PxEPA
United States
Environmental Protection
Agency
Office of Enforcement and
CompliancesAssurance
(2251A)
EPA/315/B-98/006
November 1998
www.inece.org
COMMUNICATIONS STRATEGIES
FOR ENFORCEMENT PROGRAMS
Capacity Building Support Document
International Training Workshop
"ty*y"^\
S^jfP
ENVIRONMENTAL
LAW-INSTITUTE
Ministry of Housing,
Spatial Planning,
and the Environment
(VROM)The Netherlands
Environment Environnement
Canada Canada
EUROPEAN
COMMISSION
POLLUTION CONTROL DEPARTMENT
THAILAND
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COMMUNICATION STRATEGIES FOR
ENFORCEMENT
Capacity Building Document for Environmental
Compliance and Enforcement Programs
April, 1996
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PREFACE
This document, Communication Strategies for Enforcement, was originally prepared in 1996 as one
of five Environmental Compliance and Enforcement Technical Capacity Building and Technical
Support documents prepared to support the Fourth International Conference on Environmental
Compliance and Enforcement held in Chiang Mai, Thailand, April 22-26, 1996 and ongoing
international networking and capacity building under the auspices of the International Network for
Environmental Compliance Enforcement. It was maintained as a review draft to accommodate
comments and additional country examples. This final version remains unchanged and is published
in final for use at the Fifth International Conference in Monterey, California, November 16-20, 1998
along with several new capacity building documents. These documents are^repared as resource
documents to be used by government officials and others who have responsibility for developing or
enhancing environmental compliance and enforcement programs. The documents include:
Financing Environmental Permit, Compliance and Enforcement Programs
Source Self-Monitoring, Reporting, and Recordkeeping Requirements: an
International Comparison
Multimedia Inspection Protocols: International Examples
Communications Strategies for Enforcement Programs
Transboundary Trade in Potentially Hazardous (Waste, Pesticides, and Ozone
Depleting) Substances
International Inspector Training Compendium, Course and Program Comparison
Country Progress/Self Assessment Reports on Environmental Compliance and
Enforcement
Citizen Enforcement: Tools for effective participation
Consistent with the goals of the Executive PlanningCommittee for the Fourth and Fifth International
Conferences and the ongoing goals of the International Network for Environmental Compliance and
Enforcement to build capacity internationally for environmental compliance and enforcement, this
document addresses key aspects of how and why to incorporate communications as a vital part of
enforcement strategies to make them more effective.
The Third International Conference on Environmental Compliance and Enforcement in Oaxaca,
Mexico (1994) pointed out the important role of communication in the enforcement of environmental
requirements. This led to the inclusion of a workshop on communication and enforcement at the
Fourth International Conference in Chiang Mai, Thailand. Linking communication to enforcement
is relatively new. There are of course examples where enforcement involves communication. But
this nearly always concerns implicit or incidental use of communication. Structured approaches which
consider the impact enforcement actions can make through use of publicity, visibility of inspections,
project-announcements etc., are scarce, to say the least.
u
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The objective of the workshop and manual is to demonstrate the importance of communication in the
enforcement process and to show how to profit from the power communication has. It not only
provides theoretical background information on the various aspects of communication, but also
involves an immediate translation of this theory to the practice of environmental enforcement. This
makes the workshop and manual of importance for everyone involved in the enforcement process,
from governmental policymakers to the individual environmental inspector. It can help you to take
the first steps towards an effective combination of enforcement and communication.
Communication Strategies for Enforcement and the other documents listed above are available on
the International Network for Environmental Compliance and Enforcement's (INECE) Internet site:
http://www.inece.org. They also are available from the INECE Secretariat at the addresses below.
Finally, the INECE Secretariat seeks your comments as to whether these documents serve their
intended purpose and how they might be improved. Please send comments in writing to the INECE
Secretariat in care of Ms. Wasserman or Mr. Gerardu at the following addresses:
Ms. Cheryl Wasserman
Associate Director for Policy Analysis
Office of Federal Activities
Office of Enforcement and Compliance Assurance
U.S. Environmental Protection Agency
401 M Street MC 2251-A
Washington, D.C. 20460
FAX 1-202-564-0070
PHONE 1-202-564-7129
E-MAIL wasserman.cheryl@epa.gov
or
i
Mr. Jo Gerardu
Head, Strategy, Planning and Control Division
Inspectorate for the Environment
The Netherlands Ministry of Housing, Spatial Planning and the Environment
IPC 680
P.O. Box 30945
2500 GX Den Haag
The Netherlands
FAX 1-31-70-339-1300
PHONE 1-31-70-339-2536.
E-MAIL gerardu@IMH-HI.dgm.minvrom.nl
11
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ACKNOWLEDGMENTS
This document was produced under contract of the Ministry of Housing, Spatial Planning and the
Environment, the Netherlands. Mr. Remko Herremans and Mr. Rene Schepers of Heijke Marketing
and Communicatie Consultants were the principal authors of this document, under the technical
direction of Mr. Jo Gerardu and Mr. Jan Veenman of the Ministry of Housing, Spatial Planning and
the Environment, the Netherlands. Mr. Jos Heijke was advising consultant.
A special word of appreciation to Ms. Cheryl Wasserman (Associate Director for Policy Analysis,
Office of Federal Activities) and Mr. Pete Rosenberg (Associate Director for Enforcement Capacity
and Outreach), both of U.S. Environmental Protection Agency's Office of Enforcement and
Compliance Assurance and Mr. John Wise, Deputy Regional Administrator of U.S. Environmental
Protection Agency's Region IX Office in San Francisco, California.
m
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Table of Contents
Table of Contents
Introduction
1.1 Communication and Enforcement
1.2 Three Propositions
1.3 How to read this manual?
pag.
1
1
1
3
Enforcement. ;
2.1 An Instrument of Environmental Policy
2.2 Repression and Prevention
2.3 Enforcement: the State of the Art
2.4 The Challenge for Environmental Enforcement
.pag.
