
Wisma Sumber Alam
Locked Bag No. 2103
Pera Jaya 93050, Kuching,
Sarawak
Malaysia
Tel: 60-82-447-485
Fax: 60-82-448-254
E-Mail: nreb@po.jaring.my
MinisterYingpan Manasikarn
Minister
Ministry of Science
Technology and the
Environment
Rama 6 Road
Rajdhavee, Bangkok 10400
Thailand
Tel: 66-2-246-0064
Fax:66-2-246-5146
E-Mail:
Mr. Guy Martin
Special Advisor
Office of Enforcement
National Programs Directorate
Environment Canada
Place Vincent Massey, 17th
Floor
351 St. Joseph Boulevard
Hull, Quebec K1A OH3
Canada
Tel: 1-514-283-6930
Fax:1-514-283-1301
E-Mail:
Hon. Wilson Masilingi
Member of Parliament
Parliament of Tanzania
Lehmanns Bldg., Suite 107
Samora Ave./Mission St.
Dare es Salaam 71808
Tanzania
Tel: 255-51-32183or 30098
Fax: 255-51 -34603or 38818
E-Mail:
Mr. Choma Johnson
Matale
Principal Air Quality Inspector
Department of Mines
Private Bag 0049
Tirelo House
Gaborone
Botswana
Tel: 267-352-641
Fax:267-352-141
E-Mail:
Dr. Patricia Matus
Jefe de Unidad
Decontamination, Plans, and
Environmental Standards
National Commission for the
Environment (CONAMA)
21 520-V
Avenida Liberador Bernardo
O'Higgins 949
Piso13
Santiago
Chile
Tel: 56-2-405-600
Fax:56-2-441-262
E-Mail:
Mr. Virah Mavichak
Director
Industrial Environmental
Division
Department of Industrial Works
Ministry of Industry
75/6 Rama 6 Road
Bangkok 10400
Thailand
Tel: 66-2-202-4160
Fax:66-2-202-4162
E-Mail:
Mr. Patrick McGinley
Professor of Law
West Virginia University
737 South Hills Drive
Morgantown, WV 26505
United States
Tel: 1-304-292-9822
Fax:1-304-292-9822
E-Mail:
Lie. Moises Medleg S.
Secretario Particular del
Procurador
Procuraduria Federeal de
Proteccion al Ambiente
Secretaria de Medio Ambiente,
Recursos Naturales y Pesca
Periferico Sur No. 5000 5o Piso
Col. Insurgentes Cuicuilco
Mexico City CP 04530
Mexico
Tel: 52-8-5403 or 528-5437
Fax:52-8-5432
E-Mail:
Ms. Vera Mischenko
President
Ecojuris
P.O. Box 399
117313 Moscow
Russia
Tel: 7-095-246-2903
Fax: 7-095-292-6511 or 7-095-
245-31
E-Mail:
Dr. Andrzej Mizgajski
Director
Voivodship Office in Poznan
Environmental Protection
Department
Al. Nlepodleglosci16/18
60 967 Poznan
Poland
Tel: 48-61-52-1393
Fax:48-61-52-7327
E-Mail:
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PARTICIPANT LIST 1115
Ms. Abigail Modino
Senior ResearchTechnical
Assistant
Senate Committee on
Environment and Natural
Resources
Senate of the Phillipines
1201 Gotesco Twin Towers
1129 Concepcion Street
Ermita
Philippines
Tel: 632-527-7771
Fax:632-527-1409
E-Mail:
Mr. M. Abdul LatifMondal
Joint Secretary
Ministry of Environment and
Forest
Government of Bangladesh
Building 6
Room 1307, Bangladesh
Secretariat
Dhaka
Bangladesh
Tel: 880-2-869-621
Fax:880-2-869-210
E-Mail:
Ms. Ignacia Moreno
Counsel to the Assistant
Attorney General
Environment and Natural
Resources Division
United States Department of
Justice
10th and Constitution Ave.,
NW
Room 2610
Washington D.C. 20530
United States
Tel: 1-202-514-5243
Fax:1-202-514-0557
E-Mail:
Mr. Felix Moreno
Director
Ministerio de Desarrollo
Sostanible y Medio Ambiente
Av. Acre #2147
LaPaz
Bolivia
Tel: 591-2-35-4522
Fax:591-2-391-071
E-Mail:
Mr. Mfaro Moyo
Deputy Permanent Secretary
Ministry of Lands and Water
Resources
P.O. Box BW 1343
Borrowdale, Harare
Zimbabwe
Tel: 263-4-700-597or 729-223
Fax:263-4-708-162
E-Mail:
Eng. Muzahem Muhaisin
Secretary General
Aqaba Region Authority
P.O. Box 21
Aqaba
Jordan
Tel:962-3-314-200
Fax:962-3-314-206
E-Mail:
Mr. AM A. Murshed
Head of Health Section
Sharjah Municipality
P.O. Box 40510
Sharjah
United Arab Emirates
Tel: 971 -6-549-326or 526-097
Fax:971-6-542-707
E-Mail:
Governor Virachai
Naewboonnien
Governor
Provincial Hall
Chotana Road
Muang district
Chiang Mai
Thailand
Tel:66-53-221-127
Fax:66-03-219-954
E-Mail:
Mr. Guillermo Navarette
Lopez
Espec. en Desarrollo Urbano y
Rural
Secretaria Ejecutiva del Medio
Ambiente (SEMA)
Urbanizacion Buenos Aires
Pasaje Mar Del Plata No. 2
San Salvador
El Salvador
Tel: 503-226-8633or 266-8755
Fax:503-225-8393
E-Mail:
Dr. J. H. Neethling
Head of Department
West Cape Department of
Environment and Cultural
Affairs
Private Bag 9086
Cape Town West Cape
Province 8000
South Africa
Tel: 27-21-483-4093
Fax:27-21-230-939
E-Mail:
Mr. Gudmund Nielsen
Ministry of the Environment
Danish Environmental
Protection Agency
Strangade 29
1401 Copenhagen K
Denmark
Tel: 45-32-660-100
Fax:45-32-660-479
E-Mail:
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1116
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Mr. Kihumba Francis Njuguna
Assistant Director
National Environment
Secretariat
P.O. Box 67839
Nairobi
Kenya
Tel: 254-2-229-261 ext 35101 or
35242
254-2-275-890
Fax: 254-2-242-887or 216-289
E-Mail:
Mr. H. Nurmsalu
Chief Inspector - Director
General
Environmental Inspectorate
Ministry of the Environment
Marja 4d
EE 0006 Tallinn
Estonia
Tel: 372-2-531-005
Fax:372-2-531-005
E-Mail:
His Excellency Ahmed
Obeidat
Chairman
Jordan Environment Society
P.O. Box 922821
Amman
Jordan
Tel: 962-6-699-844
Fax:962-6-695-857
E-Mail:
Dr. ModupeTaiwo Odubela
Assistant Director
Inspectorates Enforcement
Department
Federal Environmental
Protection Agency
StreetE, Flat 105,1004
Complex
Victoria Island
Lagos, Surulere PMB 3150
Nigeria
Tel: 234-1-611-094
Fax: 234-1 -585-0122or 585-
1570
E-Mail:
Ms. Cecilia Oh
Environmental Policy Analyst
World Wildlife Fund - Malaysia
Locked Bag No. 911
Jalan Sultan Post Office
46990 Petaling Jaya, Selangor
Malaysia
Tel: 60-3-757-9192
Fax:60-3-756-5594
E-Mail:wwfmai@pop.jaring.my
Mr. Reuben Olembo
Deputy Executive Director
United Nations Environment
Program (UNEP)
P.O. Box 30552
Nairobi
Kenya
Tel: 254-2-621-234
Fax:254-2-226-895
E-Mail:
Mr. MennoOlman
Director
Regional Directorateof
Rijkswaterstaat
Ministry of Transport, Public
Works and Water Management
Zuidersingel3
Postbus2301
8901 JH Leeuwarden
The Netherlands
Tel: 31-58-234-4269
Fax:31-58-234-4265
E-Mail:
Mr. Antonio A. Oposa Jr.
Attorney
Philippine Ecological Network
(PEN)
1807 Tower One, Cityland 10
Ayala Ave. Cor. H. V. Dela Costa
St.
