P ROC E ED INGS
VOLUME 2
INTERNATIONAL
ENVIRONMENTAL
ENFORCEMENT
April 25-28, 1994
Oaxaca, Mexico
I
5
\
1
WWF UNEP
SEDESOL
SECRETARIA DE DESARROLLO SOCIAL
Ministry of Housing,
Spatial Planning,
and the Environment
(VROM) The Netherlands
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THIRD INTERNATIONAL CONFERENCE ON
ENVIRONMENTAL ENFORCEMENT
CONFERENCE PROCEEDINGS
VOLUME 2
April 25-28, 1994
Oaxaca, Mexico
Editors:
Mr. Jo Gerardu, VROM, The Netherlands
Ms. Cheryl Wasserman, U.S. EPA
Executive Planning Committee:
Dr. Adegoke Adegoroye, Nigeria
ffnrm^Tn W* M^cer' PFPA' SE°ESOL, Mexico and
(formerly) Dr. Santiago Onate Laborde, PFPA, SEDESOL Mexico
Mrs. Jacqueline Alois! de Larderel, UNEP, IE/PAG
Mr. William M. Eichbaum, WWF, U.S.
Mr. Steven A. Herman, U.S. EPA
Ms. Nadine Levin, Canada
Dr. Jorge Litvak, Chile
Dr. Winston McCalla, Jamaica
Mr. Pak Moestadji, Indonesia
Mr. Luis R. Padr6n, Venezuela
Ms. Sandra Urbina Mohs, Costa Rica
Mr. Pieter J. Verkerk, VROM, The Netherlands
Sponsors:
U.S. Environmental Protection Agency, United States
IS^t H°Uf9-' Spatia' P'anning and the Environ"ient, The Netherlands
United Nations Environment Programme IE/PAC
World Wildlife Fund, United States
Procuradurfa Federal de Protecci6n al Ambiente, SEDESOL, Mexico
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These Proceedings, Volume 2, include opening and closing
remarks, additional papers, summaries of theme and special topic
discussions, results of the participant evaluations, and a list of
participants at the Third International Conference on Environmental
Enforcement, held April 25-28,1994, in Oaxaca, Mexico. Volume 1
of these Proceedings was distributed during the Conference and
contains papers prepared by speakers, topic experts, and several
participants and other interested parties.
Copyright © 1994 by the Conference, sponsors: U.S.
Environmental Protection Agency, United States; Ministry of
Housing, Spatial Planning and the Environment, The Netherlands;
United Nations Environment Programme, IE/PAG; World Wildlife
Fund. United States; Procuradurfa Federal de Protecci6n al
Ambiente, SEDESOL, Mexico. 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 Third International
Conference on Environmental Enforcement, April 25-28,1994, held
in Oaxaca, Mexico. 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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TTjfe proceedings document is dedicated to the memory of Paul G.
Keough, Regional Administrator, Region 1, U.S. Environmental Protection
Agency, who passed away January 17, 1994.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
TABLE OF CONTENTS—VOLUME 2
PREFACE 1
CONFERENCE PURPOSE AND GOALS 3
CONFERENCE THEMES 5
CONFERENCE WORKSHOPS g
CONFERENCE PROGRAM ', 1g
OPENING SPEECHES
1. Welcome and Introduction to the Conference, Day Chair: R Verkerk
Co-Chair: SA Herman ' 23
2. The Environmental Enforcement Challenge in Developing Nations,
C.R. Rojas (delivered by J. Carabias) .'. 25
3. Sustainable Development Goals and the Need To Form Effective Environmental
Enforcement: Efforts To Build Institutional Capacity Through an Integrated
Approach to Enforcement, A Rodriguez Mercado 29
4. Evolution of Environmental Enforcement Within the United States: Strategic /Approach
to Enforcement and Its Growing Role in International Trade, S. Herman 33
5. Evolution of Environmental Enforcement Within The Netherlands—Achieving a
National Consensus, J.G.M Alders _ 39
ADDITIONAL CONFERENCE PAPERS AND DISCUSSION SUMMARIES
Theme #1: Principles of Environmental Enforcement 43
Editor's Note ^
No additional papers
Theme #2: Environmental Enforcement Challenges 45
4. Summary of Theme Discussion, Moderator: A Adegoroye, Rapporteur: A. Belong 47
5. A South American Country Example: Environmental Legislation Enforcement in
Mendoza, Experience and Challenges, J.L Puliafito j 5-)
6. Social-Economic Problems Experienced in Compliance and Enforcement in
Tanzania, W.M.K. Masilingi 63
7. 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 75
Theme #3: Country Experiences in Designing Elements of an Enforcement Program 87
12. Summary of Theme Discussion, Moderator: A. Alcocer Lujambio,
Rapporteurs: C. Wasserman, J. Bergin ' , 8g
13. The Challenge of Environmental Enforcement in Developing Nations
A. Alcocer Lujambio ' . g3
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
14. Countiy Experiences in Designing Elements of an Environmental Enforcement
Program—Case of El Salvador, G. Navarrete Lopez 97
Theme #4: Experiences in Compliance and Enforcement • 1°7
18. Summary of Theme Discussion, Moderator: ft van Heuvelen, Rapporteur: D. Bronkema .109
19. Results From Monitoring Compliance and Enforcement, Norway 1993,
G. Rsdland, A. Miller -111
20. General Remarks on Environmental Enforcement in Romania, D. Popescu 117
21. Compliance Monitoring in Nigeria's Industries, M.T. Odubela, I.I. Omoniyi 123
22. A Leading Case for the Ensenada Petrochemical District Industries Transformation,
Buenos Aires Province, Argentine Republic, C.E. Maiztegui. 129
Theme #5: The Role of Communication in an Enforcement Program 135
6. Summary of Theme Discussion, Moderator: R Verkerk, Rapporteur: D. Bronkema ..137
7. The Mexican Experience on the Enforcement of Environmental NormatMy,
F. Bahamonde Torres • 139
Theme #6; Establishing International Networks • 149
6. Summary of Theme Discussion, Moderator: D. Slater, Rapporteur: D. Bronkema ..151
7. Establishing International Networks—UNEP IE/PAG Experience, J.H. Skinner. 155
UNEP WORKSHOPS: INSTITUTION-BUILDING FOR ENFORCING REGULATIONS
RELATED TO INDUSTRIAL ACTIVITIES '••161
1. Instructions for UNEP Institution-Building Workshops, ft Glaser 163
SPECIAL TOPIC WORKSHOPS 169
Export/Import of Illegal Shipments of Hazardous Waste, Toxic Chemicals, or
Contaminated Products
3. Summary of Workshop, Facilitator: W. Klein, Rapporteur: ft Sturgess 171
Field Citations as an Approach to Enforcement
4. Summary of Workshop, Facilitator: M. Alushin, Rapporteur: K. Rubin 177
CFC Control Program Enforcement: Implementing the Montreal Protocol
3. Summary of Workshop, Facilitator: H. Kesselaar, Rapporteur: M. Mayo 181
Criminal Enforcement Role in Environment
5. Summary of Workshop, Facilitator: G. van Zeben,
Rapporteurs: A. DeLong, T. Shewmake 1°5
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
vii
Enforcement at Government-Owned or -Operated Facilities
2. Summary of Workshop, Facilitator: M. Stahl, Rapporteur: A. DeLong 189
Enforcement of Economic Instruments
3. Summary of Workshop, Facilitator: J. Peters, Rapporteur: E. Cowan 193
4. Enforcement of Economic Instruments in Russia, MM Brinchuk 199
Promoting Voluntary Compliance: Environmental Auditing, Outreach, and Incentive Programs
5. Summary of Workshop, Facilitator: S. Bromm, Rapporteur: D. Bronkema 205
6. Promoting Voluntary Compliance: Linking Competitiveness, Corporate Qualilv arid
Self-Auditing, J.R. Olha, A. Mastrandonas '
CONFERENCE EVALUATION
PARTICIPANT LIST
PARTICIPANTS BY COUNTRY
MEMBERS OF THE EXECUTIVE PLANNING COMMITTEE.
ACKNOWLEDGMENTS
.209
7. Voluntary Environmental Initiatives and Environmental Policy: Environmental
Management Systems, Auditing, and Enforcement, N. Kennedy, A Greene 241
Role of Police
3. Summary of Workshop, Facilitator: J. Peters, Rapporteurs: M. Low, I Shewm,ake 249
CLOSING REMARKS
1. Closing Remarks for the Third International Conference on
Environmental Enforcement, Day Chair: S.A Herman, Co-Chair: P Verkerk 253
....259
....275
....287
,...295
...300
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
PREFACE
These Conference Proceedings, Volume 2, contain additional papers that were not available at the
time Volume 1 was printed. In addition, the full text of the opening and closing speeches, summaries
of theme and special topic discussions, results of the participant evaluations, and a list of participants
are included. Volume 1 of these Proceedings, which was distributed at the Conference, contained
papers presented by speakers and topic experts and additional papers from paticipants and other
interested parties. Both Volumes of the Proceedings will be widely disseminated to country
environmental officials and NGOs throughout the world.
The Third International Conference was organized as part of an ongoing international collaboration to
develop domestic environmental enforcement programs in different settings that can effectively
achieve widespread compliance with each nation's environmental requirements.
The third Conference focused on building institutional capacity for environmental enforcement either
to enhance existing domestic environmental enforcement programs or to develop new ones—a
challenge for all nations. The Conference built upon the frameworks and resource materials developed
at the previous Conferences. It differed in format from previous Conferences in its emphasis on
hands-on workshops and special staffed exhibits. These new features offered practical applications
in fundamental principles of environmental enforcement and in designing enforcement and
compliance programs. The Conference further contributed to the growing body of literature on
environmental enforcement by focusing on several new themes and special topics, around which
papers had been solicited from experts in the field. Results of workshop sessions reflected current
thinking on these topics.
The Executive Planning Committee for the Conference devoted much time and effort to designing a
Conference that offered the greatest opportunity for useful exchange and practical information for
individuals both within and outside government who could influence the successful design and
implementation of enforcement programs. Additional information about the Conference and resource
materials may be obtained by contacting the Staff or members of the Executive Planning Committee.
On behalf of the Executive Planning Committee, we look forward to continued progress in developing
effective compliance and enforcement programs and to ongoing networking among participants and
others to help develop this institutional capacity so necessary for achieving goals for sustainable
development and free trade.
Editors:
Mr. Jo Gerardu
Inspector
Inspectorate for the Environment
VROM
The Netherlands
Ms. Cheryl Wasserman
Associate Director for Policy Analysis
Office of Enforcement and
Compliance Assurance
U.S. EPA
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
CONFERENCE PURPOSE AND GOALS
Enforcement, held in Oaxaca, Mexico, April
,upon the work of the flrst International Enforcement Workshop held in Utrecht The
held daoeHu90' ""• *l Sec°^™«™< Conference on Environment! EnScemS
held in Budapest Hungary, ,n September 1992. Each Conference has in turn exoanded iS
sponsorship partcipaHon, and scope to reach an ever-broadening audienoe and t d^veto more
extensive and useful materials and frameworks for exchange. P
Promote Recognition of the Importance of
Environmental Enforcement
" oompel a™i*n" wah
Jj?stit"tioPal Capacity To Enhance Existing and
Develop New Environmental Enforcement Programs
how T D J d Natl0ns Conference on Environment and Development OJNCED^
Serve Those Influencing the Design of
Environmental Enforcement Programs
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Foster Broad International Exchange and
Regional Networking
Conference participants were drawn from all regions of the globe, with a special emphasis on LaBn
%£££&* advantage of the Conference's location and the opportun,t,es rt presented to promote
greater international exchange and regional networking among Latin American countries.
Foster Exchange of Expertise and
Learning Through Active Participation
The Conference was structured to provide ample opportunity for participants to form networks s and to
learn T through active participation In addition to open discussion during plenary sessions, .and
5sho£ Srl^e than 20 participants on the second and third days the ertre morning of he
fourth day consisted of open poster sessions at which participants were able to roam freely to review
SuUs o^\ oAhe workshop sessions, to talk informally with individuals who prepared expert papers,
and to continue discussions with other participants on the special topics.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
CONFERENCE THEMES
The Conference addressed the following themes:
Theme #1 : Principles of Environmental Enforcement
• Defining Compliance and Enforcement
- The need to consider compliance and enforcement at every stage in the
development and implementation of environmental laws and programs,
Philosophy of compliance, enforcement theories, whether and how
culture makes a difference, etc.
• General Framework for Compliance and Enforcement
- Designing enforceable requirements;
Identifying the regulated universe and setting priorities;
Promoting compliance through enforceable requirements, technical
assistance, and outreach;
- Monitoring compliance;
Establishing and using enforcement authorities;
- Defining intergovernmental roles; and
Establishing accountability and measuring results
Theme #2: Environmental Enforcement Challenges
Papers and presentations addressed the following issues:
" arose '" °'9an'z'"9 a pr°9ram' "*"' opllons lwre consiclefed
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
resources?
Theme #3: Country Experiences in Designing Elements of an
Enforcement Program
• How the approach was selected, how the approach evolved over time, and what other
approaches were considered; and
• Whether the program represents a minimum resource expense for the benefits ,t delivers.
Theme #4: Experiences in Compliance and Enforcement
same approach in other settings.
Theme #5: The Rote of Communication in an Enforcement Program
• Papers and presentations addressed how effective communic ^
srpSK^^^
cSnce'to and support declstons by judges, and spur the regulated community to
comply. Communication may also be used to create public interest.
• Papers also addressed the importance and use of public outrea * ^ tojU^ gain
evaluated in terms of what makes .for success or failure.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Theme #6: Establishing International Networks
***** ""** **** * *"**' i
What was the genesis of the network?
What was/is involved in developing and maintaining the network?
Who is asked to participate and at what levels in the organizations?
What subjects does the network cover?
What vehicles are used for exchange?
On what topics is exchange taking place?
What future directions and changes are anticipated for the network?
netw°rks for
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
CONFERENCE WORKSHOPS
• Principles of Environmental Enforcement Workshops
These workshops provided hands-on experience for participants in applying the Drincioles of
environmental enforcement to develop a management approach" establish enfUate reqSmente
r?nhJmPP TH ' *?• "^ *"***" comPliance and enforcement strategies for enSronmenS
*n?^in° n°, Tn9' deforestation- Petrochemicals/petroleum refining, tourism, and resident
nrnh± ,WaSe "!? 0wL ^ W°rksh°P ParticiPan* also attempted to resole enforcement
problems involving tough economic and social issues using role playing and negotiation An executive
summary of the text "Principles of Environmental Enforcement" is included in P° cceSngS vclmeT
the S±reCTVeHd C3f StUdy materia'S °n the Selected subJ'ect matter in ad"ance to prepS
conS S P t *• ***** Pa0ka9eS ™ ** na^e of the environmental problem and pollution
control or prevention options were available at the Conference. HU"uuun
• UNEP Workshops: Institution-Building for
Enforcing Regulations Related to Industrial Activities^
' ft6 StUdieS' and discussion 9uide were available for participants to use at the
H W°rkSh0pS and to review for ftjrther improvement before they are finalized The
d-scusaons explored the applicability of the specific case studies, design issues and
for organizing an enforcement program for regulations related to industrial activities
^
Special Topic Workshops
ics and issues> ~* were addressed during facilitated
Export/Import of Illegal Shipments of
Hazardous Waste, Toxic Chemicals, or Contaminated Products
This topic addressed the following issues:
• How are nations ensuring they know of shipments with potential environmental hazards?
• How well understood are procedures and other requirements?
• How are illegal activities identified?
• What responses have been taken and why, and how effective have they been?
• What types of international cooperation have been useful?
• What are particular problem areas in enforcing these types of requirements, and how can
insy DG ovsrcomsr
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Field Citations as an Approach to Enforcement
This topic addressed the following issues:
• What are field citation programs? They are generally understood to include enforcement,
actions that may be undertaken by an administrative agency-father than the court or |
judicial system—that can legally impose a sanction or fine in the field, much as police
issue traffic tickets for automobile-related violations. A proposed definition was discussed,
reviewed, and amended during the discussion. For example, what are the definitions of
traffic tickets? Would the definition include in-field notices of violations? Issued by an ;
inspector, by other?
• For what kinds of violations are field citations useful? For what kinds of violations might
they be inappropriate or ineffective?
• What are the program design elements and different approaches to organizing a field
citation program (e.g., who issues field citations)? What authorities are needed?
• What factors are important to successful implementation? For example, what is the
importance of training? What kind of follow-up is needed in the issuance of a field citation?
• What kind of training materials are available for field citation programs? Are different
communication skills needed for inspectors who issue field citations to avoid or handle
potential conflict?
CFG Control Program Enforcement:
Implementing the Montreal Protocol Workshop
This topic addressed the following issues:
• What are the goals of chlorofluorohydrocarbons (CFC) reduction, and what particular
challenges do control and reduction of CFCs in the marketplace pose to domestic
programs, given the nature of the market and regulated community?
• What types of programs have countries adopted to control CFCs in the marketplace?
• How effective have these programs been in achieving compliance? What successes and
problems have resulted?
• What lessons can be learned for the design of requirements to ensure enforceability,
promotion of compliance, compliance monitoring and inspection activities, enforcement
response, and levels of government involvement?
Criminal Enforcement Role in Environment
This topic addressed the following issues:
• What kinds of sanctions and other consequences are made available through criminal;
enforcement, and how effective are they in achieving compliance?
• What is the proper role of criminal authorities and sanctions in environmental enforcement?
What should the relationship be between criminal and civil enforcement? For what types of
violations is criminal enforcement (rather than civil enforcement) particularly well suited?
• What government entities might be involved in making criminal enforcement successful?
How can these different groups be encouraged to work together?
• What training is required to support criminal enforcement, and what training materials are
available?
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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Enforcement at Government-Owned or -Operated Facilities
This topic addressed the following issues:
• How are governments made accountable for environmental requirements?
• What enforcement responses are effective in achieving compliance?
• What enforcement instruments/authorities are particularly effective?
• Intergovernmental relationships: How important is the independence of the enforcement
official? What relationships and organizational linkages are useful for success?
Enforcement of Economic Instruments
This topic addressed the following issues:
• What are economic instruments and how are they defined (e.g., emission taxes
marketable permits)?
• What are the particular challenges or problems posed by designing effective compliance
strategies and enforcement responses?
• What institutional requirements and design requirements for the program would hefo in
enforcement?
• What particular training or inspection approaches are most useful in trying to detect
violations and compliance problems?
• How might those challenges be overcome?
Promoting Voluntary Compliance:
Environmental Auditing, Outreach, and Incentive Programs
This topic addressed the following issues:
• What is the role of compliance promotion in an enforcement program? What is success for
a program to promote compliance? What should its goals be?
• What successes have programs designed to promote compliance had in achieving
compliance independently and in relation to inspection and enforcement response?
• What is the proper relationship between technical assistance, inspections, and enforcement
response?
• How might enforcement response policies be designed to promote compliance as well as
deter violations?
Role of Police
This topic addressed the following issues:
• What roles can police play in environmental enforcement?
• Why might police be called upon to play those roles?
• What contributes to the success of having police carry out that role?
• What are particular challenges and problems in calling upon police to assist in
environmental enforcement?
• How can these challenges be overcome?
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
13
CONFERENCE PROGRAM
APRIL 24,1994
17.00-18.00 Welcome Reception and Early Registration in the Laurel Tree Courtyard
DAY ONE PLENARY SESSION
APRIL 25,1994
08.00-09.00
08.00-18.00
09.00-09.10
09.10-10.45
09.10-09.25
09.25-09.40
09.45-10.00
10.00-10.20
10.20-10.45
Registration
Exhibits (throughout the Conference)
• Inspector Training Materials and Monitoring Equipment
• Communications to Deter Violations and Gain Public Support
• The Role of Citizens in Compliance and Enforcement
• International Networks Workshops and Support Materials
• Environmental Videos (shown during breaks and lunch)
Introduction and Welcome to the Conference
Day Chair—Mr. Pieter J. Verkerk, Inspector General, VROM, The Netherlands
Co-Chair—Mr. Steven A. Herman, Assistant Administrator, Office of Enforcement
and Compliance Assurance, U.S. EPA
Opening Speeches
Mr. Carlos Sada, Mayor, Oaxaca, Mexico
• Welcome
Mr. Carlos Rojas Gutierrez, Secretary of Social Development, Mexico
(delivered by: Ms. Julia Carabias, President, Ecology National Institute, Mexico)
• The Environmental Enforcement Challenge in Developing Nations
Mr. Arsenio Rodriguez, Director, Regional Office for Latin America and the
Caribbean, Mexico (UNEP)
• Sustainable Development Goals and the Need for Effective Environmental
Enforcement: Efforts to Build Institutional Capacity for Environmental
Enforcement—An Integrated Approach
Mr. Steven A. Herman. Assistant Administrator, Office of Enforcement and
Compliance Assurance, U.S. EPA
• Evolution of Environmental Enforcement Within the United States: Strategic
Approach to Enforcement and its Growing Role in International Trade
Mr. Hans Alders, Environment Minister, The Netherlands
• Evolution of Environmental Enforcement Within The
Netherlands—Achieving a National Consensus
10.45-11.15 Break
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Theme #1: Principles of Environmental Enforcement
11.15-11.45 Speaker #1: Ms. Cheryl Wasserman, Associate Director for Policy Analysis,
Office of Enforcement and Compliance Assurance, U.S. EPA
• What Is Compliance and Enforcement?
• General Framework and Principles
11.45-12.00 Discussion Session
12.00-13.30 Lunch
Theme #2: Environmental Enforcement Challenges
13.30-13.45 Speaker #2: Dr. Adegoke Adegoroye, Head of Enforcement and Inspectorate
Department, Nigeria (Moderator)
• The Challenges of Environmental Enforcement in a Developing Country:
The Nigerian Experience
13.45-14.00 Speaker #3: Mr. Jose Luis Puliafito, Director of Environmental Sanitation and
Supervision, Ministry of Environment, Argentina
• A South American Country Example
14.00-14.15 Speaker #4: Mr. Zbigniew Kamienski, State Inspectorate for Environmental
Protection, Poland
• Process of Upgrading the Polish Environmental Enforcement Procedures
14.15-15.00 Discussion Session
15.00-15.30 Break
Theme #3: Country Experiences in Designing Elements of an Enforcement Program
15.30-15.45 Speaker #5: Mr. Mariano Palacios Alcocer, Federal Attorney, PFPA, SEDESOL,
Mexico (delivered by Mr. Arturo Alcocer Lujambio (Moderator))
• Mexico's Experience—Governmental Relationships, Training Inspectors and
Linkages with Standard Setting and Permits
15.45-16.00 Speaker #6: Ms. Gro Ftedland, State Pollution Agency, Norway
• Norway's Experience in Building an Inspector Corps: Education and Financing
16.00-16.15 Speaker #7: Mr. Jaap van Dijk, Member Executive Committee, Provincial
Council, Province of Groningen, The Netherlands
• The Interest of Cooperation between Police, Public Prosecutors and
Governmental Authorities in the Field of Environmental Enforcement ;
1615-16.30 Speaker #8: Mr. Daniel Hugo Llermanos, Judge, Criminal and Correctional
Court #10, Judicial Department of Lomas de Zamora, Argentina (partially
delivered by Mr. Jose Luis Puliafito)
• Environmental Agony: My Experience as an Argentinian Judge
16.30-17.00 Discussion Session
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
15
17.00-18.00 Instructions for Day Two and Day Three Workshops
Ms. Cheryl Wassemnan: Principles of Environmental Enforcement Workshops and
Special Topic Workshops/Poster Sessions
Mr. Rob Glaser: UNEP Institution-Building Workshops
19.00 Dinner Hosted by the Conference Sponsors in the La Pergola Dining Room at
Mision de los Angeles
DAY TWO WORKSHOPS ON PRINCIPLES OF
APRIL 26,1994 ENVIRONMENTAL ENFORCEMENT
Day Chair—Mr. Steven A. Herman, Assistant Administrator, Office of
Enforcement and Compliance Assurance, U.S. EPA
I
In small groups, workshop participants used case studies to explore the
principles of environmental enforcement. Participants chose preferred case
study subject matter:
Mining
Group A Facilitators: Mr. John Rothman, United States and Mr.
Stanislaw Wajda, Poland
Petrochemical/Refining
Group A Facilitators: Mr. Thomas Maslany, United States and Mr. Robert
Glaser, The Netherlands
Group B Facilitators: Mr. John Rasnic, United States and Prof. Gyula
Bandi, Hungary
Deforestation
Group A Facilitators: Ms. Cheryl Wasserman, United States and Dr.
Winston McCalla, Jamaica
Group 6 Facilitators: Mr. LeRoy Paddock, United States and Ms.
Sandra Urbina Mohs, Costa Rica
Residential and Industrial Waste Disposal "i '
Group A Facilitators: Ms. Susan Bromm, United States; Mr. Menno
Olman, The Netherlands and Mr. Paul Gavrel, Canada
Group 6 Facilitators: Mr. John Wise, United States and Dr. Adegoke
Adegoroye, Nigeria
Group C Facilitators: Mr. Michael Alushin, United States and Dr.
Dumitra Popescu, Romania
Group D Facilitators: Ms. Lynn Peterson, United States and Mr. Huub
Kesselaar, The Netherlands
Tourism
Group A Facilitators: Ms. Ann DeLong, United States and Mr. Jalaluddin
Bin Ismail, Malaysia
Using facilitated discussion and exercises, each workshop covered: designing
a management approach; designing enforceable requirements; setting
priorities; balancing compliance promotion and enforcement response;
inspection strategies; defining enforcement response and evaluating results
and responding to change. Also, each workshop included a role-playing
exercise to demonstrate a process for resolving alleged violations involving
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
complex economic, social and technical issues and uncertainties. Roles :
included enforcement officials, industry representatives, community activists,
employees and others. Case study materials also provided information on
environmental problems, pollution controls and prevention approaches and
their cost-effectiveness and sources of information.
08.00-18.00 Exhibits (throughout the Conference)
• Inspector Training Materials and Monitoring Equipment
• Communications to Deter Violations and Gain Public Support
• The Role of Citizens in Compliance and Enforcement
• International Networks Workshops and Support Materials
• Environmental Videos (shown during breaks and lunch)
08.30-10.40 Concurrent Workshops: Designing Management Approaches, Enforceable
Requirements and Effective Compliance and Enforcement Strategies
10.45-11.00 Break
11.00-12.30 Concurrent Workshops (continued)
12.30-14.00 Lunch
14.00-15.55 Concurrent Workshops: Resolving a Complex Enforcement Problem ,
15.55-16.10 Break
16.10-17.30 Concurrent Workshops (continued)
19.00 Guelaguetza Dinner and Show Hosted by SEDESOL Mexico and the
Municipality of Oaxaca at La Ciudad de las Canteras
DAY THREE WORKSHOPS ON INSTITUTION-BUILDING (UNEP)
APRIL 27,1994 AND ON SPECIAL TOPICS
Day Chair—Mr. Pieter J. Verkerk, Inspector General, VROM, The Netherlands
Participants had the opportunity to choose up to four of 12 workshop
offerings. These workshops included a series of four UNEP workshops on
designing compliance/ enforcement programs to achieve industrial
compliance with regulatory requirements. Facilitators ensured that workshops
provided opportunities for active discussions with contributions by all :
workshop participants and for exploration of a range of issues defined for the
topic. Participants in each workshop discussed these issues and contributed
to the development of a paper reflecting discussions and consensus that was
available during informal poster sessions on the morning of the fourth day. •
The Executive Planning Committee solicited papers from participants with !
experience on these subjects and these individuals provided background :
information when needed during the workshop sessions.
The sequencing and assignment of workshops reflected demand. The number
of workshop offerings was expanded in response to the preferences of
participants which kept the size of individual workshops small.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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08.CX3-18.00 Exhibits (throughout the Conference)
• Inspector Training Materials and Monitoring Equipment
• Communications to Deter Violations and Gain Public Support
• The Role of Citizens in Compliance and Enforcement
• International Networks Workshops and Support Materials
• Environmental Videos (shown during breaks and lunch)
08.30-10.30 Concurrent Workshops:
• Enforcing Regulations Related to Industrial Activities;: Developing
and Organizing the Enforcement Programme. Case Study 1. Use of
Modules 1 and 2—UNEP
Facilitators: Mr. Robert Glaser, The Netherlands and Mr. L&o Heileman,
UNEP, Mexico
• Human, Information and Financial Resources. Case Situdy 2. Use of
Module 2—UNEP
Facilitators: Mr. John Skinner, UNEP, IE/PAG and Dr. Ossama EI--Kholy, Egypt
• Compliance Monitoring and Inspections of Industrial Facilities. Case
Study 3. Use of Module 3—UNEP
Facilitators: Ms. Clare Delbridge, UNEP, IE/PAG and Mr. William Eichbaum,
World Wildlife Fund
• Export/Import of Illegal Shipments of Hazardous Waste, Toxic
Chemicals, or Contaminated Products
Facilitator: Mr. Wout Klein, The Netherlands; Rapporteur: Mr. Rick Sturgess,
Apogee Research, Inc.
• Field Citations as an Approach to Enforcement
Facilitator: Mr. Michael Alushin, United States; Rapporteur: Mr. Ken Rubin,
Apogee Research, Inc.
• Enforcement at Government-Owned or -Operated Facilities
Facilitator: Mr. Michael Stahl, United States; Rapporteur: Ms. Ann DeLong,
United States
• Enforcement of Economic Instruments
Facilitator: Mr. Jelis Peters, The Netherlands; Rapporteur: Mr. Mark Cowan,
Apogee Research, Inc.
• Promoting Voluntary Compliance: Environmental Auditing, Outreach
and Incentive Programs
Facilitator: Ms. Susan Bromm, United States; Rapporteur: Mr. David
Bronkema, Eastern Research Group, Inc.
• Role of Police
Facilitator: Mr. Jan Peters, The Netherlands; Rapporteurs: Mr. Matt Low and
Ms. Trffen Shewmake, TLI Systems, Inc.
10.45-12.45 Concurrent Workshops:
• Enforcing Regulations Related to Industrial Activities: Developing
and Organizing the Enforcement Programme. Case Study 1. Use of
Modules 1 and 2—UNEP
Facilitators: Mr. Robert Glaser and Ms. Clare Delbridge
• Human, Information and Financial Resources. Case Study 2. Use of
Module 2—UNEP
Facilitators: Mr. John Skinner and Mr. Leo Heileman
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
• Export/Import of Illegal Shipments of Hazardous Waste, Toxic
Chemicals, or Contaminated Products
Facilitator: Mr. Wout Klein; Rapporteur: Mr. Rick Sturgess
• Reid Citations as an Approach to Enforcement
Facilitator: Mr. Michael Alushin; Rapporteur: Mr. Ken Rubin
• CFC Control Program Enforcement: Implementing the
Montreal Protocol
Facilitator: Mr. Huub Kesselaar; Rapporteur: Ms. Marda Mayo, TLI
Systems, Inc.
• Criminal Enforcement Role in Environment
Facilitator: Ms. Gisele van Zeben, The Netherlands; Rapporteur: Ms. Tiffen
Shewmake
• Enforcement at Government-Owned or -Operated Facilities
Facilitator: Mr. Michael Stahl; Rapporteur: Ms. Ann DeLong
• Enforcement of Economic Instruments
Facilitator: Mr. Jelis Peters; Rapporteur: Mr. Mark Cowan
• Promoting Voluntary Compliance: Environmental Auditing, Outreach
and Incentive Programs '
Facilitator: Ms. Susan Bromm; Rapporteur: Mr. David Bronkema
12.00-14.00 Lunch served C9ntinuously throughout this period.
13.45-15.45 Concurrent Workshops:
• Enforcing Regulations Related to Industrial Activities: Developing
and Organizing the Enforcement Programme. Case Study 1. Use of
Modules 1 and 2—UNEP
Facilitators: Mr. Leo Heileman and Mr. John Skinner
• Human, Information and Financial Resources. Case Study 2. Use of
Module 2—UNEP
Facilitators: Mr. Robert Glaser and Dr. Ossama EI-Kholy
• Compliance Monitoring and Inspections of Industrial Facilities. Case
Study 3. Use of Module 3—UNEP
Facilitators: Mr. William Eichbaum and Ms. Cheryl Wasserman
• Processing Permits. Case Study 4. Use of Module 4—UNEP
Facilitators: Ms. Clare Delbridge and Prof. Guyla Bandi
• Export/Import of Illegal Shipments of Hazardous Waste, Toxic
Chemicals, or Contaminated Products
Facilitator: Mr. Huub Kesselaar; Rapporteur: Mr. Rick Sturgess
• CFC Control Program Enforcement: Implementing the
Montreal Protocol
Facilitator: Mr. Wout Klein; Rapporteur: Ms. Marda Mayo
• Criminal Enforcement Role in Environment
Facilitator: Ms. Gisele van Zeben; Rapporteur: Ms. Tiffen Shewmake
• Enforcement at Government-Owned or -Operated Facilities
Facilitator: Mr. Michael Stahl; Rapporteur: Ms. Ann DeLong
• Enforcement of Economic Instruments
Facilitator: Mr. Jelis Peters; Rapporteur: Mr. Mark Cowan
• Promoting Voluntary Compliance: Environmental Auditing, Outreach
and Incentive Programs
Facilitator: Ms. Susan Bromm; Rapporteur: Mr. David Bronkema
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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16.00-18.00 Concurrent Workshops:
• Enforcing Regulations Related to Industrial Activities: Developing
and Organizing the Enforcement Programme. Case Study 1. Use of
Modules 1 and 2—UNEP
Facilitators: Mr. Robert Glaser and Mr. William Eichbaum
• Compliance Monitoring and Inspections of Industrial Facilities. Case
Study 3. Use of Module 3—UNEP
Facilitators: Mr. John Skinner and Dr. Ossama EI-Kholy
• Processing Permits. Case Study 4. Use of Module 4—UNEP
Facilitators: Mr. Mark Evans and Ms. Clare Delbridge
• Export/Import of Illegal Shipments of Hazardous Waste, Toxic
Chemicals, or Contaminated Products
Facilitator: Mr. Huub Kesselaar; Rapporteur: Mr. Rick Sturgess
• CFC Control Program Enforcement: Implementing true
Montreal Protocol
Facilitator: Mr. Wout Klein; Rapporteur: Ms. Marda Mayo
• Criminal Enforcement Role in Environment
Facilitator: Ms. Gisele van Zeben; Rapporteur: Ms. Ann DeLong
• Enforcement of Economic Instruments
Facilitator: Mr. Jan J.M. Tindemans, The Netherlands; Rapporteur: Mr. Mark
Cowan
• Promoting Voluntary Compliance: Environmental Auditing, Outreach
and Incentive Programs
Facilitator: Ms. Susan Bromm; Rapporteur: Mr. David Bronkema
• Role of Police
Facilitator: Mr. Jan Peters; Rapporteur: Ms. Tiffen Shewmake
18.00 No scheduled evening event
DAY FOUR POSTER SESSIONS AND
APRIL 28,1994 CLOSING PLENARY SESSIONS
Day Chair—Mr. Steven A. Herman, Assistant Administrator, Office of Enforcement
and Compliance Assurance, U.S. EPA
08.00-18.00 Exhibits (throughout the Conference)
• Inspector Training Materials and Monitoring Equipment
• Communications to Deter Violations and Gain Public Support
• The Role of Citizens in Compliance and Enforcement
• International Networks Workshops and Support Materials
• Environmental Videos (shown during breaks and lunch)
09.00-12.00 Poster Sessions
In an open setting, participants roamed from table to table to obtain
summaries from the 8 Day-Three special topic workshop discussions, met
with individuals who prepared expert papers on the workshop topics and/or
took the opportunity for further informal discussion among themselves to
exchange ideas and approaches. Additional information and materials on the
topics also was available.
12.00-13.30 Lunch
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Theme #4: Experiences in Compliance and Enforcement
13.30-13.40 Speaker #9: Mr. Robert van Heuvelen, Director, Office of Regulatory
Enforcement, Office of Enforcement and Compliance Assurance, U.S. EPA
(Moderator)
• Successful Compliance and Enforcement Approaches
13.40-13.50 Speaker #10: Mr. Arthur Archer, Head of Sewage and Solid Waste
Department, Ministry of Health, Barbados
• Response to Regulations for Disposal of Offensive Matter in Barbados,
West Indies
13.50-14.00 Speaker #11: Mr. Kwesi Nkofi, Director of Environment, Guyana Agency for
Health, Education and Environment, Guyana
• Enforcement of Compliance Requirements at Omai Gold Mines Limited -
Guyana
14.00-14.10 Speakers #12: Mr. Jo Gerardu, VROM, The Netherlands
• Control of Licence-Holders for the Disposal of Chemical Waste by the ,
Inspectorate for the Environment in the Netherlands
14.10-14.30 Discussion Session
Theme #5: The Role of Communication in an Enforcement Program
14.30-14.35 Mr. Pieter J. Verkerk, Inspector General, VROM, The Netherlands (Moderator)
14.35-14.40 Speaker #13: Mr. Michael Stahl, Deputy Assistant Administrator, Office of
Enforcement and Compliance Assurance, U.S. EPA (delivered for: Mr. Paul G.
Keough, Regional Administrator, Region I, U.S. EPA)
• Changing Environmental Behavior in the United States Through the Use of
Public Disclosure of Information
14.40-14.50 Speaker #14: Mr. Oritsetimeyin Omagbemi Uwejamomere, Housing and
Environment Correspondent, Guardian Newspapers, Ltd., Nigeria
• Media Challenges in Environmental Enforcement: The Case in Nigeria
14.50-15.00 Speaker #15: Mr. Francisco Bahamonde Torres, Assistant Federal Attorney for
Verification of Normativity, PFPA, SEDESOL, Mexico (delivered by Alfred David
Gidi, SEDESOL, Mexico)
• PFPA Experience in Enforcement in Mexico
15.00-15.10 Speaker #16: Mr. Jan C.M. Veenman, VROM, The Netherlands
• The Role of Communication for Implementing Environmental Policy
15.10-15.20 Discussion Session—Participants were welcome to contribute exhibit materials
on this theme and were encouraged to describe their approaches to
enforcement and compliance communication.
15.20-15.45 Break
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Theme #6; Establishing International Networks
15.45-15.55
15.55-16.05
16.05-16.15
16.15-16.25
16,25-16.35
16.35-16.45
16.45-17.00
Speaker #17: Mr. David Slater, Director and Chief Inspector, Her Majesty's
Inspectorate for Pollution, United Kingdom (Moderator)
Speaker #18: Mr. Ludwig Kramer, Attorney, Commission of the European
Communities Directorate, General Environment, Nuclear Safety and Civil
Protection
• The European Union Network of Environmental Enforcement Authorities
Speaker #19: Ms. Maria Teresa Szauer Umana, Deputy Director of the
Environmental Department of the National Institute for the Environment and
Natural Resources, Colombia
• The Caribbean Environmental Programme as a Network for the
Caribbean Region
Speaker #20: Mr. Soren Harald Klem, Specialized Officer, INTERPOL
• Environmental Crime and the Role of ICPO-INTERPOL
Speaker #21: Mr. Michael Alushin, Director, International Enforcement
Program, Office of Enforcement, U.S. EPA
• North American Trading Partners: Canada, United States and Mexico as an
Enforcement Network
Speaker #22: Mr. John Skinner, Director, UNEP, IE/PAC
• Role of the Industry and Environment Programme Activity' Centre of the
United Nations Environment Programme
Discussion Session: The Need and Potential for Regional and Global
International Networking
17.00-17.30 Closing Remarks
17.30-18.15
18.00-19.00
Day Chair—Mr. Steven A. Herman, Assistant Administrator, Office of Enforcement
and Compliance Assurance, U.S. EPA
Co-Chair—Mr. Pieter J. Verkerk, Inspector General, VROM, Tine Netherlands
Press Conference
Closing Reception in the Laurel Tree Courtyard
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
WELCOME AND INTRODUCTION TO THE CONFERENCE
VERKERK, PIETER
Inspector General, Inspectorate for the Environmenl/IPC 680, Ministry of Housing/Spatial Planning
and the Environment, Rijnstraat 8,2515 XP Den Haag, The Netherlands
23
Ladies and Gentlemen, Minister Alders and other respected opening speakers.
On behalf of my co-chair, Steven Herman, I would like to welcome you to the Third International
Conference on Environmental Enforcement. ;
We have had two Conferences before. One in Utrecht, The Netherlands 1990; another one
in Budapest, Hungary 1992. Both Conferences took place within the framework of the Memorandum
of Understanding between the United States Environmental Protection Agency and The Netherlands
Ministry of Housing, Spatial Planning and the Environment. Because of the successes of both
Conferences there was a call for a third conference. UNEP was very much interested and Mexico
made the offer to host the third conference. So the ideas and conditions were there. And now, here
we are to make the Third Conference a success as well.
We also learned from our previous conferences in terms of setting up a conference and how
to make the program more effective for the benefit of the participants. So this conference will not be
a copy or repetition of the two other conferences. No, it will build on the results of the other
conferences and—that will be unique for a conference like this—there are a lot of workshops to make
it possible for all the participants to choose his or her preference. And above aill, it creates ample
room for discussion among the participants themselves.
What we are trying to achieve with this conference is an exchange of views; to leam from
each other about successes, but also about failures. Don't reinvent the wheel again, but use the
experience gained by your colleagues from other countries. We will talk about principles of
enforcement. However the implementation may differ from one country to another; depending on the
type and culture of the administration and the people.
Steven Herman, my colleague from the United States, and I will be your chairmen during this
conference. Today it is my turn. There are some changes in the program; pleasant ones. Because it
is a pleasure and an honor for this conference to welcome:
• Mr. Carlos Sada, Mayor of the City of Oaxaca and
• Mr. Walter Burger, representing the Governor of the State of Oaxaca.
The next speakers will present an opening address:
• Mr. Carlos Sada, Mayor of the City of Oaxaca.
• Mrs. Julia Carabias, President of the Mexican Ecology National Institute.
• Mr. Arsenio Rodriguez, director of the Regional Office for Latin America and
Caribbean of UNEP
• Mr. Steven Herman, Assistant Administrator USA/EPA.
• Mr. Hans Alders, Minister of the Ministry of Housing, Spatial Planning arid the
Environment, The Netherlands.
I would like to thank all the speakers and wish you a good conference.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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THE ENVIRONMENTAL ENFORCEMENT CHALLENGE IN DEVELOPING NATIONS
ROJAS GUTIERREZ, CARLOS1 (delivered by CARABIAS, JULIA2)
1 Secretary of Social Development, La Secretaria de Desarrollo Social (SEDESOL), Av. Constituyentes
No. 947, Belen de las Flores, Del. Alvaro Obregon, 01110 Mexico City, DFi Mexico
2 President, Ecology National Institute, Rio Elba 20,16o. piso, Cuauhtemoc, Mexico City (36500, Mexico
First of all, let me convey the greetings from Mr. Carlos Rojas, Secretary of Social
Development, SEDESOL; he apologizes for not being here this morning, but hie was instructed by
President Salinas to attend another important meeting today; he asked me to present his paper. He
thanks the Executive Organizing Committee for having chosen Mexico, in particuliir the city of Oaxaca,
to host this meeting.
Oaxaca, as its Municipal President explained to us, is a beautiful city with a large traditional
culture, in which several meetings have been held to analyze environmental topics, both at the local
and international level; this is an indication of the interest of its people and its Governor, Mr. Diodoro
Carrasco.
We hope that this particular event will contribute in the capacity building of our people and
our country; we welcome you all and wish you the best success in this Conference.
In the last years, discussion and incorporation of environmental topics on national policies
has been strengthened. One of the significant results of the world's Conference on Environment and
Development is the deepening of the analysis of the effects of development on the environment;
there is practically no country in the world that has not considered, in some way or another, deep
thoughts on how to achieve what until now has not been: how to reconcile the objectives of social
and economic development with the conservation of natural resources.
In global processes, environmental topics increasingly play a protagonist, and consequently,
are the subject of a number of binational and international meetings. In Mexico we are involved in
deep reflection and analysis in the context of the North American Free Trade Agreement and the
incorporation of our country to the OECD.
How to solve the challenges that we face? How to consolidate economic and social
development? How to increase production in order to increase economic growth and, at the same
time, reduce social inequalities; how to make it sustainable without affecting natural resources as
source of development, without imperil future generations? These questions are not only of academic
or intellectual interest; they are included in the debate for policy formulation.
Until recently, economic growth had not taken into account social and environmental effects,
with the result of increased poverty and environmental degradation. The challenge is to accelerate a
fair increase of income and promote access to financial resources and clean technologies, to join
economic growth with improvement of the environment and social well-being. At the same time, we
cannot forget that natural resources are finite and could become non renewable if we do not use
them properly. The challenge is more complicated when we take into account the fast rate of
population growth and the need to resolve past social inequalities. To us, rational economic growth
and social justice are the objectives of planning and implementation of different stages in the process
of sustainable development.
Policies and strategies for improvement of the environment require continuous strengthening
of an institutional and legal framework in nations. In Mexico, advances have been important, we have
strengthened the legal framework with official environmental standards, and we have subscribed to
important international cooperation agreements. Nevertheless, there is much to be done to enact
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
codes of regulations, as a basis to define secondary standards; this will facilitate its permanent
revision to update and improve its content, as well as its enforcement. I
In the last twenty years, there have been important changes in Mexican institutions; :the
Environmental Protection law of 1971, highlighted the effects of pollution on human health, without
considering causes of pollution. The General Law on the Ecological Equilibrium and Environmental
Protection, in effect since 1988, is a modern, comprehensive statute on the environment, that gives
priority to preventive aspects for conservation of natural resources, rather than corrective. This law
considers several instruments, that include prevention of environmental damage by development
activities, for planning environmental policies; we can mention, among others, the ecological ordering
of the territory based on features of land and natural resources, the environmental impact assessment
to prevent negative impacts of production activities and construction works, and the management
plans for protected areas. More importance is given to preventive than to corrective actions, as
correction, if it is possible, has a higher social cost than prevention.
The law also points out that environmental protection is not a topic exclusively for the public
sector, but a matter that requires full social participation to assure successful results. Today we are
promoting active participation of different groups of society, universities, associations of
entrepreneurs, farmers, citizens and environmentalists, in order to, together, propose better concerted
solutions to the environmental problems that we face. The law requires concurrence of the three levels
of government—municipal, state and federal—in prevention of pollution and restoration of; the
environment; this points out to a radical change in environmental management, as before, states and
municipalities were not empowered to deal with environmental problems even when they affected
their population and natural resources.
Today every state in the country has enacted its respective environmental law, and the
municipalities have some sort of institutional structure to deal with the ecology. Another change in
terms of environmental law is that ecological standards have evolved towards standards of a sectbrial
nature: several laws have been updated in the last two years, like those that regulate forestry, fisheries,
tourism, water, human settlements and the rural law. Even though the main reason for change was
not updating to the new environmental context, some new elements in that direction have been
included, though we recognize those changes are not sufficient; it is not an accomplished task, yet.
As a complement to federal laws, there are codes of regulations on environmental impact
assessment, on hazardous waste, atmospheric pollution, water, noise and on waste disposal on seas,
as well as regulations on forestry and fisheries; there are also some 71 Mexican official standards
related to the environment.
Inclusion of the environmental dimension in the development of the country has been favored
with the changes in institutions, that took effect two years ago. SEDESOL, Secretary of Social
Development, is the government office in charge of social and regional development, as well as
housing and urban development. It has two agencies, the National Institute of Ecology, in charge of
the definition of environmental policies and regulations, and the Office of the Federal Attorney for
Environmental Protection, in charge of the strict enforcement of regulations. The conception of this
Secretary improves the planning of development, as it includes environmental criteria, but we still
have to strengthened some weak links, improve coordination of actions and find suitable tools, to
better decentralize environmental management to the different levels of government.
This institutional and legal framework represents an important advance in the country.
Regulations attempt to solve very old problems and transform production processes in clean
processes; enactment of standards have to take into consideration the different factors and actors
involved, and the possibilities of compliance for large and for small industries. Enactment of standards
is a complex process, has to be concerted and has to establish compromises.
What is most significant is not the number but the comprehensiveness of standards. The ideal
scheme is to combine regulations with what I call a decentralized or coparticipative management,
that does not rely only in the compulsory compliance of a number of regulations; this system allows
application of other set of instruments, such as economic incentives or disincentives, and different
forms of sectorial participation to improve the environment.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
27
The objective, in other words, is to define an environmental policy, that is complied with not
only by force of law, but also through adoption of different mechanisms, that operate as part of the
economic performance of the enterprises and as part of a code of social responsibility.
We have some advances in this direction too, but there are some compromises we need to
fulfill. We are conscious of the need to improve regulations, to adapt them to the attainment of
sustainable development, but we have to be aware of the risk of establishing a regulatory framework
as a result of external pressures. Those pressures appear when a country is open to external
surveillance and when governments are pressured by a society that openly demands standards to
counter environmental problems; in such conditions, states have to equalize laws or regulations to
those of a certain country or, at least, eliminate those standards not compatible with a regime of free
market, and introduce specific standards, similar to those to be complied by some economic activities
in their country of origin.
There is a risk if we adopt in a very short time a number of regulations; this will have as one
of its consequences, an accelerated transformation of the legal framework that defines policies in
this case environmental policies. We realize that other countries have gone through a long way to
create a legal framework to regulate relations between human activities and the environment. But we
must be aware of the risk that the indiscriminate adoption of standards could prevail in front of the
definition of our priorities and our environmental policy, that may be different from those existing in
a complex framework of environmental standards and regulations.
In other words, we have to avoid the risk that the environmental policy, if it evolves from
specific standards and regulations, be limited by them; with this, I do not mean that we have to delay
the process of legislative modernization we are involved in with many countries, but to accelerate the
process of redefining the strategies for development to approach sustainability. This will be the quide
for the regulatory framework.
The challenges are not simple at all: that is why we meet together, to thoroughly analyze
problems and search for solutions; our commitment is great.
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29
SUSTAINABLE DEVELOPMENT GOALS AND THE NEED TO FORM EFFECTIVE
ENVIRONMENTAL ENFORCEMENT: EFFORTS TO BUILD INSTITUTIONAL
CAPACITY THROUGH AN INTEGRATED APPROACH
RODRIGUEZ MERCADO, ARSENIO
Regional Representative, United Nations Environmental Programme for Latin America and the
Caribbean, Boulevard de los Virreyes No. 155, Col. Lomas Virreyes 11000, Mexico D.F. 11000, Mexico
Honorable members of the head table, distinguished participants, I would first like to thank
our partners and co-sponsors of this event, the Secretariat of Social Development of Mexico, the
Ministry of Housing, Spatial Planning, and the Environment of The Netherlands, the World Wildlife
Fund, and the United States Environmental Protection Agency, for giving me the opportunity to
address you this morning.
Elizabeth Dowdeswell, the executive director of UNEP, and my colleagues from the industry
and environment and environmental law centres have asked me to address you on their behalf, on
the goals of sustainable development and the need to build institutional capacity for environmental
enforcement.
The work of this conference is eminently practical: it focuses on hands-on workshops to
familiarize participants with the fundamental principles of environmental enforcement and the design
of compliance programmes. Therefore I would not like to burden you with too many words.
Much has been said in the past years about the emerging paradigm of sustainable
development. At the earth summit in Rio, more than 100 heads of state and government, and
representatives of industry and the world's non-governmental community, reccgnized the need to
adopt a different development strategy to ensure a more equitable and viable world for future
generations.
However, as we now try to define the sustainable development creature, we seem to be faced
with the same dilemma as the blind men in the indian fable when they were trying to describe an
elephant. Perhaps in our efforts to adopt the new paradigm we are falling prey to a new fad called
sustainability, without really understanding what it is all really about.
And we are in danger of believing that because we have changed our rhetoric (giving it a
little green coat) we are changing the objective conditions that have brought humanity to one of its
most profound crisis in history.
And one thing is certain. We are a world in crisis. The economic development models of the
past have failed to deliver a fair and sustainable society. The natural resource base continues to be
degraded at an accelerated pace and social inequality has reached today its height. The poor are
becoming poorer. In 1960, as stated recently by the Secretary General of the United Nations, 20% of
the world's population had 5% of the world's income, whereas the richest had 63%. In the 1990's
the share of the poorest had fallen to an abysmal 1.3%. Our house is much smaller today, as we
have become many. And in less than sixty years our scientific oracles are predicting a world population
doubling the present one. We know that our national and international institutions—engineered in the
eighteenth and nineteenth century—are not capable of responding to the multidimensional challenges
of the post-industrial, post-technological civilization.
We need new thinking to reshape our institutions, our economic theories, our social ethics.
We have to move, on a global scale, to a state of law, which recognizes not only the rights of the
existing members of society but also those of future generations.
As stated in 1992 by Dr. Mostafa K. Tolba, "sustainable development is not a ready made
policy menu. It is a demanding series of concrete, costed and draconian measures which confront
failed economic programmes and instigate new structural reforms of the world's institutions and
governance." These reforms must aim to bring about the alleviation of poverty and the rational
utilization of natural resources through the construction of a more equitable society.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Ladies and gentlemen, sustainable development does not really represent a new paradigm,
it is the re-statement of the ancient longing of mankind for a world of peace based on true respect
for the rights of others, including the next generations.
If sustainable development is to be achieved, the social environmental costs and benefits of
any development process must be evaluated, and laws and regulations must be enacted to ensure
the protection of the community rights.
Khalil Gibran tells us about the answer given by the prophet to the question "but what about
our laws, Master?" posed by an orphalese lawyer.
The prophet replied:
"You delight in laying down laws, yet you delight more in breaking them. Like children
playing by the ocean who build sand-towers with constancy and then destroy them
with laughter."
We have to move into a global and national state of law in order to regulate the
multidimensional interactions that shape-up the human and natural environment and enable the
protection of society's well-being. Laws have to be efficient but also effective. To enact lofty legislation
that cannot be enforced is like building sand-towers by the sea side. To subscribe international treaties
for the protection of the world resources, without a real political will, or the technical or financial
capacity to undertake their implementation, create the dangerous illusion that the problem has been
tackled while it is still rampant.
Since the environmental awakening of the 1970's many governments have established
legislative and regulatory frameworks for the implementation of their environmental policies. There
has, however, been a notable dislocation, in most countries, between the promulgation of laws and
regulations and compliance with and enforcement of such laws and regulations. This is particularly
true of developing countries where existing economic constraints, social priorities, and inadequacies
in institutional and technical resources have largely impeded the effective implementation of
environmental laws and regulations.
There is need to evolve strategies that will promote compliance and ensure effective
enforcement. To enhance the capacity of many countries enforcement agencies to inspect and
monitor, to investigate violations, and to compel compliance.
Political democracy is an essential ingredient for environmental enforcement. Public
participation at all stages of development actions is the only way to guarantee that the rights of the
community are protected. Compliance with laws and regulations, on environment and in other areas,
is in effect a measure of the democratic maturity and the ethics of a society.
The subjects of legal regulation need to be sensitized to the demands of laws and regulations
through the dissemination of information and the provision of advisory services. Industry needs to be
encouraged towards compliance through technical assistance and technology development and
transfer.
This is one of the reasons why this conference is of great significance. It will help to enhance
public awareness; provide information to governments, the private sector and non-governmental
organizations; and sensitize the international community to the imperative of environmental
enforcement.
Agenda 21, mandated international organizations to promote environmental compliance by
helping to provide an adequate institutional capacity for monitoring and enforcement.
But how to achieve this capacity building. Is it by funnelling additional financial resources to
aging governmental institutions? By creating new bureaucratic structures? An out of tune engine does
not respond better by adding more gasoline nor a higher octane grade.
We feel that the way the international system must proceed is by providing, on a step by step
basis, the information that governments require to develop efficient and effective legislation, and its
implementation mechanisms, and the information that the private sector requires to comply.
This is a major task. One that requires action based in partnerships of the public and private
sectors with an active participation of citizen groups. For the international system to effectively abide
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by the mandate of Agenda 21 it must act in a coordinated fashion. Let us not however forget that
international institutions are also undergoing a crisis of purpose and structure. We still have to learn
to work together around the common agenda of sustainable development. The effervescence
generated after the Rio summit has yet to settle in well thought international assistance programmes
which offer a coherent response to the multitudinous problems associated with enforcing sustainable
development. ,
We are beginning to move in that direction. In the case of UNEP its capacity-building activities
in the field of environmental legislation and machinery are being re-oriented. This re-orientation
emphasizes the integration of the programme within the general framework of endogenous
capacity-building for sustainable development established by Agenda 21; a regional approach to
programme design and implementation in order to respond to geographical specificities; a result
orientation in programme design, delivery and implementation; and partnership with relevant
international organizations in the implementation of projects.
Building the institutional capacity of governments is to help them define policy and set the
regulatory framework for sound and sustainable development. Chapter 8 of Agenda 21 on "Integrating
Environment and Development in Decision Making" indicates in detail the needs for providing an
effective legal and regulatory framework including provision of mechanisms for promoting compliance,
as well as utilizing economic and market incentives should be used to encourage industries, for
example, to voluntary comply with standards and regulations. If such standards regulations and laws
are not applied fairly, systematically and effectively then the governments run the risks of losing their
credibility and the same time rendering the laws useless.
Ladies and gentlemen, the whole process of development, implementation, monitoring,
enforcement and revision of environmental policy and legislative framework is an evolutionary process.
A step by step approach should be taken. It is better to set long term goals with intermediary measures
which can be complied with, that to set immediate stringent standards which will not or cannot be
complied with (as a result of one limiting factor or another, be it technical, financial or otherwise).
The UNEP Workshops which will take place on Wednesday, are organized with the support
of the Ministry of Housing, Spatial Planning and the Environment of the Kingdom of The Netherlands
and the United States Environmental Protection Agency, and will go in depth into the above mentioned
points. The general areas to be covered include: development of a compliance and enforcement
programme; determination of human and financial resource requirements; permilting; and inspection,
self-compliance monitoring and enforcement response. I cannot omit mentioning,the 8 other excellent
workshops which will also be held on the same day.
UNEP, with the support of the government of The Netherlands, intends to organize additional
workshops on industry compliance and enforcement in various parts of the vrarld and is looking
forward to further cooperation with the United States Environmental Protection Agency and other
organizations in this endeavor. ;
The search for sustainability in our social and economic actions is the only path to follow. It
is a long road, we know, but as stated by a wise man from the east, a hundred mile journey starts
with the first step.
Let us walk. Let us build sand-towers that last, so that our childrens' children might also be
able to enjoy. ;
I wish you a pleasant and productive conference. Many thanks.
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EVOLUTION OF ENVIRONMENTAL ENFORCEMENT WITHIN THE
UNITED STATES: STRATEGIC APPROACH TO ENFORCEMENT AMD
ITS GROWING ROLE IN INTERNATIONAL TRADE
HERMAN, STEVEN A.
Assistant Administrator, Office of Enforcement and Compliance Assurance U S Environmental
Protection Agency, 401 M Street, SW (LE-133), Washington, DC 20460, USA
Good Morning.
It is my great pleasure to join my co-Chair Pieter Verkerk in welcoming you to Oaxaca, Mexico
for our Third International Conference on Environmental Enforcement. As I begin, I want to extend
my personal appreciation to Governor Diodoro Carrasco of Oaxaca, Mayor Carlos Sada and Mrs
Julia Carabias who is here representing Minister Carlos Rojas, and for Mexico's gracious hospitality
in hosting the Conference. We could not have found a more beautiful and hospitable place for this
Conference. I also would like to thank my fellow sponsors Minister Alders, Mr. Arsenio Rodriguez
representing UNEP and Mr. William Eichbaum of World Wildlife Fund, and the members of the
Executive Planning Committee who helped shape a program that we hope will be inspirinq and
practical to everyone here.
We are at a remarkable time for environmental enforcement both within the U S and around
the world. Through our dialogues surrounding the NAFTA, the GATT and other international
agreements, we are realizing more and more that economic well-being goes hand in hand with
environmental well-being. Environmental enforcement is an integral component of achieving
environmental well being and sustainable development—something for which we all are striving
The United States is privileged to be a part of this week's international dialogue President
Clinton, Vice President Gore, and EPA Administrator Carol Browner, are firmly committed to a healthy
environment, and the U.S. Environmental Protection Agency is leading the effort to make the United
States a world leader in environmental protection. I am pleased to have this opportunity to share with
you the environmental priorities that the EPA, under Administrator Browner, is working to achieve But
like all of us, I am also here to learn, especially at a time when the EPA is taking a fresh look at its
own enforcement program. I look forward this week to hearing your views and reactions to EPA's
enforcement program, and also to hearing about your goals, and the ways you are usinq enforcement
to reach those goals.
1
ENVIRONMENTAL PROTECTION PRIORITIES IN THE UNITED STATE'S
In the United States, Administrator Browner has established five key priorities to protect human
health and the environment:
• First, pollution prevention—prevent pollution before it happens.
• Second, environmental justice—provide equal protection from environmental harms
to all.
• Third, protect whole ecosystems.
• Fourth, base our actions on good, quality science.
• Fifth, promote new environmental technologies that can get the job done cheaper
and better.
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While we are uncompromising about our commitment to these goals, we will be flexible while
working to achieve them. To make these priorities work. EPA is moving toward tailoring environmental
protection to the specific characteristics of different communities, ecosystems and industrial sectors.
We want to avoid "one size fits all" approaches. My job at EPA is to make sure that our civil and
criminal enforcement program is strong and effective. Enforcement must be the backbone of all of
EPA's other efforts. Enforcement makes the regulated community and the public take environmental
laws seriously, it gives credibility to all of our agency's activities.
2 THE REORGANIZATION OF EPA'S ENFORCEMENT PROGRAM
I was very fortunate to have been chosen by President and the Administrator to head EPA's
enforcement program at this very exciting time. Last July, Administrator Browner decided to reorganize
the enforcement program. This bold action of her's, bold because she acted decisively where others
had only talked for more than 10 years—provides a unique opportunity to incorporate the Agency s
new directions into an improved and streamlined enforcement organization.
Our new Office, known as the Office of Enforcement and Compliance Assurance, will .bring
together the many enforcement-related activities that for several years were scattered throughout the
Agency Our Headquarters Office will double in size from 400 to 800. But our enforcement
reorganization is about much more than building a new structure and increasing staff. It is mainly
about building a new approach to enforcement. That new approach has five key features: ;
First we will maintain an imposing enforcement presence to deter noncompliance. Tough
criminal sanctions, monetary penalties that recoup the economic gains of violations and punish
violators, and injunctive relief that forces violators to correct environmental wrongs are all essential
parts of the strong enforcement program which is ongoing at EPA.
Second, while enforcement actions will remain a primary means for achieving compliance, it
will not be the only one. We will also use compliance assistance and other innovative tools to promote
compliance in the regulated community. For example, by offering technical advice, teaching
compliance seminars, or doing on-site compliance assessments, we can help the regulated
community avoid breaking the law in the first place.
Third we will organize our compliance strategies, and often our traditional enforcement activity
as well, around sectors of the economy, and ecosystems. By focusing our resources, we will
understand better how a particular sector or ecosystem functions as a whole, and we will know better
when where, and what action is needed to achieve compliance or make environmental improvements.
With this targeted approach, we will remain true to the need to be consistent in how we enforce
environmental laws, and recognize that "one-size-does-not-fit-all."
Fourth, we will take multi-media, whole-facility approaches wherever possible. When we
provide technical assistance, inspect facilities or plan and bring enforcement actions, we will more
and more base our actions on all of our environmental statutes, and not simply look at only the air,
water, solid waste or toxics. We will aim to reach comprehensive solutions to pollution problems, and
avoid approaches that fix a problem in one medium only to have a problem in a different medium
worse or unaddressed or create a new problem.
Fifth, we will measure the success of our program by improvements in compliance rates and
environmental quality, not just by the number of cases we bring or the amount of the penalties we
collect Instead of looking only at the quantity of cases, we will highlight the quality of our cases.
3 FEDERAL FACILITIES
I also want to emphasize that in enforcing the law, we treat other agencies of the federal
government the same way we treat other members of the regulated community. Federal agencies
are routinely involved in activities within the scope of our environmental laws. By complying with the
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law, the Government leads by example and increases the credibility of the law in the eyes of the
public. Our Office of Federal Facilities Enforcement is committed to holding the federal government
accountable to the public for its environmental record. Where appropriate, EF'A levies fines and
penalties against agencies of the federal government.
4 USING ENFORCEMENT TO REACH OUR GOALS
Our new approach will also advance Administrator Browner's five main priorities.
First, we will constantly seek creative ways to use enforcement to promote pollution prevention
Pollution prevention is the opposite of end-of-the-pipe controls—by preventing pollution in the first
place, the regulated community avoids the cost of control technologies and waste cleanups or does
society as a whole. Administrator Browner has called pollution prevention "the central ethic" and
guiding principle" in everything we do at EPA. Enforcement will be no exception.
A strong enforcement program that the regulated community takes seriously prevents pollution
in and of itself by deterring violations of the law. And in individual cases, violatWare agreeing more
and more to perform pollution prevention projects, often in exchange for penalty reductions. To
illustrate, a company might agree to eliminate the use of a toxic chemical, or to conduct a pollution
prevention audit of its operations. These projects change the way violators do business and prevent
or reduce pollution long after an enforcement action is over.
Another benefit of these projects is that they often also end up saving companies money. For
example, the Dupont Company recently completed a Waste Minimization Study as part of an EPA
enforcement settlement agreement. Dupont found that for a one time $6 million investment it will
reduce its production of hazardous waste by 9 million pounds per year and reap back an astounding
$15 million in savings per year. Best of all, Dupont will share its study with other companies so that
they, too, can save money by preventing pollution in the first place.
Our compliance assistance activities will also help prevent pollution by giving companies the
information they need to comply with the law. We intend to focus compliance assistance on specific
industries and other economic sectors and improve their ability to get the resources they need to
comply with environmental laws.
Second, our improved enforcement program will promote the Agency's goal to provide equal
environmental protection to all people. Minority, low-income and other historically disadvantaged
communities must not bear an unfair burden of environmental risk. In February of this year, President
Clinton signed an Executive Order that directed all federal agencies to address environmental justice
concerns. At EPA, we will be the lead federal agency in this effort and we will make environmental
justice concerns a part of every decision we make.
Third, we will use enforcement to protect whole ecosystems. To ensure a healthy and
productive environment, all the interdependent parts of an ecosystem must be healthy. We will work
to identify ecosystems of special concern, and locate areas where enforcement is the best tool for
protecting against environmental harms. Our emphasis on multi-media approaches 'wherever possible
will be an important component of protecting ecosystems. EPA has already conducted several "pilot"
multi-media initiatives targeting sensitive areas, including the Great Lakes, the Gulf of Mexico and
the Chesapeake Bay. We will continue to build our program to protect these sensitive ecosystems
and expand our efforts to others.
Fourth, we will base our enforcement and compliance assurance actions on good quality
science and data. EPA typically relies upon and needs complete and accurate data in order to do
its job. We intend to standardize compliance and enforcement information to improve our ability to
track our progress and plan for the future. We will rely on "good science" and "good data" to assess
the impact of compliance and enforcement efforts. To see whether we are truly succeeding, we need
to improve our collection of data on pollution emissions, as well as on compliance rates. And we will
look for ways to see whether, ultimately, our enforcement activities are improving the quality of the
environment—the air we breathe, the water we drink.
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Finally, we will look for opportunities to promote new environmental technologies. Through our
compliance assistance program, we will improve our understanding of specific industries and help them
find new environmental technologies that will make the most sense for them-both economical y and
environmentally. Our federal facilities program is a leader in this area. We are cooperating with other federal
agencies such as the Energy Department and the Defense Department to develop, experiment and test
new environmental technologies. In our enforcement actions, we will continue to enter into agreements
where violators commit to develop environmental technologies that reduce or prevent pollution.
5 WORKING WITH OUR INTERNATIONAL PARTNERS
Whatever goals we have at EPA. our chances of success are much better when we develop
partnerships both domestically and internationally. In particular, our international partnerships are
becoming ever more important. In the environmental enforcement arena, partnership is especially
essential in view of the rapid evolution of the global marketplace. A number of Internationa
developments, both regional and multinational, have highlighted the role of environmental
enforcement in ensuring sustainable economic development across the globe.
The historic North American Free Trade Agreement-NAFTA-along with its side agreements
is a leading example. The parties to the NAFTA recognized the need for strong environmental
enforcement and agreed on three key elements that provide for a strong enforcement program. First
Mexico Canada, and the United States committed to effective environmental enforcement in each of
their own countries. Second, an innovative dispute resolution process allows each signatory to hold
the others accountable for ineffective enforcement of domestic environmental laws. Third and even
more importantly, the countries are creating a new trilateral enforcement network that will promote
opportunities for cooperation well into the future. Strong trilateral and bilateral cooperation on
environmental enforcement will be essential to the sustainable regional development that the NAFTA
Pr0miSe|ncreased cooperation in environmental enforcement in North America parallels other
developments around the globe:
• The entry into force of the Basel Convention on Transboundary Movement of ,
Hazardous Wastes—including the Parties' recent decision to ban exports of ,
hazardous waste to developing countries—underscores international recognition of :
the need for tough enforcement against illegal waste traffickers.
• Interpol's Working Group on Environmental Crime is working to improve;
international cooperation in investigating illegal shipments of hazardous waste.
• The U N Commission on Crime Prevention and Criminal Justice is also promoting :
cooperation in criminal enforcement. The Commission is working to develop
international consensus on the nature of environmental crime and helping national,
governments develop effective environmental criminal laws.
• The world community's shared concern with global climate change and ozone
depletion has also led to international partnerships. New restrictions on
ozone-depleting chemicals in amendments to the Montreal Protocol on
Substances that Deplete the Ozone Layer, and implementation of the Global
Convention on Climate Change, will present new challenges to the architects of,
domestic environmental enforcement programs and policy.
• Similarly, international agreement on the need to protect the fragile and pristine •
ecosystem of Antarctica has included recognition of the need for effective
enforcement. The U.S. and other parties to the Antarctic Treaty are setting up:
domestic programs to implement the new environmental protocol to the treaty.