7
7
7
10
11
Communication.. pag. 13
3.1 Communication: Definition 13
3.2 Communication: Instrument of Environmental Policy 13
3.3 What Communication Can Do 14
3.4 Enforcement Communication: the State of the Art 1 6
3.5 The Challenge for Enforcement Communication 17
Communication and Enforcement
4.1 Chance to Get Caught
4.2 Communication Builds Perception
4.3 Target Groups are the Market
4.4 Communication Puts a Leverage on Enforcement
.pag. 21
21
22
24
25
The Peeling Model
5.1 The Peeling Model: Enforcement in 7 Layers
5.2 Layers Reinforcing Eachother
5.3 The Credebility Trap
pag
29
29
33
34
Making Things Work pag. 37
6.1 The Strategic Wheel 37
1. Analyses: A Never Ending Starting Point 38
2. Target Groups and Objectives: Determine Your Results 39
3. Product Development: Combining Enforcement and 40
Communication
4. Organisation: A Crucial Element 41
5. Execution: Flexebility, Creativity and Skills 41
6. Evaluation: A Powerfull Instrument 42
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Table of Contents
7 Checklists
1. External Analyses
2. Internal Analyses
3. Target Groups
4. Objectives
5. Enforcement Action
6. Communication Action
7. Communication Instruments
8. Organisation
9. Execution
10. Proces Evaluation
11. Effect Evaluation
pag.
45
46
47
48
49
50
51
53
54
55
56
57
8 Sources of Information
Documentation on Enforcement
Documentation on Communication
Documentation Centers
Institutes
.pag.
61
61
62
63
63
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Introduction
Introduction
1.1 Communication and Enforcement
This manual focuses on the relationship between enforcement and communication,
both instruments in the environmental policy of the national as well as the local
government. The objective of environmental policy is to direct companies and
individuals toward more environmental-friendly behaviour through compliance
to regulations.
Enforcement is one of the most powerful instruments to influence behaviour of
individuals and, consequently, of companies. The objective of enforcement is to
achieve compliance within the regulated community. Allthough this manual
concentrates on enforcement practice, it is absolutely vital to keep in mind that
effective enforcement demands adequate environmental laws, requirements and
sanctions.
One of the main problems for environmental enforcement is the inbalance
between the huge amount of companies under regulation and the limited
enforcement capacity. It is simply impossible to enforce every environmental
law adequately by inspecting each company individually on a regular bases. A
more sophisticated approach of enforcement is needed.
This manual demonstrates the potential of communication to raise the effective-
ness of the enforcement.
1.2 Three Propositions
In this manual three propositions are presented about the way communication can
leverage the effectiveness of your enforcement-activities. These propositions are
the guideline in this manual.
Proposition 1:
Communication makes environmental enforcement more
effective by influencing the perception of the
enforcement-action.
The effectiveness of enforcement depends on the 'chance to get caught': the
probability to get caught if you violate the rules. The effect this 'chance to get
caught' has on compliance is based on two elements: the factual chance to get
caught and the perception of (feeling about) this chance to get caught. If the
goverment inspects 10 out of the 100 companies, the factual chance to get
inspected is 10%. But if the government communicates about the enforce-
ment-action probably more than 10 companies feel they run the risk to be
inspected. This feeling alone can change their behaviour. This is what
communication can do. Chapter 4 of the manual explains in detail the chance to
get caught concept and how it can be influenced by communication.
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Introduction
Proposition 2:
Communication and enforcement should be integrated.
Like enforcement, communication is an instrument of environmental policy.
These two instruments are not independent of each other: if employed in the right
combination they reTnforce each other, but if handled separately they can do more
harm than good.
For communication to make enforcement more effective, it's necessary to
integrate these two instruments of environmental policy. Succesful integration
means the implementation of Two Basic Rules:
1. No Enforcement without Communication!
2. No Communication without Enforcement!
Putting a lot of effort in enforcing environmental requirements without
communicating in one way or the other that you're making these efforts, means a
chance has been missed. Checking compliance without making this known to the
regulated community is not a very efficient way of stimulating environmentally
friendly behaviour. In other words: enforcement should be accompagnied by
communication.
Vice versa is it in the long run not effective to constantly communicate about
enforcement and threaten with compliance-checks, while in fact there are none.
Communication by itself is not enough.
In this manual it is argued that bringing these two principles in practice demands
an integration of enforcement and communication. This means planning,
development, execution and evaluation of enforcement and communication take
place simultaneously. They support one another. How this integration can be
accomplished is demonstrated with the Peeling Model encompassing enforcement
and the different ways to communicate: Chapter 5 of this manual.
Proposition 3:
A strategic approach for both enforcement and
communication is a prerequisite for success.
Proposition 3 logically springs from proposition 2. Integration of enforcement
and communication demands a strategic approach. This implies the development
and formulation of a strategy: a long term approach based on a thorough analyses
of the present situation and the environmental problem at hand, the relevant
target groups and the means of enforcement at your disposal. Chapter 6 presents a
method for strategic enforcement- and communication planning: The Strategic
Wheel.
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Introduction 3
1.3 How to read this manual?
After the introduction in chapter 1, chapter 2 and three give an overview of the
most important theoretical concepts of enforcement, communication and their
interrelation. Chapter 4 to 6 deal with the three propositions, stated above. To
help you use the ideas and concepts of the manual in your day to day practice,
chapter 7 presents the checklists. In chapter 8 you can find the information
sources used for this manual.
Below, a schematic outline of this manual is presented.
Hopefully this manual shows you the way to make enforcement more effective
through communication.
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Introduction
1. Introduction
I
-Three Propositions
2. Enforcement
1
- General Concepts
3. Communication
- General Concepts
4. Communication and Enforcement
- Perception,
- Objective Chance to Get Caught
- Subjective Chance to Get Caught
- Target Groups
5. The Peeling Model
- The Peeling Model
t- Credibility
6. Making Things Work
- Strategic Wheel
7. Checklists
8. Information Sources
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Background
- general concepts -
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Enforcement
-Three Propositions
4. Communication and Enforcement
- Perception,
- Objective Chance to Get Caught
- Subjective Chance to Get Caught
- Target Groups
5. The Peeling Model
- The Peeling Model
f- Credibility
6. Making Things Work
- Strategic Wheel
7. Checklists
8. Information Sources
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Enforcement
2 Enforcement
During the last ten years more effort has been put into environmental
enforcement. Before discussing the role of communication, this chapter gives a
very brief overview of the development of enforcement, resulting in the
formulation of the challenge for the next ten years.
2.1 An Instrument of Environmental Policy
To make sure there is agreement on the meaning of environmental enforcement, it
is useful to start with a definition:
Enforcement is the set of actions that governments or others take to
achieve compliance within the regulated community and to correct or
halt situations that endanger the environment or public health.
(Office of Enforcement, U.S. Environmental Protection Agency
(1992). Principles of Environmental Enforcement, p.1-2.)
Enforcement is an important instrument of environmental policy. It serves
environmental policy on two main objectives:
7. Promoting Compliance
Primary goal of the enforcement is the promotion of compliance. Compliance is
the full implementation of environmental requirements.