Salcedo Village
1200 City of Makati
Philippines
Tel: 632-816-6775or 813-2656
Fax:632-816-6775
E-Mail: oposa@gaia.psdn.org
Mr. Lee Paddock
Directorof Environmental
Policy
Minnesota Attorney General's
Office
445 Minnesota St.
NCL Tower, Suite 900
St. Paul, MN 55155-2127
United States
Tel: 1-612-296-6597
Fax:1-612-297-4193
E-Mail:
lee.paddock® state.mn.us
Dr. Nonglak Pancharuniti
Research Fellow
Office of the President
Thailand Environmentlnstitute
(TEI)
210Sukhumvit64
Bangchak Refinery, Building 4
Prakanong, Bangkok 10260
Thailand
Tel: 662-331 -0047ext. 4493
Fax:662-332-4873
E-Mail: npan@tei.or.th
Mr.Virach Payackapan
Police Colonel
The RoyalThai Police
Thanon Rama 1
Bangkok 10330
Thailand
Tel: 66-2-255-4452
Fax:66-2-251-5870
E-Mail:
Ms.Waltraud Petek
Director Legal Service
Austrian Ministry for
Environment.Youth, and Family
Stubenbastei5
A-1010Vienna
Austria
Tel:43-1-51522-2123
Fax:43-1-51522-7122
E-Mail:
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PARTICIPANT LIST 1117
Mr. Jan Peters
Commissioner
Regional Police Midden en West
Brabant
Noordhoekring186
5038GG,Tilburg
P.O. Box 8040
5004GATilburg
The Netherlands
Tel: 31-13-428-303
Fax:31-13-428-300
E-Mail:
Dr. Jit Peters
International Environmental
Affairs/1 PC 670
Ministry of Housing, Spatial
Planning and the Environment
RijnstraatS
P.O. Box 30945
2500 GX Den Haag
The Netherlands
Tel: 31-70-339-4174
Fax:31-70-339-1306
E-Mail:
peters@dimz.dgm.minvrom.nl
Ms. Santivipa Phanichkul
Assistant to the President
Training and Development
Thailand Environment Institute
(TEI)
210Sukhumvit64
Bangchak Refinery, Building 4
Prakanong, Bangkok 10260
Thailand
Tel: 66-2-331 -0047ext 4152,
4187
Fax:66-2-332-4873
E-Mail: nancy ©tei.or.th
Sub Lt. Preecha Phetwong,
R.T.N.
Chief of Regional Harbour
Master Off ice
Harbour Department
First Regional Harbour Master
Office
31 SukeemokRoad
Tumbol PaknamphoAmphoe
Muang
Nakornsawan 60000
Thailand
Tel: 66-56-221-245
Fax:66-56-223-064
E-Mail:
Dr. Doris PolaniaVillanueva
Advisor
Ministry of Environment
Ministeriodel Medio Ambiente
Calle16,No.6-66
Pisos 3-4-30-31
Bogota Santafe de Bogota, DC
35717
Colombia
Tel: 571-336-1166
Fax:571-336-0968
E-Mail:
Ms. Dumitra Popescu
Professor of Law
Institute of Legal Research
Str.Ciureahr. 14, Bl.yl
Sc.G,et.lll,ap.54
Section 2
73 296 Bucharest
Romania
Tel: 40-1 -250-3625or 410-4059
Fax: 40-1 -335-4496or 312-
4816
E-Mail:
Ms. Lillian Portillo
Special Assistant
Subsec. de Estado de
Recursos Naturales y Medio
Ambiente
Ministerio de Agricultura y
Ganaderia
Tacuary 443 - Edificio Diario
"La Union" 4toPiso
P.O. Box 2461
Asuncion
Paraguay
Tel: 595-21 -443-854or 443-971
Fax: 595-21 -440-167or493-
793
E-Mail:
Dr.Tippawan Prapamontol
Senior Scientist
Research Institute for Health
Services
Chaing Mai University
Chiang Mai 50200
Thailand
Tel: 66-53-221-465
Fax:66-53-221-849
E-Mail:
Ms. Kathy Prosser
Commissioner
Indiana Department of
Environmental Management
IGCN1301
1 DON Senate
P.O. Box 6015
Indianapolis, IN 46204-6015
United States
Tel: 1-317-232-8162
Fax:1-317-232-8564
E-Mail:
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1118
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Mr. Mark Radka
Industry Program Officer
United Nations Environment
Program (UNEP)
Regional Office for Asia and the
Pacific
United Nations Building, 10th
Floor
Rajdamnern Avenue
Bangkok 10200
Thailand
Tel: 66-2-288-1679
Fax:66-2-280-3829
E-Mail: radka.unescap@un.org
Dr. Aziz Abdul Rasol
Assistant Director General
Department of Environment
13th Fl. Wisma Sime Darby
Jalan Raja Laut
50662 Kuala Lumpur
Malaysia
Tel: 60-3-559-4787
Fax:60-3-559-4788
E-Mail:
Dr. Rein Ratas
Secretary General
Ministry of the Environment
24Toompuiestee
EEOIOOTallinn
Estonia
Tel: 372-2-626-2804
Fax:372-2-626-2801
E-Mail: min@ekm.envir.ee
Mr.G. Rengasamy
Member Secretary
Tamil Nadu Pollution Control
Board
100 Anna Salai, Guindy,
Madras 600 032
India
Tel: 91-44-235-3145
Fax:91-044-235-3068
E-Mail:
Mr. Quirino Richardson
Head
MilieudienstCuracao
Groot Davelaar K 22-23
Willemstad
Curacao, Netherlands Antilles
Tel: 599-9-369-042or 369-040
Fax:599-9-369-195
E-Mail:
Ms. Linda Rimer
Assistant Secretary for
EnvironmentalProtection
North Carolina Department of
Environment, Health and
Natural Resources
P.O. Box 27687
Raleigh, NC 27611-7687
United States
Tel: 1-919-715-4140
Fax:1-919-715-3060
E-Mail:
unda_rimer@ mail.ehnr.state.nc.us
Dr. Gwo Dong Roam
Director General
Bureau of Water Quality
Protection
EnvironmentalProtection
Administration
41 Sect. 1, Chung Hwa Road
Taipei
Taiwan
Tel: 886-2-311 -7722ext. 2800
Fax:886-2-389-9860
E-Mail:
Dr. Aldo Rodriguez Salas
Chief Legal Advisor
Environmental Department
Ministeriode Medio Ambiente,
Urbanismo y Vivienda
Palacio de Gobierno, Piso 80
5500 Mendoza
Argentina
Tel: 54-61-237-815
Fax:54-61-237-815
E-Mail:
Mr. Giovanni Rosania
Schiavore
Environmental Undersecretary
Ministeriode Energiay Minas
Santa Prisca 223 y Manuel
Larrea
Quito
Ecuador
Tel: 593-2-570-341
Fax:593-2-583-719
E-Mail:
Ms. Ruth Rotenberg
Legal Advisor, Head of Legal
Department
Ministry of the Environment
P.O. Box 34033
Kanfei Nesharim, No. 5
Jerusalem 95464
Israel
Tel: 972-2-655-3730or 3731
Fax:972-2-655-3744
E-Mail:
Mr.JohnRothman
Senior Attorney
Multi Media Enforcementand
InternationalActivities
U.S. EnvironmentalProtection
Agency, Region 9
75 Hawthorne St.
San Francisco, CA 94105
United States
Tel: 1-415-744-1353
Fax:1-415-744-1041
E-Mail:
rothman.john@epamail.epa.gov
Mr. Daniel Sabsay
Director of Institutional Affairs,
Senior Attorney
Fundacion Ambiente y
Recursos Naturales (FARN)
Monroe2142(1428)
Buenos Aires
Argentina
Tel: 54-1-787-3820
Fax:54-1-787-3820
E-Mail: farn-
cds@wamani.apc.org
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PARTICIPANT LIST 1119
Prof.Yubaraj Sangroula
Coordinator
Institute for Legal Research and
Resources (ILRR)
P.O. Box 6618
Kathmandu
Nepal
Tel: 977-01-417-789
Fax:977-01-412-323
E-Mail:
Mr. Mas Achmad Santosa
Executive Director
Indonesian Centerfor
Environmental Law
JL. Kerinci IX No. 24
Kebayoran Baru
12120 Jakarta
Indonesia
Tel: 62-21-739-4432
Fax:62-21-726-9331
E-Mail: icel@igc.apc.org
Mr. Sadhu Ram Sapkota
Under Secretary for Law
Law and Convention Division
Ministry of Population and
Environment
Singh Durbar Secretariat
Complex
P.O. Box 3812
Kathmandu
Nepal
Tel: 977-1-241-588
Fax:977-1-242-138
E-Mail: wns@wwf.mos.com.np
c/o Kathie
Mr. W.E.Scott
Deputy Director
Pollution Control Division
Department of Environmental
Affairs and Tourism
Private Bag X447
Pretoria Sautenig 0001
South Africa
Tel: 27-12-310-3522
Fax:27-12-322-9231
E-Mail:
Mr. Mohamad Sayuti Sepeai
Director
Department of Environment
State of Sabah / Lubuan
7th Floor, KWSP Building
KaramunsingRoad
Kota Kinabalu 88000 Sabah
Malaysia
Tel: 60-88-250-025
Fax:60-88-241-170
E-Mail:
Ms.Theresa Serra
Senior EnvironmentalSpecialist
Environmentand Urban
Development Division
Country Department III, Latin
America and the Caribbean
Region
The World Bank
1818 H Street, NW
Washington, D.C. 20433
United States
Tel: 1-202-473-5754
Fax:1-202-522-2115
E-Mail:
mserral ©worldbank.org
Mr.NikolaySidjimov
Executive Secretary
Association of Municipal
Environmental Experts
1, Tzar Osvoboditel Street
Sliven 8800
Bulgaria
Tel: 359-44-22-651
Fax:359-44-29-350
E-Mail:
Ms. L. Sievers
Korps landelijkePolitiediensten
PostbuslOO
3970ACDriebergen
The Netherlands
Tel: 31-343-535-555
Fax:31-343-517-308
E-Mail:
Mr. John Skinner
Senior Advisor
United Nations Environment
Program (UNEP)
39-43 Quai Andre Citroen-Tour
Mirabeau
75739 Paris, Cedex 15
France
Tel: 33-1-44-371-427
Fax:33-1-44-371-474
E-Mail:
Dr. David Slater
Director
Pollution Prevention and
Control
Environment Agency
Rio House
Waterside Drive, Aztec West
Almondsbury
Bristol BS124UD
United Kingdom
Tel: 44-1454-62-4065
Fax:44-1454-62-4409
E-Mail:
Mr. Mak Sophy
Director
Pollution Control, Reduction,
and Prevention
Ministry of Environment
48 Samdech Preach Sihanoak
Tonle Bassac
Phnom Pehn
Cambodia
Tel: 855-23-427-844
Fax:855-23-427-844
E-Mail:
Ms.GilaStopler
Lawyer
Israel Union for Environmental
Defense
21 Shneyor Street
Corner of Tehemihovsky
Tel-Aviv 63326
Israel
Tel: 972-352-56-462
Fax:972-352-56-475
E-Mail:
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1120
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Ms. AnnSugrue
Deputy Director, Cleaner
Technology
Department of Development,
Planning, and Environment
Gauteng Provincial
Administration
40 Catlin Street
Germiston
South Africa
Tel: 27-11-820-0446or 0447
Fax:27-11-873-8112
E-Mail:
Mr. Khemadhat
Sukondhasingha
Deputy Secretary General
The Federation of Thai
Industries
Queen Sirikit National
Convention Center
Zone C, 4th Floor
60 new Rachadapisek Road,
Klongtoey
Bangkok 10110
Thailand
Tel: 66-2-229-4255ext. 184 or
186
Fax: 66-2-229-4941 or 4942
E-Mail:
Mr. PornchaiTaranatham
Deputy Director General
Pollution Control Department
404 PhahonYothin Center
Building
PhahonYothin Road
Sam Sen Nai Phayathai
Bangkok 10400
Thailand
Tel: 66-2-619-2298
Fax:66-2-619-2285
E-Mail:
Mr. UgyenTenzin
Assistant Director
National Environment
Commission
Royal Government of Bhutan
P.O. Box 466
Thimphu
Bhutan
Tel: 975-2-23384
Fax:975-2-23385
E-Mail:
Dr.VictoriaTer-Nikoghosyan
Advisor to the Minister
Ministry of Environmental
Protection and Natural
Resources
35 Moscovian
Yerevan 375002
Armenia
Tel: 374-2-566-073or 151 -453
Fax:374-2-151-452
E-Mail: unarm@arminco.com
Mr. Epaminondas Toleris
Chemical Engineer
Division of Environmental
Planning
Ministry of the Environment,
Physical Planning and Public
Works
147 Patission Street
GR-11251 Athens
Greece
Tel: 30-1 -862-3020or 856-2412
Fax: 30-1-856-2024or 864-
7420
E-Mail:
Dr. Saksit Tridech
Deputy Secretary General
Office of Environmental Policy
and Planning
Rama 6 Road
Bangkok 10400
Thailand
Tel: 66-2-279-0130
Fax: 66-2-270-1661 or 271-
3226
E-Mail:
Dr. J.Tsogtbaatar
Deputy Director
Natural Resources Department
Ministry of Nature and the
Environment
Khudaldaanygudamg- 5
Ulaanbaatar11
Mongolia
Tel: 976-1-329-205
Fax:976-1-321-401
E-Mail:
Mr. FrankTuryatunga
Director
Information and Monitoring
Division
National Environment
Management Authority
5th Floor, EADB Building
P.O. Box 22255
Kampala
Uganda
Tel: 256-41 -236-817or 232-680
Fax: 256-41 -257-521 or 232-
680
E-Mail:
Mr.Tom Udall
Attorney General
Office of the Attorney General
P.O. Drawer 1508
Santa Fe.NM 87504-1508
United States
Tel: 1-505-827-6000
Fax:1-505-827-5826
E-Mail: tudallnn@counsel.com
Mr. Waldo Vargas Ballester
Secretario Nacional de
Recursos NaturalesY Medio
Ministeriode Desarrollo
Sostenibley Medio Ambiente
Calle Luis Uria de la Oliva
#2786
Casilla7231
LaPaz
Bolivia
Tel: 591-2-342-064
Fax: 591 -2-369-304or 410-335
E-Mail: etedb @ etedb.rds.org.bo
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PARTICIPANT LIST 1121
Ms. lleana Doina Vasilescu
Main Inspector
Waters - State Inspection
Division
Ministry of Waters, Forests, and
Environmental Protection
12, Blvd. Libertatii
Bucharest 5
Romania
Tel: 40-1-410-5386
Fax:40-1-410-2032
E-Mail:
Ms. Rachel A.Vasquez
Assistant Director
Environment Management
Bureau
Topaz Building
99-101 KamiasRd.
Quezon City
Philippines
Tel: 63-2-924-7540or 928-3775
Fax: 63-2-924-7540or 924-8553
E-Mail:
Mr.JanC.M.Veenman
Head
Informationand Public
Relations Department/1 PC 120
Ministry of Housing, Spatial
Planning and the Environment
RijnstraatS
Postbus 20951
2500 EZ Den Haag
The Netherlands
Tel: 31-70-339-3739
Fax:31-70-339-1351
E-Mail:
Mr. PieterJ.Verkerk
Inspector General
Inspectorate for the
Environment/I PC680
Ministry of Housing, Spatial
Planning and the Environment
RijnstraatS
P.O. Box 30945
2500 GX Den Haag
The Netherlands
Tel:31-70-339-4621
Fax:31-70-339-1298
E-Mail:
Ms. Kitty Victor
Head of Legal Affairs
Environmental Law and
Supervision Section
Swedish Environmental
Protection Agency
Blekholmsterrassen36S
S-106 48 Stockholm
Sweden
Tel: 46-8-698-1528
Fax:46-8-698-1585
E-Mail:
Mr.SuvidhVoravisuthikul
Director
Transport Engineering Division
Department of Land Transport
1032 Phahon Yothin Road
Bangkok 10900
Thailand
Tel: 66-2-272-5334
Fax: 66-2-272-5334or272-
5650
E-Mail:
Mr. PhungVanVui
Deputy Director
Inspectorate Body of the
National Environment Agency
Ministry of Science, Technology
and the Environment
39Tran Hung Dao Street
Hanoi
Vietnam
Tel: 84-4-261-517
Fax:84-4-251-518
E-Mail:
Mr. Robert A. Wabunoha
Principal State Attorney
Ministry of Justice
National Environment
Management Authority
Kampala Road - Amber House
P.O. Box 22255
Kampala
Uganda
Tel: 256-41-236-817
Fax:256-41-257-521
E-Mail: NEMA@imul.com
Mr.StanislawWajda
Legal Advisor, EC Phare
Programme
Ministry of Environmental
Protection
ul.Wawelska 52-54
00 922 Warsaw
Poland
Tel: 48-22-254-141
Fax:48-22-391-249
E-Mail:
Mr.Tse Chen Wan
Officer in Charge
Air Division
Environmental Protection
Department
Hong Kong Government
33/F Revenue Tower
5 Gloucester Road
Wanchai
Hong Kong
Tel: 852-2594-6200
Fax:852-2877-5083
E-Mail:
Mr. Suli Wang
Chief Director
Legislation Division
National Environment
Protection Agency
No. 115Xizhimennei
Nanxiaojie
Beijing 100035
Peoples Republic of China
Tel: 86-10-6615-1774
Fax:86-10-6615-1762
E-Mail:
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1122
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Ms. Cheryl E.Wasserman
Associate Director for Policy
Analysis
Office of Enforcement and
Compliance Assurance
Office of Federal Activities
U. S. Environmental Protection
Agency
MC2251 A
401 M Street, SW
Washington, DC 20460
United States
Tel: 1-202-564-7129
Fax:1-202-564-0070
E-Mail:
wassenrmdieryl@epamai.epa.cjcv
Mr. John Wise
Deputy Regional Administrator
Region 9
U.S. Environmental Protection
Agency
75 Hawthorne St.
San Francisco, CA 94105
United States
Tel: 1-415-744-1001
Fax:1-415-744-2499
E-Mail:
wise.john @ epamail.epa.gov
Dr. AmnatWongbandit
Associate Professor of
Environmental Law
Faculty of Law
Thammasat University
Bangkok 10200
Thailand
Tel:66-2-221-6111-20or6171-
80
Fax:66-2-224-9421
E-Mail:
Dr.OttoWunderlich
Head of Department
Air Pollution Control
Bavarian State Agency for
Environmental Protection
Postfach 81 01 29
ElektrastrabeS
81901 MiinchenBayern
Germany
Tel: 49-89-9214-2250
Fax:49-89-9214-3281
E-Mail:
Dr. Wang Xi
Professor of Law
Research Institute of
Environmental Law
Wuhan University
Luojishan Wuchang District
Wuhan
Peoples's Republic of China
Tel: 8627-788-2712 Ext 6324
Fax:
E-Mail: hub. wangxi®
hubei.shspt
Mr. PanithanYamvinij
Director
Technology and Environment
Planning Division
Office of the National
Economic and Social
Development Board
962 Krung Kasen Road
Bangkok 10100
Thailand
Tel: 66-2-261-6455
Fax:66-2-281-7268
E-Mail:
Ms.ZhaoYing
Visitng Scholar
Harvard Law School
East Asian Legal Studies
Program
1563 Massachusetts Avenue
Pound Hall 426
Cambridge, MA 02138
Tel: 1-617-495-3142
Fax:1-617-495-8129
E-Mail:yzhao@law.
harvard.edu
Mr.JungsokYun
Associate Expert
Crime Prevention and Criminal
Justice Division
United Nations
United Nations Office at Vienna
Vienna InternationalCenter
P.O. Box 500
A-1400 Vienna
Austria
Tel:43-1-21345-3547
Fax:43-1-21345-5898
E-Mail:
Ms. MartaZamundia
Directora
Programa de Emisiones y
Fuentes Fijas
Avenida Liberador Bernardo
O'Higgins949
Piso13
Santiago
Chile
Tel: 56-2-699-5135
Fax:56-2-671-8805
E-Mail:
Mr. Ivan Zavadsky
Director
Air, Water, Waste and
Environmental Risk Division
Ministry of the Environment of
the Slovak Republic
Hlboka2
812 35 Bratislava
Slovak Republic
Tel: 42-7-392-538
Fax:42-7-391-840
E-Mail:
-------
Fourth International Conference on Environmental Compliance and Enforcement
• ^^«d
[ Country
AFRICA
Benin
Botswana
Egypt
Egypt
Kenya
Malawi
Malawi
Nigeria
Nigeria
Nigeria
Sierra Leone
South Africa
South Africa
South Africa
South Africa
South Africa
• %• • •• • *«*• • •««••*•• •*•• -v
Name
Dr. Alao Yekini Akala
Mr. Choma Johnson Matate
Dr. Ossama EI-Kholy
Dr. Tarek Genena
Mr. Kihumba Francis
Njuguna
Mr. Raphael Peter Kabwaza
Mr. Ernest M. Makawa
Dr. Adegoke Adegoroye,
FEPA
Dr. Chris lyayi
Dr. Modupe Taiwo Odubela
Ms. Jemimah Eugenia Cole
Dr. Francois Hanekom
Mr. J. J. Jordaan
Mr. S. M. Lloyd
Dr. J. H. Neethling
Mr. W. E. Scott
Participants
Title
Chief
Principal Air Quality Inspector
Senior Advisor
Director
Assistant Director
Environmental Coordinator
Environment Legal Officer
Director of Inspectorate and
Compliance Monitoring
Zonal Head
Assistant Director
Environmental Officer
Deputy Director-General
Secretary
Director
Head of Department
Deputy Director
by Country
Division
Studies and Legislation Department
Technical Cooperation Office for the
Environment
Inspectorate & Enforcement
Department
Environmental Protection Section
Office of Deputy Director General
Air Pollution Division
Pollution Control Division
Ministere de rEnvironnement, de rHabitat, et de
rurbanisme
Department of Mines
Egyptian Environmental Affairs Agency
Egyptian Environmental Affairs Agency
National Environment Secretariat
Ministry of Research and Environmental Affairs
Ministry of Research and Environmental Affairs
Federal Environmental Protection Agency
Federal Environmental Protection Agency
Federal Environmental Protection Agency
Ministry of Transport, Communications and
Environment
Department of Environmental Affairs and Tourism
Department of Environmental Affairs and Tourism
Department of Environmental Affairs and Tourism
West Cape Department of Environment and Cultural
Affairs
Department of Environmental Affairs and Tourism
Participants
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Fourth International Conference on Environmental Compliance and Enforcement
Participants by Country
| Country
South Africa
Tanzania
Uganda
Uganda
Uganda
Zimbabwe
ASIA AND THE
Australia
Bangladesh
Bhutan
Bhutan
Cambodia
Cambodia
Hong Kong
Hong Kong
Hong Kong
India
Indonesia
Name
Ms. Ann Sugrue
Hon. Wilson Masilingi
Mr. Lamex Omara Apitta
Mr. Frank Tuiyatunga
Mr. Robert A. Wabunoha
Mr. Mfaro Moyo
PACIFIC
Ms. Maria Comino
Mr. M. Abdul Latif Mondal
Mr. Damcho Dorji
Mr. Ugyen Tenzin
Mr. Sam Chamroeun
Mr. Mak Sophy
Mr. John Boxall
Mr. Patrick Lei
Mr. Tse Chen Wan
Mr. G. Rengasamy
Mr. Hamrat Hamid
Title
Deputy Director, Cleaner
Technology
Member of Parliament
Assistant Secretary
Director
Principal State Attorney
Deputy Permanent Secretary
Environmental Lawyer
Joint Secretary
Deputy Registrar General
Assistant Director
Director
Director
Assistant Director
Principal Environmental
Protection Officer
Officer in Charge
Member Secretary
Senior Enforcement Advisor
Division
Department of Development,
Planning and Environment
IGAD Environmental Education
Desk
Information and Monitoring Division
Ministry of Justice
Ministry of Environment and Forest
High Court Thimphu
National Environment Commission
Department of Legal Affairs
Pollution Control, Reduction, and
Prevention
Local Control
Waste and Water Policy
Air Division
Badan Pengendalian Dampak
Organization |
Gauteng Provincial Administration
Parliament of Tanzania
Ministry of Education
National Environment Management Authority
National Environment Management Authority
Ministry of Lands and Water Resources
Healthy Rivers Commission
Government of Bangladesh
Royal Government of Bhutan
Royal Government of Bhutan
Ministry of Environment
Ministry of Environment
Environmental Protection Department
Environmental Protection Department
Environmental Protection Department
Tamil Nadu Pollution Control Board
Environmental Impact Management Agency
Lingkungan (BAPEDAL)
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Fourth International Conference on Environmental Compliance and Enforcement
Participants by Country
| Country
Indonesia
Japan
Japan
Malaysia
Malaysia
Malaysia
Malaysia
Mongolia
Mongolia
Nepal
Nepal
New Zealand
New Zealand
Peoples Republic of
Name
Mr. Mas Achmad Santosa
Mr. Reiji Httsumoto
Mr. Choei Konda
Mr. Jalaluddin Ismail
Mr. James Dawos Mamit
Dr. Aziz Abdul Rasol
Mr. Mohamad Sayuti Sepeai
Mr. H. Badam
Dr. J. Tsogtbaatar
Prof. Yubaraj Sangroula
Mr. Sadhu Ram Sapkota
Mr. Donald Carter
Mr. Chris Hatton
Mr. Hu Baolin
Title
Executive Director
Deputy Director
Special Advisor
Director
Controller of Environmental
Quality
Assistant Director General
Director
Officer
Deputy Director
Coordinator
Under Secretary for Law
Manager
Manager
General Director
Division
General Affairs Department
Environmental Health Department
Department of Environment
Forest Resources Management
Natural Resources Department
Law and Convention Division
Resource Use and Monitoring
Division
Resource Quality
Department of Policy and Law
Organization |
Indonesian Center for Environmental Law
Environment Bureau - City of Krtakyushu
Environment Agency
Department of Environment
Natural Resources and Environment Board Sarawak
Department of Environment
Department of Environment - State of Sabah / Lubuan
Ministry of Nature and the Environment
Ministry of Nature and the Environment
Institute for Legal Research and Resources (ILRR)
Ministry of Population and Environment
Resource Council, Hamilton Office
Auckland Regional Council
National Environmental Protection Agency
China
Peoples Republic of Mr. Suli Wang
China
Peoples Republic of Dr. Wang Xi
China
Peoples Republic of Ms. Zhao Ying
China
Philippines
Philippines
Ms. Abigail Modino
Mr.AntonioA OposaJr.