Enforcement will be an essential element to preserving the unique Antarctic
environment for future generations.
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GATT Parties have recently decided to create a Committee on Trade and the
Environment and an environmental work program of the new V/orld Trade
Organization, which will replace the GATT The Committee and work program will
provide an important new opportunity to address the relationship between trade and
the environment, including issues of enforcement. More and more, we are all
realizing that one nation's failure to enact and enforce good environmental laws may
be unfair to the rest of the global community. Hopefully, the Trade and Environment
Committee's work program will promote the need for strong domestic enforcement
of environmental laws, as well as new opportunities for cooperation. Together, the
international community can create a level playing field for freer world trade.
37
6
CONCLUSION
In closing, I cannot help but mention this Conference as yet another important opportunity to
build international partnerships and promote international cooperation in environmental enforcement.
Our world is getting smaller and smaller. Everything we do, or do not do, especially with regard to
our precious and fragile environment, affects us all. Thus, our efforts must get closer and closer. We
must work together. I am very excited about Administrator Browner's environmental agenda for the
United States. I hope EPA's program for protecting the environment, including its strong role for
enforcement, will give this group some food for thought as we begin this Conference. This gathering
is especially timely for EPA's enforcement organization — I know I will emerge from this Conference
with new ideas from all of you, on how to develop our revitalized enforcement program. By sharing
our ideas and experiences this week, we can, together, take another step toward ensuring the healthy
global environment that is essential to a healthy global economy.
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EVOLUTION OF ENVIRONMENTAL ENFORCEMENT WITHIN
THE NETHERLANDS—ACHIEVING A NATIONAL CONSENSUS
ALDERS, J.G.M.
Environment Minister, Ministry of Housing, Spatial Planning and the Environment, Rijnstraat 8,2515
XP DEN HMG, The Netherlands
Mr. Chairman, distinguished guests,
First of all, I should like to thank the Mexican environment minister for his hospitality and the
effort he has put in to organizing this conference in Oaxaca. He and his staff have done a lot of work
to organize this important third Enforcement Conference at such short notice. The Dutch motto is 'Je
maintiendrai' which means I shall uphold or enforce. Enforcement is very important lor the Netherlands
and hence for the Dutch government. It is no coincidence that the cabinet has placed emphasis in
its environmental policy on implementation and enforcement. There are plenty of splendid plans and
policies; what it is now all about is implementing them.
The first international enforcement conference took place in May 19SIO in Utrecht, the
Netherlands. The second took place in September 1992 in Budapest, in Hungary. And now we are
here in Oaxaca, Mexico. The first two conferences were highly successful and I arn firmly convinced
that the conference here in Oaxaca will continue in the same manner and will demonstrate that paying
attention to enforcement alone is not enough but that you have to exchange information as well and
be open to each other's experiences. Twenty years of experience have learned us that there are no
frontiers to environmental pollution, and that must also apply to environmental enforcement.
International cooperation is getting underway better and better. I only need to remind you of
the UNCED meeting in Rio de Janeiro in 1992, the fifth environmental action plan of the European
Union and the on-going cooperation with the United Nations Environment Programme (UNEP). In
organizing the enforcement conferences we try to respond to these initiatives. While the first
conference confined itself above all to the longer standing cooperation between the Netherlands and
the United States, the second conference in Budapest ensured that concern about enforcement was
extended to Eastern Europe. Now this conference is taking place in Mexico, shortly after the
concluding of the NAFTA accord between Mexico, Canada and the United States of America.
The aim of this conference is not to express as many splendid words as possible, or to
present a proud account of our successes. But to exchange experiences on enforcement in practical
situations at the national and at the international level. Then environmental legislation will really have
the intended effect and sustainable development, the aim we all endorsed in Rio de Janeiro, will
come within our grasp. Only then will environmental policy become realistic and credible and not just
a paper tiger.
But for this we have to agree together on a sound enforcement infrastructure, to put this down
in writing and adhere to it. Nationally and internationally. By means of enforcemeint workshops we
can use examples from daily practice to gain new experiences and to come to agreements on
implementation. These agreements are necessary to prevent inadequate or unequal enforcement
resulting in economic injustice, at the national but perhaps even more so at the international level.
Otherwise, infringement of environmental legislation will take place where sanctions and enforcement
are weakest. Such arrangements are of additional importance where agreements have already been
made to abolish frontiers. This is one of the reasons that the Netherlands is paying a lot of attention
to the enforcement of environmental legislation within the European Union. If we'are aiming at the
same goal together, sustainable development, then we are equally responsible for achieving it,
including the enforcement!
Concern for the environment does already exist in the Netherlands for some time, due to the
geographical location of the Netherlands and the configuration of the Dutch economy. As a small
country at the delta of three major rivers, we end up with a certain quantity of environmental pollution.
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On the other hand we make such intense use of our small country, that we have an extremely high
density of chemical industry, agriculture and traffic. So we have been preoccupied a little longer with
the problem of how we can transform our economic development into sustainable development. It
is precisely in our densely-populated and physically-vulnerable country that we need an active
environmental care policy to maintain an adequate quality of the environment in which we live. But
that active environmental care cannot be achieved by environmental legislation alone. For that, every
individual must be bold enough to accept his own responsibility: industry, traffic, agriculture, but also
the public at large.
To give shape to that individual responsibility, the environment has to become a part of all
kinds of policy areas. Government concern for the environment in the Netherlands therefore is a
matter which is given shape by more than one ministry. The Minister of Housing, Spatial Planning
and the Environment coordinates government concern for the environment among the other ministries,
but there are major interfaces with agriculture, nature conservation, traffic policy, energy policy,
economic policy and also incomes policy. To really achieve sustainable development, sound
cooperation between the ministries covering these policy areas is indispensable. This is the reason
why the National Environmental Policy Plan is not drawn up solely by the environment minister, but
also by the ministers of the other departments. The second Environmental Policy Plan was recently
sent to parliament, signed by no less than five ministers.
An important point of departure of the environmental policy plan is the focus on implementation
and, thus, on enforcement. In the Netherlands we are now introducing a check to see whether
environmental legislation can be implemented and enforced. All the ministries in question make this
check for new legislation and regulations in the Netherlands. In this way we prevent environmental
policy being just a paper policy. After all, you can draft as much environmental legislation as you like,
but if you cannot implement in practice, the environment will not benefit at all and may indeed
sometimes even suffer from it. Checking for enforceability prevents environmental implementors having
to despair at some point because the situation is so hopeless. And lastly, the enforceability of
environmental legislation ensures that the ordinary man or woman in the street can see the results of
environmental policy and knows what he or she is doing it all for. In short: the enforceability of
environmental legislation enhances the support for a strict but clear environmental policy.
To give structured shape to the enforcement of environmental legislation, in the Netherlands
a committee has been set up at the national level, headed by the inspector general of the Inspectorate
for the Environment, to promote enforcement and to steer developments on this front where necessary.
The National Coordinating Committee for Environmental Law Enforcement comprises not only
ministries involved in environmental enforcement but also the public prosecution department, the
police, the provincial authorities, the water quality managers and the local authorities. It is a task of
the committee to coordinate all the enforcement activities of the participating partners at three levels:
national, provincial and regional, on the basis of an annual plan.
To get this structured approach to national enforcement off the ground, the Ministry of Housing,
Spatial Planning and the Environment has made a financial contribution to reinforcing the staffing
levels of the police, the public prosecution department, the provincial authorities and the local
authorities. This has been an integral part of the national environmental policy, and is introduced in
the first National Environmental Policy Plan. With the aid of these grants, backlogs in the field of
permits and enforcement can be caught up. Investigations by the Inspectorate of the Environment
can help to ascertain the results achieved with regard to the creation of the enforcement structure
and in terms of actual enforcement.
The Coordination and information centers, which have been set up by the regional cooperating
municipalities, are an important part of the enforcement structure. These centers are the heart of the
structure. They see not only to coordination of all enforcement activities in the region, they a|so are
the first to spot bottlenecks between central government and the regions in the field of enforcement.
Consequently, strengthening of these Coordination and information centers is above all important for
an integrated approach to enforcement.
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Fortunately the Netherlands is not the only country which is paying attention to environmental
enforcement. And that is logical too, because through the growing number of international agreements
in all kinds of fields, environmental agreements and their enforcement also need coordinating. This
is certainly the case now that international organizations are paying a growing amount of attention to
the environment, as for example the item of Trade and Environment and the Montreal Protocol. All
these agreements needs enforcement, and if possible: coordinated enforcement. This is why the
Netherlands, during its chairmanship of the European Community, took the initiative to place the
enforcement of environmental legislation high on the agenda in what is now called the European
Union. It was an initiative that was well received by the member-states and has been taken up by
successive chairmen. It is now on the agenda again of the Greek chairman.
In 1992 a start was made on setting up a network of enforcement agencies in the European
Community. That has meanwhile resulted in a training week which took place in March 1994 in the
Netherlands. Enforcers from practically all the member-states took part. Besides being given an
account of Dutch environmental and enforcement policy, participants took an active part in
enforcement visits to Dutch companies. The training week will be followed up in the autumn of 1994,
since Denmark will be taking over the organization.
Second, the enforcement network is evolving through a joint enforcement project, carried out
by the Netherlands, Belgium, Luxembourg, the United Kingdom and Germany. This project is related
to the transfrontier shipment of hazardous waste, a problem with which the Netherlands is frequently
confronted because of the amount of traffic passing through the country. The joint enforcement project
was a success and will be followed up with the number of participating countries increasing to include
Italy and Spain.
Enforcement is also one of the permanent subjects in the Memoranda of Understanding,
which we have entered into with a number of other countries, and item number one in the
Memorandum of Understanding which the Netherlands and the U.S. Environmental Protection Agency
concluded. This conference is part of the elaboration of these agreements, and thus a good example
of international cooperation in the enforcement field and the unprecedented opportunities for this.
Dutch enforcement practice has learned a lot in the recent past from American experiences and, by
the reverse token, EPA always says that they too have learnt from us, which I take as a great
compliment.
Ladies and gentlemen,
We must be bold enough to look beyond the successful cooperation between two countries,
both of which are capable of conducting a far-reaching environmental policy. We also have to deploy
our cooperation and our experiences for other countries, which are just taking the initial steps on the
enforcement path, to encourage and support them. And that is why we are here together today, to
hear of each other's experiences and to get down to grass roots level. This conference is not intended
to prescribe exactly how you should do it, how you should enforce and what instruments you should
use. After all, every country is different, not only in terms of the stages of environmental policy but
also in terms of bottlenecks and stages of development. This conference specifically aims at giving
you ideas for an approach which may lead to good results in the field of environmental enforcement
in the specific circumstances pertaining in your country.
We are all continually preoccupied with learning more and learning from each other in the
enforcement field. Because we really do not all need to rediscover the wheel. People become wise
from experience and the environment stands to gain most if we can avoid making the same mistakes
over and over again. If we are prepared to do this we are half-way along the enforcement path. Until
then we will still need meetings like these to arrive at the necessary exchange of experiences. I know
that expectations of this conference are high, partly because of the successes achieved at the earlier
conferences in Utrecht and Budapest. But I am convinced that you will be able to live up to
expectations with each other. I am keenly interested in the follow-up to this conference, certainly
because this will focus specifically on the cooperation with international organizations such as UNCED
and UNER I wish you every success in the days ahead and I hope that the success will not only be
noticeable in this hall here, but also in the environment outside!
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THEME 1:
PRINCIPLES OF ENVIRONMENTAL ENFORCEMENT
Editor's Note: To avoid duplication, Ms. Wasserman's instructions for the Day 2 Principles of
Environmental Enforcement Workshops are not reprinted here. Volume 1 contains an overview
of the Principles of Environmental Enforcement and the 3-day training course, materials on
which the Principles Workshops offered at the Conference were based. As noted in that
paper, five additional case studies were developed for use at and following the Conference
as well as stand alone technical support documents which summarize the einvironmental
problems, pollution prevention and control alternatives, selected institutional approaches and
an annotated bibliography on the topics of:
• Mining
• Petroleum refining and petrochemicals
• Residential and industrial waste disposal
• Tourism
• Deforestation
These technical support documents are available on request from the editors.
Paper 1 in Proceedings Volume 1.
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THEME 2:
ENVIRONMENTAL ENFORCEMENT CHALLENGES
4. Summary of Theme Discussion, Moderator: A. Adegoroye, Rapporteur: A. DeLong 47
5. A South American Country Example: Environmental Legislation Enforcement in
Mendoza, Experience and Challenges, J.L Puliafito , 51
6. Social-Economic Problems Experienced in Compliance and Enforcement in
Tanzania, W.M.K. Masilingi 63
7. 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 75
Papers 1 through 3 in Proceedings Volume 1.
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SUMMARY OF THEME #2: ENVIRONMENTAL ENFORCEMENT CHALLENGES
Moderator: Adegoke Adegoroye
Rapporteur: Ann DeLong
GOALS
Presentation of country-specific circumstances which gave rise to the (development of an
environmental enforcement program. Discussion of the issues that arose in organizing and designing
the program, what options were selected, and why. Issues of particular relevance to developing
countries, including economic and political uncertainty, level of support for environment, tradition of
enforcement and compliance, and limited human resources, were addressed ialong with ways to
overcome these obstacles.
1 PRESENTATIONS
Dr. Adegoke Adegoroye, Head of Enforcement and Inspectorate Department, Federal
Environmental Agency, Nigeria, presented an overview of the evolution of Nigeria's environmental
enforcement program to date. In the past, the government's efforts at environmental protection
focused on the protection of natural resources. However, with the highly publicized dumping of
hazardous waste in Nigeria in 1988, the government created a federal Environmental Protection
Agency and, the following year, instituted a national policy on environmental protection. Several
separate and distinct legislative acts were passed including the Harmful Waste Criminal Provisions
a\Act, pollution abatement regulations, and an Environmental Impact Assessment Act. An inspectorate
and enforcement department were formed with the following responsibilities: inspection; compliance
monitoring; chemicals and pesticide registration; toxic waste dump watch; permitting, licensing and
accreditation; and enforcement and litigation. Personnel were recruited and trained and technical
assistance has been provided by other countries and international organization including the United
States, Japan, Germany The Netherlands, England, UNEP and the World Bank.
Ongoing challenges faced by Nigeria's enforcement program include limited funding, lobbying
from powerful groups and individuals, interagency conflicts and political instability. In conclusion, Mr.
Adegoroye stated that government commitment for funding and support, stable leadership, clear
environmental mandates, requests for technical assistance, cooperation with line agencies, and
employing strategies that will earn respect from industry are all necessary for their enforcement effort
to be effective.
Mr. Jose Luis Puliafito, Director of Environmental Sanitation and Supervision, Ministry of
Environment, Argentina, presented a chronology and summary of the development of environmental
legislation in Mendoza province. Argentina's federal Ministry of Environment was established in 1985
and Mendoza province established its own department in 1990. The main issues the department
deals with include stationary and mobile source air pollution, domestic solid waste, dangerous
residues, industrial water pollution, oil production and mining exploitation. An approach was
developed which included providing both a legal framework and an implementation strategy to deal
with these problems. An environmental control plan, which outlines requirements for the
administration, sanitation and decontamination, development and operation of business was
developed. A monitoring and inspections program was also put in place. Continuing challenges
include resolving conflicts concerning interjurisdictional relations, conflicts of authority between
municipalities and provincial decentralized agencies, and providing effective environmental control
via legislative enforcement.
Mr. Zbigniew Kamienski, Director of the Control Department, State Inspectorate for
Environmental Protection, Poland, presented a summary of their enforcement task force's ongoing
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process to upgrade Poland's environmental enforcement procedures. His paper focused on the
current mechanisms for enforcement response, the drawbacks of those mechanisms, and
recommendations for solution. The task force began by analyzing foreign environmental protection
laws, including those from the United States and the EC, to determine what might be adapted to the
Polish situation to provide for more effective environmental enforcement. Changes have been
proposed in the system for imposition and collection of fines, and to include negotiation between
government and industry in the enforcement process. The proposal includes the introduction of
compliance schedules, however, the task force wants to proceed carefully to avoid problems. A
procedure for establishing who can request a compliance schedule needs to be devised, along with
the compliance period, criteria for determining what activities must take place during that timeframe,
the method of enforcement when the obligations are not met, and what type of sanctions should be
imposed. Environmental fees need to be more flexible (currently they all go to the environmental fund)
so they can also be sued for injunctive relief. Using the process of negotiation for implementing
compliance schedules is controversial in Poland and is one of the most significant changes being
proposed. These proposed changes are currently under discussion in the Ministry of Environmental
Protection and Natural Resources.
2 OPEN DISCUSSION
In response to a question, Mr. Puliafito stated that the laws in Mendoza province primarily
address the allocation and preservation of natural resources and that disease epidemics and adverse
public health effects were one of the catalysts for the formation of the environmental department in
Mendoza.
A representative from an NGO in Colombia stated that citizen suits are allowed under their
civil code and that citizens can request damages and injunctions.
A participant from Curasao asked Mr. Adegoroye what enforcement efforts were taken in the
hazardous waste dumping case and how it was discovered. Mr. Adegoroye responded that several
waste problems had been brought to the attention of the military government and that hazardous
waste had already been accepted into Nigeria through a false construction company.
Ed Lowry from the United States asked all the panelists to discuss how they have resolved
conflicts with their agency's authorities for environmental problems, and how to persuade industry,
the courts, and citizens to impose penalties that are high enough to have a deterrent effect. Mr.
Puliafito responded that in Argentina, the national consciousness of environmental problems is not
high enough to support a wide scale national enforcement program. In Mendoza, however, high
penalties and fees have been imposed because many industries had significant environmental
problems. He estimated that it will take more than 5 years to get an overall, national enforcement
program in place. Mr. Adegoroye replied that in Nigeria, the initial penalties were very stiff and
imprisonment was allowed for owners and operators. He also stated that the environment agency
was initially parastitial to the Ministry, and that it did not have enough authority over other Ministries
who also had jurisdiction over environmental problems. The agency was then elevated to the level
of the President's office and, therefore, had jurisdiction over all affected Ministries. An interministerial
group was then formed to let them know about the new environmental act and to get other Ministries
to send all new laws through them for review.
Liliana Maslarova from Bulgaria asked Mr. Kamienski how environmental user fees are
determined. Mr. Kamienski replied that in Poland, all users are required to pay fees and that the rates
are established in their environmental law. Higher rates of pollution means they must pay higher fees.
The fees are calculated by an administrative office, and are recalculated for each business each year.
In response to a question, Mr. Puliafito explained that, at the federal level, Argentina has a
department of environment within the Ministry of Health. The weakness of this approach is that many
issues (i.e. mining) are not able to be addressed within this organizational structure. Fines are used
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to change industry behavior and each type of industry was studied to see what type of environmental
improvements would be necessary to achieve ambient standards.
A participant from Tanzania asked how to deal with the question of fines arid fees particularly
where you have local and multinational corporations in the same place. The panel responded that
the issue should not be local industry vs. multinationals, but who is polluting the most, and fees
should be in relation to the amount of pollution generated.
3 CONCLUSIONS
In order to effectively carry out an environmental enforcement program, stable leadership with
a strong commitment to providing funding and support and clear environmental mandates is
necessary. It is also necessary to have an environmental policy to achieve results. Elevating
environmental organizations to the level of a Ministry to get better visibility and better emphasis on
environmental issues and to avoid interagency conflicts is helpful, however, each country needs to
seek its own solution to this problem.
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A SOUTH AMERICAN COUNTRY EXAMPLE: ENVIRONMENTAL LEG1STATION
ENFORCEMENT IN MENDOZA, EXPERIENCE AND CHALLENGES
PULIAFITO, JOSE LUIS
Director of Environmental Control of the Province of Mendoza lEMA-Universidad d& Mendoza,
Aristides Villanueva 775- (5500) Mendoza, Argentina :
SUMMARY
In the present paper both the state of development of environmental protection in the Province
of Mendoza, Argentine Republic, and efforts towards enforcement of legislation on the subject are
discussed. To that end, there are first described the geographic-cultural circumstances of
mendocinian society, thus historically justifying the evolution leading to the creation of the Ministry of
Environment in 1989. This administrative structure is analyzed in light of the process for its
development and of present experience, from the legal institutional point of view and its associated
problems as well as from the formulations, progresses and difficulties encountered in the enforcement
program of the new environmental legislation. Finally, the challenges to be borne in mind in the
environmental protection consolidation process for the provincial territory are posed.
1 INTRODUCTION
The Province of Mendoza, located west of the national territory, and adjoining the Andes
Mountain Range, is one of 23 provinces making up the Argentine Republic. Its most distinctive feature
is that most of its territory—about some 250.000 Km2—is either arid or semiarid, with annual rainfalls
in the range of 220mm., the main exception being the man-made oases (Northern Oasis, Central
Oasis and Southern Oasis) which have developed through the exploitation for irrigation and potability
of its main five rivers, all of them with annual modules lower than 50m3 where almost the totality of
mendocinians live. The total irrigated oases area does not exceed 3% of the provincial territory and
is equivalent to that of the Great Buenos Aires Metropolitan Area. Almost 70% of Meindoza's population
is located in the Northern Oasis—the largest of them—a region where Mendoza Metropolitan Area
is situated with its 815,000 inhabitants, a population concentration ranking fourth amongst the
Argentine cities.
1.1 ' Mendocinian culture and environment
In spite of the fact that one of the main productive activities of the Oases is agroindustry—wine,
oils, vegetables and fruits amongst other products—it is not possible to distinguishes it is for example
in the Argentine Humid Pampa (Pampa Humeda), a clear transition between rureil and metropolitan
areas, but instead urban and quasi- urban scale human interactions, making it more similar to
European regions. Mendocinian culture is then an oasis culture, forged in the need for managing
limitted resources—fundamentally space and water—thus preserving and developing a propitious
habitat based over a steady effort. Therefore, environment preservation as a political objective of the
Province of Mendoza, is not an occasional phenomenon, an accidental fact, but instead is the
consequence of a long cultural, Provincial history, truly based process. (1)
The 1884 General Water Law—still in force—and the creation of the General Irrigation
Department through the 1916 Provincial Constitution as extrapowers body and responsible for
irrigation water resource management subjects, are a clear example of the aforesaid, and probably,
together with the settling of part of the large immigratory flow coming from Europe, are to a great
extent the cause of the productive development held the end of last century to date. Likewise, urban
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development of its principal district acknowledges through sanitary—environmental measures
fostered by Emilia Con/, Carlos Thays and Emilio CM—as representatives of the visionary end of the
century's generation—the genesis of an environmental-civic culture, being the creation of General
San Martfn Park Law 19, 1896—and public trees fostering—two milestones strongly projecting onto
our days. Mendocinian culture is also identified, with its trees and green spaces, as a biotechnological
way of moderating climatic harshness and improving urban life quality. The success of the beginning
of the century's environmental model is certainly based upon having arranged reasonable,
economically viable measures which met great acceptance within the population. However, it is
essential to point out that launching of such model responds to a crisis-catharsis mechanism, that
is, a set of reactions to great eco-catastrophes being characterized by productive deterioration and
emigration and mortality caused by the 1861 earthquake and great end of the century epidemics.
1.2 The beginning of the century environmental crisis model
During the second half of the century, and while productive and socio-cultural complexity in
our Province was growing, new legislation and administrative measures were incorporated, as was
sectorwise protection of natural resources. They were attempts to stop increasing conflicts which
were beginning to appear in the urban, industrial, rural and natural ecosystems spheres interfaces.
Environmental action is characterized during this stage by some features which are typical from the
increasing crisis: a fragile financial situation, lack of information, capacity and technological
investment, explosive development of urban districts due, to a great extent, to rural emigration, etc.
and, on the other hand, excessive expansion of state intervention as unique means of counteracting
increasing problems.
Take, as an example, water contamination: grounds on which Law 4479 as of 1980 stipulated
that Obras Sanitarias (Sanitary Works State Company) would exercise sanitary police together with
the Welfare Ministry, the Ministry of Economics, General Irrigation Department and Municipalities,
notwithstanding whatever 1884 Genaral Water Law has established and the police corresponding to
each practice (2). Such a dispersion of responsibility and authority goes with the increasing complexity
of environmental topics and with the increase in cases of unfulfillment of establised rules, the flatter
due to either police power weakening or else to associated economic matters.
1.3 A century later
With the increasing deterioration in quality of life, and progressive natural environment
degradation, both the initial model and sectorwise and by natural resource protection criterion reach
an evident exhaustion stage. Initially some ecologist groups, to which researchers and academic
units join later, alert to the problem thus finding a strong enough reason to impel to the restatement
of the course. The political ambit quickly incorporates environmental discussion into their action
guidelines and reacts in 1989 with the creation by Law 5.487 of the Ministry of Environment, City
Planning and Housing, at the request of the Provincial Executive Power headed by then by Governor
Bord6n. A century later, mendocinian society retakes environmental conception and begins to develop
an ecosystemic action modern concept where Provincial State bears the responsibility of
"Environmental Policy Formulation "(3).
The Ministry of Environment is the first of its kind in the country and it is an attempt to
homogenize efforts towards a unique and coordinated conception of State action about environment
protection (4). Unlike other Argentine Provinces which have incorporated environmental references
into their constitutional texts as amendments initiated around 1985, Mendoza Constitution remains
unchanged since 1916 and it does not expressly provide either the right to a healthy and balanced
environment or state and private responsibility for its preservation. For that reason, since the Ministry
is born more out of a real necessity than out of a declaration of principles—again the crisis-catharsis
mechanism is impelling to practical decision making—concrete results can possibly be expected
from such a foundation. To that respect it should be pointed out that notwithstanding international
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53
influence on the adopted political decisions, the Ministry fundamentally arises as a local response to
local problems, what is projected onto policy design and execution in their early years.
2 ENVIRONMENTAL MANAGEMENT AFTER MINISTRY CREATION
Per se creation of a Ministry of Environment does not either guarantee the existence of an
environmental policy or would answer for its execution. It should be born in mind, that as in the case
of Mendoza, new structure—not only administrative functional, but also legal and even political
conception—cohabits during a considerable transition period with the old one, there occurring several
conflicts whose solution, almost one by one, ends up molding the institutional identity. For this it can
be clearly distinguished a founding stage, which does not exhaust but starts with the formal creation
of the Ministry, which is followed by a consolidation stage demanding a general rearrangement; at
the beginning of the latter is where the present stage of the-still brief-ministry history can be placed.
(Four annual administrative fiscal years).
Presently, the Ministry of Environment, City Planning and Housing specifically concerns
an actually wide particular range of objectives, which could be basically grouped into
the following fields:
1. Environmental Information
2. Development and up-dating of legal, institutional and techno-economic instruments
for environmental protection.
3. Development of public environmental awareness.
4. Natural Flora and Fauna Preservation.
5. Environment Control and Sanitation.
6. Urban Regulation and Environmental Development.
7. Urban Services with direct environmental incidence (drinkable water, sewers, parks
and public transportation)
8. Housing
While the ministry has a direct jurisdiction (including the related policy power) over
some of these areas, over most of them it has instead a promotion and coordination
political responsibility, thus sharing the specific jurisdiction with other provincial,
decentralized or municipal bodies.
Several types of conflicts had to be faced. Among them, legal voids and incompatibilities,
jurisdictional coordination and competence (within the same provincial government, with self sufficient
bodies, with the National State and finally with the Municipalities), a poor environmental state of control
(with a deterioration of public awareness and a certain degree of general disbelief in state control
mechanisms) and, of course, resources limitations.
2.1 Legal rearrangement
From the very start of the Ministry, an arduous evaluation process of the existing legal system
and of the design of new and up-dating of existing legal instruments for compatibility took place.
Necessary unity and coherence of the environmental legislative system is achiesved through three
principles of provincial environmental policy...
a. Prevention: in the past legislation used to act mainly on consequences of
environmental deterioration and contamination. At present, it tries to act upon the
causes of such deterioration...
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WATBl
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Figure 1. Environmental juridic structure.
b. Participation: quality of life is both objective and subjective. Its concept is thus
integrated by historical, cultural and social considerations typical of each people.
For this, both its protection and improvement do require permanent consultation .
with population so as to know their hopes and experiences.
c. Political and technical cooperation: technical cooperation is substantial in ;
environmental problem solving. This new insight into the need for interdependence
demands an interdisciplinary effort to search for solutions to environmental \
problems drawing upon different scientific specialities contributions (5).
Under this conception the sanction of important acts during the 1991-1993 period was
achieved. Environment Preservation Law N°5961 unifies the new system through different1 legal
institutes, such as Principles of Environmental Policy, Environmental Report and Plan, Environment
Provincial Council, Jurisdictional Protection of Diffuse Interests and Environmental Impact Evaluation.
It should be added: Law 5.917 in agreement with Dangerous Residues National Law N° 24.051,
Institutional Rearrangement of Sanitation Services and Drinkable Water and Water Quality Protection
Law N° 6.044, and the Law 6.045 institutionalizing a System for Natural Protected Areas, adopting
the International Union Classification for Nature Conservation (6). The practice of new environmental
legislation and re-interpretation of existing laws shapes a framework whose structure tends to
consolidate according to chart in Fig. 1.
2.2 Institutional rearrangement
A second topic that demanded a practically parallel effort to that of legal rearrangement has
been Provincial State administrative reorganization under the new Ministry to facilitate environmental
policy coordination. Added to its initial four Directorates, and one dependent autarchic entity structure
(Parks, Renewable Natural Resources, Environmental Urban Planning and Environmental Control, on
the one hand), (and Provincial Housing Institute on the other hand), was a fifth Directorate (Public
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55
r
Figure 2. Funcional and organic structure of the Ministry of Environment.
Transportation) and two decentralized entities more (Sanitary Works Mendoza: Obras Sanitarias
Mendoza (OSM) and the Provincial Trolleybuses Company). An up-dated organic- functional
representation of the Ministry can be seen in Fig. 2.
Reorganization is to be understood, on the other hand, from a wider criterion comprising
State reform in general; thus during 1993 sanctions were enacted towards Obras
Sanitarias transformation was achieved (aiming at private capital participation), and that
of Parks Directorate (Direccion de Parques) (the same turned into a self sufficient entity).
In the same transformation of OSM (Obras Sanitarias Mendoza) is comprised the
creation of EPAS (Water and Sanitation Provincial Entity = WSPE) whose task is both
to regulate new, fixed capital OSM operation as well as to become water quality
regulating entity, when taken as drinking water source. The latter may lead to design,
still pending, of both a legal as well as functional organization of hydrid management.
Likewise, a decentralization tendency is consolidated through specialized organizations
(governmental, non-governmental, mixed and even private) there reserving :tne political
role for a reduced, centralized, ministerial and very executive structure. Within the
foreseen reform projects, the Provincial Trolleybuses Company privatization can be
found together with the transformation into a self sufficient entity of the Transportation
Directorate (in charge of public transportation control and regulation).
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2.3 Interjurisdictional relations
Institutional and legal rearrangement brought about substantial change which would show
itself as a rearrangement of jurisdictional relationships between Provincial State and Municipalities,
National Autarchic Entities and the very National State. These rearrangements are now fully developed
and influencing the rest of the Ministry's relationships. A brief description may serve as an illustration:
2.3.1 With national or other provinces' jurisdictions
A broadly accepted interpretation, strongly supported by our Province, is that Art. 104 of the
National Constitution makes environmental regulation province-dependent. Such interpretation also
comprises Art. 128. Paragraph 19 of 1916 Mendoza Provincial Constitution. Likewise, if the potential
or effective reduction in the individual or collective right to a healthy environment arises from territories
exceeding one province, conflicts would be solved, either by the economic treaties stipulated by Art.
107 or else by the diplomatic jurisdiction ascribed to the Nation Supreme Court according to Art.
109, both from the National Constitution (7). So, a first treaty was subscribed in La Rioja Province
during 1990. During 1993, 17 provincial governments founded the Environment Federal Council
(COFEMA), approved by Mendoza by Law 5803. The evidence that the present discussion issue in
not closed can be found by the Nation's sanction, issue or enforcement of acts or legal provisions
which would either partially or totally invade provincial jurisdiction. Mentioning three cases will be
enough: :
1. Dangerous Residues National Law 24051: according to the aforesaid, it should
only regulate upon the interprovintial transportation of the same, or upon their
exportation and importation to the National territory. Instead, the same unduly
absorbs civil and penal competences both legalizing and penalizing dangerous
residues generation and final disposal.
2. Resolution 105 from Nation Energy Secretariat: technical rules are issued by the
same regulating "up-stream" oil production environmental impact, being the
Secretariat the control body. :
3. National Decree- law 22477/56 and its modification by National Law 22246 creating
Atomic Energy National Commission (CNEA): By the same it is established that ,
the regulation and control authority regarding radioactive material throughout the
national territory is the CNEA. Apart from the above said, the main producer,
manipulator and user of such materials is the very CNEA, which is in charge of
nuclear energy generation and uranium minerals exploitation.
At the request of the Environment Ministry, Mendoza Province has attempted to solve these
conflicts either supporting national legislation (case 1) or incorporating national regulations (case 2)
or establishing special agreements under penalty of denouncing the existing ones (case 3) .The
support or national ruling incorporation however, is not necessarily wholly performed, with the
Province's reservation of specific locally conditioned regulations.
It should be mentioned, however, that the counterpart of the above mentioned position takes
place when the Provinces, making use of their autonomous powers, do not regulate or apply their
proper equivalent legislations so as to prevent their own or interprovincial resources degradation.
COFEMA mechanism and that of the interprovincial basins agreements (as in the case of Colorado
River, where Mendoza, together with other four provinces—Buenos Aire, NeuqueYi, La Pampa y Rio
Negro—constitutes the Interprovintial Committee for the Colorado River- COIRCO), should solve in
Mendoza Province's criterion at least an important part of potential conflicts.
The case may be quoted of an important oil company located in NeuquSn Province
limiting with the south of Mendoza through Colorado River, which requested saline
waters overturn permit in the mendocinian provincial territory. Said waters were a
product of oil exploitation of a field shared with Mendoza but mostly neuquenian
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(almost in a 90%) so as to prevent Rio Colorado contamination to which Mendoza is
jointly obliged together with the other provinces of the COIRCO. In sipite of the
pressures from the Basin Committee and from national authorities towards Mendoza's
acceptance for such proposal, Province Government, through Ministery
recommendation denied such permit and indirectly forced the oil company to begin
reinjection works on the Neuquenian side, the same demanding a very strong
investment. Upon establishment of a foreign residues non-importation principle, the
Province also indirectly strengthened a much more rigid monitoring and control
mechanism of the oil companies' either systematic or accidental overturns in said
river. This question, on the other hand, forces the Province to carry to an extreme the
means for the companies—this time located on the own border or on affluents of the
interprovincial hydric resource originating in Mendoza- to prevent overturns and be
subject to an early warning monitoring system permanently reporting to the COIRCO.
An important limitation upon such mechanisms, however, arises if a potential laxity upon
application-in some provinces-of rules agreed upon within COFEMA, generates differential costs
delaying the others's development-which do apply such rules-in the long term. Towards compensation
of these last effects, Mendoza has additionally impelled the establishment of general regional
agreements, as for example with neighboring provinces (San Juan, San Luis and La Rioja) through
Nuevo Cuyo Covenant (Pacto del Nuevo Cuyo).
2.3.2 With municipalities and provincial decentralized entities
Municipalities are regulated in Mendoza through the Municipal Organic Law N° 1079, where
among other things competences and powers are set. Unlike other provinces (espscially those having
lately amended their Provincial Constitutions), Mendocinian Municipalities are not autonomous but
instead are self sufficient entities, which theoretically implies that objectives and responsibilities related
to environmental action, remain subject to what the Province may suggest, through constitutional
powers deals with environment preservation and protection. However, due to different practical
reasons but also to a great extent due to historical municipal claims, there is in fact a tendency
towards greater decentralization. The positive effects decentralization may have are opposed to the
potential jurisdiction conflicts that are beginning to turn up, and are increased due to incongruence
amongst territorial divisions and commonly accepted ecosystemic regions. That is why it is not risky
to think that a great deal of urban environmental problems -new wrongly located industrial settlements,
poor facilities environmental control, traffic congestions, etc., may have precisely originated in political
and policy power "diffusion" within the different municipalities and provincial decentralized entities.
Thus, and from its very creation, the Environment Ministry has faced the urgent need for reacquiring
the scattered environmental political power for the Province, without weakening the decentralization
objective. This has normally implied that in general terms the Ministry induces coordination, either
through (1) multijurisdictional covenants formalization (implying either technical or financial support
by means of specific purpose subsidies or else establishing joint legal actions against control object)
or (2) by means of summoning provincial authority to make them exercise their specific policy power
for every particular case, within the technical instructions framework issued by the corresponding
ministerial bureau. In the particular case of the General Department of Irrigation—a special self
sufficient body—it is likewise: thus regularly implying a partial agreements complex process while
establishing joint issues coordination.
3 ENVIRONMENTAL CONTROL AND ENVIRONMENTAL LEGISLATION ENFORCEMENT
Within the above described framework, tasks carried out by the Ministry have also undergone
an equivalent evolution. A first stage is characterized by promotion, control and correction actions to
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strengthen institutional presence, both at the citizen level as well as in the same government there
followed another type where objectives are restated under a more strategical and integral concept.
In spite of the fact that these actions have dealt with basic structural defict and public demand on
the subject, keeping initiative in new fields has been searched for, using it not only on preventive
basis, but also and fundamentally, as a ministerial policy governing principles establishment tool.
Each Ministry area has been shaping through its own action a part of this layout, thus defining in
practice the basis of a provincial environmental plan. The definitive institutionalization, foreseen by
Environment Preservation Act, is a recently initiated process and which will surely take the whole 1994
year-
Thai basically implies formulation of a preliminary document, a wide consultation process,
including the Environment Council, sectorwise scientific and academic groups and even citizens in
particular through public hearing, until a final documentation after political consensus which only then
may be raised to Provincial Congress. Its approval generates the obligation to the Ministry of annually
raising the Provincial Environmental Report, an instrument on which all government actions must be
based, and to which the private ones must refer.
Even though the different Ministry agencies are to a certain extent differentiate on a task
organization basis, environment preservation is complementary for equivalent functions- according
to whatever the primary interest area may be. It has been the responsibility of the Environmental
Control and Sanitation Directorate, in the widest sense, to coordinate efforts towards reduction and
control of every type of produced contamination. The set of policies and action programs in that
respect, shape in practice an Environmental Control Plan which horizontally cuts across general
ministerial plan areas.
Environmental control policies implementation requires periodical planning evidenced by
action management (the Administration Program), direct or indirect intervention in the environment
(the Sanitation and Decontamination Program), promotion and development of new methods to
prevent contamination (Development Program), or else as vigilance so as to keep contamination
restricted (the Operations Program).
Since it is a matter of supervision aiming at the past, present and future of the |
environmental situation, only the continuous and joint execution of such programs
within a predefined political framework can fulfill environmental legislation. Thus, each
environmental control policy requires not only the corresponding legal framework but
also actions which, to become viable, must be methodically executed through such
programs.
It is the Operations Program in particular comprising monitoring, facilities inspections, analysis
and penalization actions, which concentrates on the present environmental situation. It directly applies
to ones own jurisdiction, or indirectly through the policy effecting corresponding institutions.
Regional environmental control started out from relatively low levels as of ministerial action.
It has been a challenge, how to raise such levels within the framework of the evolving legal-institutional
situation having such a wide range of problems to attack. The economic situation has been influential
in preventing abrupt and generalized application of the new rules or of the ones already in force.
Only recently since national economic rearrangement have negative economic pressures seem to
have weakened to a certain extent. Thus, consideration of the relative importance of the environmental
problem, the degree of the attainable public impact and finally, the possibilities of success. It should
be mentioned, however that the decisions to open more than one parallel track, has been based not
as much on available means in the organization—either legal, institutional, human or financial-
technical—but instead on the need for establishing the soonest possible action at a public level from
the ministerial group, as well as in distributing the official pressures to act.
As a consequence, enforcement of environmental legislation and environmental '
control itself, in its widest sense is not always present in a transition process like the :
one the Province is living. Even when it is obvious that they cannot oppose or that
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sooner or later the second one should include the first one. Maybe this is the main
reason why the environmental legislation general implementation level (regulations) is
comparatively less developed than the laws it derives from, or than the same particular
implementation level. (See Fig.1). They are then two currents of convergent actions,
the one setting the legal framework and the other generating the particular
implementation framework and only then is the individual subject to control affected.
This movement leads, if successful, to bi or multipartite covenants whose fulfillment
should be surveyed. The sum of resolved cases in time, either by their amount or by
their importance or both makes the genera! application of law and its particular
regulations viable.
A discussion follows about the state of evolution of the main current topics and policies related
to environmental control in the Province.
3.1 Main environmental control issues and policies in the province
Among the eleven major environmental control policies adopted, it is important to briefly
describe—how environmental legislation enforcement evolves—the following sevem mainly related to
pollution reduction and control. i
3.1.1 Atmospheric pollution by mobile sources
Due to meteorological conditions and to pollution concentration, air pollution is a problem confined
to Great Mendoza Metropolitan Area. Its main pollutant is suspension particles originating mainly in diesel
engine vehicles emissions. Emissions originating in gasoline engine vehicles are increasing levels of
hydrocarbons and oxides of nitrogen, and consequently, occurrence frequency of photochemical smog
but these for the moment still are a lesser concern than the first one. Reduction and control policy comprise
strategies such as public transportation reorganization (increase in electrified portion, natural compressed
gas conversion and emissions post-treatment, journeys rationalization, etc.), urban traffic arrangement and
green spaces enlargement in the city. Other strategies include lead free gasoline use promotion, catalytic
agents use by gasoline engine vehicles and compulsory periodical technical supervision of vehicles
beginning with public and cargo transportation. Unification of municipal rules (which up to date are
responsible for private vehicles emissions control in public thoroughfare), and for adoption of international
emission rules for new vehicles and fuel quality (EURO I y II) are central problems to solve in the very
short term. Coordination with national and municipal jurisdictions represents the main present drawback.
3.1.2 Pollution by urban solid domestic residues
Once again the Metropolitan Area is the main focus of attention (with nearly 200,000 annual
tons), though not exclusive since there are another two population concentrations in the Province of
about 200,000 inhabitants, and several ones of a lesser scale. The problem is the incorrect final
residue disposal, which generates an increasing hydrid pollution of underground layers of water and
occurrence of clandestine dumping places. Reduction and corresponding control policy is
concentrated on the immediate problem solving, from garbage adequate treatment and recycling of
the same, thus promoting differentiated collecting methods. For this, all Metropolitan Area
Municipalities have been integrated into a Integral Managing System by means of a multijurisdictional
covenant amongst the same and the Ministery, meanwhile promoting the creation of other similar
though smaller or monomunicipal systems. Amongst other things, such covenants grant important
subsidies and set specific guidelines for collection, concentration and treatment and final disposal
of residues. In particular, an effort is made towards control and deactivation of clandestine or
unauthorized municipal dumping places. Covenants fulfillment control and municipal and police
vigilance of clandestine overturns in unauthorized places is at the moment the main ministry concern
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there being foreseen in the medium term issue of rules reducing difficult treatment residues generation
or promoting recycled material use.
3.1.3 Contamination by dangerous and special residues
It is an issue that only recently has acquired its true central magnitude. Service, industrial and
hospital activities—amongst others—generate an amount close to 100,000 annual tons of special
and dangerous residues in the provincial ambit, which in general either lack a safe treatment or
directly are incorrectly arranged for through urban solid residues managing system, sewer system or
directly contaminate irrigation channel beds. As of sanction of Provincial Act on the subject matter
supporting national regulations, the Province has adopted a specific reduction and control policy
consisting in opening a compulsory record of generators, carriers and operators and granting each
generator condition a regularization term either by means of an situ treatment or else through said
operators treatment. Since it essential to generate an adequate operators offer for the foreseen
objective, and this offer depends on an exhaustive generators survey, the process has initiated by
means of a compulsory provisional record, which after this first phase becomes definitive, beginning
from this moment on, to be computed the regularization term. The call for enrollment has not met
the expected response, in spite of the public diffution, perhaps because few of them feel they are
comprised by that Act. Consequently, it was decided to summon and individually send forms to each
of the 10,000 main facilities, preclassifying them within a set generator category. In the event of
noncompliance, there officially proceeds definitive record, the same authorizing, after pertaining term,
to adopt measures towards transitory or definitive closing if its residues arrangement is inadequate.
A plan of parallel supervisions is executed so as to guarantee gathered information to be true.
3.1.4 Atmospheric pollution by fixed sources
It is a problem that may be considered for the moment practically restricted to industrial areas
adjancencies, in particular in the Metropolitan Area and very localized cases in other positions, except
under very unfavorable atmospheric conditions. The kind of pollution is basically related to particles,
smells and to a lesser extent to other compounds like sulphur. Control task has been mainly based
on environmental auditing produced by the Environmental Control Directorate and aiming at main
cases amongst which calcium carbide, ferromanganese, metallic silicium and cement factories. The
auditing consists in one or more surrounding air quality monitoring campaigns, emission correlation
and modelling, an analysis of emission producing factors and finally a technical recommendation for
treatment of the same. If the facility accepts the result and establishes a sanitation plan, a
quasi-agreement is de facto created, which, depending on the case importance may acquire or not
the form of an express covenant. Otherwise, a summon takes place through the corresponding
Municipality which holds the policy power to close the facility. Followed up cases evolution, including
legal conflicts, would evidence that this process is viable. Parallel, Environment Ministry has decided
to regulate emissions after Federal Rep. of Germany model, and establishing partial objectives in time.
3.1.5 Industrial water pollution
Water pollution is extended to the three mendocinian oases, affecting rivers and irrigation
channels. It mainly comes from small and medium companies. Among the most numerous food
product factories (mainly wineries and preserved food factories), alcohol factories, tannery and textile
factories. So far control and reduction policy has essentially based on two lines: enforcement by the
General Department of Irrigation and by Sanitation Special Projects for important facilities.
Notwithstanding the progress of these two lines, Ministry policy aims in the short term at operating
on special and dangerous residues, thus forcing separation and independent action of water effluents
total flow of dangerous substances. This is one of the most difficult problems to give a correct course
to and where results seem more uncertain. Reformulation of Waters Act in this sense is an issue that
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will demand special attention from environmental management in the very short term if policy does
not go ahead.
3.1.6 Contamination by oil exploitation
Mendoza is the main oil producer in Argentina with about 5,000,000 m3 per year. Fields
comprise a good share of provincial west, from north to southern boundary. Main contamination is
due to saline effluents whose volume is in some cases three times oil production. These effluents
contaminate both surface and subsurface hydric resources. Likewise, accidental oil spilling, as well
as exploration and exploitation tasks cause impacts on the surrounding environment, on wild animal
life or on cattle. Main factors are basically three: water-oil separation in large open sky water lagoons,
saline waters arrangement in poorly situated dams with high risks of breakage land infiltration, and
lack of oil pipelines proper maintenance. These factors make exploitation in northern fields specially
conflictive in relation to agricultural production and in those in the south that can affect the Colorado
River affluents (interprovincial hydric resource). In addition, inadequate exploration and exploitation
tasks practice and facilities abandonment increase the risk of local flora and fauna affectation. The
latter is of special importance in natural reservations frontier areas (Llancanelo and Payunia).
Reduction and control policy has been generating in two stages. The first stage has meant both a
complete survey and pertaining control supervisions. Starting as from there sanitation sites were
advised notwithstanding local legislation application. The end of this stage has coincided with
exploitation privatization. Companies are more receptive and concerned about environmental problem
as of privatization. A second inspection stage has begun with new regulations (under the Environment
Preservation and the Dangerous Residues Acts) which incorporated recently sianctioned national
rules. There, an oil situation record is created and a initial status report is demianded, from where
sanitation plans are drawn on the basis of existing regulations and ministerial technical instructions.
A periodical supervision plan by the Environmental Control Directorate, and the obligation from the
Company to report any accident within 24 hours as well as to submit the particular situation annual
report, shape the drawn control layout. In the case of southern fields with Colorado River potential
affectation, there exists a particularized mechanics including an early warning monitoring system and
contingency plans elaboration before any overturn accident. Explorations and new exploitations must
submit a previous environmental impact study and subject to a Public Hearing. This second stage
is in an advanced state of development and it includes a close cooperation bertween the General
Department of Irrigation and the Ministry. Infringements against sanitation or improver overturns are
sanctionable by one or the other jurisdiction as it may concern. The drawn application plan has good
possibilities of success.
3.1.7 Contamination by mining exploitation
There exist two main cases related to uranium minerals exploitation in chargie of Atomic Energy
National Commission. The first one is given by inadequate facilities abandonment where 500,000 tn
of mineral tales are arranged (Malargue) and the second one related to an open sty mine exploitation
(the main in the country) (Sierra Pintada). The Directorate has officially carried out auditings in both
cases and technically advised to adequately dispose in the first case and to carry caution measures
to an extreme in the second one. Conflicts- occurring have produced as a consequence a new
exploitation covenant, after which there is progress in both senses. This includes, more strict control
mechanisms, sanitation project elaboration in Malargue, and initiation of the first stage of
Environmental Impact Study in Sierra Pintada by means of an international advisor/ office, with a very
vast experience in the subject matter, and selected by both parties. Other cases involve new mining
exploitations such as potassium salts (also in Malargue and perhaps the main mining project in the
country), which must subject to environmental impact evaluation. So far, mechanics adopted in both
types of cases have produced positive results.
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4 CONCLUSIONS: CHALLENGES FOR THE FUTURE
Four years after its official initiation—through the creation of the Environment Ministry—the
second environmentalist wave in provincial history would seem to have reached an inflection point,
from which and with the expertise gained- can a notable development of public as well as private
actions be reasonably expected towards improvement and preservation of our provincial ecosystems.
For that it has been necessary not only to generate new legislation on the subject matter but also to
try different types of practical mechanisms—institutionally and tactically—which make application of
the same viable. The consolidation process of the environmental management legal-institutional
building will develop more and more in parallel with the greater or lesser capacity to achieve concrete
environmental results besides compatible with the Province economic development. The principal
challenges occurring in this sense ranges from interjurisdictions efforts and rules compatibilization
(towards the interior and exterior of our Province), passing on technical capacity increase (operative
and informative) typical of the State and of links with academic and scientific bodies, establishment
of a strong international cooperation, highly trained supervision network maintenance, etc., up to
substantial modifications both in state action structure as well as on the private one which permit to
foresee and react more quickly and with a better coordination before environmental challenges,
promoting in turn new financing ways to face the tasks it may demand. Probably a milestone in the
incoming stage be the Provincial Environmental Plan institutionalization, which, based on a deep,
sectorwise debate and reaching necessary public and political consensus, be suitable both for
idearium as well as for practical recipe to reach the expected concrete results. The necessary
seriousness and reliability will be achieved by supporting environmental control programs coherent
in terms of time and space.
REFERENCES
1. Rodriguez Salas et ^."Environmental Legislation in Mendoza" Eel. Idearium- Mendoza 1993 ISBN
950-624-053-1.
2. Moyano, Amflcar- The Law (La Ley)- year LVII N°115 ISSN 0024-1636, Buenos Aires, June 1993.
3. Act 5.487.
4. A speech from Gov. Bord6n to Provincial Legislature on 8-22-89.
5. Lafalla, Arturo, Minister of Environment 1992-1993, on "Environmental Legislation in Mendoza".
6. Source: Environmental Legislation in Mendoza).
7. Moyano. Amllcar, "Legal-Environmental Structure of Mendoza (Argentina) under Oil Industry Risk",
1993, unpublished, reserved for "La Ley" publications.
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SOCIAL - ECONOMIC PROBLEMS EXPERIENCED IN COMPLIANCE AND
ENFORCEMENT IN TANZANIA
MASILINGI, WILSON M.K.
Head Legal Division, National Environment Management Council, RO. Box 63154,
Dar es Salaam, Tanzania
SUMMARY
A general view of the socio-economic situation of Tanzania is given. Some statistical data on
the economy are provided. The illustrative prohibitive provisions of the Wildlife Conservation Act, 1974
are provided and their practical application discussed in the socio-economic context. The
enforcement machinery is analyzed and its capacity discussed in the light of some of the statistical
data available. Finally, the conclusion is offered together with recommendations.
ECONOMIC SITUATION IN TANZANIA
1.1 Introduction
For the law to succeed in achieving its objectives there must exist the necessary
pre-conditions: an economic, political and legal environment which allows the rules to be enforced
and obeyed; a clear government policy about the objectives pursued and the means of achieving
them; a social structure which is flexible enough to allow the regulations to operate such as common
economic and social interest or an equal access to opportunities; and, especially in the case of
protected areas, financial resources, an adequate infrastructure, including an eduction system, means
of communication and transportation which facilities optimum benefit.
It is important, therefore, to have a sufficient understanding of the socio-economic formation
of the society in question prior to developing the relevant law. Also the effective compliance and
enforcement depend heavily on the development of socio-economic capabilities of the people in the
society and implementing institutions which usually determine the success of the relevant piece of
legislation. The question of people participation, therefore, assumes immense significance in the
development of legislation which directly affect them. My analysis of socio-eiconomic problems
experienced in compliance and enforcement in Tanzania (1) proceed from the fore stated premises.
Tanzania is in the process of developing a framework or comprehensive legislation on
environmental protection. Currently, there are several sectoral pieces of legislation related to
environmental conservation. (2) But this paper analyses the socio-economic problems experienced
in compliance and enforcement of the Wildlife Conservation Act (3). It should be stressed however,
we did not analyze all the problems experienced in compliance and enforcement of all environmental
related legislation. There was not enough time to achieve that. Nonetheless!, it is our hope a
consideration of the Wildlife Conservation Act specifically, will serve as a concrete example to show
more clearly that social-economic factors influence environmental law compliance and enforcement
than making observations of a large number of legislation generally.
1.2 The economy
The country's economy is generally speaking very weak. Tanzania has a total area of 942,600
sq km and inland waters account for a significant 7% of the area. The preliminary analysis of 1988
census shows that population has increased from 17.5 million in 1978 to 22.5 million in 1988. In 1990
Tanzania's Gross Domestic Product (GDP) was equivalent to (US Dollars) $2,112 million, or only about
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$90 (US Dollars) per capita. Agriculture is the most significant sector and presently accounts for
almost 50% of GDP and engages nearly 80% of the Country's workforce (4).
1.2.1 External trade
The external trade and balance of payments between Tanzania and the rest of the wold in
1991/92 was not encouraging at all. By the end of June 1992 export earnings were about US $422.2
Million. Whereas for imports, goods worth about US $1,437.4 Million were imported. Therefore,
Government expenditure continue to exceed its revenue. For instance in 1991/92 recurrent revenue
was estimated to reach (Shillings) 153,930 million and expenditure (Shillings) 186,785 Millions. (5)
Agriculture is the most important sector in Tanzania's economy. It employs almost 80 per cent
of the Work force and accounts for about 50 per cent of the GDP and 75 per cent of foreign exchange
earnings. Hence, agricultural development continues to be the key determinant of Tanzania's
socio-economic development goals.
Tanzania's agriculture, however, is dominated by smallholders organized in some 8,000
villages, with an average holding of less than two hectares per family. A decline in yield per hectare
has been common to both food crops and cash crops. This dismal performance has led to the
inability of the country as a whole to achieve sectoral long term objectives of food security, sustainable
food self-sufficiency and increased foreign exchange earnings (6).
Livestock contributes about 10 per cent of GDP though it has the potential of contributing
more. This is made up of beef (4 percent); milk (3 percent); poultry and small livestock (3 percent).
The 1984 livestock census revealed that there were 13 Million cattle, 10 Million sheep and goats. The
major part of this herd is from the traditional sector while commercial sector accounted for about 7
percent of the milk, 1 percent red meat, 5 percent poultry meat and 80 percent of egg production.
In spite of the size of this national resource, ranking third in Africa, productivity is low. Consequently,
per capita consumption of animal protein in Tanzania is also low. Furthermore, levels of consumption
of red meat are declining as a result of increasing human population, increase in price of meat of
domesticated animals, a static livestock population, and declining animal productivity. Available
statistics indicate that the cattle population increased by 2.7 per cent per year from 1965 to 1978,
but only 0.7 per cent from 1978 to 1984. Overall there is believed to be little growth in numbers at
present but un-even regional distribution causes severe pressure on grazing resources in some areas
and, as a result, uncontrolled migrations from the over - grazed parts of the northern regions to the
south west continue (7).
Minerals and Industries do not contribute significantly to the national economy although
pollution problems arising from these sectors are on the increase (8).
1.2.2 Health
Tanzania has made fair progress in providing health facilities and services as well as training
various health personnel. The specific programmes and projects launched to enhance improved
health among the population are: The Maternal and Child Health and Family Planning; The Extended
Immunization, National Tuberculosis and Leprosy Control; The Diarrhoea Control; The Village Health
Water; The National AID Control; and the Malaria Control Programmes. Implementation of these
programmes is continuing. About 80 per cent of all children under five have been immunized against
six diseases (polio, measles, tetanus, diphtheria, tuberculosis and whooping caught) under two
programmes (9).
There are four major endemic nutritional deficiencies in Tanzania: Protein Energy
Undemutrition; Nutritional Anaemia; Iodine Deficiency Disorders; and Vitamin A Deficiency.. One
nation-wide survey showed that 25 per cent of the population suffered from protein anergy under
nutrition, whilst the incidence of this deficiency was estimated at 52 per cent amongst children under
five. Around 90 per cent of pregnant and lactating women are estimated to suffer from nutritional
anemia (10).
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The combination of poverty and increasing population concentrations contribute significantly
to the depletion of natural resources.
1.2.3 Biodiversity
The most threatened is biodiversity. Tanzania is one of the richest countries in Africa in
biodiversity. In terms of the number of mammal species, Tanzania ranks 4th out of the 48 countries
in the Afrotropical Realm; for birds it ranks 3rd; for Swallowtail butterflies 4th; and for plants it is 2nd
(11). The country is also very important for endemic species, that is species which are known not to
exist any where else. Forest resources comprise forests, Woodlands, grassland or savannah and
account for about 50% of total land area in Tanzania. The total forested area in Tanzania mainland is
distributed by type as follows:
Type of forest
Grassland or savannah
Mangrove forests
Woodlands
Total
(ha Million)
1.4
0.1
42.9
44.4
Proportion %
3.2
0.3
96.5
100.0
Source: Ministry of Tourism, Natural Resources and Environment.
According to the economic survey of 1989 the pattern of energy consumption reflects a high
dependence on woodfuel which accounts for 90% of calories of primary energy use.
1.2.4 Wildlife resource and tourism sector
The gazetted protected area network covers 25 per cent of Tanzania's: total area and is
comprised of National Parks, Game Reserves, game controlled areas and the Ngorongoro
conservation area. Wildlife resources have been used for consumptive and non-consumptive
purposes. The latter includes tourism, education and research. These resources generate income
from game ranching, tourist hunting and the export of wildlife products. However, most communities
living in close proximity to these protected areas, who actually ought to have directly benefitted from
this resource, have not benefitted much from the wildlife industry. Wildlife Conservation area in
Tanzania fall into five major categories, these are:
Management Categories
National parks
Ngorongoro conservation area
Game reserves
Game controlled areas (where wildlife
co-habits with the people)
Total
No. of
Units
12
1
18
55
86
Area
Million ha
3.8
0.8
9.7
9.0
23.3
% Total!
Land Use
4.1
0.9
10.4
9.6
25.0
Source: Ministiy of Tourism, Natural Resources and Environment.
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In addition, the following areas have been earmarked to become game reserves after the
government's sanction: Grummeti/Korongo in Mara, Swagaswaga and Mkungunero in Dodoma,
Muhesi in Singida, Handeni in Tanga, Rudi in Dodoma and Kijereshi in Mwanza.
1.2.5 Tourism
It is estimated that gross revenue earnings from wildlife in Tanzania is in the order of US $ 120
Million per year. This includes revenues earned from illegal offtake which is estimated to be US $ 50
Million per year. Total legal trade earnings are estimated to be US $ 70 Million per year and accrue
from formal industries such as consumptive tourism, live animal trade and the sale of ivory and other
trophies (12).
PROTECTED AREAS LEGAL REGIME
2.1 A brief historical perspective of protected areas
For Tanzania, then Tanganyika, the first legislation on protected areas, the Game Preservation
Ordinance Cap. 86 was promulgate on 16th December 1921. It declared certain areas to be partial
Game Reserves (Section 4 of Cap. 86). The difference being on the kind of restrictions imposed in
the management of the area concerned.
The Colonial Governor by order could declare any Area in Tanganyika territory to be a closed
Reserve in which except as otherwise might be prescribed, all persons were prohibited from hunting
any animal and into which no person might enter except for such purposes and on such conditions
as might be prescribed in the order of declaration or in the regulations made under the Ordinance
(Sub-section 4 of Section 4 of Cap 86). Many orders and regulations were proclaimed by the Governor
to ensure the conservation of protected areas. Just to give a few examples, on 25th September 1929,
the Governor through his powers under Section 4 of cap 86 declared by order a large area marking
western Serengeti as a complete Reserve area (Government Notice No. 177 of 1929). Hunting and
photographing was prohibited except under the Provincial Commissioner's written permit in addition
to any other license or permit required by the Ordinance. In early 1936, Ngorongoro Crater was made
a complete Reserve, extending further the limits of the Reserve so as to include the area bounded
by a line drawn round the rim of the Crater and distant one mile therefrom (G.N. No. 10 of 1936). In
August 1940, another colonial legislation namely the Game Ordinance (Cap. 159) Game into
operation. The Ordinance authorized the Governor with the consent of the legislative Council to
declare any area to be a National Park and in the like manner define or alter its limits. Under this
Ordinance it was unlawful to enter or reside in a Park except for public officers on duty, persons
travelling through the park along a public highway; and the dependant and servant of such a person
(Section 6 of Cap. 159). No person was allowed to hunt in a national park and it was unlawful to
cause any bush or grass fire in a national park (Section 9, 10 and 11).
2.2 The Wildlife Conservation Act
The Wildlife Conservation Act, 1974 repealed and replaced the Fauna Conservation Ordinance
Cap. 302 also a colonial legislation and made provisions for the protection, conservation, development
regulation and control the utilization of Fauna and Fauna products.
The Act defines the Conservation area (Section 2i) as including a game reserve established
under the same Act, a national park established under the National Parks Ordinance; the Ngorongoro
Conservation Area established by the Ngorongoro Conservation Area Ordinance and a forest reserve
established under Forest Ordinance. Under the Wildlife Conservation Act, 1974 the President, as was
the Colonial Governor, is empowered to declare any area of Tanzania to be a game reserve (Section
5). No legal duty is imposed on the President to consult any body including the Parliament.
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The Act provides that no person other than a person whose place of ordinary residence is
within the reserve; or a person travelling through the reserve along a highway shall enter a game
reserve except by and in accordance with the written authority of the Director previously sought and
obtained. Any person who contravenes the said provision or contravenes any condition attached to
any authority granted thereunder is liable on conviction to a fine not exceeding five thousand shillings
or to imprisonment for a term not exceeding six months or to both such fine and such imprisonment
(Section 7).
The Act further provides that no person shall, be in possession of a firearm or bow or arrow
in a game reserve without the written permission of the Director previously sought and obtained. Any
person who contravenes this provision is guilty of an offence and is liable on conviction to a fine not
exceeding five thousand shillings or to imprisonment for a term not exceeding twelve months or to
both such fine and such imprisonment (Section 8). It is also an offence to hunt or wilfully or negligently
cause any bush or grass fire, or fell cut, burn, injure or remove any standing trees, shrub, bush,
sapling, seedling or any part thereof in a game reserve except by and in accordance with the written
permission previously sought and obtained of the Director as well as if any part of the game reserve
is included in a forest reserve, the due approval of Director for of Forestry or his duly authorized
representative. (Section 9 and 10.) The Act further, inter alia, provides that no person shall, save with
the written permission of the Director previously sought and obtained hunt or graze any livestock in
any game reserve.
The spirit of the Act fails in a great measure to recognize the traditional essential uses of
resources in protected areas. Hence the Act which was passed by post independence parliament in
1974 maintained the colonial attitude of considering the traditional hunting rights as illegal. Baldus,
a researcher in the field underscored the point saying:
"Colonial legislation labelled hunting rights as illegal. But for a tribesman it was difficult
to understand why his hunting for meat was poaching, whereas town people were
hunting for a full bag of trophy and meat in his communal area. This, could be called
conservation against the people" (Baldus, 1987) (13).
A Senior Game Officer Kamara, B identifies more than ten important traditional uses of wildlife
parts and derivative, namely, food, medicinal, ornamental, dances and arts, religious ceremonies,
fishing and hunting charms (Kamara 1987) (14). The demand for such uses exhibits itself in many
tribes neighboring protected areas, to the extent that enforcing the law against entry into protected
areas without permission from the Director becomes absurd to them.
The strict liability imposed in the Act is explained clearly by the High Court decision in the
case of Selerin Mfiringe V Republic where the accused was charged for being found in the game
reserve without permission. The High Court Judge on appeal held that
"The appellant is clearly not a person who has wilfully violated the game law (if indeed
any violation has been proved) but any act which he performed, I am satisfied, was
done in complete innocence. That however is not a question in this appeal, for I view
the matter as one of complete prohibition and no question of mens rea affects the
issue".
Therefore under the game law one commits an offence even if his presence in the game
reserve is an innocent one, such as, not understanding the boundaries of the same.
Hence, the anti-poaching campaign covers 'poachers' (traditional hunters) and "poachers"
(illegal commercial hunters.) Yet the anti-poaching offensives have included a shoot to kill policy for
game wardens, police and special army units when they came into contact with poachers. Many
wardens have been killed or wounded in pitched battles with groups of poachers, who often have
automatic weapons or submachine - guns compared to the bolt - action rifles of the Game Wardens.
(15).
The anti-poaching campaigns had both social and economic problems as the then Director
of Wildlife was reported to have appealed to the International Community to assist Tanzania to fight
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poachers because efforts by the Government could not work effectively. He said that between June
1989 and July 1990 Tanzania used Tshs. 789,250,0007= in fighting poachers during "Operation uhai",
'uhai1 is a swahili word which means life (16).
Nonetheless, neither "poaching" nor "a poacher" is defined under the Wildlife Conservation
Act. But "trophy" which is the target of poachers is defined to mean "ivory, rhinoceros horn,
hippopotamus, animal tusks, animal horns and skin of any game animal and; "manufactured trophy"
means any article made from any of the foregoing trophies or from any tooth, tusk, horn, bone, claw,
hoof, hair, feather, egg or other durable portion whatsoever of any animal" (Section 58). But killing a
wild animal in defence of human life or property is allowed. However, this permission does not cover
cases where the behaviour of the animal necessitating such killing is the result of molestation or
defended provocation by or with the knowledge of the person killing such animal; or the person killing
such animal or the person whose life or property is being defended was, when such defense became
necessary, committing an act which constitutes an offence under this Act (Section 50).
This can be interpreted to mean that a person who defends himself in the game reserved is
likely not to be covered by the permission to kill in self defense or defense of another.
According to reports 49 people died in Mtwara (29 people) and Morogoro (20 people) regions
after being attacked by wild animals between June, 1989 and June 1990. According to reports
submitted, most of the victims were killed by lions, elephants, crocodiles and snakes (17). The reports,
however, do not disclose the number of people killed in game reserves and those killed outside game
reserves.
During the period between 1st July 1992 - 30th June 1993, 60 people were killed by wild
animals and 64 people were seriously injured. Regions reporting many deaths are Arusha, Mtwara,
Kilimanjaro and Kagera Regions. The report further states that 71 cows, 140 goods, 45 sheep and
17 pigs were killed by wild animals as well as 451 acres of plantations were destroyed by wild animals.
On the other hand wild animal killed in defence of human life or property according to the same
report, were 70 elephants, 36 lions, 75 crocodiles, 100 hippopotamus and 13 leopards. It states that
15 elephants were wounded (18).
Hunting permitted under the law do not recognize traditional weapons such as spears, arrows
and bows, yet local people cannot afford to acquire guns. Furthermore walking in National Parks is not
allowed, only motor vehicles are permitted. But many local people cannot afford to buy cars to visit National
Parks. Therefore compliance with the law becomes very difficult because local people are mainly hunters
who use dogs and traditional weapons for hunting which is prohibited under the law.
The Act further requires that any person who by any means obtains possession'of a
Government trophy or who sees any Government trophy in the possession of any other person shall
forthwith report such possession to the nearest Game Officer and shall, if required, deliver the trophy
to the Game officer or give particulars of the person in possession thereof (Section 68 (i)).
To comply with or enforce the aforesaid provision creates social problems. In some areas
wildlife remains (Government trophies) are used as medicine. In Mara Region for example people
believe that if you eat wild meat you live longer. Hence, any restriction to hunting cannot be supported
by the people there. Another example, is the Ikoma Tribe in Serengeti, Northern Tanzania's who
possess two Ivory Tusks of unknown age used for cultural praise locally known as (ZAO). The Ikoma
people are not prepared to surrender the said Ivory Tusks under any circumstances. :
Likewise complying with or enforcement of restrictions as to entering a game reserve creates
big problems. Game reserves are rich in vegetation which is used by the people for medicine. It is
practically difficult if not impossible to ensure that any body wishing to enter the protected area for
herbs should seek and obtain a written permission from the Director. Traditional healers work with
complicated beliefs which include secrecy. Therefore, seeking for permission to go for medicine, in
the belief of others affects the potency of the medicine. Local people continue to depend on folk
medicine and other alternative healing practices, that is to say, the traditional healers and traditional
birth attendants who use herbs largely obtained from protected areas. All categories of traditional
healers, namely herbalists, ritualists or spiritualists use protected areas for purposes of their business.
Almost all healers require a fee or receive a donation from their patients. There are many reasons
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why people continue to seek the help of traditional rather than more "Western" or "Modern" health
services. One of them is cultural or traditional healers on the belief that they have the ability to handle
a variety of physical, psycho-social and spiritual problems. Another is the inadequacy of essential
drugs. Of course, it is also significant that healers are members of their patients' communities and,
therefore, have intimate knowledge of their lives and their cultural milieu. Hence, enforcement of
Section 9 of the Act is very difficult.