2. Supporting Credibility
Besides directly promoting compliance, enforcement serves environmental policy
in another way. It provides environmental laws and requirements with
credibility. The regulated community judges laws by the way they are enforced:
"If the law is not worth enforcing, it probably isn't worth complying either!".
2.2 Correction and Prevention
Discussions on enforcement always involve a distinction between corrective and
preventive enforcement. In this paragraph the strict distinction of these two
concepts is disputed.
In general, we speak of corrective enforcement when the enforcement action is
directed at behaviour that already took place. Offending a rule triggers an
enforcement action. Figure 1 depicts this process. This philososphy of 'make the
offender pay* is illustrated by the XXX-case.
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Enforcement
f behaviour^
Figure 1
corrective Enforcement
TheXXX-case
Violations found during a 10-month investigation, including among
others illegal land disposal of hazardous waste, resulted in a
settlement between Company XXX and the U.S. E.P.A. In this
settlement XXX agrees to pay a $ 8 million penalty. Furthermore XXX
has to repair and upgrade the facility at a cost estimated to be in the
tens of millions of dollars.
Source: U.S. E.P.A.
Whereas corrective enforcement is directed at past behaviour, preventive
enforcement aims at future behaviour. It's primary goal is to change behaviour
before offences occur. This approach is illustrated in figure 2.
(^enforcement ")
Figure 2
Preventive Enforcement
Q behaviour ^
Derelict Vehicles
A Dutch enforcement project in one of it's provinces handling the
problem of derelict vehicles aimed at closing down the great
majority of the car dismantles. With less competition it would be
economically feasible for the remaining firms to take measures to
protect the environment. A licensing system made this possible. The
province started an intensive inspection program. The dismantling
firms were inspected on three occasions. The first round was meant to
be informative. Violations found during the second round led to a
formal warning. Only offenses discovered during the third inspection
were sanctioned. During the first round it transpired that 50 % of
the firms complied with the rules. In 1995 the percentage has risen
to85%. ;.:- -, ' V-'--v ':.. .'".'
Source: Environmental Law Enforcement in practice in the Netherlands
(1995), p. 104-106.
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Enforcement
The 'XXX-case' and the 'derelict-vehicles-case1 are typical for the difference
between the corrective and preventive enforcement approach. But is it fair to say
the XXX-case is nothing more than corrective action and the derelicts-approach
is pure preventive? It probably isn't. In fact, the difference between corrective
and preventive enforcement is based on a short term perspective on enforcement.
Of course the XXX-settlement in itself is corrective. But mark the words of the
U.S. E.P.A. Assistant Attorney general at the press conference shortly after the
settlement:
"...the penalties contained in today's settlement should sent a clear message that
business must either comply with our environmental laws or inevitably pay a
stiff price for avoiding their public responsibilities. Let this send a clear
signal, when the well-being of future generations of Americans is at stake, we
will never permit anyone to profit from environmental violations."
Obviously, the settlement with XXX is used to influence future behaviour. The U.S.
E.P.A. aims for a strong deterence-effect. In the same way the preventive
measures taken in the Dutch case of derelict vehicles are supported by the threat
of corrective action. Sanctions have to be paid if, in the third inspection-round,
offences are found. These two cases show if you apply a broader time-horizon
every good enforcement action has an element of correction and an element of
prevention. The two figures shown above can be compressed in one cycle of
enforcement.
preventive
corrective
C enforcement J)
Figure 3
The Enforcement Cycle
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10 Enforcement
2.3 Enforcement: the State of the Art
Overlooking the global map it is possible to discern three possible situations in
which you find the development of enforcement policy. First of all there is the
situation in which there is no environmental enforcement what-so-ever. It is
absent.
A second situation you come across is to be characterized by an ad hoc approach of
enforcement. Enforcement activities take place but in an unstructured way. The
enforcement is re-active. Action is provoked by environmental problems,
obvious offences of environmental requirements etc. Probably most countries'
environmental enforcement policies can be labeled as being ad hoc.
The third category groups the cases in which enforcement is approached
systematically, resulting in a structured and planned environmental enforce-
ment policy. Enforcement is no longer just a reaction on environmental problems
and offences, it's also proactive in the sence that it is aimed at avoiding these
problems.
Nigeria Moves From No Enforcement towards Ad Hoc
Enforcement
Enforcement is absent:
After a period of booming industrialisation, Nigerian government
started to take notice of the environmetnal downside of uncontroled
industry-growth, especially the discharging of liquid efluents and
solid wastes into open drains, stream, channels and lagoons. Although
some laws, dating back to the colonial period, existed, coordination
and enforcement were almost nil.
Enforcement is adhoc:
In reaction of a toxic waste incidence the Government set up a Federal
Environmental Protection Agency, including an Inspectorate and
Enforcement Department. Industries are encouraged by In-House-
Training to do self monitoring and industries are required to obtain
permits. Mostly unannounced inspections check compliance and
ensure high-quality self-monitoring. Total annual inspections exceed
300. In addition, supporting measures were taken, like encouraging
public complaints and starting a campaign on moving economy
towards better processing and less pdluting technology. Compliance
rates were in 1994 still low, but improving.
Source: Proceedings Volume 2 Third International Conference on
Environmental Enforcement (1994), p. 123-128.
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Enforcement 11
2.4 The Challenge for Environmental Enforcement
The last ten years environmental enforcement has become a major issue:
governments sharpen their environmental policies and issue laws, inspectors
visit companies and execute audits to check compliance, projects are started to
save forests or to prevent illegal dumping.
But, the task environmental enforcement faces is immense. There is so much
ground to cover with the limited enforcement capacity available to governments.
There are limits to how many inspections you can perform. Inspections are
costly. They demand human resources, technical equipment and education. Budgets
are, by definition, restricted. This makes it crucial the enforcement effort is
more effective. The question is: how do we get the most out of our enforcement
money? This manual shows how communication can help you.
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Communication
1. Introduction
-Three Propositions
2. Enforcement
- General Concepts
- General Concepts
4. Communication and Enforcement
- Perception,
- Objective Chance to Get Caught
- Subjective Chance to Get Caught
- Target Groups
5. The Peeling Model
- The Peeling Model
%- Credibility
6. Making Things Work
- Strategic Wheel
7. Checklists
8. Information Sources
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Communication
13
Communication
Communication encompasses all kinds of activities. Every day we communicate
and get information by television, newspapers, small-talks, reports etc. After
giving a general definition of communication, we will focus on the role of
communication as an instrument of environmental policy, especially in relation
to enforcement.