Chief Director
Visiting Scholar
Visiting Scholar
Senior Research Technical
Assistant
Attorney
Legislation Division
National Environmental Protection Agency
Faculty of Law -University of British Center for Asian Legal Studies
Columbia
Harvard Law School
East Asian Legal Studies Program
Senate Committee on Environment and Natural
Resources
Philippine Ecological Network (PEN)
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Fourth International Conference on Environmental Compliance and Enforcement
Country
Philippines
Taiwan
Taiwan
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Name
Ms. Rachel A. Vasquez
Dr. Yeong-Ren Chen
Dr. Gwo Dong Roam
Mrs. Kasemsri Homchean
Ms. Suwamarin Jugsujinda
Mr. Chamnan Junruang
Dr. Seni Kamchanawong
Dr. Pakit Kiravanich
Ms. Sunee Mallikamarl
Minister Yingpan
Manasikam
Mr. Virah Mavichak
Governor Virachai
Naewboonnien
Dr. Nonglak Pancharuniti
Mr. Virach Payackapan
Ms. Santivipa Phanichkul
Sub Lt. Preecha Phetwong,
R.T.N
Dr. Tippawan Prapamontol
Participants
Title
Assistant Director
Director General
Director General
Director
Research Associate
Chief
Asst. Professor
Director General
Director of Environmental Law
and Development Center
Minister
Director
Governor
Research Fellow
Police Colonel
Assistant to the President
by Country
Division
LSIVIOIWI I
Bureau of Waste Management
Bureau of Water Quality Protection
Environmental and Safety Control
Division
Directing and Coordinating Division
Department of Environmental
Engineering
Faculty of Law
Industrial Environmental Division
Office of the President
Training and Development
Chief of Regional Harbour Master Harbour Department
Office
Senior Scientist
Research Institute for Health
Services
Organization 1
Environment Management Bureau
Environmental Protection Administration
Environmental Protection Administration
Industrial Estate Authority of Thailand
Thailand Environmental Institute (TEI)
Chiang Mai Governor's Office
Faculty of Engineering
Pollution Control Department
Chulatongkom University
Ministry of Science, Technology and the Environment
Department of Industrial Works
Province of Chiang Mai
Thailand Environment Institute (TEI)
The Royal Thai Police
Thailand Environment Institute (TEI)
First Regional Harbour Master Office
Chaing Mai University
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Fourth International Conference on Environmental Compliance and Enforcement
| Country
Thailand
Thailand
Thailand
Thailand
Thailand
Thailand
Vietnam
Vietnam
CENTRAL AND
Armenia
Bulgaria
Czech Republic
Czech Republic
Estonia
Estonia
Hungary
Latvia
Name
Mr. Khemadhat
Sukondhasingha
Mr. Pomchai Taranatham
Dr. Saksit Tridech
Mr. SuvRJh Voravisuthikul
Dr. Amnat Wongbandit
Mr. Panithan Yamvinij
Mr. Le Van Kieu
Mr. Phung Van Vui
EASTERN EUROPE
Dr. Victoria Ter-
Nikoghosyan
Mr. Nikolay Sidjimov
Ms. Helena Cizkova
Dr. Eva Kruzikova
Mr. H. Nurmsalu
Dr. Rein Ratas
Prof. Gyula Bandi
Mr. Indrikis Barkans
Participants
Title
Deputy Secretary General
Deputy Director General
Deputy Secretary General
Director
Associate Professor of
Environmental Law
Director
Director of Inspection Body
Deputy Director
Advisor to the Minister
Executive Secretary
National Coordinator
Director
Chief Inspector - Director
General
Secretary General
Professor of Law
Deputy Director
•
by Country
Division
Transport Engineering Division
Faculty of Law
Technology and Environment
Planning Division
Inspectorate Body of the National
Environment Agency
Inspectorate Body of the National
Environment Agency
Protect Silesia
Environmental Inspectorate
Environmental Protection
Department
Organization |
The Federation of Thai Industries
Pollution Control Department
Office of Environmental Policy and Planning
Department of Land Transport
Thammasat University
Office of the National Economic and Social
Development Board
Ministry of Science, Technology and the Environment
Ministry of Science, Technology and the Environment
Ministry of Environmental Protection and Natural
Resources
Association of Municipal Environmental Experts
Ministry of the Environment of the Czech Republic
Institute for Environmental Policy
Ministry of the Environment
Ministry of the Environment
University Eotvos Lorand
Ministry of Environmental Protection and Regional
Development
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Participants by Country
Lithuania
Lithuania
Poland
Poland
Poland
Romania
Romania
Russia
Slovak Republic
Ukraine
MIDDLE EAST
Israel
Israel
Israel
Jordan
Jordan
United Arab Emirates
Name
Mr. Arunas Kundrotas
Mr. Danius Lygis
Mr. Zbigniew Kamienski
Dr.Andrzej Mizgajski
Mr. Stanislaw Wajda
Ms. Dumitra Popescu
Ms. lleana Doina Vasilescu
Ms. Vera Mischenko
Mr. Ivan Zavadsky
Ms. Svttlana Kravchenko
Ms. Bina Baron
Ms. Ruth Rotenberg
Ms. Gila Stopler
Eng. Muzahem Muhaisin
His Excellency Ahmed
Obeidat
Mr. Ali A. Murshed
Title Division
Secretary
Environmental Advisor to Environmental Division
Environmental Committee
Deputy Chief Inspector -
Environmental Protection
Director VoKredship Office in Poznan
Legal Advisor, EC Phare
Programme
Professor of Law
Main Inspector Waters - State Inspection Division
President
Director Air, Water, Waste and
Environmental Risk Division
President Ecopravo - Lviv
Head Enforcement Division: Legal
Department
Legal Advisor, Head of Legal
Department
Lawyer
Secretary General
Chairman
Head of Health Section
Organization |
Ministry of Environmental Protection
Seimas (Parliament) of the Republic of Lithuania
State Inspectorate for Environmental Protection
Environmental Protection Department
Ministry of Environmental Protection
Institute of Legal Research
Ministry of Waters, Forests, and Environmental
Protection
Ecojuris
Ministry of the Environment of the Slovak Republic
Lviv State University
Ministry of the Environment
Ministry of the Environment
Israel Union for Environmental Defense
Aqaba Region Authority
Jordan Environment Society
Sharjah Municipality
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;E AND ENFORC
1
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Fourth
EUROPE
Austria
Belgium
Denmark
Denmark
Finland
Germany
Germany
Greece
Greece
Italy
Norway
Sweden
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
International
Name
Ms. Waltraud Petek
Dr. Sc. Robert Baert
Ms. Sofie H. Ftensborg
Mr. Gudmund Nielsen
Mr. Antero Honkasalo
Dr. Eberhard Bohne
Dr. Otto Wunderlich
Mrs. Katerina lacovkjou
Mr. Epaminondas Toteris
Mr. Domenico De Meis
Mr. Joakim Lystad
Ms. Kitty Victor
Dr Joop Blenkers
Mr. Jaap van Dijk
Mr. Paul A. van Erketens
Mr. Jo Gerardu
Mr. Robert Glaser
Conference on Environmental Compliance and Enforcement
Participants by Country
Title
Director Legal Service
Inspector-General
Head of Section
Senior Advisor
Professor of Public
Administration
Head of Department
Chemical Engineer
Inspector
Head of Department
Head of Legal Affairs
Deputy Regional Inspector
Gedeputeerde Provincie
Groningen
Chairman of the Water Board
Deputy Director
Inspector
Division
Environment Inspection Section
Supervision and Legislative Division
Ministry of the Environment
Air Pollution Control
Division of Industries
Division of Environmental Planning
Air Pollution Control Department
Environmental Law and Supervision
Section
Enforcement Division
International Affairs
Organization |
Austrian Ministry for Environment. Youth, and Family
Environment, Nature, Land, and Water Management
Administration
Danish Environmental Protection Agency
Danish Environmental Protection Agency
Ministry of the Environment
Post Graduate School of Administrative Sciences -