Again some of the areas in the protected areas are grave yards of ancestors of people leaving
nearby and special places for worshiping. To control or regulate the entering into these areas for
purposes of worship cannot be accepted by the people.
In Tanzania, in Ngorongoro conservation Area, the Barabaig, to date
"still visit the bung'ed (a grave yard) of Gitangda in the Ngorongoro Crater, that
remains from the time they occupied the area before they were dislodged by the
Maasai over 100 year ago (Lane 1990) (19).
The law also creates problems for the people, for instance villagers of two villages separated
by a kilometre or so of a national park or game reserve, are forced to get around the boundary of a
national park or game reserve for several kilometres to reach each other. In Arusha National Park for
instance, the villages of Leguruki in the North - East of the Park and Kilinga in the South are separated
by less than five kilometres of the national park strip. However, since gazettement of the Park in 1960,
the inhabitants of the two villages have to cover about 85 kilometres around the park in order to reach
each other (NKO, 1992) (20).
Another instance, crossing the Selous Game Reserve from Mkuliro Ito llonga village in
Luombele which is 80 kilometres long is permitted once a month. So people at times are forced to
travelling long distance by getting to llonga Village via Dar-es-Salaam which is more than 460
kilometres away from Mkuliro. According to the Game officer in Selous Game Reserve, crossing the
Game Reserve is in many cases done for ritual purposes.
As correctly pointed out by Martin,
"A far better way to justify such protected areas to local communities is the argument
that they are baseline control areas, set aside for future generations which provide a
permanent record of original flora and fauna in the face of surrounding land use
changes. Tourism is totally a secondary function in the area. Peasant communities will
accept this argument for better than that which promises tourism revenue to a central
Government of which little ever percolates back to them in their remoteness" (Martin,
1984) (21).
Another quote full of wisdom is from Dr. Vandana Shiva which states as follows:
"Biodiversity Conservation cannot be ensured by world views, legal systems and
technologies which are on trampling the rights of other species/cultures, lit will not be
achieved by an unrestrained urge to own, control, manipulate and exploit life forms.
Action to protect life's diversity can only come from the spirit of sharing and
compassion from a larger vision and values". (Vandana Shiva 1993. (22).
For instance, the Conservation regime has resulted in the pastoralist of Northern Tanzania to
experience a steady shrinkage of their grazing land. Several prime grazing grounds; in the conservation
area were chosen for grazing and settlement, including the Ngorongoro, Empakaai and Olmoti
Craters, the Northern Highland Forest Reserve, the Cemakarot and Olosirwa mountain slopes, Oldivai
Gorge and the Laitola archaeological site. Enforcement of the ban on grass burning has resulted in
the expansion of unpalatable grasses like Eleusine Jaegeri in the highlands. Therefore, unpalatable
grass have expanded our the entire highland plateau suppressing the palatable grasses radically
reducing the dry season pastures. The spread of the fall, coarse grasses in the highlands, according
to experts, also led to an increase in the incidence of tick-borne diseases as ticks thrive in the fall,
moist highland grasses. This consequently affects cattle yields and the income of the pastoral people.
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As agriculture is prohibited in the conservation Area, the Ngorongoro Maasai are entirely dependent
on the purchase of grain the pastoralist are force to sell their livestock, thus further reducing the
productive capacities of their stock.
2.3 Budgetary constraints on enforcement
2.3.1 Personnel problem
The "Law enforcement and Anti-poaching Unit" in Wildlife Division does not have adequate
manpower due to budgetary constraints. The total manpower available at the moment is 1438
personnel who have the task of manning 186,000 square kilometres of protected areas excluding
Biharamulo and Rumanyika game reserves in Kagera Region. According to experts from the Wildlife
Division it requires one Game scout per 5 square kilometres in order to effectively protect the same.
Therefore, at least 36,000 Game Scouts are needed but due to economic problems facing the country
no more employment is allowed and transfers are strictly controlled. For the whole country, there are
122 professional game officers.
2.3.2 Equipment
The unit does not have adequate equipment due to lack of funds. No motor vehicles in the
Districts and there is one motor vehicle per region. This is not enough considering the fact that the
areas to be protected are enormous and roads are very poor. '•
The budgetary allocations for the Unit from 1991 to 1994 for example, is as follows (in
Tanzanian shillings):
July 1991 - June 1992
July 1993-June 1994
July 1993-June 1994
37,000,000
37,000,000
20,620,000
Money assigned for the job have continued to decrease both in figures and value in the light
of the national currency devaluation which have taken place.
However, in spite of all these problems the unit worked and continue to work very hard as
per their report on the patrols for the period between 1st July, 1992 to 30th June 1993.
Arrested poachers
Number of cases opened
Cases decided
Pending cases in court
Jailed poachers
Fined poachers
Acquitted poachers
Poachers who escaped
Total fine collected from cases (in
Tanzanian shillings)
Total value of government trophies saved
by the patrols (in Tanzanian shillings)
662
270
120
71
95
205
44
32
1,007,060
97,988,556
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Confiscated Equipment/Weapons.
Motor vehicles
Bicycles
Guns
Bullets
Locally made guns (gobore)
Wires used to catch animals
Bows
Arrows
Machete (panga)
Spears
Timber logs
Boats
Knives
Axe
4
17
9
7
32
5236
1217
5SI8
96
2:4
302:1
63
44
1
The kind of weapons confiscated from poachers tells much about the type of poachers which
were arrested. These are local people who use traditional tools for hunting. The commercial poachers
who use sophisticated weapons and who cause much harm to the wildlife always escape the Game
scouts and therefore the arm of law.
At a recent workshop on "Community Conservation" which was held in Dar-es-Salaam with
participants which included a few members of Parliament, experts with the Wildlife Department, the
Ngorongoro Conservation Area and the Tanzania National Park Authority (TANAPA) it was
recommended, inter alia, that Wildlife Conservation Programmes should lead to improve living
standards of people near reserved areas. It was observed during the workshop that people living near
or within protected areas would approach positively the concept of wildlife conservation a factor that
was likely to reduce the costs of protecting the game by enhancing communal responsibility (23).
3 CONCLUSION/RECOMMENDATION
The current legal regime on conservation areas or protected areas is focusing on the
protection of wildlife (game) and spectacular scenery for commercial recreational purposes. The
development of the law neglected the socio-economic dynamics underlying the phenomena of
compliance and enforcement. People living near or within protected areas were never involved in the
development of the law to enlist their cooperation in the conservation of the same. Of
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regime in order to effectively protect people's right and implement the sound participatory policy in
conservation. The amendments to the law should effect the departure from the traditional legal
inclination of relying heavily on sanctions including penal. Administrative and penal sanctions should
be resorted to as the ultimate weapon. The necessary mechanisms to enable the people benefit from
the national heritage in protected areas need to be legally established. People should have a say in
the affairs and activities of conservation authorities. Therefore, a machinery through which the
decisions of the conservators can be reviewed, challenged or appealed against by dissatisfied
individuals is necessary.
The experience has shown that inadequate capacity on the part of the governments,
particularly in developing countries, in terms of financial resources, manpower and equipment
contribute to unsuccessful enforcement of environment protection related legislation.
The International Community, therefore, should contribute adequately in terms of financial
resources and technology to enable governments in developing countries to enact and effectively
implement legislation which impose a high degree of responsibility on implementing authorities rather
than merely listing their responsibilities. The law should for instance, if financial resources and
equipment are available, provide that the implementing authority or institution should ensure that they
are equipped with highly competent environmental management capacities. The law should also
stipulate legal norms providing rights, duties and penalties to enforce efficient environmental
management. The implementing authorities should, for instance, bear responsibility for
non-compliance with the environmental legislation. This will compel constant follow up, evaluation
and monitoring of compliance bringing into reality the enforcement of sustainable development.
ENDNOTES AND REFERENCES
1. The United Republic of Tanzania is a union between mainland Tanzania, formerly Tanganyika, and
Zanzibar. The partners in the Union share a common foreign policy, defence policy and common
currency, the Tanzanian shilling, as well as a common governing party, Chama cha Mapinduzi
(CCM). However, 'internal1 affairs, including strategies for economic development, management
of natural resources and the environment as well as legal affairs, are dealt with independently
by two parallel sets of government institutions. For purposes of this papers, therefore, the'name
Tanzania is used to refer to Tanzania mainland only.
2. A few major legislation related to Environmental Protection
a. The Forests Ordinance Cap. 389.
b. The Wildlife Conservation Act, 1974.
c. The Water Utilization (Control and Regulation) Act, 1974.
d. The Fisheries Act, 1970.
e. The Mining Act, 1979.
f. The Petroleum (Exploration and Production) Act, 1980.
g. The Factory Ordinance Cap. 297.
h. The Public Health (Sewerage and Drainage) Ordinance Cap. 336.
i. The Town and Country Planning Ordinance Cap 378.
j. The Territorial Sea and Exclusive Economic Zone Act, 1989.
k. The Natural Resources Ordinance Cap. 259.
I. The Merchant Shipping Act, 1967.
m. The Food Control of Quality Act. 1978.
n. The Penal Code (Cap. 16) of the Revised Laws. :
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3. Act No. 12 of 1974.
4. National Report to the United Nations Conference on Environment and Development. (UNCED)
held in Rio de Janeiro, Brazil 1992.
5. The Economic Survey, 1991, Produced by: THE PLANNING COMMISSION, Dar-es-Salaam,
November 1992.
6. National Report to UNCED, 1992
7. Ibid.
8. Proposals for the National Conservation Strategy for Sustainable Development (NCSSD), National
Environment Management Council (NEMC), Dar-es-Salaam, 1994 (To be published reference)
9. National Report to UNCED, 1992
10. Ibid.
11. Ibid.
12. Ibid.
13. Dr. Rolf D. Baldus, Village Participation in Wildlife Management, Selous Game Reserve
Conservation Programme, Discussion Paper No. 4 Dar-es-Salaam, 1959.
14. Kamara B. A. 1989. The Integration of Wildlife Conservation and Village Land Use in Tanzania.
A paper presented at the National Workshop on Village Land Use Planning in Tanzania, 6 - 9
March, Dodoma, Tanzania.
15. Daily News Paper of 21st August 1989.
16. Daily News Paper of 1st October 1990.
17. Ibid. [
18. Department of Wildlife, Ministry of Tourism, Natural Resources and Environment, 1993
19. Lane, C. 1990 "Barabaig National Resource Management: Sustainable Land Use Under Threat
of Destruction" United Nations Research Institute for Social Development - Discussion Paper 12.
Geneva: UNRISD.
20. P Nko Personal Communications, Member of Parliament for Arumeru Easl: (unpublished
reference).
21. Martin, R.B. 1984 "Wildlife Human Interactions" In Conservation and Wildlife management in
Africa, Edited by Bell, R.H.V and Mcshanecaluz. Washington, DC US Peace Corps.
22. Dr. Vandana Shiva, Cultivating Biodiversity, From Reports to Action, Paper Presented at
Norway/UNEP Expert Conference on Biodiversity, Trondheim Norway 24-28 May 1993.
23. Daily News Paper of 14th February, 1994.
24. Serengeti Region Conservation Strategy (SRCS) 1991. A plan for Conservation and Development
in the Serengeti Region: Phase II Final Report; Phase III Action Plan. Dar-es-Salaam: Ministry of
Tourism, Natural Resources and Environment.
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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
TOLKACHEV, MIKHAIL V.
Deputy Minister, Russian Federation Ministry of Environmental Protection and Natural Resources
123812, GSP, Russia, Moscow, B. Gruzinskayaul.. 4/6
SUMMARY
The following is a brief overview of the current economic and ecological peculiarities of Russia.
Data on the structure of Russian Federation Ministry of Ecology and Natural Resources and its
activities are also provided.
Geological and Economic Expertise for Explored Resources is viewed as an enforcement
means for ecologically applicable subsurface development by the relevant usera.
1
INTRODUCTION
For about 60 years preceding the mid-'80s the economy of Russia (as an integral part of the
economy of the USSR) was ruthlessly planned by central government.
In the mid-'80s the economic system began to show signs of slow and piece-meal reconstruction.
The economic disproportion, which had been building up for years, surfaced early in the
current decade as an economic slump characterized by unmistakable hallmarks, such as:
• Reduced growth rate in the manufacturing industries.
• Pricing distortions and inflation.
• Fewer reliable sources of financing.
• Social distortions.
• Grave environmental problems.
'The transition to a democratic form of government and to a market-driven economy paved
the way to eliminating the above negative trends. The foregoing is a backdrop> against which the
current environmental problems should be viewed and some forward-looking environmental strategies
should be formulated by Russia.
2 BRIEF OVERVIEW OF ENVIRONMENTAL CONDITIONS
The Ministry of Environmental Protection and Natural Resources of the Russian Federation
(Attachment 1) and its 89 local divisions are government agencies duly authorized to deal with
environmental issues.
The Russian Ministry of the Environmental Protection and the local environmental protection
agencies representing Russia's administrative territories are working to implement the following
objectives:
• To integrate management and control processes while recognizing the environmental
and economic concerns of the people, to prudently use available natural resources; to
develop and enforce norms and standards for load levels on the environment.
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• To coordinate efforts in the area of environmental protection and conservation of
mineral and other resources.
• To conduct an integrated policy in science and technology.
• To improve the economic, legal, and administrative mechanisms.
• To assess commercial projects for environmental safety on behalf of the
government, to maintain environmental security and ecological monitoring.
• To manage Russia's natural reserves (a total of 76 reserves, sanctuaries, and
parks), to keep the "Red Book" - the Russian roster of endangered species.
• To assess and predict the quality of the environment, the availability of natural and
mineral resources, and biosphere processes.
• To develop, improve, and prudently use monitoring facilities, such as 1,200
monitoring stations in more than 330 cities - to monitor atmospheric pollution.
• International cooperation.
No economic or social reform can do without compliance with a definite set of ideas and values.
For the Russian Federation as a whole the most urgent problem is to clean up the environment
and the human habitat from gaseous, liquid, and solid waste discharged by the industries, transport,
agriculture, and utilities.
The one overwhelming priority is to clean up the areas suffering from radioactive pollution
(Chernobyl, the southern part of the Ural Mountains, Altai, the Yenisei river, and 17 northern territories
in European Russia, where Cesium^? pollution covers an area of nearly 60,000 km2), with the pollution
density in excess of 1 curie/km2. A similar radioactivity level can be observed in the areas of "peaceful"
subterranean nuclear blasts, some of which were made for the purposes of exploring for oil and gas,
as well as in the burial sites of radioactive wastes.
Another priority is the pollution of sources of fresh surface and ground water; one third of all
fresh water samples drawn from Russia's water basins (used for portable water supply) fail to meet
sanitary standards.
Almost one third of Russia's population inhabit areas where atmospheric pollution exceeds
safe standards. Add to that the depletion of forests and parks - our planet's lungs.
Other environmental concerns include the pollution, depletion, and erosion of soil,
decertification, and bogging of large areas.
Environmental safety is a significant component of national security, which principle is
inscribed in the law "On The Protection Of The Natural Environment".
3 ECOLOGY CONTAMINATION DURING PRODUCTION
Atmospheric and surface pollution associated with the production of oil, gas, and .other
materials is one of the subjects being discussed by this Conference. Wasteful production technologies
result in huge annual losses of associated gas (flared at a rate of 10 billion cubic meters per year),
oil, and condensate (in case of pipeline or well accidents).
Mining industries and related industries that process minerals are among the worst destroyers
of the environment, they tear up the landscape, cause considerable land sites to be allocated for use
as mines, quarries, development fields, production sites, dumps for barren and substandard rock,
storage facilities for slime and tailings, and other structures, they pollute air, soil, surface and ground
water, upset hydrogeological balance.
With the volume of mined minerals steadily growing, and doubling every 10-15 years, the
need to minimize or eliminate its negative impact on the environment becomes increasingly acute,
assuming global proportions and calling for emergency measures even now.
Therefore, the designing and construction of new facilities to mine and process minerals
should involve environmental protection measures.
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As is known, exploration of mineral deposits, approval of reserves therein and the procedure
for assessing the readiness of a deposit for commercial development have been regulated by many
generations of normative documents issued by the Reserve Committee and the Russian Federation
Ministry of Environmental Protection and Natural Resources. Requirements; for the scope of
information about the deposit include data which have a direct or indirect bearing upon environmental
protection, such as requirements for an integrated study of mineral resources, the study of
hydrogeological and geological engineering conditions underlying the development of a deposit, the
need to consider the environmental impact of deposit development, and a few other factors.
For the purposes of engineering a state-of-the-art mining facility, exploration programs should
furnish sufficient information to set up a system of effective environmental safeguards, of
comprehensive deposit development and integrated processing of minerals.
At present, geological and economic feasibility studies for mineral deposits, and all operations
incident to their commercial development should take into consideration the following factors. The
stereotype notion of strip mining being by far the best and preferred mode of mineral extraction
should be re-assessed. The proportion of strip mining in all mining operations is aJready considerable
and tends to increase. In the last 30 years it has grown from 56% to 86.6% for ferrous metal ores
and from 40% to 55% for non-ferrous metal ores.
At the same time, studies have shown that strip mining, particularly the kind that uses external
dumping, represents the worst impact on the environment.
The total environmental damage caused by strip mining is many times that of deep mining.
However, as a result of a narrow-minded departmental approach to planning environmental programs
and of biased-down budget outlays incapable of meeting real environmental1 needs, the above
consideration is partially or totally ignored. Upon closer scrutiny the economic "benefit" (low cost) of
strip mining turns out to be non-existent or inflated out of proportion, since even such biased-down
environmental outlays as are factored into the design estimates are either excluded from product
cost or only partially included therein.
Frequently the actual area affected by environmental impact created by a mining operation
(mine, quarry) is considerably larger that the area of the deposit.
The area of the deposit under development covered by the above changes can be
provisionally divided into two zones: the inner zone dominated by the process:ed ore and ground
water extraction, and the outer zone towards which mine water and eolian transfer tend to move.
Within the INNER ZONE the tension of massive rock changes, slides and slumps occur, river
run-off decreases. It is this zone that should determine the shape and size of the site allocation.
The OUTER ZONE functions as a receptacle for substances mined from the subsurface, soil
and surface water get contaminated by dust and mine waste water, underground water balance gets
upset, swamping takes place, with a result that bogged areas become unfit lor commercial use,
forest productivity deteriorates as a result of swamping, "burns" by acid mine water, dust pollution
of air, transport of fine mineral dust from the surface of dumps. All chemicals from the inner zone
settle down on landscape features.
Some of the more important factors include the production technology, waste disposal
patterns, the physical and geographical situation, hydrogeological conditions, etc. The size and
configuration of the above zones should be established at the time of deposit exploration and taken
into consideration in drafting mining and land allocation protocols, as well as at the time of drafting
environmental programs and budgeting their implementation.
Usually, the construction and operation of mining facilities entail major disruptions in the
natural hydrodynamic balance, and occasionally, in the composition of the ground water of the
adjacent areas. Disturbances of this kind are caused primarily by such major water discharge systems
as the drainage systems of quarries and mines. For example, ferrous ore mining facilities alone pump
topside about 0.470 cubic kilometer of ground water. In the Ural basin 1564.87 thousand cubic meters
of ground water per day is pumped topside to bring down the ground water table. The above figure
represents 41 % of the entire registered ground water extraction. 85% of the water is dumped, which
often pollutes surface and ground water. Mining water is usually dumped into nearly small rivers,
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many of which have become sewage dumps. Disturbances in the hydrodynamic balance involve
major changes in the water table, filtration rate and direction of ground water over large areas. Around
mining facilities the water table drops by dozens or hundreds of meters, while the area covered by
the cones of depression may stretch over hundreds of square kilometers. In the Ural the drop in the
ground water table as a result of deposit drainage stands at 700 meters and covers an area of
hundreds of square kilometers (500-600 square kilometers of the North-Ural Boxite Mine).
4 STATE EVALUATION OF DISCOVERED RESERVES
This official expert examination is performed in the territory of Russia by the State Commission
for Mineral Reserves (GKZ). '
The State Commission for Mineral Reserves was set up in Russia (the former USSR) in 1927.
The Commission has made geological and economic evaluation of more than 25,000 fields and
deposits of minerals in the USSR and in friendly countries.
In its 67 years the Commission has operated as part of the USSR Planning Commission, the
USSR Ministry of Geology, the Ministry of Heavy Industry and has worked for more than 35 years as
an independent body under the USSR Council of Ministers.
In 1992 the Commission became part of the Ministry for Ecology and Natural Resources of
the Russian Federation (1). The Ministry is headed by Prof. VI. Danilov-Danilian.
On February 21, 1992, the Russian Federation enacted its Law on the Subsurface, which in
its Article 29 contemplates a new procedure for state expert examination of mineral reserves
(Attachment 2). The article provides, inter alia, that "allocation of the subsurface to users for the
purpose of extraction of minerals shall only be permitted upon state expert examination of the reserves
of such minerals". The report on the state expert examination is sufficient for formal registration of
explored reserves.
The Russian Federation's Minister for Ecology and Natural Resources issued regulations on
the purposes, objectives and functions of the State Commission for Mineral Reserves.
The principal objectives of the State Commission for Mineral Reserves shall be as follows:
• To conduct state expert examination of geological information covering explored
deposits of minerals and fossil fuel for the purpose of objective estimation of the
quantity and quality of mineral deposits, their importance for national economy,
mining, technological, environmental and other conditions of their development.
• To conduct state expert examination of geological information pertaining to portions
of the subsurface unrelated to field development but suitable for the construction
and operation of underground structures.
• To develop and regularly update classifications of mineral reserves and instruction
for their application.
• To elaborate quality requirements and standards for subsurface mineral resources,
which would ensure the utmost utilization of minerals and raw materials in the
Russian Federation, with due consideration given to the environmental and
economic factors thereof.
• To verify the design philosophy and check the actual performance of mining
facilities which develop explored reserves of minerals.
• To participate in elaborating federal and regional programs for the geological study
of the subsurface for minerals and raw materials, to offer recommendations for
investment policies and foreign economic operations related to meeting the needs
of Russia's market for minerals and fossil fuel.
The activities of the State Reserve Commission shall be governed by the laws of the Russian
Federation, Presidential Decrees, decision and executive orders of the government, other by-laws
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79
and these Regulations. The State Reserve Commission shall draw conclusions from the application
of appropriate legislation to issues within its competence and shall submit such conclusions to the
state authority in charge of the subsurface and to the government of the Russian Federation.
In implementing its mandate, the State Reserve Commission shall:
• Arrange for expert examination of feasibility studies for permanent and provisional
quality standards for mineral raw materials for estimates of the net worth (value) of
the fields and shall approve such estimates (except quality standards for minerals
whose reserves shall be examined and approved by territorial commissions for
mineral reserves - TCRs).
• Determine recovery rates for oil and gas condensate.
• Arrange for state expert examination of subsurface reserve estimates produced
from geological field study completed to date, and determine the quantity and
quality of explored reserves while establishing, pursuant to the applicable
classifications of mineral reserves, the depth of the analysis and verifiability of the
explored reserves estimates (2), the commercial potential of the field (or parts
thereof), their readiness for commercial development, possible utility of continued
exploration.
• If so requested by organizations exploring and producing minerals, it shall examine
the materials obtained from field prospecting and exploration (at any stage of their
analysis), advise such organizations on the ways to slash cost and minimize time
for future exploration.
• Participate in expert examination of feasibility studies and field development plans,
of modernization of the existing mining-and enrichment, mining-and-metallurgical,
mining-and-chemical combines in the Russian Federation.
• Pass expert judgement on the feasibility of exploitation and development of oil and
oil-and-gas fields assuming express estimates of oil and fuel gas, as well as on
their commitment to commercial development.
• Compile and analyze the results of consideration by the Commission of reserve
estimates for different types of minerals and develop recommendations to upgrade
exploitation work and to slash time required for mineral exploration.
• Draft, in conjunction with organizations concerned, classifications of mineral
deposits and submit them for approval following the procedure established by the
government of the Russian Federation.
• Improve and update the existing instructions, improve new instructions for the
application of mineral reserves classifications to different mineral resources,
approve instructions governing the delivery procedure, the contents, the format of
materials submitted to the Commission in support of provisional and permanent
quality standards for mineral raw materials and estimated mineral reserves in the
subsurface, it shall also formulate other methodological instructions.
• Participate, through expert judgement, in compiling state balance sheets for
minerals.
• Pass expert judgement on writing off from the state balance sheets of certain
minerals (except commonly available varieties), decide on their economic and
quantitative re-estimation.
• Extend methodological guidance to territorial mineral reserves commissions and
monitor their work.
• Participate in developing and financing of mission-oriented research and
development programs to improve methods for exploration of fields and their
geological and economic assessment.
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• Collect and systemize information pertaining to Russian and world market.
• Prepare materials for sessions of the interdepartmental commission which
disburses bonuses for discoveries of mineral deposits.
• Participate in drafting proposals for quotas for the development of prime minerals
(specially listed), in expert examination of materials prior to licensing of production
and export of minerals.
• Maintain direct academic contacts with foreign counterpart organizations on issues
delegated to the commission.
Under the Law of the Russian Federation on the Subsurface the State Reserve Commission
shall have the right:
• To contract on the part-time basis the services of skilled professionals from
ministries, agencies, production facilities, research centers, engineering
organizations to participate in expert examination of draft quality standards for
minerals, of reserve estimates and of information supporting particular recovery
rates for oil and condensate, to enlist the assistance of R&D centers, engineering
and other organizations.
• To insist that the ministries, agencies, exploration organizations and exploitation
facilities submit as appropriate:
Feasibility studies of quality standards for minerals and reserve estimates, updated estimates
of reserves in explored fields under development, where changes have occurred since the last state
expert examination of reserves as a result of exploration and production activities, quality standard
changes and other factors.
Annual schedules for submitting for expert examination by the commission of feasibility studies
of quality standards for minerals and mineral reserve estimates for fields under exploration or under
development.
Geological and other materials required to confirm technical and economic considerations
underlying quality standards for minerals, oil and condensate recovery rates, estimation of minerals
in the subsurface.
• To pronounce null and void decisions by territorial commissions for mineral
reserves whenever such decisions contravene field reserve classifications or !
instructions by the State Reserve Commission for application of such
•classifications.
• To contract such enterprises, organizations and agencies as submit for expert
examination by the Commission feasibility studies for draft quality standards for
minerals, estimates of minerals in the subsurface and their economic evaluation,
feasibility studies for the construction and modernization of mining facilities, etc.
• To determine, according to applicable procedure, renumeration rates for expert
examination of reserve estimates, draft quality standards, feasibility studies in
support of oil and condensate recovery rates, advice on the exploration methods
and other problems within the Commission's competence.
• To determine the cost of the Commission's business trips and travel, and the
amount of money to support its social programs, which will be a factor of its
revenue.
• To contract other enterprises, organizations and physical persons for the purposes
of transportation, leasing and security of offices and other services in support of
the Commission's normal activity, the purchase of office equipment and supplies,
copiers and printers, their maintenance and servicing.
• To engage in academic, consultant and publishing activities, to draft and publish '
prescriptive documents on issues within the Commission's competence.
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Any decisions and instructions by the State Mineral Reserve Commission on issues within its
competence are binding on all enterprises and organizations, agencies, concerns, associations,
cooperatives, foreign companies and joint ventures which perform in the Flussian Federation
exploration, engineering and construction of mining facilities, the mining of minerals, irrespective of
their departmental chain of command.
Evaluation of mineral resources by government experts is both the subject of Article 29 of the
Law on the Subsurface and a fundamental provision of another article of the same Law which deals
with rational use and protection of mineral resources (para 4, Article 23).
The accuracy of geologic information on the explored resources of any field is a major
economic factor to be considered when the authorities concerned are reviewing ian application for a
development license and determine the rate of payments for the use of mineral resources.
Pursuant to para. 4 of Article 41 of the Law on the Subsurface the rate of royalties for the
commercial production shall be set with due account of:
• The type of the mineral concerned.
• the amount and quality of its resources (finalized in the evaluation process by the
State Commission for Mineral Reserves.
• Natural, geographic, geologic, mining and economic conditions for the
development and exploration of the field (to be determined in the evaluation
process by the State Commission for Mineral Reserves).
• Risks.
The State Commission for Mineral Reserves also assists in determining the raf:e of payments
for the use of the subsurface for purposes other than mining (for construction, storage, etc.). The
amount of such lump sum or regular payments is related to the size of the development area and
the expected environmental impact as well as to the return on the subsurface area in question, such
return to be evaluated at the national or territorial level (para. 7 of Article 41 of the Law on the
Subsurface).As evaluated by the field geologists, the data on any field discovered and explored
through a network of boreholes, may be biased and the amount and quality of the minerals explored
are typically overstated. The evaluation process usually reduces the original estimation of the field
concerned, and provides a more balanced assessment of the required process technology and the
economic profile of the project. In 1990 the original estimates of recoverable hydrocarbons for every
oil field were reduced by 10-25%. However, on several occasions the resources were found to be
underestimated.
The fact that the state experts are not controlled by any governmental agency, and the
possibility to draw on the expertise and experience of the best professionals in specific areas help
develop a descriptive field model close to its real-life counterpart. The discussion and examples
above confirm the importance of such evaluation to define the economic profile of each feasibility
study and project the economics of prospective field development programs.
In this sense the evaluation process is not only prescribed by law; it is a practical requirement
to make the body of available geologic information usable for planning at a later stage. The State
Commission for Mineral Reserves has another important function; it is responsible for the evaluation
of geologic and economic data used to determine the current market value of the minerals involved
(such evaluation must be based on methods acceptable to western investors and presented to
convertible currency terms):
• The actual costs incurred by Russian companies (whatever their form of
ownership) to support exploration and prospecting of mineral resources, such
costs to be reimbursed by foreign investors or contributed as capitalization by the
Russian party concerned to the authorized fund of the joint venture.
• The actual costs incurred by the foreign party to explore any field discovered under
a production sharing agreement, such costs to be reimbursed through (deliveries of
hydrocarbons.
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There is much to be said for the idea to use the potential of the State Commission for Mineral
Reserves whose main strength is the experience of hundreds of experts and whose database covers
specific geologic features of Russia's mineral resources as well as those of other countries.
The Commission's oil and gas experts alone include 280 highly skilled engineers and
researchers from all major areas of prospecting and exploration (seismic prospecting, well logging,
cable, and drilling stem tests, core drilling and examination, oil gas condensate and subsurface water
sampling and examination, lithogeochemical, petrographic and other methods to study reservoir and
country rocks, flow enhancement methods, volumetric and variables to estimate hydrocarbon
resources, field development plans, evaluation of the economic profiles of field development projects,
transportation of crude and processed products; and marketing).
The main evaluation objective for any submitted information is to finalize the geologic model
of the field and the mining potential of commercial deposits (reservoirs), to provide an objective
estimate of the amount and quality of explored primary and associated minerals and fuels, assess
their economic potential and evaluate mining, hydrogeological, environmental and other conditions
for commercial production.
If any mineral resources are made available to any user for the purposes of geologic
exploration and production such user may (as envisaged in the license) begin production of minerals
or fuel prior to the evaluation of the mineral reserves by state experts (para. 4 of Article 29 of the Law
on the Subsurface). In this event the license for the use of mineral resources shall define the time
when the relevant material resources shall be submitted for evaluation by the government agencies
concerned. The findings of such evaluation determine the final (revised) terms for the use of the
resources including payments.
5 REQUIREMENTS FOR MINERAL DEPOSITS ECOLOGICAL INFORMATION
The State Reserve Committee of the Russian Federation Ministry of Environmental Protection
and Natural Resources has formulated "Provisional Requirements for the Scope of Ecological
Information about a Mineral Deposit", which serve as guidelines for exploration organizations. The
"Requirements" emphasize that environmental studies should be conducted at an early stage of
deposit exploration, which will help identify priority areas.
The document contains an important provision, which will help arrange for consistent
monitoring of environmental parameters in and around the deposit - it spells out the need to determine
the background characteristics of the area, including its geochemical background, and to identify the
most sensitive components of the ecosystem.
The geological input used to compile technological regulations should include data on
chemical and mineralogical characteristics of the product and tailings (ash), grain size distribution,
the amount and composition of by-products and waste of metallurgical plants. In this context it is
important to record the behavior of toxic components (arsenic, sulfur, selenium, cadmium and others)
in the course of production and processing of minerals.
Besides, the "Requirements" contain a number of principles, which, when implemented, will
help minimize the environmental damage and support the needs of the national economy for minerals:
• To refrain from committing a deposit to commercial development if the existing
needs for a particular mineral can be met by alternative sources - secondary
resources, wastes from existing facilities, imports. This recommendation should be
included in the feasibility study for analysis following preliminary exploration.
• The choice of mining mode (strip mining, deep mining, combination mining, the
use of special geotechniques) should be based on the least-environmental-
damage principle, even if the mode selected is less effective economically.
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Development of any deposit should be designed to extract and utilize all available
minerals, since frequently the mining of incident minerals could nullify the need for
their extraction in dedicated development programs.
If the need for a new source of mineral is not questioned development should start
of a minable deposit which would involve minimal expenditure of power and metal
(loose or bulk minerals rather than compacted minerals).
6
GOVERMENT REGULATION'S POLICY
No economic or social reform can do without compliance with a definite set of ideas and
values.
During the transition period in Russia such a set of ideas and values can be best served by
checking the unbridled plundering of natural resources, enforcement means included.
Environmental protection, and the prudent and waste-free utilization of natural resources call
for a more efficient government regulation of the use of natural resources.
Stable economic development must exclude or reduce the use of wasteful, ecology-unfriendly
and "environment-intensive" projects, technologies, and equipment.
What is required is a balance between a system of government regulation and market
self-regulation. This philosophy is now being implemented by the government of the Russian
Federation, which seeks to institute government regulation through government budget allocations,
legislation, by-laws, as well as through the use of diverse financial mechanisms, such as quotas,
licensing, tax regulation, tax privileges, accelerated amortization, and interest rate adjustments, on
one hand, and market regulation, on the other.
An important aspect of the government's selective structural policies lies; in the stabilization
and continued improvements of the fuel and energy complex, which comprises production, refining,
oil chemistry, trunk pipe lines, etc.
Government regulation of nature utilization includes not only rigid direct control of hazardous
plants of governmental enterprises, but more importantly, the setting up of norms and standards, of
economic stimuli and incentives (royalties, pollution and discharge fees, compensation for any
damage to health or property of the people).
The quality of the environment will also be improved by the new policies in foreign investment
and joint projects in Russia. The new policies will place a fresh emphasis on modernization and
retrofitting of old or environmentally unsafe facilities for the production of oil and gas, chemical plants,
metal works, agricultural enterprises, and the construction business. !
ENDNOTES
1. Recently renamed as the Ministry of Environmental Protection and Natural Resources of the
Russian Federation.
2. Expert examination of common minerals (except deposits of building stone for facilities with a
capacity exceeding 400,000 m3 or per year), great, small deposits of fresh water shall be con-
ducted by territorial commissions for mineral reserves.
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ATTACHMENT 1
RUSSIAN FEDERATION
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ATTACHMENT 2
THE LAW OF THE RUSSIAN FEDERATION ON 'THE SUBSURFACE"
(adopted by the Russian Supreme Soviet on 21st February, 1992)
Article 29 (State expertise on users of natural resources deposits and raw materials)
Orientated at creating conditions for rational complex exploitation olf natural resources
deposits (Article 3, Item 2,3); the definition of payment for exploiting natural resources deposits
(Articles 39, 40, 41, 42); defining borders of the areas of natural resources deposits given for
exploitation: amount of natural resources of investigated deposits are to undergo state expertise.
Permission to exploit natural resources deposits is given only after conducting state expertise
of the amount of natural resources available.
Conclusion of state expertise is a foundation of state inventory (Articles 28, 30).
State expertise may be conducted at any stage of geological research of a deposit, on
condition that the geologic matter submitted for expertise allow to give objective estimates of the
amount and quality of natural resources, their importance to national economy, mining,
hydrogeological, ecological and other conditions of their extraction.
On condition of giving deposits to exploitation simultaneously with geologjc research of them
(Article 11), users of deposits are able according to license (Article 12) to start exploitation before
state expertise of natural resources deposits.
The dates of next submission of materials to state expertise with further defining of conditions
of exploiting deposits including payment are stipulated in the license for the right of exploiting deposits.
State expertise is to evaluate geologic information concerning the natural deposits areas
where erection and maintenance of underground complexes is possible and which are not connected
with exploiting natural resources deposits (Article 6, Items 3, 4; Article 25).
Giving such areas of natural resources deposits for exploitation is allowed only after
conducting state expertise of geologic information.
State expertise of natural resources deposits, geologic information about areas of natural
resources deposits are realized by management body of the state fund (Article 2) or its territorial branch.
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THEME 3:
COUNTRY EXPERIENCES IN DESIGNING ELEMENTS OF
AN ENFORCEMENT PROGRAM
12. Summary of Theme Discussion, Moderator: A. Alcocer Lujambio,
Rapporteurs: C. Wasserman, J. Bergin 89
13. The Challenge of Environmental Enforcement in Developing Nations,
A Alcocer Lujambio 93
14. Country Experiences in Designing Elements of an Environmental Enforcement
Program—Case of El Salvador, G. Navarrete Lopez 97
Papers 1 through 11 in Proceedings Volume 1.
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SUMMARY OF THEME #3: COUNTRY EXPERIENCES IN DESIGNING ELEMENTS
OF AN ENFORCEMENT PROGRAM
Moderator: Arturo Alcocer Lujambio
Rapporteurs: Cheryl Wasserman and John Bergin (ERG)
GOALS
Presentation of specific aspects of developing the institutional capacity for an environmental
enforcement program. The papers offer specific examples of how each country has solved an
organizational or human resource problem in designing a compliance and enforcement program.
How the approach was selected, how the approach evolved over time, what other approaches were
considered, and whether the program represents a minimum resources expense for the benefits it
delivers are addressed.
1
PRESENTATIONS
Mr. Carlos Rojas Gutierrez, Secretary of Social Development, La Secretaria de Desarrollo
Social (SEDESOL) prepared a paper which was delivered and summarized by Ms. Julia Carabias,
President, Ecology National Institute. Mr. Rojas reviewed the public pressures and progression of
laws and policies developed over the past several years in Mexico to integrate and incorporate
environmental concerns into social and economic development policies. He reviewed overriding
concerns about social and economic inequities and the need for rational economic growth and social
justice in search of sustainable development goals. He cautioned that other pressures for harmonizing
the environmental laws of Mexico with those of other nations must be paced to respect the scope
of needed change in Mexico, and a well developed set of plans and priorities arid cannot substitute
for other non-legal approaches to gaining progress in environmental and economic developments.
Mexico is also building upon a highly decentralized governmental structure to develop stronger
compliance and enforcement capabilities.
Ms. Gro R0dland, Head of Department, State Pollution Control Agency, Norway presented a
review of the development of the inspection corps at the Norwegian State Pollution Control Authority.
The current organization of this corps and the financing of activities is described as well as the training
program for the education of inspectors. Particular emphasis is also given to the evolution of an
independent inspection function from that of permitting.
Mr. Jaap van Dijk, Member of the Executive Committee, Provincial Council, Province of
Gronigen, the Netherlands, discussed the cooperation between police public prosecutors and
governmental authorities in the field of environmental enforcement. Through a series of cooperative
agreements and intergovernmental councils, the Netherlands has been able to capitalize on the
expertise of various groups and levels of government to create an effective compliance and
enforcement response program with limited resources.
Mr. Daniel Hugo Llermanos, Judge for criminal and correctional court in Zamora, Argentina
delivered a presentation with a strong message of the potential role of an activist judiciary to creatively
apply existing laws and legal protections to address compelling environmental health concerns to
the public. He presented some radical possibilities, such as confiscating properly of those who put
the public health in peril and applying a host of laws that are not traditionally used in the environmental
arena.
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2 OPEN DISCUSSION
Discussion concerning the Theme #3 presentations began with Mr. Branimir Natov, Deputy
Minister of the Bulgarian Ministry of Environment, asking Ms. R0dland about fees charged to industrial
operations by Norway's Pollution Control Agency. Ms. R0dland responded that fees have been
reduced to about $2,500 or less to make the cost less burdensome. She added that all fees collected
from violators of environmental laws go directly to the state. None of the money collected as fees
can be used as part of the pollution control agency's budget.
Ms. R0dland was also asked to further explain the difference between environmental
inspections and audits in Norway's enforcement program. Ms. R0dland explained that an
environmental audit is far more comprehensive than an inspection. An inspection typically involves a
single pollution control agent visiting a company for one day, after which the inspector spends another
day or two writing up a report. In contrast, for an audit a team of inspectors might remain on site
gathering information for several weeks. The audit team's objectives are to determine (1) if the
company is currently in compliance and (2) whether the management structure is capable of
complying with environmental regulations over time. Because the audits are quite intensive, the
agency must carefully select which companies to visit. Companies chosen for an audit are usually
large, complex operations with a high risk of environmental accident.
Concerning the frequency of inspections, Ms. R0dland said that, depending on which control
class a company is in, agency officials might visit a site as often as every year or only as needed.
Moreover, inspections can be conducted without giving advance notice to officials of the target
company. In contrast, because audits are more comprehensive and require the cooperation of
company officials, notification must be given well in advance. While Norway's pollution control law
specifies the types of information company officials must provide to environmental auditors,
establishing the frequency of inspections and audits is left to the pollution control agency.
Next, another participant, after noting that the Province of Gronigen, the Netherlands, was the
first public authority to consider cumulative risk to human health and the environment when making
decisions about industrial projects, asked Mr. van Dijk if the province still uses such criteria when
establishing enforcement priorities. Mr. van Dijk explained that representatives of the municipality, the
police, and the public prosecutor's office meet every year to develop an enforcement plan.
Assessments of risk to human health and the environment continue to weigh heavily at these meetings
as an aspect of pollution control enforcement.
Then, Mr. Joseph Govinda Singh, Brigadier of the Guyana Defense Forces, was asked to
address the group about the important role that the military can play in an environmental enforcement
program. He explained that as the military establishments in several South American countries
undergo significant change, they are developing cooperative efforts to protect the environment. For
example, the Guyana military is working with military establishments in the bordering countries of
Brazil, Venezuela, and Suriname to protect the vast resources of the Amazon region. At the same
time, Guyana's military establishment is networking with various agencies of the Guyanese
government concerning environmental issues specific to the coastal nation.
Mr. Llermanos was then asked how the courts can enforce environmental laws when the party
responsible for environmental damage is a group or entity rather than an individual. Mr. Llermanos
said that on occasion the responsible individual or group of individuals within a company can be
charged with breaking environmental laws. On the other hand, in the same sense that the justice
system might confiscate the physical agent of a crime, such as a gun or an automobile, the courts
might also "confiscate" a company that is instrumental to the perpetration of an environmental
violation.
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3 CONCLUSIONS
In response to various social and economic pressures, countries have designed compliance
and enforcement responses within existing financial, institutional and legal constraints by using
creative techniques to train and develop inspectors, fund programs, use existing laws, and develop
cooperative intergovernmental relationships. The clear messages are that where there is a will
countries have found a way to start to build the necessary capacity for compliance and enforcement.
There are as many ways to begin as there are circumstances around the world. The important
message is to begin whether it is beginning to develop credible inspector capability with no experience
or funding as Norway did using facility funding through a fee system and third parties to supplement
their inspection program, or the creative application of laws, as has been done in /irgentina, or building
a coalition of interests and new institutional arrangements as has been done in the Netherlands, or
the intergovernmental networks and citizen involvement in Mexico.
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THE CHALLENGE OF ENVIRONMENTAL ENFORCEMENT IN
DEVELOPING NATIONS
ALCOCER LUJAMBIO, ARTURO
Assistant Federal Attorney for Social Participation and Complaints, Procuradurfa Federal de
Protection al Ambiente, SEDESOL, Insurgentes Sur 1480, 7o. piso, Barrio Actipan, Del. Benito
Juarez, 03230, Distrito Federal, Mexico
C. Lie. Diodoro Carrasco Altamirano, Constitutional Governor of the State of Oaxaca
Mr. Hans Alders, Minister of the Environment of The Netherlands
Distinguished Members of the Presidium
Ladies and Gentlemen:
The event which gathers us together today is a very important one for the achieving of
consensus and the acceptance of new strategies for improved environmental conditions which will
persist for the present and future generations. Because of this, the economic process and the
improvement of the environment constitute primary elements in the development of today's nations,
and must be an inseparable dual element in the projects of social welfare.
It is well known that economic growth is one of the premises of the progress of peoples. This
is true, but it must fully guarantee the conservation of the natural surroundings: nothing must affect
our most precious treasure, nature, and through that life itself.
The solution appears to be found in the sustainabilty of development, understood as the way
of making compatible the realization of economic activities while conserving the environment, and
remembering that an appropriate economic increase is not only to produce more, but rather to do it
in a different and continuous way. The environmental degradation of the past is a clear example of
the errors which must not be repeated.
However, the policies and strategies of environmental improvement cannot advance towards
their legitimate purposes except through a strengthening of the legal framework from which they flow.
Therefore, the inexistence or lack of compliance with legal norms gives rise to the irrational
use of natural resources. Because of the latter, the priority is, on the one hand, to analyze and bring
up to date the legal ordinances, but on the other hand, and even more important, efforts must be
deepened to prevent violations to environmental legislation.
However, there are different difficulties which must be faced in the application of environmental
standards. First of all, it is necessary to bring ecological law up to date based on changing realities.
It must be recognized that environmental laws need to have an ever increasing universal character,
since their integral essence comes from the fact that natural resources are the patrimony of mankind.
However, taking into account historical, economic and cultural differences of each people, it is
necessary to modernize the sum of the legal ordinances which, starting from their constitutional
precepts, give rise to secondary norms which facilitate their permanent observance, application and
revision, in order to correct the omissions or inconsistencies which the ordinances contain.
Secondly, it is necessary to be able to put these ordinances into practice. In this we face
various difficulties which we must solve, and aspects of the present model of development of our
peoples which we must recognize:
• At the present the world population is growing at an approximate rate of 1.7% per
year, with the probability that during the period of 1990-2030 it will grow by 3.7
billion people. Of this increase, 90% will take place in developing countries. This
vertiginous population growth exacerbates the causes and effects of poverty and
environmental deterioration.
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• Deficient agricultural productivity in developing countries generates soil
degradation and deforestation, which limits their socioeconomic development.
• The concentration of population in the large cities contributes to the diminishing of
some environmental pressures, but brings with it different problems associated
with industrial growth, emissions, and wastes.
The solution to these problems resides in a skillful and effective application of policies of
public and international cooperation, which together help to integrally attack the origins of
underdevelopment, checking and reversing the overexploitation of natural resources and what that
represents in the degradation of the environment and social welfare.
However, for environmental prevention, it is indispensable to work in a committed manner for
environmental education. Towards this end, the authorities responsible for the application of
environmental norms promote actions of Social Participation, Verification of Norms and Environmental
Auditing, promoting the collaboration of the Public, Social and Private Sectors in favor of the
environment.
In the same way, the educational institutions perform a function of vital importance because
of the activities they cany out. They are the nerve center for inculcating and promoting a new culture
of man and his environment; a culture whose nucleus has to be a more jointly responsible and
participative social conscience, which needs to stimulate models of development committed to the
preservation of the ecosystems.
Lastly! we must intensify efforts to diminish violations to environmental standards. In summary,
coordination and prevention before sanctioning.
Mexico is immersed in a process of transformation, which has intensified in the last few years.
The Trilateral Agreement of Free Trade signed by Canada, United States and Mexico has placed our
country at a juncture which will accelerate the process of linkage between economic and
environmental policies and will strengthen its capacity for environmental management, through
technical cooperation with its neighboring countries and commercial partners.
The dynamic of the changes, promoted by the Government of President Carlos Salinas de
Gortari, covers consistent programs of economic adjustments; a solid social policy which has its
main roots in the National Program of Solidarity; added to these is a process of perfecting the
democratic institutions, which is also reflected in issues concerning public administration. Such is the
case of the creation of the Agency for Social Development and of its decentralized offices: the
National Institute of Ecology, responsible for delineating environmental policy and keeping
environmental standards up to date, and the Federal Prosecutors' Office of Environmental Protection,
the body which applies and supervises the laws.
In Mexico, an integral system of coordination has been established between the Federation,
the States, and Municipalities, which defines the general ecological policies and regulates the
instruments for their application. It established dispositions in matters of ecological ordinances, impact
and environmental risk assessments, social participation, ecological education and control and
security measures.
In our country we know that an adequate environmental policy requires an integral concept.
of development, whose fundamental objective cannot be an economic growth characterized by a
process of accumulation for particular sectors, but rather must be oriented to the benefit of the least
favored population.
Distinguished participants in this Third International Conference on Environmental Enforcement:
The Political Constitution of the Mexican United States gives the state the trusteeship of natural
resources, since it considers the soils, waters, flora, and mineral resources to be the property of the
nation. The juridical bases of environmental legislation are established in the Constitution; therefore,
without modifying its articles or regulatory laws, transformations to the supposed laws are introduced
for the conservation of natural resources.
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The social policy of President Carlos Salinas de Gortari is fully geared towards public action.
It explains and justifies what we are doing in economic, political and international matters. It is
committed to a new way of doing things, to promoting the democratic participation of the population
in its definition and operations and, above all, to convoking the solidarity of all Mexicans.
However, it is no secret that Mexico has regions and communities which suffer from a serious
ancestral poverty, clearly unacceptable. In this sense the government of the republic assumes its task
responsibly, and works intensely to achieve more justice and social welfare. Wei Mexicans advance
along the paths of law and dialogue, we reject all signs of violence, and fight impunity. The times
through which our country is living encourage us to search for more elevated and dignified forms of
social and political coexistence. The rich Mexican history shows us that the character and spirit of
the nation is strengthened by difficult times. It has fallen to our generation to structure the bases of
a sustainable development in which the eternal laws of nature and the values of civilization and human
culture become integrated, rather than competing. Hopefully this meeting will contribute to these
purposes.
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COUNTRY EXPERIENCES IN DESIGNING ELEMENTS OF AN ENVIRONMENTAL
ENFORCEMENT PROGRAM: CASE OF EL SALVADOR
NAVARRETE LOPEZ, GUILLERMO
Coordinator of the National System of Environmental Complaints, Secretaria Ejecutiva del Medio
Ambiente (SEMA), Final 91 Avenida Norte Colonia Escalon, San Salvador, El Salvador, C.A.
SUMMARY
A general picture is presented of the process followed in El Salvador to optimize the efforts
of environmental improvement through the formulation of a National Environmental Strategy which
includes the establishment of a System of Environmental Management containing several instruments.
The most notable is the National System of Environmental Complaints (Denouncements), which ties
together the environmental administrative institutions, the Public Prosecutor's Office of the Republic,
and the National Civil Police through the Division of Environment, which will act in a coordinated and
sustained way with a Law of Environmental Protection. This unique and modern model has successful
characteristics.
1 THE IMPORTANCE OF THE NATIONAL SYSTEM OF ENVIRONMENTAL COMPLAINTS
(DENOUNCEMENTS)
The task of preparing and coordinating actions to solve the probleims that affect the
environment is a difficult one, and it is under the shared responsibility of the people and the
government. The latter carries it out through institutions whose purposes are to conserve and protect
the natural resources and the environment.
The draft of a bill called "Protection of the Environment" establishes the creation of the
"environmental management system," and identifies the need of readjusting the institutional
structures, sketching out the functions, responsibilities and fields of action according to the role which
each institution and members of institutions are to play.
One of the several functions which characterize the system is that of achieving an adequate
coordination of intersectoral activities.
The Executive Directorship of the National Environmental Council (CONAMA), led by the
Executive Secretariat of Environment (SEMA), has believed that it is of great importance to establish
a system of complaints (denouncements) of an environmental nature, which has; as its objective the
promotion of actions which will lead to the knowledge, evaluation, and treatment of environmental
problems which affect the community.
The creation of the national system of complaints is justified by the immediate need to give
an answer to the petitions of the population. The population is worried by the observable deterioration
of natural resources and of the environment of the country and the growing pollution, but has not
had a place to which to address its petitions. This would fill that need. This does not mean there is
a lack of institutional attention, but only a lack of orientation to the user.
The complaints are a tool of great importance, since they define public opinion and are
converted into a type of permanent consultation, which also enriches the work carried out by
institutions related to the environment. In this same way, the complaints are taken as the basis of the
elaboration of national strategies to be carried out in the conservation and protection of natural
resources.
Due to the complexity and diversity of the environmental problems of the country it is important
to coordinate the technical cooperation between the institutions who are responsible for conserving
and protecting the natural resources and environment, trying, in this way, to achieve effectiveness
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and rapidity in setting forth solutions. This coordination will be more effective if the complaints are
channeled through the dedicated units given this responsibility.
In the context established by SEMA, purposes are set forth which contribute to the
strengthening of environmental management, and especially for this project with the sectors where
a Sectoral Environmental Unit (DAS) exists or should exist, which strives for integral development.
OBJECTIVES OF THE NATIONAL SYSTEM OF ENVIRONMENTAL COMPLAINTS
• To take advantage of the experience of the institutions that work with natural
resources and environment, and try to give immediate attention to the complaints
through institutional coordination, without interfering in the work areas of proper
competence.
• To apply sanctions of several types established in environmental legislation.
• To let the population know of the existence of the National System of Environmental
Complaints through the media.
3 INSTITUTIONAL ROLES
The proposal for the definition and organization of the System of Environmental Management
makes reference to the levels of interaction of the participants in the System. It is structured into: a)
the level of counseling and consulting, b) the level of coordination, c) the operational level.
It is important to point out that at the level of coordination the field of surveillance and
environmental monitoring stands out, since in this field and through SEMA (as the catalyst of the
relations between sectoral environmental activities) the relationships of coordination are established
between the rest of the institutions of the System, the corresponding bodies of the Public Ministry
(the Environmental Units of the Attorney General's and the Public Prosecutor's Office), and the
Environmental Division of the National Police.
The responsibilities of the Public Ministry in the System of Environmental Management are:
(i) represent administratively and legally the interests of the state and society in environmental matters;
(ii) receive complaints concerning violations to the legislation in effect and typifying environmental
crimes; (iii) acting as plaintiffs in the courts of justice in representation of the interests of society
through the prosecutors of the national courts, (iv) carry out civil and penal suits in environmental
matters; and (v) apply corresponding sanctions when environmental laws, regulations and
environmental norms, or the contents of the same in sectoral laws, are not complied with.
SEMA will ask these bodies for their participation when the operational mechanisms of
environmental quality control have not achieved success in enforcing the corresponding laws and
regulations.
The Environmental Division of the National Police will act on two levels; (a) as a support to
the system of monitoring environmental quality in investigating environmental crimes; and (b) as an
authority with responsibility for making operational the sanctions established by the corresponding
judicial bodies.
The complaints of environmental crimes will be made by the sectoral agencies themselves,
by individuals, by the NGOs, or will be generated in SEMA itself through the monitoring, evaluation,
and control network. The sanctions established will be of an administrative, pecuniary, or penal type,
according to the corresponding norms. In the cases which warrant it, the means for the reparation
of damage will be established.
The results of a survey of different institutions carried out by SEMA reflect that all of the
environmental areas identified have a unit for the reception of complaints, which facilitates the work
required for the installation of the system and for the joining of efforts in coordination by areas, without
falling into duplication of efforts.
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It was shown that the institutions which make up the system have environmental protection
mechanisms and tools. However, several inconveniences were manifested, such as:
• The lack of effective application of the laws.
« The lack of trained personnel in environmental issues.
• The lack of equipment: transportation, communication and furniture, among others.
• Bureaucratic procedures (institutional coordination).
With the objective of working intersectorally, since it is one of the characteristics identified
with environmental problems, four types of institutions were classified that monitor the protection and
conservation of the natural resources and environment. They are the following: a) Implementors, b)
Services in Support of Integral Defense, c) Norm Sanctioning, d) Norm Regulating.
Table 1. Institutional Identification of the Different Legal Instruments Used To Give Attention to
Environmental Problems
Institution
Instruments
Center for Fishing Development
Direction of Environmental Health
National Council for Culture and Art
National Park and Wildlife Service
Forestry Service
National Navy of El Salvador
Municipality of San Salvador
-Urban Development Control
National Administration of Acqueducts and
Sewers (ANDA)
-Specialized Water Unit (UEDA)
-Division of Urban Development
vice-Ministry of Housing and Urban
Development
Planning Office of the AMSS
Executive Committee of Water Protection
Law of fishing activities. Article 11. The cemter for fishing
development is a dependency of the Ministry of Agriculture, in
charge of the administration of fishing activities.
Health Code. Has as its objective the development of
constitutional principles related to the health of all inhabitants
of the Republic.
Also: Decree 50 and its regulations.
Others: Municipal Police Law, municipal ordnances in
coordination with the towns.
Transitional law in cultural resources. The Law of Cultural
Patrimony has not yet been passed.
International agreement on the commerce of flora and fauna
-CITES- and its regulations. Decree of forest seasons
(management of reduction zones).
Forestry Law.
Marine and Navigation Law, Organic Law of National Defense,
Regulatory Marine Law, General Law of Rshing Activities.
Municipal ordnance and regulation of urban development
control and of the construction of OPAMSS.
Law of ANDA and technical norms. Decree 50, regulation on
water quality, sewers, and protected areas. Articles 100 and
101 of the law of irrigation and drainage, water quality, and
supervision of waste disposal and protected areas, with the
objective of avoiding, controlling or reducing the pollution of
water resources.
Urban and construction law (direction, control, norms, and
permits) and its regulations and decrees, law of regulating
plans, law of the institute of liberty and progress, cemetery
law, law of fuel deposits and petroleum derivatives, and others.
Ordnance of the control of urban development and
construction, regulation of the ordnance of the control and
urban development and construction.
Executive Decree No. 50
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3.1 Implementing institutions
These institutions develop environmental and natural resource protection and conservation
projects and programs, including urban and rural development. The institutions listed have been
identified according to the area of attention. Not all of them receive complaints, but their objective is
to control and monitor environmental phenomena. Such is the case of the Center of Meteorology and
Hydrology, which counts on basic information to prevent disasters.
In the following table, the relationship of the implementing institutions with the areas of action
in natural resources and environment is described.
Table 2. Table of Institutional Relationships With Areas of Attention
NATURAL RESOURCES HEALTH
Name of Institution
Non- Environmental
Forestry Fauna Water Soil Fishing renewable Water Air Soil Health
PHYSICAL SPACE
Cultural Urban
Patrimony Development
ENVIRONMENTAL
LABORATORY (•)
METEOROLOGY
DIVISION (*}
HYDROLOGY DIVISION
C)
DIRECTION OF
ENVIRONMENTAL
HEALTH
NATIONAL COUNCIL
FOR CULTURE AND
ART (CONCULTURA)
CENTER FOR FISHING
DEVELOPMENT
NATIONAL PARK AND
WK.DUFE SERVICE
SERVICE OF
PLANNING AND
HYDROGRAPHC
BASINS
NATIONAL NAVY
URBAN
DEVELOPMENT
(Municipality of San
SatvadoO
SPECIAU2ED WATER
UN IT (AN DA)
URBAN
DEVELOPMENT (ANDA)
CONTROL. NORMS
AND PERMITS (VMOU)
OFFICE OF PLANNING
OFAMSS(ORAMSS)
EXECUTIVE
COMMITTEE
PROTECTOR OF
WATER RESOURCES
(CEPRHQ
GENERAL DIRECTION
OF TRANSIT
UNIT OF ENERGY
MINES, AND
HYDROCARBONS
(*) Does not address complaints. Could provide support In inspection and diagnosis, since within its objectives are vigilance and control of
atmospheric phenomena and quality of natural resources.
(*•} Areas of competence.
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3.2 Service institutions supporting integral defense
Each one of the institutions listed below monitors the protection and conservation of natural
resources, enforcing existing laws and regulations supporting the integral defense of a damage
caused to the interests of the population.
Given the fact that the conservation and protection of the environment is a right and an obligation,
and as an effort to fulfill this mandate, various governmental institutions have been created. Of these, a
special mention should be made of the creation of the National Civil Police, which has projected in its
structure the formation of the Environmental Police. These activities are integrated among four institutions:
• Attorney General of Defense of the Environment.
• Ministry of National Defense.
• National Navy.
• National Civil Police.
3.3 Norm sanctioning institutions
These are institutions which because of their structure can apply corresponding sanctions for
a damage caused to natural resources and the environment and which also affects the population.
The support of these institutions will be come effective when an investigation of the complaint has
been carried out and the damage caused has been diagnosed. These institutions will then proceed
to enforce the specific legislation. This group is made up of the:
• Public Prosecutor of the Republic.
• Supreme Court of Justice.
• Municipal Authorities (courts).
3.4 Norm regulating institutions
The objective of the norm implementing institutions is that of establishing and reviewing guidelines
for the conservation and protection of natural resources and the environment. This group is made up of:
• Executive Secretariat of the Environment.
• Health and Environmental Commission (Legislative Assembly).
• Salvadoran Institute of Municipal Development.
4 MECHANISMS OF RECEPTION
Complaints are defined as the notification or warning to the competent authorify of a damage
done to, or about to be done to, the natural and cultural patrimony. This can b3 communicated in
writing or verbally (including telephone calls). It can be attended to by any of the institutions which
make up the system.
It is important to establish a mechanism which makes viable the reception of complaints, which
will avoid a bureaucratic attitude in paying attention to them. Therefore, the following scheme is proposed:
INPUT—>• NATIONAL SYSTEM OF ENVIRONMENTAL COMPLAINTS
INSPECTION-* INSTITUTIONS SUPPORTING THE DEFENSE AND
IMPLEMENTING INSTITUTIONS
DIAGNOSIS —> IMPLEMENTING AND VIGILANCE AND MONITORING
INSTITUTIONS
RESOLUTION—> NORM SANCTIONING INSTITUTIONS
REPORT TO THE SYSTEM
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The system should be made public through the means of communication of the country, with
clarity in its text so that the population can identify the places to which it can direct its complaints.
The communique cannot be published until it is approved by the institutions involved.
The dissemination will be an instrument of classification of complaints, since the institutional
directory would be published with the identification of each one of the areas of attention.
5 INSTITUTIONS RECEIVING COMPLAINTS OF AN ENVIRONMENTAL CHARACTER
The following are service institutions in support of the integral defense:
• National Civil Police.
• Attorney General for Environmental Defense.
• Ministry of National Defense.
• National Navy of El Salvador.
The following table lists institutions by the type of complaints they handle.
Table 3. Attention to Complaints Based on Resources
Problem
Institution
Air pollution
Environmental health
Damage to cultural patrimony
Rshing resources
Rora and fauna
Soil deterioration
Water Pollution
Exploitation of mines and quarries
Forest exploitation
Direction of Environmental Health
Direction of Environmental Health
Concultura
Center for Rshing Development
National Park and Wildlife Service
Vice-Ministry of Housing and Urban Development,
Office of Planning of AMSS
CEPRHI
Unit of Energy, Mines and Hycdrobarbons
Forestry Service
In addition to these institutions, all of the municipalities of the country receive complaints of
an environmental character.
6 MECHANIZED SYSTEM
For the establishment of a bank of complaints a design is required of a structure that responds
to created needs. Therefore, a proposal is advanced for the design of a data bank which will allow
a continuous and easy-to-manage registration for all of the institutions which make up the system
(see Figure 1).
Due to the needs defined by the system, it is recommended that this be added to the informational
unit of SEMA, without omitting the important role which could be played by the technicians of the different
areas of attention in the Secretariat. This depends, of course, on the scale presented by the problem,
given more attention to the problems of great scope operating under the concept of technical proposals.
The proposed design is oriented towards the final user. Therefore, the structure will be based on
menus, with four large sections: a) the management of principal masters, for example the identification
of the complaint in the departments of the Republic, municipalities, affected area, etc.; b) management
of the archive of complaints itself, covering also the maintenance of this archive; c) definition of the type
of report for the users, frequency of issue of the number of copies, etc. and d) A process of supports
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System of
Complaints
Figure 1. National system of environmental complaints.
to the masters and to the archive of complaints with the specific end of assuring the clue functioning
in any emergency.
6.1 Description of a questionnaire for the monitoring of complaints
It is important to establish a model of typifying or classifying the complaints for an easy
management at the level of institution and area. This format could be functional, with the advantage
of summarizing all of the information necessary for the problem identified, and at the same time
would be the official document of application for attention (see Figure 2).
CODE:
AREA:
DATE OF ENTRY:
CIRCUMSTANCES:
LOCATION:
SCALE:
COMPLAINANT:
SENT TO:
DATE:
FOLLOW-UP:
DATE:
OBSERVATIONS:
RESULTS:
Figure 2. Questionnaire for monitoring environmental complaints.
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Figure 2 Key:
Code
Area
Date of entry
Circumstances
Location
Scale
Complainant
Sent to/Date
Follow-up/Date
Observations
Results
Identification of the complaint within the system and completed
by the system of mechanization.
Identification of the problem within the affected resource.
Date of input of the complaint into the system.
Development of a brief description of the general content of the
complaint.
Corresponds to the exact location of the problem, including the
address, municipality and department.
Identification of the scope of the problem in time and space.
Name of the person or institution presenting the complaint (this
should remain anonymous).
Name(s) of the institutions) to which the complaint is sent; date
of the sending of the complaints to the different institutions
which make up the system.
Consultations with the institutions of the system to which the
complaint was sent in a period greater than eight days; date of
the consultations, carried out in the follow-up.
Specific comments on the problem.
A brief description of the resolution.
ADVANTAGES OF THE CREATION OF THE NATIONAL SYSTEM OF
ENVIRONMENTAL COMPLAINTS
• More linkage with the institutions involved in environmental matters.
• Identification by institution of capacity for resolution, with the definition of appropriate
actions based on competence.
• Establishment of mechanisms of exchange and information and analysis of the
problems.
• More and better capacity for resolution.
• More accessibility for the denouncing population.
• Establishment of a database.
• Existence of an institutional and professional directory, accessible to a communication
network.
RECOMMENDATIONS
• Incorporate a system of directly, free and exclusive communication for the
institutions that make up the system (fax, telephone).
• Given its functions of its physical presence in all of the country, uninterrupted work
hours (from Monday to Friday), with specific personnel for functions of environmental
protection and as an objective of its creation, it is recommended that the National Civil
Police cover the function of the system of environmental complaints.
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The implementing institutions of the different sectors should make the diagnoses of
the problems and determine the damage caused, supporting the resolution to
apply the corresponding sanction.
Each institution of the system should be able to count on transportation for
necessary field visits, and/or at least support should be given between institutions
when this is lacking.
Each institution should designate a person responsible for giving attention to the
complaints.
The Executive Secretariat of the Environment should have a database of the
complaints as a tool of the system of information, and should keep informed those
who request it on the national system of complaints, according to the* information
received by the sectoral institutions.
Continuously train the personnel of the system in issues of environmental
management.
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THEME 4:
EXPERIENCES IN COMPLIANCE AND ENFORCEMENT
18. Summary of Theme Discussion, Moderator: R. van Heuvelen, Rapporteur: D. Bronkema 109
19. Results From Monitoring Compliance and Enforcement, Norway 1993,
G. R0dland, A. Miller '• 111
20. General Remarks on Environmental Enforcement in Romania, D. Popescu 117
21. Compliance Monitoring in Nigeria's Industries, M.I Odubela, I.I. Omoniyi 123
22. A Leading Case for the Ensenada Petrochemical District Industries Transformation,
Buenos Aires Province, Argentine Republic, C.E. Maiztegui.... 129
Papers 1 through 17 in Proceedings Volume 1.
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SUMMARY OF THEME #4: EXPERIENCES IN COMPLIANCE AND (ENFORCEMENT
Moderator: Robert van Heuvelen
Rapporteur: David Bronkema (ERG)
GOALS
Presentation of case studies of environmental problems. Discussion of the development and
implementation of comprehensive enforcement approaches. Presentation of information on
environmental enforcement successes. Analysis of factors that lead to successful results, drawing
implications for using successful approaches in a variety of settings.
1
PRESENTATIONS
Mr. R. van Heuvelen, Director of the Office of Civil Enforcement of the U.S. Environmental
Protection Agency, presented an overview of successful outcomes of enforcement actions carried
out by EPA. No single enforcement model or strategy exists that guarantees success, and as a result
EPA's approaches to enforcement have varied. The list approach, in which a fixed universe of facilities
to target was established, was particularly successful in the early phases of EPA and has formed the
basis for subsequent approaches. There has been a general trend away from an emphasis solely
on assessing penalties towards a compliance-plus strategy, which tries to leverage the impact of
each individual enforcement action to secure additional deterrence and environmental results. These
compliance-plus approaches have met with success. One new approach has been to maximize
environmental impact through compliance audits, using big cases to show EPA's resolve and to
promote new technologies, and to maximize the leverage of individual cases to increase pollution
prevention initiatives. Finally, EPA has also reduced the civil penalty assessed to violators in exchange
for the defendant's promise to engage in "Supplemental Environmental Projects," improving the
injured environment and pushing the development of new technologies.
Mr. A. Archer, Project Manager for the Sewerage and Solid Waste Project Unit of the Ministry
of Health of Barbados, presented a summary of the development of regulations for the disposal of
offensive matter in Barbados. Before 1970, Barbados had crude methods of waste disposal. Health
services regarding the disposal of offensive matter regulations were enacted in 1969, and their
enforcement was entrusted to the Ministry of Health. At the time, crude sewage and septic-tank
effluent were being discharged into the sea from a variety of businesses and governmental institutions.
Water sampling was begun, which provided stark evidence of the high levels of bacterial pollution.