3.1 Communication: Definition
Defining 'communication' has proved to be an awkward task. For the purpose of
this manual we adhere the following definition:
Communication is every inforrriationflow and informationexchange between
organisations and/or persons, with a certain objective.
In the case of environmental enforcement the objective of communication is to
achieve environmental-friendly behaviour in general and compliance by the
regulated community in particular. For this manual it's important to get a clear
view on what communication can do in relation to the environmental policy and
the enforcement in particular.
3.2 Communication: Instrument of Environmental Policy
The objective of environmental policy is to change behaviour in a more environ-
mental friendly way. Therefore the government uses all kinds of instruments:
regulations
financial instruments, subsidies
sanctioning
enforcement
communication
education
research
facilities
convenants
Most of the time the government uses a mixture of different instruments.
Communication is one of these instruments.
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14 Communication
Reducing Water Pollution by Discharges
An effective campaign to reduce waterpollution by discharges
possibly includes the following measures:
regulation on discharges .. - ,
enforcement of regulation: inspections to check compliance and
sanctions on non-comliance
inform companies on the new regulations through brochures
a branche-meeting to promote and explain possible measures
companies can take . .-.- ': :
research on how the regulated community thinks about regulations on
discharging '"" ,"',' :';''-',;;;'. .'' ' ^V;C-.^, :^::''!.'.*..:.:.'"'.*': , ':L:." . \
information centre to answer questions and practical advise
financial support, subsidization of new technologies
A combination of different instruments is most effective because they can
reTnforce each other. This especially applies for communication as an instrument
of environmental policy.
3.3 What Communication Can Do
Communication operates on different levels, aimed at influencing behaviour.
Five levels are discerned: Attention, Knowledge, Attitude, Intention and
Behaviour. Below, these levels are explained, starting with the Attention level,
then moving closer to actual behaviour with every next level. It is important to
understand this is not one and only sequence of communication levels. In fact, the
different levels are highly interrelated.
Furthemore it should be said, communication alone is never enough to change
behaviour. Something more is needed to change behavior, like: environmental
research, new regulations, sanctions, financial support, enforcement etc.
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Communication
15
Intention
Behaviour
Attention:
At this first level of influence communication makes the
problem at hand an issue of concern for the regulated
community.
Examples:
publishing environmental research results
speeches by the Minister or other authorities on this matter
news items on environmental pollution
Knowledge
At the knowledge level communication is pure informative. It
raises the knowledge about environmental problems,
regulations, the enforcement etc.
Examples:
informing the community about new license requirements
explaining the individual implications of new regulations
information about the sanctions on non-compliance
information about financial support for companies who intend to
take adequate measures
announce enforcement action
Attitude:
To convert the knowledge of the environmental problem, the
regulations and the enforcement into a positive opinion towards
compliance, it is necessary to add communication at the attitude
level. Explain the reasoning behind the regulation and make the
regulated community aware of their individual contribution to
the environmental pollution and their responbilities.
Examples:
the presentation of achieved results
showing the negative effects of non-compliance on the
environment
explaining the reasons for regulations
Intention:
Transforming a posititve attitude into an intention to change
behaviour, to comply, asks for another level of communication.
This level creates the desire to comply, by making compliance
more attractive (rewarding) or by making it unattractive not
to adjust your behaviour (punishing). Communication can make
these positive and negative impulses known to the community.
Examples:
example setting to deter offenders
communicating the sanctions on non-compliance
announcing inspections
rewards for good behaviour
Behaviour:
Finally a positive intention must lead to an actual change in
behaviour. Communication at this level facilitates compliance.
Examples:
supporting compliance with advice
instructions to facilitate compliance
information on financial support to achieve compliance
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16 Communication
3.4 Enforcement Communication: the State of the Art
In the same way enforcement can be divided in three categories, it is possible to
describe the use of communication. In most cases communication is not yet used
as an instrument of enforcement. Enforcement communication is absent.
Sometimes enforcement communication is used in an ad hoc manner to enforce
environmental laws. In general this is triggered by the attention the press pays
to an environmental problem. Especially major environmental calamaties do
very well in attracting the attention of press and public, and so will the
environmental enforcement's reaction to this calamity. It is only at this moment
enforcers take extra care of what they say and do. They realize themselves that
the media lever the effect of their words and actions. Note that the first
impression the environmental enforcement makes in this situation is a negative
one. After all the damage is already done.
A third group is a very small group of cases in which communication is used
structurally as a means of enforcement. Environmental policy is aimed at
creating publicity and employing other means of communication to enlarge the
effect of the enforcement activities.
Auto Service Shops in Santa Rosa
Auto service shops created a significant source of water and air
pollution for the Municipality of Santa Rosa. The service shops
became the target group of a special enforcement program. Auto
service shops that achieved full compliance based on a multimedia
inspection were offered to voluntarily receive a seal (sticker). The
pubtic was encouraged to do business with shops displaying the seal,
through a well organized outreach campaign, including television-
advertizing. Materials, like handouts with 'Best Management Practi-
ces', pollution prevention techniques and sources for waste
recycling, were produced to assist the industry in achieving
compliance. In addition local agencies that monitor and enforce
environmental requirements at services stations joined forces. They
produced an inspection checklist, thereby allowing any one agency to
perform a complete, multi-media inspection, referring serious
violations to the appropriate agency for follow-up enforcement.
Source: Proceedings Volume 2 Third International Conference on
Environmental Enforcement (1994), p. 205 -206.
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Communication 17
3.5 The Challenge for Communication
To ensure a longterm effectiveness of enforcement, continuity is essential.
Needless to say this demands a systematic approach with structured enforcement,
but also with structured communication. This is the only way to accomplish a
consistent enforcement of the environmental laws which is effective and efficient.
The challenge for communication is to support the enforcement in such a way the
effectiveness of enforcement as an instrument of environmental policy will be
strengthened. This asks for an integration of enforcement and communication. In
the end this will lead to more compliance and a more environmental-friendly
behaviour of companies.
Reading the example above of a compliance incentive program in Santa Rosa
(California, U.S.) gives an idea of what an integrated approach of enforcement and
communication can look like.
Integrating enforcement and communication is your best guarantee for longterm
results. The following chapters elaborate on the question why integration is so
important and how it can be accomplished.
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Communication
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Proposition 1:
"Communication makes environmental enforcement more
effective by influencing the perception of the
enforcement-action."
-Perception-
- Objective Chance to Get Caught -
- Subjective Chance to Get Caught -
-Target Groups-
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2 0 Communication and Enforcement
1. Introduction
I
-Three Propositions
2. Enforcement
- General Concepts
3. Communication
- General Concepts
; 4. Cpmmunl^tidri; «iiT
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Communication and Enforcement 21
4 Communication and Enforcement
This chapter is about how communication can make enforcement more effective.