Speyer
Bavarian State Agency for Environmental Protection
Ministry of the Environment, Physical Planning and
Public Works
Ministry of the Environment, Physical Planning and
Public Works
Ministry of Environment
Norwegian Pollution Control Authority
Swedish Environmental Protection Agency
Inspectorate for the Environment in North-Brabant
Provincial Government of Groningen
Waterschap Regge en Dinkel
Ministry of Housing, Spatial Planning and the
Environment
Ministry of Housing, Spatial Planning and the
Environment
PARTICIPANT
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Participants by Country
[ Country
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
United Kingdom
United Kingdom
Name
Mr. Jan van den Heuvel
Mr. Hans W. Jeronimus
Dr. Huub Kesselaar
Mr. John J. van Klaveren
Mr. A. de Lange
Mr. Menno Olman
Mr. Jan Peters
Dr. Jit Peters
Ms. L. Sievers
Mr. Jan C. M. Veenman
Mr. Pieter J. Verkerk
Mr. Alun James
Dr. David Slater
Title
Director
Liaison Officer
Director
Policy Maker for Environmental
Cooperation
Public Prosecutor
Director
Commissioner
Director
Head
Inspector General
Regional IPC / RAS Manager
Director
Division
General Policy Affairs
National Cnminal Intelligence
Division
Inspectorate for the Environment
Kabinet voor Nedertands-
Antilliaanse en Arubaanse Zaken
Regional Directorate of
Rijkswaterstaat
International Environmental Affairs
Information and Public Relations
Department
Inspectorate for the Environment
Pollution Prevention and Control
Organization |
Ministry of Housing, Spatial Planning and the
Environment
Royal Netherlands Embassy, Bangkok
Ministry of Housing, Spatial Planning and the
Environment
Public Prosecutors Office
Ministry of Transport. Public Works and Water
Management
Regional Police Midden en West Brabant
Ministry of Housing, Spatial Planning and the
Environment
Korps landelijke Polrtediensten
Ministry of Housing, Spatial Planning and the
Environment
Ministry of Housing, Spatial Planning and the
Environment
Environment Agency
Environment Agency
NORTH AMERICA
Canada
Canada
Mr. David R. Aggett
Mr. William Andrews
Head, Enforcement Section
Executive Director
Emergencies and Enforcement
Division
Environmental Protection Branch - Environment
Canada
West Coast Environmental Law Association
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Canada
Canada
Canada
Canada
Canada
Mexico
Mexico
Mexico
United States
United States
United States
United States
United States
United States
United States
United States
United States
Name
Ms. Nancy Bircher
Mr. Daniel Couture
Mr. Christopher Currie
Mr. Daniel Lindsey
Mr. Guy Martin
Lie. Javier Cabrera Bravo
Mr. Carlos Gonzates
Guzman
Lie. Moises Medteg S.
Dr. Mike Axline
Mr. Tom Bispham
Ms. Linda Crerar
Ms. Mary Gade
Mr. Steven A. Herman
Mr. Hartey Laing
Mr. Patrick McGintey
Ms. Ignacia Moreno
Mr. Lee Paddock
Participants
Title
Director
Deputy Director
Acting Chief
Manager
Special Advisor
General Director for International
Affairs
Director of Audits
Secretario Particular del
Procurator
Professor
Administrator
Assistant Director of Water and
Shorelands
Director
Assistant Administrator
Regional Counsel
Professor of Law
Counsel to the Assistant Attorney
General
Director of Environmental Policy
by Country
Division
Enforcement and Environmental
Emergencies Branch
Office of Enforcement, Enforcement
Branch
Office of Enforcement
Enforcement and Compliance, Field
Services Branch
Office of Enforcement
Office of Under Attorney of
Environmental Audit
Procuraduria Federeal de
Proteccion al Ambiente
School of Law
Northwest Region
Water and Shorelands
Office of Enforcement and
Compliance Assurance
Region 1
Environment and Natural
Resources Division
Organization |
Ministry of Environment, Lands and Parks
National Programs Directorate - Environment Canada
Enforcement Management Division - Environment
Canada
Department of Renewable Resources
National Programs Directorate - Environment Canada
PROFEPA
PROFEPA
Secretaria de Medio Ambiente, Recursos Maturates y
Pesca
University of Oregon
Oregon Department of Environmental Quality
Department of Ecology - State of Washington
Illinois Environmental Protection Agency
U.S. Environmental Protection Agency
U.S. Environmental Protection Agency
West Virginia University
United States Department of Justice
Minnesota Attorney General's Office
PARTICIPANTS BY
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• WVII »l
| Country
United States
United States
United States
United States
United States
United States
CARIBBEAN
Aruba
Curacao, Netherlands
Antilles
Curacao. Netherlands
Antilles
Jamaica
• •• • hWI • •«• tl^^B •«••• ^^
Name
Ms. Kathy Prosser
Ms. Linda Rimer
Mr. John Rothman
Mr. Tom Udall
Ms. Cheryl E. Wasserman
Mr. John Wise
Dr. Elton Lioe-A-Tjam
Mr. J. C. Gras
Mr. Quirino Richardson
Mr. Fred Campbell
Participants
Title
Commissioner
Assistant Secretary for
Environmental Protection
Senior Attorney
Attorney General
Associate Director for Policy
Analysis
Deputy Regional Administrator
Director
Public Prosecutor
Head
Deputy Executive Director
by Country
Division
Multi Media Enforcement and
International Activities
Office of Enforcement and
Compliance Assurance
Regions
Environment and Compliance
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Organization |
Indiana Department of Environmental Management
North Carolina Department of Environment, Health and
Natural Resources
U.S. Environmental Protection Agency, Region 9
Office of the Attorney General
Office of Federal Activities
U.S. Environmental Protection Agency
VROM
Parket Officer Van Justitie
Mifeudienst Curacao
Natural Resources Conservation Authority
CENTRAL AMERICA
Costa Rica
Costa Rica
El Salvador
Honduras
Mr. Marco Antonio
Gonzalez Salazar
Ms. Patricia Madrigal
Cordero
Mr. Guillermo Navarette
Lopez
Ms. Clarisa de Ferrera Vega
Vice Minister
Parliamentary and Constitutional
Court Advisor
Espec. en Desarrolto Urbane y
Rural
Abogada y Notaria
Fiscal Especial de Medio Ambiente
Ministerio Recursos Maturates, Energia Y Minas
(MIRENEM)
Consultores Ambientales
Secretaria Ejecutiva del Medio Ambiente (SEMA)
Ministerio Publico
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Fourth International Conference on Environmental Compliance and Enforcement
Participants by Country
| Country
Nicaragua
Panama
SOUTH
Argentina
Argentina
Argentina
Bolivia
Bolivia
Brazil
Brazil
Chile
Chile
Colombia
Name
Dr. Desire Elizondo
Cabrera
Mr. Marco Tulio Hernandez
Virviescas
AMERICA
Dr. Claudio Marcelo Creimer
Dr. Aldo Rodriguez Salas
Mr Daniel Sabsay
Mr Felix Moreno
Mr. Waldo Vargas Ballester
Mr. Antonio Herman
Benjamin
Mrs. Stella Goldstein
Dr. Patricia Matus
Ms. Marta Zamundia
Dr. Doris Polania
Villanueva
Title
Director
Attorney
Chief Legal Advisor
Chief Legal Advisor
Director of Institutional Affairs,
Senior Attorney
Director
Secretano Nacional de Recursos
Maturates Y Medio
Senior Public Prosecutor
Deputy Minister of Environment
Jefe de Unidad
Directors
Advisor
Division Organization |
Environmental Division Ministry of Environment and Natural Resources
Environmental Litigation Hernandez, Virviescas, Gomez & Asciados
Direction Provincial Control Ambiental
Environmental Department Ministerio de Medio Ambiente, Urbanismo y Vivienda
Fundacion Ambiente y Recursos Maturates (FARN)
Ministerio de Desarrollo Sostanibte y Medio Ambiente
Ministerio de Desarrollo Sostenible y Medio Ambiente
Environmental Law State of Sao Paulo
Sao Paulo Environmental Secretary State of Sao Paulo