The response to the new Statutory requirements was quite positive, and the threat of fines coupled
with flexibility in time frames granted for the installation of equipment were sufficient to induce
compliance. In 1980 the Barbados Water Authority was established, and sewerage regulations were
enacted. The enforcement of connections to the sewerage system, with appropriate tolerance for
low-income areas of the city, has resulted in significant environmental improvement. The current high
standard of public health and environmental conditions in Barbados have allowed tourism to become
one of the major elements in the economy of the country. Further legislation is required to protect
the environment and will be enacted shortly.
Mr. K. Nkofi, Special Projects Officer of the Environmental Protection Agency of Guyana,
described the introduction of voluntary compliance and enforcement requirements into the mining
industry in Guyana. The main environmental problems caused by the industry's; activities are toxic
chemicals and solid waste. No legislation currently exists in Guyana for environmental control of
mining operations. Governmental monitoring of the industry is carried out by the Guyana Geology
and Mines Commission and the Guyana Agency for Health Sciences, Education, Environment and
Food Policy. The environmental standards observed by the mining company, a Canadian subsidiary,
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are those set by the Quebec Province of Canada. Agreements with the company include
comprehensive rehabilitation of a mining site upon its abandonment and frequent monitoring of water
quality surrounding mining sites. The cost of instituting these activities is met by the company. The
success of this environmental program can be traced to several factors, including the existence of
standards set by the home country of the foreign company involved, international pressure, !and
national public awareness. However, a body of legislation in which enforcement activities are grounded
should also exist, and Guyana is on its way to passing such a bill.
Mr. J. Gerardu of the Directorate-General for Environmental Protection of the Ministry of
Housing, Spatial Planning, and the Environment of the Netherlands, spoke on the experience of that
country in the "Control of License-Holders for the Disposal of Chemical Waste by the Inspectorate
for the Environment." Over the last two years, the Inspectorate for the Environment carried out a
standardized check on all license holders for the disposal of chemical waste in the Netherlands. The
objectives were to increase compliance among the license holders, check the quality of the licenses,
identify bottlenecks in legislation and regulations, and provide a basis for the decentralization of
enforcement tasks from the Inspectorate to the provinces. When shortcomings were identified
measures were taken to correct them, including sending warning letters to companies, advising
competent authorities to adjust poorly written licenses, and systematically rechecking those
companies found to be out of compliance. This effort was successful in meeting its objectives. The
investigation and follow up actions increased both the quality of the licenses and the rates of
compliance, and recommendations were made for improvement. The data provided an excellent
basis for delegating tasks to the provinces, which are now responsible for the inspection of these
license holders.
2 DISCUSSION
The theme presentation was extensive and generated a great deal of interest, however, no
time remained for discussion.
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111
RESULTS FROM MONITORING COMPLIANCE AND ENFORCEMENT, NORWAY 1993
R0DLAND, GRO1 and MILLER, ANGELA2
1 Head of Department
2 Senior Executive Officer •
Statens forurensningstilsyn, RO.Box 8100 Dep. 0032 Oslo 1, Norway
SUMMARY
This paper covers the Norwegian State Pollution Control Authority's (SFT) strategy for selecting
enterprises to be inspected and methods of inspection. Results from the inspections carried out in
1993 are reported.
1 STRATEGY FOR SELECTION OF ENTERPRISES TO BE INSPECTED AMD METHODS
FOR MONITORING COMPLIANCE
In Norway, 1500 enterprises have been granted discharge permits. The permits are usually
multimedia, and cover water, air, noise and industrial and hazardous waste. Other minor enterprises
are controlled only through regulations.
It is not adequate, nor necessary to inspect all the enterprises at the same frequency or with
equal thoroughness. In order to get the best possible effect from our limited inspection capacity, we
have to carefully select which enterprises to inspect or audit.
1.1 Strategy for selection of enterprises
Our strategy for selecting enterprises to be inspected is based on the principle that our
resources should be used were they will give the best results for the environment. When choosing
the enterprise the following criteria are used:
1. Enterprises which contribute to environmental problems in areas which are given
high priority by environmental authorities.
2. Enterprises with a great potential or risk of hazardous discharges.
3. Suspicion of violations.
4. Geografic areas with special environmental problems.
5. Preventive considerations.
For 1993 these topics/enterprises were given priority:
1. Hazardous waste.
2. Hazardous substances, especially potential discharges of heavy metals to
municipal sludge.
3. Other environmental problems which were given national or international priority to
solve, as described in international agreements.
4. Enterprises with a high risk or potential for hazardous discharges as classified in
the control classes.
5. Serious violations in 1992.
6. Reports of violations or suspected violations (self-reported or reported by
neighbours, other authorities, etc.).
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1.1.1 Re. 4 Control classes
All the 1500 enterprises that have been granted permits are divided into four control classes.
The classification is based on the potential emissions from the enterprise and their toxicity. The
environmental sensitivity (air and water quality) of the surroundings are also taken into account.. The
most polluting enterprises are placed in class 1, which includes 50 to 60 enterprises/plants (e.g.,
chemical industry, pulp and paper industry, aluminium industry, ferro alloy industry, large foundries,
off-shore oil installations). Small enterprises producing only a limited amount of pollution are placed
in class 4 (e.g., small dairies, slaughterhouses and small asphalt plants).
A schedule for monitoring compliance for the enterprises depending on control class has
been worked out. This is outlined schematically in table 1.,"
Table 1. Enterprises With Permits: Schedule for Compliance Determination
No. of
Class Enterprises Reports to SFT Inspections Frequency Audit Frequency Source Testing
1
2
3
4
Total
50
100
350
1000
1500
Once a year
Once a year
Once a year
Annually
Once every 2nd year
Once every 2nd-3rd year
When complaints type of
discharge
Once every 3rd year
Once every 6th year
1.2 Methods for monitoring compliance :
Compliance is monitored through three different methods, self-reporting to SFT inspections
and audits.
1.2.1 Self-reporting
For enterprises in control class 1, 2 and 3, the permit includes a requirement to establish and
maintain a well defined self-monitoring program. Once a year they must submitt an account of their
emmissions to SFT This report should include their total emissions, any discharges exceeding the
discharge limits or other violations. The reasons for violations must be given together with an
explanation of corrective actions taken to avoid recurrence.
Through the reports submitted to SFT we get a lot of usefull information about the current
situation at the enterprises at a fairly low cost for the authorities. The quality of the information can,
of course, be discussed. The information given in these reports is checked at inspections and audits.
There are, however, few cases uncovered during inspections of under reporting of discharge or
violations in connection with self-reports.
1.2.2 Inspections
Inspections are normally a one day unannounced visit at the enterprise. The total work load
pr. inspection is 3 to 5 days.
The objectives of an inspection are:
• To check whether the enterprise is in compliance or not
• To collect evidence in the case of non-compliance, to ensure the necessary
enforcement actions.
• To ensure high quality of the self-reported data
• To check that a system for internal control is established
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• To demonstrate that the authorities take compliance seriously
An inspection is a usefull method to verify compliance with the specific requirements in the
permit. For minor, uncomplicated enterprises it may also give a satisfying evaluation of the preventive
actions taken by the enterprise in order to avoid accidental discharges and the environmental
management system. For greater, more complex enterprises, inspections can only be used to verify
compliance for parts of the enterprise or permit. Audits will have to be used in order to evaluate the
environmental management system.
1.2.3 Environmental audits and source testing
Environmental audits and source testing are used not only to monitor compliance but also to
evaluate the environmental management system in the enterprise. The audits are normally carried
out by 2 to 3 inspectors who stay in the field/at the enterprise for 4 to 5 days. The total time involved
in an audit varies from 3 to 7 weeks. The time consumption connected with an audit makes it very
important to choose carefully when and where an audit is the right tool for monitoring compliance.
A written report is always sent to the enterprise following an audit or an inspection. The
enterprise is reminded of their duty to immediately undertake necessary corrective actions in order
to get into compliance if violations are revealed. Both during audits and inspections there may be
findings which can not be considered as non-compliance, but where SFT finds it necessary to point
out possible improvements. These findings are classified as observations. The inspection or audit is
followed up by asking or le'gally imposing the enterprise to report the corrective actions done in order
to be in compliance and to give their evaluation of the observations.
RESULTS
The inspection capacity was in 1993 as illustrated in table 2.
Table 2. Inspections and Audits in 1993
Inspections Audits
Control Class 1
Control Class 2
Control Class 3
Control Class 4
Hazardous waste handlers
Local authorities (wastewater treatment
plants and waste disposal sites)
Controlled only by regulations
Total
32
30
109
84
32
1
25
313
30
9
1
3
(5)
11
54
Audits were used in high risk enterprises and in order to go deeper into priority problem areas
such as hazardous waste treatment and heavy metal in municipal sludge. A total of 54 enterprises
were audited. Thirty nine of the audits were undertaken in enterprises in the 2 highest control classes.
The 4 in class 3 and 4 are small treatment plants for hazardous waste, which was a preferential topic
last year. Five wastewater treatment plants were audited as part of the campaign to iinspect the control
of heavy metal in municipal sludge. Minor enterprises with potential discharges of heavy metals to
the wastewater treatment plants were inspected in connection with these audits.
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Inspections were mainly used to check enterprises in control class 3 and 4 and enterprises
without permits. Inspections are also used as a follow-up to self-reporting. If the annual report is not
received after the first reminder, the enterprise will be inspected. Enterprises will also be inspected if
reported violations do not include explanation of corrective actions taken to avoid recurrence.
The violations revealed during inspections are classified according to how serious the violation
was. These results are given in table 3. Enterprises in control class 1 and 2, which are regularly
inspected, are more frequently in compliance, and the violations found are minor. The percentage of
enterprises in compliance is lower and the percentage of serious violations is higher for minor
enterprises, which are not often inspected.
Table 3. Results From Unannounced Inspections in 1993
No Violation Minor Violation Serious Violation
Control Class 1
Control Class 2
Control Class 3
Control Class 4
Controlled only by regulations
Hazardous waste handlers
34
20
8
10
12
40
66
80
74
80
84
50
0
0
18
10
4
10
The cause of the violations revealed during the inspections are listed in table 4. This table
gives a summary over violations revealed for the inspected enterprises, and the results are given as
a percentage for each type of violation within each control class. Many enterprises have more than
one type of violation. The two main reasons for violations are insufficient self-monitoring and
management system, and insufficient handling of waste or chemicals. The high percentage of
violations due to these reasons is of course a result of the priority these topics have been given. SFT
considers internal control, preventive actions, reliable environmental mangement and the handling of
hazardous waste and chemicals to be high priority areas.
Table 4. Violations Revealed During Unannounced Inspections 1993
Control Class
Violation 1234
Exceeding production limits
Acute pollution
Defective or insufficient technical equipment
Insufficient maintenance
Insufficient self-monitoring and management systems
Exceeding discharge limits
Insufficient handling of waste or chemicals
Other
0
0
6
3
27
3
27
3
7
7
7
10
57
7
30
10
6
3
12
9
60
10
25
22
12
6
17
5
75
21
44
29
Results obtained through audits confirm the results from the inspections. By performing audits,
SFT does not only monitor compliance and reveal violations, we also find the reasons for
non-compliance. Only 5 of the 54 audited enterprises were in compliance. The causes for
non-compliance are given in table 5.
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Table 5. Violations Revealed During Audits in 1993
Violation
No. of Enterprises %
Environmental management system:
Not established
Not completed
Non-compliance with internal rules
Exceeding discharge limits
Discharge without permit
Defect or lack of technical equipment
Insufficient control of purification plant
Insufficient maintenance of vital equipment
Insufficient system for self-monitoring
Insufficient information and declaration of chemicals
Insufficient handling of waste and chemicals
Insufficient prevention against acute pollution
Other
15
13
10
8
4
7
7
4
14
5
19
7
5
28
24
19
15
7
13
13
7
26
9
,35
13
9
3 INTERNAL QUALITY ASSURANCE
By organizing enforcement into a separate department, as done in SFT the inspectors also
have an internal "quality assurance" function. The inspectors will, during the inspections, also reveal
whether the permits are relevant to the current situation in the enterprise or not. Nonenforceable or
ambigous permits will immediately be discovered. Unfortunately, we may also find incorrect handling
of the permits by the case officers.
Jrrellevant conditions or nonenforceable permits are reported directly to the case officers.
Procedures for dealing with nonconformity will be established this year. Nonconformity will be reported
by chain of command to the responsible department.
As a result of last years' inspection activity, all the enterprises in the textile industry are asked
to apply for new permits due to irrelevant claims in the excisting permits. There will also be an
evaluation of the authorities control of the hazardous waste system due to revealed weaknesses and
possible misunderstandings. New guidelines for how to compose permits for wastewater treatment
plants and waste disposal sites will be worked out due to problems with enforcability.
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GENERAL REMARKS ON ENVIRONMENTAL ENFORCEMENT IN ROMANIA
POPESCU, DUMITRA
Professor of Law, Institute for Legal Research of the Romanian Academy, Str. Ciurea ur, 14, Bl.yl,
Lc. G, et. 111, ap. 54, Bucharest, Section 2 cod 73296, Romania
SUMMARY
This paper provides an overview of the central and local authorities responsible for
enforcement of Romanian laws and policies focusing on the Ministry of Waters, Forests and
Environmental Protection as the main central state authority in the field.
This paper also presents the specific methods and tools of different branches of law, their
action and gradual interaction in the systematic process of environmental enforcement.
We also discuss what branch of law including its tools and why they have preponderance in
assuring the environmental law enforcement in Romania.
1
INTRODUCTION
After 1989 in Romania new organizational structures for environmental protection were
established. The building of the new structure started in 1990 with the formation of the Ministry of
Environment, which became the Ministry of Waters, Forests and Environmental Protection (MWFEP)
in December 1992 (1). The MWFEP carries out a whole range of activities which were previously
carried out by sector organizations such as National Water Council, National Council for Environmental
Protection and Commission for Protection of National Monuments.
Unlike the institutional structure, the basic environmental legislation currently in force in
Romania dates from 1960s-70s (Law no9/1973 on Protection of the Environment) and subsequent
supporting laws (including the Water Law of 1974, Forestry Code of 1962, Toxic Substances Law of
1979). However, quite a lot of secondary legislation in the form of governmental [Decisions and
ministerial Orders and Instructions currently in force were introduced during since 1990. In this way
some of the most burning questions concerning permitting, Environmental Impact Assessment (EIA),
charges, fines and penalties and other sanctions were regulated. Collateral legislation has been
adopted, such as, Law no 18/1991 on Land, Law no 50/1991 on Buildings, Law 82/1993 Danube Delta
Biosphere Reserve.
In spite of the fact that there have not been any major environmental regulatoiy steps in the
last four years, it should be underlined that the new comprehensive environmental draft law has been
prepared. The draft law has entered the Parliamentary process and is expected to be enacted in
1994. The draft covers the main legal principles, measures, responsibilities and sanctions. Therefore
the new law will constitute a basic act for environmental enforcement according to the western country
standards and practices.
2 THE INSTITUTIONAL STRUCTURE FOR ENVIRONMENTAL PROTECTION AND ITS
RESPONSIBILITIES
2.1 The Ministry of Waters, Forests and Environmental Protection
The MWFEP is the principal Ministry for the administration, compliance checking and
enforcement of legislation relating to environmental protection, water, waste and forests as set out in
Governmental Decision no 792 on the Organization and Function of the Ministry of Waters, Forests
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and Environmental Protection. The Ministry comprises three Departments: Waters, Forests and
Environmental Protection. Waters and Forests management also includes two autonomous State
companies Apele Romane (Water Authority) and ROMSILVA (the States forests company), which are
attached to the specific Secretaries of State of the Ministry (2).
The Department of Environmental Protection has four Directorates:
• Environmental strategies, drafting laws, issuing administrative regulations, and
environmental impact assessment.
• Environmental monitoring and management of protected areas.
• Environmental inspection.
• International and public relations.
The Department of Waters comprises two Directorates and an Inspectorate. One of the
Directorates is responsible for strategic planning, drafting laws, and issuing administrative regulations
and for water quality and interministerial coordination, as well as the over all control on standard
setting and permitting. The other Directorate coordinates water management and is responsible for
hydrological and meteorological assessment and flood control. Day-to-day management of water
resources, including permitting are the responsibilities of the autonomous State company, Apele
Romane, which operates through its eleven regional river basins.
The Department of Forests comprises the Directorate and State inspectorate of Forests and
is responsible for the promotion of productivity and protection against over-exploitation. Day-to-day
management is undertaken by ROMSILVA.
National Commission for Nuclear Activities Monitoring is within the Ministry and controls safety
and environmental protection at nuclear facilities including facility location, construction, cocommissioning
and operation.
2,2 Other ministries having important environmental responsibilities
The Ministry of Health is responsible for monitoring consequences of environmental quality,
water and foodstuff quality control, issuing regulations on people health safety requirements (3).
The Transport Ministry and the Ministry of Interior are responsible for controlling the motor
vehicles emissions, noise and vibrations, and transport of goods and products.
The Ministry of Agriculture covers soil utilization (4) and protection, the Ministry of Industries
is responsible for mineral resources and energy.
The above institutional structure for environmental protection reveals as a main shortcoming
the fact that in a number of cases the user of each constituent of the environment and the one
responsible for the protection is the same authority. As a consequence the balance between the rights
of using the resources and the obligations of protecting them might be affected.
2.2.1 Environmental protection agencies (EPAs)
There are 41 EPAs, one in each of the forty counties and one in Bucharest. The EPAs are
under direct control of a Secretary of State in the central Ministry of Waters, Forests and Environmental
Protection and are managed by the Director, a Direction Committee and an Administrative Council.
The agencies play a central role in the practical implementation of environmental policy and law
enforcement including permitting, monitoring, compliance checking and instigating legal action for
non-compliance. They are responsible for pollution control, conservation and ecological restoration.
Key environmental protection functions are the responsibilities of the Section for Regulations, which
issues environmental permits and collects data and information and the Section for inspection which
makes the systematic control and inspections and applies fines.
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2.2.2 Local government
At local level, besides the local branch authorities of the ministries acting in the field of
environment, the local governments have less powers. The Law on Local Public Administration (5)
requires local authorities to act in order to restore and protect the environment parks and nature
reserves, and to conserve and protect historical and architectural monuments. To carry out such tasks
the local councils have the authority to organize local ecological and environmental protection
commission (6). However, local authorities have very little financial resources.
2.3 The public prosecutor's office and the judicial system
The public prosecutor's office is responsible for criminal prosecution. However, their role in
environmental protection is very limited. In the future, no doubt their involvement will increase.
The judicial system with setting up the administrative courts (7) having powers of judicial
review over administrative decision will bring new developments in environmental law enforcement.
Also the restoration and enhancing the property rights will determine people to litigate using the civil
law provisions, and the provisions of the new environmental framework law, which soon will be
approved. To this we may add the setting up of the Constitutional court meant to judge the
constitutionality of any legal rules (8).
3 METHODS AND TOOLS OF ENVIRONMENTAL LAW ENFORCEMENT
3.1 Methods of enforcement
The environmental law has an interdisciplinary character crossing the main branches of laws
such as: constitutional law, administrative law, civil law, criminal law and financial law.
The constitutional law provides the public authorities and their powers to implement and to
enforce the environmental law. The administrative law establishes the environmental policy and
regulates environmental standards, the procedure, and the control of permitting. The civil law is
dealing with remedies for getting compensation for environmental damages. The criminal law contains
coercive norms ensuring the observance of environmental law. Finally.the financial law comes into
action when there is any infringement by economic but illegal goal.
Taking account of its characteristics the environmental law may be enforced by two basic
methods. Preventive methods consisting of monitoring compliance through negotiations, permitting
and standard setting as well as control. And repressive methods represented by sanctions against
violations through administrative law tools in case of the least serious offenses, civil law tools in case
of medium offenses and the criminal law tools comes into action on offenses carrying the greatest
risks to society, environment and public health (9).
We should mention that, at present, in Romania not only individuals, owners and operators
of facilities may be sanctioned, for violating environmental law, but also municipalities i.e mayor, local
council, and other political subdivisions are subject to enforcement actions according to administrative
and civil law tools except criminal law.
3.2 Tools of enforcement
3.2.1 Tools of administrative law
The extensive institutional structure existing in the Romanian system of environmental
management and protection illustrates also that the public administration is the most important in
environmental law enforcement. After 1989 quite a number of secondary pieces of legislation came
in force in order to enhance the role of preventive tools of administrative law, as well as the
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administrative sanctions. The introducing in the administrative legal system of the permitting
procedure(IO) followed by Environmental Impact Assessment regulation (11) and the technical
conditions and norms on air protection(!2), which puts a great emphasis on preventive measures and
tools are examples of this kind.
It should be added that prior to 1989 the administrative tools were also developed, but very
seldom applied. Also the very low level of fines as well as the fact that the facilities were owned by
State made the enforcement action a very weak action.
In order to obtain the permit or license the environmental requirements (air, water, soil) must
be met. That means the sectoral advice must be obtained beforehand. The environmental impact
assessment gathering all such requirements and the sectoral advice is the basis for issuing the
environmental consent as a collateral and prior agreement to the operating permit (license), which
is the legal basis for operating. The permit might be issued at the national or local level. On the basis
of the content of ElAs the measures to control emissions are defined and the emission levels set up.
Once a permit is granted, the authority, at the national or local level checks to make sure
emission levels and other preventive measures specified in the permit are being complied with.
Monitoring compliance includes especially reports submitted by facilities and systematic inspections.
In the event that the inspector finds out that compliance, then the inspector may give to the person
in charge a warning or may fix a period of time to comply with the prescribed measures, or the
agency may use the economic instruments or incentives.
At present, the most frequent response is to resort to administrative law sanctions especially
to fines, on public, private facilities or municipalities for non-compliance. The fines are applied
according to media-specific violations, for water pollution, air pollution, land pollution and hazardous
wastes, noise and forest degradation (13). The scale of fines is extensive and the applied amount is
proportional to the type and seriousness of offenses. Applying the fines (14) the inspector or the
agency for environmental protection may oblige the violators to put into operation the measures meant
to reduce or eliminate pollution, or may prohibit the polluting activity and restore the environment
(15).
Also if a polluter pays a fine, he still may be required to pay damage compensation. According
to the seriousness of offense and the behavior of the violator, criminal law sanctions (criminal fines)
may be applied. Unlike the administrative tools which are focused on the violation, criminal tools are
designated to impose sanctions on the violator.
Apart from above mentioned tools, in Romanian legislation, Law no 9/1973 on environmental
protection, Law 4/1974 on waters, there is the most severe administrative action, known in the most
countries, and that is the sanction of revoking the permit, or even to shut down
3.2,2 Tools of civil law
In the past, as well as at present, civil law had and still has a limited role in environmental
protection. In conformity with the Romanian civil law, matters which may come more frequently in the
field of environmental protection are as follow:
• Personal integrity rights.
• Neighborhood right (nuisance).
• Possession rights (trespass).
• Compensation of damages.
The infringement of personal integrity rights such as the rights- of personal life, health and
physical integrity may rise a number of consequence , i.e. imposing conditions upon use, stopping
the unlawful activity until compensation is given.
Neighborhood rights (Civil Code, Articles 611 -615) are based on the rule that the owner must
avoid those activities which would disturb others, especially the neighbors.Also in the Civil Code,
Article 408 there is the rights to undisturbed possession. If a serious disturbance or damages occur
the civil law tools would apply, i.e. damage recovery claims (land clean up), cases against facilities
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to prohibit or demand certain activities. Compensation of damages may by awarded in cases brought
under Article 998 of Civil Code, which states that any person causing damage to another must repair
the damage, or Article 1000 which makes persons liable for damage caused by persons for which
they are responsible. Strict liability for damages caused to the environment will be imposed with the
coming into force of the draft Law on Environmental Protection (Article 79).
3.2.3 Criminal law tools
It might be said for sure that up to the present, in Romania criminal law has not played a
supporting role in making the violators comply with environmental requirements and to deter others
from noncompliarice. The framework environmental law of 1973 and the law on waters, as well as
criminal code provide a number of offenses (crimes), such as, putting into operation facilities without
necessary equipment for environmental protection, the release of pollutants exceeding the allowable
limits, the carrying out of any activity of importing wastes or any dangerous goods in violating the
legal rules. The criminal law tools are: imprisonment, fines and payment for restoration. However, in
the field of criminal tools there is no practice in our judicial system—I6).
4 CONCLUSIONS
Since 1991 and especially 1993 the Romanian Government is working on setting a policy and
providing a regulatory framework for sustainable development. In line with this the MWFEP took a
range of actions and measures meant to develop a policy of environmental protection such as (17):
• Setting the priorities by identifying 14 "hot areas" and the establishment
compliance schedule for reducing pollution.
• Enacting a number of regulations, i.e., on environmental impact assessment,
permitting, wastes.
• Increasing systematic inspection to ensure that permit requirements are being met
and that measures prescribed by authorities are being implemented.
• Promoting integrated and coordinated or even common inspections in order to
ensure that pollutants are not simply transferred between air, water and land and to
involve veterinary sanitary inspectors and police inspectors for preventive medicine
as well as the local units of government in environmental enforcement (17).
• Increasing role of economic instruments, i.e., tax and surtax on water consumption,
as well as emphasize on fines, penalties and soil recovery.
ENDNOTES AND REFERENCES
1. Governmental Decision no 792/1992 on the Organization and Function of the! Ministry of Waters,
Forest and Environmental Protection.
2. Investors' Environmental Guideline, European Bank for Reconstruction and Development,
Graham & Tortman/Nijhoff, London, 1994. pp.475-477.
3. Law no 3/1978 on Public Health.
4. The Ministry of Public Works and Urbanism as well as local governments have certain
responsibilities on using land within localities (Law no 50/1991 on Buildings).
5. Law no 69/1991 on Local Public Administration.
6. Governmental Decision no 103/1992.
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7. Law no 2971990 on Administrative Litigation.
8. Law no 47/1992 on Organization and Function of the Constitutional Court.
9. A. Hamzah and R. Surachman, "The Application of Criminal Law Instrument in the Environmental
Law Enforcement," in Proceedings Vol. I, International Conference on Environmental Enforcement,
1992, Budapest, Hungary, pp. 430-432.
10. The ministerial Order no 170/1990 on permitting and the ministerial Order no 113/1990 on
Documentation Required for Permit Application.
11. The ministerial Order on Methodological Norms concerning the Procedure on Environmental
Impact Assessment.
12. The ministerial Order no 462/1993 on Technical Conditions concerning Air Protection and
Methodological norms on Determining Emissions of Air Pollutants of Stationary Sources.
13. Law no 9/1973 on Environmental Protection, Resolution of the Council of Ministers no 2496/1969
on the Establishment of Sanctions for Violations relating to Waters, Law no 10/1982 on Waste
Collection Hygiene and Maintenance of the Exterior of Grounds and Buildings Alongside Facilities,
The Law no 18/1991 on Land, The Governmental Decision no 2/1994 on Quality of Buildings,
The Governmental Decision no 127/1994 on Establishment and Sanctioning of violations to
environmental Lawlists 37 such violations.
14. Very often fines are applied for noncompliance with requirements for water, air and soil protection,
and very seldom for making the investment without environmental consent.
15. Examples of such measures are: the appropriate exploitation of the water purification station,
the cleaning the land and measures for preventing the spilling of oil, stopping the pumping of
polluting residues.
16. The Law no 9/1973 on Environmental Protection, Articles 77,78,8,10,14 and 36, Criminal Code
of 1968, Articles 248, 249, 302(a).
17. Jucnalul Naturii (The Journal of Nature) edited by the Ministry of Waters, Forest and Environmental
Protection, no 1, March, 1994.
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COMPLIANCE MONITORING IN NIGERIA'S INDUSTRIES
ODUBELA, MODUPE T.1 and OMONIYI ISAAC I.2
1 Assistant Director, Inspectorate and Enforcement Department
2 Environmental Scientist, Environmental Quality Department
Federal Environmental Protection Agency, P.M.B. 3150, Surulere, Lagos, Nigeria
SUMMARY
The industrial pollution problem is highlighted. The structure of inspection aid enforcement
services, strategies for compliance monitoring, regulations and laws, inspection and environmental
auditing and results of the compliance were enumerated.
1 INTRODUCTION
Industrialisation is one of the main indices of global and national development. However,
industrialisation has been a mixed blessing to mankind. On the one hand, it enhances the quality of
life and on the other hand, poses serious threats to the management of natural systems and security
of public health. (1) '
In Nigeria, industrial development is pursued with vigour but without adequate care for the
environment. Textile plants, breweries, sugar refineries, pulp and paper plants, and petrol-chemical
industries have all discharged their raw untreated or inadequately treated liquid efluents and solid
wastes into open drains, streams, channels and lagoons. Past efforts of governments including States
and local governments have led to a number of environmental laws. Many of the laws date back to
colonial period, and include:
• Oil Pipeline Act 1956.
• Public Health Act 1958.
• Oil in Navigable Waters Acts 1963, cap 339.
• Factories Act 1987.
• States edicts on environmental sanitation. (2)
However, none address industrial pollution exhaustively. Coordination and enforcement were
almost nil.
2 THE STRUCTURE OF INSPECTION AND ENFORCEMENT SERVICES
2.1 Administrative framework
With the incidence of the Koko toxic waste episode in Nigeria in 1988 which is the climax of
this problem, the Federal Government of Nigeria set up Federal Environmental Protection Agency
(FEPA) with Decree 58 of 1988 with the overall mandate of protecting Nigeria's environment. The
Decree also empowered the Agency to promulgate regulations.
To date the Agency has promulgated or issued a number of regulations including:
• S.1.8 of 1991: National Effluent Limitation Official Gazette Federal Ftepublic of
Nigeria No 42, Vol 78, August, 1991.
• S.1.9 of 1991: Pollution Abatement in Industries, industries Generating Wastes
Official Gazette, Federal Republic of Nigeria No 42, Vol 78, 20th August, 1991. (4)
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S.1.15 OF 1991: Management of Hazardous and Solid Wastes Official Gazette,
Federal Republic of Nigeria, No 102, Vol 78,31st December, 1991.
COMPLIANCE STRATEGIES
3.1 Compliance monitoring
Regulations and laws do not correct misdeeds unless they are enforced and complied with.
The Federal Environmental Protection Agency created an Inspectorate and Enforcement Department
which is vested with the authority to enforce environmental protection laws, and checking and effecting
compliance of industries with these regulations and laws related to industrial pollution.
The Agency also coordinates, and liaise the activities of other sectoral groups such as Federal
Ministry of Industries, Health, Petroleum Resources, States and Local Governments on industrial
compliance. For its day to day activities the Inspectorate and Enforcement Department is divided into
three divisions:
• Standards, Regulations and Registration responsible for setting or reviewing
standards, formulating regulations and issuing permits as well as accrediting
environmental consultants and contractors.
• Chemical Tracking responsible for chemical notification procedure, hazardous
waste traffic control and monitoring of imported chemicals from cradle to grave.
• Compliance Monitoring responsible for checking and effecting compliance of
industries with standards and pollution abatement strategies.
• There is a Public Complaints Unit attached directly to the Office of Head of
Enforcement for prompt actions in addition to these three divisions.
In 1993, there are about 100 officers responsible for monitoring industrial compliance.
The Agency, which adopts the universally accepted "carrot and stick" policy, evolved
procedures for:
• Identifying the highly polluting regulated industries through inspections.
• Establishing management accountability for facilities by stressing the need for
.environmental audit and regularreports.
There are about three thousand industrial establishments all over the country. According to
FEPA's Guidelines and Standards for Environmental Pollution Control in Nigeria (3), the major
categories of industries in Nigeria are:
• Metal and Mining.
• Food, Beverages and Tobacco.
• Breweries, Distilleries and Blending of Spirits.
• Textiles.
• Tannery.
• Pulp, Paper and Paper Products.
• Chemicals and Allied Industries.
• Wood and Wood Products.
• Leather Products.
• Cement and Paints Products.
• Petro-chemical and Plastics Products.
• Others.
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Federal Environmental Protection Agency (FEPA) monitors compliance by means of reports
submitted on the industrial facilities through:
• Inspections.
• Environmental auditing.
• Source testing.
To ensure compliance, the major industries are divided amongst the officers. In order to get
the best possible effect from our limited inspection capacity, the industries are divided into 12 major
categories and each sector is treated on its own merit. The compliance program is based on an
integrated multi-media approach.
3.2 Self monitoring
Industries are encouraged to do self monitoring. This is done by way of an In-House Training
Program of the Inspectorate and Enforcement Department which enlightens operators of facilities on
the basic requirements.
The self monitoring procedures of FEPA stipulate that:
• An industry or a facility shall:
- Have a pollution monitoring unit within its premises.
- Have onsite pollution control.
- Assign the responsibility for pollution control to a person or corporate
body accredited by the Agency.
• A discharge, including solid, gaseous and liquid waste from any industry or facility
shall be analysed and reported to the nearest office of the Agency every month,
through a Discharge Monitoring Report.
• An unusual discharge or accidental discharge of waste from any industry or facility
shall be reported to the nearest office of the Agency not later than 24 hours of the
discharge.
• An industry or facility shall submit to the nearest office of the Agency a list of the
chemicals used in the manufacture of its products:
- Details of stored chemicals and storage conditions.
- Where chemicals are bought, sold and obtained, the name of the
secondary buyers.
- An industry or facility shall have a contingency plan approved by the
Agency against accidental release of pollutants.
- An industry or a facility shall set up a machinery for combating pollution
hazard and maintain equipment in the event of an emergency.
In meeting these self monitoring requirements, the States and Zonal Offices of the Agency
serve as pollution response centres for coordinating pollution response activities.
In addition, to the above requirements, industries are required to obtain the following permits:
• The Industrial Waste Discharge Permit.
• The Municipal/Industrial Waste Disposal Permit.
• Locally Generated Hazardous/Toxic Waste Disposal Permit.
• Locally Generated Waste Storage/Treatment Permit.
• Permit to Operate Landfill Site.
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3.3 Inspections
The inspection procedure of the Agency employs strategies that prevent fake inspectors into
the industrial facilities. The procedure stipulates that no entry should be granted to any officer without
the 'Authorisation to inspect paper' which indicates the name and location of the facility to be
inspected, the leader of the inspection team and date of inspection etc. The authorisation must be
duly signed by the Head of Enforcement Department. The manager of the facility is to collect and
retain a copy of the authorisation after confirming the identity of the Head of Inspection team. At the
end of the inspection the Manager of the facility is to write an evaluation report on the inspection
exercise and forward it to the Head of Enforcement or Director-General of the Agency who in turn
will write to confirm if the inspection has indeed been authorised.
About 60 percent of the inspections are unannounced and usually last for few hours per day
for walk-through inspections.
The inspections employ physical determinations as well as questionnaire and the
objectives are:
• To ensure high quality self-monitoring schedules.
• To check whether the facility is meeting the compliance schedules drawn up for it
byFEPA.
• To record evidence of non-compliance.
The inspections also seek to answer the following questions:
• Does the facility have any valid discharge permit?
• Was any Environmental Impact Assessment carried out before the take off of the
facility?
• Are the records of self-monitoring date properly prepared and kept by the
environmental unit of the facility?
• Has the required pollution monitoring or control equipment been installed and
properly operated?
• How well are the emergency/contingency programs being polluted?
• Are there any signs of wilful violation of FEPA's regulations?
At the end of an inspection exercise and following the review, a copy of the report is sent to
the visited facility in order to ensure future correction of mistakes.
Over the last two years, total annual inspections are a little over 300.
3.4 Environmental auditing and source testing
Prior to 1991 in Nigeria, industries were established without any environmental impact
assessment (EIA) report. The implication is obvious with the commencement of enforcement activities
in 1991, FEPA had to make it compulsory for all existing industries to carry out comprehensive
environmental audit of plants to the Agency.
The audits are carried out by FEPA's accredited consultants. The auditing gives the clear
picture whether the facility is in compliance and finds reason for non-compliance.
The auditing also brings out the mis-management of resources like raw material, mishandling
of chemicals and careless house-keeping practice.
The case of certain highly polluting facilities and especially those facilities generating public
criticism, a combined team of FEPA Inspectorate and Enforcement and Quality monitoring officers
carry out audit of such facilities. In such cases, the exercise depending on the nature of the problem.
Between 1991 and 1993, a total of 104 audit were carried out.
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4 RESULTS
In about 1000 inspections carried out since over 3 years only 18 per cent compliance has
been achieved. But there has been a remarkable improvement with each succeeding year. The
improve-ment in compliance has been due to the following:
• Encouraging the citizen participation in identification of violations and easy
reporting procedure to the public compliant unit of the Inspectorate.
• Enforcement of corporate co-audits (detailing environmental impacts of products,
production processes and materials, handled in line with FEPA regulations as a
tool to allow workers and communities to confront environmental job backmail.
• FEPA's campaign on moving economy towards better process and less-polluting
technology.
• Requests of the FEPA to the industries to match their efforts on bending backwards
on moratorium with commitments to make some sacrifice in ploughing back their
profits into meeting compliance.
5 CONCLUSION
From scratch the Federal Environmental Protection Agency has beien able to build a
satisfactory compliance monitoring procedure by mobilizing internal/resources. The agency has
succeeded in sensitizing industries on the need for compliance.
The strategies of citizen participation in reporting violations and FEPA industry dialogues have
been catalysts for the level of success achieved by inspections. But a great deal needs to be done
for industries to achieve full compliance in Nigeria.
REFERENCES
1. Odubela M.T (1993): Environmental Implications of food packing materials and industrial process
wastes. Paper presented at workshop on role and impact of regulatory bodies on food, beverage
and tobacco industry.
2. Adegoroye Goke, 1993: Environmental Regulations and Enforcement in Nigeria with special ref-
erence to the industrial sector - Paper presented at National Workshop on Pollution Control
organised by the Manufacturers' Association of Nigeria, pages 20. [Paper Presentation]
3. FEPA, 1991: National Guidelines and Standards for Environmental Pollution Control in Nigeria.
[Guideline reference]
4. FGN, 1991, S.1.9: National Environment Protection (Pollution Abatement in Industries and Facilities
Generating Wastes) Regulations. [Regulation reference].
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A LEADING CASE FOR THE ENSENADA PETROCHEMICAL DISTRICT
INDUSTRIES TRANSFORMATION, BUENOS AIRES PROVINCE,
ARGENTINE REPUBLIC
MAIZTEGUI.CRISTINAE.
Coordinadora General, Direcion Provincial del Medio Ambiente, Ministerio de Salvo y Accion Social de
la Provincia, Calle 68 #541 Dto B, La Plata 1900, PCIA BS. AS., Provincia de Buenos Aires, Argentina
SUMMARY
A general work area description is given. A short diagnosis view, provincial and regional.
Finally the strategy for the change.
INTRODUCTION
1.1 Work area description
The Ensenada Petrochemical District is located in the province of Buenos Aires, 65 km south
of the city of Buenos Aires, which is the country's capital, It is situated very close to the city of LA
PLATA, the capital of the province. The district is located in the Ensenada and Berisso districts. This
area, practically includes the "BUENOS AIRES METROPOLITAN AREA', because there is no limit
between the 22 town councils.
La Plata, Berisso and Ensenada municipalities have a total of 692,000 inhabitants, which
means an average population density of 550 people per square kilometre (km2), according to the
1991 census. The active population, is around 48%, but only 12.9% is dedicated to industrial activities,
approximately 43,000 people.
As of a few years ago, in this area, and specifically with respect to the port activities, there
were very important industries, such as SWIFT and ARMOUR, meat packing. However, the economic
decline and political fluctuation of the country, were responsible for the loss of 60,000 jobs, from 1970
to 1994. This is why at this moment, the industrial district is the last relevant source of work in the
region.
The area of the district has given lodging to several industries working with the principal: the
oil refinery, called YACIMIENTOS PETROLIFEROS FISCALES (YPF). That firm, which was recently
traded in a Stock Company and sold to private hands, is conducting oil operations all over the country,
but it has only one oil refinery in Buenos Aires, located in this district.
1.2 Industrial activity
YPF is one of the most important firms in Argentina, with the biggest billing and fixed capital.
For 60 years responsible for the petroleum policy in the country, and was the most important firm
traded in the world during 1993.
THE PETROCHEMICAL DISTRICT has about 3,500 workers, at this moment and many
contracting firms. This means a total of about 32,000 persons benefit directly, and II 28,000 inhabitants,
indirectly, considering a marginal tendency of consumption of four. Other firms; within the district,
excluding YPF, are:
• PETROQUIMICA GENERAL MOSCONI, which manufactures petrochemical
products.
• COPETRO, which process YPF petroleum carbons and charcoal.
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Industry
12.9%
Active
35.1%
Inactive
52.0%
Figure 1. Active population: La Plata - Berisso - Ensenada.
IPAKO, polyethylene.
PROPULSORASIDERURGICA, cold laminated.
PETROKEN, polypropylene.
POUBUTENOSARGENTINOS, polybutene.
MALEILC, solid anhydride maleilc.
EDELAP, energy distribution.
PROSUL.sulfuricacid.
PETROQUIMICA LA PLATA, aromatics and oleophins.
2 DIAGNOSIS
2.1 Environmental situation in the province
The Province of Buenos Aires consists of a very large area, and has 13,000,000 inhabitants,
with 8,000,000 living in the METROPOLITAN AREA Buenos Aires, generating an average population
density of 2,200 inhabitants per km2. So it's very easy to see what kind of problems the province
has. It lacks urban development and planning. There is not enough drinking water, sewers, or
treatment of solid waste (urban or industrial), and there is an inadequate use of land.
Furthermore, it's necessary to speak about other problems, in order to make complete
diagnosis, such us:
• Financing difficulties of the public departments, caused by the successive
adjustment plan.
• Decline of human and material resources, in control and planning departments.
• No trust in the public's powers.
• Institutional confusion.
Apart from that, the State has other kinds of problems within its interior, where the average
population density is not more than 16 inhabitants per km. Essentially, the problems come from the
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inadequate management of natural resources caused by the different economic activities, and the
natural conditions such as climate and geography (drought and flooding, etc).
Finally there is another Petrochemical area in the province of Buenos Aires, in the city of Bahia
Blanca. It exists with similar problems as the ones found in Ensenada city.
i
2.2 Environmental situation in the area
During the last 50 years there wasn't any urban planning or pollution prevention, in the three
municipalities where the program is taking place. That's why the environmental resources are affected,
they are not irreversible, but of much concern.
The waterways are used as drainage for all kinds of wastes, because theire is no alternative
infrastructure for them.
All of them, flow into the RIO DE LA PLATA, which is contaminated in the coastal area, about
500 meters. In spite of that, the water is taken from the river to make it drinkable.
Finally, the atmosphere presents in general, tolerable indexes, even though our laws are not
complete in this subject. If we compare the atmosphere quality with international laws, we are above
the limits, in some periods.
2.3 Institutional situation
The governmental organization for environmental subject, is yet in an intermediate period,
because there are several departments in charge of this, depending on different agencies, with no
connection among them, nor among laws. They don't have clear limits among them, and in some
cases there is no applicable law.
Apart from that, environmental concerns are never given priority, and that's why at the
beginning of our management, we found several industries which never had been controlled or
punished by the State.
This year, Buenos Aires province has created by law, a new agency to coordinate environmental
policy, which is called PROVINCIAL INSTITUTE OF ENVIRONMENT but it is not working yet.
3 STRATEGY
In this context, the Ministry of Health, through the Provincial Direction of Environment, in
accordance with its responsibility of preserving the public health and natural resources, and using
every tool possible, designed this program, to get the environmental transformation of the industries
of the Petrochemical district.
3.1 Pressing to get consensus
The first step was to organize, within three months, an intensive operation of monitoring and
control, with many inspectors of the Ministry viewing the working atmosphere in the surrounding area
of the district (operating modern equipments to get samples, and to be communicated), in order to
determine the activities of the industries. At the end of the plan we had to punish most of them, in
an amount of $1,000,000. It was the first time that the fines were paid.
3.2 Guiding the cooperation
After identifying the "environmental conflict", and to develop the program, we set up an
institution both public and private with a model, calling every interested group, to look for solutions.
And that's how provincial and local authorities, and presidents of the firms sat dovm together, to work.
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A simple General Agreement, signed by- the Ministry of Health, the three municipalities and
all the industries, was the normative instrument to set up a work system, to solve the complex
problems of the area.
A chairman council, named "PETROCHEMICAL DISTRICT PLENARY COMMITTEE," was
created. They approved regulations of the committee, and agreed to make decisions by consensus.
After that we were able to sign agreements with each industry in particular, to develop actions
described before, and to begin self-control programs and basic treatment works.
3.3 Internalizing the external
The second stage of the reconversion program contains the following actions:
3.3.1 Setting up a self-control mechanism to make each firm conduct its own diagnosis and
corrections, considering certain data of the different issues that could impact the environment.
Not one industry was controlling its waste, even though it seems incredible, and they were
trying not to notice the damage they were generating.
3.3.2 Considering preliminary assessments, to make the basic treatment work for all the wastes,
using adequate technologies. At this moment, most of the industries have installed different
treatment systems in accordance with the problem.
3.3.3 Performing an atmosphere contaminant diffusion model for the area, to analyze the dispersion
of the substances in the air, considering the climate and other natural conditions.
3.3.4 Installing a continual sampling network of quality air, in different parts of the region, with the
agreement of everybody, in which will be analysed:
• Sulfur dioxide.
• Nitrogen oxide.
• Carbon monoxide.
• Hydrocarbons.
• Particular materials.
The sampling network will be operated by the Ministry or the University, such as the PLENARY
COMMITTEE decides.
3.3.5 Performing an environmental auditorship per industry, to make a certain individual
assessment, and to be able to approve definitive transformation programs, to be done in
not more than 5 years.
3.4 Law modification
In the third stage we will know if it is necessary to change the different laws, to make them adequate
to regional limits. Strict periods and adequate technologies will be fixed, to be respected by human activity.
The approval of legislators local and provincial, is also necessary.
3.5 Looking for total solutions
Following these steps, we will perform a Regional Environmental Assessment, considering
physical, biological, law-institutional, economics, cultural and social aspects. From that Assessment,
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we will get different preventions, corrections or mitigating decisions of the environmental impacts,
such as relocated towns, shutting or moving of factories, etc.
3.6 Respect to change
Environmental education and social participation could not be absent. It is necessary to give
to the community, all the available information, enough for the people to understand and give their
opinions. There is no possibility of success, without the community, in this kind of program.
That is why, from the beginning of the whole program, it was developed through the
representative institutions with the knowledge and opinions of the people.
• Permanent and public information is given on the advances of the program.
• Popular control-program mechanisms are promoted in order to give continuity to
the program, in spite of political fluctuations. ;
4 RESULTS: IMPLEMENTING THE ENVIRONMENTAL PLAN
The different community groups will be able to analyze and to approve the ENVIRONMENTAL
PLAN OF THE AFFECTED AREA OF THE ENSENADA PETROCHEMICAL DISTRICT which will contain.
not only industrial aspects, but other actions to perform the several activities \which degrade the
environment.
We are sure that it will be necessary, at this moment, to call other governmental agencies,
also responsible for the protection of the environment, to be able to perform the ENVIRONMENTAL
PLAN. Therefore the provincial or local governments could be required to transform themselves.
We are sure that this program, which is just beginning, is the only way to change behavior,
after so many years of doing nothing.
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THEME 5:
THE ROLE OF COMMUNICATION IN AN
ENFORCEMENT PROGRAM
6. Summary of Theme Discussion, Moderator: R Verkerk, Rapporteur: D. Bronkema.,
7. The Mexican Experience on the Enforcement of Environmental Normativity,
F. Bahamonde Torres
.137
.139
Papers 1 through 5 in Proceedings Volume 1.
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SUMMARY OF THEME #5: THE ROLE OF COMMUNICATION IN AN
ENFORCEMENT PROGRAM
Moderator: Pieter Verkerk
Rapporteur: David Bronkema (ERG)
GOALS
Address how effective communication is used to enhance enforcement program compliance.
Address the importance and use of public outreach and statistics to gain support for compliance
and enforcement both in the public at large and within the regulated community, taking into account
some of the problems and difficulties in gaining public attention and support.
1
PRESENTATIONS
Mr. M. Stahl, EPA Office of Enforcement, presented a summary of Mr. R Keough's paper,
"Changing Environmental Behavior in the United States Through the Use of Public Disclosure of
Information." In the United States, much of the environmental legislation at the state and national
level contains elements requiring industry to report on its emissions and stresses the importance of
allowing the public complete and open access to this data. Public disclosure of this environmental
information is a cornerstone of the regulatory process in that country. Experience has shown that
public disclosure of this data has had a major impact on compliance rates and has led to improved
environmental management. Virtually all of the self-reported information in the United States is
available to the media and the public. This acts as an incentive for industry to go beyond mere
compliance with the applicable law or regulation, because of public image concerns. As a result,
many corporations have begun to implement ambitious pollution prevention programs. Members of
the press and environmental groups commonly review compliance information inagency files, which
has been supplied by sources and receive press releases from state and federal environmental
agencies about non-compliance by individual sources. The press can be a major ally in helping to
improve compliance by publicizing enforcement actions taken. Communication of federal enforcement
programs is also enhanced through meetings with states, industry, and environmental organizations.
Mr. O.O. Uwejamomere, Housing and Environment Correspondent for "The Guardian" in
Nigeria, analyzed the changing role of the Nigerian media with respect to environmental issues, using
two case studies. The first case study concerned the dumping of drums containing industrial waste
by a foreign company, while the second dealt with environmental problems of a real estate
development on a swampy estuarian site. An examination of the role of the media in these cases
revealed that it has the ability to deter potential violators through public pressure for compliance,
making it a potential ally in compliance monitoring and environmental enforcement. Enforcement
authorities should consider the issuance of regular press releases either as an incentive for facilities
that meet inspection standards or as a deterrent for their non compliance. It is essential to make
press releases a statutory aspect of all enforcement action. However, the media has limitations in the
depth and extent of coverage it can offer. The releases must be made relevant to the general public
and be of sufficient current interest.
Mr. Francisco Bahamonde (delivered by Alfred David Gidi) Assistant Federal Attorney for
Verification of Normativity for the Federal Attorney's Office for Environmental Protection of SEDESOL
of Mexico, spoke about Mexico's experience in establishing a program of environmental enforcement.
In the mid-1980s, a two-prong effort was undertaken, establishing an inspection program and
promoting legislation to create systematic environmental norms and regulations. As legislation was
passed, environmental responsibilities were assigned to various government institutions, with the
Federal Attorney's Office for the Protection of the Environment being responsible for assuring and
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verifying compliance with environmental legislation. This is carried out through evaluating potential
violators, on-site visits, and legal action. Popular denouncements and complaints are valuable sources
about violators. The Federal Attorney's Office has conducted extensive on-site visits to both industry
and natural protected areas, resulting in numerous sanctions, penalties, and industrial closures. Air
quality is of particular concern, and particular attention is paid to inspection of automobile
manufacturers and industrial emissions.
Mr. J.C.M. Veenman of the Department of Information and External Relations of the Ministry
of Housing, Spatial Planning, and the Environment of The Netherlands addressed the role of
communication in implementing environmental enforcement policy in that country. The Dutch
information approach to enforcing environmental laws is based on thinking analytically and.
strategically in terms of information objectives, target groups, information resources, and messages.
Since 1985, a three-track information strategy has been followed: inform and motivate enforcers by
providing enforcers with information on legislation and industry; motivate administrators and
government officials to achieve political priority for enforcement programs; and inform industry and
companies that are covered by environmental laws how to comply with them. This strategy is a
preventive enforcement approach with the aid of information. In addition to this strategy, informing
the public is a prerequisite for obtaining general support, and a lot of effort has been placed on
increasing the general awareness and influencing the commitment and attitudes of the public, with
good results. Enforcers must have good insight into the possibilities of communicating information
to the public; they must also have sufficient motivation, and they must be given the opportunity to
provide this information.
2 DISCUSSION
The theme presentation was extensive and generated a great deal of interest, however, no
time remained for discussion.
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THE MEXICAN EXPERIENCE ON THE ENFORCEMENT OF
ENVIRONMENTAL NORMATIVITY
TORRES, FRANCISCO BAHAMONDE
Assistant Federal Attorney for Verification of Normativity, Federal Attorney's Office for Environmental
Protection, SEDESOL, Mexico
"The world in which we live in has not been inherited to us from our parents; it has
been lent to us by our children." Luis Donaldo Colosio, December 8, 1993
(paraphrasing Chief Seattle).
Although Mexican environmental normativity was concluded in 1976 (Figure 1), during 1977
through 1979, time was spent in developing the current legislation. At the same time adjustments to
the administrative infrastructure were made, in preparation for the application of the actual inspection
program from 1980 to 1982, whose objective was to apply the law effectively. Unfortunately, due to
the economic crises and the inflationary process of those years, the sanctions did no!: represent real
punishment to the polluters, diminishing significantly the effectiveness of this program.
By 1982, a clearer perspective, community awareness and demand for solutions of the
environmental problems was perceived, which was translated in a more specific response by the
government, during the same year, amendments to the law were passed by congress. The new
administration promoted changes in its structure creating the Under Secretariat of Ecology (Figure
2), responsible for the normativity, surveillance and enforcement of air, water, soil, flora, and fauna
protection. Created in 1983, by 1985 promotes a more direct compliance to the law, resulting
In general agreements with all industrial sectors, starting with those potentially more polluting.
Thus a two prong effort was enacted. One of which was the inspection program for the
verification of compliance to the agreements, and. the other to legislate a broader normativity and
regulatory statues.
Such effort became law in 1988 with the enactment of the "ecological equilibrium and
environmental protection act", which incorporates issues related with soil contamination, management
of toxic waste, the protection of flora, fauna and natural resources, environmental impact evaluations,
and for the first time responsibilities on environmental matters for state and munioipal governments.
Between 1989 and 1992 (Figure 3), the inspection and verification program was continued,
although the legal administrative process was not applied entirely because no sanctions were issued.
Only specific environmental programs to modify and better processes for each individual industry in
order to control the emissions that were detected by on-site inspections.
In May 26, 1992, the Secretariat of Social Development was created by merging part of the
extinct Secretariat of Programming and Budget, specifically the "Solidarity Program" and the
Secretariat of Urban Development and Ecology (Figure 4).
Within the structure of the newly formed secretary, two separate agencies were created to
promote a better environment: The National Institute of Ecology and the Federal Attorney's Office for
the Protection of the Environment.
To the National Institute of Ecology was given the responsibility to formulate, modify and
update the environmental law, regulatory statues and normativity and define national ecological policy,
that is to continuously evaluate the prevailing environmental situations and act accordingly by adapting
the law and its controls to the needs of the community. Also within the institutes responsibilities is
the issuance of permits for operation of facilities or their upgrading and enlargement.
Meanwhile, the Federal Attorney's Office for the Protection of the Environment has the specific
mandate to assure and verify compliance with environmental legislation and to the specific conditions
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to the permits issued by the Institute, and when necessary, to define and apply administrative
sanctions.
In order to comply with such a mandate and apply strictly the legal and administrative
regulations stipulated in the law, which includes stiff fines, this responsibility is carried out by
considering various steps that include:
• The evaluation of the universe of contaminating sources and its classification in
accordance with its polluting potential.
• On-site visits to identify irregularities in each industry.
• Presentation before the attorneys office of inconformities by the corresponding
industry if irregularities are found.
• Admission and evaluation of such inconformities and proof of industry compliance.
• Issuing of the administrative resolution and the technical measures to be taken by
the infractor in order to comply with the norm, the compliance timetable and the
awarded fines.
• Execution of the administrative resolution.
• On-site visits to verify compliance of each contaminating source, as issued in the
respective administrative resolution.
This is carried out mainly through the industrial Emission of verification program, whose
objective is to carry out inspections to verify that the emission sources comply with the law and
regulations. This program is divided into two phases: "the attention to popular denouncements and
complains" whose purpose is to take care of complains presented by the community to the authority,
and that of "agreement compliance", focused on the verification of compliance of the norms and the
recommendations issued as result of the on-site inspections.
By applying this procedure, the Federal Attorney's Office for the Protection of the Environment
(Figure 5), has been able to perform 19,736 on-site inspection visits from August 1992 to March 1994.
11,476 of which have been conducted within Mexico City's metropolitan area and the remaining 8,260
in the rest of the country.
This means that in one year and eight months we have been able to double the number of
on-site visits compared to the previous six years. This achievement has been possible thanks to the
strong determination of President Salinas of not having a single industry that does not comply with
our environmental law.
This significant effort (Figure 6, not available), has resulted in 1,084 partial closures with a
concurrent economic sanction, 191 with definite closures and fines, and 13,933 industries with specific
recommendations and fines. Also, 4,528 industries were found to comply with the law and thus no
legal action was required.
Another program of importance is the "Verification of Natural Resources" (Figure 7), which
consists of scheduled inspections to natural protected areas, in order to insure that the applicable
regulatory decrees and laws for the protection, defense and restoration to those sites. In 1993, under
this program we were able to formulate 2,397 visits resulting in some cases in sanctions and in rinost
others with recommendations to the proper authorities to be enacted and complied to.
With regards to the "Environmental Impact Verification Program" (Figure 8), which as I
mentioned its objective is to verify compliance to the specific conditions of the permits issued by the
National Institute of Ecology, particularly those related to the preparation of the site, construction and
operation of industrial facilities, resulted in 343 visits in 1993, of which 30 were totally temporarily
closed, 1 was partially temporarily closed, 5 were definitively closed, 261 were turned to the proper
authorities and 43 were found to be complying with the law.
Of Particular interest is the "New Car Verification Program" (Figure 9), whose objective is to
assure that new automobiles and trucks comply with the norm before they are sold to the public.
During 1993,11 automotive plants were visited and 53 different models were inspected. We are glad
to inform that all plants and vehicles were well within current regulations.
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Special mention needs to be made of the programs applied during the winter months in
Mexico City's metropolitan area whose purpose is to diminish the air pollution problems that occur
due to the thermal inversion processes that predominate this time of the year.
Within this program we have 'Aerial Surveillance" (Figure 10), whose objective is to detect
obvious industrial emissions that contribute significantly to the air quality problem. This surveillance
is carried out by our inspectors in helicopters. The industries in non compliance are reported to land
based inspectors that immediately proceed to inspect the industry and determine if in effect such
emissions are contaminant, in which case they proceed to apply the proper fine, assisting in this
program we also have the networks and radio station helicopters, whose reports are considered as
a denouncement.
During the winter periods of 92-93 and 93-94, there were 758 reports that represented 317
industries, of which 83 were partially shut down until the problem was solved, 1 was totally temporarily
closed and 233 were fined.
Another winter program is the 'Attention to Environmental Contingencies" (Figure 11), which
consists of verifying the industry's compliance to winter regulations of agreed reductions to their
productive processes. When a contingency status is declared, industry must comply to previously
agreed reduction percentages, for instance, when Phase I is declared industry must reduce
production between 30% and 40%, and up to 70% when Phase II is enacted.
During the winter of 92-93, the spring-fall of 93 and winter of 93-94, there were 14 contingency
status declarations for which 3,7788 inspections were carried out, with 174 industries subjected to
judiciary revision for non-compliance, of which 23 were partially and temporarily shut down and 116
were fined.
Also, during the winter months there is another program geared to stop those vehicles that
flagrantly pollute (Figure 12), which are removed from circulation after on-site evaluation of their
emissions. This program which is carried out under the responsibility of the Federal Attorney's Office
for the Protection of the Environment in coordination with the Secretary (Department) of Transportation
and the Federal District Government.
As a result of this effort, during the last two winter seasons, 53,463 vehicles were stopped of
which 28,906 did not pass the evaluation and were removed from circulation, issuing a 48 hour permit
to carry out the required repairs.
Finally, this slide shows a summary of the Federal Attorney's Office for the Protection of the
Environment from August 1992 to March 1994 (Figure 13), which includes the results of the training
programs for federal agents and the total amount of fines applied to non-compliers.
A Great Effort
The environmental policy instituted by President Salinas not allowing for a singe industry to
be non-compliant of the current legislation is being enforced, following five basic rules:
1. The truth above else in the handling of information.
2. Accepting and correcting errors.
3. Making all information available to the public.
4. The use of a standardized format.
5. Compliance to all announced actions. :
Thank you.
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SEDESOL
UCaXUJUJL DS DEUBHOUO SOCUL
PROCURADURIA FEDERAL DE PROTECCION AL A1IBIENTE
^r F1QURA 1.-
EVOLUCION HISTORICA
1977 . 1982
ACCIONES
1977-1979
• Promocldn de la Ley.
• Ajustes Internos en la
organizacldn.
• Preformaelon para Inlcio formal
de Inspeccldn.
1980-1982
Inlcio de Inspecclon formal.
NOTA: Par InflacUn, los montos de las
multas se hlcleron Inutiles.
1982 Se publica una nueva Ley. "Ley
Federal de Proteccl6n al
Amblente".
ZOM 100!
4WO row
Ho.diVWIn
OBSERVACION6S: PERIODO 1977-1982
Figure 1.
SEDESOL
atCUTJJUJL Dl DI3ARR01M 80CUL
PROCURADURIA FEDERAL DE PROTECCION AL AMBIENTE
FIGURA 2.- EVOLUCION HISTORICA
1982 • 1988
ACCIONES
1983-1985
Se promoclona el cumpllmlento
de la Ley medlante convontos de
cumpllmlento con representaclon
da cada sector Industrial,
Inlclando con los potenclalmente
m&s contamlnantes.
1986-1988
Se Inlclan las Inspecciones para
verlflcar el cumpllmlento de los
convenlos anterlores.
OBSERVACIONES: PERIODO 1983 - 19B8
Figure 2.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
143
SEDESOL
SIXRETAHIA DS DESARHOLLO SOCIAL
PROCURAOURIA FEDERAL DE PROTECCION AL AMBIENTE
FIQURA 3.- EVOLUCION HISTORICA
1989 - 1992
(8.IM)
•*•«"
TOM woo looo tm
ACCIONIES
1989 -Junto 1992
Se continue con to inspeccidn sin
terminar el proceso administrative
(tmponer sanctones) Iteigando a
programas tdcnlcos qua
solucfonanSn los problumas
encontrados.
OBSERVACIONES: PEH1ODO DE 1989 A JUNIO/1992
Figure 3.
D
SEDESQL
3XCRTTAXIA DE DESARROUa SDCtAL
PROCUHADURIA FEDERAL OE PROTECCION AL AMBIENTE
CREACION DE LA SEDESOL
FIQURA 4.- CREACION DE LA SECHETARIA
DE DESARHQLLO SOCIAL
SEDESOL
» DE MAYO DE 1992
SUBSECflETAHIA DE
DESABHOOO REGIONAL
SUBSECTETAHIA DE
DESABROLLO URBANO E
INFRAE5TRUCTURA
SUBSECflETARlA DE VIV1ENDA Y
BIENE3 INMUEBLES
OR8ANOS DESOONCENTRAD08:
msnruro NACIONAL DE
ECOLOQIA
PflOCURADURIA FEDERAL DE
PflOIECCION AL AMBlEUre
ENTHEOTROS
OBSERVAOIONES:
Figure 4.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
SEDESOL
8ZC8CTUIU DC DESJUUtOLLO SOCIAL
PROCURADUR1A FEDERAL DE PBOTECOION AL AMBIEHTE
FIGURA 5.- EVOLUCION HISTORICA
1992-1894
MA,
{S.HAJ
o ma 4«» raw rao iron moo 1«« iewo
ACCIONES
• Incremento de inspecciones.
• Reallzer las Inspecciones corno lo
ordena la Ley, Ifegando a la Sancl6n
Econ6mlca.
OBSERVACIONES: PERIODO DEL 4/AGOSTO/92 AL 31/MARZO/94
Figure 5.
SEDESOL
••amjUltA DC BB*ARROILO SOCIAL
PROCURADUHIA FEDERAL DE PROTECCION AL AHBIENTE
F113URA 7.- PROORAMA DE
venmcAcioN EH MATCR/A of
aecuaso NATURALES
REALtZAR VISITAS DE INSPECCION A LAS AREAS NATURALES PROTEQIDAS, <
QUE LAS D1SPOSICIONES JUR1DICAS APLICABLES A LA PROTECCION, DEFEt
MEDtO AMBIENTE SEAN CUMPLIDAS. TOTAL DE VtstTAS 2,397
earw. OUMWM nee.
MUMU BI L* •joim*. awww.
MUft K COUW. MOmWOUt. •UMMH '
1M MlVTt. IUCIONU.
I UHUfTUO* UTAH W «• CAM Dl
( MMH Y. >M MMUHO*
MM IL uauwmrte o
M UVAKTAMM UTM1 i» & CMO 00 T«A M NRHUUTCM HICOKIHMOIOII
u «M< Y. M ummoc CMM M nuxxro DMUMCI* AMTI «. HINIITHM n
M UVJUfTWON *CT*»
OBSEHVACIONES: PERIODO DE LAS VERIFICACIONES: AQOSTO DE 1992 A FEBRERO DE 1994
Figure 7.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
145
SEDESOL
SECRCTAHIA DB DESARROLLO SOCIAL
PROCURADUBIA FEDERAL OE PROTECCION AL AMBIENTE
RESULTADO DE LAS VISITAS
FiaurtA a.- pRocntAurA oe VISITAS DE
IMPACTO AMBIBNTAL
REALIZAR VISITAS DE INSPECCION PARA VERIFICAR QUE LAS CONDICIONANTES DE LASi
M^™i^C,£NJS EN MATERIA DE IMPACTO AMBIENTAL OTORGADAS FOR EL INSTITUTO
NACIONAL DE ECOLOGIA SE REALICEN CONFOHME A LO AUTORIZADO
Vlsltas
REAUZADAS
CLAUSURAS TOTALES TEMP
CLAUSURAS PARC. TEMP
CLAUSURAS DEFINITIVAS
RECOMENDACION ES
SIN 1RREQULARIDADES
0 60 10O ISO 200 250 30O SCO 4OO
OBSERVACIONES: PERIODO DE VERIFIOACION: 4 DE AGOSTO/92 AL 31 DE MARZO/94
Figure 8.
SEDESOL
SEC3CTABIA DE DE3ABROLLO SOCIAL
PROCURADURIA FEDERAL DE PROTECCION AL AMBIENTE
RESULTADO DE LA VERIFICACION
D
'aorta a.- paoaaAMA DE venir/cac/ON
DE VEHICULOS EN FLANTA
NORMA AUTOMOVILES
FORD
VOLKSWAGEN
NISSAN
GENERAL MOTORS
CHRYSLER
NORMA CAMIONES
VOLKSWAGEN
GENERAL MOTORS
NISSAN T>BH!*iii'as*8g^^ 70*
OBSERVAGIONES: POROENTAJE PROMEDIO DE LOS RESULTADOS DE EMISION DE GASES
(HIOROCARBUROS (HO), MONOWDO DE CARBONO (CO) YOXIDOS DE NITROQENO (NOXfl EM
UNA MUESTRA DE VEHICULOS NUEVOS MODELO 1993, POR EMPRESA
I9W0 DC I
0
Figure 9.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
SEDESOL
•XCKCMUA DC DESARKGUjO VOCU1.
PROCURAOUHIA FEDERAL DE PROTECCION At AHBIENTE
'FIQURA 10.- PROQRAMA DE VIQIIANCIA
AEKEA
CON HELICOPTEROS PROPIEDAD DEL DDF Y DEL GOBIERNO DEL ESTADO DE MEXICO,
SsPECTORES DE LA PROCURADURIAA IDENTIFICAN AQUELLAS EMPRESAS QUE TIENEN BWSIONES
OSTCNSiBLES Y LAS REPORTAN PARA QUE PERSONAL EN TIEHRA VEHIFIQUE MEDIANTS VISITAS DE
INSPECCION SI SON CONTAMINANTES O NO.
VISITAS
REALIZADAS
CLAUSURAS PARCIALES
CLAUSURAS TOTALES
CON IRREG. LEVES
SIN IRREGULAHIDADES 0
O BO 1OO 160 200 250 300 35O
OBSERVACIONES:
Figure 10.
SEDESOL
PROCURADURIA FEDERAt DE PROTECCION AL AMBIEHTE
RESULTADO DE LAS VISITAS
FICSURA 11.- PROGHAMA Dm
ATENCION A CONTINGtENCIA
AMBIENTALES EN LA Z.M.C.M.
AL DECLARARSE CONTINQENCIA AMBIENTAL, LA PROCUHADURIA VERIFICA QUE LAS EMPRESAS
CUMPLANCON EL PROQRAMA MEDIANTE LA REDUCCION DE SUS PROCESOS PRODUCTIVOS CON
EMISIONES A LA ATMOSFERA DE UN 30 A UN 40% EN FASE I Y EN UN 70% EN FASE II.
VISITAS
TOTAL
FUERA DE OPERACION
EN CUMPLIMIENTO
ENVIADA3 A REV. JUR.
HEVERIFICACIONES
3778
1828
OBSERVACIONES: PERIODO DE ATENCION A CONTINGENCIAS: 1 DE D1CIEMBRE/92
AL 31 DE MAHZO/93 Y 1 DE DICIEMBRE/93 AL 31 DE MAHZO/94
Figure 11.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
147
SEDESOL
MCHWARtt t>B DZMRXOUO SOCUL
PHOCURADUBIA FEDERAL PE PHOTECCION At AMBIENTE
RESULTADO OE IAS ACCIONES
is.- pnoartAiuA DETISMCIOM
DE VCH/GI/IOS OST£KSIBL£MENTE
COMTAMIMANTES
^',52,CVRADURIAl EN CO°RD'NACION CON EL DDF, LA SOT Y EL GOBIERNO DEL ESTADO DE
iJ^™^'0*80 UN PROGRAMA MEDIANTE EL QUE SE DETIENEN VEHIOULOS CON
S-EN CASO DE No APROBA" LA REVISION SE
TOTAUS
NO APflOBAOAS
TOTALH
HOAM1OBAOM
AffNMOA*,
TOTALES
NOAPROBADM
APKMADA*
TOTAIXt
HOAMOMOMi
APKOeAOAf,
TOTALEt
NOAPHOBAOAt'
APROeAOAtt!
«». Dt VEHKS1LOS
OSSERVACIONES: PEHIODOS 1NVERNALES 92 - S3 Y 83-84
n
Figure 12.