The key word in this chapter is, as in our first proposition, 'perception'.
4.1 Chance to Get Caught
An important concept in relation to enforcement is what we call 'the chance to get
caught'. The chance to get caught can be defined in two different ways:
1. The objective chance to get caught
The statistical probability to get caught when violating the
rules.
(also called: the factual/real chance to get caught)
2. The subjective chance to get caught
The estimation by the regulated community of the probability
to get caught when violating the rules.
(also called: the perceived/ estimated chance to get caught)
What people think, believe, feel, this is what they act upon. Regulated companies
will be far more willing to comply if they feel there is a substantial chance they
get caught for offending the rules. This feeling is based on their own estimation,
their perception.
To effect future behaviour of the whole regulated community, it is not enough just
to create a substantial objective chance to get caught. It is crucial to make them
see and believe there is a good chance to get caught if they offend the rules. That's
where communication comes in;
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22
Communication and Enforcement
Objective and Subjective chance to gelt caught.
For example: one truck loaded vwtft ilfegal waste tries to pass the
boarder. If one out of every ten trucks' cargo is inspected and this
check is 10096 waterproof the chance to get caught for a truck with
an illegal load is 1096. This is called the objective chance to get
caught The driver has to estimate the chances to pass the boarder
without problems. ',"-:':,;, V'^Y'^;,^v'A\'"^;y':;v'.:': '" '''.."
Basically there are two variations possible in the estimation the
truckdriver makes: f ;
7. 7776 driver sees each and every cargo-inspection executed during the
waitingperiod at the boarder. The perception of the chance to get
caught will be high, possibly more then ten percent.
2. The driver has passed the boarders more than twenty times now and
has never seen any truck being inspected, because inspections are
executed unobtrusively. The estimated chance to get caught will
probably not be as high as 1096.
The estimate the driver makes, wittingly or unwittingly, is called the
subjective chance to get caught. It is is this subjective chance that
will influence the truckdriver's future behaviour.
4.2 Communication Builds Perception
How communication makes the difference between the objective and subjective
chance to get caught is shown in figure 5. This figure depicts how communication
levers the objective chance to get caught to an even more effective subjective
chance to get caught by influencing perception.
objective
chance
o:
communica tion
subjective
chance
Figure4
From Objective to Subjective Chance to Get Caught
Communication can influence the perception of enforcement in a number of ways.
Actual enforcement action is the starting point, communication can make this
action visible. It can draw attention towards the inspections you undertake and
towards the sanctions you issue. It can underline the specific characteristics of
your enforcement action. If an inspection of one company leads to tough
sanctioning, this of course will be noticed by this company. But if this
enforcement action is done in silence there will hardly be any effect on the other
companies. Dependant on whether you choose for a more preventive or
repressive policy you can draw attention to the chance to get caught or the
sanction.
-------
Communication and Enforcement 2 3
Communication puts a magnifying-glass on the value of your chance to get caught
and on the sanction you issue. In 'marketing' this leverage-power of
communication has long been acknowledged. Product-value is enlarged by adding
emotional value to the objective, rational characteristics of a product. The value
of a sports shoe is not just it's practical use. Wearing a specific brand of sports
shoe can make you feel good. This additional value exists in people's minds. It is a
perception created by communication.
Communication can make things attractive, or unattractive. It colors perception.
The widespread use of advertizing campaigns as an instrument to increase
product sales do just that, color perception. How attractive would a bottle of
black liquid be without a flashy label and glittering T.V. commercial. These
communication elements have made Cola into an attractive product, with billions
of buyers. Parallel to a company producing sports shoes or liquids, the enforce-
ment department produces its own product: the enforcement action.
In the same way communication can be used to attract people to buy a product,
communication can be used to deter offenders by making non-compliance
unattractive. Think about example-setting by publishing offenders'names in the
media.
Communication and Perception
A few examples of communication influencing perception of chance to
get caught and sanctioning:
Subjective Chance to get Caught :
making actions more visible through publicity, letters to
companies etc.
announcing actions in the media
Sanctioning
publishing results of enforcement actions in the media
publishing issued sanctions
Communication can be used to make others perceive your enforcement action and
color this perception. This will increase the subjective chance to get caught and the
perception of the sanctioning, which most probably influences future behaviour.
This is why there should be No Enforcement without Communication ; the First Basic
Rule.
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24
Communication and Enforcement
On the other hand it's impossible to create a subjective chance to get caught by
communication alone. Perception can't be built on air. If you don't live up to the
promises you communicate, communication can proove to be a boomerang and
come right back at you. You loose credibility, your communication looses
credibility, and you will have a hard time to regain it. Wo communication without
Enforcement, the second Basic Rule. The bases of enforcement communication
must be an objective chance to get caught combined with a sanction. Together this
is the enforcement action. About the factual chance to get caught and the sanctions
you can communicate. You can direct attention to the inspections you execute and
the fines you issue. This way you amplify the impact on perception.
Of course it's sometimes recommendable to operate more quietly, making the
enforcement unpredictable and surprising. You can put it this way: "Youhave to
do everything you say, but you don't have to say everything you do!"
4.3 Target Groups are the Market
This paragraph continues the parallel between marketing and enforcement.
Marketing never works without a definition of the target group. It is essential to
aim your marketing efforts for a specific group with specific needs and
preferences. For enforcement it is equally important to focus on a target group.
Concentrating your enforcement-efforts, on a well defined part of the regulated
community, the target group, makes enforcement much more effective.
Before you define your target groups you have to take in account a number of
considerations:
1. Risk-potential
2. Environmental priorities (water, waste, land-use, noise etc.)
3. Compliance-reputation
4. Complaints
5. Preventive effect
Target Groups Priorities in Norway
In Norway in the year 1993, 1500 enterprises have been granted
discharge permits. In order get the best possible results from their
;" fted inspection capacity they carefully select the enterprises they
oect or audit. They use the following criteria:
1. Enterprises which contribute to environmental problems in
areas which are given high priority by environmental
authorities.
2. Enterprises with a great potential risk of hazardous discharges.
3. Suspicion of violations.
4. Geografic areas with special environmental problems.
5. Preventive considerations.
irce: Proceedings Volume 2 Third International Conference on
ironmental Enforcement (1994), p. 111-115.
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Communication and Enforcement 25
Preventive l .
For * few yean ^ the
Minister ^} of ffivi^^ visit to a
multinational based in^Jakarta, JhiswJthout exception resulted in a
fair amount'; of publlic^-fNOtlonly^becaus^-of the high ranked
inspector, but also because of the nieflKa-attent/on for multinationals.