Decontamination, Plans, and National Commission for the Environment (CONAMA)
Environmental Standards
Programa de Emisiones y Fuentes Fcjas
Ministry of Environment
Ecuador
Paraguay
Peru
Mr. Giovanni Rosania Environmental Undersecretary
Scniavore
Ms. Lillian Portillo Special Assistant
Dr. Jorge Caillaux Zazzali Presidente
Subsec. de Estado de Recursos
Naturales y Medio Ambiente
Ministerio de Energia y Minas
Ministerio de Agriculture y Ganaderia
Sociedad Peruana de Derecho Ambiental (SPDA)
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Fourth International C
| Country Name
INTERNATIONAL
Ms. Jean Aden
Ms. Susan Becker
Ms. Dorothy Bowers
Ms Susan C?sey-Leficowitr
Ms. Clare Cocault
Ms. Clare Cory
Mr. Eric R. Dannenmaier
Mr. Jan van Doom
Ms. Linda F. Duncan
Mr. Marius Enthoven
Mr. Eric Ester
Mr. J. Warren Evans
Mr. J. William Futrell
Mr. George Kremlis
Mr. Lai Kurukulasuriya
onference on Envn
Participants
Title
Institutional Specialist / EA
Coordinator
Environment Management
Advisor
Chairman
Co-Director
Consultant
Environmental Lawyer
Environmental Law Advisor
Chief
Head
Directorate-General Environment
Environmental Attorney /
Institutional Specialist
Senior Project Specialist
(Environment)
President
Head of Unit
Chief
•onmental Compliance and Enforcement
by Country
Division
Environment and Natural
Resources Division
Sustainable Energy & Environment
Division / BPPS
U.S Technical Advisory Group to
IS0 14000
Environmental Program for Central
and Eastern Europe
Industry Office
Regional Office for Asia and the
Pacific (ROAP)
Environmental Crime Unit
Cooperation in Law and
Enforcement
Environment, Nuclear Safety and
Civil Protection
Water Supply, Urban Development
& Housing Division
Legal Affairs and Application of
Community Law
Regional Environmental Law
Program
Organization |
Asia Technical Department - World Bank
United Nations Development Programme (UNDP)
c/o Merck and Company, Inc
Environmental Law Institute (ELI)
United Nations Environment Program (UNEP)
United Nations Environment Program (UNEP)
USAID
National Crime Intelligence Service - INTERPOL
Commission for Environmental Cooperation
European Community
United Nations Development Program (UNDP)
Asian Development Bank
Environmental Law Institute (ELI)
European Commission
United Nations Environment Program (UNEP)
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Fourth International Conference on Environmental Compliance and Enforcement
Participants by Country
| Country Name
Ms. Cecilia Oh
Mr. Reuben Otembo
Mr. Mark Radka
Ms. Theresa Serra
Mr. John Skinner
Mr. Jungsok Yun
Title
Environmental Policy Analyst
Deputy Executive Director
Industry Program Officer
Senior Environmental Specialist
Senior Advisor
Associate Expert
Division
Environment and Urban
Development Division
CriTte Prevention and Criminal
Organization |
World Wildlife Fund - Malaysia
United Nations Environment Program (UNEP)
United Nations Environment Program (UNEP)
Country Department III, Latin America and the
Caribbean Region - World Bank
United Nations Environment Program (UNEP)
United Nations
Justice Division
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1136 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
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MEMBERS OF THE EXECUTIVE PLANNING COMMITTEE 1137
MEMBERS OF THE EXECUTIVE PLANNING COMMITTEE
Dr. Adegoke Adegororye
Director of Inspectorate and Compliance Monitoring Tel: 234-1-585-1570
Federal Environment Protection Agency Fax: 234-1-585-1570
Games Village off Eric Moore Road
P.M.B.3150,Surulere
Lagos
Nigeria
Ms. Jacqueline Alois! de Larderel
Director, IE/PAC Tel: 331-44-371441
United Nations Environment Programme Fax: 331-44-371474
Industryand EnvironmentCentre
39-43 Quai Andre Citroen-Tour Mirabeau
75739 Paris, Cedex 15
France
Mr. John Skinner
Senior Advisor Tel: 331-44-371427
United Nations Environment Programme Fax: 331-44-371474
Industryand EnvironmentCentre
39-43 Quai Andre Citroen-Tour Mirabeau
75739 Paris, Cedex 15
France
Mr. Antonio Azuela
Federal Attorney for the Environment Protection Tel: 525-524-21-25
Insurgentes Sur No. 1480,4°piso Fax: 525-534-75-59
Col. Barrio Actipan, Del. Benito Juarez
C.P. 03230, Distrito Federal
Mexico
Mr. Javier Cabrera Bravo
Federal Attorney for the Environment Protection Tel: 525-524-59-31
Insurgentes No. 1480,14° piso Fax: 525-534-75-59
Col. Barrio Actipan, Del. Benito Juarez
C.P. 03230, Distrito Federal
Mexico
Ms. Susan Becker
Environment Management Advisor Tel: 1-212-906-6021
Sustainable Energy & Environment Division/BPPS Fax: 1-212-906-6973
United Nations Development Programme
One United Nations Plaza - FF 1006
New York, NY 10017
United States
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1138
FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Ms. Vivianne Blanot (replacing Jose Gofti)
Executive Director
National Commission on the Environment
Avenida Bernado O'Higgins
280 Piso Dos
Santiago
Chile
Tel:
Fax:
562-244-1262
562-671-8805
Mr. Christopher Currie
Acting Chief, Enforcement Management Division
Office of Enforcement
Environment Canada
351 St. Joseph Boulevard
Place Vincent Massey - 17th Floor
Hull, Quebec K1A OH3
Canada
Mr. William Eichbaum
Vice President
International Environmental Quality
World Wildlife Fund
1250 24th Street, NW
Washington, D.C. 20037-1175
United States
Dr.OssamaEI-Kholy
Senior Advisor
Egyptian Environmental Affairs Agency
13, Street No. 265 New Maadi
Cairo 11742
Egypt
Mr. Marius Enthoven
Director-General, DG XI
European Commission
DG Environment, Nuclear Safety and Civil Protection
Rue de La Loi 200
B-1049 Brussels
Belgium
Mr. J. William Futrell
President
Environment Law Institute
1616 P Street, NW- Suite 200
Washington, D.C. 20036
United States
Tel:
Fax:
Tel:
Fax:
Tel:
Fax:
Tel:
Fax:
Tel:
Fax:
819-953-3882
819-953-3459
1-202-778-9645
1-202-293-9211
20-2-352-1325
20-2-378-0222
322-299-4949
322-299-1105
1-202-328-5150
1-202-328-5002
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MEMBERS OF THE EXECUTIVE PLANNING COMMITTEE 1139
Mr. Marco Antonio Gdnzalez Salazar
Vice-Minister Tel: 506-257-5658
Department of Natural Resources, Energy and Mines Fax: 506-222-4580
Calle 25 Avenidas 8 y 10
San Jose,
Costa Rica
Dr. Francois Hanekom
Deputy Director- General Environment Affairs Tel: 27-12-310-36-51
MinistryofEnvironmentalAffairsandTourism Fax: 27-12-322-26-82
Private Bag X447
Pretoria 0001
South Africa
Mr. Steven A. Herman (co-chair)
Assistant Administrator Tel: 1-202-564-2440
Office of Enforcement and Compliance Assurance Fax: 1-202-501-3842
U.S. Environmental Protection Agency
401 M Street, SW(MC-2211)
Washington, D.C. 20460
United States
Ms. Cheryl Wasserman
Associate Director for Policy Analysis Tel: 1-202-564-7129
Office of Federal Activities Fax: 1 -202-564-0070
Office of Enforcement and Compliance Assurance
U.S. Environmental Protection Agency
401 M Street, SW(MC-2251-A)
Washington, D.C. 20460
United States
Mr. Jalaluddin Bin Ismail
Director Tel: 60-624-7825
Department of Environment (Selangor State) Fax: 60-624-7845
Malacca Negeri Sembilan
2nd Floor, Graha Maju - Jalan Graha Maju
Melaka
Malaysia
Mr. Zbigniew Kamienski
Director of Control Department Tel: 48-22-25-15-24
State Inspectorate for Environmental Protection Fax: 48-22-25-15-09
Wawelska Street 52-54
00-922 Warsaw
Poland
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1140 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
Dr. Pakit Kiravanich
Director General Tel: 66-2-619-2299
Pollution Control Department Fax: 66-2-619-2285
Phahon Yothin Center Bldg.