SEDESOL
SSdtKTAJUA JOB DE&UUIOUU3 SOCIAL
PROCURADUBIA FEDERAL DE PHOTECCION AL AMBIENTE
F/QC/RA t3.- SUMMARY OF NATIONAL
ACTIVITIES
Attributes:
To watch over the compliance to current legislation, norms and programs
for the protection, defense and restoration of the environment.
Actions:
On *lta Inspections of Industrial emissions 19,736
On sits Inspections of nmtursl resources 3,337
On site Inspections on environmental Impact matters 343
New vehicle verification on plant n inaustrles B3 models
Environmental contingency program 3,778
Tr»lnl"9 23 courses, 866 participants
Detention of flagrantly contaminating vehicles 5-4,111
On site Inspections to Industrial parks 344
T°t«l Hi™ US $ JO'200,000
NOTE: For fte period august4,1992/march 31,1994
:D
Figure 13.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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149
THEME 6:
ESTABLISHING INTERNATIONAL NETWORKS
6. Summary of Theme Discussion, Moderator: D. Slater, Rapporteur: D. Bronkema 151
7. Establishing International Networks—UNEP IE/PAG Experience, J.H. Skinner 155
Papers 1 through 5 in Proceedings Volume 1.
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151
SUMMARY OF THEME #6: ESTABLISHING INTERNATIONAL NETWORKS
Moderator: David Slater
Rapporteur: David Bronkema (ERG)
GOALS
Description of current efforts to develop international support networks for enforcement Issues
discussed should include the genesis of the network, entities involved in developing and maintaining
it, types and levels of participation, subjects addressed by the network, vehicles and topics of
exchange, and future directions and changes anticipated for the network
1 PRESENTATIONS
, in, H «'' ?' S'ater' DireCt0f and Chief lnsPector of Her Majesty's Inspectorate of Pollution of the
United Kingdom, commented on the similarity of environmental enforcement problems faced bv
different countries. As a result, it is important to learn from fellow regulators and to build on methods
that have worked^ Several clear trends are apparent. A comprehensive approach in which all three
mediai are attacked at once y,elds the best results. Secondly, pollution prevention is crucial
tn t n hP!?6ra 3 emen,!,!S n°IOn9er State Of the ** Process choice and P°lluti«n prevention need
to be pushed Finally public awareness and support are very important. Planning is necessary to
™f f ?lear and Publlc'ln a)l of *«. there "* a need to continue communication and networking
among regulators. Mr. Slater commented on the development of the European environmental network
tracing its beginnings to an initiative from the Dutch. At a meeting in Chester, England, in November
1992, an EC Network of national pollution regulation inspectorates was established on an informal
basis, and it was agreed that the network should address the technical and practical aspects of
enforcement The objectives were an exchange of information and experience, and mutual support
Reports, data, and directories have been produced. This network has now been adopted by the
European Union and given a formal status.
Mr. L. Kramer of the DG Environment, Nuclear Safety and Civil Protection, of the Commission
of the European Communities, continued the exposition of the European Network. The European
'S ^"e"ging theKr!ghts of Soverei9n nations t° make their own laws. The environmental
n of the European Network imposes environmental laws on member governments and this
ru/Sh0me^COf°yTSy- There iS als° a problem in the implementation of the environmental
legislation. When identical legislation meets different legal, economic, social, and political cultures
™ S nfT^6 Cha"eM9e IS t0 3pply the legislation ^^ An imP°rtant asP«* <* the
*™lnn ,, ^-European Network is to mak^ countries understand that enforcement of
environmentalMediation IS very .mportant. The situation of the environment in Europe has deteriorated
over the last few years. In addition, environmental enforcement is necessary to ensure free internal
competition. Mr. Kramer stated that he is deeply convinced that the right to environment is a human
right so it cannot be subjected to national sovereignty. If the right to environment is understood on
this basis, environmental enforcement will take on another dimension. Environmental networking then
takes on a dimension of networking for the fight for human rights. This is the challenge for the years
ahead, as we deal with shrinking resources. More, better, and deeper networking is needed at all levels
Ms. M. T Szauer, Deputy Director of the Environmental Department of the National Institute
for the Environment and Natural Resources of Colombia, described the Caribbean Environmental
SpTTnffh iT^ 'S ?°nf°lidati°n ^ a netW°rkfor the Caribbean ^gion. CEE! was established
as a result of the belief that only a cooperative regional approach could address the increasing threat
caused by mismanagement of the marine environment in the region. It is composed of the insular
and coastal states and territories of the Caribbean Sea and the Gulf of Mexico and their adjacent
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water, the United States coastal states, the islands of the Bahamas and south to the French
Department of Guiana. The ongoing consolidation of the network relied on mechanisms such as
intergovernmental meetings, expert meetings on specific subjects, and project-specific networking
systems developed through the committees of the CEB. The CEB also has at its core a region wide
data compilation and distribution system. Starting in 1990, five regional programs were established
within the CEB, responsible for carrying out their own activities and projects. They are tied together
by the long-term goal of the 1990 Action Plan, whose original goal is to "achieve sustainable
development of marine and coastal resources in the Wider Caribbean Region through effective
integrated management that allows for increased economic growth." Financed by the Caribbean
Trust Fund to which all states and territories of the region contribute, and by the UNEP Environmental
Fund and other counterpart contributions, the CEB has enjoyed significant success in affecting
environmental legislation, establishing protected areas, conducting research, and engaging in
Mr. S. Klem of interpol described Interpol's involvement in combatting international
environmental crime. Interpol is an international police organization comprising 174 member states
from all over the world. As early as 1976, Interpol was fighting the illegal traffic in species of wild flora
and fauna Today, however, the general secretariat's major preoccupation is the illegal traffic in
hazardous waste and dangerous substances. Investigations into this activity encounter many
problems- information is often widely scattered because there is usually no central contact point and
there is no uniform definition of "environmental crime," and because professional environmental
criminals generally hide their illegal activities behind a legal facade, sometimes involving the corruption
of government officials. The most recent initiative to remedy this situation was to set up a working
group to discuss these issues. Possible solutions included improving cooperation and exchanging
and distributing information through existing Interpol channels. Recommendations can also be made
regarding the adoption of legislation to combat environmental crime and the harmonization of existing
legislation. Interpol has a number of facilities at its disposal for combatting international environmental
crime, including a world-wide information/telecommunications network, computerized criminal
records and international notices. It offers training programs relating to environmental crime, and it
seeks to fulfill its main mission of facilitating and fostering better understanding and closer cooperation
between members of the international law enforcement community, as well as with other appropriate
national and international environmental organizations.
Mr. M. Alushin, Director, International Enforcement Program, suggested several possible
components of a successful international network of cooperation in environmental enforcement, taking
Canada, the United States, and Mexico as examples. The components include respect for national
sovereignty, institutional frameworks for cooperation, cooperation in solving environmental problems,
consultation on laws and policies, and communications strategy. The United States, Mexico, and
Canada have begun to experiment with many of these components of enforcement cooperation. A
variety of tools are available, ranging from cooperation in training and developing technological tools
that enhance compliance-monitoring capabilities to cooperation in promoting voluntary compliance,
and conscious strategic collaboration in setting priorities for enforcement activity, selecting targets
for enforcement action, and communicating enforcement results to maximize their deterrent effect.
The evolving network will work best by building partnerships of cooperation, both between the
countries of North America and between the many national and local agencies contributing to
environmental enforcement.
Mr. J. Skinner, Senior Advisor to UNEP IE/PAC, discussed three topics related to building
global partnerships and networks for environmental protection and sustainable development: the
rationale or need for such partnerships and networks; the experience of UNEP lE/PAC's programs
involving broad-based partnerships; and important goals of those partnerships. Partnerships are
drawing attention for three different reasons: there is recognition of the need to augment the
conventional approaches to environmental protection based on end-of-pipe control technologies
implemented through regulatory programs and enforcement; there is a realization that it is essential
to work together to reach consensus solutions that will meet both environmental and development
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
153
goals and the potentiaHy high cost of environmental programs makes it necessary to combine the
scientific, technical, and economic resources of all parties. The UNEP Industry and Environment
Programme Activity Center (IE/PAG) was established in 1975 to bring industry, goLmertTSriSn
SSST °rganizf ^fJNGOs) together to work towards e^ironmenllly sound'forms o"
ndustnal development. IE/PAC has held continuous consultations with those entitles since its
Mr^mPmnt?aSHPf0m0ted * Wlde *?* °f initiatiVSS and Pr°grams as a result' From tnis experience,
Mr Skinner outlined five important goals for partnerships; partnerships should: 1) enhance compliance
with environmental laws and standards; 2) encourage cleaner production and other preventive
approaches as the strategies of choice for dealing with environmental problems; 3) support public
information and environmental education; 4) encourage technology transfer and technical assistance
OPEN DISCUSSION
*tatPri tMh fr°m, ?6TnJ suPPlemented tne information given on the European Network. He
stated that the presentation had given a vision of the European Network as seeking to qive oeoole
wa^S^Th ' 5 ^ ^ W6re three VSiy Practbal reas°ns for *«* the Europe9rNeSk
was established. The first was a discrepancy between a growing body of European law and the leaal
requirements and their implementation. The second was that no institutions could deal with this
' SS thS EUr°Pean NetWOfk has n° Power to enforce Ie3islatio
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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155
ESTABLISHING INTERNATIONAL NETWORKS— UNEP IE/PAC EXPERIENCE
SKINNER, JOHN H.
pr°9ramme IE/PAC' ^ Quai **** cii:roen-
SUMMARY
This paper covers three issues related to building global partnerships arid international
networks for environmental protection and sustainable development. First, the rationale or need for
such partnerships and networks is discussed. Second, some of UNEP lE/PAC's programs which are
founded on broad-based partnerships are outlined. The paper closes with some observations on the
goals of partnerships.
1
INTRODUCTION
HF/PAP? LSt^h hTh°HtC! ?Pre!ent ?* UNEP lndustrv a00" Environment Programme Activity Centre
(it/PAC) at this third International Conference on Environmental Enforcement UNEP IE/PAC
2£?S* *!| °P^± l° W°rk With the °ther conference sponsors and organizers, the US EPA,
WWF^ SEDESOL and VROM and to participate in discussions of these timely and important subjects
also bring you best wishes for a successful conference from Mrs. Jacqueline Aloisi de
Larderel, Director of UNEP IE/PAC. She very much wanted to be with you today but was recently
called to an important meeting by the UNEP Executive Director. Happily for me, this turn of events
resulted in my good fortune in being able to travel to Mexico and attend your meeting However I
promised Jacqueline a full report on your deliberations on my return
», ' T ?e1 impressed bv tne tneme of this session: Establishing International Networks. This
theme reflects the important need to bring together the combined resources and expertise of all
f^Tnfth ff ^ <°effective|y deal with some of the complex health, safety ,and environmental
issues o the future This concept of global partnerships and networks is clearly called for by Agenda
21 adopted at the United Nations Conference on Environment and Development (UNCED) in Rio de
Janeiro in 1992. Just reading the titles of some of the sections of Agenda 21 sounds a roll call of
the major groups with a stake in sustainable development:
"Global action for women towards sustainable and equitable development..
Children and youth in sustainable development...
Recognizing and strengthening the role of indigenous people and their communities...
Strengthening the role of NGOs...
Local authorities initiatives...
Strengthening the role of workers and their trade unions...
Strengthening the role of business and industry...
Scientific and technological community...
Strengthening the role of farmers...
Environmentally sound technology: transfer, cooperation and capacity-building...
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
National mechanisms and international cooperation for capacity-building in developing
countries..."
This session gives us all the opportunity to review how we can respond to the mandates of
Aqenda 21 and forge effective partnerships with governments, other industries, international
organizations, professional associations, academia, NGOs and others that will contribute to
sustainable development. ,,..,. u -,^. , u^.
In my presentation today I would like to cover three topics related to building global
partnerships and networks for environmental protection and sustainable development. First, I would
like to discuss the rationale or need for such partnerships and networks. Second, I would like to teH
you about some of UNEP lE/PAC's programs which are founded on broad-based partnerships. And
finally I will close with some observations on the goals of partnerships. However, I hope that these
observations, developed over my 20 years experience in the environmental field, stimulate thought
and discussion.
2 THE NEED FOR PARTNERSHIPS AND NETWORKS
I believe that there are three interrelated reasons for the current, wide-spread interest in
partnerships for environmental protection and sustainable development. The first is a growing
recognition of the need to augment the conventional approaches to environmental protection that are
based on end-of-pipe control technologies implemented through regulatory programs and
enforcement The second is the realization that we are all stakeholders in sustainable development
and that it is essential to work together to attempt to reach consensus solutions that will meet both
environmental and development goals. The third is that the potentially high cost of environmental
programs makes it necessary to combine the scientific, technical and economic resources of all
stakeholders. Let me elaborate a bit on these issues.
Over the past 20 years I have seen substantial progress in addressing many environmental
problems For the most part, this progress has been made primarily in those countries that have
established environmental control programs based on environmental standards, regulations and
enforcement. For example, extensive efforts in regulating discharges to surface waters and requiring
the treatment of municipal and industrial waste waters, has improved significantly the water quality
in many lakes, streams, rivers and estuaries. The air in many cities is cleaner today due to the
application of emission controls on mobile and stationary sources. Effective regulatory programs for
solid waste management have eliminated open dumping and put in place integrated systems of
sanitary landfills, waste-to-energy facilities and recycling systems. Regulatory control programs for
the management of hazardous waste have led to the implementation of modern waste treatment and
disposal facilities. These advances have not come easy and should not be taken for granted. In
general, environmental regulatory programs have resulted in the advancement and application of
environmental controls and have made a difference.
However, many environmental problems still exist and we understand them to be more
complex to manage than those that have been dealt with in the past. Consider the difficulty of dealing
with environmental discharges from hundreds of thousands of small sources with substantial
cumulative effects How do you effectively control area wide on non-point sources such as run-off
from agricultural lands or urban areas? We recognize that many environmental problems are
international in nature including transboundary movement of pollutants and wastes. Others are globa
in scope such as loss of biological diversity, stratospheric ozone depletion and the potential of global
warming due to the greenhouse effect. Simple application of pollution control technologies will not
be enough to deal with many of these complex problems that are systemic in nature.
Environmental problems in countries with developing economies pose a special set of
problems In some cases, there are no environmental standards and regulations, no administrative
body responsible for enforcement and no obligation for industry to dispose of wastes properly. Often
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
157
financing is not available for the construction of pollution control facilities, and there is a lack of trained
personnel to operate such systems. Broad-based efforts involving institution building, public
education, technical assistance and technology transfer are important to making progress in these
situations.
We also need to recognize the potentially high costs of environmental protection. I know that
the U.S. is currently spending $115 billion a year on environmental protection and this amount is
expected to double by the end of this decade. By then, the United States will be spending 3 percent-
of their GNP for environmental protection. I have seen similar projections for expenditures in other
countries as well. Clearly expenditures at these levels will affect all sectors of society. We must seek
ways to reduce these costs and make the most efficient use of the combined technical and economic
resources of all stakeholders.
In order to build awareness of the importance of partnerships, UNEP IE/PAC in cooperation
with the Prince of Wales Business Leaders Forum and the Center for Environmental Management
Tufts University have initiated the development of a comprehensive publication on international case
studies that demonstrate the benefits and difficulties inherent in partnerships for sustainable
development. The objective is to raise awareness of the effectiveness of partnerships and to show
how stakeholders have joined forces to solve various kinds of environmental problems The case
studies will be drawn from a variety of industry sectors and countries and will illustrate the wide variety
of partnerships in terms of the nature and number of partners, the purpose and structure of the
partnership and its scope of action. It is hoped that this publication, to be completed in 1994 will
summarize some of the key lessons of creating, operating, evaluating and replicating successful
partnerships. Let me now tell you about some other IE/PAC efforts in this regard.
3 INTERNATIONAL PROGRAMS AT UNEP IE/PAC
The UNEP Industry and Environment Programme Activity Centre (IE/PAC) was established in
1975 to bring industry, governments and non-governmental organizations (NGOs) together to work
towards environmentally sound forms of industrial development. IE/PAC was active in UNCED's
preparation and participated in the various industry fora. Following UNCED IE7PAC reviewed its
strategy and with the help of an Advisory Group formed by its partners in industry, government and
NGOs and reoriented its activities to better support the initiatives of Agenda 21. A summary of some
major activities with an emphasis on international partnerships follows.
3.1 Cleaner Production
IE/PAC launched its Cleaner Production Programme in 1990, in partnership with many
organizations including OECD, EU, UNIDO, and the World Bank. This concept has now entered the
sustainable development lexicon and is strongly supported in Agenda 21. Our Cleaner Production
Programme today includes: national cleaner production workshops held around the world a
publications series translated into several languages, ICPIC the International Cleaner Production
Clearinghouse, the establishment of Cleaner Production Centres in cooperation with UNIDO and a
series of cleaner production demonstrations in China and Africa. The programme networks with
organizations and experts world wide and transfers information to a broad set of audiences. In October
1994, in Poland, this broad program will be reviewed and discussed to assess progress made and
suggest future directions.
3.2 APELL
The APELL Programme (Awareness and Preparedness for Emergencies at the Local Level)
which promotes the prevention of, and response to, industrial accidents was developed in 1988 and
was also acknowledged in Agenda 21. This is a good example of an international partnership actively
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developed by UNEP IE/PAG, the chemical industry (the International Council of Chemical
Associations), and governments to prepare the APELL Handbook which is now available in 14
languages Furthermore, APELL recommends national and local partnerships to prevent accidents
and prepare for emergency response, and twenty APELL Seminars and Workshops have been held
over the past five years reaching over 1000 local decision makers from industry, government, local
authorities, and communities. Over 70 national governments now have APELL focal points which
disseminate APELL information to appropriate industries and agencies on a nationwide basis and
the APELL network linkds the members of this network.
3.3 OzonAction
UNEP IE/PAG is also responsible for the clearinghouse function envisaged in the Montreal
Protocol on Substances that Deplete the Ozone Layer. The OzonAction Information Clearinghouse
transfers information on ozone-depleting substances including: policy and technical options,
descriptions of alternative technologies, an international directory of experts, document abstracts and
news bulletins. Workshops, conferences and training activities are held around the world and country
programs have been established to provide practical assistance to industry and governments to help
phase out ozone depleting substances. Regional networks of ozone offices are being established
under the auspices of UNEP, enabling the sharing of information and experiences on the
implementation of the Montreal Protocol.
3.4 Tourism and transport
Agenda 21 cites the importance of tourism, one of the world's largest and fastest-growing
industries in promoting sustainable development. The IE/PAC tourism programme, launched in 1991
involves partnerships with international organizations, particularly UNESCO and the World Tourism
Organization, and has developed links with tourism industry associations. The program involves
publications, training, technical assistance, networking and the preparation of guidelines on tourism
and the environment. Transport is another area highlighted by UNCED and in 1993 IE/PAC devoted
an issue of Industry and the Environment to this subject and is carrying out an evaluation of work in
this field in order to develop future programs.
3.5 EnTA
In 1993, IE/PAC launched a new program on Environmental Technology Assessment (EnTA).
The goal of EnTA is to encourage the use of technology assessment as a tool to support the
development and application of environmentally sound technologies that are consistent with
sustainable development. Two specific goals are to encourage cleaner production and to discourage
the export and use of technologies that pose potential environmental hazards, especially in developing
countries. To guide this effort, an international advisory group has been established, and the first
issue of the EnTA Newsletter was issued. Future activities will include work on guidelines on the
environmental information that technology importers can and should provide to importing countries.
A study of the feasibility of such guidelines was called for by the UNEP Governing Council at its last
meeting.
3.6 Sectoral activities and information transfer
IE/PAC sectoral activities provide comprehensive guidance to specific industry sectors to
encourage improved environmental performance. Environmental management tools and technologies
such as waste and energy audits are addressed., A series of technical guides have been prepared
jointly with industry and over 15 industrial sectors have been covered to date. The response to these
in other sectors show the need and demand for such technical guidance. The Industry and
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Environment Review is issued quarterly and is distributed to over 10,000 persons worldwide including
government, industry and educational organizations. Each year IE/PAG responds to over 5,000
requests for information and documentation, and more than 500 researchers from academia, industry
and government consult the IE/PAC library and database resources.
3.7 Consultation with industry, government and ngos
You can see from the descriptions above, IE/PAC has continuous consultation with its various
partners in carrying out its programs and responsibilities pursuant to Agenda 21. In response to
UNCED, in 1993 IE/PAC held specific consultations on two subjects: voluntary codes of conduct and
sustainable consumption patterns. At a meeting with representatives of 30 international and national
industry associations, voluntary environmental reporting was extensively discussed as a precondition
for implementation of industry's voluntary codes of conduct on environment and sustainable
development, such as the Business Charter for Sustainable Development formulated by the
International Chamber of Commerce. More than 100 corporate reports on the environment, as well
as some first guidelines on environmental reporting, were discussed. \E/PAC also began its
contribution to implementing Agenda 21's Chapter on changing consumption patterns at another
meeting with various stakeholders on this subject. There is a need for more understanding of the
relationship between industry and consumers in determining the level and sustainability of
consumption patterns and several organizations identified follow-up actions to further identify
problems and solutions. IE/PAC will continue to strengthen its work on this important aspect of
follow-up to UNCED, and continue to encourage industry codes of conduct thai: promote voluntary
compliance with environmental policies.
4 SOME GOALS FOR PARTNERSHIPS
I would like to suggest a five important goals for partnerships. These are not intended to be
all inclusive and I invite your suggestions for others or alternatives.
First, partnerships should enhance compliance with environmental laws and standards. They
should viewed as complimentary to environmental control and enforcement programs and not
substitutes for them. Partnerships can furnish technical and managerial assistance, provide forums
for consensus building and help develop institutions within government and industry to improve
voluntary compliance with environmental standards. In order to assist governments build their
institutional capability to carry out environmental programs, IE/PAC in 1992 published a report entitled
"From Regulations to Industry Compliance: Building Institutional Capabilities." That is why IE/PAC is
pleased to join with the environmental agencies of the Netherlands, Mexico and the U.S., and the
World Wildlife Foundation to sponsor the Third International Conference on Environmental
Enforcement in Oaxaca, Mexico.
Second, partnerships should encourage cleaner production and other preventive approaches
as the strategies of choice for dealing with environmental problems. The traditional approach to
environmental protection has been an end-of-pipe strategy that captures or removes pollutants after
they are generated, or cleans up contamination after it has occurred. A cleamer production or
preventive strategy is different, it means not creating pollution in the first place. This can be
accomplished by substituting less toxic materials in product designs, recycling within industrial
processes or increasing process efficiencies, and extending product lifetimes. Cleaner production
usually entails cost savings in terms of reductions in waste treatment and disposal costs, reduced
liability for environmental damages, lower raw material costs and process efficiencies.
Third, partnerships should support public information and environmental education.
Partnerships can improve information flow to stakeholders and decision makers: and educate the
public on the nature of environmental problems and what can be done about them. Partnerships can
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involve research into the social and economic aspects of environmental protection to better
understand and design economic incentives and information and education programs.
Fourth, partnerships should encourage technology transfer and technical assistance both on
a domestic and international basis. The results of environmental research and development must be
transferred into the field as new and improved technological and management systems are
developed. Outreach efforts to apply the results of research are essential. This is especially true on
an international basis. Technology transfer to countries with developing economies is especially
important.
Fifth, partnerships should provide for better integration of environmental policy with other
policies. Other national and international policies can have as strong or stronger influence on
environmental protection as can environmental policies. Consider the effect of energy policy on the
types of fuels used, transportation policy on the vehicle mix and modes of transportation, and
agricultural policy on fertilizer and pesticide use. The environmental effect of these policies need to
be assessed in national and international forums. Approaches that reconcile environmental and other
objectives need to be explored.
To deal with the increasingly complex environmental challenges of the future new tools and
broader based strategies will be necessary. UNEP IE/PAG looks forward to new partnerships that
recognize the needs and capacities of different groups and bring together the necessary resources
for continuous improvement in environmental protection and sustainable development.
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UNEP WORKSHOPS:
INSTITUTION-BUILDING FOR ENFORCING
REGULATIONS RELATED TO INDUSTRIAL ACTIVITIES
1. Instructions for UNEP Institution-Building Workshops, R. Glaser 1
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INSTRUCTIONS FOR UNEP INSTITUTION-BUILDING WORKSHOPS
GLASER, ROB
Inspector, International Affairs, HIMH/VROM, Ministry of Housing, Spatial Planning and the
Environment, Seissingel 4, 4330 AJ Middleburg, The Netherlands (on behalf of UNEP IE/PAC Paris)
163
1 UNEP'S INVOLVEMENT
UNEP's role is in the dissemination of information on environmental issues to all member
countries of the UN and in acting as a catalyst by promoting and initiating environmental activities
Countries can expect UNEP to assist them with their requests concerning all matters related to the
environment, in the broadest sense of the word.
u -n- The uh'r2 day °f this conference wi" Provide a focus on UNEP's contribution to capacity
building in the field of compliance and enforcement in four of the twelve workshops The issue of
capacity building in compliance with and enforcement of environmental laws responds perfectly to
the outcome of the 1992 UNCED meeting in Rio. pwiw-uy 10
2 INTRODUCTION
2.1 From regulations to industry compliance
In April 1990, the UNEP office in Paris (IE/PAC) organized the first meeting of a group of senior
experts on industrial enforcement from eight countries. The experts presented and explained the
procedures for environmental enforcement in their countries. This starting point resulted in issuance
of Technical Report 11, "From Regulations to Industry Compliance," subtitled "Building Institutional
Capabilities. The report was published in 1992, after a thorough review and incorporation of the
latest concepts on this subject. The report, or guideline, was made available at the Budapest
wOnTGrsncs in 1992.
The main concept of the guideline was to provide a framework for capacity buildinq in
compliance and enforcement programs and to create a starting point for developing or newly
emerging countries (NEC). The guideline focused on countries that felt the need to Initiate a program
to address the. issues of compliance with and enforcement of environmental laws—particularly those
countries that had promulgated a large number of laws, without sufficient control mechanisms and
infrastructure to make such laws really effective.
The guideline is good reading material. It is not a recipe, nor is it the final solution to specific
problems. The guideline discusses, in a very generic manner, key issues facing licensing and
compliance authorities (control organizations, inspectorates) and guides the reader through the
general procedures of permitting, monitoring of compliance, and enforcement
«, «• The^^!ne tr'99ered ^actions worldwide and requests for further assistance soon reached
the office of UNEP IE/PAC in Paris. The main question-how to get started-became the issue and
required a proper response. The need became obvious to develop a comprehensive manual aiming
at a do-it-yourself" level in this field.
2.2
Budapest Conference in 1992, manual: Industrial Environmental Compliance and
Enforcement Programs
The papers presented during the Budapest Conference in 1992 and the adoption of "The
Principles of Environmental Enforcement" (developed by U.S. EPA at the request of the Polish
Environment Ministry in cooperation with VROM) text and course material as a framework for
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international exchange accelerated recognition of the need for a training manual which would take
the next steps toward program design and development. The manual, titled "Industrial Environmental
Compliance and Enforcement Programs" (within the framework of building institutional capacity),
shows how to promote and progress in compliance and enforcement at the various levels of program
development. The manual puts into perspective the major elements in the establishment of an effective
program. The manual further delineates the various possible routes that can be taken in establishing
environmental compliance and enforcement programs.
The manual also adopts the "train-the-trainer" philosophy and enables officials ot
environmental organizations to use the manual as a reference in designing programs and as a training
document for their staff. . . . . ... f
As it stands now, the manual will be presented as a draft to the participants in this conference.
The manual will be discussed in the working groups during four of the sessions on day three. It will
be revised to incorporate the comments of the participants. After revision, it will be published for
distribution worldwide. With the limited funds available, UNEP will provide further assistance in training
for those countries that ask for such assistance. However, the countries themselves must do most
of the work.
3 GENERAL ORGANIZATION OF THE MANUAL
The "Industrial Environmental Compliance and Enforcement Programs" manual now on the
table presents reading material in several modules. The modules describe the major elements in the
development of environmental compliance and enforcement programs. Special emphasis is placed
on permitting and on the human and financial resources required for such programs.
The case studies selected as training material describe, in increasing complexity, the various
levels of development of compliance and enforcement programs. Building the institutional capacity
of the program of a given country, in balance with a workable compliance and enforcement program,
is the ultimate goal of the training exercise. In presenting the case studies transparencies will be used
to strengthen the impact of the material and to promote discussion among the participants.
With the help provided and the answers given in the case studies, participants can find ways
to create programs on their own that match the program capacity of a particular country with the
existing infrastructure in that country.
The contributions and the comments of the participants at the workshops will be taken into
account in compiling the final manual. The solutions to the problems identified and presented by the
participants will be collected during the UNEP workshops.
4 HOW ARE THE WORKSHOPS ORGANIZED?
During the workshops, case studies will be discussed with participants. Therefore, the
participants are encouraged to review the training manual before attending the workshops.
The contents of the case studies have been chosen, to replicate reality as closely as possible.
Each of the four selected cases, which are based on experience of UNEP experts, represents the
state of development of organizational infrastructures and the promulgated laws of a hypothetica
country. The case studies are arranged in order of increasing complexity, coinciding with the state of
development of the country studied. The need for a properly balanced enforcement program is made
clear in each case study. Participants are encouraged to come forward with ideas about strengthening
the capacity of compliance and enforcement programs. Such contributions from participants will add
to the value of the training manual and will make it even more relevant to actual issues in developing
countries.
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4.1 Advice
To be able to effectively join in the discussion of case studies 1 and 2, participants are advised
to become familiar with the contents of modules 1 and 2 in the Training Manual. Case studies 3 and
4 require knowledge of modules 3 and 4 of the Training Manual, respectively.
The case studies are derived from experience gained in Poland, Mexico, the Philippines,
Thailand, Argentina, Zambia, Zimbabwe, Indonesia, the United States, the Netherlands, the Russian
Federation, Brazil, Sri Lanka, and many other countries.
As has been indicated, the participants will test the training manual and the case studies
during the workshops. The participants will work as if the training session were taking place in their
own countries and as if they were applying the training manual in their home countries.
The response of the audience and the changes or alternatives in the manual that they suggest
are extremely important. Participants' comments will be recorded and incorporated in the final training
manual.
5 WHAT DO THE MODULES DESCRIBE?
5.1 Overview
Provides a general introduction. It includes an overview of the manual and presents, in
summary, the definitions and the framework for the main concepts of the Principle's of Environmental
Enforcement.
5.2 Module 1
Covers the subject of how to design a compliance and enforcement program. It describes
the institutional aspects of capacity building in industrial compliance and enforcement.
5.3 Module 2
Discusses the human and financial resources required and funding opportunities available
for a compliance and enforcement program.
5.4 Module 3
Describes the fundamental concepts and procedures in designing inspection, self-monitoring,
and enforcement response programs.
5.5 Module 4
Presents the main elements of the permitting process that lead to enforceable prescriptions
in permits.
6 WHAT DO THE CASE STUDIES PRESENT?
The four case studies in this manual are tailored to help participants recognize "the
fundamental issues in developing an effective compliance and enforcement program" and project
the information on conditions in their home countries. The points that the case studies put forward
characterize the compliance and enforcement programs and the capacity of the executing
organizations in each country studied.
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6.1 Case study 1: Kariz
Kariz is a small countiy, with mining, textile operations, and agriculture as its main industries.
Currently, no specific institute is responsible for environmental management. An interministrial
committee has been established. There is a ministry of natural resources that has responsibility for
management of Kariz's natural resources, mainly forestry and wildlife. A mining company monitors
water quality. Some experience exists in enforcement. Pollution problems are clearly abundant and
widespread. A number of environmental laws are in place, although the structure of authority and
responsibility for enforcing those laws are- diffuse.
A new environmental management act has been adopted, and an Environmental Quality
Council created.
6.1.1 Task of the participants
Develop an environmental action plan for Kariz. Keywords for the participants: "How to get
organized." Take into account the need to develop program functions, organize an agency responsible
for the compliance and enforcement program, and fulfill other institutional requirements. Develop
institutional capacity for Kariz.
6.2 Case study 2: Mudima
Mudima is a medium-size country. Its industry centers on oil and gas processing, mining,
logging, chemical plant operations, and cattle breeding. The government has made a commitment
to abate pollution. NGOs, regional organizations, and the government are organized. Widespread
pollution has been observed.
An environmental compliance and enforcement agency has been established for some time
but seems to be in effective in the effort to abate pollution. Financial constraints are considerable.
Mudima has no systematic permitting and inspection system. The state is responsible for
enforcement.
6.2.1 Task of the participants
Keywords for the participants: "How to become effective." Develop an effective compliance
and enforcement program, taking into account the financial constraints and the human resources
and enforcement infrastructure in existence. Consider also the institutional requirements, such as the
need for a process of consultation.
6,3 Case study 3: Avnia
Avnia is a medium-size country. Its major industries are mining of coal and metals, production
of heavy machinery, and agricultural. The permitting and enforcement systems are decentralized
through the provinces. Avnia recently changed its law to improve the enforcement system in the
provinces. Recently, a law concerning Hazardous Waste was enacted to address significant problems
related to industrial waste. Its unclear definitions of hazardous waste and other problems are
undermining the new law.
6.3.1 Task of the participants
Keywords for the participants: "How do you execute enforcement?" Identify the effects of the
changes in Avnia's law on its enforcement program. Provide recommendations for improving
enforcement in Avnia.
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6.4 Case study 4: Odemi
Odemi is a medium-size country. Its main industries are metal refining, oil refining, textile
manufacturing, butchering, crop farming, and piggery operations. Odemi has 10 years of experience
in the execution of environmental laws governing air and water issues. Permitting system is in full
operation, Odemi lag in permitting. Difficulties in enforcement are the result of standards and
inspection infrastructure.
6.4.1 Task of the participants ;
Keywords for the participants: "How to get an enforceable permitting process." Improve
permitting and establish systematic enforcement. Develop tools to evaluate progress and promote
cooperation with the regulated community.
7 WHAT WILL BE DONE WITH THE RESULTS OF THE WORKSHOPS?
Comments and contributions of the participants during the workshops will be compiled and
reported. Participants will complete a questionnaire to evaluate the workshops. The results will be
distributed to all participants.
The manual will be updated and published for distribution worldwide through UNEP
IE/PAG, Paris.
A facilitator's guide will be added to the manual to assist trainers-to-be in using the manual.
8 WHERE ARE WE TO GO FROM HERE?
The real test of the training manual will be in practice.
To improve the manual, UNEP will need evaluation of and comment on the use and application
of the manual in different countries. Such improvement is a long-term goal for UNER The countries
that are implementing and developing an enforcement program might require assistance through
UNER UNEP will be eager to receive information about the experiences gained in those countries
that use and apply the training manual.
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SPECIAL TOPIC WORKSHOPS
Export/Import of Illegal Shipments of Hazardous Waste, Toxic Chemicals, or Contaminated Products
3. Summary of Workshop, Facilitator: W. Klein, Rapporteur: R. Sturgess ; 171
Papers 1 through 2 in Proceedings Volume 1.
Field Citations as an Approach to Enforcement
4. Summary of Workshop, Facilitator: M. Alushin, Rapporteur: K. Rubin 177
Papers 1 through 4 in Proceedings Volume 1.
CFC Control Program Enforcement: Implementing the Montreal Protocol
3. Summary of Workshop, Facilitator: H. Kesselaar, Rapporteur: M. Mayo ; 181
Papers 1 through 2 in Proceedings Volume 1.
Criminal Enforcement Role in Environment
5. Summary of Workshop, Facilitator: G. van Zeben,
Rapporteurs: A. DeLong, I Shewmake 185
Papers 1 through 4 in Proceedings Volume 1.
Enforcement at Government-Owned or -Operated Facilities
2. Summary of Workshop, Facilitator: M. Stahl, Rapporteur: A. DeLong 189
Paper 1 in Proceedings Volume 1.
Enforcement of Economic Instruments ,
3. Summary of Workshop, Facilitator: J. Peters, Rapporteur: E. Cowan 193
4. Enforcement of Economic Instruments in Russia, MM. Brinchuk 199
Papers 1 through 2 in Proceedings Volume 1.
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Promoting Voluntary Compliance: Environmental Auditing, Outreach, and Incentive Programs
5. Summary of Workshop, Facilitator: S. Bromm, Rapporteur: D. Bronkema 205
6. Promoting Voluntary Compliance: Linking Competitiveness, Corporate Quality, and
Self-Auditing, J. Olha, A. Mastrandonas 209
7. Voluntary Environmental Initiatives and Environmental Policy: Environmental
Management Systems, Auditing, and Enforcement, N. Kennedy, A. Greene
Papers 1 through 4 in Proceedings Volume 1.
.241
Role of Police
3. Summary of Workshop, Facilitator: J. Peters, Rapporteur: M. Low, I Shewmake.,
Papers 1 through 2 in Proceedings Volume 1.
.249
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EXPORT/IMPORT OF ILLEGAL SHIPMENTS OF HAZARDOUS WASHTE,
TOXIC CHEMICALS, OR CONTAMINATED PRODUCTS
Facilitator: Wout Klein
Rapporteur: Rick Sturgess (Apogee) ,
GOALS
The sessions addressed the following questions:
• How are nations ensuring they know of shipments with potential environmental
hazards?
• How well understood are procedures and other requirements?
• How are illegal activities identified?
• What responses have been taken and why, and how effective have they been?
• What types of international cooperation have been useful?
1 INTRODUCTION
More than 35 participants from more than 20 countries met in three separate sessions to
discuss their experiences and thoughts on methods for limiting, detecting, and enforcing regulations
on the illegal import and export of hazardous wastes, toxic chemicals, or contaminated products.
In addition, participants presented their views on the most important aspects for countries to
consider in designing a program to limit and respond to illegal shipments of hazardous waste. The
discussion ranged from views on the institutional frameworks needed within governments for effective
compliance promotion and enforcement to the need for international access to high quality information
on illegal waste shipment activity. Representatives from countries with a long history of successes
and failures in responding to illegal hazardous waste shipment issues as well as those who have just
begun to grapple with these problems provided a range of alternatives for approaching the problem
suited to the specifics of their countrys needs and existing institutions.
The importance of a program for compliance promotion and enforcement of requirements on
trans-boundary waste shipments has been driven home to many countries as a result of specific
instances of illegal activity with potentially serious consequences, such as the dumping of waste by
an Italian firm in Nigeria. In other cases, such as in Latvia and China, policy activity in this area has
been increasing in conjunction with a number of other developments in environmental legislation and
institutional development. In addition, countries that have existing requirements on trans-boundary
shipments, such as those in North America and Europe, are faced with changes in border controls
as a result of regional trade agreements that may effect waste shipments as well. Finally, all those
present were interest in increasing international cooperation and information flows on this issue.
Many of the participants were signatory members of the Basel Convention on trans-boundary
shipments of hazardous wastes. As a prelude to the discussion, participants of signatory nations
summarized the results of the second Basel convention. At this meeting, participating members
agreed to accept a ban on the export of hazardous waste for final disposal from OECD countries to
non-OECD countries, effective in March of 1994. This ban would continue to allow the trans-boundary
shipment of wastes intended for reuse or recycling. In 1997, however, the ban would be extended to
cover all exports of waste for any use from OECD to non-OECD countries, except where agreed to
in negotiations between individual countries. Some participants who are not signatories to the
agreement stated that the provisions for bilateral agreements was one of the major factors in their
decision not to join the convention.
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2 PAPERS
Papers dealing with the subject can be found in Volume I of the proceedings under headings
as follows:
• Enforcement in the Netherlands of the European Regulation on Transfrontier
Shipment of Hazardous Waste, W. Klein, pp. 375 - 381. A concise paper giving
quantities of transported wastes to and from the Netherlands and shortly
mentioning all of the items stated above.
• The United States' Enforcement Approach to the Export and Import of Hazardous
Waste, S.E. Bromm, pp. 383 - 397. This paper roughly deals with the same matters
for the USA, but in more detail and depth.
• The Enforcement Project on Transboundary Movements of Hazardous Waste
Within Europe, R. de Krom and H. Kesselaar, pp. 365 - 371. A paper describing a
project to improve exchange of ideas and cooperation between partner countries
in the enforcement of the european regulation.
On page 373 of Volume I are listed another 13 papers from other International Workshop and
Conference Proceedings on the same subjects.
3 OPEN DISCUSSION
3.1 Methods of detection for shipments of waste with potential environmental hazards
Participants acknowledged the difficulties in detecting fully all shipments of hazardous waste
crossing their borders. Both shipments where none of the required paperwork was prepared and
shipments where the contents were misrepresented in accompanying documentation provide
challenges to governments. Although many present felt that the sophisticated techniques used by
those involved in illegal activity make it difficult to ensure complete detection of illegal shipments, a
number of techniques have proven effective in limiting this illegal activity. Detection methods included
the following:
3.1.1 Environmental inspectorate
• Environmental inspectors. Some participants stressed the need for a cadre of ,
government employees trained in the technical and administrative details of
hazardous waste. These officials provide an independent inspection and
investigatory body that can foilow-up on information gathered from other sources
or can lead detection efforts separate from those carried out through normal
customs channels.
• Proactive investigation. A number of participants suggested developing "waste
profiles" to aid in the detection efforts outlined above. These include industry
analyses to identify common hazardous wastes generated in the production of
goods, to criminal histories of individuals and companies. These information
databases can provide information on trends and criminal backgrounds to help
focus inspection and investigation efforts. International sharing of this type of
information was encouraged.
• "Paper Trails." The importance of documentation at each stage of the shipment
process, from cradle to grave, was emphasized. This trail of paper makes illegal
activity more cumbersome, as documentation must be falsified at many stages in
the process and makes detection easier. For example, a Canadian participant
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noted that illegal waste shipments are often detected by examining records at the
disposal facility.
3.1.2 Other government institutions
• Customs inspections at international borders and ports. Although the role played
by customs officials differs from county to country, most participants emphasized
the critical detection role played by a customs officials trained to detect oddities in
shipment documentation and to identify illegal substances.
• Police Inspectors and Criminal Intelligence. In addition to customs officials and
inspectors focussing on illegal waste shipments, a good deal of illegal
transboundary shipments are detected through the broader activities of police
departments and the intelligence community. Indeed, hazardous waste shipments
may be only one part of the illegal activity carried out by individuals or
organizations. Therefore, coordination, training, and information sharing among
those governmental bodies likely to uncover illegal waste import/export activity is
essential.
• Other governments. While many participants stressed that Basel Convention
signatory nations are required to provide "Prior Informed Consent" for
transboundary waste shipments, others noted that this did not always occur and
did not require those nations that have not signed the convention to comply.
Nevertheless, it was noted that a good deal of information on hazardous waste
shipments flows from originating countries as well as countries that are
intermediate transit points to the country of destination.
3.1.3 Other organizations
• Non-governmental Organizations (NGOs). For many countries, international NGOs,
such as Greenpeace, as well as local organizations are critical sources of
information on illegal waste shipment activity. In Indonesia, for example, these
organizations played a principle role in detecting illegal shipments prior to recent
capacity-building efforts in the country.
• The media and the public. Private citizens and journalists have played an important
role in detecting and publicizing illegal waste shipments in many countries.
Frameworks for encouraging this type of public participation, such as "hotlines" for
citizen reporting were mentioned as effective tools.
3.2 Clarity of understanding of hazardous waste import/export procedures and requirements
Participants recognized that understanding of hazardous waste import/export requirements is
poor, both within a single country and between nations. A critical problem is the definition of
"hazardous substance." Many countries and international organizations have adopted different
definitions and alternative lists of substances considered dangerous. For example, the European
Commission, the OECD, and the Basel Convention have all adopted varying standards. In addition,
interpretation of these standards differs between countries. A critical point of dispute is the definition
of recyclable materials as opposed to hazardous waste. A number of governments have been
accused of exporting hazardous wastes that they define as materials for recycling or reuse. Although
participants realized that this issue was quite difficult to resolve, they felt a greater reliance on
technical/science based definitions of hazardous substances was needed.
In addition to definitional problems, transporters, importers, and exporters, as well as
government officials and the public are often ignorant, or plead ignorance of regulations on import
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and export. It was felt that there was not sufficient effort being placed on compliance promotion
activities such as educational programs and letters to the regulated community. It was pointed out
that this compliance promotion activity can also strengthen enforcement efforts since evidence that
entities had received specific information on requirements limits an illegal transporters ability to plan
ignorance of laws.
In addition, both legal training and technical training is critical for government officials that
will be required to carry out the laws. Training for customs officials on methods for identifying
hazardous waste is important, although experience in*the United States has been that custom's
officials prefer to focus on more traditional smuggling activity.
3.3 Responses to violations
Participants focussed on responses to violations that are somewhat unique to illegal
shipments of hazardous waste. In general, participants believe that a firm response to violations is
necessary to deter future violations. In addition, since detection is difficult in many cases, penalties
must be costly to provide strong disincentives to other potential violators. Participants offered the
following suggestions for responses that have proven effective or that seem appropriate to hazardous
waste import/export violations:
• Require transporting companies or countries to take back waste and clean-up
problems in the destinating country. While there was some difference of opinion on
the responsibility of the originating country as opposed to the company, the ,
majority of participants felt that the country of export must take responsibility for
actions of companies operating within its borders. Some participants pointed to
examples in the Netherlands and elsewhere where waste was sent out of the
importing country but was not accepted by the country of export.
• Hold-up transport. Participants noted that there was an implicit economic penalty
associated with impoundment of vessels transporting waste illegally. Although this
measure appeared most appropriate for ship-borne waste, it has proven effective
in Nigeria and elsewhere.
• Criminal penalties. The Basel Convention promotes the use of criminal law to
penalize violators. This is consistent with policies in many countries that rely on
fines, and jail terms for violators.
• Negative publicity. NGOs and the public can play an important role in pressuring
exporters to abide by accepted practices for hazardous waste shipments. In some
instances, public reaction has cause transporters to modify their waste disposal
plans, even for shipments that met existing regulations.
3.4 International cooperation
There are many international efforts underway to improve compliance and enforcement of
existing legislation on hazardous waste import and export as well as encourage the development of
sound policies in countries where they do not currently exist. In addition to the Basel Convention, a
number of regional agreements have been created, including ASIAN, EC, and Africa (through the
Bamako convention). Some participants were not yet satisfied with existing agreements, in particular
some participants were uncomfortable with current provisions for bilateral agreements for hazardous
waste exports to developing countries. They felt that economic pressures would force these nations
to accept shipments of waste with serious health impacts.
International cooperation on enforcement activity is also increasing, primarily through initiatives
of INTERPOL and other international investigative bodies. Of particular interest to participants are the
creation of databases of criminal activity that will aid nations to identify exporters with a history of
hazardous waste violations and other related illegal activity.
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3.5
Recommendations for country policies and programs on illegal import/export of hazardous
waste
Many countries are in the process of formulating new policies or modifying existing policies
in response to changes in national priorities or the removal of barriers to free trade. Participants were
asked to provide assistance to these nations by offering a single recommendation they felt was critical
to the development of an effective program for managing the illegal import and export of hazardous
waste. These recommendations are summarized are below.
3.5.1 Planning and preparation
• Involve all concerned parties across government,, the private sector, community
groups and non-governmental organizations in discussions prior to formulation of
policy. These conversations will ensure that major concerns are addressed in
program design and future cooperation for compliance promotion and enforcement
will be encouraged.
• Learn as much as possible about programs in other countries so as to understand
the definitions of hazardous waste in use by exporting nations. This information-
gathering phase will also allow countries to learn from the mistakes made by other
nations and allow a country to design a policy from models currently available that
is most suited to its needs and existing institutions.
• Ensure technical expertise exists or is developed within the agency responsible for
inspections and investigations. Training should also available for customs officials
and others who will be asked to support inspection and detection efforts;.
• Start with achievable objectives given the capacity of the country. Expand efforts
over time as experience and institutional capacity is built through training,
information exchange, and experience.
3.5.2 Program and policy formulation . '
• Ensure that definitions of hazardous waste are clear and are based on sound
scientific analysis.
• Build on these definitions with requirements for sufficient documentation, including
required manifests of shipment contents and formal notices of agreement between
exporting and importing nations. Records should provide a detailed psiper trail of
waste shipments from departure to final disposal to bolster enforcement efforts and
make illegal activity more difficult. Include provisions for stiff enforcement actions,
including criminal penalties, that target individuals responsible for shipments as well
as companies. Require that reporting cover both hazardous wastes and materials
that could conceivably be classified as recyclable, although countries may choose
to accept these recyclable materials, it is still important to track their entry into the
country in order to reassess their potential for harm over time.
• Make responsibilities clear among levels of government (national, local) and
among government departments for various types of waste. For example, many
countries place authority for household hazardous waste issues with local
government authorities, while issues of industrial hazardous waste and waste
imports are governed at the national level.
• Design an effective information system for tracking waste shipments that can
provide up-to-date information to inspectors and customs officials. Incorporate
information available from international sources. The importance of information was
stressed repeatedly. Canada, has found that, although extensive information on
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hazardous waste shipments within the country is collected, this information is not
readily available in some provinces, hampering compliance and promotion efforts.
3.5.3 International cooperation
• Informal networks and more formal international arrangements can provide
important support for new programs governing import/export of hazardous waste.
Participation in international treaties such as the Basel Convention, the Bamako
agreement, and other multinational or regional arrangements can provide a formal
demonstration of commitment to responsible action on control of hazardous waste
shipments.
• Cooperation and support from countries responsible for large-scale waste
production is often critical to a well-functioning program. The export of pesticides
from countries where their use is banned were cited as examples of issues that
need to be resolved through additional negotiation between hazardous substance
exporting and importing countries.
4 CONCLUSIONS
It is striking that problems with transboundary shipments of hazardous waste, enforcement
practice and the need for international networking are so uniform throughout the world.
Key factors for successful enforcement of regulations on this subject are:
• clear and uniform definitions
• clear responsibilities and organization
• linking of information
• international networks of enforcement agencies
A general feeling exists that international networks like they are emerging in Europe, in North
America, in South East Asia and in the Mexican Gulf area could be nuclei of broader international
cooperation and that these networks could also initiate improvements in the fields of definitions,
organization, and information.
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FIELD CITATIONS AS AN APPROACH TO ENFORCEMENT
Facilitator: Michael Alushin
Rapporteur: Ken Rubin (Apogee)
GOALS
This topic addressed the following issues:
• What are field citation programs?
• For what kinds of violations are they most useful?
• What are the program design elements and different approaches to organizing a
field citation program?
• What authorities are needed?
• What factors are important to successful implementation and what kind of training
and communications are needed to implement the program?
1 INTRODUCTION
Some 20 participants from 12 countries met in two sessions to share their experiences with
field citation programs. The definition of "field citation" used to initiate discussion was that of a modest
fine imposed in the field, generally at the time and place of first discovery of a violation. The concept
was expanded during the session to reflect the social, political, and economic conditions of various
countries or sub-national jurisdictions. After discussion, field citation programs were seen to be
low-cost, streamlined, expedited enforcement tools that avoid lengthy court proceedings and harsh
penalties such as jail terms. Since they allow quick flexible response, field citation programs often
prevent small non-compliance problems from growing.
2 PAPERS
Three papers, printed in Vol.
discussion.
1 of the proceedings, provided useful background for the
Mr. Lee Paddock, Director of Environmental Policy, Minnesota Attorney General's Office, USA,
described Minnesota's use of civil field citations to address illegal disposal of solid waste such as
tires, batteries, appliances, and garbage. The program was adopted to handle a large number of
smaller violations by authorizing environmental inspectors and state conservation officers to impose
fines up to $2,000.
Ms. Shelda Sutton-Mendoza, Manager, Prevention/Inspection Section, UncJerground Storage
Tank Bureau, New Mexico Environment Department, USA, described New Mexico's program for
enforcement of underground storage tank regulations. The program greatly increased compliance
rates by coupling education and enforcement. It provides an expedited process for imposing fines
up to $500, although the large majority of fines are limited to $100.
Mr. John Rasnic, Director, Stationary Source Compliance Division, U.S. Environmental
Protection Agency, along with Ms. Jane Engert, Environmental Scientist, U.S. EPA, described a
proposed U.S. Clean Air Act Field Citation Program which will allow imposition of fines up to $5,000
for each violation. EPA will consider various factors in determining the amount of the penalty (with a
cap on total penalty to be assessed for multiple violations) and will coordinate closely with state
governments in using the remedy.
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3 DISCUSSION ISSUES
Country experience with field citation programs identified a number of key issues that served
as a useful framework for discussion:
• Authorities for action.
• Legal structure.
• Training and other issues of implementation.
• Intergovernmental cooperation.
3.1 Authorities
Field citation programs tend to reflect the social, political and economic conditions in each
country. In most programs, for example, government agents or officers have the authority to issue
citations, but some jurisdictions allow citizens to issue tickets, make citizen's arrests, or refer a violation
to the appropriate government agency. Other programs engage private companies or agents from
sister agencies (conservation officers in the state of Minnesota, for example) as field agents.
Authorities also specify the scope of citeable activities. Some programs are quite narrow. In
Kenya, for example, citations are issued by many different agencies with narrow authorities in wildlife
preservation, protection of natural area, marine resources, or forestry. In the U.S. State of New Mexico
the citation authority is limited to underground storage tanks, but 93 activities are citeable. In Mexico,
Sedsol's 2000 field agents have broad authority to issue citations across a wide range of industrial
and commercial activities. In Canada, the federal government is currently surveying its administrative
agencies to develop a schedule of "ticketable" offenses of federal environmental regulations together
with applicable fines or penalties.
Authorized penalties include the imposition of warnings, fines, or penalties, closure of facilities,
seizure of assets, or orders to correct problems causing violations. Where fines are authorized, they
generally contain schedules by type or extent of offense and minimum or maximum amounts that
may be imposed. Many programs find that access to different types of penalties provides the flexibility
to take actions that are consistent with the nature and extent of violations.
3.2 Legal structure
Key issues with respect to legal structure include:
• Source of authority—whether new legal authority is required in countries wishing to
start a field citation program.
• How explicit must legal authority be—field citations in some jurisdictions are issued
under merely implied authority to informally settle other types of enforcement
actions explicitly authorized by law.
• Whether authority should be civil or also criminal (potentially involving a jail
sentence).
• Burden of Proof—whether the government or the party charged with violating the
law must establish the relevant facts surrounding the charge.
• Appeals—whether they are allowed and how they are handled.
Many field citation programs draw their authority explicitly from legislation enacted for that
purpose. Interestingly, New Mexico's underground storage tank field citation program is a purely
administrative creation. The program offers violators an administrative order which serves as a
settlement agreement resolving the problem before more severe enforcement action is taken. The
state has no statutory or regulatory authority for field citations. Nevertheless, the administrative route
is often preferred by violators who also face the possibility of statutory penalties of up to $10,000 per
day. To date, New Mexico's legal authority to issue field citations has not been challenged.
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The burden of proof varies among programs. In Jamaica, for example, field agents must
prove that a violation has occurred (illegal dumping of waste, for example) and that the violation
adversely affected public health. In most cases, this becomes difficult, especially the need to address
public health issues in each case. In other programs, violators who choose to dispute citations must
prove that no violation occurred.
Most field citation programs have either an administrative or judicial process of appeals
Ontario offers an administrative process designed to settle disputes quickly and at low cost Other
programs rely much more heavily on the courts to handle appeals. The Bahamas; process of issuing
field orders engages that court system in a relatively long drawn out process of appeals
Some field citations preclude further enforcement actions while other act as only the first step
in an integrated enforcement system. Enforcement programs can be severely limited if use of a field
citation precludes the possibility of using other enforcement actions to address the same problem
at a later date. .
3.3 Training and other issues of implementation
While most field citation programs have found that training is integral to program performance
the issue of who should be trained is of critical importance. Most programs train field agents'
continuously. The Ontario Ministry of the Environment also has a training course for judges designed
to educate them on the authorities in environmental statutes and the importance of enforcinq
regulations prepared pursuant to them. As a result Ontario has found marked advances in judges'
receptivity to enforcing environmental offenses and the issuance of stiff penalties that act as effective
deterrents. Other training programs target police, citizens, or other agents who participate in the field
citation program.
Monitoring and evaluating success of a field citation program also is key to implementation
One dimension is direct monitoring of the actions of field agents. From a broader perspective this
is only one measure of success. Other measures suggested by program representatives include:
• Reduction in costs per citation.
• Reduction in number of appeals over time.
• Increase in percentage collections.
• Increases in compliance rates.
• Environmental quality improvements.
• Public health improvements.
3.4 Intergovernmental cooperation
Some field citation programs are run exclusively at the national level (Mexico) while others
operate at a sub-sovereign level (U.S. States and Canadian Provinces, for example) Where both
exist, questions arise regarding the extent to which they complement each other or, possibly indeed
the extent to which they overlap or conflict. Most field citation programs prefer to limit interactions
with elected offices. Many programs seek to leverage agency resources by interacting as needed
with licensing authorities, the police, or agents from sister agencies.
4 CONCLUSIONS
Since most field citation programs are relatively inexpensive, they tend to enable an efficient
allocation of enforcement budgets. Adequate training and monitoring of the performance of field
citation programs are integral to successful programs.
A field citation program can compliment broader enforcement efforts in several ways First
citations can offer substantial deterrent value at relatively low cost. Although rapid imposition of a
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monetary penalty is the most common remedy, other more severe measures are also used. In Ontario,
for example, field agents have the authority to seize assets upon discovery of a violation, and in
Mexico federal field agents can close a violating facility at the time of inspection. Second, field agents
are close to the regulated community and can offer technical advice on corrective or pollution
prevention options. Third, field citation programs can be very flexible. Some are customized to fit
specific problems, such as illegal dumping of appliances, while others have authority to issue fines
for many types of violations. Finally, field citation programs provide a rapid remedy which can
supplement other administrative, civil and criminal enforcement authorities while placing little or no
burden on the judicial system.
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CFC CONTROL PROGRAM ENFORCEMENT: IMPLEMENTING THE
MONTREAL PROTOCOL
Facilitator: Huub Kesselaar
Rapporteur: Marda Mayo (TLI)
GOAL
To meet the Montreal Protocol deadlines for reduction of CFCs.
1 INTRODUCTION
More than 25 participants from 20 countries met in three separate sessions to discuss their
experiences, programs, and recommendations for reduction of CFCs to meet the terms of the
Montreal Protocol. The sessions addressed the following questions:
• What are the major challenges meeting and enforcing the CFC reduction goals?
• What types of programs have countries adopted to control CFCs? What are the
successes and difficulties experienced with the existing programs?
• What lessons were learned to help with future program design?
Participants included representatives from countries with CFC enforcement programs in
various stages of development ranging from those with broad-based functioning programs-to those
just starting to develop a program. Examples of two fully functioning programs, discussed in the
sessions, are included in Volume 1 of the Proceedings of the Third International Conference on
Environmental Enforcement on pages 427-442.
2 PAPERS
*. r^ * u°r tl?.'S Special t0pic worksn°P' two PaPers were received. Tijink and Kesselaar reported on
^ef^POllCy obJectives concerning the CFC-action program. In 1993 an enforcement organization
started. During this year 1,600 companies were visited. In general compliance was found to be
unsatisfactory; companies waited for enforcement. Rasnic and Haas gave an overview of the United
States efforts to comply with the Montreal Protocol in the framework of the Clean Air Act In their
program USEPA has relied on industry awareness and education to promote compliance It was
important to note that education is not a substitute for traditional enforcement, but is a proven method
of achieving compliance in its own right.
3 CHALLENGES
Out of the discussions came conclusions that the following items are necessary:
3.1 Meeting goals for some developing countries, including effective financial and technical
assistance
Many of the participants were from countries which are signatories to the Montreal Protocol
The Protocol requires reporting and reduction achievement which some participants from developing
countries indicated would be difficult to meet, even under the extended time frame allowed bv
amendments to the Protocol.
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3.2 Education of the public and private groups to achieve awareness
An understanding of the enforcement goals of the CFC programs were cited by many
participants as critical to program success.
3.3 Replacement of CFCs with harmless substances and cleaner technology
Additional research is needed so benefits provided by CFC use can be retained while using
harmless and clean technology. However, beware of new chemicals to replace CFCs. While
replacements, such as the HCFCs, have been developed to reduce harmful effects on the ozone
layer, new substances may have undiscovered negative effects of their own. For instance, although
HCFCs appear to destroy the ozone layer more slowly than CFCs, they still affect the ozone layer,
and may also increase climate change.
3.4 Worldwide access to CFC technology
Exchange of information and technology to control and reduce CFCs would increase the
probability of meeting target goals, particularly for developing countries.
3.5 Consistency among nations
Challenges include development of a common understanding of the treatment of recycled
CFCs, labeling issues, and import/export tracking and enforcement.
3.6 Making an inventory
Development of a comprehensive CFC inventory of producers, importers, and users is
important for initiation of the enforcement effort, and for targeting priority sources.
4 PROGRAMS
4.1 Successes
4.1.1 Some industrialized countries run full programs and meet targets
Several industrialized countries have implemented broad-based programs which meet targets.
Such programs include preparation of an inventory of CFC producers, importers, and users, an
education program, development of priorities for maximum enforcement effectiveness and CFC
reduction, a labeling program indicating which products contain CFCs, initiation of a partnership with
producer and user groups, including self-reporting mechanisms, and inspections to check for
compliance.
4.1.2 Some developing countries have begun limited programs
Such programs include inventories, permitting programs, and administrative reporting.
4.1.3 Research on new technologies and CFC substitutes is underway in several countries
Programs have been funded by both private and public funds.
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4-1-4 CFG suppliers and producers comply easily and meet targets
The limited number of CFG suppliers and producers makes this target group easy to control.
4.2 Difficulties
4.2.1 Financial assistance to some developing countries is too slow
Some developing countries do not have staff and funding to carry out effective reduction
programs. Funds are available under the Montreal Protocol, but some countries do not have
information on how to access these funds.
4.2.2 CFG import goals are difficult to enforce
Even using Customs staff and capabilities, restrictions on imports are difficult to enforce
Mislabeling, both non-reporting of CFCs, and incorrect labeling of other chemicals as CFCs has
complicated import enforcement.
4.2.3 Enforcement of numerous diffuse target groups
Enforcement of reduction goals for user groups like small firms and owners of home
appliances and refrigerators is difficult.
5.1
CONCLUSIONS
To design and run an effective enforcement program:
• Start the education program early
• Clearly explain the problem and benefits of the CFC bah to the target groups
Voluntary compliance is more likely where users understand what is expected of them.
Form a partnership with industrial and other users for enforcement implementation
Work with users to set realistic goals and to enforce the program. Place the responsibility for
compliance with the user. For example, one country requires self-reporting of CFC use with
non-reporting a violation.
5.2 Explore the problem of export flows (especially flows to developing countries)
Some developing country representatives mentioned the problem of shipments of used
equipment and appliances containing CFCs. For example, one country receives used refrigerators
some of which do not function long and so the CFCs used for cooling escape during disposal.
5.3 Design specific legislation to prevent illegal imports
One developing country, a signatory to the Montreal Protocol, indicated they do not currently
have legislation enabling them to prevent CFC imports which violate the goals of the Montreal Protocol.
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CRIMINAL ENFORCEMENT ROLE IN ENVIRONMENT
Facilitator: Gisele van Zeben,
Rapporteurs: Ann DeLong and Tiffin Shewmake (TLI)
185
GOALS
The session addressed the following issues:
• What kinds of sanctions and other consequences are made available through
criminal enforcement, and how effective are they in achieving compliance?
• What is the proper role of criminal authorities and sanctions in environmental
enforcement? What should the relationship be between criminal arid civil
enforcement? For what types of violations is criminal enforcement (rather than civil
enforcement) particularly well suited?
• What government entities might be involved in making criminal enforcement
successful? How can these different groups be encouraged to work together?
• What training is required to support criminal enforcement, and what training
materials are available?
1 INTRODUCTION
More than 60 participants discussed, in three separate workshops, the role of criminal
enforcement in the environment. Participants represented countries with a broad range of existina
programs, including those who currently use criminal sanctions and others who are interested in
developing criminal programs.
2 PAPERS
Olga Dubovic reported on the protection of ecology in Russia and the importance of fiqhtinq
ecological crises to protect this. y
Gisele Van Zeben examined the role of the Public Prosecutor's Department in the Netherlands
with respect to the enforcement of environmental laws. The main focus is cooperation in the
enforcement network and the instruments available in the field of environmental criminal law.
The paper authored by Earl Devaney summarizes the dramatic expansion in the use of criminal
enforcement at the United States Environmental Protection Agency. The paper, moreover, addresses
the selection of appropriate targets for federal criminal environmental investigation
In his paper, Jan van der Has addresses the role of the Inspectorate for the Environment in
tracing environmental crime in the Netherlands by way of the Environmental Assistance Team.
3 DISCUSSION ISSUES
3.1
What kinds of sanctions and other consequences are made available through criminal
enforcement, and how effective are they in achieving compliance?
Many countries use some combination of fines, penalties, jail terms, closing the facility
negative publicity, requiring environmental audits and/or injunctive relief as sanctions in criminal cases
Criminal statutes may also allow for the seizure of property related to the crime. Penalties in
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environmental crimes are typically higher than administrative penalties and may be assessed on the
past profits of a corporation. Environmental crimes may also be prosecuted under other charges
such as fraud, racketeering, or lying. ^HU/IH, ,=,i
Some countries impose criminal sanctions on the corporation; in other countries, an individual
within the corporation may be held personally liable. A recent trend in the United States is to impose
both penalties and jail terms on high-level corporate officers for knowing violations' in one country,
proposed legislation would make the attorneys who incorporated the organization personally
responsible. In one example, Canada ordered a corporation not to reimburse the managers for
criminal fines and required that over the next 2 years, the environment had to be on the agenda of
the board of directors' meetings. .
In some countries, when a citizen brings out information on an environmental crime, part or
the fine can go to the individual. Fines go back to the agency, in some cases, or to special funds
pucysurroun high penalties and stiff jail terms seem to provide an effective
deterrent against environmental crimes. An effective publicity campaign also heightens public
awareness about the environment and environmental degradation. A problem can occur if judges do
not give stiff enough sentences, so sentencing guidelines need to be developed.
3 2 What is the proper role of criminal authorities and sanctions in environmental enforcement?
What should the relationship be between criminal and civil enforcement? For what types of
violations is criminal enforcement (rather than civil enforcement) particularly well suited?
Criminal is considered the toughest response. Environmental crimes are an assault on the
entire community, and criminal responses carry a greater stigma. However, criminal enforcement is
the most resource intensive, and different levels of proof are required. Criminal actions have to show
intent, knowledge or criminal reckless negligence. The theory is that the pay off is greater.
Criminal cases are generally reserved for the most serious crimes. In most countries, the
number of administrative cases is much larger than the number of criminal cases. Crimma
prosecution is generally reserved for 1) people who knowingly and significantly harm the environment
or public health and safety, or 2) cases where there is criminal culpability. Past behavior, including
the history of compliance, is taken into consideration as well. Companies that view payment of a fine
as part of the cost of doing business and are repeat violators may be liable for criminal sanctions^
Guidance should be developed to determine when it is appropriate to use criminal enforcement, and
industry should be made aware of what constitutes a criminal offense.
A challenge is to distinguish which type of sanction to bring; criminal or civil. Who determines
whether an environmental violation may be prosecuted criminally, and whether the case is brought
against an individual or a corporation, varies from country to country. In some countries this
determination is made by the public prosecutor, in other countries, a steering committee or the federal
government agency may make this determination. ..... *«-.«,«
In some countries, civil and criminal processes may occur in parallel against a firm, the
government may sue separately for the damages in a civil court. Other countries do not have this
option because cannot prosecute twice for some violation. .
In some countries the current criminal laws cover environmental areas; for example, in
Tanzania, pollution of water is criminal. In many palaces, it is difficult to bring criminal sanctions,
however, because of a lack of money and because criminal sanctions are politically unpopular. Some
countries have no provisions for environmental crimes.
In Canada, permit exceedence is a regulatory offence and is criminal. Both companies and
individuals can be charged. One creative response required a company to put an apology in the
paper for the pollution.
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3.3 What government entities might be involved in making criminal enforcement successful? How
can these different groups be encouraged to work together?
Cooperation between the government environmental agencies, public prosecutors, police and
local authorities was seen as essential to the success of a criminal enforcement program. Some
countries have established steering committees or commissions to oversee criminal environmental
prosecution and, in some cases, these entities are responsible for determining which violations should
be prosecuted criminally. These committees may contain representatives from one or more federal
government agencies, the public prosecutor's office and local officials.
Countries without inspectors must use police. A problem is often the lack of specialized police
who must collect evidence for environmental crimes. Some countries have a special section that
works only on environmental crimes, no civil or administrative cases.
Good data collection and sharing of data among the different government entities is important.
In the US model where criminal sanctions are used when there is a history of non-compliance, you
have to know what the history is. One government agency may have secret information, which can
be a problem for the prosecuting agency if they will not share that information.
INTERPOL may provide investigative support for environmental crimes through their criminal
information system. They collect and disseminate information, and organize worldng groups on
specific crimes and subjects. Mutual legal assistance treaties among countries can also promote
cooperations on criminal matters during the investigative stage and later.
For example, in Malaysia, environmental problems are not a priority in the public's mind. The
public complains to local authorities who, often, are not responsive to environmental crimes. The
federal government is trying to develop cooperative working relationships with local officials and has
recently signed a MOD with the police. The process is new and many cases do not receive high
penalties. Slowly, political support is being built to support this.
3.4 What training is required to support criminal enforcement, and what training materials are
available?
A common theme was that training is essential for inspectors, police, prosecutors and judges.
In many countries, the environmental crimes department is small with few resources, which makes
training difficult. In other countries, specially trained investigators, many with police backgrounds, are
trained to investigate environmental crimes. Individual criminal investigators can often specialize in
environmental violations.
Many corporations are providing increased training for their employees to make them aware
of what constitutes a criminal environmental action. They are also improving their technology to try
to avoid criminal sanctions whenever possible.