In other words, the preventive effect of publicity was at least one of
the reasons to select multinationals as target group.
Source: I.W.A.C.6. The Netherlands : - : v
Defining target groups gives direction to your enforcement and communication.
Keeping your target group in mind, you can choose the most effective combination
of action and communication. This same integrated approach of action,
communication and target groups we find in the world of business. The way
enterprises produce and sell their products teaches the enforcement department a
valuable lesson.
In Chapter 7 you can read how to define a target group.
4.4 Communication Puts a Leverage on Enforcement
Through communication it is possible to lever the impact of your enforcement
action. If done properly, an executed inspection will not just effect the inspected
company, it will also have a deterrent effect on other members of the regulated
community. Communication makes enforcement visible. Communication spreads
the preventive effect of your enforcement -activities out over larger parts of the
regulated community. This way compliance is promoted on a larger scale than
just the inspected company.
Communication comes in many forms to support the enforcement of the law. The
difficulty of using communication as an instrument of enforcement lies in finding
an equilibrium between enforcement and communication. In marketing it is
common knowledge communication produces the best results if it colors
perception in a way that matches your product. Communication and product
should create one consistent image. It is safe to say the same goes for
communication and enforcement action. This demands an integrated approach of
communication and enforcement action. This is not all that easy, knowing there
are many ways to design your inspection-activities and at least as many ways to
communicate with your target group. The Peeling Model in chapter 5 provides
you with a systematic approach to tackle this problem.
-------
26
Communication and Enforcement
-------
Proposition 2:
"Communication and enforcement should be
integrated."
- The Peeling Model-
-Credibility-
-------
28 The Peeling Model
1. Introduction
-Three Propositions
2. Enforcement
- General Concepts
3. Communication
- General Concepts
4. Communication and Enforcement
- Perception,
- Objective Chance to Get Caught
- Subjective Chance to Get Caught
- Target Groups
,'£ >;;"££... 5. The Ceding Model, * ,
- The Peeling Model
r- Credibility
6. Making Things Work
- Strategic Wheel
7. Checklists
8. Information Sources
-------
The Peeling Mode)
5 The Peeling Model
To optimize the effect on compliance it is necessary to attune action and
communication not only to each other but also to the regulated community. In
this chapter we present a model for integrating communication and enforcement.
The Peeling Model provides you with a systematic guideline. The model is based on
a marketing view, looking at enforcement as a product, where communication is a
marketing-instrument to sell the product to your target groups.
5.1 The Peeling Model: Enforcement in 7 Layers
The Peeling Model consists of six levels of communication laid around the
enforcement action.
1. Enforcement action: inspection and sanction
2. Enforcementsignals
3. Enforcement action-communication
4. General enforcement-communication
5. Communication on regulation
6. Educating-communication
7. Topic communication
Figure 5
The Peeling Model
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30
The Peeling Model
1. Enforcement Action
The heart of every enforcement project must be the
enforcement action. The executed inspections and issued
sanctions are the 'Bull's Eye' of your enforcement-
communication strategy. There is a range of dimensions on
Which enforcement actions can vary.
Enforcement Actions:
inspections:
single - multi media
personal - written contact
selfmonitoring - direct inspections
announced - unannounced
inspection of whole target group -selection
once - more than once
inspections equally spread in time - concentrated
sanctions:.,
fines
restoring environmental damage
withdrawal of licence
Illegal Waste Transport I
For the Illegal Waste Transport across the boarder a licence is
required. Related to this licence is a set of regulations and
requirements. To promote compliance with these regulations the
Government has decided to intensify inspections at the boarders and
along the highways. < ."" ''.''"
Sanctions are dependant on the seriousness of the offences. Besides
fines, sanctions can include the withdrawal of the licence for waste
transports.
Z. Enforcementsignals
The most elementary form of communication is directly
connected to the physical presence of the inspectors. This
communication on the spot makes the enforcement directly
visible. Visibility is important to raise the awareness and
attention for the enforcement effort, especially with the people
directly involved. It enlarges the effect on the subjective chance
to get caught. To keep the regulated community guessing, it is
necessary to alternate between obtrusive and unobtrusive
inspections.
Enforcementsianals:
uniform
car/ boat/ airplane
* logo/label/seal
technical equipment
-------
The Peeling Model
Illegal Waste Transport II
To increase the visibility of the inspections at the boarder inspectors
drive cars that can easily be recognized by a logo. Moreover signs,
stating 'waste transport inspection' are used to direct drivers to the
place where the inspections take place. For inspections on the
highway a helicopter will sometimes be used to track illegal
transports. Inspectors on the ground than mostly operate undercover,
driving in unobtrusive cars. Visibility in this way is varied.
3. Enforcement Action-communication
The second layer of communication has specific enforcement
actions as subject, but is not directly related to these actions. It
increases the visibility of the enforcement action with the
inspected member of the regulated community, but even more
important, to the other members. Enforcement Action
communication spreads the impact of an inspection out over
broader parts of the targeted community.
Enforcement Action-communication:
individual announcements
announcements of inspection in branchemagazines, newsmedia etc.
publishing inspection-results and issued sanctions
public disclosure of names of offenders
publicity during the enforcement-project
individual reports of inspection results
Illegal Waste Transport III
Furthermore, the effect of the inspections is enlarged by the use of
signs near the boarder. These signs announce the inspection of waste
transports. At the same time posters at 'trucker-restaurants' along
the road warn for transport inspections. To create awareness of this
enforcement action with even larger parts of the regulated
community a couple of press releases will create publicity on this
issue. On top of this, reporters of national television are invited to
visit the'inspection scene'.
4. General Enforcement-communication
The regulated community is informed in a more general way
about the intentions of the environmental enforcement
department. New methods of enforcement can be introduced,
changing priorities, news about the enforcement capacity etc.
Keeping enforcement in general under the attention of the
public supports the impact of the inspections executed.
-------
3 2 The Peeling Model
General Enforcement-communication:
publicity about the enforcement department
individually informing companies
publicity about the enforcement policy, priorities and methods
publicity about new methods of enforcement
publicity about new technical equipment
Illegal Waste Transport IV
Transportcompanies are informed on the enforcement actions by a
brochure. In this brochure the department responsible for the
enforcement of the transport-regulations is introduced. The priority
of illegal waste transports is made clear and the intended enforcement
methodes are explained. Besides this brochure, the same information
is also presented in an article in a businessmagazine for
transportcompanies. A press release about the spectacular
inspections with the use of the helicopter will create extra publicity.