404 Phahon Yothin Road, Samsen-Nai
Phayathai, Bangkok 10400
Thailand
Mr. Pomchai Taranatham
Deputy Director-General Tel: 66-2-248-5182
Pollution Control Dept. Fax: 66-2-619-2285
Phahon Yothin Center Bldg., Fir. 3,6-8
404 Phahon Yothin Rd., Phayathai
Bangkok 10400
Thailand
Mr. Sun Lin
Director, ELI Tel: 254-2-623488
United Nations Environment Programme Fax: 254-2-230198
P.O. Box 30552
Uniterra, Nairobi
Kenya
Mr. Robert Rein iger
Head Tel: 36-1-201-1725
National Authority for the Environment Fax: 36-1-201-4282
Fo Utca 44-50
1384 Budapest
Pf756
Hungary
Dr. David Slater
Environment Agency Director Tel: 44-1454-62-4065
Pollution Prevention and Control Fax: 44-1454-62-4409
Environment Agency
Rio House
Waterside Drive, Aztec West
Almondsbury, Bristol BS12 4UD
United Kingdom
Mr. Alun James
Regional IPC / RAS Manager Tel: 44-1222-770088
Environment Agency Fax: 44-171-276-8605
Rivers House
St. Mellons Business Park
Cardiff CF30LT
United Kingdom
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MEMBERS OF THE EXECUTIVE PLANNING COMMITTEE 1141
Ms. Rachel A. Vasquez
Assistant Director Tel: 632-928-4969
Office of the Undersecretary Environmental Fax: 632-926-5595
and Program Development
Topaz Building
99-101 Kamias Road
Quezon City
Philippines
Mr. Pieter J. Verkerk (co-chair)
InspectorGeneral Tel: 31-70339-4621
Inspectorateforthe Environment Fax: 31-70339-1298
Ministry of Housing, Spatial Planning and the Environment
Rijnstraat 8IPC 680
2515XPDenHaag
P.O. Box 30945 (2500 GX Den Haag)
The Netherlands
Mr.JoGerardu
Deputy Director Tel: 31-70339-2536
Enforcement Division Fax: 31-70339-1300
Ministry of Housing, Spatial Planning and the Environment
Rijnstraat 8
P.O. Box 30945 (2500 GX Den Haag) IPC 681
The Netherlands
Mr. Robert Glaser
Inspector, International Affairs Tel: 31-11803-3792
HIMH/VROM Fax: 31-11802-4126
Ministry of Housing, Spatial Planning and the Environment
Seissingel 4
P.O. Box 394
4330 AJ Middleburg
The Netherlands
Mr. Hongjun Zhang (Replacing Ying Zhao)
Program Officer Tel: 86-10-309-8439
Law Department Fax: 86-10-309-8334
Xijiaominziang, No 23
Beijing 100805
People's Republic of China
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1142 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
EXECUTIVE PLANNING COMMITTEE STAFF
Mr. Jo Gerardu
Deputy Director Tel: 31-703392536
Enforcement Division Fax: 31-703391300
Ministry of Housing, Spatial Planning and the Environment
RijnstraatS
P.O. Box 30945 (2500 GX Den Haag) IPC 681
The Netherlands
Ms. Elissa Parker
Director, Research Policy & Training Tel: 1 -202-328-5150
EnvironmentalLaw Institute Fax: 1-202-328-5002
1616 P Street, NW- Suite 200
Washington, D.C. 20036
United States
Logistics Coordinator
Ms.ShariOley
Director of Financial and Administrative Services Tel: 1 -301-652-8444
Apogee Research, Inc. Fax: 1-301-654-9355
Technical Support:
Dr. Kenneth I. Rubin
President Tel: 1-301-652-8444
Apogee Research, Inc. Fax: 1-301-654-9355
4350 East West Highway, Sixth Floor
Bethesda, MD20814
United States
Ms. Cheryl Wasserman
Associate Director for Policy Analysis Tel: 1 -202-564-7129
Office of Federal Activities Fax: 1 -202-564-0070
Office of Enforcement and Compliance Assurance
U.S. Environmental Protection Agency
401 M Street, SW (MC-2251-A)
Washington, D.C. 20460
United States
Technical Support:
Ms. Carol Winston
Senior Environmental Chemist Tel: 1-703-917-7925
Science Applications International Corporation (SAIC) Fax: 1 -703-903-1374
7600-A Leesburg Pike
Falls Church, VA 22043
United States
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ACKNOWLEDGEMENTS 1143
ACKNOWLEDGMENTS
The Fourth International Conference on Environmental Compliance and Enforcementin Chiang
Mai, Thailand was made possible by the personal and financial contributions of many organizations
and individuals. An Executive Planning Committee (EPC), whose membership is listed in these
Proceedings, provided leadership and direction in the design of the program, selection of the
speakers and topic experts, and identificationof individualsfrom a range of nations who would be
in the best positions to share practical experience in environmental enforcement and to improve or
develop domestic compliance and enforcement programs. The Executive Planning Committee
included representativesfrom U.S. Environmental Protection Agency (USEPA), the Netherlands
Ministry of Housing, Spatial Planning and the Environment(VROM), United Nations Environment
Program (UNEP IE/PAC and UNEP ELI), United Nations Development Program (UNDP), the
European Union, the Environmental Law Institute U.S. (ELI), the World Wildlife Fund US (WWF),
the Environment Ministries of Mexico, Canada, Chile, Costa Rica, United Kingdom, Poland, Hungary,
Egypt, Nigeria, South Africa, Thailand, Malaysia, the People's Republic of China and the Philippines.
The Environmental Law Institute served as the umbrella organizationfor Conference funding and
organization. Funding of the Conference logistics, planning and workshop development was
provided by the conference sponsors: USEPA, VROM, UNEP, the Environmental Law Institute,
Environment Canada, the European Union, and Thailand's Pollution Control Department. In addition
to the Conference sponsors, funding of participants was gratefully received from the Dutch
International Affairs Ministry, the Kenan Institute, U.S. Agency for International Development (USAID),
the U.S. Asia EnvironmentalPartnership(U.S.AEP)and the World Bank. Special hospitality also
was graciously offered by the government of Thailand as host country. In particular, we want to offer
a note of thanks to Dr. PakitKiravanichand Mr. PornchaiTaranatham for their generous support,
time and effort on behalf of Thailand's Pollution Control Department to make this Conference a
success.
An important product of this Conference was the launching of several new internationaltechnical
and capacity building support documents. A special acknowledgmentto the Environmental Law
Institute subcontractor Apogee Research Inc. (Dr. Kenneth Rubin, Principal) for the new Principles
of Environmental Enforcement Workshop case study and technical support document on
transboundary illegal shipments, and for capacity building documents on financing and on organizing
permit, compliance monitoring and enforcement programs and to Science Applications International
Corporation (SAIC) (Carol Winston, Principal) for the development of two new capacity building
supportdocuments on source self-monitoringand on multimedia inspections, and finally to Heijke
Marketing and Communication Consultants, (Mr. Remko Herremans and Mr. Ren§ Schepers) for
the new workshop on communication strategies for enforcement. Primary technical support for
these documents was provided by Ms. Cheryl Wasserman and Mr. Jo Gerardu along with other
reviewersfrom the EPC, USEPA and VROM. Specialrecognitionforthedevelopmentofthefinal
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1144 FOURTH INTERNATIONAL CONFERENCE ON ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT
UNEP IE workshop manual and training materials on institution building for industrial compliance
first developed and piloted at the Third International Conference go to Ms. Claire Cocault and
Mr. John Skinner of UNEP l/EandtoMr. RobGlaserofVROM.
Finally, a note of thanks to the Conference speakers, topic experts, moderators, facilitators
and rapporteurs and those who volunteered to prepare papers, all of whom are colleagues
making a special effort to share their experiences and help facilitate our exchanges at the
Conference. Special thanks to those contributing materials for the Conference exhibits.
Primary staff support to the Executive Planning Committee and to the Environmental Law Institute
was provided by Mr. Jo Gerardu of VROM and Ms. Cheryl Wasserman of USEPA who were
responsible for creating and staffing the Executive Planning Committee, drafting the Conference
program and materials, editing the Proceedings, and preparing concluding remarks. Susan
Casey-Lefkowitz and Elissa Parker, ELI, Cheryl Wasserman, USEPA, and Jo Gerardu, VROM,
served as Project Managers under the funding agreements.
A special note of appreciation for the groundwork laid in setting up initial conference invitations
and location of the conference facility to Ms. Trisha Hasch of the Eastern Research Group, Inc.
But a truly sincere and special debt of gratitude should go to Ms. Shari Oley and Apogee
Research, Inc. for picking up Conference logistics midstream and ensuring a seamless
transition, for managing complex EPC meeting and Conference logistics, for assistance to the
EPC in researching possible candidates for Conference participant invitations, for
communications with officials from over 100 countries and organizations and preparation of
the sizeable Proceedings for publication. Ms. Shari Oley served as ELI subcontractor Apogee
Research Inc.'s Principal on these aspects of the project.
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