4 CONCLUSIONS
Criminal sanctions can play an important role in an environmental enforcement program and
send a strong deterrent message to industry. In order for a criminal enforcement program to be
effective, cooperation between inspectors, police, prosecutors and judges is essential, and the
program should target the most egregious violators. Prosecutors, judges and police also need to be
trained to effectively implement a criminal enforcement program.
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189
ENFORCEMENT AT GOVERNMENT-OWNED OR -OPERATED FACILITIES
Facilitator: Michael Stahl
Rapporteur: Ann DeLong
GOALS
The session addressed the following issues:
• How are governments made accountable for environmental requirements?
• What enforcement responses are effective in achieving compliance? What
enforcement instruments/authorities are particularly effective?
• Intergovernmental relationships: How important is the independence of the
enforcement official? What relationships and organizational linkages are useful for
success?
1 INTRODUCTION
More than 35 participants from over 29 countries discussed in two separate workshops,
challenges and approaches for enforcing environmental requirements at government owned or
operated facilities. Participants represented countries whose industries were primarily state-owned
and operated as well as countries whose economies were mostly privatized except in certain sectors.
2 PAPERS
Edwin Lowry, Deputy Attorney General for the State of California, United States, prepared an
introductory paper entitled, "Enforcement of Environmental Laws at Government-Owned Facilities:
Some Theoretical and Practical Considerations". Mr. Lowry asserts that the federal government is
capable of, and does commit, as large and as serious environmental violations'as private industry,
and that these violations should be treated in a manner similar to private industry. He also asserts
that state and local governments should be treated the same way. The Federal Facilities Compliance
Act, passed in 1992, now subjects the federal government to the same fines and penalties faced by
private industry. Implementation of this Act has highlighted some of the different constraints faced
when working with government-owned facilities, however, as examples from the state of California
demonstrate. Budgeting for the payment of penalties remains a significant obstacle, but the threat
of going to court to achieve compliance with the statute has encouraged government facilities to
increase their efforts at compliance with environmental laws.
Additional papers which address enforcement issues at government-owned or -operated
facilities can be found in Volume 1 of the Proceedings from the second International Conference on
Environmental Enforcement under Theme #5, "Economic and Ownership Issues".
DISCUSSION ISSUES
3.1 How are governments made accountable for environmental requirements?
In several countries, recent legislation has made it possible for the government to enforce
environmental laws against government-owned or -operated facilities. In some cases, either the
payment of penalties or injunctive relief may be allowed. The argument presented is that government
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should function and be treated like private business and that, therefore, the same regulations and
penalties should apply. However, the government agencies themselves often argue that they are
public service organizations, without profit motives, and that they should not be subject to the same
regulatory schemes. The need for an independent judiciary is essential for this approach to work.
In the Untied States, legislation has also been passed which requires federal facilities to do
more to prevent environmental problems, to report their emissions, and to disclose the types of
materials used. Holland has also placed more emphasis on environmental care programs, not
litigation. Although this takes more time and resources, the results have been better.
Most countries have some provision for citizen suits as a means to enforce compliance at
government-owned or -operated facilities. In some cases, however, standing was limited to having
an interest. Canada has proposed to identify an environmental commissioner to hold government
accountable. A computer registry of cases has been developed and is accessible to the public and
any two citizens may request a review of a case.
Some countries have established inter-agency steering committees to review environmental
violations and to try to work out mutually agreeable solutions, while preserving intergovernmental
relationships.
Heightening public awareness was cited by several participants as an essential factor in an
enforcement program. Media publicity, education, and awareness were all seen as effective
enforcement approaches. Reliance on public pressure is often more effective than other kinds of
actions.
3.2 What enforcement responses are effective in achieving compliance? What enforcement
instruments/authorities are particularly effective?
Suits filed by government agencies against government agencies is one way to try to enforce
environmental laws. In some countries, however, when one agency sues another, the Attorney General
can quash the suit. The agency must then try to achieve the same result through hearings and
discussion. In some cases, when legal action is difficult, the state can take over the function of the
agency or close it down.
In some countries, penalties may be assessed for environmental violations. However, this
often creates the situation where the government takes money from one pocket and puts it in the
other. In some cases, a government agency is not allowed to pay a penalty unless it has been
approved in that year's budget, which makes it difficult to collect. Another approach is to go to the
legislature and request that that agency's budget be reduced or to enact new legislation allowing the
payment of penalties.
Interagency agreements between the regulatory agency and the regulated agency can provide
a mechanism for the negotiation of administrative orders to compel compliance and develop
compliance schedules. Many countries prefer to place the emphasis on injunctive relief as opposed
to the assessment of fines.
In some countries, one of the barriers to enforcement is that inspectors do not have the
authority to inspect at government military installations, due to national security issues.
The lack of an independent judiciary is another significant barrier to enforcement. Judges
need to be independent to stand up to agencies and make them comply.
3.3 Intergovernmental relationships: How important is the independence of the enforcement
official? What relationships and organizational linkages are useful for success?
Tension can be created when one agency tries to enforce against another—both political
tensions and personal tensions between colleagues. Political constraints were identified 'as a
significant barrier to enforcing against government-owned and operated facilities. Colleagues at sister
agencies are loath to embarrass their friends and will often let a case languish or refuse to bring it.
Cases may also be quashed due to political influence and interference. For example, states may not
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be very successful trying to compel local governments to take action because the local prosector
may be biased.
The regulatory agency has to play the dual role of regulator and provider of environmental
management assistance. It is often difficult to play both roles effectively. Interagency policy groups
were identified as important to maintaining intergovernmental relationships. However, for these groups
to be effective, it was suggested that someone who controls the budget be part of the process. These
types of groups can also provide useful forums for standardizing the environmental management
practices of federal agencies and encouraging the use of environmental audits and ElAs to prevent
future problems.
4 CONCLUSIONS
Effective enforcement at government-owned and -operated facilities requires a combination
of targeted legislation, policy, publicity and public involvement. Government industries should be
treated like private businesses and the same regulations and sanctions should apply. An independent
judiciary is essential to enforce effectively and the establishment of interagency committees to
effectively address problems and preserve relationships can be effective.
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ENFORCEMENT OF ECONOMIC INSTRUMENTS
Facilitator: Jit Peters
Rapporteur: Eric Cowan (Apogee)
GOALS
The discussion covered the three topics of most interest to the participants.
• Why is there such interest in the potential application of economic (or market-
based) instruments to help solve environmental problems?
• What are particular examples of economic instruments being used in economically
developed and developing countries, and are these approaches effective and
efficient?
• What lessons have been learned about these instruments, in particular designing
them to ensure compliance and enforceability?
1 INTRODUCTION
More than 50 participants from more than 15 countries met in four separate sessions.
Representatives of countries in all stages of economic development were involved in the discussions.
2 PAPERS
Two papers were prepared for the workshops. The one by Peters and Alblas was dealing with
the enforcement of environmental charges in The Netherlands. It is often claimed that charges are
easier to enforce than direct regulations. Unfortunately, no regulatory charges are being used in Dutch
environmental policy, so it is not possible to compare the enforcement-burden of these two
instruments on practice. Experience, however, has been gained with financing charges. The examples
presented in this paper illustrate that there is a trade-off between the regulatory effectiveness and
the enforceability of these charges. For reasons of feasibility and enforceability, concessions are made
on the correspondence between the charge-base and the environmental problem, thus limiting the
regulatory potential of the charge. The decisions made on the specifications of the charge-base
indicate that enforcement problems would rise if a charge is aimed at the regulation of behavior of
a specific firm or household. From the point of view of enforcement, the relative advantages of charges
compared to direct regulation seem therefore to be limited. Charges can, however, improve the
enforceability of other instruments by correcting prices that cause environmentally Unfriendly behavior.
The paper presented by John B. Rasnic was dealing with the enforcement of economic
instruments in the United States. The United States is moving aggressively toward more market based
or economic incentive programs (EIP) for limiting pollution. Many believe that in the long term, market
based programs have a better chance at success in pollution prevention and encouraging clean
technologies than the more traditional approach of command and control. The economic approach
tends to tap the resourcefulness of the entire community by bringing out their desire to obtain a
product or service at the least overall costs. To accomplish their goal of internalizing all costs,
economic programs must include those costs associated with environmental projection required in
delivering a product or service in order to be the most successful. For most of these economic
instruments to work effectively, they must be backed by clear regulations, enforceable permits to
establish emission rights for trading, an effective compliance promotion effort and an aggressive
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enforcement program. This paper describes several types of economic instruments, their enforcement
challenges and the current activities at the USEPA to implement them.
3 DISCUSSION
3.1 The interest in the potential application of economic instruments
The participants agreed that there was a great deal of interest in all of their countries
concerning the potential application of these instruments. Not only were governments promoting the
idea; in some countries, the regulated communities (industries in particular) were pushing their
environmental regulators to consider economic instruments rather than command-and-control
regulations. In other countries, industries were fighting these instruments because industry preferred
the predictable future of a command-and-control regulation.
There were different opinions, however, about whether the interest was justified. Would
economic instruments turn out to be just another "flavor of the month" in environmental protection,
or were there benefits worth considering closely?
The interest in economic instruments is coming from the potential benefits that these
approaches appear to offer. The participants agreed that the benefits still seemed to be potential,
rather than having been proved in practice. Yet the potential benefits warrant the high level of interest.
Potential benefits of economic instruments are as follows. Note that many of these benefits
overlap.
• Economic instruments offer the potential to achieve environmental protection goals
at reduced cost over the alternative of command-and-control regulations.
Frequently, regulations can go against market forces and increase the costs of
environmental protection.
• In theory, using an "autonomous economic impetus" is likely to be more efficient
and effective in achieving environmental goals.
• The approach supports important principles such as: "polluter pays" and the
internalization of all environmental costs by industry.
• These instruments can lead to more support and cooperation from the target
group, ie. the group being regulated. People are likely to be more cooperative
when they see that they have some freedom to choose how they will comply with
an environmental requirement.
• These instruments increase the flexibility that the state has to deal with
environmental issues.
• The burden gets shifted to companies to work out their most appropriate
compliance strategies, rather than with the government.
• The use of economic instruments can promote the introduction of new
technologies better than command-and-control regulations.
• Governments around the world are running short of resources to support the
traditional command-and-control approach. Economic instruments might reduce
costs of program design, monitoring and enforcement.
• There are economies in the world that are in the midst of major transitions.
Governments and industry have to find the most efficient ways to achieve their
goals.
• Economic instruments might be more suitable than command-and-control for
promoting an ecosystem-wide perspective to environmental protection.
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• These approaches can promote continuous reduction in environmental problems.
But properly written command-and-control regulations could haves the same
benefit.
• These approaches can be used to raise funds for other environmental purposes
and programs.
3.2 Examples of economic instruments
Several important points were agreed to as part of the listing of individual economic
instruments.
• It was sometimes difficult in practice to draw a sharp line between economic
instruments and the traditional command-and-control approach, Trie two
approaches frequently blended into each other in particular cases. For example:
are fines and penalties an economic instrument? All economic instruments have a
regulation underlying them, and most have fines or penalties as clart of their
regulations.
• It is hard to define economic instruments rigorously. One suggestion made was that
a difference between economic instruments and command-and-control regulations
is that economic instruments have the explicit purpose of letting people choose,
legally, whether they will follow a proposed environmental action. Command-and-
control regulations prohibit any such choice.
3.2.1 Deposit-refund systems
Most countries have systems like this, for drink containers, packaging, etc. To be effective
the country must have systems for collecting, recycling, reuse, etc. of the materials being returned'
Otherwise, there can be perverse results with the returned material just piling up or being exported
elsewhere and distorting other countries' environmental measures. There were several examples of
this happening.
Some countries are experimenting with deposit-refund systems for larger items such as cars
refrigerators, computers etc. Norway has such a system for cars. The Netherlands is proposing this
approach, preferably based on a voluntary agreement with industry. '
3.2.2 Marketable (tradeable) permits
There is a lot of interest in this approach, but limited experience with it outsiide of Europe and
North America.
To work properly, the state should have markets within which the tradeable permit scheme
can fit. For developing countries and those undergoing radical structural change, this can be a
problem.
This approach might not be consistent with the legal environmental system in countries that
require polluters to use the "best available technology". That is, the permit specifies the maximum
allowable pollution but the polluter is legally required to reduce pollution if it is feasible to do so In
such a case, a reduction in pollution has no economic value and therefore could not be sold
There is a great deal of interest in this instrument, especially for dealing with air pollution
problems.
3-2-3 User charges for environmental goods (water, waste disposal, effluents, etc;.)
Many countries have these kinds of instruments.
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3.2.4 Taxes. Including a "greening" of the tax system
Examples include taxes on energy, waste, groundwater use and pesticides.
3.2.5 Subsidies, including accelerated capital write-offs for pollution abatement and control equipment
Governments will probably be less interested in these incentives, because they tend to reduce
government revenues. .
Examples of such subsidies are in the fields of energy savings, energy efficient appliances
and the promotion of new environmental technologies.
3.2.6 Eco-labeling
These labels support product differentiation in the market, and so exert an economic effect
on the manufacturers.
3.2.7 Environmental logos for "clean" companies
This kind of certification can lead to cheaper bank lines of credit, lower insurance costs and
more informed consumer choices. An example is the voluntary audit system within the European
Union.
3.2.8 Strict liability and compensation schemes
Making environmental polluters strictly liable for their damages can force an economic
incentive on them. .
This is a particularly interesting instrument in that it can work even in the absence of effective
environmental monitoring and enforcement. But it does require an active citizenry and an effective
court system.
3.2.9 Environmental performance bonds and financial guarantees
3.2.10 Fgll-cost pricing of environmental goods, including demand management by pricing
3.2.11 Fines and penalties
There were different opinions as to whether these are economic instruments or not. Regulators
point out that fines and penalties can change behavior by affecting profitability.
In practice, states rely on combinations of traditional regulations and economic instruments,
both of which use fines and penalties to ensure compliance.
3.2.12 Soft loans for environmental protection objectives, from multi-lateral institutions and others
3.2.13 Environmental compensation policies
Could require compensation either in financial units or real environmental units, such as
replacing destroyed wetlands with new wetlands.
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4 CONCLUSIONS
The discussions in the groups focused on what lessons could be teamed about these
instruments, in particular designing them to ensure compliance and enforceability.
• Environmental agencies should not think in "either-or" terms. Economic
instruments should be viewed as another tool to achieve environmental goals. They
will be appropriate to some circumstances, and not in others.
Tne of'Qinal goal of having these instruments replace command-and-control regulations was
highly unrealistic. It turned out that the costs that would have to be imposed were far too high For
example: the increases in energy prices that would have to be imposed to bring about the desired
behavioral changes would have led to serious social unrest, especially in developing countries.
• Economic instruments frequently go hand-in-hand with command-and-control
regulations. For example: most countries with deposit and refund systems also ban
littering.
• The economic instruments must be designed to ensure equity across income
groups.
• There is little experience yet to show whether the claims for increased efficiency of
these approaches can be achieved.
• Need to ensure compatibility across jurisdictional boundaries, or the economic
instruments can lead to searching for the best deals. Dumping for example of
recyclables, can occur.
• Be sure to apply the economic instrument at the most appropriate place in the
production-consumption-disposal chain.
• Transaction costs can be high. Economic instruments typically require a great deal
of information, some of which will be new.
• Experience has been too limited to determine the compliance and enforcement
costs or approaches. However, it is likely that technical enforcement resources will
continue to be required for economic instruments. Might also need new types of
monitoring and enforcement, such as financial and trading audits.
• Some economic instruments are designed to work even though the government
does not have good compliance monitoring and enforcement. For example- strict
liability does not require environmental monitoring. But it does require! an active
citizenry and effective civil courts.
• Environmental problems that pose immediate threats to human health or the
environment will probably continue to require command-and-control regulations.
• The introduction of economic instruments such as tradeable permits requires a
good system of data collection and monitoring. These systems can be expensive.
• Enforcement costs for economic instruments are not necessarily loweir than for
command-and-control regulations.
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ENFORCEMENT OF ECONOMIC INSTRUMENTS IN RUSSIA
BRINCHUK, MIKHAIL M.
Director, Center for Environmental Legal Studies, Institute of State and Law, Znamenka Str
10,119841 Moscow, Russia
SUMMARY
One of the newest developments in Russian environmental policy is the movement from
command-and-control to market-based regulatory strategies. Payments for emission and discharge
of pollutants into the environment and waste storage, granting of tax breaks, credits and other benefits
to enterprises and private citizens who introduce into use low-waste and resource-conservinq
technologies and carry out other effective environmental protection measures are becoming the main
tools for environmental protection enforcement.
1 INTRODUCTION
Economic instruments are relatively new means of environmental protection enforcement in
he Russian Federation. In January 1988 The Central Committee of the Communist Party of the Soviet
Union and the Union's Cabinet of Ministers issued a decree "On the Basic: Restructuring of
Environmental Protection Activities in the Nation", that has provided for "a decisive transition from
mainly administrative to mainly economic methods of environmental protection".
Tne existing economic mechanism of environmental protection in Russia is requlated mainly
To !rLC°,mPThenSiVe RSFSR Lawon Protection of the Natural Environment, adopted on December
iy,l99l (1). As the main instruments of economic mechanism of environmental protection the Law
regulates financing of environmental protection measures; establishment of standards for the payment
and amount of payment for emission and discharge of pollutants into the environment, waste storage
and other types of adverse influences; granting of tax breaks, credits and other benefits to enterprises
and private citizens who introduce into use low-waste and resource-conserving technologies and
non-traditional energy sources and carry out other effective environmental protection measures
(3ft. 1 o).
2 FINANCING OF ENVIRONMENTAL PROTECTION MEASURES
Financing is a crucial matter for environmental protection. According to the Law financing for
environmental protection measures in Russia comes from:
• The Russian Federation's republic budget, the budgets of the subjects of the
Federation.
• Funding from enterprises.
• Federal and territorial environmental funds.
• Environmental insurance funds.
• Bank loans.
• Voluntary contributions from the public and other sources.
The Law requires that financing of environmental programs and environmental protection
measures is to be designated as a separate item in federal, republic and other budgets. This is an
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important provision of the law. At least it is assumed that questions of financing of environmental
protection are to be discussed in the Government and Parliament.
In the middle of 80's, state investments in the environmental protection in the economically
developed countries varied from 0.8 to 1.5 percent of the gross national product. In the USSR
expenditures for the environment at that time were less than 1%.
Deep economic crisis in Russia, destabilization of the financial system, nonsolvency of
enterprises growth of inflation in the country - all these factors are doing their negative influence on
implementation of legal environmental protection requirements. According to the National paper on the
state of the natural environment in the Russian Federation in 1992 the volume of capital investments
in environmental protection in 1992 were 20 % less than in 1991(2). In spite of the legal provision to
designate financing of environmental protection measures as a separate item in the state budget the
Law on the Russian Federation state budget for 1992 even does not mention this kind of activities. So
the Russian public does not even know how much the state invested in the environment 1992, and
1993 as well. As estimated by economists, monies budgeted for the environmental protection in 1993
will be hardly enough for payment of the state environmental protection bodies' activities (3).
The Government which is obliged to implement the environmental protection legislation is
mainly responsible for this situation. Priority of the ecological problems in the state's activities is very
low at the present stage. The Government invests money first of all for solution of some economic
and social problems but not ecological.
Meanwhile as estimated by the Russian Ministry of the protection of environment and natural
resources the state of the environment in the country is critical and it is changing to worse. Only to
stabilize the ecological situation 1760 billions of rubles was required in 1992. This sum is compared
to the gross national product of Russia. Neither the state nor industry has this money now. It is evident
that from year to year this sum has been increasing.
Taking into consideration the fact that improvement of the environment has become a factor
of survival of the Russian people, despite the present economic difficulties the Parliament should
determine in the law a certain percentage of the gross national product to be used for protection of
the environment, stabilization and improvement of its state.
3 ENVIRONMENTAL FUNDS
Concurrent with the budgetary money, additional financing of environmental protection in
Russia is expected to provide a means of establishment of special environmental funds. In
accordance with the Law on protection of the natural environment a unified system of non-budgetary
state environmental funds is to be established for the purpose of performing urgent environmental
protection tasks, restoring environmental losses, providing compensation for damages caused and
other environmental protection tasks. Environmental funds are established at the federal level as well
as at the level of republics, districts and local level. All the funds are combined in one system.
These funds are formed using finances received from enterprises, institutions, organizations,
private citizens, including:
• Payments for the emission or discharge of pollutants into the environment, waste
storage and other types of pollution.
• Sums received on the basis of lawsuits seeking compensation for damages and
fines for violations of environmental legislation.
• Funds from the sale of confiscated hunting and fishing gear and the fish and game
illegally obtained through use of it.
• Money received in the form of dividends and interest on contributions, bank
deposits and shareholder participation of the fund's own monies in the operations
of enterprises and other corporate bodies.
• Foreign currency receipts from foreign corporate bodies and citizens.
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The monies of environmental funds are to be paid into special accounts with banking
institutions and distributed in the following proportion:
• 60 percent to realization of environmental protection measures at the local (city and
rayon) level.
• 30 percent to realization of environmental protection measures at the republic kray
or oblast level.
• 10 percent to realization of environmental protection measures at the federal level.
The Law requires that environmental fund monies are to be spent for restoration of the
environment and population, the conducting of environmental protection measures and programs
renewal of natural resources, scientific research, introduction of environmentally clean technologies'
construction of air and water purification facilities, payment of compensation to citizens for damages
caused to their health by pollution and other adverse effects on the environment, development of
environmental training and education, and other purposes connected with environmental protection
The Law forbids spending environmental fund monies on goals which are not connected with
environmental protection (art.21).
Ecologists in Russia consider this provision of the Law as well as the decision of legislators
to create a special non-budgetary environmental fund as progressive. At legist there is a legal
guarantee that the fund monies cannot be used for other purposes—though the Government tries to
encroach upon the independent status of the environmental fund (3).
Such an attempt to liquidate the federal environmental fund was undertaken by the
Government in its program "Reform development and stabilization of the Russian economy" for
1993-1995. The draft of the program suggests including the federal environmental fund in the state
budget. This suggestion of the Government is an example of violation of the Law which directly says
that the unified system of state environmental funds are non-budgetary.
4 RNANCING OF ENVIRONMENTAL PROTECTION AND PRIVATIZATION
Privatization of state and municipal enterprises can be considered in Russia as one of the
largest source of financing of environmental protection activities. Although the privatization process
in Russia is historically short - less than three years - applying to solution of ecological problems one
can separate two its stages. At the first stage - from June 1991 to January' 1993 - factors of
environmental protection during privatization of enterprises were ignored.
Though the Russian Law on privatization of state and municipal enterprises, adopted on June
3,1991(4), has promoted establishment within the National privatization program a special fund for
restoration of the environment. But the Law have not created the legal mechanism for practical
establishment of this fund. The provision concerning the environmental restoration fund was not
developed as well in the first National privatization program (for 1992). So in reality this provision was
not implemented.
The situation has been changed for better in 1993. Due to active position of fhe Ministry of
protection of the environment and natural resources it agreed with the Committee! on managing the
state property to stipulate in a new National privatization program a number of important: requirements
concerning the environment. They include necessity of ecological auditing of enterprises to be
privatized, elaboration of a program for environmental sanitation and establishment at the enterprise
the fund, for environmental sanitation.
According to a new National privatization program (which is not approved yet) ecologically
dangerous enterprises can be privatized only under the condition of realization of environmental
sanitation program.
These new provisions promise to contribute to improvement the ecological state of a qreat
number of industrial enterprises. Thus privatization can serve as an important factor for engaging
additional significant financing of environmental protection.
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5 PAYMENTS FOR ENVIRONMENTAL POLLUTION
The central place in the economic mechanism for protection of the environment is given in
the modern Russian environmental legislation to the polluter pays principle. According to the Law
payment for environmental pollution and other types of effects are charged:
• For emission and discharge of pollutants, waste storage and other types of
pollution within the bounds of established limits.
. For emission and discharge of pollutants, waste storage and other types of
pollution beyond the bounds of established limits.
Payment for standard and above-standard emission or discharge of harmful substances and
waste storage is to be paid by enterprises strictly according to the following procedure: 90 percent
to special non-budget state environmental funds, and 10 percent to the republic budget of he Russian
Federation for the purpose of financing the operations of regional state environmental protection
organs.^ ^^^ fof ljstjng ^ application of standard payments for environmental pollution is
to be determined by the Government of the Russian Federation.
The Law establishes the rule that payment for environmental pollution does not exempt the
enterprise from performance of environmental protection measures or from compensation for
damaaes caused by violations of environmental legislation (art.20).
The procedure for determining payments and their limit values for pollution of the environment
waste storage and other types of pollution was approved by the governmental decree on Augus
28,1992. According to the decision of the Government payment for the pollution of the environment
on the territory of Russia is to be charged:
• For emission of dangerous substances into the atmosphere from stationary and
movable sources.
• For discharge of dangerous substances into surface and subterranean water bodies.
• For storage of wastes of production and consumption.
To make the mechanism of payments for environmental pollution more flexible, the
Government decided to count expenditures of the enterprise for environmental protection measures
as P8^0 Russjan Mjnistry of protection of the environment and natural resources
46000 of enterprises charged payments for pollution of the environment in 1993.
In 1993 the Ministry determined standard payments for emissions of 217 widely distributed
danqerous substances into the atmosphere and for discharge of 198 substances to water bodies. It
is assumed that the list of pollutants for which enterprises are to pay in the course of time will widened
and the standard payments will be determined taking into account the toxic characteristics of the
SUbStanpayments calculated for emissions and discharge of pollutants, and waste storage within the
bounds of established limits can be included by the enterprise into the prime cost of the produced
' Payments determined for emissions and discharge of pollutants, and waste storage beyond
the bounds of established limits are calculated in the following way. The payment for emission,
discharge of pollutant or waste storage within the bounds of established limits is multiplied by the
value of emission, discharge of corresponding pollutant, waste storage beyond the bounds of
established limits and multiplied once more by five. This kind of payment is to be done at the expense
of a pro^c°(xd^^ Decree of the Government the territorial executive bodies in consultation with
the territorial environmental protection and sanitary bodies can decrease the size of payments for
environmental pollution or set some enterprises, financed from the state budget free from such
payments. It is evident that by setting this provision the Government has exceeded its authorities in
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regulating payments for pollution. Practice in the western states show that governments and regions
can set stricter requirements for environmental protection but not weaker.
Besides the recommendations of this Ministry of protection of the environment and natural
resources the executive bodies of the territories in 1991 an(l 1992 had the right to determine the size
of payments depending on ecological situation in the region and economic possibilities of enterprises
The Russian Federation was expected to receive in 1993 about 90 billions of rubles for
pollution of the environment. One of the defects of the existing system of payments resides in the
fact that payments are determined without taking into account the inflation processes in the country
which are rather high. Nevertheless payments of some enterprises are large. For example Norilsk
metallurgical plant was to pay for environmental pollution in 1993 about 4 billions of rubles.'
In general payments are rather grievous for enterprises. A lot of enterprises try to avoid
payments for environmental pollution. Arbitration (economic) courts had settled in Russia in 1992
about 6 000 disputes in this sphere. :
6 ECONOMIC INCENTIVES FOR ENVIRONMENTAL PROTECTION
In the Russian Federation incentives for environmental protection are provided by means of:
• Establishment of tax breaks and other benefits for state-owned and other enterprises,
institutions and organizations, including those engaged in environmenteil protection,'
which introduce into use low-waste and no-waste technologies and means of
production, use secondary resources, and engage in other activities which serve to
protect the environment.
• Tax exemptions for environmental funds.
• Transfer of a portion of funds from environmental funds to interest-hearing loans to
enterprises and individual citizens to finance measures guaranteed to reduce
pollutant emission or discharge.
• Establishment of higher amortization rates for fixed production capital belonging to
environmental protection funds.
• Setting of special reduced prices and bonuses for use of environmentally sound
products.
• Introduction of a special system of taxation on environmentally harmful products,
as well as products produced using environmentally hazardous technologies.
• Granting of advantageous loans to enterprises which are implementing effective
environmental protection measures, regardless of their form of ownership) (art. 24
of the Russian Federation Law on protection of the natural environment).
«, » u. The
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Russian Constitution, elaboration of the modern environmental protection legislation and successive
development and enforcement of economic means used in the optimal combination with
administrative tools.
REFERENCES
1. Vedomosti Siezda Narodnyh Deputatov Rossiyskoy Federatsii I Verhovllogo Soveta Rossiyskoy
' Federatsii. 1992. N 10. St. 457.
2 Gosudarstvennyi doklad o sostoyanii okruzshauyshchey prirodlloy sredy v Rossiiskoy Federatsii v
' 1992 godu (National Paper on the State of the Natural Environment in the Russian Federation in
1992) //Zeleny mir. 1993. N 25. R12.
3. Nuszhen li Rossii federalny ecologichesky fond? (Does Russia need the federal environmental
' fund?) //Zeleny mir. 1993. N 22. R 3.
4. Vedomosti Siezda Narodnyh Deputatov RSFSR i Verhovnogo Soveta RSFSR. 1991. N 27. St. 927.
5. Vedomosti Siezda Narodnyh Deputatov Rossiyskoy Federatsii i Verhovnogo Soveta Rossiyskoy
Federatsii. 1992. N 11. St.525.
6. Vedomosti Siezcla Narodnyh Deputatov Rossiyskoy Federatsii i Verhovnogo Soveta Rossiyskoy
Federatsii. 1992. N 12. St. 601.
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PROMOTING VOLUNTARY COMPLIANCE: ENVIRONMENTAL AUDITING
OUTREACH, AND INCENTIVE PROGRAMS
Facilitator: Susan Bromm
Rapporteur: David Bronkema (ERG)
GOALS
The session addressed the following issues:
• What is the role of compliance promotion in an enforcement program? What is its
role in countries that do not have a developed enforcement program?
• What is success for such programs? What should the goals of such programs be?
• How can the government leverage other resources to achieve compliance goals?
• How might enforcement policies be designed to promote compliances as well as
deter violations?
1 INTRODUCTION
More than 45 participants from over 35 countries discussed in four separate workshops, the
role of compliance promotion programs as part of an overall approach to ensuring environmental
protection. Participants represented countries with a broad range of existing programs, from extensive
regulatory and enforcement systems to little or no environmental laws and regulations.
2 PAPERS
Five excellent papers were prepared on compliance promotion programs in a variety of
settings. The first paper, The Compliance Incentive Experience in Santa Rosa, California, authored by
J.W. Garn, M.L. Grimsrud, and D.C. Paige, of Santa Rosa, California, United States described a
recently initiated program to promote voluntary compliance through coordinated market incentives,
technical assistance and educational programs. The program focused on auto service shops, which
were a significant source of water and air pollution for the Municipality. Auto service shops that achieve
full compliance based on a multimedia inspection are offered to voluntarily receive a specially
designed seal (sticker or decal). The public was encouraged to do business with shops displaying
the seal through a well organized outreach campaign that included television advertisements
Materials were produced to assist the industry in achieving compliance, including handouts with "Best
Management Practices," pollution prevention techniques and sources for waste recycling. Additionally,
the five local agencies that monitor and enforce environmental requirements at sen/ice stations joined
forces to produce a consolidated inspection checklist, thereby allowing any one agency to perform
a complete, multi-media inspection, referring serious violations, as necessary to the appropriate
agency for follow-up enforcement.
The second paper, Promoting Voluntary Compliance: Environmental Auditing, Outreach and
Incentive Programme, was authored by H.M. Kajura of Uganda. The paper describes a comprehensive
outreach program plan that has been developed as part of the National Environmental Action Plan
by the Ministry of Natural Resources over the last two years. Development of the Plan involved a
grass roots effort; and the plan calls for a grass roots outreach program. Rural farmers will be taught
about the environmental impacts of their agricultural practices. Environmental education will be
provided in primary schools. Macroeconomic measures will be used to encourage voluntary
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compliance both through direct government expenditure and influencing private behavior. Overall, the
strategy heavily involves the citizenry of Uganda in the efforts to preserve the environment.
The third paper by John Hall of Texas, United States, entitled, Promoting Voluntary Compliance:
Environmental Auditing, Outreach, and Incentive Programs describes the voluntary program that has
been implemented in Texas called Clean Texas 2000. The goals of the program are to reduce
hazardous waste and toxic releases by 50 percent by the year 2000, to reduce solid waste going to
landfills by 50 percent by the year 2000, and to educate the public to take personal responsibility for
the environment. Components of the program are targeted at different groups including industry, cities
and the public Another aspect of the program includes awards given by the Governor recognizing
outstanding environmental projects and accomplishments. Finally, the program includes efforts within
the government to streamline permitting and institute a comprehensive set of technical assistance
programs.
The fourth paper, Promoting Voluntary Compliance: A Valuable Supplement to Environmental
Enforcement was authored by Michael Stahl of the U.S. Environmental Protection Agency. The paper
provides several examples of the use of voluntary compliance program in the United States at the
federal state, and local level. It also discusses two new developments at U.S. EPA—a reorganization
of the enforcement function designed to focus on compliance problems on a regulated sector basis
and the creation of an Environmental Leadership Program to promote and recognize voluntary
corporate efforts. , „ ,. _ . . ,
The fifth paper, Voluntary Environmental Initiatives and Environmental Policy: Environmental
Management Systems, Auditing, and Enforcement, authored by Nadine Kennedy and Adam Greene
discusses: (1) voluntary industry programs initiated by the International Chamber of Commerce; (2)
the United States Council for International Business' partnership with the Mexican Confederation of
Chambers of Industry and finally; (3) efforts to harmonize and standardize voluntary environmental
management systems, environmental auditing and environmental reporting. Efforts in this latter
category include the European Union Environmental Management and Audit Scheme and the
International Standardization Organization's project to produce voluntary environmental management
standards.
3 DISCUSSION ISSUES
3.1 Role of compliance promotion
Conference participants agreed that programs to promote compliance are important but are
not a complete substitute for enforcement. Countries with developed environmental enforcement
programs see compliance promotion as an important adjunct, particularly when directed at parties
against whom traditional enforcement may be less practical due to their number or limited capability
for learning about and implementing environmental controls (e.g., farmers, small businesses).
Countries without enforcement programs believe outreach is an important first step towards improving
environmental problems. Promoting voluntary actions is also seen as a good interim measure pending
passage of new laws or regulations (although again, not a substitute for regulatory and enforcement
and control systems).
3.2 What is success?
The goals of a compliance promotion program will vary depending on its target. Programs
geared to farmers or small business may focus on bringing them into compliance or using best
management practices. Programs aimed at larger industry often are designed to go beyond
compliance. These programs seek to get businesses to institute pollution prevention, do self auditing,
expend resources to educate the public or its customers, or take other measures not legally
mandated. When targeted at sectors not yet subject to regulatory control, programs are aimed at
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207
getting their targets to voluntarily undertake measures, change practices, or use substitute materials
to improve the environment.
3.3 How can the government leverage other resources to achieve compliance goals?
This question elicited the greatest amount of discussion in the workshops. There was universal
support for the notion that a well informed citizenry can be a tremendous asset in providing incentives
to industry to comply. Participants provided examples of results achieved by consumers seeking
"green" products that went far beyond what traditional enforcement could achieve. On the other side
of the equation, countries with a disinterested public or a public that views environmental improvement
as contrary to economic goals, felt that they were at a significant disadvantage with respect to
instituting successful voluntary compliance programs. Dean Paige felt ithat a concerned,
environmentally aware public was key to the success of the Santa Rosa program. John Hall felt that
public image was a significant incentive for large companies to participate in programs that go beyond
compliance.
There was also uniform support for the idea that it is essential for governments to promote
environmental education, particularly for children in primary school. This was a critical element of the
Uganda Plan. Educating children provides both short- and long-term benefits — since children
influence parents' buyjng and consumption behavior today and will be the buying public of the future.
Public disclosure requirements were viewed as an important avenue towards a well informed
public. The media was also seen as a very important part of the public education process. Especially
useful were joint ventures with the media to produce efforts like educational radio programs and
public service announcements.
Seals, logos or decals, such as the ones used in the Santa Rosa and Texas programs, were
seen as a valuable source of information for consumers seeking to patronize green businesses and
thus a strong incentive for industry. Logos are also used in Germany, however, their use has raised
legal questions over government interference in the free market.
Award programs for companies with good environmental practices have also proven
successful in creating compliance competition. Indonesia runs such a program to recognize good
environmental achievements by industry and local government.
Last, but certainly not least, it the important role NGO's play in building pubKc interest and
concern in the environment.
3.4 How can enforcement policies promote compliance?
Auditing was discussed as an important tool for achieving compliance. Mexico relies heavily
on environmental audits, conducted by the government, to evaluate environmental conditions at a
plant or factory in a broader context than just an inspection can achieve, looking into management
systems and overall environmental performance. Audits are now generally paid for by the industries
that request them. If the audit reveals problems, an agreement is drawn up outlining solutions.
Many countries encourage self auditing by the regulated community. In the Netherlands, self
monitoring and internal control systems are promoted to help deal with the growing workload
associated with the increasing number of businesses coming under regulation. This system, called
ECO-Control, establishes goals and timetables for compliance under an industiy/government
covenant which eventually become enforceable through permits and other requirements if industry
does not achieve these goals voluntarily.
Some countries have policies on when they will require disclosure of voluntary audit reports.
The U.S. has a published policy with respect to how and when it will seek and use self audits in an
enforcement action. Under Canada's policy, government inspectors do not ask to see internal audits
unless a violation has occurred and the audit covers it or the information is not available from other
sources. Under Canadian law, once the government shows that an illegal act was committed, the
burden of proof shifts to the company to prove that they were diligent. As a result, private attorneys
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are advising their clients to do environmental audits and keep well informed of new environmental
requirements.
Both the United States and Canada may also include requirements for environmental auditing
as part of settlements of, or sentences for enforcement cases. In the U.S., enforcement settlements
can introduce requirements for environmental management, compliance and pollution prevention
audits for companies with patterns of violation suggesting environmental management problems or
where the same problems are likely at other facilities owned or operated by the violators. There are
also policies on prosecutorial discretion in criminal cases for companies with effective environmental
management systems. In Canada, their criminal justice system is empowered to require firms to
self-audit or improve their environmental management systems as part of judicial sentencing.
4 CONCLUSIONS
Compliance promotion programs are a critical part of a complete environmental strategy. They
are most successful when coupled with a strong compliance monitoring and enforcement program.
The public is our best ally in encouraging good compliance by industry. Government should nurture
and encourage public interest and concern over the environment.
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PROMOTING VOLUNTARY COMPLIANCE: LINKING COMPETITIVENESS,
CORPORATE QUALITY, AND SELF-AUDITING
OLHA, JENNIFER R.1 and MASTRANDONAS, ANDREW2
1 Research Assistant, Law Companies Environmental Policy Center, Staff Assistant, Global
Environmental Management Initiative
2 Associate Director, Law Companies Environmental Policy Center, Executive Director, Global
Environmental Management Initiative
2000 L Street NW, Suite 710, Washington, DC 20036 USA
SUMMARY
This paper will discuss the benefit of voluntary compliance initiatives to companies and why
market-based compliance schemes provide a reasonable way for companies to conform to national
or international environmental policy objectives. It will also provide examples of government-
sponsored voluntary incentive programs such as the United States Environmental Protection Agency's
(EPA) 33/50 Program. Finally, this paper will discuss the activities of the Global Environmental
Management Initiative (GEMI)—an organization that fosters corporate voluntary compliance
programs—and the necessity of self-audit programs, such as GEMI's Environmental Self-Assessment
Program.
INTRODUCTION
1.1 Voluntary compliance and competitiveness
Voluntary compliance is a balance that is struck between regulators and business. Rather
than requiring companies to meet certain rules and regulations in a pre-determined manner, regulators
offer a way for companies to determine their own methods and measurements in order to accomplish
environmental policy objectives.
A consensus is beginning to form among policy makers, business leaden? and academics,
particularly in the United States, that when the government allows business to address environmental
policy goals through an open market process, companies can be most effective from a number of
perspectives, including: timeliness, cost and quality.
It is an inherent value of a profit-seeking organization to seek an enviro-competitwe advantage,
a model in which a company reduces its environmental impacts in order to become more competitive
in its industry. Companies can naturally move toward enviro-competitive advantage thinking by
realizing that reductions in environmental impacts lead to a reallocation of finite invesstment resources
from environmental control and management activities to other, profit-making business endeavors.
It is not to be concluded, though, that a shift from regulator-run, mandatory compliance
programs and the associated enforcement function, can be replaced entirely by market-driven
environmental management programs. In any scheme, there will always be laggards who will find ways
to delay environmental improvement activities, possibly to secure short-term profits or for other reasons,
even when the appropriate incentives are provided by government. An appropriate environmental
compliance and enforcement strategy may be one in which free-market incentives are provided to
companies to move toward enviro-competitive advantage'while ensuring that the laggards meet
environmental policy goals through traditional command-and-control/enforcement approaches.
Compliance, therefore, may be best achieved by providing a mix of free market and government
incentives.
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In general, voluntary compliance appears to work well. Companies are both meeting and
exceeding environmental objectives through voluntary programs such as the U.S. EPA's 33/50
Program, Energy Star Buildings, and Greenlights Program. As a result of these programs, companies
are participating in continuous environmental improvement and pollution prevention.
INCENTIVE PROGRAMS
2.1 U.S. EPA programs
To foster a better relationship with companies while enhancing efforts to promote
environmental improvement, the U.S. EPA has developed several voluntary compliance programs for
businesses to join. Companies are encouraged to participate because voluntary compliance
programs provide a method for companies to meet certain objectives without being mandated. These
programs are an excellent way for companies to communicate that industry is voluntarily participating
in programs that are favorable to the environment.
The concept that appears to link all government-sponsored voluntary programs is that
companies are asked to meet a certain goal (i.e., emissions reduction) but are then left to determine
the best method for ensuring attainment. In a sense, then, the government is fostering market-based
incentives to improve business' environmental performance.
EPA has created several voluntary compliance programs such as the 33/50 Program, Energy
Star Buildings, and the Greenlights Program that enable companies to use their technology and
employee expertise to meet the specific goals of these programs.
The 33/50 Program was started in 1989 at the request of Congress to create a risk analysis
list of sites containing carcinogens. The program's aim was to reduce Toxic Release Inventory
pollutants 33% by 1992 and 50% by 1995. The 33% goal was met one year early, in 1991, which
demonstrates the power of innovative efforts in the industrial sector. There are approximately 1,200
companies participating in the program to date.
The Energy Star Buildings Program is a five-stage process in which the U.S. EPA asks
participants to perform energy-efficiency upgrades where profitable. A comprehensive building survey
is performed which determines heating requirements, ventilation, and air-conditioning loads. The U.S.
EPA is currently working with 20 buildings in a staged approach, which should take approximately
1-2 years to complete.
The Greenlights Program, initiated in 1991, is intended to promote the use of energy-efficient
lighting in offices and facilities. In return for installing new lighting systems, companies receive public
visibility through EPA as well as technical assistance. It is a profit-based pollution prevention program
that has 1,300 participants.
2.2 GEMI programs
The Global Environmental Management Initiative (GEMI), was organized in April, 1990 for the
purpose of fostering environmental excellence by business worldwide. While GEMI's 28 corporate
members are based in the United States, they operate in dozens of countries and represent over
$455 billon (USD) in annual revenue. A group of such powerhouse companies (see Table 1) have the
capability to lead a "corporate environmental management revolution" by developing and
implementing innovative voluntary compliance programs.
GEMI members helped develop the International Chamber of Commerce's (ICC) Business
Charter For Sustainable Development, and the organization was an initial endorser of the Charter.
Through follow-up activities with the ICC, UNEP and other organizations, GEMI has worked with
companies to spread the message of the Charter and to foster adherence to its 16 principles.
GEMI's first major effort was to help companies commit to continuously improving their
environmental performance using "Total Quality Environmental Management", a marriage of quality
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Table 1. GEMI Member Companies
AlliedSignal Inc.
Amoco Corporation
Anheuser-Busch Companies
Apple Computer, Inc.
AT&T
Boeing Company
Bristol-Myers Squibb Company
Browning-Ferris Industries
The Coca-Cola Company
Colgate-Palmolive Company
Consolidated Rail Corporation
Coors Brewing Copany
Digital Equipment Corporation
The Dow Chemical Company
Duke Power Company
The DuPont Company
Eastman Kodak Company
Florida Power and Light
Georgia-Pacific Corporation
Johnson & Johnson
Merck & Company, Inc.
Occidental Petroleum Corporation
Olin Corporation
Procter & Gamble Company
The Southern Company
Tenneco, Inc.
Union Carbide Corporation
WMX Technologies!
techniques and environmental management, first introduced by GEM!. The philosophy of continuous
environmental improvement has been brought closer to reality with a systemic methodology that is
aligned with the need to be competitive in global markets. In GEMI's second year, the organization
published the Total Quality Environmental Management Primer to help environmental managers and
others make the transition from total quality management to total quality environmental management
(see Figure 1).
In 1992, GEMI broke new ground with the development of the Environmental Self-Assessment
Program a self-auditing tool described in Section 2.3.
More recently, GEMI has introduced companion documents to the Total Quality Environmental
Management Primer including an analysis of investors' environmental information needs, a primer on
Benchmarking, and research on how companies apply corporate environmental management
standards globally.
2.3 Environmental self-auditing
It is necessary that voluntary compliance and incentive programs have a measurement system
that enables companies to rank performance against specified standards whether the standards are
set externally, such as by a government, or internally, by a company. Although many companies have
traditionally conducted environmental audits to ensure compliance with laws and regulations, many
companies are developing comprehensive, management systems-based auditing schemes to ensure
adherence to corporate policies—policies that may often go beyond regulatory requirements.
Environmental self-auditing is a valuable instrument that may be used to (determine whether
corporate environmental activities and conditions conform to specified criteria. Self-auditing also can
be used as a means to ensure continuous improvement in the tradition of total quality environmental
management. Companies that perform self-audits of management systems are often able to identify
and act upon areas for improvement in a cost-effective manner before performance gaps can reach
a level that may endanger natural resources or human health.
An example of a self-auditing tool is the Environmental Self-Assessment Program of the Global
Environmental Management Initiative (GEMI). The Environmental Self-Assessment Program is an
internal measurement tool that can help businesses measure and analyze their environmental
performance and set priorities among environmental improvement opportunities.
Based on the ICG's Business Charter for Sustainable Development—16 principles for
environmental management—the Environmental Self-Assessment Program can be used as a basis
for internal decisions in the spirit of total quality environmental management. The Environmental
Self-Assessment Program is a tool that measures the extent and depth of a compsiny's management
systems according to internal and external stakeholder requirements. It is:
• A desk tool, not a field instrument.
• A leading indicator of performance, not an absolute measure.
• A guide to continuous improvement based on the good faith of its user.
• A semi-subjective tool that can be consistently applied.
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The Environmental Self-Assessment Program is a business tool appropriate to a wide variety
of industries and companies because its design enables application and adaptation to specific
business circumstances. While it is not a vehicle for external communication nor-a set of standards,
it does allow a company to set goals that can be measured against the 16 principles of the ICC
Business Charter for Sustainable Development and provide data that may be used for internal
reporting mechanisms and the development of specific action programs to improve performance.
The Environmental Self-Assessment Program is similar to other self-auditing schemes and
performance measurement programs, such as the chemical industry's Responsible Care® program,
though it is intended to be more broad in its application. While Responsible Care® was designed to
meet the specific needs of the chemical industry, the Environmental Self-Assessment Program was
developed with the understanding that it would be adapted to meet specific industry-sector, company
and geographic needs.
3 CLOSING REMARKS
It is critical to ensure that voluntary government initiatives, corporate incentive schemes, and
self-auditing tools are linked in order to foster compliance with national or international environmental
policy objectives. Participation by companies in voluntary government programs will not be successful
without an understanding that these programs complement internal corporate programs. Similarly,
performance measures, such as those developed through self-auditing tools, must be directly tied
to the objectives of government initiatives and corporate requirements. Through a combination of
voluntary programs that allow companies to determine the most effective means for compliance and
measurement tools to rank performance, governments and businesses can better work together to
foster environmental excellence and business competitiveness.
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TOTAL
QUALITY
ENVIRONMENTAL
MANAGEMENT
the primer
©1993
GLOBAL ENVIRONMENTAL MANAGEMENT INITIATIVE (GEMI)
2000 L Street, N.W., Suite 710
Washington, D.C. 20036
(202) 296-7449
Figure 1. Total quality environmental management primer.
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ABOUT THE GLOBAL ENVIRONMENTAL
MANAGEMENT INITIATIVE (GEM I)
GEMI is a group of 23 leading companies dedicated to fostering
environmental excellence by business worldwide. Through the
collaborative efforts of its members, GEMI intends to promote a
worldwide business ethic for environmental management and
sustainable development, to improve the environmental performance
of business through example and leadership, and to enhance the
dialogue between business and its interested publics. Below is a list
of GEMI's current member companies:
Allied-Signal Inc.
Amoco Corporation
Anheuser-Busch Companies
Apple Computer, Inc.
AT&T
The Boeing Company
Bristol-Myers Squibb Company
Browning-Ferris Industries
Colgate-Palmolive Company
Consolidated Rail Corporation
Digital Equipment Corporation
The Dow Chemical Corporation
Duke Power Company
Du Pont Company
Eastman Kodak Company
Florida Power and Light
Merck & Company, Inc.
Occidental Petroleum Corporation
Olin Corporation
The Procter & Gamble Company
The Southern Company
Union Carbide Corporation
Weyerhaeuser Company
\ The guidance included in this primer is based on the professional judgment
of the individual collaborators as listed on the Preface page. The opinions
expressed are those of the individual collaborators, not their organizations.
Neither GEMI nor its consultants, Abt Associates, JT&A, inc., and the
Environmental Policy Center are responsible for any form of damage that
I may result from the application of the guidance contained in this primer. ,
§ •
11
Figure 1. Total quality environmental management primer (continued).
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PREFACE
This primer is written for, and in a very real sense, by
corporate environmental managers. To develop case
materials, Abt Associates distilled the experiences of dozens of
environmental managers and staffs who have provided the Global
Environmental Management Initiative (GEMI) with invaluable
information. The members of GEMI wish to thank the many
people who helped prepare the primer.
This primer, in the true spirit of TQM, was a strong
collaboration consisting of a cross-functional team including the
members of GEMI, Abt Associates, JT&A, Inc., and the
Environmental Policy Center.
The extensive research that resulted in this primer was
conducted by Richard P. Wells, Mark N. Hochman and Stephen D.
Hochman of Abt Associates, all of whom are based in Cambridge,
Massachusetts.
Advising and additional editing were conducted by:
George D. Carpenter, Chairman, GEMI (Procter & Gamble)
Thomas S. Davis, Chairman, GEMI TQM Workgroup (AT&T)
Andrew Mastrandonas, Project Manager, GEMI
(Environmental Policy Center)
Allison Keeler, Assistant Project Manager, GEMI
(Environmental Policy Center)
Judith F. Taggart, President, JT&A, Inc.
The GEMI TQM Workgroup also provided valuable input:
Bob Brothers, Eastman Kodak
Mike Fisher, Procter & Gamble
Catharine deLacy, Occidental Petroleum
Ernie Rosenberg, Occidental Petroleum
Jim Leathers, Duke Power
David Mason, ICl Americas
Algirdas Vilkas, Union Carbide Industrial Gases
III
Figure 1. Total quality environmental management primer (continued).
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Ann C. Smith, Allied-Signal
Marcia Williams, Browning-Ferris Industries
Susan F.Vogt
Executive Director, GEMI
Washington, D.C.
May, 1992
GEMI STEERING COMMITTEE
George Carpenter, The Procter & Gamble Company
(Chairman, GEMI)
W. Ross Stevens, III, E.J. du Pont de Nemours & Company
Jonathan Plaut, Allied-Signal, Inc.
Polly T. Strife, Digital Equipment Corporation
Thomas S. Davis, AT&T
Dorothy Bowers, Merck & Company
Susan Vogt, Environmental Policy Center
(Executive Director, GEMI)
IV
Figure 1. Total quality environmental management primer (continued).
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CONTENTS
INTRODUCTION i
TQEMDEFINED 3
Basic Elements of TQEM 3
Identify your customer 3
Continuous improvement 3
Do the job right the first time , . 4
Take a systems approach to work 4
IMPLEMENTING A TQEM PROGRAM 5
Assess Your Status 5
Identify Your Customers 6
External 6
Internal 6
Learn to Use P-D-C-A 7
Learn to Use TQEM Tools 9
Cause and effect diagram 9
Pareto chart 10
Control chart 11
Flow chart 12
Histogram 14
Benchmarking 16
MEASUREMENTS AND HOW TO USE THEM . ... 17
Summary 18
APPENDixA: Glossary 21
APPENDIX &• Bibliography 23
APPENDIX G List of Study Participants 25
V
Figure 1. Total quality environmental management primer (continued).
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INTRODUCTION
It was during the 1980s that world industry awoke to an
operating philosophy long espoused by a visionary group of
American business theoreticians. The philosophy, termed Total
Quality Management, or TQM, had been embraced by the
Japanese following World War II and is credited with the surge to
world market dominance of that country's automobile and
electronics industries in the 1970s.
Ironically, TQM had its origins in the United States during
World War II, when American statistician W. Edwards Deming
helped engineers and technicians use statistical theory to improve
production quality. After the war, his theories largely dismissed by
American corporations, Deming went to Japan, where he lectured
top business leaders on statistical quality control, telling them
they could rebuild their country if they followed his advice.
Since then, TQM has gained acceptance as a tool for
improving corporate performance across all aspects of business,
including environmental management. Today, many companies
are learning that TQM can be an effective strategy to continuously
improve their environmental performance.
Figure 1. Total quality environmental management primer (continued).
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TQEM DEFINED
The Global Environmental Management Initiative (GEMI) is
generally credited as being the first organization to marry
environmental management and Total Quality Management
(TQM). This primer outlines methods of applying TQM to
corporate environmental strategies, a process GEMI has identified
as Total Quality Environmental Management, or TQEM.
This document is intended to help you get started, to show
you how to use TQEM to continuously improve your
environmental performance. In no way do these pages comprise a
comprehensive training tool on Total Quality; for that, you will
need to reference the many excellent books, papers, and counies
already available.
This chapter explains the elements of a TQEM system. The
next chapter describes how to build a TQEM system within a
business. The final chapter sums up the benefits of incorporating a
TQEM system in your company.
Basic Elements of TQEM
• Identify your customers. Total Quality is based on the
premise that the customer is always right. In fact, quality is defined
by what the customer wants. Customers can be external (i.e.,
consumers, regulators, legislators, community and national
environmental groups) or internal (such as other departments
within the company, higher management levels).
• Continuous improvement. The systematic, ongoing effort
to improve business processes, continuous improvement changes
the entire corporate perspective. The staff is motivated to seek
innovative alternatives to outdated processes and policies. With
continuous improvement there is no endpoint, only progress along
a continuum.
Figure 1. Total quality environmental management primer (continued).
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• Do the job right the first time. In TQEM it is essential to
recognize and eliminate environmental problems before they occur.
The best cure for a pound of environmental crises is an ounce of
prevention. Focusing employee attention on the causes of
environmental problems instead of the symptoms can reduce the
cost of waste disposal, government reporting, and crisis control. By
investing in prevention, a company can save on the long-term costs
of compliance, resources, and unplanned liabilities.
The cost of quality is the cost that quality failures impose on
your company. In environmental management, these costs are
those of generating wastes that do not add to or may even reduce
the value of your product or service to your customer.
• Take a systems approach to work. TQEM teaches us to
look at each part of environmental management as a system. The
system includes all of the equipment and people who must work
together to achieve the desired objective. Total Quality causes us to
work across organizational boundaries, forming teams that
represent all of the functions involved in making a system work as
intended.
Interactions of people and decisionmaking procedures can be
flow-charted and analyzed as a system. This focuses attention on
what is wrong with the system, instead of forcing blame on an
individual.
For example, in an emergency situation, a prompt and
effective response results from people knowing what to do. The
"first respondents" in an emergency depend on training, a reliable
communications system, and well-maintained equipment. If any
of these elements do not work as intended, the "system" will not
work. This system includes not only people, but training, drills,
and emergency equipment.
In a well-organized system, all the components
(functions) work together to support each other.
In a system that is well-led and managed,
everybody wins. If by bad management the
components become competitive, the system
is destroyed. Everybody loses.
— W. Edwards Deming, creator of TQM
Figure 1. Total quality environmental management primer (continued).
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IMPLEMENTING A TQEM
PROGRAM
A TQEM system does not happen overnight. Rather, the
process becomes an evolution in the culture of the
organization. Therefore, it is best to begin with small steps,
building support and a record of success. However, as you take
those steps, bear in mind that TQEM is a program of continuous
improvement in which the entire system works together to meet
or exceed customers' requirements and anticipate their future
needs. In a TQEM culture, teams formed from diverse functions
within the organization work on a common objective.
Assess Your Status
Where are you now? Examine your company's current situation in
terms of both its environmental opportunities (and vulnerabilities)
and its quality practices. Ask yourself the following questions:
• How good is your compliance record?
• Have there been recent negative experiences that build a
case for stopping business as usual, such as permit
violations, accidental releases, waste disposal liabilities;?
• Are there opportunities to ameliorate performance that will
improve the company's reputation with regulators,
communities, and other external customers while reducing
costs (e.g., in compliance)?
• Does your company have a strong commitment to quality
and customer orientation, or will this require a complete
reorientation in management's thinking?
• Has your research shown that other companies have
markedly better environmental management systems? ^
Figure 1. Total quality environmental management primer (continued).
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
• How committed is top management to improved
environmental performance?
• How ready is top management to translate this
commitment into action?
• If you do not have top management support, can you build
it?
• Do you have middle management support to implement a
TQEM strategy?
• Who are the skeptics? How can you gain their support?
The answers to these questions will help you understand
where you need to build support, what training is needed, and
where some of the improvement opportunities may be.
Identify Your Customers
• External Customers. Focus on the customer groups that are
most critical to your company and your program. Your
improvement efforts should be directed toward your customers'
highest priorities. For example, many TQEM programs initially
focus on regulatory agencies as their primary external customers.
Although many managers believe that nothing can be
undertaken until regulators are satisfied, it is important to go
through the process of determining all the customers that you
must satisfy to stay ahead of evolving customer demand.
(Customers may be as diverse as local communities, or as .specific
as the PTA of the school down the street.)
• Internal Customers. The functions and processes within
your company are your internal customers and suppliers. To
determine your internal customers, ask yourself whom you are
trying to satisfy: for example, to whom does your organization
justify its existence at budget time?
This is a critical step. Identifying your internal and external
customers will help define your organization's products and
services and your measures of performance.
Figure 1. Total quality environmental management primer (continued).
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223
Learn 'to
Use P-D-C-A
Once you have assessed your status, identified your customers!,
and set your improvement objectives, you need an action plan to
begin the process of continuous improvement. One
widely-rused
tool for developing an action plan is the P-D-C-A cycle.
The P-D-C-A Cycle
ACT
Study the results.
Redesign systems to
reflect learning.
•Change Sta
•Communica
broadly
•Retrain
teit ^r
/
/ 4-
/ ACT X*-
PLAN
•Understand
gaps between
customers'
V. wh
Dectations and
at you deliver
>. »Set priorities for
^ closing gaps
1. \
^X PLAN \
•"^° ^V 1
/ \
t Customer \
\ ; Satisfaction • J
\ CHECK ^^1
\ 3.
CHECK ^N^^
Observe the effects of the •—'
change or test.
•Analyze Data
•Pinpoint Problems
£*S DO /
2. /
^/ VQ
•Develop an
action plan to
close gaps
L "Imp emeni cnanges
•Collect data to
determine if gaps
are closing
Step 5. Repeat Step 1, with knowledge accumulated.
Step 6. Repeat Step 2, and onward.
The P-D-C-A cycle is a systematic method for continual
process improvement based on the principle that you need to
understand a situation or process before you can improve it. Tetam
members must be trained to appreciate the importance of the
7
Figure 1. Total quality environmental management primer (continued).
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
planning and checking phases of the cycle; in total, the P-D-C-A
cycle is an essential change in organizational thinking that
emphasizes data-based action.
The following factors make up the P-D-C-A cycle:
1. Plan: Identify customers, the customers' requirements, and
how well your systems provide results that meet their
requirements. Build your improvement plan on data and
measurements.
2. Do: Follow your plan. Avoid inserting changes at this point.
If a major change becomes necessary, start again at Step 1
(Plan).
3. Check: Observe and measure the effects of the changes you
instituted, preferably on a small pilot scale to minimize
disruptions. Use statistical tools whenever possible to
measure the results to determine if they prove or disprove
your hypotheses.
4. Act: Make changes in the process to reflect what you have
learned; this step translates the learning into a systemic
improvement.
5. Repeat: Repeat the P-D-C-A cycle incorporating the
knowledge gained. Continue the cycle, delivering ever
greater quality from increasingly robust processes.
A stable system is one whose performance
is predictable. It is reached by removing,
one-by-one, the special causes of trouble,
best detected by a statistical signal
— W. Edwards Deming
8
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225
Learn to Use TQEM Tools
A way to analyze and condense information, TQEM tools help
you put data in an easily understood format that identifies and
clarifies underlying causes. Use these tools to discover
opportunities for pollution prevention and to measure the
effectiveness of improvements you've already made, as well as to
improve the work processes within your organization.
• Cause and Effect Diagram. A qualitative summary of all
potential causes of a problem. Each response to the question "why"
becomes a branch on this "fishbone" diagram until the root cause,
rather than the symptom, is identified. A fishbone is often useful in
focusing a team on what data they need to collect to develop their
improvement plan.
Cause and Effect Diagram
Bad Samples
Rain Water
in Sample
Soil Disturbed
Plant Delay
\^ Heavy Travel
Response to
Questions
Customer
Communication
Flaw Found
in Sample ^ Analysis
~7\ Error
Lab Rework
EXAMPLE:
A facility whose environmental managers complained that soil
contamination analyses were taking too long to complete, assem-
bled a team to (1) arrive at a specification for turnaround time and
(2) analyze the reasons for the existing turnaround time. The team
first agreed on the major causes of the delayed turnaround time;
then, they constructed a diagram that listed the detailed causes
contributing to each major factor.
Figure 1. Total quality environmental management primer (continued).
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
• Pareto Chart. A graphic tool that organizes data to identify
and focus on major problems. A pareto chart takes data on a
situation or process, ranks it in order, and thus focuses attention on
opportunities to maximize improvement.
Pareto Chart
Percent of Incidents
80-
60-
40-
20-
I\ |S;:ii:?HS:»:ft¥x¥Sx
' I ••
Customer
Communication
Lab
Rework
Plant
Delays
Bad
Samples
EXAMPLE:
The team working on the soil contamination analyses delays or-
ganized the data relating to the causes of those delays into a pareto
chart that showed 80 percent of the turnaround delay could be at-
tributed to two factors: a lack of communication between divisions
within the company to anticipate information needs and a lack of a
standard analytic format for lab technicians.
10
Figure 1. Total quality environmental management primer (continued).
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227
• Control Chart. A statistical tool to determine how much
variability in a process is inherent (common causes) and how much
is due to unique events (special causes such as fires). A control
chart defines the expected performance range (or control limits) of
a process or system. Control charts can help you understand the
variability exhibited by normal systems.
Control Chart
- UCL
~ Regulatory Limit
—
r-ij^ \ ^^^"^. /V
S V S*^^\ /\ Mesan
r \^r **^ f^f ~ "*sr —
Ay^ x/
— LCL
1 1
i i i i i i
Time
^^^^| EXAMPLE: ••••^•^^^^^^^^^^^•••(•rt
Control charts can be used to determine the capability of a
wastewater treatment system to operate within permit limits.
11
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1
• Flow Chart. A schematic showing the relationship between
process steps that helps illustrate any significant deviations from
he ideal process. A flow chart often follows a pareto analysis to
define the process and decide where to make changes that will
improve the process.
(C
Flow Chart I
)riginal Soil Contamination Analysis)
Soil Contamination Analysis Request
1
Data Gathering
1
Initial Analysis
*
Detailed Lab Analysis
I
.Yes—— ^XAdditionaTs*>__N()__^. Issue
YCo \^Work? ^^ no—*- Report
l^^^^l EXAMPLE: ^^^^jjj^^j^^^^^^^^^^^^^^^
As a result of the two problems identified by the pareto chart in
the example on page 10, the team working on the soil contamina-
tion analyses turnaround problem found that analyses often had to
be reworked. The team flow-charted the soil analysis "system," de-
termining ways to eliminate communication problems and devel-
oping a standard analytical format. They then flow-charted their
new system and tested it.
12
Figure 1. Total quality environmental management primer (continued).
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229
Flow Chart II
(Improved Process)
Soil Contamination Analysis Request
1
^Follow Plant Check Lists " '\
\ t
i- — — **• Data Gathering
*
- - s>x Follow Lab Check List;
1
Initial Analysis
1
Detailed Lab Analysis
A r— n
L Yes ^- ^Additional N->_No ^. Issue
^•s.. Work?^^ Reporl:
13
Figure 1. Total quality environmental management primer (continued).
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
• Histogram. A graphic tool that displays the distribution,
spread, and shape of a set of data from a process. If the collected
data show that the process is stable and can be predicted, then the
histogram can also be used to demonstrate the capability limits of
the process.
US
•
0-30
L
KJjjjj^
sIPIP
m
pm
H&&JJ&
mp
HI
H
in
SSSSSf
Issaas
H
Histogram
Actual Mean= 56 Days
Upper Specification Limit=30 Days
(ideal turn around time)
Percent Out of Specification =64%
CD
UMJtut
ra
F73 rn EH3 r~i
l i i i i
31-60 61-90 91-120 121-150 151-180
Number of Days
l^^^^l EXAMPLE: ^^^^^^^^^•I^^^^^^^^^^H
The team worked with everyone involved in the production and
delivery of the soil contamination analyses to agree on a specifica-
tion for turnaround time of 30 days. They then developed a histo-
gram to determine the mean (56 days) and the dispersion (64
percent out of specification) of the actual turnaround time.
14
Figure 1. Total quality environmental management primer (continued).
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231
USL
Histogram
Actual Mean= 31 Days
Upper Specification Limit=30 Days
(ideal turn around time
Percent Out of Specification=37%
T
0-14 15-30 31-45
lii
T
T
46-60 61-75 76-90
Number of Days
91-105 106-124
EXAMPLE:
Shortly after beginning their improvement process, the soil con-
tamination analyses team used a second histogram to measure'
how close they were to achieving their time-reduction goal. The;
histogram showed that they had reduced the mean delivery time'
from 56 to 31 days (just 1 day over the specification) and the dis-
persion had decreased from 64 to 37 percent.
15
Figure 1. Total quality environmental management primer (continued).
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
• Benchmarking. Benchmarking is simply comparing one of
your processes to a "best-in-class" example, either within or
outside your company. This helps you in two ways: all participants
benefit from the other's experiences and the "best-in-class"
comparison can provide powerful justification for your own
investment in continuous improvement.
However, benchmarking takes time, both to find the
appropriate "best-in-class" example and to compare processes, so
use the following guidelines:
1. Define and rank customer values. Benchmarking should
focus on characteristics that customers value most highly;
therefore, research on customer preferences may be necessary.
2. Establish partnerships with outside research sources.
Independent researchers and consultants with whom you
build a long-term, confidential relationship can identify
benchmarking targets and help your staff conduct the
comparison.
3. Gain cooperation of benchmarking targets with quid pro quo.
Benchmarking usually means sharing data. This exchange can
take several forms. Among them is a compilation by an
independent researcher that gives each company aggregate
sets of data for comparison.
4. Adopt a procedure that assures a thorough comparison. A list
of guidelines follows:
• Focus benchmarking on well-defined customer values or
significant problems.
• Assemble a cross-functional benchmarking team capable
of completing the comparison and utilizing its findings.
• Map your own process and measure its inputs and
outputs.
• Collect secondary data from trade publications and other
public sources.
• Determine both similarities and differences in your
comparison and trace the causes.
• Use the comparison as impetus for continuous
improvement.
__ _ __
Figure 1. Total quality environmental management primer (continued).
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233
MEASUREMENTS AND HOW
TO USE THEM
Measurement in both the "plan" and "check" portions of the
P-D-C-A cycle is a prime component of your continuous;
improvement TQEM process. Before you start your TQEM
program, take baseline measures; this will establish a basis for
comparison with subsequent measures to monitor improvements.
Whenever you implement a new environmental measurement
system, or change an old one, you should simultaneously identify
measures that will tell you if the system is delivering the desired
results. A company can use measurements to, among other things,
get feedback on how customers are responding to the changes.
Measuring your customers' opinions of your product or service
will, over time, tell you if your improvement efforts are really
addressing your customers' needs.
Effective measurement begins with customer requirements
and monitors performance in terms relevant to your internal and
external customers.
Measurements may be both direct and indirect, but the real
secret lies in selecting measures that truly monitor performance
and improvement: you need to know how well you are meeting
your customers' requirements even as you reduce your own costs
and improve your workplace environment.
A company must customize its measurement procedures. For
; example, a measurement system may be based on broad
categories such as regulatory audits, monitoring results, and
inspections. Or, as is the case with most companies, you may
prefer a more detailed measurement process that could include
such diverse topics as:
• Percentage of trained personnel
• Total personnel
• Total production
• Total liquid and solid waste
17
Figure 1. Total quality environmental management primer (continued).
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• Total safety and environmental investments
• Total safety and environmental expenses
• Energy use
» Total safety and environmental personnel
• Frequency of environmental audits
• Existence of emergency planning and drills
• Environmental and safety incidents
The list is endless.
Use numerical measures and tools such as histograms, pareto
charts, and statistical control charts whenever possible both to
improve management oversight and to strengthen the credibility
of the process.
Measuring progress and sharing results as TQEM evolves
affects the process significantly by documenting accomplishments,
identifying areas for improvement, inspiring pride and
encouraging momentum, justifying the need for more resources,
and providing information for other needs.