5. Communication on regulation
This layer of communication is not directly connected to the
enforcement-methods. Communication on regulation explains
the rules of the game. This informative function is the bases of a
good enforcement. Without knowledge of the rules compliance
can not be achieved.
Communication on regulation:
information brochures
informative meetings/ company visits
speeches of the minister introducing new rules
announcing higher sanctions
Illegal Waste Transport V
To inform the transportcompanies on the regulations attached to the
licence for illegal waste transports a videofilm and accompanying
leaflet are sent to branche organisations and individual companies.
6. Educating-communication
Through use of different media it is tried to educate the
regulated community to comply to the environmental
regulations. Not because of possible sanctioning when they don't
comply but out of understanding and support for the
environmental policy. It is aimed at achieving knowledge about
and a positive attitude towards environmental regulations. This
enhances the credibility of your enforcement.
Educating communication:
publicity campaigns with argumentation of regulations
1 brochures
informative meetings
conferences
-------
The Peeling Model
Illegal Waste Transport VI
In order not only to inform on, but aslo to build understanding of and
support for, the Regulations Jand it's enforcement, transport
companies are invited to attend a special conference on transport and
(environmental) regulations. At this conference the reasoning behind
t/ie regulations and the enforcement is explained. The press is also
invited at this conference^ :: "'.
7. Topic communication
The outer layer of the peeling model brings a specific
environmental problem to the attention of the community. It
makes it an issue of concern; puts the topic on the agenda.
Through this agenda-setting support for the regulations and
willingness to comply is stimulated. Like educating
communication it supplies the enforcement with credibility and
acceptance.
Topic communication:
publicity campaigns about environmental problems
reports on environmental problems
articles in magazines
discussions on T.V. and in newspapers
Illegal Waste Transport VII
To put the issue of illegal waste transports and it's environmental
dangers on the public and media-agenda, several reports on this topic
are published. National publicity is created through interviews given
by the responsible ministers (of the Environment, of Justice and of
Traffic & Transport) on television and in newspapers.
5.2 Layers ReTnforcing Eachother
In §5.1 the different layers are discussed separately. In reality they are
interrelated. If the relation between every layer is consistent they reTnforce each
other. If there is no cohesion between the separate levels, or worse, if they
contradict each other, the effectiveness of the enforcement will suffer from it.
Moving from one layer to the other, we shift gradually from the enforcement
department as sender (layer 1-4) towards the Government as sender (5-7).
This manual is mainly about layer 1-4. In layer 5-7, with the Government
sending the message, the focus lays on informing the regulated community and
changing attitudes. Layer 1 -4, related to the enforcement action, concentrate on
influencing behaviour directly. How these layers can be molded in one consistent
and effective product of enforcement and communication is the subject of the next
chapter.
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3 4 The Peeling Model
5.3 The Credibility Trap
When using the Peeling Model it is tempting to scare the regulated community
with announcements of inspections and a lot of publicity on planned enforcement
projects. This seems a relatively inexpensive way to improve the compliance
rates, without executing too many inspections. On the short term this can indeed
be effective. However on the long run this will be contra-productive. Enterprises
start to notice you are not actually living up to the expectations you create. In the
end the regulated community ignores your communication. This is what we call
the boomerang-effect of communication. You've lost your credibility. This
dilutes the power of enforcement in general and communication in particular.
Credibility doesn't stop at enforcement: if enforcement looses credibility it
tiggles down to environmental policy and vice versa.
The credibility trap should always be avoided. To accomplish longrun
effectiveness you should stick to the basic Rules of Enforcement:
7. No Enforcement without Communication
2. No Communication without Enforcement
This chapter presented a model for integration of enforcement and
communication. In practice, this demands a strategic approach. Chapter 6
explains what a strategy is and helps you to develop and implement an effective
enforcement-communication strategy. It puts the Peeling Model in practice.
-------
Proposition 3:
"A strategic approach of both enforcement and
communication is a prerequisite for succes."
- The Strategic Wheel -
-------
36 Making Things Work
1. Introduction
i
-Three Propositions
2. Enforcement
- General Concepts
3. Communication
- General Concepts
4. Communication and Enforcement
5. The Peeling Model
- Perception,
- Objective Chance to Get Caught
- Subjective Chance to Get Caught
- Target Groups
- The Peeling Model
- Credibility
- Strategic Wheel
7. Checklists
8. Information Sources
-------
Making Things Work 37
6 Making Things work
A strategic approach is necessary to realize integration of enforcement and com-
munication as described in the former part of the manual. A strategic approach
implies developing a strategy based on good analyses. There is no such thing as
'one best strategy'. In this chapter the Strategic Wheel is presented. This
strategic processs brings along some crucial questions which should be answered.
The checklists, presented in chapter 7 can help you with this.
6.1 The Strategic Wheel
A strategic approach in practice means short and especially longterm objectives
should be formulated related to specific target groups. There must be an
enforcement plan or pattern which consists of six basic elements:
. 1. Analyses
2. Target group definition and objective setting
3. Product development1
4. Organisation
5. Execution
6. Evaluation
'In the case of enforcement, 'product development1 is combining enforcement
actions and communication actions.
The strategic enforcement process is depicted below. We call it the Strategic
Wheel. In this wheel it is analyses that keeps it all together. The outer part of the
wheel concerns the choices you have to make.
target groups
& objectives
enforcement &
communication
action
Figure 6
The Strategic Wheel
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38 Making Things Work
1. Analyses:
A Never Ending Starting Point
The foundation of strategic enforcement planning should be a continuous process
of analyses. First of all it's important to have a clear view on your starting
position, external as well as internal. Every environmental enforcement
situation is different from the other, demanding a different strategy. That's why a
good strategy development needs an analyses of the situation. This first analysis
is the starting point on which you base the consecutive choices you have to make.
Externally this means making an inventarisation in the gross of the present
situation of the environment and of compliance. What positive developments, can
you discern? What are the negative ones? Internally you should ask yourself
what the strong points are of the present enforcement and where the weak spots
are.
It's important to understand analyses never stops. Every other phase in the
stragegy processs brings a need for new or more detailed information. Analyses
must be a continuous process. New information comes in and old information
must be refined. During the strategy process your analyses evolves to an
evermore detailed level. At the same time more fundamental changes in the
situation can be processsed.
The analyses can be divided in an external and internal part. Both are subdivided
in problem and fieldmap, as presented in the following matrix.
Basic Questions:
problem
field map
external
What:
* is the issue?
1 * is the environment-problem?
I*'is the environmental policy?
I * are the regulations?
. * kind of licensing?