Summary
Business must resolve to continually improve environmental
performance not just today, but tomorrow and into the future.
TQEM gives you the tools to meet this challenge; you have but to
use them thoughtfully and continually.
As you build your system, keep in mind that TQEM demands
of its practitioners that they continually question "business as
usual." That includes such fundamental questions as
• Are you staying in touch with your customers to be sure
you're providing what they want?
• What is the company's impact on the environment? And
how is this changing?
• How important is environmental performance to each set of
customers?
• What future customer needs must the company satisfy?
And, is a mechanism in place to anticipate both problems
and needs?
18
Figure 1. Total quality environmental management primer (continued).
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235
Change is the one constant today: the process that works, for
you today may not meet tomorrow's requirements. Follow the
road map provided by TQEM to anticipate the future for your
environmental business. Always remember that the continuous
improvement process that is TQEM can be summed up in less
than a dozen words:
No matter how good you are, you can
always be better.
19
Figure 1. Total quality environmental management primer (continued).
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APPENDIX A
GLOSSARY
• Benchmarking: The technique of comparing one of your
processes to a "best-in-class" example, either within or outside
your company.
• Cause and effect: A qualitative summary of all potential
causes of a problem. Each response to the question "why" becomes
a branch on this "fishbone" diagram until the root cause is
identified.
• Continuous improvement: The systematic, continual process
of improving business processes.
• Control chart: A statistical tool to determine how much
variability in a process is inherent (common causes) and how much
is due to unique events (special causes such as fires). A control
chart defines the expected performance range (or control limits) of
a process or system.
• Cross-functional team: A team of experts from every element
of the process who work together to continuously improve
customer-driven processes.
• Customer: Anyone — either within or outside yqur
organization — to whom you supply a product or serviqe.
• Fishbone: Another term for "cause and effect."
• Flow chart: A schematic showing the relationship between
process steps that helps illustrate any significant deviations from
the ideal process.
21
Figure 1. Total quality environmental management primer (continued).
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237
• Histogram: A graphic tool that displays the distribution,
spread, and shape of a set of data from a process.
• Pareto chart: A graphic tool that organizes data to identify
and focus on major problems.
• P-D-C-A: A systematic data-based method for continual process
improvement rooted in the principle that you need to understand a
situation or process before you can improve it.
• Root cause analysis: Another term for "cause and effect."
• Shetvbart cycle: Another term for P-D-C-A.
• Specification limits: Performance standards set by internal or
external customers.
• TQEM: Total Quality Environmental Management
• TQM: Total Quality Management
22
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APPENDIX B
BIBLIOGRAPHY
Abt Associates Inc. Consumer Purchasing Behavior and The Environment;
Results of an Events-Based Study. Cambridge, MA: Abt Associates
Inc., 1990.
Abt Associates Inc. Customer Research Data for the TQEM Handbook, Global
Environmental Management Initiative. Cambridge, MA: Abt
Associates Inc., 1991.
Abt Associates Inc. Environmental Management: From Compliance to
Strategy. Cambridge, MA: Abt Associates Inc., 1991.
Aguayo, Rafael. Dr. Deming: The American Who Taught the Japanese About
Quality. New York, NY: Simon & Schuster, 1991.
Augsburger, Robert, et al. Corporate Environmental Solutions Project:
independent Study Project. Stanford, CA: Stanford Graduate School of
Business, 1991.
Deming, W. Edwards. Out of the Crisis. Cambridge, MA: Massachusetts
Institute of Technology, Center for Advanced Engineering Study,
1982.
Deming, W. Edwards. Quality, Productivity and Competitive Advantage.
Cambridge, MA: Massachusetts Institute of Technology, 1982.
Global Environmental Management Initiative. Corporate
Quality/Environmental Management: The First Conference. Proceedings.
Washington, DC: Global Environmental Management Initiative,
1991.
Goal/QPC. Benchmarking. 1991 Research Report. Methuen, MA:
Goal/QPC, 1991.
Goal/QPC. Cross-Functional Management. 1990 Research Report.
Methuen, MA: Goal/QPC, 1990.
Goal/QPC. The Memory Jogger: A Pocket Guide to Tools for Continuous
Improvement. 1991 Conference Edition. Second Edition. Methuen,
MA: Goal/QPC, 1985,1988.
Ishikawa, Kaoru. Guide to Quality Control. White Plains, NY: Quality
Resources, 1982.
23
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239
Ishikawa, Kaoru. (D.J. Lu, trans.) What is Total Quality Control? The
Japanese Way. Englewood Cliffs, NJ: Prentice-Hall, Inc., 1985.
Juran, J.M. Juran on Leadership for Quality: An Executive Handbook. New
York, NY: The Free Press, 1989.
King, Bob. Better Designs in Half the Time: Implementing QFD Quality
Function Deployment in America. Third Edition. Methuen, MA:
Goal/QPC, 1989.
Kleiner, Art. What Does It Mean To Be Green? Boston, MA: Harvard
Business Review, August 1991.
Senge, Peter M. The Fifth Discipline: The Art and Practice of the Learning
Organization. New York, NY: Doubleday/ Currency, 1990.
Stalk, George, Jr., and T.M. Hout. Competing Against Time: How Time-Based
Competition is Reshaping Global Markets. New York, NY: The Free
Press, 1990.
Walton, Mary. The Deming Management Method. New York, NY: Putnam,
1986.
24
Figure 1. Total quality environmental management primer (continued).
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APPENDIX C
TQM STUDY PARTICIPANTS
"VVTe would like to thank the following companies for
\\ participating in our study of the uses of TQM in
environmental management.
3M
Allied Signal Inc.
American Electric Power Company
Amoco Corporation
AT&T
Barnes Group, Inc.
Basin Electric Power Cooperative
Baxter Healthcare Corporation
Calcomp, Inc.
Central Illinois Public Service
Company
Champion International Corporation
Cobe Laboratories, Inc.
Deere & Company
Dentsply Holdings, Inc.
Digital Equipment Corporation
Dow Chemical Corporation
Duke Power Company
E.I. du Pont de Nemours & Company
Eastman Kodak Company
Florida Power & Light Company
Foxboro Company
G. Heileman Brewing Company
General Chemical Corporation
General Dynamics Corporation
Genlyte Group, Inc.
Goulds Pumps, Inc.
ICI Americas, Inc.
John Fluke Manufacturing
Company, Inc.
Johnson Yokogawa Corporation
Kansas Gas and Electric Company
Kawasaki Motors Manufacturing
Corporation, USA
Kentucky Utilities Company
Kiewit Holdings Group, Inc.
Masco
Merck & Company
National Semiconductor Corporation
New York Power Authority
Nipsco Industries, Inc.
Occidental Petroleum Company
Pall Corporation
Procter & Gamble Company
Sinclair Oil Corporation
Smith & Nephew, Inc.
Sun Microsystems
Texaco Chemical Company
Union Carbide Corporation
Union Oil Company of California
Uno-Ven Company
W.R. Grace & Company
Warner-Lambert Company
Xerox Corporation
25
Figure 1. Total quality environmental management primer (continued).
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241
VOLUNTARY ENVIRONMENTAL INITIATIVES AND ENVIRONMENTAL POLICY:
ENVIRONMENTAL MANAGEMENT SYSTEMS, AUDITING, AND ENFORCEMENT
KENNEDY, NADINE1 and GREENE, ADAM2
1 Director of Environmental Affairs
2 Manager of Environmental Affairs
United States Council for International Business, United States affiliate of the International Chamber of
Commerce, New York, NX U.S.A.
1 INTRODUCTION
National strategies for environmental protection have evolved with an improving scientific
understanding of environmental impacts and risks and with increased direct experience with the most
effective methodologies. These developments track a broader shift in the regulatory paradigm from
release control and end-of-pipe capture to source reduction. This trend is echoed in the attention
increasingly accorded by regulators, not just in a company's environmental impacts, but also in the
way that a company manages the environmental aspects of its day to day operations.
Consequently, frameworks of national and international environmental policy have become a
combination of government regulation, economic and market-oriented instruments, voluntary industry
initiatives, and public-private cooperation. Among such measures, voluntary initiatives by businesses
and industries, which encompass the full range of innovative management tools and processes, have
been found to be an effective means to address environmental concerns.
The over-all goal of voluntary environmental initiatives is to foster continuous improvement in
environmental management, increasingly by utilizing a properly designed and implemented
environmental management system (EMS). According to the International Chamber of Commerce
"Guidelines on Environmental Auditing," the objective of an environmental management system is:
"to provide a structured and comprehensive mechanism for ensuring that the activities
and products of an enterprise do not cause unacceptable effects in the environment.
All stages are considered from initial planning and conception, to final termination."
Unlike many government-initiated voluntary agreements with businesses, voluntary industry
initiatives do not usually call for reduction targets or mandate specific actions. For the most part,
voluntary industry initiatives are environmental management system-oriented, eschewing specific
targets or prescribing activities which would hamper creativity and innovation. An approach based
on flexibility in application ensures that these initiatives are broadly effective in many different sectors
and sizes of enterprises, and recognizes that environmental management programs in companies
must advance from different points of origin.
Environmental auditing, a fundamental building block of environmental management system,
has generated particular interest because of its verification and certification aspects. Additionally,
environmental reporting, communicating a company's environmental performance with its
stakeholders, has received significant attention from those governments considering what role
environmental management system-based policies might play in national environmental regulations.
This paper will describe International Chamber of Commerce-initiated voluntary industry
initiatives which exemplify the advantages of voluntary environmental management system,
environmental auditing and environmental reporting: achieving primary benefits: for environmental
protection, and providing alternatives and complements to regulation. First, guidelines and codes of
conduct such as the International Chamber of Commerce Business Charter for Sustainable
Development and the International Chamber of Commerce Environmental Auditing Guidelines provide
frameworks for environmental management system, environmental auditing and environmental
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
reporting based on continuity of purpose and improvement. Second, the paper will summarize the
United States Council for International Business' partnership, based on the International Chamber of
Commerce Business Charter, with the Mexican Confederation of Chambers of Industry. Third, the
paper will discuss some initiatives underway to harmonize and standardize environmental
management system, environmental auditing and environmental reporting, while maintaining their
voluntary attributes, including the European Union Environmental Management and Audit Scheme
and the International Standardization Organization efforts to produce a series of voluntary
environmental management standards.
2 INDUSTRY GUIDELINES
While not replacements for government regulation, innovative voluntary initiatives, when
broadly and strategically applied, bring measurable results which often surpass the regulated
minimum. Additional benefits include enhanced cooperation among and between businesses and
governments and improved dialogue with communities and other stakeholders. Such voluntary
environmental management system-oriented initiatives are also attractive to governments as they are
cost effective and, when successful, both non-bureaucratic and non-adversarial.
2.1 International Chamber of Commerce Business Charter for Sustainable Development
The International Chamber of Commerce Business Charter for Sustainable Development was
developed by a working group of international business representatives, following a commitment
made by the business community at the UN ECE Bergen Environmental Conference. The Charter
sets out 16 principles on the full range of corporate activities linked to environmental performance,
including management priorities and processes, environmental auditing, employee training and
education, product development and manufacture, and community concerns.
The Charter was introduced at the International Chamber of Commerce's Second World
Industry Conference on Environmental Management in April 1991 and was the International Chamber
of Commerce's primary contribution to the United Nations Conference on Environment and
Development. Endorsed by over 1,200 major companies worldwide, the Charter has been published
in 24 languages, and has received messages of support from international environmental groups
such as the Worldwide Fund for Nature and the International Union for the Conservation of Nature,
as well as from inter-governmental organizations such as United Nations Environment Programme,
the OECD and GATT.
2.1.1 The Charter provides a general mission statement and commitment for environmental
improvement. Furthermore, the Charter calls for the need to establish management practices
to put this commitment into action.
While environmental and public health regulations have grown exponentially in both number
and complexity, many companies, especially the vast numbers of small and medium sized ones, had
heretofore lacked an organizing principle for environmental management other than meeting minimum
compliance requirements. At their best, voluntary initiatives aggregate diffuse and seemingly unrelated
activities into a system and provide that system with a goal of continuous improvement. Continuous
improvement is the process by which a company devotes its resources over time to achieve a constant
aim, such as those set out in the Charter's 16 principles.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
243
2.1.2
The Charter has been effective in providing the framework on which companies can base such
improvement beyond compliance, creating a global alignment of all types of businesses
around the world to common objectives.
The Charter provides a basis for companies and associations to develop their own policies
and programs, using legal regulations as a starting point. The broad nature of the Charter principles
allows thousands of business and plant managers around the world to pursue good environmental
management, regardless of where each company finds itself on the "learning curve" when it first
endorses the Charter. It also provides a network for companies in developed and developing countries
to share expertise and experience in their efforts to strengthen environmental management and
practice.
2.1.3
The Charter has served as a coordinating force among companies worldwide which have
produced innovative environmental management tools in their pursuit of the Charter.
• In the United Kingdom, International Chamber of Commerce UK companies, in
conjunction with others, compiled the methods they had independently developed
to implement Principle 11 of the Charter pertaining to contractors and suppliers.
The product, "Buying into the Environment: Guidelines for Integrating the
Environment into Purchasing and Supply," has been disseminated widely through
the International Chamber of Commerce network.
• In the United States, companies of the Global Environmental Management Initiative
developed the "Environmental Self-Assessment Program" based on the Charter.
The Environmental Self-Assessment Program is a tool which companies can use to
improve an existing environmental management system by measuring and
analyzing environmental performance across the 16 Principles. A number of
versions have been produced to compensate for regional differences in order to
increase its effectiveness and applicability.
In other parts of the world, similar products have been developed to expand upon the Charter
to meet industry needs. Projects by individual companies are continuing to add to the growing library
of specific programs created to support the Charter's 16 Principles. :
2.1.4 The Charter is a vehicle for public-private sector partnership and dialogue.
On April 28, the United Nations Environment Programme-International Chamber of Commerce
High-level Advisory Panel on the Charter will hold its inaugural meeting, bringiing together chief
executives and environment ministers to review the Charter's progress over the test two years, and
seek ways to' work together in support of the Charter in the future. This meeting will also address
issues of technology cooperation, sustainable consumption patterns and environmental reporting.
2.1.5 Endorsing the Charter is a public commitment on the part of companies to carry out its
principles, which includes "fostering openness and dialogue with employees arid the public?7
The International Chamber of Commerce published a first progress report on the International
Chamber of Commerce Charter, "From Ideas to Action," in which companies provided examples of
Charter implementation. A number of International Chamber of Commerce national! affiliates are also
working with corporate members to gather information about Charter activities.
Because the Charter is not a commitment made by the International Chamber of Commerce
or International Chamber of Commerce National affiliates, it is up to individual companies and
business organizations to implement the Charter and report on that implementation.
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2.2 International Chamber of Commerce Auditing Guidelines
The International Chamber of Commerce Auditing Guidelines were developed by an
international working group of business representatives, and subsequently finalized in 1989. The
International Chamber of Commerce guidelines begin by setting out their objectives, including:
• Defining environmental auditing as:
"A management tool comprising a systematic, documented, periodic and objective
evaluation of how well environmental organization, management and equipment
are performing with the aim of helping to safeguard the environment by:
1. Facilitating management control of environmental practices.
2. Assessing compliance with company policies, which would include meeting
regulatory requirements."
• Stressing the benefits of environmental auditing as a highly desirable and
cost-effective means of assessing the functioning of a company from the
environmental viewpoint.
• Emphasizing to regulatory authorities that such audits can be a reliable and
efficient means of assisting compliance with regulations.
• Suggesting a standard practical methodology for personnel charged with
undertaking environmental audits.
The International Chamber of Commerce Auditing Guidelines were intended to establish
environmental auditing as a credible and trustworthy instrument in the minds of stakeholders. Just
as environmental management system should reflect the nature of the organization, culture and
products of individual businesses, environmental auditing programs should be individually designed
and operated to best meet the specific needs and objectives of the business served.
VOLUNTARY PROGRAMS IN PRACTICE
3.1 United States-Mexican business partnerships
During the North American Free Trade Agreement debate, many critics stated that increased
trade and inter-action between the United States and Mexico would damage the environment, and
result in United States companies crossing the border to pollute.
The United States Council for International Business, the United States affiliate of the
International Chamber of Commerce, established a program of cooperation with Mexico's
Confederation of Chambers of Industry to demonstrate that companies can collaborate, and in so
doing, share best practices in environmental, health and safety management and promote exchanges
of training and information relating to environmental services, technologies and management.
Both the United States Council for International Business and Mexico's Confederation of
Chambers of Industry have endorsed and are promoting the International Chamber of Commerce's
Business Charter for Sustainable Development, which is supported by over 40 Mexican, over 70
United States and over 20 Canadian companies and business groups.
The partnership, originally based on United States corporate implementation of Principle 13
of the Charter dealing with the transfer of technology and management methods, has created a
number of specific programs. Activities of the partnership have included:
• Information exchanges.
• Seminars on environmental management by industry specialists.
• Joint ventures in infrastructure development.
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• Redesign and expansion of internal United States corporate training programs to
include foreign companies, business groups and governments.
• Personnel education and training.
• Environmental management conferences.
This partnership highlights one way in which United States companies are: promoting the
adoption of Charter principles by contractors and suppliers; contributing to the development of public
policy and programs to enhance environmental awareness and protection; and continuing to improve
company environmental performance.
4 STANDARDIZATION AND REGULATORY APPROACHES
As businesses and governments shift away from compliance-driven environmental policies to
strategically oriented environmental management system approaches, companies, divisions, and
individual facilities have established management systems for their environmental activities. As a
result, numerous environmental management system programs developed at the national, industry
or company level now exist. These environmental management system, and their component
environmental auditing and environmental reporting procedures, differ in a number of respects
including level of specificity, issues covered, and degree of flexibility. The different approaches to
environmental management system have posed a number of challenges, including:
• Difficulty of comparison between product for environmental criteria.
• Merging management efforts in total quality and environmental quality.
• Supplier approval.
• Comparisons by institutional and other investors of environmental performance.
In this connection, some organizations are working harmonize and set definitions for the
primary elements of environmental management system, introducing issues of certification and
enforcement into the field of what are normally voluntary activities. In addition, some governmental
organizations, such as the E.U. and United Nations Environment Programme, are developing
accepted guidelines and even regulations relating to environmental management system,
environmental auditing and environmental reporting.
The International Chamber of Commerce understands environmental management system and
its components to be crucial internal voluntary management tools. So while certification requirements
to standardize these aspects of environmental management system serve a purpose in setting
environmental management system norms, and therefore do not detract from their usefulness,
regulating and enforcing the use of a specific environmental management system, environmental
auditing and environmental reporting would indeed seriously compromise their effectiveness.
4.1 International Standardization Organization 14,000 Series
As a way of addressing these developments, companies worldwide have pressed for the
international harmonization of environmental management system, environmental auditing and other
elements of environmental management, and have been active participants in drafting the International
Standarization Organization environmental management system standards. The standards, currently
under development through international negotiations, will include standards for environmental
management system, environmental auditing, environmental labelling, environmental performance
evaluation, and life-cycle analysis.
While environmental management system standards can address the problems discussed
above, companies working within the International Standarization Organization process believe that
they will do so most effectively when voluntary. The standards will be most useful if based on principles
of flexibility and adaptability in recognition that the standard criteria will be blended into an existing
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internal management structure. To ensure maximum effectiveness of an international standards
scheme, the standards should specify only the key elements of an environmental management
system, providing a basic level of organizational structure and policy process upon which to base
corporate environmental management. Thus, the environmental management system can be
designed and utilized in the most effective manner for that company, reflecting that company's
industry, existing infrastructure, and management structure.
The International Standarization Organization standards for environmental auditing will provide
company management with the necessary information to determine the performance of its environmental
management system, and take the necessary actions for improvement; as such, they follow the approach
set out in the International Chamber of Commerce Auditing Guidelines. While the environmental audits
will include standardized elements and follow specified steps, the International Standarization Organization
standards will probably allow each company to decide for itself how the resulting information will be acted
upon, in terms of both international corporate management and external reporting.
It is important to note that the International Standarization Organization 14,000 standards under
development have been inspired by and have incorporated additional principles of the voluntary
initiatives described above, including continuous improvement and the use of the environmental
management system system as an internal management tool. The United States International
Standarization Organization delegation has presented six guiding principles on environmental
management systems in the International Standarization Organization negotiations on environmental
management system standards which encompass the issues discussed above:
• Sustainable development can be advanced by the development of international
environmental management system standards that all institutions, including both
businesses and governments, could use to improve environmental performance.
• To encourage and accelerate the acceptance of international standards, and by
extension improved environmental performance, the International Standarization
Organization standards must work with a staged evolution of requirements. Thus,
proven concepts and methods would be included immediately and others in
development would be added as they became demonstrably viable.
• The standard must allow for self-certification to maximize internal benefits.
• Environmental management system standards should present primary requirements
without prescribing the methods of achieving those requirements, instead leaving it
to the institution to determine the course of action.
• International environmental management system standards, in order to advance
sustainable development, must be developed in a way which promotes free trade,
and does not create a trade barrier which would slow development.
• The standards must recognize that additional environmental initiatives, in government
and industry, are under development, and must not preclude their viability.
4.2 European Union Environmental Management and Audit Scheme
The Environmental Management and Audit Scheme, approved at the end of 1991 as a
European Council Regulation, and published in March 1992, balances a number of elements drawn
from both voluntary and regulated policy approaches. Participation in the Environmental Management
and Audit Scheme is voluntary; it sets out basic parameters for site-specific—as opposed to
company-wide—environmental management system, environmental auditing and environmental
reporting. An environmental statement, based on the environmental audit, is prepared and validated
by a certified party. Once a company has been certified, it can display an eco-audit "logo" on its
stationery and for other internal uses.
Coming into force in 1995, the Environmental Management and Audit Scheme is currently in
a pilot program stage in which a companies have volunteered to follow its procedures and report
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their experience. Some International Standarization Organization 14,000 standards on environmental
auditing, when completed, will be "plugged into" the Environmental Management and Audit Scheme.
Although industry continues to be concerned that the Environmental Management and Audit
Scheme regulation will become mandatory for companies, it is also confident that the experience
gained from its "trial" run will be convincing to governments of the benefits of allowing it to retain its
voluntary nature.
Many challenges remain in creating harmonized environmental management systems,
including the process of certification, preventing new trade barriers, the possibility that such voluntary
standards be regulated by national governments, and the feasibility for small and medium sized
companies. The full development of the standards and harmonized structures presented above will
set a starting point from which industry and government can collaborate to resolve such issues.
5 CONCLUSIONS
The growing interest in and importance placed on environmental management system by
international organizations, governments and companies will further advance meinagement systems
as an integral component of environmental protection. It is also clear that the effectiveness of voluntary
initiatives results from their role as alternatives and complements to strictly regulatory approaches.
The business community has reached a number of conclusions based on its own experience
with environmental management system—in both voluntary initiatives and in standardization activities:
• Business recognizes that good environmental management and good management
are one in the same.
• Environmental management system, environmental auditing, environmental reporting
and other management-oriented approaches are most effective when voluntary.
• Environmental management is an area in which increased business-to-business
and business-to-government cooperation would be beneficial and desirable.
• Such voluntary and/or cooperative approaches are more effective when promoted
by governments and multilateral organizations, such as the North American Free
Trade Agreement Commission on Environmental Cooperation, United Nations
Environment Programme's Cleaner Production activities, the OECD Pollution
Prevention and Control Group and others.
• Governments should continue to encourage and respect business-to-business
partnerships to improve environmental management.
The experiences of industry groups and governments with voluntary approaches are by no
means comprehensive, and many challenges remain:
• How should voluntary initiatives be extended to include small and medium sized
companies? What technical and management assistance is necessary to do so?
• How can voluntary initiatives be designed to be effective for companies in
developing countries and in countries in transition?
• How can voluntary initiatives build trust and partnership between the private and
public sector, and extend this working relationship to include other stakeholders?
These are but a few of the unresolved issues which demonstrate that additional work and
discussion is necessary. Industry associations and their members must continue to design and utilize
voluntary programs to offer benefits to the companies that implement them and the society in which
those companies operate. As government agencies consider their role in improving corporate
environmental management and practices, close attention should be given to the programs which
industry has set in place voluntarily and the priorities which industry has assigned itself in those
programs.
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ENDNOTE
The United States Council for International Business is the United States affiliate of the International
Chamber of Commerce, the Business and Industry Advisory Committee to the OECD, and the
International Organisation of Employers. The Council formulates policy positions on issues affect-
ing the increasingly globally-oriented United States business community through committees and
other working bodies drawn from its membership of some 300 major multinational corporations,
service companies, law firms and business associations. It advocates these positions to the United
States Government and such international organizations as the OECD, the GATT, ILO, United
Nations Environment Programme and other bodies of the U.N. system with which its international
affiliates have official consultative status on behalf of world business.
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ROLE OF POLICE
Facilitator: Jan Peters
. Rapporteurs: Matt Low (TLI) and Tiffin Shewmake (TLI)
GOALS
This topic addressed the following issues: ;
• What roles can police play in environmental enforcement?
•' Why might police be called upon to play those roles?
• What contributes to the success of having police carry out that role?
• What are the challenges of and solution to police involvement?
Some goals for these sessions were to share visions, form networks, and make acquaintances.
1 INTRODUCTION
More than 30 participants from approximately 20 countries and international organizations
met in two separate sessions. Participants in this session represented a broad crass-section of
backgrounds and experiences. There was also a broad range in the current level of police involvement
in environmental enforcement. In some countries there is minimal involvement of the police, others
utilize civil police to identify when environmental crimes have occurred, while other countries have
police units specializing in environmental crimes. Generally, it was recognized that the police have
valuable role to play in environmental enforcement by helping maximize scarce resources and provide
expertise in specific areas.
2 PAPERS
Two papers are in the Proceedings Volume 1 (pages 561-571). Ed Neafsey describes in "The
Role of Local, County, and State Police Officers in New Jersey in Environmental Enforcement" the
work of these officers. He concludes that each level of law enforcement in New Jersey has a distinct
role to play in fighting environmental crime. Rob Messing states in "The Task of the i'olice" that the
police can play an important role in enforcing environmental laws. The police have a key position
with regard to the execution of policies. It is however a relatively new task for which a special
infrastructure has to be created.
DISCUSSION
3.1 What roles should police have?
The exact role that police may have in environmental enforcement varies; depending on the
specific circumstances. In general, the police are viewed as a potentially large resource since there
are usually many more police than environmental inspectors and they are widely distributed. Thus,
scarce resources can be maximized through the use of police. Roles that the police can fulfill include:
• Issuing on-site citations for simple civil environmental offenses.
• Focusing on special types of offenses or offenses in protected areas.
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• Supporting environmental agencies by identifying environmental crimes and
contacting the appropriate agency.
• Supporting special criminal units in prosecuting particularly complex environmental
cases.
• Supporting enforcement of crimes such as hazardous waste transportation and
dumping, that require international cooperation.
In addition to civil police, some countries have developed units that specialize in the
enforcement of environmental crimes or train police officers in more specialized areas such as
conducting sampling. In other countries, the police may currently have little to no role in environmental
enforcement. This may be because of a lack of resources in police departments.
The military may also be used to identify environmental crimes and problems. This may be
useful in countries where resources are very limited. The military may be equipped for this role
because of a wide distribution of manpower and advanced equipment. However, it was cautioned
that the military may not be the appropriate organization for environmental enforcement and may not
recognize the significance of environmental enforcement or may try to use additional responsibilities
for other purposes.
The role of the police may also depend on the level; federal, state, or local. Federal police,
especially a unit specialized for environmental crimes, may provide training and technical support to
state and local police forces.
3.2 Why might police be called upon to play these roles?
Because there are more police than environmental inspectors, the use of police will expand
resources devoted to environmental enforcement. The police can act as the "eyes and ears" of the
environmental agency. The police are often better suited to investigate some specific areas where
the environmental crime, such as hazardous waste dumping, involves criminals. Police can lend
credibility to procedures for detection and prosecution, or supplement environmental staff when a
potentially dangerous situation is expected.
Special units or constables with proper training, can be helpful for specific environmental
laws, or areas which require special protection (e.g., parks). Inspectors in agencies may be trained
as police and authorized to arrest and carry firearms.
3.3 What contributes to success?
Training, cooperation, and funding are important elements for success in utilizing police.
Without training, police may not view environmental crimes as important as more traditional crimes
and may not identify when an environmental crime has occurred. Basic training may include
awareness of environmental crimes. More detailed training can enable police to conduct sampling
or issue citations. Training in health and safety issues related to hazardous chemicals is also important.
Training goals may be set incrementally, with priorities determined to make the most efficient
use of the police. The approach taken by some jurisdictions is to initiate a minimal awareness training
for as many police as possible and train a small number of police in more detail. The future goal is
a more complete training of a majority of police.
Funding is also important. Some countries have set aside a percentage of police department
budgets for environmental enforcement.
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4 CONCLUSIONS
Many police do not view environmental crimes as important as traditional crimes. Education
is needed to change police attitudes to view environmental crime as an important area. Police are
also taught to fight "crime" and not enforce regulations and may not want to take on this role.
It is also important to ensure that police units at all levels work together and also have police
units assigned to areas that they are best equipped to handle, including areas where highly technical
procedures must be followed to develop cases. Federal funds can be helpful in developing skills at
local level.
International cooperation among police, especially the sharing of information, is increasingly
important, particularly in areas such as hazardous waste dumping and trading in endangered species.
It is also important that countries share information on companies that routinely violate environmental
laws and move to operate in countries with less stringent enforcement. Interpol now identifies
environmental crime as major and is developing methods to exchange information.
There also was agreement that education of the public is important, since the public can give
information to the police on activities that may represent environmental offenses. Police can have a
role in public education, particularly if police management attitudes are changed to recognize the
importance of environmental enforcement. The Federal Crimes unit in the U.S. has received many
tips from workers and, more recently, from citizens. It was agreed that the public may find it easier
to report observations to local police, who could then recognize whether an environmental offense
has occurred and take appropriate steps to deal with it.
The U.S. and The Netherlands have training materials, such as videos to help train police at
any level.
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CLOSING REMARKS FOR THE THIRD INTERNATIONAL
CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
HERMAN, STEVEN A.1 and VERKERK, PIETER2
1 Assistant Administrator, Office of Enforcement and Compliance Assurance, U.S, Environmental
Protection Agency, 401 M Street, SW (LE-133), Washington, DC 20460, USA
2 Directorate-General for Environmental Protection, Inspectorate for the Environment, Ministry of
Housing, Spatial Planning and the Environment (VROM), IPC 680, PO. Box 30945, 2500 GX DEN
HAAG, The Netherlands
Ladies and Gentleman, we come to the close of what has been by all accounts a very
successful and productive conference. On behalf of the Executive Planning Committee for the Third
International Conference on Environmental Enforcement, we want to thank the speakers, facilitators,
those who prepared papers, and of course, participants for your contributions which made this
Conference a success. Who could have imagined a better exchange than seeing representatives
from the several countries represented here joining forces in the workshops to solve environmental
problems, design compliance strategies and enforcement programs, and play roles in enforcement
negotiations so effectively. We explored institution building options, shared information, and reached
new conclusions on special topics of great interest to environmental enforcement policy makers
throughout the world.
We are all committed to return to our respective countries and regions ol the world to achieve
our ultimate conference objectives: to enhance existing or to develop new compliance and
enforcement programs so that our ultimate mission of protecting human health and the environment
and ensuring sustainable economic development are realized. :
Conference sponsors, the United States Environmental Protection Agency, the Netherlands
Ministry of Housing, Spatial Planning and the Environment, the United Nations Environment Program
IE/PAG, the World Wildlife Fund, and Mexico's Social Development Ministry, SEDESOL, assisted by
the Executive Planning Committee (including the sponsors as well as officials from Canada, Chile,
Costa Rica, Jamaica, Indonesia, and Nigeria) prepared this Conference as part of a continuing
international collaboration to enhance environmental enforcement.
We look forward to your conference evaluations to see how we can best keep up the
momentum of these conferences in regional and international networks, workshops, continued
exchanges, and development of useful materials. In particular, we ask each of you to review the
workshop materials and technical support documents to comment on how we can improve upon
them to make them most useful to you. Please tell us: if something has been left out, what changes
should be made, how you liked the workshops themselves, and what you think of the format. We
need to know. We need your help.
In response to comments at our previous conferences, these past four days included many
opportunities for small group discussions and workshops as well as plenary sessions. We would like
to highlight some of the key conclusions that have come out of our discussions:
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1 SIGNIFICANCE OF ENVIRONMENTAL COMPLIANCE AND ENFORCEMENT TO
ACHIEVING SUSTAINABLE DEVELOPMENT, GLOBAL AND DOMESTIC
ENVIRONMENTAL GOALS
Our opening speakers highlighted the significant and crucial role environmental enforcement
can and must play if we are to succeed in achieving the goals of international efforts such as Capacity
21 from the United Nations Conference on Environment and Development, NAFTA, GATT and Basel.
We must always remember that economic prosperity, sustainable development, enhanced trade
opportunities and environmental protection are inextricably linked and dependent on each other.
2 AFFIRMATION OF A COMMON SET OF DEFINITIONS, PRINCIPLES AND
FRAMEWORK FOR ENVIRONMENTAL ENFORCEMENT
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
residential and industrial waste disposal, petroleum refining and petrochemicals, mining, tourism and
deforestation. In those case examples we often bridged the gap between traditional pollution control
and sustainable development. We also were inspired by hearing today of the experience of the United
States, the Netherlands, Barbados, and Guyana in actually addressing those problems .
3 CHALLENGES TO ENVIRONMENTAL COMPLIANCE
Three speakers from Nigeria, Argentina and Poland shared their experiences on the
challenges of environmental enforcement from three regions of the world. There are challenges which
are common regardless of whether one is establishing a national environmental enforcement program
or enforcing at a regional level, whether starting from scratch or improving the implementation of an
existing program. First, a catalyst is needed to break the inertia of inaction about compliance
problems. Second, there is a constant search for funding and trained personnel. Third, interagency
conflicts and provincial/federal jurisdictional conflicts must be resolved or they will impede progress.
Fourth, political instability in particular plagues the advances in many programs. Fifth, creative and
even courageous interpretation of laws are often necessary to begin constructive response to
environmental problems. Finally, national commitments have to be supported by international
cooperation.
4 INSTITUTION BUILDING: DESIGNING COMPLIANCE AND ENFORCEMENT PROGRAMS
During the plenary sessions we heard examples from three programs: Norway, Mexico, and
the Netherlands, on how they are building institutional capacity. Norway's program has evolved from
an integrated permit and compliance program in which personnel had multiple roles to an
independent enforcement and inspection function to achieve improved professionalism. They also
fund their program using fees and third party audits to supplement their inspections. Mexico has
established extensive training programs for their inspectors and is working hard improving interagency
coordination and decentralization of enforcement. The Netherlands has established coordinating
councils to organize response to violations among several agencies at different levels of government
efficiently and to address all aspects of the problem.
The four UNEP workshops: on organizing, resources for, design of compliance monitoring
and enforcement programs, and permit processing enabled participants to explore these topics
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starting from case studies of increasing complexity and sharing experiences among themselves. The
repeated four UNEP workshops were well attended demonstrating the relevance and usefulness of
this UNEP training initiative. With this experience, UNEP will now further develop the training material.
5 SPECIAL TOPIC WORKSHOPS
Our eight special topic workshops were lively and informative.
5.1 Export/Import of illegal shipment
Several obstacles to gaining strong controls on the export and import of illegal shipments of
hazardous waste, toxic chemicals and contaminated product still exist. In particular, the search for a
clear and consistent definition of hazardous waste continues to be a challenge, and detection requires
extensive coordination of departments within governments and internationally. Exporting nations need
to take more responsibility for promoting compliance given the lack of full understanding of
international requirements. Lack of strong requirements in some developing countries, sufficient to
protect them from improper disposal of hazardous waste is still a problem. To effectively control export
and illegal import there is a need to continue the ongoing international efforts to share information
and develop regulatory and institutional frameworks through Interpol, Basel Convention
implementation and local regional cooperative arrangements.
5.2 CFC controls to implement the Montreal Protocol
Several developed nations have begun aggressive enforcement programs aimed at
implementing the goals of the Montreal Protocol. However, many developing countries and some
developed countries have not yet begun to achieve the international goals set by the Montreal Protocol
due to lack of support, lack of funding and lack of capacity. As CFC containing materials are banned,
illegal exports, particularly to developing countries are increasing and there is a particular need for
cooperation and transfer of knowledge.
5.3 Role of police
Police offer significant potential to serve as additional eyes and ears for detecting
environmental violations given their significant number and distribution and lack of sufficient resources
in environmental departments. Police may play a particularly valuable role in uncovering and solving
environmental crimes and some countries have developed specialized police to investigate this sort
of criminal activity. Training is essential to make police aware of environmental infractions, civil and
criminal, and to enhance their appreciation of their significance as crimes. Given the need for technical
skills and know-how, the role of police must be carefully coordinated with that of the environmental
department, using different means applicable to respective countries.
5.4 Criminal enforcement
Countries employ criminal enforcement very differently, some reserving it for the worst
offenses, while the majority of environmental offenses are criminal in other countries. Most countries
recognize the particular deterrent value of criminal enforcement in the potential and actual application
of jail terms to violators. Education of judges and hearing officers can be a key factor in the successful
prosecution of environmental crimes. Criminal enforcement mechanisms can deliver a full range of
potential sanctions and consequences for responding to environmental violations, and not just jail
terms and fines in many countries. It is increasingly being viewed as an important enforcement tool
best utilized in an enforcement scheme which contains multiple response options.
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5.5 Government owned and operated facilities
It is essential for the credibility of compliance and enforcement programs and achievement
of environmental goals that government owned and operated facilities be held accountable for
compliance just in the same manner as private sector facilities. Although there is significant public
support for the idea that governments should live up to the environmental standards they set for their
citizens, legal and political barriers make this idea very hard to implement. A variety of approaches
and institutions are necessary to produce environmental compliance and cleanup at government
facilities. Most important are an independent judiciary, funding for compliance and cleanup, public
awareness and involvement and enforceable requirements.
5.6 Voluntary compliance
Voluntary compliance programs are important to achieving compliance, especially as a
complement to a regulatory framework and strong enforcement program. Countries which are just
developing their regulatory and enforcement framework may only be able to begin with voluntary
compliance efforts but such initiatives are strongly encouraged, even though their effectiveness will
be far greater once enforcement and regulatory frameworks are in place. Approaches need to examine
all aspects of compliance, using all motivations, particularly public pressure and concern for market
share. The role of media is important in raising public awareness.
For small or economically marginal business, the goal of voluntary programs might be
compliance with the law, whereas large or more profitable businesses can be encouraged to go
beyond compliance to reduce waste and prevent pollution. There are significant benefits to promoting
environmental auditing by companies and policies should avoid discouraging self audits.
Environmental education can change behavior in early years, establish environmental values, and
provide for public pressure for compliance.
5.7 Field citation
Empowerment of field officers to take complete enforcement action when confronting certain
types of environmental violations was widely viewed as a desirable feature of an enforcement program.
Field citations were felt to have a great deal of potential for streamlining lengthy administrative
enforcement procedures which have proven to be very frustrating to enforcement officials around the
world. There were a wide variety of approaches among countries to the authorities given to field
officers, ranging from assessment of a small fine to closure of the facility. Field officers can include
a variety of personnel including inspectors, park rangers and police officers.
5.8 Economic instruments
World-wide experience with economic instruments for environmental protection is still quite
limited although a wide range of economic instruments have been used in developing as well as
developed nations. Success The potential is significant, and actual results have been felt particularly
in boosting recycling programs, but there are costs also. Experience to date indicates that some
types of economic instruments, especially the more complex ones such as tradeable permits, can
require at least as much enforcement and monitoring as do the more traditional command-and-control
regulations. Economic approaches in fact require good information and monitoring systems which
can also raise costs for regulated entities. There is real interest in the potential of economic instruments
to address environmental issues more efficiently. However, this interest is tempered with caution,
particularly in developing countries, given the difficulty of implementation and the fact that a firm
regulatory and enforcement base is often required.
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6
EXPERIENCES IN COMPLIANCE AND ENFORCEMENT
Many of the conference participants volunteered their experiences to achieve compliance and
environmental results using a range of approaches from promoting voluntary compliance, to use of
economic instruments, to enforcement of statutory and regulatory mandates. Each of these
experiences adds to our knowledge of what can work or not work in a variety of settings. We have
much more to do to capture and define compliance and enforcement success, smd to document our
experiences so we all can share what we have found to be more commonality among our nations
than differences.
7 ROLE OF COMMUNICATIONS
There is widespread agreement that an informed and supportive citizenry is essential to
achieve the political support for enforcement, and communication of enforcement actions is essential
to gain the deterrent impact of enforcement response. Public disclosure led to major pollution
prevention efforts instead of cleaning up pollution at the end of the pipe. The press can be a major
ally in helping to improve compliance and implement enforcement programs.
8
BUILDING INTERNATIONAL ENFORCEMENT NETWORKS
It has been enormously inspiring to see the representatives from almost 80 countries and
international organizations meeting here in Oaxaca around common problems and challenges. Since
1990, and every two years since, we have doubled the number of countries and international
organizations participating in the International Conferences, from Utrecht to Budapest, and now
Oaxaca. We have shifted our locations to build a stronger regional as well as international networking
capacity from Western Europe, to Central and Eastern Europe to Latin America. In two years, we
hope to take the conference networking to focus in Asia, and in the interim, to build on the relationships
that have been made here within the Caribbean basin, South and Central America, Africa and Asia.
Within Europe, the legacies of the first International workshop in Utrecht and the second
Conference in Budapest have begun to realize their promise. The European Community and its
member states have established workgroups and exchanges on compliance and enforcement issues.
There is enormous activity now in Central and Eastern Europe to enhance environmenial enforcement.
Interpol has been strengthened as an institutional mechanisms for exchange of information on
environmental crime, the Caribbean basin is coordinating efforts to protect the Gulf of Mexico and
its fragile ecosystems.
The historic North American Free Trade Agreement and its environmental side agreements
have established an unprecedented level of international cooperation and. mutual support in enforcing
environmental laws. ;
Let us leave here with a new commitment and resolve to work with £ind help each other
achieve even greater success.
Personal remarks of Mr. Steven Herman:
I would like to add a personal note. At the beginning of the Conference, I expressed the hope
that our experience here would reap both practical and inspiring benefits. My o\vn perception is that
it has. First, there was representation at this conference from almost 70 countries. We had very
distinguished officials from the largest and the smallest nations, the richest and poorest nations,
industrialized and nonindustrialized countries. We spoke many different languages and we have
different forms of government.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Despite these differences, anyone who had the privilege of participating in any of the
workshops or other activities could not help but be struck by the open mindedness, depth of
knowledge, and seriousness of purpose of all of you.
Everyone acknowledged that the problems which some of us have been wrestling with for
many years, and others of us are just starting to confront, are complex and controversial. There are
no right answers, and there certainly are no easy answers. Not one of us has the silver bullet.
Every single person here is a pioneer. Every day we are tackling new problems and questions
for those answers. No one has a more difficult mission than we do. The consequences of our actions
will be felt by our children and all succeeding generations. The most we can do is think openly,
creatively, honestly, with each other and share what we know and what we do not know. On this level
we were a smashing success.
We have set an example of how people who come from different countries with different
languages, different histories, different political systems can work together. The big can listen and
learn from the small. The small can benefit from, without being dominated by or from, the big. Most
importantly this conference has encouraged and fostered civilized listening. It has allowed
relationships to form which will be of benefit to each of us. And it has reinforced the very basic truth
that we must work together if any of us are going to enjoy life on this planet.
On behalf of Pieter Verkerk and myself, we bring this Conference to a close. We have a very
important effort to undertake. I am confident this Conference has made a major contribution to the
ultimate success of that effort. You should all be very pleased with your colleagues and with
yourselves.
Congratulations. We look forward to working with you all in the coming years.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
259
CONFERENCE EVALUATION
At the end of the Conference, participants were asked to fill out an evaluation form to enable
Conference organizers to take into account participants' particular interests when planning
subsequent gatherings on environmental enforcement. The form also solicited suggestions on the
focus of future Conferences.
Of the 169 Conference participants, 148 (88%) submitted evaluation forms. 76 better assess
the evaluations of such a diverse group, Tables 1, 2, and 3 categorize Conference respondents and
participants by region, organization type, and area of expertise, respectively.
Table 1. Regional Response to the Evaluation
Respondents
Region
Central America/South America/Caribbean
Asia
Africa
Western Europe/Central/Eastern Europe/NIS
North America
International Organizations and Industry Affiliations
Total
No.
(3D
(10)
(11)
(42)
(44)
(10)
(143)
%
21
7
7
28
30
7
100
Participants
No.
(37)
[11)
(11)
(48)
(49)
(13)
(169)
%
21
7
7
28
29
8
100
Table 2. Organization Types
Table 3. Areas of Expertise
Respondents
Region
International
National
State/Province
Municipal/Local
Nongovernment
Industry
Other
Total
No.
(10)
(92)
(27)
(2)
(7)
(2)
(5)
(145)
%
7
64
19
1
5
1
3
100
Respondents
Region
Legal
Technical
Policy/Management
Other
Total
No.
(46)
(47)
(45)
(6)
(144)
,%
32
33
31
4
100
1
GENERAL COMMENTS
Respondents generally praised the Conference. Many considered it a truly educational
experience and an excellent forum for international environmental information sharing ;ind networking
(40 respondents*); others expressed the hope that workshops, training, and information sharing would
continue until the next conference (30). Some respondents (5) indicated regret at being unable to
attend all the workshops, others asked to have the workshops expanded. Respondents praised the
high-quality of the research and analysis evident in the materials and encouraged their widespread
distribution (40). It was suggested that, in the future, more translation and interpretation support be
* Throughout this chapter we identify in parentheses the number of respondents who commented.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
provided to participants and that additional countries participate in the organization of the Conference
and the presentation of poster and exhibition materials. Many respondents remarked that they look
forward to participating in the next Conference.
2 CONFERENCE PURPOSE AND GOALS
Eighty-nine percent (131) of those who responded to the evaluation question concerning the
appropriateness of the Conference purpose and goals gave a rating of very good to excellent. A
breakout of responses is shown in Figure 1. Indeed, a number of respondents (9) expressed
appreciation for the opportunity to hear the views of representatives from countries around the world,
allowing the importance of institutional differences between developed and developing nations to be
recognized. Some respondents (2) suggested that, while it was too much to expect meaningful
institutional capacity building in such a short time, the Conference succeeded in highlighting the
important issues involved.
Appropriateness of the Conference Purpose and Goals
H Excellent
H Very Good
UFair
UPoor
Promote
recognition of tha
Importance of
environmental
compliance and
enforcement
Develop
institutional
capacity to
enhance existing
programs and
develop new
environmental
compliance and
enforcement
programs
Serve those
influencing the
design of
environmental
compliance and
enforcement
programs
Foster broad
International
exchange and
regional
networking
Foster
exchange of
expertise and
learning
through 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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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
261
Most respondents to the evaluation felt the Conference was timely and relevant given what
was generally regarded as the urgent need for governments to improve compliance and monitoring.
A number of respondents (7) felt that the focus on the development of domestic compliance and
enforcement programs was particularly appropriate for countries still developing a national
enforcement policy. Some respondents (5), however, suggested that they might benefit from even
greater emphasis on situations in developing nations and nations in transition.
Respondents were primarily interested in keeping subsequent Conferences focused on
significant global enforcement issues and the sharing of experiences (80). Indeed, the desire to
network among each other was raised repeatedly in evaluation commentary. Other suggestions
included organizing additional environmental enforcement conferences as well as regional workshops
and training; accessing electronic bulletin boards already in existence and creating new ones; and
creating magazines, fact sheets, and newsletters to reach a wider audience. The recommended
audience for these forums include representatives of developed and developing nations, industry,
government and nongovernment organizations, and private citizen groups.
3 SUCCESS IN ACHIEVING CONFERENCE PURPOSE
Eighty-six percent of participants (127) 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 responses is shown in Figure 2. More specifically, some respondents (6i) commented
that the Conference was very successful in achieving its main purpose, and other respondents
considered the exchange of experiences invaluable (3). One also encouraged more focus on the
host country and the role of citizens, observing that citizen action is behind environmental protection
wherever it occurs. Respondents (2) who felt that the Conference was too brief, nonetheless felt that
the materials would enable them to continue to study on their own. Some respondents (3) felt that,
while only long-term activity could significantly develop institutional capacity, the opportunity to learn
from other participants heightened the awareness of issues of concern to developing! nations. This
aspect of the Conference also increased the group's commitment to fostering international exchange,
regional networking, and the sharing of expertise.
4
CONFERENCE PARTICIPATION
Eighty-five percent of participants (125) who responded to the evaluation question concerning
the number of attendees and the representation of countries throughout the world gave a rating of
very good to excellent. A breakout of responses is shown in Figure 3. Respondents highlighted the
professionalism of participants and the variety of expertise. A number of respondents (10) suggested
that more participation from nongovernment organizations, industry/business, and developing nations,
and from Asia, southern Europe, and Middle Eastern countries should be encouraged.
5 STRUCTURE OF CONFERENCE
Eighty-seven percent of participants (129) who responded to the evaluation question concerning
the structure of the Conference gave a rating of very good to excellent. A breakout of responses is shown
in Figure 4. Respondents remarked that the plenary sessions, Day Two and Day Three workshops, the
poster session, the exhibition, and evening events were all productive and enjoyable, if somewhat tiring.
Respondents generally agreed on the usefulness of the format of plenary sessions, workshops,
the poster session, and the exhibition. Many participants (20), however, suggested that the schedule
was too full, and that either the Conference should be extended (4) or fewer topics should be included
in the agenda. Also, many (20) felt there should be some free time during the Conference, and one
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Success in Achieving Conference Purpose
100
90
80
70
60
50
40
30
20
10
M Excellent
ED Very Good
UGood
3 Poor
Promote
recognition of the
Importance of
environmental
compliance and
enforcement
Develop
Institutional
capacity to
enhance existing
programs and
develop new
environmental
compliance and
enforcement
programs
Serve those
influencing the
design of
environmental
compliance and
enforcement
programs
Foster broad
international
exchange
and regional
networking
Foster
exchange of
expertise and
learning
through active
participation
Figure 2. This figure shows the overall percentage ratings given by respondents who evaluated the success
In achieving Conference purposes.
favored field visits (i.e., to sewage plants, forest sites, or wetland/wildlife refuges). Other respondents
(10) suggested shortening the plenary sessions and increasing question-and-answer periods and
small group discussions to allow for more information exchange among participants.
It was also suggested (2) that a dinner be organized specifically to encourage networking
among various regions. Other suggestions advocated enhancing the poster session and exhibition
by providing more information on additional countries and providing technical staff to answer
questions (10); and providing demonstrations of electronic technology, including on-line access, CD
learning packages, interactive learning devices, and electronic bulletin boards (5). Some respondents
(3) also suggested that the support materials be made available sooner prior to the Conference and
that the materials should be translated into other languages.
5.1 Day Two and Day Three Workshops
Small group workshops were considered to be the best aspect of the conference structure,
enabling participant interaction on a personal and professional basis. A few respondents suggested
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
263
100-
90-
80
70
60
50
40
30
20
10
0
Number of
Participants
Conference Participation
Countries
Represented
Organizations
Represented
03 Very Good
HFair
a Poor
Mix of
Expertise
Figure 3. This figure shows the overall percentage ratings given by respondents who evaluated Conference
participation.
Structure of Conference
Day Two
Workshops
Day Three
Workshops
Poster
Session
Exhibits
Figure 4. This figure shows the overall percentage ratings given by respondents who evaluated the structure
of the Conference.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
that the Principles of Environmental Enforcement and the UNEP Institution-Building workshops were
an excellent educational format (3) and a useful means of evaluating different points of view (4). Some
participants (10) suggested allowing more time for discussion during the Principles of Environmental
Enforcement Day Two workshops, similar to that provided on Day Three, to accommodate improved
understanding of cultural and social differences among participants. Certain respondents (6) found
that at times the language barrier prevented full understanding of the issues. Other respondents
suggested that the number of workshops be increased (3).
5.2 Poster Session
Many respondents (20) found the poster session useful as an important means of exchanging
information. Some respondents (2) even commented that the Conference would not have been as
impressive without the posters, and that the organizers should try to increase attendance at such
sessions in the future. Some participants (2) also suggested that it would be interesting to have all
or most countries describing their enforcement systems in the poster session.
5.3 Exhibits
Approximately 30 respondents felt that the exhibits allowed participants to obtain excellent
materials, information, and documentation that would benefit their respective countries and
organizations. Some respondents (3) thought that, based on the materials available, the exhibition
was possibly the best part of the Conference. Respondents also praised the informality of the
exhibition. A few respondents (2) suggested including additional materials from other countries.
6 CONFERENCE TOPICS
The range of topics presented and discussed at the Conference was widely praised in the
evaluations. Many respondents agreed that the workshops provided a valuable forum for comparing
experiences, saying that this is where much of the learning took place. Change or improvements
suggested by respondents included creating more detailed case studies that address national and
regional successes and mistakes (7), along with the strengths and weaknesses of public involvement
(1). It was also suggested that there be more focus on Latin America and the Caribbean (8) and on
dispute resolution, enforcement methods, permitting (1), hazardous waste and transborder problems
(2), and consumption patterns and economic growth (3). A focus on environmental education and
environmental management was also suggested (2), along with a concentration on how to incorporate
enforcement and inspection activities into the legislative process.
6.1 Day One- and Day Four-Specific Conference Plenary Themes
For each theme the evaluation included a question regarding the usefulness of the session's
theme content, the mix of topics addressed, and the opportunity for discussion. Figure 5 and Table
4 show the range of ratings given for Conference themes. Themes 1, 2, and 3 were discussed on
Day One and were especially well received; however, opportunity for discussion was rated only
average (good) by 38% of participants. Numerous respondents (25) said that discussion and
experience-sharing were particularly informative components of the presentations and that more time
for this should be scheduled. It also was suggested that more sharing of experiences from developing
countries would be useful.
Theme presentations continued on Day Four with Themes 4, 5, and 6. While the presentations
received high ratings (see Figure 6 and Table 4) for the usefulness of theme contents and the mix of
topics addressed, 75% of respondents (111) felt that the opportunity for discussion was too limited
and should be increased.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
265
Theme #1: Principles' of Environmental Enforcement
Usefulness ol
Thomo Contents
Theme #2: Environmental Enforcement Challenges
100
90
80
70
60
50
Usefulness o:
Thome Contents
Theme S3: Country Experiences in Designing
Elements of an Enforcement Program
Usefulness of
Thome Contents
Mix of Topics
Addressed
Opportunity for
Discussion
Figures. This figure shows the overall percentage ratings given by
respondents who evaluated the Day One plenary themes.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Table 4. Day One- and Day Four-Specific Conference Plenary Themes
Excellent
No. %
Very Good
No. %
Good
No. %
Fair
No.
Poor
% No. %
Theme #1: Principles of Environmental Enforcement
Usefulness of theme contents
Mix of topics addressed
Opportunity for discussion
(54)
(44)
(21)
40
33
16
(57)
(57)
(26)
42
43
20
(19)
(26)
(55)
14
20
41
(5)
(6)
(16)
4
5
12
(0)
(0)
(15)
0
0
11
Theme #3: Environmental Enforcement Challenges
Usefulness of theme contents
Mix of topics addressed
Opportunity for discussion
Theme #3: Country Experiences
Usefulness of theme contents
Mix of topics addressed
Opportunity for discussion
(36)
(3D
(27)
27
23
20
in Designing
(42)
(37)
(28)
32
28
21
(73)
(69)
(38)
54
51
29
Elements of an
(58)
(52)
(37)
44
39
28
(21)
(32)
(51)
16
24
38
Enforcement
(27)
(37)
(48)
20
28
36
(5)
(3)
(12)
Program
(5)
(7)
(15)
4
2
9
4
5
11
(0)
(0)
(5)
(0)
(0)
(4)
0
0
4
0
0
3
Theme #4: Experiences in Compliance and Enforcement
Usefulness of theme contents
Mix of topics addressed
Opportunity for discussion
(36)
(27)
(17)
28
21
14
Theme #5: The Role of Communication in an
Usefulness of theme contents
Mix of topics addressed
Opportunity for discussion
(40)
(36)
(14)
31
28
12
(44)
(49)
(21)
34
38
17
(46)
(43)
(39)
35
33
32
(2)
(9)
(15)
2
7
12
(2)
(2)
(3D
2
2
25
Enforcement Program
(48)
(43)
(27)
37
33
23
(38)
(45)
(30)
29
35
25
(2)
(3)
(19)
2
2
16
(2)
(2)
(29)
2
2
24
Theme #6: Establishing International Networks
Usefulness of theme contents (57) 47 (42) 34
Mix of topics addressed (47) 39 (50) 41
Opportunity for discussion (19) 17 (35) 31
(20) 16 (3) 2 (0) 0
(23) 19 (2) 2 (0) 0
(32) 29 (13) 12 (13) 12
6.2 Day Two Workshops on Principles of Environmental Enforcement
The number of participant evaluations from the Principles of Environmental Enforcement
workshops was as follows for the five possible case study subject areas: Mining (9),
Petrochemical/Refining (22), Deforestation (19), Residential and Industrial Waste (52), and Tourism
(12) Respondents evaluated each workshop according to the following criteria: ability to apply
principles of environmental enforcement in a realistic setting; quality of the workshop materials;
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
267
too
90
80
70
60
50
40
30
20
10
0
Theme #4: Experiences in Compliance and Enforcement
Usefulness of
Thema Contents
Theme «5: The Role of Communication in an Enforcement Program
100r
90
80
70
60
50
40
30
20
10
Usefulness of
Theme Contents
Mix of Topics
Addressed
Opportunity for
Discussion
Theme «6: Establishing International Networks
Usefulness of
Theme Contents
Mix of Topics
Addressed
Opportunity for
Discussion
Rgure6. This figure shows the overall percentage ratings given bv
respondents who evaluated the Day Four plenary themes.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
usefulness of the technical support package; and usefulness of contents. A number of respondents
(12) rated the workshops as excellent. Some respondents (3) were particularly pleased with the
rote-playing format that allowed participants to consider the application of principles within their own
national context. Other respondents (5) suggested that more time should be spent in he workshops
Two respondents thought additional time should have been spent on the Principles of Environmental
Enforcement themselves and on in-depth analysis of each case from different perspectives. In general
however the case studies workshops were given high marks and a number of respondents (10)
expressed an interest in having them expanded on in the future. The evaluation of workshops for
each of the case study subject areas is shown in Table 5.
Tables. Case Studies . —
1 " " Excellent Very Good Good Fair Poor
No. % No. % No. % No. % No. %
Mining
Ability to apply Principles of Environmental
Enforcement in a realistic setting
Quality of the workshop materials
Usefulness of technical support package
Usefulness of contents
Petrochemical/Refining
Ability to apply Principles of Environmental
Enforcement in a realistic setting
Quality of the workshop materials
Usefulness of technical support package
Usefulness of contents
Deforestation
Ability to apply Principles of Environmental
Enforcement in a realistic setting
Quality of the workshop materials
Usefulness of technical support package
Usefulness of contents
Residential and Industrial Waste
Ability to apply Principles of Environmental
Enforcement in a realistic setting
Quality of the workshop materials
Usefulness of technical support package
Usefulness of contents
Tourism
(4) 44
(13) 59
(12) 55
(10) 45
(4) 44 (0) 0 (1) 11
(13) 59 (4) 18 (5) 23 (0)
(7) 32 (2) 9 (0) 0
(7) 32 (3) 14 (0) 0
(8) 36 (4) 18 (0) 0
(3) 16 (10) 53
(2) 11 (12) 63
(3) 17 (10) 56
(25) 49 (15) 29
(19) 37 (19) 37
(17) 34 (20) 40
(0) 0
(1)
(4)
(2)
11
44
22
(6)
(3)
(5)
67
33
56
(D
(2)
(2)
11
22
22
(D
(0)
(0)
11
0
0
(0)
(0)
(0)
0
0
0
(0) 0
(0) 0
(0) 0
(0) 0
(6) 32 (8) 42 (3) 16 (2) 11 (0) 0
(6) 32 (0) 0 (0) 0
(5) 26 (0) 0 (0) 0
(4) 22 (1) 6 (0) 0
(23) 44 (18) 35 (8) 15 (2) 4 (1) 2
(10) 20 (1) 2 (0) 0
(10) 19 (3) 6 (1) 2
(10) 20 (2) 4 (1) 2
Ability to apply Principles of Environmental
Enforcement in a realistic setting
Quality of the workshop materials
Usefulness of technical support package
Usefulness of contents
(5)
(4)
(5)
(3)
42
33
42
27
(5)
(6)
(4)
(4)
42
50
33
36
(8)
(D
(2)
(D
8
8
17
9
(1)
(0)
(0)
(3)
8
0
0
27
(0)
(D
(D
(0)
0
8
8
0
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
269
6.3 Day Three Workshops on Institution-Building (UNEP) and on Special Topics
Many respondents (50) who completed the section of the evaluation form on the Day Three
sessions felt that the quality of the workshop materials and the discussion of issues were notable.
Figure 7 shows the range of ratings given for the Workshops on Institution-Building (UNEP). Figure
8 shows the range of ratings given for the Workshops on Special Topics. Some respondents (8)
commented that the small groups were an excellent format for promoting discussion. These
respondents suggested holding fewer workshops each day and providing additional pre-Conference
materials. Other respondents (8) commented that they learned a great deal from the workshops and
were impressed with the level of participation in the discussions. A few respondents (4), however,
suggested that the Workshops on Special Topics, in particular, might be more effective if topics are
addressed on a regional basis, since some individual country contributions did not generate
discussion among participants. Table 6 lists respondents' ratings for Day Threse Workshops on
Institution-Building (UNEP) and on Special Topics.
Workshops on Institution-Building (UNEP)
E! Quality of the workshop
-|00r materials
El Goals accomplished by
discussion
El Issues addressed
80
70
60
50
40
30
20
10
0
Enforcing Human, Compliance Processing
Regulations Information, Monitoring and Permits
Related to and Financial Inspections of
Industrial Resources Industrial
Activities: Facilities
Developing
and
Organizing the
Enforcement
Programme
Figure 7. This figure shows the overall percentage ratings for "very good" to "excellenf given by respondents
who evaluated the Workshops on Institution-Building (UNEP).
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Special Topic Workshops
100
90
80
70
60
50
40
30
20
10
Si Quality of the workshop
materials
El Goals accomplished by
discussion
B3 Issues addressed
Export/Import
of Illegal
Shipments of
Hazardous
Waste, Toxic
Chemicals, or
Contaminated
Products
Field Citations
as an
Approach to
Enforcement
CFC Control
Program
Enforcement:
Implementing
the Montreal
Protocol
Criminal
Enforcement
Role In
Environment
Special Topic Workshops (continued)
0 Quality of the workshop
materials
El Goals accomplished by
discussion
El Issues addressed
Enforcement Enforcement Promoting Role of Police
at Government of Economic Voluntary
-Owned or Instruments Compliance:
-Operated Environmental
Facilities Auditing,
Outreach, and
Incentive
Programs
Figure 8. This figure shows the overall percentage ratings for "very good" to "excellent' given by respondents
who evaluated the Special Topics Workshops.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
271
Table 6. Day Three Workshops on Institution Building (UNEP) and on Special Topics
Is
li
s
i
i*
2
i
a
s
a
s-
tngind
Caw
NEP
i!
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
7 ORGANIZATION OF THE CONFERENCE
The majority of the respondents lauded the efforts of the Conference organizers, calling the
Conference a great success. Many respondents (30) remarked that the Conference was extremely
well organized and professional. In general, respondents were pleased with the accommodations
and found the location convenient; however, some remarked that air-conditioning was inadequate
and that the meeting rooms were too noisy. Most respondents enjoyed the food, but some (20)
requested more variety in the future. In particular, some respondents wanted more continental variety,
while others suggested a focus on different types of regional cuisine. Additionally, some participants
suggested including a midweek rest break during the Conference.
A breakout of responses to evaluation questions concerning the organization of the
Conference is shown in Figure 9.
100
90
80
70
60
50
40
30
20
10
Organization of the Conference
H Excellent
H Very Good
HGood
• Fair
II Poor
Accommodations Location
Schedule
Workshop
Information
Service
Desk
Special
Events
Food and
Beverage
Figure 9. This figure shows the overall percentage ratings given by respondents who evaluated the
organization of the Conference.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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8
FOLLOWUP TO THE CONFERENCE
Most respondents expressed an interest in followup to this Conference. Seventy-five percent
(111) of respondents were in favor of holding subsequent Conferences every two years, while 19%
(28) advocated meeting annually. Six percent (9) of respondents expressed no opinion on the
frequency of future Conferences. Asia was recommended as the site for the next Conference by 79%
(117) of the respondents, and Africa was recommended by 22% (33). Other suggestions included
Ecuador, the Caribbean, and Central or Eastern Europe.
Many respondents (50) suggested distributing the Conference proceedings as widely as
possible. Suggestions for distribution included:
• International development agencies.
• Government and nongovernment organizations.
• Enforcement agencies.
• Public, academic, and law school libraries.
• Professional institutions.
• Member countries of the United Nations.
• Constituent groups of Conference participants.
Suggestions for distribution mechanisms included:
• Technical magazines.
• Newsletters. :
• The National Technical information Service (NTIS) (in the United States).
• U.S. Government Printing Office/Superintendent of Documents.
• Electronic bulletin boards.
Numerous respondents (40) suggested the following initiatives related to dissemination of
information:
• Creating a network and using those that currently exist (such as E-law, E-mail,
Internet, UNER OECD, USAEP).
• Creating a one-page fact sheet with a tear-off address form for distribution at other
conferences and forums.
• Translating the proceedings into other languages.
• Providing an order form in the proceedings.
• Organizing regional conferences on a yearly basis and providing regional network
support.
• Organizing workshops on environmental legislation.
• Developing mailing lists.
• Videotaping selected portions of the Conference for future use.
• Writing to participants after one year to ask them to report on whether any of the
things they learned at the Conference have been implemented in their countries.
• Creating an advisory council of the Conference to provide guidance on the
implementation of capacity building in the area of compliance and enforcement.
• Developing more in-depth materials.
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
275
| PARTICIPANT LIST
Dr. Adegoke Adegoroye
Deputy Director and
Head of Enforcement
Federal Environmental
Protection Agency
Independence Way South
PMB265
GarW-Abuja FCT
Nigeria
Tel: 234-952-33378
Fax:234-161-4299
Dr. Alao Yekini Akala
Chief, Studies and
Legislation Department
Ministerie de I'Environnement
de I'Habitat et de I'Urbinisme
Boite Postal 01-3621
Cotonou
Benin
Tel: 229-315-596
Fax:229-315-081
Mr. Arturo Alcocer Lujambio
Subprocurador de Parficipaci6n
Social y Quejas
Procuradurfa Federal de
Protecci6n al Ambiente
La Secretaria de Desarrollo Social
(SEDESOL)
Boulevard del Pipila #1
Techamchalco, Naucalpan
53950, Edo. de Mexico
Mexico
Tel: 525-589-8559
Fax: 525-294-2687
Mr. Hans Alders
Environment Minister
Ministry of Housing, Spatial
Planning and the Environment
Rijnstraat 8
2515XPDENHAAG
The Netherlands
Tel: 31-70-339-4621
Fax: 31-70-339-1298
Mr. Michael Alushin
Director, International
Enforcement Program
Office of Enforcement
U.S. Environmental
Protection Agency
401 M Street, SW (MC-2247)
Room 1203
Washington, DC 20460
United States
Tel: 1-202-260-3217
Fax: 1-202-260-9833
Mr. Lamex Omara Apitta
Assistant Secretary
Environmental Protection
Headquarters
Ministry of Natural Resources
Kitante Road
P.O. Building-10th Floor-Room 4
Kampala
Uganda
Tel: 256-41-245623
Fax: 256-41-236819
Mr. Arthur Archer
Project Manager
Sewage and Solid Waste
Project Unit
Ministry of Health
28 Garrison - Block C
St. Michael
Barbados
Tel: 1-809-427-5910
Fax: 1-809-426-2510
Mr. Gabriel Arenas Flores
Director General de la
Unidad de Verificacion
La Secretaria de Desarrollo Social
(SEDESOL)
Boulevard del Pipila #1
Techamchalco, Naucalpan
Mexico City 53950
Mexico
Tel: 525-589-4398
Fax: 525-589-4397
Mr. Francisco
Bahamonde Torres
Subprocurador de
Verificacion Normativa
Procuraduria Federal de
Protecci6n al Ambiente
La Secretaria de Desarrollo Social
(SEDESOL)
Boulevard del Pipila #1
Tecamachalco, Naucalpan
Mexico City 53950
Mexico
Tel: 525-589-4398
Fax: 525-589-4398
Prof. Gyula Bandi
Professor of Law
University Eotvos Lorand
Hungarian Academy of Attorneys
Egyetemter1-3
H-1053 Budapest
Hungary
Tel: 36-1-266-4156
Fax: 36-1-266-4091
Mr. Hu Baolin
Director
Department of Policy and Law
National Environmental
Protection Agency
No. 115, Xizhimennel Nanxiaojjie
Bejing 100035
People's Republic^ of China
Tel: 86-1-832-9911
Fax:86-1-832-8013
Mr. Richard Belisle
Acting Chief Foresit Officer
Forest Department
Government of Belize
Belmopan
Belize
Tel: 501-8-220-79
Fax:501-8-220-83
Ms. Renee Bergkamp
Deputy Director of
Legal Department
Ministry of Agriculture, Nature
Management and Fisheries
Bezuidenhoutsewfsg 73
Postbus 20401
2500 EK Den Haag
The Netherlands
Tel: 31-70-379-2457
Fax: 31-70-347-7096
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Dr. Eberhard Bohne
Head, Office of General
Environmental Law
Federal Ministry for the Environment
KenndeyAlleeS
53048 Bonn
Germany
Tel: 49-22-8305-2250
Fax: 49-22-8305-3225
Dr. Mikhail Brinchuk
Doctor of Juridicial Sciences
Center for Environmental
Legal Studies
Institute of State and Law
Russian Academy of Sciences
ZnamankalO
Moscow 119841
Russia
Tel: 7-095-173-6288
Fax: 7-095-291-8574
Ms. Susan Bromm
Formerly: Director, RCRA
Enforcement Division
New Position: Director, Chemicals,
Commercial Services and
Municipal Division
Office of Enforcement and
Compliance Assurance
U.S. Environmental
Protection Agency
401 M Street, SW
RoomM2714
Washington, DC 20460
United States
Tel: 1-202-260-4808
Fax:1-202-260-4100
Mr. Louis Brown
Advisor
Department of Public Housing,
Physical Planning & Environment
Island Government of
St. Maarten N.A.
Administration Building - Pondfill
P.O. Box 143
Philipsburg
St. Maarten
Tel: 599-5-22-233
Fax: 599-5-24-884
Dr. Douglas Bryce
Director
Pollution Policy Division
Her Majesty's Inspectorate
of Pollution
Romney House - Room A507
43 Marsham Street
London SW1P3PY
England
Tel: 44-71-276-8088
Fax: 44-71-276-8562
Mr. Jose Luis
Calderon Bartheneuf
Subprocurador de
Auditoria Ambiental
La Secretaria de Desarrollo Social
(SEDESOL)
Insurgentes Sur #1480 - 7o piso
Barrio Actipan,
Del. Benito Juarez
03230, Distrito Federal
Mdxico City 03230
Mexico
Tel: 525-534-8808
Fax: 525-534-5877
Mr. Fred Campbell
Deputy Executive Director
Environment and Compliance
Natural Resources
Conservation Authority
531/2 Molynes Road
Kingston 10
Jamaica
Tel: 1-809-923-5155
Mr. Norbert Campbell
Chief Public Health Inspector
Ministry of Health
61 Halfway Tree Road
LOJ Building - 4th Floor
Kingston 10
Jamaica
Tel: 1-809-929-4305
Fax: 1-809-926-2673
Ms. Julia Carabias
President
Ecology National Institute
Rio Elba 20,160. piso
Cuauhtemoc
MdxicoCity 06500
Mexico
Tel: 525-553-9538
Fax: 525-286-6625
Mr. Stefan Carlyle '
Head, Environmental
Assessment and Planning Policy
Pollution Policy Division
Her Majesty's Inspectorate
of Pollution
Romney House - Room A513a
43 Marsham Street
London SW1P3PY
England
Tel: 44-71-276-8088
Fax:44-71-276-8562
Mr. Luis Carrera de la Torre
Presidente
Comision Asesor Ambiental de
la Presidencia de la Republica
Ave. 10 de Agosto 3560
Edif. Metrocar 4o piso
Quito
Ecuador
Tel: 593-2-540455
Fax: 593-2-565809
Ms. Julian Sigbert Caruth
Chief Environmental
Health Officer
Ministry of Health
and Environment
Ministerial Building
Kingstown
St. Vincent
Tel: 1-809-457-1729
Fax: 1-809-457-2684
Mr. Marcelo Cousillas
Legal Advisor
Direcion Nacional del
Medio Ambiente (DINAMA)
Ministerio de Vivienda
Orenamiento Territorial y
Medio Ambiente
Misiones1424piso2
Zabala1427
Montevideo 11000
Uruguay
Tel: 598-296-5859
Fax: 598-296-5863
Mr. Ricardo Cronembold
Director
Ministerio Desarrollo Sostenible y
Medio Ambiente
Av.Arce#2147
P.O. Box #3116
LaPaz
Bolivia
Tel: 591-2-35-4522
Fax: 591-2-39-2892
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THIRD (INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
277
Mr. Christopher Currie
Acting Chief, Enforcement
Management Division
Office of Enforcement
Environment Canada
351 St. Joseph Boulevard
Place Vincent Massey-17th Floor
Hull, Quebec K1AOH3
Canada
Tel: 1-819-953-3882
Fax: 1-819-953-3459
Mr. Hashim Daud
Director
Department of Environment
Ministry of Science, Technology
and Environment
Wisma Sime Darby -17th Floor
Jalan Raja Laut
Kuala Lumpur 50662
Malaysia
Tel: 603-559-4787
Fax: 603-559-4788
Mr. Alfred Faud David Gidi
Director General de la Unidad de
Programacion y ApoyoTecnico
La Secretaria de Desarrollo Social
(SEDESOL)
Boulevard del Pipila #1
Tecamachalco, Naucalpan
Mexico City 53950
Mexico
Tel: 525-589-4398
Fax: 525-589-4398
Ms. Clarisa Vega de Ferrera
AbogadayNotaria
Bufete Ferrera Vega
Bo. la Palzuela
100 Metros alSurde
Banco Futuro #1201
Tegucigalpa
Honduras
Tel: 504-38-63-72
Fax: 504-38-63-73
Ms. Michele de Nevers
Principal Environment Coordinator
Mexico and Central America
Environment Department
World Bank
1818 H Street - Rooml-8165
Washington, DC 20433
United States
Tel: 1-202-473-3299
Fax: 1-202-676-1464
Mr. Nelson Vieira
de Vasconcelos
Director/President
Saneamiento Ambiental
Companhia Estadua de Tecnica
de Saneamiento Ambiental
Ave. Frederico Hermann, Jr.#345
Alto de Pinheiros
Sao Paulo 05489-900
Brazil
Tel: 55-11-210-1485
Fax:55-11-813-6451
Mr. Jorge Mario del Valle Cruz
Jefe del Departamento de
Planiflcacion y Proyectos
Comision Nacional del Medio
Ambiente (CONAMA)
Avenida Petapa 25-59
Zonal 2
01012 Ciudad de Guatemala
Guatemala
Tel: 502-2-76-0055
Fax: 502-2-76-0055
Ms. Clare Delbridge
Consultant
United Nations
Environment Programme IE/PAG
5 Dryden Street (PDA Int'l)
Covent Garden
London WC2E9NW
England
Tel: 44-71-829-8396
Fax: 44-71-240-5600
Ms. Ann DeLong
Environmental Scientist
Office of Enforcement and
Compliance Assurance
International Enforcement Program
U.S. Environmental
Protection Agency
401 M Street, SW (MC-2245)
Washington, DC 20460
United States
Tel: 1-202-260-8870
Fax: 1-202-260-9833
Mr. Andriy Demydenko
Director
Department for
International Rela'fons
Division of International Relations
Ministry for Environmental
Protection of Ukrsiine
5 Khreschatyk Street
Kiev 252001
Ukraine
Tel: 7-044-228-7798
Fax: 7-044-220-7108
Mr. Earl Devaney
Director
Office of Criminal Enforcement
U.S. Environmental
Protection Agency
401 M Street, SW(LE-133)
Room W1041
Washington, DC 20460
United States
Tel: 1-202-260-9724
Fax: 1-202-260-0268
Dr. Luis Miguel Diaz Gonzalez
Legal Consultant of the Secretary of
Foreign Relations
Flores Magon No. 1,11 o. piso
Tiatelolco, Del. Cuauhtemoc
Mexico City 06995
Mexico
Tel: 525-327-3061
Fax: 525-327-3006!
Dr. Olga Dubovie
Doctor of Juridicial Sciences
Center for Environmental
Legal Studies
Russian Academy of Sciences
Institute of State and Law
ZnamankalO
Moscow 119841
Russia
Tel: 7-095-291-3827
Fax: 7-095-291-8574
Ms. Linda Duncan
Assistant Deputy Minister
Department of
Renewable Resources
Government of the Yukon
P.O. Box 2703
Yukon Y1A2C6
Canada
Tel: 1-403-667-5460
Fax:1-403-667-2438
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Mr. William Elchbaum
Vice President, International
Environmental Quality
World Wildlife Fund
1250 24th Street, NW
Washington, DC 20037-1175
United States
Tel: 1-202-778-9645
Fax:1-202-293-9211
Dr. Ossama EI-Kholy
Professor Emeritus
Cairo University
13, Street 265 New Maadi
Cairo 11742
Egypt
Tel: 20-2-352-1325
Fax: 20-2-378-0222
Mr. Marcel Fevrler
Chief Environmental
Health Officer
Ministry of Health
Chaussee Road
Castries
St. Lucia
Tel: 1-809-452-2859
Fax: 1-809-452-5655
Dr. Sdndor FQlop
Attorney at Law
Ruttner & Partners
37 Desewffy u.
MargitKrL58v.4
H-1027 Budapest
Hungary
Tel: 361-2-014-534
Fax:361-1-326-141
Mr. Paul Gavrel
Office of Enforcement
Environment Canada
351 St. Joseph Boulevard
Place Vincent Massey-17th Floor
Hull, Quebec K1AOH3
Canada
Tel: 1-819-953-0762
Fax: 1-819-953-3459
Dr. Istvan Gellerthegyi
Permanent Legal Counsel
Faculty of Law
Chief Environmental
Inspectorate of Hungary
University Eotvos Lorand
AlkotmanyU. 29.
H-1054 Budapest
Hungary
Tel: 36-1-132-3929
Fax:36-1-111-5826
Mr.JoGerardu
Inspector
Inspectorate for the Environment
Ministry of Housing, Spatial
Planning and the Environment
IPC681
P.O. Box 30945
2500 GX DEN HAAG
The Netherlands
Tel: 31-70-339-1166
Fax:31-70-339-1300
Mr. Vincent Gillett
Fisheries Administrator
Rsheries Department
Ministry of Agriculture & Rshing
P.O. Box148
Belize City
Belize
Tel: 501-2-32623
Fax: 501-2-32983
Mr. Robert Glaser
Inspector, International Affairs
HIMHA/ROM
Ministry of Housing, Spatial
Planning and the Environment
Seissingel 4
4330AJMiddleburg
The Netherlands
Tel: 31-11-803-3792
Fax:31-11-802-4126
Mr. Cuauhtemoc
Gonzalez Pacheco
Delegado de la PFPA
SEDESOL en Oaxaca
La Secretaria de Desarrollo Social
(SEDESOL)
Avenida Independencia No. 709
Palacio Federal (Altos)
Oaxaca 68000
Mexico
Tel: 52-951-41991
Fax: 52-951-60078
Dr. Aloksander
Grlgorlevlch Veprey
Department Head
Oblast Committee for
Environmental Protection
Mamina-Sibirjaka 36
Ekaterinburg,
Sverdlovsk Oblast 620219
Russia
Tel: 7-3432-562-549
Fax: 7-3432-562-549
Mr. John Hall
Chairman
Texas Natural Resources
Conservation Commission
1700 North Congress Avenue
Suite 125
Capitol Station
Austin, TX 78701
United States
Tel: 1-512-463-7901
Fax: 1-512-475-2332
Mr. Leo Heileman
Programme Officer
Regional Office for Latin America
and the Caribbean
United Nations
Environment Programme
Boulevard de los
VlrreyesNo. 155
Col. Lomas Wreyes
11000 Mexico City
Mexico
Tel: 525-202-4841
Fax: 525-202-0950
Mr. Livingston Hepburn
Acting Deputy Director
Department of Environment
Health Services
P.O. Box N3729
Nassau Court, Nassau
Bahamas
Tel: 1-809-322-8029
Fax: 1-809-322-3607
Mr. Steven Herman
Assistant Administrator
Office of Enforcement and
Compliance Assurance
U.S. Environmental
Protection Agency
401 M Street, SW (MC-2211)
Washington, DC 20460
United States
Tel: 1-202-260-4134
Fax: 1-202-260-0500
Ms. Patricia Hollett
Investigations and
Enforcement Branch
Ontario Ministry of Environment
250 Davisville Avenue - 5th Floor
Toronto, Ontario M4S1H2
Canada
Tel: 1-416-440-3508
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
279
Mr. Zhang Hongjun
Deputy Director
Laws Division
Office of Environmental
Protection Committee
National People's Congress
Xi Huang Cheng
GenBeiJieNo. 2
Beijing 100034
People's Republic of China
Tel: 86-1-309-8334
Fax:86-1-309-8439
Mr. Damien Houeto
Directeur Direction de
I'Environnement
Ministerie de I'Environnement de
I'Habitat et de I'Urbanisme
Boite Postal 01-3621
Cotonou
Benin
Tel: 229-312-065
Fax:229-315-081
Mr. Miguel A. Irabien
Technical Support Inspectors
La Secretaria de Desarrollo Social
(SEDESOL)
Boulevard del Pipila #1
Techamchalco, Naucalpan
Mexico City 53950
Mexico
Mr. Jalaluddin Bin Ismail
Director
Department of Environment
Malacca and Negeri Sembilan
2nd Floor, Graha Maju
Jalan Graha Maju
75300 Malacca
Malaysia
Tel: 60-3-247-825
Fax: 60-6-247-845
Mr. Brian James
Chief Forest and Land Officer
Forest and Land Department
Ministry of Agriculture
NIS Building
Castries, Waterfront
St. Lucia
Tel: 1-809-450-2078
Fax: 1-809-450-2287
Mr. Sebastian Jara
Ingeniero Quimico
Servicio Nacional de
Saneamiento Ambiental
(SENASA)
Mariscal Estigarribiay
Tacuary #796
Asuncion
Paraguay
Tel: 595-21-444-182
Fax:595-21-449-262
Mr. Ole Kaae
Head of Section
Danish Environmental
Protection Agency
Miljostyrelsen
29, Strandgade
DK-1401 Copenhagen K
Denmark
Tel: 45-32-660100
Fax: 45-32-660479
Mr. Henry Muganwa Kajura
Cabinet Minister
Ministry of Natural Resources
Kampala Road - Amber House
P.O. Box 7270
Kampala
Uganda
Tel: 256-41-233-331
Fax:256-41-230-220
Mr. Zbigniew Kamienski
Director of Control Department
State Inspectorate for
Environmental Protection
ul.Wawelska 52-54
00-922 Warsaw
Poland
Tel: 48-22-251-524
Fax: 48-22-251-509
Mr. Bruce Kay
Enforcement and
Emergencies Branch
Environment Canada
224 West Esplanade
North Vancouver, BC WM 3H7
Canada
Tel: 1-604-666-2736
Mr. Huub Kesselaar
Director
Inspectorate for the
Environment/IPC 681
Ministry of Housing, Spatial
Planning and the Environment
WillemWitsenpleine
2596 BK Den Haag
The Netherlands
Tel: 31-70-339-1167
Fax: 31-70-339-1300
Mr. David Kinyanjui
Senior Ecologisl
Natural Resources
Management Division
National Environment
Secretariate
Kencom House - P.O. Box 67839
4th Floor - #471
Nairobi ;
Kenya
Tel: 254-2-229-2:62
Fax: 254-2-338-272
Mr. Wout Klein
Regional Inspectorate Gelderland
Ministry of Housing, Spatial
Planning and the* Environment
Pels Rijckenstraat 1
Postbus9013
6800 DR Amhem
The Netherlands
Tel: 31-85-528-880
Fax: 31-85-528-256
Mr. Soren Harald Klem
Specialized Officer
Economic Crime Group
I.C.P.O. - INTERPOL,
General Secretariate
50 Quai Achille Ugnon
B.P. 6041
Lyon Decex 0669006
France
Tel: 33-72-44-7190
Fax:33-72-44-7163
Mr. Ludwig Kramer
Lawyer
Commission of the
European Communities
DG Environment, Nuclear Safety
and Civil Protection
5, rue Beaulieu
Brussels 1160
Belgium
Tel: 322-299-22-65
Fax: 322-299-10-70
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Mr. Jeffrey Lacey
Director
Division of Environmental
Enforcement
New York State Department of
Environmental Conservation
50 Wolf Road - Room 609
Albany, NY 12233-5500
United States
Tel: 1-518-457-4348
Fax: 1-518-485-8478
Ms. Inga BIrgltta Larsson
Head of the Chemical
Industry Section
Swedish Environmental
Protection Agency
S-17185Solna
Sweden
Tel: 46-8-799-1142
Fax: 46-8-989-902
Mrs. Marianne Lassen
Head of Section
International Division
Danish Environmental
Protection Agency
29, Strandgade
DK-1401 Copenhagen K
Denmark
Tel: 45-32-660-207
Fax: 45-31-573-577
Mr. Daniel Hugo Llermanos
Juzgado de lo Criminal y
Correcclona! #10
Del Departamento Judicial de
Lomas de Zamora
Talcahuano 278,1 er piso
Banfield 1828
Buenos Aires
Argentina
Tel: 54-1-242-7204
Fax:54-1-202-2154
Mr. Edwin Lowry
Deputy Attorney General
California Department of Justice
1515 K Street-Suite 511
Sacramento, CA 94244-2550
United States
Tel: 1-916-327-7876
Fax:1-916-324-2960
Mr. Anatoli Ivanovich Lychyov
Deputy Chief of Main State
Ecological Expertise
Ministry of Ecology and
Bioresources
Panfiiov Street 106
480091 Almaty
Kazakhstan
Tel: 7-3272-631-751
Fax: 7-3272-631-207
Ms. Crlstlna Elena Maiztegui
Coordinadora General
Direcion Provincial del
Medio Ambiente
Ministerio de Salvo y Accion
Social de la Provincia
Calle68#541 DtoB
La Plata 1900, PCIABS.AS.
Provincia de Buenos Aires
Argentina
Tel: 54-21-241-829
Fax:54-21-534-214
Mr. Yuri Leonidovich
Maksimenko
Director
Department of the Environmental
Legislation & Regulations
Legal Department
Ministry for Environment and
Natural Resources
Bolshay Grazinskay Street 4/6
Moscow 123812
Russia
Tel: 7-095-254-7165
Fax: 7-095-254-8283
Mr. Grandersio Marizan Ubina
Director, Nacional de Parques
Division de Parques
Avenida Independencia
Esquina Cervantes #359
Santo Domingo
Dominican Republic
Tel: 1-809-221-5340
Fax: 1-809-685-1316
Ms. Luz Maria
Martfnez Armendariz
Biologia - Subdirectora
Procuraduria Federal de
Proteccion al Ambiente
La Secretaria de Desarrollo Social
(SEDESOL)
Rio Elba 20, 4o. piso
Cuauhtemoc
Mexico City 06500
Mexico
Mr. Wilson Masilingi
Senior Legal Officer
National Environment
Management Council
Sokoine Drive - Tancot House
63154 Dare es Salaam
Tanzania
Tel: 255-51-34603
Fax: 255-51-34603
Mr. Thomas Maslany
Director
Air, Radiation and Toxics Division
Region III
U.S. Environmental
Protection Agency
841 Chestnut Building
Philadelphia, PA 19107
United States
Tel: 1-215-597-9390
Fax:1-215-580-2011
Ms. Liliana Maslarova
Legal Expert
Bulgarian Ministry
of Environment
67 William Gladstone Street
1000 Sofia
Bulgaria
Tel: 359-2-81-4354
Fax:359-2-52-1634
Mr. Andrew Mastrandonas
Executive Director
Global Environmental
Management Initiative (GEMI)
2000 L Street, NW - Suite 710
Washington, DC 20036
United States
Tel: 1-202-296-7449
Fax: 1-202-296-7442
Dr. Winston McCalla
Natural Resources
Conservation Authority
40 East Street
Kingston
Jamaica
Tel: 1-809-922-1217
Fax: 1-809-922-5202
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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Mr. Vaclav Mezick
Director/Professor
Faculty of Law
Environmental Law Institute
Charles University
nam. Curieovych 7
110,00 Prahal
Czech Republic
Tel: 42-2-232-8072
Fax: 42-2-248-10472
Mr. Edis Milan!
Secretary of State
Secretary of the Environment of
the State of Sao Paulo
Rua Tabapua #81
14piso
Sao Paulo 04533-010
Brazil
Tel: 55-11-822-0766
Fax:55-11-822-8291
Ms. Anne Mitchell
Canadian Institute for
Environmental Law and Policy
517 College Avenue - Suite 400
Toronto, Ontario M6G 4A2
Canada
Tel: 1-416-923-3529
Fax: 1-416-923-5949
Mr. Pak Moestadji
Lawyer
State Ministry for Environment
North Medan Merdeka Barat 15
Jakarta 10110
Indonesia
Tel: 62-21-374-627
Fax: 62-21-384-7075
Ms. Sandra Urbina Mohs
Directora de Asesoria Juridica
Department of Legal Counseling
Ministerio de Recursos
Maturates, Energia y Mines
Calle25Ave. 8y10
Barrio Peralta
Frente Iglesia Sagrabo
Corazon de Jesus
10104-1000 San Jose
Costa Rica
Tel: 506-55-1492
Fax: 506-55-1492
Ms. Ignacia Moreno
Special Assistant to the
Assistant Attorney General
Environment and Natural
Resources Division
U.S. Department of Justice
10th & Constitution Avenue, NW
Room 2608
Washington, DC 20530
United States
Tel: 1-202-514-5243
Fax: 1-202-514-0557
Mr. Branimir Natov
Deputy Minister
Bulgarian Ministry
of Environment
67 West Gladstone Street
1000 Sofia
Bulgaria
Tel: 359-2-88-1440
Fax: 359-2-52-1634
Mr. Guillermo Navarette Lopez
Secretaria Ejecutiva del
Medio Ambiente (SEMA)
Final 91 Ave. Norte
Entre 11 y 13 Calle Poniente
Colonia Escalon, San Salvador
El Salvador
Tel: 503-79-3673
Fax: 503-23-9083
Mr. Ed Neafsey
Chief, Environmental
Crimes Bureau
Division of Criminal Justice
New Jersey Attorney
General's Office
25 Market Street
Hughes Justice Complex
(CN-085)
Trenton, NJ 08625
United States
Tel: 1-609-984-4470
Fax:1-609-292-1533
Mr. Kwesi Nkofi
Director of Environment Division
Guyana Agency for Health,
Education and Environment
(GAHEF)
Liliendaal, Georgetown
Guyana
Tel: 592-2-57523
Fax: 592-2-57524
Mr. Gil Nolet
Legal Specialist
Inter-American
Development Ba.nk
1300 New York Avenue, NW
Washington, DC 20577
United States
Tel: 1-202-623-3640
Fax:1-202-623-1315
Dr. Modupe Talwo Odubela
Assistant Director
Inspectorate &
Enforcement Department
Federal Environmental
Protection Agency
Street E, Flat 105,1004 Complex
Victoria Island
Lagos PMB3150
Nigeria
Tel: 234-1-611-094
Fax:234-1-614-299
Mr. Rodolfo Ogarrio
Director General
Fundacion Mexicana para la
Educacion Ambiental, A.C.
Carretera Circunvalacion S/N
Tepotzotlan 54600
Mexico
Tel: 525-876-022?
Fax:525-876-0217
Ms. Titilayo lyabo OJo
Assistant Director
Inspectorate &
Enforcement Department
Lagos State Secretariat
Office of Environment and
Physical Planning
274 Kofo Abayomi Street
53326 Ikoyi Post Office
Victoria Island
Lagos PMB12620
Nigeria
Tel: 234-1-618-651
Fax:234-1-497-0474
Mr. Menno Olmam
Director of Regional Directorate
of Rijkswaterstaat
Ministry of Water Management
and Traffic i
Postbus 2301
8901 JH Leeuwarden Den Haag
The Netherlands
Tel: 31-70-58-929394
Fax: 31-70-58-92£i259
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Mr. Oritsetlmeyin
Omagbem! Uwajamomere
Housing and Environment
Correspondent
The Guardian
Guardian Newspapers. Ltd.
Rutam House, Isolo
Oshodi
Lagos PMB1217
Nigeria
Tel: 234-152-4080
Fax:234-152-2027
Mr. LeRoy Paddock
Director of Environmental Policy
Minnesota Attorney
General's Office
102 State Capitol
St. Paul, MN 55155
United States
Tel: 1-612-296-6597
Fax: 1-612-297-4193
Mr. Gary Page
Director
Loss Prevention & Audits
American Cyanamid
1700 Valley Road
Wayne, NJ 07470
Mr. Dean Paige
Industrial Waste Superintendent
City of Santa Rosa
4300 Llano Road
Santa Rosa, CA 95407
United States
Tel: 1-707-543-3369
Fax: 1-707-543-3399
Mr. German Sarmlento Palacios
President
FUNDEPUBUCA
Calle 71 - No. 5-83
Bogota
Colombia
Tel: 57-1-210-4737
Fax: 57-1-210-4685
Mr. Salvador Penacta
Procuradurta Federal de
Protecci6n a! Ambiente
La Secretarfa de Desarrollo Social
(SEDESOL)
Insurgentes Sur 1480,7o. piso
Barrio Actipan.
Del. Benito Juarez
03230, Distrito Federal
Mexico
Ms. Ana Maria Perez Patraca
La Secretaria de Desarrollo Social
(SEDESOL)
Rio Elba 20,4o. piso
Cuauhtemoc
Mexico City 06500
Mexico
Mr. Jan Peters
Commissioner
Regional Police Midden en
West Brabant
Noordhoekring186
5038GGTilburg
The Netherlands
Tel: 31-13-428-303
Fax: 31-13-428-300
Mr. Jells Peters
Directorate General Environmenl/B
Ministry of Housing, Spatial
Planning and the Environment
Rijnstraat 8 - IPC 660
Postbus 30945
2500 GX Den Haag
The Netherlands
Tel: 31-70-339-4026
Fax: 31-70-339-1303
Ms. Lynn Peterson
Chief, Solid Waste and
Emergency Response Branch
Office of Regional Counsel
U.S. Environmental
Protection Agency
77 West Jackson Boulevard (C-3T)
Chicago, IL 60604-3507
United States
Tel: 1-312-886-0556
Fax: 1-312-886-0747
Dr. Dumitra Popescu
Professor of Law
Institute of Legal Research
Sir. Ciurea ur. 14, Bl.yl
Lc. G, et. Ill, ap. 54
Bucharest, Section 2 cod 73296
Romania
Tel: 401-621-1625
Fax:401-312-4816
Mr. Robert Porter
Environmental Support Services
Nova Scotia Department
of Environment
P.O. Box 2107
Halifax, Nova Scotia B3J 3B7
Canada
Tel: 1-902-424-6301
Mr. Jose Luis Pullaflto
Director de Saneamiento y
Control Ambiental
Ministerio de Medio Ambiente
9 de Julio #875
5500 Mendoza 5500
Argentina
Tel: 54-61-240-960
Fax:54-61-240-960
Dr. Manfred Putz
Professor, Dr.-lng/Under
Secretary of State
Ministerium fur Umwelt
Raumordnung & Landwirtschaft
des Landes Nordrhein-Westfalen
Schwanns Str. 3
Dusseldorf 40476
Germany
Tel: 49-211-4566550
Fax:49-211-4566388
Mr. Luis Quezada
Director de Area
La Secretaria de Desarrollo Social
(SEDESOL)
Boulevard del Pipila #1
Techamchalco, Naucalpan
Mexico City 53950
Mexico
Mr. Oscar Ramirez
U.S./Mexico Border Coordinator
Mexico Task Force
Region VI
U.S. Environmental
Protection Agency
1445 Ross Avenue - Suite 1200
Dallas, TX 75202-2733
United States
Tel: 1-214-655-2100
Fax: 1-214-655-6648
Mr. John Rasnic
Formerly: Director, Stationary Source
Compliance Division
New Position: Director,
Manufacturing, Energy and
Transportation Division
Office of Enforcement and
Compliance Assurance
U.S. Environmental
Protection Agency.
401 M Street, SW
Room 8FL
Washington, DC 20460
United States
Tel: 1-703-308-8600
Fax: 1-703-308-8739
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
283
Mr. Robert Reiniger
Head
National Authority for
the Environment
FoUtca 44-50
Alkotmany u. 29
H-1011 Budapest
Hungary
Tel: 36-1-201-1725
Fax:36-1-201-4282
Mr. Bruno Enrique Reverchon
President
Comision Nacional de Ecologia,
Recursos Naturales,
Medio Ambiente
Avenida Republicay Chile
Palacio Legislative/
Camara de Oiputados
Asuncion
Paraguay
Tel: 595-21-2941
Fax:595-21-44-9089
Mr. Joel Reynolds
Senior Attorney
Natural Resources
Defense Council
6310 San Vicente Boulevard
Suite 250
Los Angeles, CA 90048
United States
Tel: 1-213-934-6900
Fax: 1-213-934-1210
Mr. Quirino B. Richardson
Head of Environmental Services
Environmental Service
Groot Davelaar K 22-23
Willemstad
Curacao
Tel: 599-9-369042
Fax:599-9-369195
Ms. Gro Rodland
Head of Department
State Pollution Control Authority
Statens Forurensningstilsyn
Stromsveien 96
0032 Oslo
Norway
Tel: 47-22-573400
Fax: 47-22-67-6706
Mr. Arsenio Rodriguez Mercado
Director/Regional Representative
Regional Office for
Latin America and the Caribbean
United Nations
Environment Programme
Blvrd. de los Virreyes No. 155
Col. Lomas Virreyes 11000
Mexico D.F. 11000
Mexico
Tel: 525-202-4841
Fax: 525-202-0950
Mr. Hugo Romero
Coordinador
Programa del Medio Ambiente
Departmento Technico
de Investigation
Universidad de Chile
Diagonal Paraguay 265
Torre 15 piso 16 - Oficina 1602
Santiago
Chile
Tel: 56-2-222-9512
Fax: 56-2-635-3951
Mr. John Rothman
Senior Attorney
Multimedia Enforcement and
International Activities
Region IX
U.S. Environmental
Protection Agency
75 Hawthorne Street (RSC-1)
San Francisco, CA 94105
United States
Tel: 1-415-744-1353
Fax: 1-415-744-1041
Mr.YuriyRuban
First Deputy Minister
Division of International Relations
Ministry for Environmental
Protection of Ukraine
5 Khreschatyk Street
Kiev 252001
Ukraine
Tel: 7-044-226-2501
Fax: 7-044-228-8181
Mr. Hector Russe Martfnez
Chairman
Office of the President
Puerto Rico Environmental
Quality Board
Avenue Ponce
d'Lion 431 Hatcrey- 12th Floor
Santurce 00910
Puerto Rico
Tel: 1-809-767-8056
Fax: 1-809-766-2483
Ms. Cristina Saldfvar
Director of the
Planning Department Office
Direccion de Eoologiia Municipal
Abasolo No. 313 Centra Oaxaca
Oaxaca 68000
Mexico
Tel: 52-951-646129
Fax: 52-951-63058
Mr. Achmad Siintosia
Executive Director
Indonesian Center for
Environmental Law
JL Kerinci IX No. 34
Kebayoran Baru
Jakarta
Indonesia
Tel: 62-21-712-482
Fax: 62-21-828-4
Mr. Richard Saunter
Environment Management Advisor
Organization of American States
1889 F Street, NW
Washington, DC 20006
Tel: 1-202-458-3228
Fax: 1-202-458-3560
Mr. Carlos Silva
Engineer
Technical Support Inspectors
La Secretaria de Desarrollo Social
(SEDESOL)
Boulevard del Pipila #1
Techamchalco, Naucdpan
Mexico City 53950
Mexico
Mr. Joseph Govinda Singh
Brigadier
Guyana Defense Forces
Camp Ayanganna
Thomas Lands
Georgetown
Guyana
Tel: 592-2-69304
Fax: 592-2-66049
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Mr. John Skinner
Senior Advisor
United Nations
Environment Programme IE/PAC
39-43 Quai Andre Citroen
Tour Mirabeau
75739 Paris, Cedex 15
France
Tel: 33-1-44-371427
Fax:33-1-44-371474
Dr. David Slater
Director/Chief Inspector
Her Majesty's Inspectorate
of Pollution
Romney House - Room A538
43 Marsham Street
London SW1P3PY
England
Tel: 44-71-276-8080
Fax: 44-71-276-8562
Mr. Carl Francis Smith
Rrst Assistant Secretary
Ministry of Health
and Environment
East Hill Street
7th Poor Post Office
P.O. Box N3730
Nassau
Bahamas
Tel: 1-809-327-5826
Fax: 1-809-327-5806
Mr. Jan Smolen
Director
Department of
Environmental Projects
Ministry of the Environment of
the Slovak Republic
Hlboka2
Bratislava 81235
Slovak Republic
Tel: 42-7-492-532
Fax: 42-7-497-267
Mr. Antonio Soils
Lawyer
La Secretaria de Desarroilo Social
(SEDESOL)
MieryPesado 324-1
Mexico City 03100
Mexico
Ms. Lucia
Solorzano Constantino
Sub-Secretaria del
Medio Ambiente
Ministerio de Energia y Minas
Santa Prisca 223 y Manuel Larrea
Quito
Ecuador
Tel: 593-2-570-341
Fax: 593-2-583-719
Mr. Michael Stahl
Formerly: Director, Office of
Enforcement
New Position: Deputy Assistant
Administrator
Office of Enforcement and
Compliance Assurance
U.S. Environmental
Protection Agency
401 M Street, SW (EN-342)
Room E713
Washington, DC 20460
United States
Tel: 1-202-260-4134
Fax: 1-202-260-0500
Ms. Sulistyowati
Chemical Engineer
Environmental Impact
Management Agency
JL Jendral Sudimnan #2
Arthaldka Building - 11th Floor
Jakarta 10220
Indonesia
Tel: 62-21-570-3419
Fax: 62-21-570-3365
Ms. Shelda Sutton-Mendoza
Health Program Manager
Underground Storage
Tank Bureau
New Mexico
Environmental Department
1190 St. Francis Drive
RoomN2150
Santa Fe, NM 87503
United States
Tel: 1-505-827-2910
Fax: 1-505-827-0310
Mr. Plotr Syryczynski
Coordinator
Intel-ministerial Ecological Unit
Ministry of Privatization
ul. Krucza 36 Wspolna 6 p.482
00-522 Warszawa
Poland
Tel: 48-2-625-2551
Fax: 48-2-229-8097
Ms. Maria Teresa Szauer
Deputy Director, Environmental
Enforcement Office
Ministry of Environment
CalIe91-No.9-11-A102
Bogota
Colombia
Tel: 57-1-336-1166
Fax: 57-1-616-9265
Mr. Pornchai Taranatham
Deputy Director General
Department of Pollution Control
539/2 Sri-Ayudhya Road
16/17th Floor
Gypsum Metropolitan Tower
Rajdhavee
Bangkok 10400
Thailand
Tel: 662-248-5182
Fax: 662-642-5025
Mr. Rodrigo Tarte
Director Ejecutivo
Fundacion NATURA- Panama
Calzada de Amador 154E
Apartado2190
Panama 1
Panama
Tel: 507-28-1935
Fax: 507-28-1934
Ms. Karin Thoran
Head of Inspection Division
National Chemical Inspectorate
Sundbybergsvagen 9
P.O. Box 1384
S-17127Solna
Sweden
Tel: 46-8730-6779
Fax: 46-8735-7698
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
285
Dr. Jan J.M. Tindemans
Gedeputeerde Provincie Limburg
Provincial Government
of Limburg
LJmburglaan 10
Postbus5700
6202 MA Maastricht (NL)
The Netherlands
Tel: 31-43-897-039
Fax: 31-43-897-109
Mr. Mikhail V. Tolkachev
Deputy Minister
Ministry for Environment
and Natural Resources
Bolshay Grazinskay Street 4/6
Moscow 123812
Russia
Tel: 7-95-254-3270
Fax: 7-95-254-8283
Mr. Richard Trinidad
Special Assistant to the Director
Office of Criminal Enforcement
U.S. Environmental
Protection Agency
401 M Street, SW (MC-2231)
Washington, DC 20460
United States
Tel: 1-202-260-4398
Fax: 1-202-260-0268
Mr. Ariel Vaccaro
Deputy General Director
Institute Nacional de Recursos
Renovables (INRENARE) .
Paraiso, Ancon2016
Panama
Tel: 507-32-4209
Fax:507-32-4917
Mr. Jaap van Dyk
Gedeputeerde Provincie
Groningen
Provincial Government
of Groningen
Martinikerkhof 12
Postbus610
9700 AP Groningen
The Netherlands
Tel: 31-50-164127
Fax:31-50-185615
Mr. Paul A.E. van Erkelens
Waterschap Regge En Dinkel
Kooikersweg 1
Postbus 5006
7609PZAImelo
The Netherlands
Tel: 31-54-90-32529
Fax:31-54-90-21176
Mr. Robert Van Heuvelen
Director
Office of Regulatory Enforcement
Office of Enforcement
U.S. Environmental
Protection Agency
401 M Street, SW (2241)
Room W1039
Washington, DC 20460
United States
Tel: 1-202-260-4540
Fax: 1-202-260-6848
Mr. Joost van Kasteren
Journalist
Laan van Oostenburg 45
2271ANVoorburg
The Netherlands
Tel: 31-70-387-1434
Fax:31-70-387-1434
Ms. Gisele van Zeben
Public Prosecutor
Stafbureau Openbaar Ministerie
Prinsessegracht 28
2500 EH Den Haag
The Netherlands
Tel: 31-70-36-00846
Fax:31-70-36-58915
Mr. Waldo Vargas Ballester
Sub-Secretario de
Calidad Ambiental Sustainable
Development Ministry
Calle Louis Urillade
la Oliva #2786
Esquina Vincent!
Zona Sopocachi
LaPaz
Bolivia
Tel: 591-2-369-383
Fax: 591-2-390-335
Ms. Rachel Vasquoz
Assistant Director
Environmental
Management Bureau
Philippine Heart Center
East Avenue
Quezon City
Philippines
Tel: 63-2-973-2I54
Fax: 63-2-973-254
Mr. William J.Vaueihan
Senior Economist
Inter-American
Development Bank
1300 New York Avenue, NW
(E-0809)
Washington, DC 20577
United States
Tel: 1-202-623-1252
Fax:1-202-623-1786
Mr. Jan C.M. Veennnan
Head
Information and
Public Relations Department
Ministry of Housing, Spatial
Planning and the Environment
Rijnstraat8-IPC120
Postbus 20951
2500 EZ Den Hsiag
The Netherlands!
Tel: 31-70-339-31739
Fax:31-70-339-1351
Mr.PieterT.Vorkerk
Inspector General
Inspectorate for the
Environmenl/IPG 680
Ministry of Housing, Spatial
Planning and the Environment
Rijnstraat 8
2515 XP Den Haag
The Netherlands
Tel: 31-70-339-4621
Fax: 31-70-339-1298
Mr. Stanislaw Wajda
Legal Advisor,
EC Phare Programme
Ministry of
Environmental Protection
til. Wawelska 52-54
Warsaw 00-922
Poland
Tel: 48-22-25-4141
Fax: 48-22-391213049
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Ms. Cheryl Wasserman
Associate Director for
Policy Analysis
Office of Federal Activities
Office of Enforcement and
Compliance and Assurance
U.S. Environmental
Protection Agency
401 M Street, SW (MC-2254)
Washington. DC 20460
United States
Tel: 1-202-260-4486
Fax: 1-202-260-0129
Mr. W.A.D.D. Wijesooriya
Senior Environmental Scientist
Environment Protection Division
Central Environmental Authority
Parisara Mawatha - Maligawatte
New Town
Colombo 10
Sri Lanka
Tel: 994-1-439-073
Fax: 994-1-439-076
Mr. John Wise
Deputy Regional Administrator
Region IX
U.S. Environmental
Protection Agency
75 Hawthorne Street
San Francisco, CA 94105
United States
Tel: 1-415-744-1001
Fax:1-415-744-2499
Ms.ZhaoYlng
Program Officer
National Environmental
Protection Agency
115,Xizhimennei
Nan Xiaojie
Beijing 100035
People's Republic of China
Tel: 86-1-832-9911
Fax:86-1-832-8013
Ms. Lubomfrd Zlmanova
State Secretaiy
Ministry of the Environment of
the Slovak Republic
Hlboka 2,812 35 Bratislava
Bratislava
Slovak Republic
Tel: 42-7-49-2520
Fax:42-7-49-2101
Mr. Janls ZirnlUs
Deputy Director of
Projects Department
Ministry of the Environment and
Regional Development
25 Peldu Street
Riga LV-1494
Latvia
Tel: 371-2-226-578
Fax: 371-8-820-442
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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PARTICIPANTS BY COUNTRY
Country
Name
Title
Organization
NORTH AMERICA
Canada
Canada
Canada
Canada
Canada
Canada
Canada
Mexico
Mexico
Mexico
Mexico
Mexico
Mexico
Mexico
Mexico
Mexico
Mexico
Mexico
Mexico
Mexico
Mexico
Mexico
Mexico
Mexico
Mr. Christopher Currie
Ms. Linda Duncan
Mr. Paul Gavrel
Ms. Patricia Hollett
Mr. Bruce Kay
Ms. Anne Mitchell
Mr. Robert Porter
Mr. Arturo Alcocer
Lujambio
Mr. Gabriel Arenas Flores
Mr. Francisco
Bahamonde Torres
Mr. Jose Luis Calderdn
Bartheneuf
Ms. Julia Carabias
Mr. Alfred Faud David
Gidi
Dr. Luis Miguel Diaz
Gonzalez
Mr. Cuauhtemoc
Gonzalez Pacheco
Mr Miguel A. Irabien
Ms, Luz Maria Martinez
Armendariz
Mr. Rodolfo Ogarrio
Mr. Salvador Penaota
Ms. Ana Maria Perez
Patraca
Mr. Luis Quezada
Ms. Cristina Saldivar
Mr. Carlos Silva
Mr. Antonio Solis
Acting Chief, Enforcement
Management Division
Assistant Deputy Minister
Office of Enforcement
Investigations and Enforcement
Branch
Enforcement and Emergencies
Branch
Environmental Support Services
Subprocurador de Participacion
Social y Quejas
Director General de ia Unidad
de Verificacion
Subprocurador de Verificacion
Normativa
Subprocurador de Auditoria
Ambiental
President
Director General, Unidad de
Programacion/ApoyoTecnico
Legal Consultant of the
Secretary of Foreign Relations
Delegado de la PFPA -
SEDESOL en Oaxaca
Technical Support Inspectors
Biologia - Subdirectora
Director General
Director de Area
Director of the Planning
Department Office
Engineer, Technical Support
Inspectors
Lawyer
Environment Canada
Government of the Yukon
Environment Canada
Ontario Ministry of Environment
Environment Canada
Canadian Institute for Environmental Law
and Policy
Nova Scotia Department of Environment
La Secretaria de Desarrollo Social
(SEDESOL)
La Secretaria de Deisarrotlo Social
(SEDESOL)
La Secretaria de Dosarrollo Social
(SEDESOL)
La Secretaria de Desarro!lo Social
(SEDESOL)
Ecology National Institute
La Secretaria de Desarrollo Social
(SEDESOL)
La Secretaria de Desarrollo Social
(SEDESOL)
La Secretaria de Desarrollo Social
(SEDESOL)
La Secretaria de Desarrollo Social
(SEDESOL)
Fundacion Mexicana para la Educacion
Ambiental, A.C.
La Secretaria de Desarrolto Social
(SEDESOL)
La Secretaria de Desarrollo Social
(SEDESOL)
La Secretaria de Desarrollo Social
(SEDESOL)
Direccion de Ecologia Municipal
La Secretaria de Desarrollo Social
(SEDESOL)
La Secretaria de Deisarrollo Social
(SEDESOL)
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Country
United States
United States
United States
United States
United States
United States
United States
United States
United States
United States
United States
United States
United States
United States
United States
United States
United States
United States
United States
United States
United States
United States
United States
Name
Mr. Michael Alushin
Ms. Susan Bromm
Ms. Ann DeLong
Mr. Earl Devaney
Mr. John Hall
Mr. Steven Herman
Mr. Jeffrey Laoey
Mr. Edwin Lowry
Mr. Thomas Maslany
Ms. Ignacia Moreno
Mr. Ed Neafsey
Mr. LeRoy Paddock
Mr. Dean Paige
Ms. Lynn Peterson
Mr. Oscar Ramirez
Mr. John Rasnic
Mr. Joel Reynolds
Mr. John Rothman
Mr. Hector Russe
Martinez
Mr. Michael Stahl
Ms. Shelda
Sutton-Mendoza
Mr. Richard Trinidad
Mr. Robert Van Heuvelen
Title
Director, International
Enforcement Program
Formerly: Director, RCRA
Enforcement Division
New Position: Director,
Chemicals, Commercial
Services and Municipal Division
Environmental Scientist
Director, Office of Criminal
Enforcement
Chairman
Assistant Administrator
Director, Division of
Environmental Enforcement
Deputy Attorney General
Director, Air, Radiation and
Toxics Division
Special Assistant to the
Assistant Attorney General
Chief, Environmental Crimes
Bureau
Director of Environmental Policy
Industrial Waste Superintendent
Chief, Solid Waste and
Emergency Response Branch
U.S./M6xico Border Coordinator
Formerly: Director, Stationary
Source Compliance Division
New Position: Director,
Manufacturing, Energy and
Transportation Division
Senior Attorney
Senior Attorney
Chairman, Office of the President
Formerly: Director, Office of
Enforcement
New Position: Deputy Assistant
Administrator, Office of
Enforcement and Compliance
Health Program Manager
Special Assistant to the Director
Director, Office of Regulatory
Organization
U.S. Environmental Protection Agency '
U.S. Environmental Protection Agency
U.S. Environmental Protection Agency
U.S. Environmental Protection Agency
Texas Natural Resources Conservation
Commission
U.S. Environmental Protection Agency •
New York State Department of
Environmental Conservation
California Department of Justice
U.S. Environmental Protection Agency
U.S. Department of Justice
New Jersey Attorney General's Office
Minnesota Attorney General's Office
City of Santa Rosa
U.S. Environmental Protection Agency
U.S. Environmental Protection Agency
U.S. Environmental Protection Agency
Natural Resources Defense Council
U.S. Environmental Protection Agency
Puerto Rico Environmental Quality Board
U.S. Environmental Protection Agency
New Mexico Environmental Department
U.S. Environmental Protection Agency
U.S. Environmental Protection Agency
United States
United States
Ms. Cheryl Wasserman
Mr. John Wise
Enforcement
Associate D'rector for Policy U.S. Environmental Protection Agency
Analysis
Deputy Regional Administrator U.S. Environmental Protection Agency
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Country
Name
Title
Organization
SOUTH AMERICA
Argentina
Argentina
Argentina
Bolivia
Bolivia
Brazil
Brazil
Chile
Colombia
Colombia
Ecuador
Ecuador
Guyana
Guyana
Paraguay
Paraguay
Uruguay
Mr. Daniel Hugo
Llermanos
Ms. Cristina Elena
Maiztegui
Mr. Jose Luis Puliafito
Mr. Waldo Vargas
Ballester
Mr. Ricardo Cronembold
Mr. Nelson Vieira de
Vasconoelos
Mr. Edis Milare
Mr. Hugo Romero
Mr. German Sarmiento
Palacios
Ms. Maria Teresa Szauer
Mr. Luis Carrera de la
Torre
Ms. Lucia Solorzano
Constantine
Mr. Kwesi Nkofi
Mr. Joseph Govinda
Singh
Mr. Sebastian Jara
Mr. Bruno Enn'que
Reverchon
Mr. Marcelo Cousillas
Juzgado de lo Criminal y
Correctional #10
Coordinadora General
Director de Saneamiento y
Control Ambiental
Sub-Secretario de Calidad
Ambiental
Director
Director/President
Secretary of State
Coordinador
President
Deputy Director, Environmental
Enforcement Office
Presidente
Sub-Secretaria del Medio
Ambiente
Director of Environment Division
Brigadier
Ingeniero Quimico
President
Legal Advisor
Del Departamento Judraal de Lomas de
Zamora
Ministerio de Salvo y Accion Social de -la
Provincia
Ministerio de Medio Ambiente
Sustainable Development Ministry
Ministerio Desarrollo Sostenible y Medio
Ambiente
Companhia Estadua de Tecnica de
Saneamiento Ambiental
Secretary of the Environment of the State
of Sao Paulo
Universidad de Chile
FUNDEPUBLICA
Ministry of Environment
Comision Asesor /Ambiental de la
Presidencia de la Republica
Ministerio de Energia y Minas
Guyana Agency for Health, Education and
Environment (GAH.EF)
Guyana Defense Forces
Servicio Nacional cle Saneamiento
Ambiental (SENASA)
Comision Nacional de Ecologia, Recursos
Naturales, Medio Ambiente
Ministerio de Vivierda Oi'enamiento
Territorial y Medio ^Imbiente
CENTRAL AMERICA
Belize Mr. Richard Belisle Acting Chief Forest Officer
Belize Mr. Vincent Gillett Fisheries Administrator
Costa Rica Ms. Sandra Urbina Mohs Directora de Asesoria Juridica
Jefe del Departamento de
Planificacion y Proyectos
Abogada y Notaria
Director Ejecufivo
Deputy General Director
El Salvador
Guatemala
Honduras
Panama
Panama
Mr. Guillermo Navarc
Lopez
Mr. Jorge Mario del
Valle Cruz
Ms. Clarisa Vega de
Ferrera
Mr. Rodrigo Tarte
Mr. Ariel Vaccaro
Government of Belize
Ministry of Agriculture & Fishing
Ministerio de Recursos Naturales, Energia
y Mines
Secretaria Ejecutiva del Medio Ambiente
(SEMA)
Comision Nacional del Medio Ambiente
(CONAMA)
Bufete Ferrera Vega.
Fundacion NATURA - Panama
Institute Nacional de Recursos Renovables
(INRENARE)
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Country
CARIBBEAN
Bahamas
Bahamas
Barbados
Curacao
Dominican
Republic
Jamaica
Jamaica
Jamaica
St. Lucia
St Lucia
St. Maarton
St Vincent
EUROPE
Denmark
Denmark
England
England
England
Germany
Germany
Norway
Sweden
Sweden
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
Name
Mr. Livingston Hepburn
Mr. Carl Francis Smith
Mr. Arthur Archer
Mt Quirino B. Richardson
Mr. Grandersio Marizan
Ubina
Mr. Fred Campbell
Mr. Norbert Campbell
Dr. Winston McCalla
Mr. Marcel Fevrier
Mr. Brian James
Mr. Louis Brown
Ms. Julian Sigbert Caruth
Mr. Ole Kaae
Mrs. Marianne Lassen
Dr. Douglas Bryce
Mr. Stefan Carlyte
Dr. David Slater
Dr. Eberhard Bonne
Dr. Manfred Putz
Ms. Gro Ftodland
Ms. Inga Birgitta Larsson
Ms. Karin Thoran
Mr. Hans Alders
Ms. Rente Bergkamp
Mr. Jo Gerardu
Mr. Robert Glaser
Mr. Huub Kesselaar
Mr. Wout Klein
Mr. Menno Olman
Mr. Jan Peters
Mr. Jelis Peters
Title
Acting Deputy Director
First Assistant Secretary
Project Manager
Head of Environmental Services
Director, Nacional de Parques
Deputy Executive Director
Chief Public Health Inspector
Chief Environmental Health Officer
Chief Forest and Land Officer
Advisor
Chief Environmental Health Officer
Head of Section
Head of Section
Director, Pollution Policy Division
Head, Environmental
Assessment and Planning Policy
Director/Chief Inspector
Head, Office of General
Environmental Law
Professor, Dr.-lng/Under
Secretaiy of State
Head of Department
Head of the Chemical Industry
Section
Head of Inspection Division
Environment Minister
Deputy Director of Legal
Department
Inspector, Inspectorate for the
Environment
Inspector, International Affairs
Director, Inspectorate for the
Environment
Regional Inspectorate Geldertand
Director of Regional Directorate
of Rijkswaterstaat
Commissioner
Directorate General
Environment/B
Organization
Department of Environment Health Services
Ministry of Health and Environment
Ministry of Health
Environmental Service
Division de Parques
Natural Resources Conservation Authority
Ministry of Health
Natural Resources Conservation Authority
Ministry, of Health
Ministry of Agriculture
Island Government of St. Maarten N.A.
Ministry of Health and Environment
Danish Environmental Protection Agency
Danish Environmental Protection Agency
Her Majesty's Inspectorate of Pollution
Her Majesty's Inspectorate of Pollution
Her Majesty's Inspectorate of Pollution
Federal Ministry for the Environment
Raumordnung & Landwirtschaft des
Landes Nordrhein-Westfalen
State Pollution Control Authority
Swedish Environmental Protection Agency
National Ohemical Inspectorate
Ministry of Housing, Spatial Planning and
the Environment
Ministry of Agriculture, Nature Management
and Fisheries
Ministry of Housing, Spatial Planning and •
the Environment
Ministry of Housing, Spatial Planning and
the Environment
Ministry of Housing, Spatial Planning and
the Environment
Ministry of Housing, Spatial Planning and
the Environment
Ministry of Water Management and Traffic
Regional Police Midden en West Brabant
Ministry of Housing, Spatial Planning and
the Environment
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Country
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
The Netherlands
Name
Dr. Jan J.M. Tindemans
Mr. Jaap van Dyk
Mr. Paul AE. van Erkelens
Mr. Joost van Kasteren
Ms. Gisele van Zeben
Mr. Jan C.M. Veenman
Mr. Pieter Verkerk
Title
Gedeputeerde Provincie Limburg
Gedeputeerde Provincie
Groningen
Journalist
Public Prosecutor
Head, Information and Public
Relations Department
Inspector General, Inspectorate
for the Environmental
Organization
Provincial Government of Limburg
Provincial Government of Groningen
Waterschap Regge En Dinkel
Stafbureau Openbaar Ministerie
Ministry of Housing, Spatial Planning and
the Environment
Ministry of Housing, Spatial Planning and '
the Environment :
CENTRAL/EASTERN EUROPE
Bulgaria
Bulgaria'
Czech Republic
Hungary
Hungary
Hungary
Hungary
Poland
Poland
Poland
Romania
Slovak Republic
Ms. Liliana Maslarova
Mr. Branimir Natov
Mr. Vaclav Mezick
Prof. Gyula Band!
Dr. SSndor Fiilop
Dr. Istvan Gellerthegyi
Mr. R6bert Reiniger
, Mr. Zbigniew Kamienski
Mr. Piotr Syryczynski
Mr. Stanislaw Wajda
Dr. Dumitra Popescu
Mr. Jan Smolen
Legal Expert
Deputy Minister
Director/Professor
Professor of Law
Attorney at Law
Permanent Legal Counsel
Head
Director of Control Department
Coordinator
Legal Advisor, EC Phare
Programme
Professor of Law
Director, Department of
Bulgarian Ministry of Environment
Bulgarian Ministry of Environment
Charles University
University Eotvos Lorancl/Hungarian
Academy of Attorneys
Ruttner & Partners
University Eotvos Lorand
National Authority lor the Environment
State Inspectorate for Environmental Protection
Ministry of Privatization
Ministry, of Environmental Protection
Institute of Legal Research
Ministry of the Environment of the Slovak
Environmental Projects
Slovak Republic Ms. LubomtrS Zmanova State Secretary
Republic
Ministry of the Environment of the Slovak
Republic
NEWLY INDEPENDENT STATES OF THE FORMER SOVIET UNION
Kazakhstan
Latvia
Russia
Russia
Russia
Russia
Russia
Ukraine
Ukraine
Mr. Anatoli Ivanovich
Lychyov
Mr. Janis Zrnitis
Dr. Mikhail Brinchuk
Dr. Olga Dubovic
Dr. Aleksander
Grigorievich Veprev
Mr. Yuri Leonidovich
Maksimenko
Mr. Mikhail V Tolkachev
Mr. Andriy Demydenko
Mr. Yuriy Ruban
Deputy Chief of Main State
Ecological Expertise
Deputy Director of Projects
Department
Doctor of Juridicial Sciences
Doctor of Juridicial Sciences
Department Head
Director
Deputy Minister
Director, Department for
International Relations
First Deputy Minister
Ministry of Ecology and Eiioresources
Ministry of the Environment and Regional
Development
Russian Academy of Sciences
Institute of State and Law
Oblast Committee tor Environmental
Protection
Ministry for Environment end Natural
Resources
Ministry for Environment and Natural
Resources
Ministry for Environmental Protection of
Ukraine
Ministry for Environmental Protection of
Ukraine
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Country
AFRICA
Benin
Benin
Egypt
Kenya
Nigeria
Nigeria
Nigeria
Nigeria
Tanzania
Uganda
Uganda
ASIA
China
China
China
Indonesia
Indonesia
Indonesia
Malaysia
Malaysia
Philippines
Sri Lanka
Thailand
Name Title
Dr. Alao Yekini Akala Chief, Studies and Legislation
Department
Mr. Damlen Houeto Directeur Direction de
I'Environnement
Dr. Ossama EI-Kholy Professor Emeritus
Mr. David Kinyanjui Senior Eoologist
Dr. Adegoke Adegoroye Deputy Director and Head of
Enforcement
Dr. ModupaTaiwoOdubela Assistant Director
Ms. TitJlayo lyabo Ojo Assistant Director
Mr. Oritsetimeyin Housing and Environment
Omagbemi Uwelamomere Correspondent
Mr. Wilson Masilingi Senior Legal Officer
Mr. Lamex Omara Apitta Assistant Secretary
Mr. Henry Muganwa Kajura Cabinet Minister
Mr. Hu Baolin Director, Department of Policy
and Law
Mr. Zhang Hongjun Deputy Director, Laws Division
Ms. Zhao Ying Program Officer
'Mr. Pak Moestadji Lawyer
Mr. Achmad Santosa Executive Director
Ms. Sulistyowafi Chemical Engineer
Mr. Hashim Daud Director, Department of
Environment
Mr. Jalaluddin Bin Ismail Director
Ms. Rachel Vasquez Assistant Director
Mr. W.A.D.D. Wijesooriya Senior Environmental Scientist
Mr. Pomchai Taranatham Deputy Director General
Organization
Ministere de I'Environnement de I'Habitat et
de I'Urbinisme
Ministere de I'Environnement de I'Habitat et
de I'Urbanisme
Cairo University
National Environment Secretariate
Federal Environmental Protection Agency
Federal Environmental Protection Agency
Office of Environment and Physical
Planning
The Guardian
National Environment Management Council
Ministry of Natural Resources
Ministry of Natural Resources
National Environmental Protection Agency
National People's Congress
National Environmental Protection Agency
State Ministry for Environment
Indonesian Center for Environmental Law
Environmental Impact Management Agency
Ministry of Science, Technology and
Environment
Department of Environment
Environmental Management Bureau
Central Environmental Authority
Department of Pollution Control
INTERNATIONAL
Ms. Clare Delbridge Consultant
Ms. Michele de Nevers Principal Environment
Coordinator
Mr. William Eichbaum Vice President, International
Environmental Quality
Mr. Leo Heileman
Programme Officer
Mr. Soren Harald Klem Specialized Officer
Mr. Ludwig Kramer Lawyer
Mr. Andrew
Mastrandonas
Executive Director
United Nations Environment Programme
IE/PAG
World Bank
World Wildlife Fund
United Nations Environment
Programme-Mexico
I.C.RO. - INTERPOL, General Secretariate
D6 Environment, Nuclear Safety and Civil
Protection
Global Environmental Management
Initiative (GEMI)'
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Country Name
Mr. Gil Nolet
Mr, Gary Page
Mr. Arsenio Rodriguez
Mercado
Mr. Richard Saunier
Mr. John Skinner
Mr. William J. Vaughan
Title
Legal Specialist
Director of Loss Prevention and
Audits
Director/Regional Representative
Environmental Management
Advisor
Senior Advisor
Senior Economist
Organization
Inter-American Development Bank (IADB)
American Cyanamid Company
United Nations Environment
Programme-Mexico
Organization of American States (OAS)
United Nations Envfonment Programme I5PAC
Inter-American Development Bank (IADB)
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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MEMBERS OF THE EXECUTIVE PLANNING COMMITTEE
Dr. Adegoke Adegoroye
Head of Enforcement & Inspectorate Department
Federal Environmental Protection Agency
PMB 265
Garki-Abuja, FCT
Nigeria
Mr. Mariano Palacios Alcocer
Federal Attorney
Procuradurfa Federal de Protecci6n al Ambiente
La Secretaria de Desarrollo Social (SEDESOL)
Boulevard del Pfpila #1
Techamchalco, Naucalpan
53950, Estado de Mexico
Mexico
Dr. Santiago Onate Laborde
former Federal Attorney
Mr. Mario Aguilar
Embajada de Mexico
Oficina de SEDESOL
1911 Pennsylvania Avenue, NW
Washington, DC 20006
USA
Mr. Arturo Alcocer Lujambio
Subprocurador de Participaci6n
Social y Quejas
Procuradurfa Federal de Protecci6n al Ambiente
La Secretaria de Desarrollo Social (SEDESOL)
Boulevard del Pipila #1
Techamchalco, Naucalpan
53950, Estado de Mexico
Mexico
Mrs. Jacqueline Alois! de Larderel
Director, IE/PAG
United Nations Environmental Programme
39-43 Quai Andr<§ Citroen
Paris Cedex 15 75739
France
Mr. William M. Eichbaum
Vice President, International Environmental Quality
World Wildlife Fund
1250 24th Street, NW
Washington, DC 20037-1175
USA
Ms. Nancy Hopps
Project Officer
Tel: 234-9168-0308
Fax:234-161-4299
Tel: 525-589-5539
Fax: 525-589-0775
Tel: 1-202-728-1777
Fax: 1-202-728-1781
Tel: 525-589-8559
Fax: 525-294-2687
Tel: 331-4437-1450
Fax: 331-4437-1474
Tel: 1-202-778-9645
Fax: 1-202-293-9345
Tel: 1-202-778-9716
Fax: 1--202-293-9211
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
Mr. Steven A. Herman
Assistant Administrator
Office of Enforcement and Compliance Assurance
U.S. Environmental Protection Agency
401 M Street, SW(MC-2211)
Washington, DC 20460
USA
Mr. Scott C. Fulton
Deputy Assistant Administrator
Ms. Cheryl Wasserman
Associate Director for Policy Analysis
Ms. Nadlne Levin
Office of Enforcement
Environment Canada
551 St. Joseph Boulevard
18th Floor P.V.M.
Hull, Quebec K1AOH3
Canada
Dr. Jorge LJtvak
Scientific Attach^
Embassy of Chile
1717 Massachusetts Avenue, NW
Suite 802
Washington, DC 20036
USA
Dr. Winston McCalla
40 East Street
Kingston
Jamaica
Mr. Pak Moestadjl
State Ministry for Population and Environment
N. Medan Mendeka Barat 15
Jakarta 12440
Indonesia
Mr. Luis R. Padrdn
Direccifin General Sectorial de Vigilancia y Control Ambiental
Ministerio del Ambiente y de los
Recursos Naturales Renovables
Piso 19, Torre Sur Centra Sim6n Boltvar
Caracas
Venezuela
Tel: 1-202-260-5145
Fax: 1-202-260-0500
Tel: 1-202-260-4137
Fax: 1-202-260-0500
Tel: 1-202-260-4486
Fax: 1-202-260-0129
Tel: 1-819-953-0331
Fax: 1-819-953-3459
Tel: 1-202-588-0033
Fax: 1-202-588-0036
Tel: 1-809-922-1217
Fax: 1-809-922-5202
Tel: 6221-374-4563
Fax:6221-570-3365
Tel: 582-408-1461
Fax: 582-483-3190
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Ms. Sandra Urbina Mohs
Ministerio de Recursos Naturales,
EnergfayMinas
Buz6n 10104-1000
San Jos6
Costa Rica
Mr. Pieter J. Verkerk
Inspector General
Inspectorate for the Environment
Ministry of Housing, Spatial Planning and
the Environment (VROM)
IPC680
P.O. Box 30945
2500 GX DEN HAAG
The Netherlands
Mr. Jo Gerardu
Inspector
Inspectorate for the Environment
Ministry of Housing, Spatial Planning and
the Environment (VROM)
IPC 681
P.O. Box 30945
2500 GX DEN HAAG
The Netherlands
Mr. Rob Glaser
Inspector
International Affairs
HIMH/VROM
Ministry of Housing, Spatial Planning and
the Environment (VROM)
P.O. Box 7073
4330 GB Middelburg
The Netherlands
Mr. Huub F. Kesselaar
Ministry of Housing, Spatial Planning and
the Environment (VROM)
IPC 681
P.O. Box 30945
2500 GX DEN HAAG
The Netherlands
Tel: 506-55-14-92
Fax: 506-57-06-97
Tel: 3170-339-4621
(Fax: 3170-339-1298
Tel: 3170-339-1166
F:ax: 3170-339-1300
Tel: 3111-803-3792
Fax:3111-802-4126
Tel: 3170-339-1167
Fax:3170-339-1300
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
EXECUTIVE PLANNING COMMITTEE STAFF
Ms. Cheryl Wasserman
Associate Director for Policy Analysis
U.S. Environmental Protection Agency
401 M Street, SW (MC-2251)
Washington. DC 20460
USA
Ms. Marfa T. Malave
Mr. Jo Gerardu
Inspector
Inspectorate for the Environment
Ministry of Housing, Spatial Planning and
the Environment (VROM)
IPC681
P.O. Box 30945
2500 GX DEN HAAG
The Netherlands
Ms. Nancy Hopps
Project Officer
World Wildlife Fund
1250 24th Street, NW
Washington, DC 20037-1175
USA
Logistics Coordinator:
Ms. Trisha L. Hasch
Vice President and Manager
Conference Services
Eastern Research Group, Inc.
110 Hartwell Avenue
Lexington, MA 02173-3198
USA
Tel: 1-202-260-4486
Fax:1-202-260-0129
Tel: 1-202-260-7341
Tel: 3170-339-1166
Fax:3170-339-1300
Tel: 1-202-778-9716
Fax:1-202-293-9211
Tel: 1-617-674-7384
Fax:1-617-674-2906
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
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ACKNOWLEDGMENTS
The Third International Conference of Environmental Enforcement in Oaxaca, Mexico, 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 identification of individuals from 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 repres:entatives from U.S.
Environmental Protection Agency (U.S. EPA), the Netherlands Ministry of Housing, Spatial Planning
and the Environment (VROM), the World Wildlife Fund U.S. (WWF), United Nations Environment
Program (UNEPIE/PAC), Mexico's Procuraduria Federal de Protection al Ambiente (SEDESOL), and
Environment Ministries of Canada, Chile, Costa Rica, Venezuela, Jamaica, Nigeria, and Indonesia.
The World Wildlife Fund U.S. served as the umbrella organization for conference funding and
organization. Funding of the conference logistics, planning, and workshop development was provided
by the conference sponsors: U.S. EPA, VROM, UNEP IE/PAC, and WWF In addition to the conference
sponsors, funding of participants was gratefully received from the U.S. Asia Environmental Partnership
for participants from Asia and from Environment Canada for participants from other regions in the
world. The U.S. Agency for International Development also contributed to preparation of the Principles
of Environmental Enforcement workshop and technical support documents. Special hospitality also
was graciously offered by the government of Mexico as host country. In particular, we want to offer a
note of thanks to Mr. Arturo Alcocer for his generous support, his time and effort on behalf of SEDESOL,
to make this conference a success, and to the Oaxaca City Tourism Office and Cantera Tours for their
assistance and support in planning the conference logistics.
A centerpiece of this conference was the launching of several new international workshops. A special
acknowledgment to the World Wildlife Fund subgrantees Apogee Research (Mr. Ken Rubin, Principal;
Mr. Rick Sturgess; and Mr. Mark Corrales), and TLI Systems (Mr. Matt Low, Principal; Ms. Tiffin
Shewmake; and Ms. Marda Mayo) for the development of the five new Principles of Environmental
Enforcement Workshop case studies and technical support documents with the primary technical
support of Ms. Cheryl Wasserman and other reviewers from the EPC and U.S. EPA. Special recognition
for the development of the UNEP IE/PAC workshop manual and training materials go to VROM/UNEP
subcontractors PRC Environmental Management Inc., (Mr. Firouz Rouani, Principal; Ms. Sue Patterson;
Mr. Andy Johnson; and Mr. Mark Evans), under the direction of Mrs. Jacqueline Aloisi de Larderel,
UNEP IE/PAC and Mr. Rob Glaser and Mr. Jo Gerardu of VROM in cooperation with U.S. EPA and an
Advisory Group including Dr. Rene Altamirano, SEDESOL, Mexico; Dr. Ossama EI-Kholy, Egypt; Mme.
Odile Gauthier Natta, Ministere de ('Environment, France; Mr. Jo Gerardu, VROM, the Netherlands; Mr.
Rob Glaser, VROM, the Netherlands; Mr. Zbigniew Kamienski, State -Inspectorates for Environmental
Protection, Poland; Mrs. Jacqueline Aloisi de Larderel and Ms. Nancy Bennett, UNEP, IE~:/PAC; Mr. Sun
Li, Environmental Law Institute/PAC; and Ms. Cheryl Wasserman, U.S. EPA.
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, and to EPA's Region 6 staff in Dallas,
Texas, for the display on inspection equipment.
Primary staff support to the Executive Planning Committee and to the World Wildlife Fund was provided
by Mr. Jo Gerardu of VROM and Ms. Cheryl Wasserman of U.S. EPA who were responsible for creating
and staffing the Executive Planning Committee, drafting the conference program and materials, editing
the proceedings, and preparing concluding remarks. Ms. Nancy Hopps (WWF)', ,Ms. Maria Malave
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THIRD INTERNATIONAL CONFERENCE ON ENVIRONMENTAL ENFORCEMENT
(U.S. EPA), and Mr. Jo Gerardu (VROM) served as project managers under the funding agreements.
A special note of appreciation for the excellent support for complex EPC meeting and conference
logistics, assistance to the EPC in researching possible candidates for conference participant
invitations, communications with officials from over 100 countries and organizations, and preparation
of the proceedings for publication, directed by WWF subgrantee Eastern Research Group, Inc. :(Ms.
Trisha Hasch, Principal; Ms. Susan Abbott; Ms. Elaine Brenner; Mr. David Bronkema; and Mr.
Christopher Murray).
Cover design based on an original concept by Joke Krul, The Netherlands
Desktop publishing by Ms. MaryMahoney, Eastern Research Group, Inc.
Printing by Mr. Richard Harding, Universal Congraf Printing
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