1 * is the specific context?
Who:
* are the target groups?
* are the organizations?
* are the persons responsible?
* are the intermediaires?
* are the 'third parties'?
internal
! What:
* are the time conditions?
* are the financial resources?
* are the human resources?
Who:
I * is directly involved?
* is responsible?
* executes?
* is indirectly involved?
See also checklists 1 & 2.
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Making Things Work 39
2. Target Groups and Objectives:
Determine Your Results
Making the Strategic Wheel spin starts with the determination of objectives and
target groups. Defining objectives and target groups gives direction to your
enforcement-strategy. It helps to focus your enforcement efforts. This is
especially important because every enforcement department has to deal with
limited enforcement capacity. Formulating objectives also gives you the
opportunity to evaluate the progress you make.
Objectives and target groups are closely intertwined. An objective determines the
target group, the target group determines the objective, see figure 9.
Determining your results is always a combination of both objective and target
group.
objective
target group
Figure 7
Objective and Target Group
Target groups and objectives can be discerned on three levels, see figure 10:
Level
Examples of
Target Groups
Objectives
1. Enforcement Policy Chemical Industry
Car-dismantlers
2. Enforcement
Action
3. Communication
Action
Five Biggest Companies
Companies in District X
Company Management
Workfloor
Public
Compliance
Number of Inspections
Chance to Get Caught
Issued Sanctions
Attention
Knowledge
Attitude
Intention
Behaviour
Figure 8
Three Levels of Target Groups and Objectives
Basic Questions:
What is your target group on each level?
What objective do you formulate on each level?
See Checklist 3 & 4.
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40 Making Things Work
^ 3. Product Development: Combining
Enforcement and Communication
To reach your objectives within your target group you need a product; a
combination of enforcement action and communication. This combination must be
attuned to your target group and objective. To achieve this, there are a number of
jnspectionvariaties available, together with a wide range of different kinds of
communication.
Basic Questions:
Enforcement
: What is the objective of the enforcement?
: What are the characteristics of the target group?
(like: size of target group, location, level of compliance etc.)
: Which Enforcement Action best fits the target group and objective?
: How do you plan your enforcement action?
'. Who is responsible for the actions?
Communication
: What is the objective of the communication?
: What are the characteristics of the target group (audience)?
(like: size of target group, media-use, attitude towards regulations etc.)
: Which Communication Action best fits the target group and objective?
- On which level do you communicate?
(layers in peeling model: signals, enforcement action communication,
general enforcement communication etc)
- Which media do you use?
(printed press/ TV/Radio, written and/or personal communication)
- What do you communicate?
(message, tone of voice)
- When do you communicate?
(before, during, after enforcement action)
- Who's the sender?
(government, the enforcer etc.)
See Checklist 5, 6 & 7.
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Making Things Work 4J
Organisation:
A Crucial Element
An important part of the strategy is a good organisation. Organisation must bring
mutual adjustment between enforcement and communication in practice.
Preferably this is done by project-organisation. This brings enforcement skills
and communication skills together in project teams. Getting organised starts with
making a plan, which answers the basic questions.
Basic Questions:
'. Who are the members of the project team?
; What tasks should be executed?
i Who is responsible for which task?
; How is cooperation and coordination accomplished?
What is the time-schedule?
See checklist 8.
Execution:
Flexibility, Creativity and Skills
Every strategy, how well planned and organised it may be, is worthless without
execution. Preperation won't help you, if you don't have the skills, creativity or
time, to execute your strategy.
Besides skills and creativity the execution of enforcement and communication
demands flexibility. You must be able to make use of recent developments, react
to changing situations etc. In times like this, where developments go ever so fast,
you must be able and prepared to adjust. This demands continuous monitoring of
the progress you make.
For the succesful execution of your communication checklist 9 presents some
general tips.
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42 Making Things Work
Evaluation: a powerful! instrument
In practice not much attention is paid to the evaluation of enforcement and
communication-actions. But evaluation is a powerfull instrument. First of all it
shows the results you have achieved. Secondly, these results are important input
for your communication (you can show good and bad examples). And finally and
maybe most important it gives you the opportunity to judge the effectiveness of
your strategy and make adjustments if neccessary.
Like analyses, evaluation is a continuous process. Keeping a constant eye on the
effectiveness of your enforcement-communication strategy is necessary.
Comparing results with the objectives you've_set puts a check on your strategy.
Results deviating from your objectives can point to problems within one or more
of your strategic elements, like: incomplete analyses, confusing target groups,
unrealistic objectives, ineffective enforcement-communication combination,
massy organisation, lacking communication skills or badly performed evaluation.
Evaluation can be devided in process and effect evaluation, process evaluation
focuses on the progress the project makes. Effect evaluation compares results
with objectives.
Basic Questions:
What are you going to evaluate?
How are you going to evaluate?
Who is going to evaluate?
When are you going to evaluate?
See Checklist 10 & 11.
-------
Checklists
-------
44 Checklists
1. Introduction
-Three Propositions
2. Enforcement
- General Concepts
3. Communication
- General Concepts
4. Communication and Enforcement
- Perception,
- Objective Chance to Get Caught
- Subjective Chance to Get Caught
- Target Groups
5. The Peeling Model
- The Peeling Model
i- Credibility
6. Making Things Work
- Strategic Wheel
-'-: ,v
8. Information Sources
-------
Checklists
45
7 Checklists
This chapter contains 11 checklists which can help you to put the strategic wheel
in motion. The checklists are:
I. Analyses
1. External Analyses
2. Internal Analyses
11. Target Groups and Objectives
3. Select Target Groups
4. Formulating Objectives
III. Enforcement and Communication Product
5. Dimenisons of Enforcement Actions
6. Dimensions of Communication Actions
7. Characteristics of Communication Instruments
IV. Organisation
8. Basic Elements of Organisation
V. Execution
9. Tips on How to Communicate
VI. Evaluation
10. process evaluation
11. Effect evaluation
-------
46 Checklists
Checklist 1
External Analyses
The external analyses gives you a clear view on different aspects of the
environmental problem and the relevant regulations. It will also help you to
identify the members of the regulated community with whom you have to deal.
Key Items of External Analyses
l.The Environmental Issue
What is the issue?
What is the effect on the environment?
2. The Environmental Policy
What is the policy concerning this issue?
Is It a priority for the environmental policy?
What are the general objectives concerning this issue?
Which (policy) instruments and measures are available?
3. The Environmental Regulations
What are the relevant regulations?
-international
-national
-regional/local
What are the possible sanctions?
4. The Regulated Community
Which companies?
How many?
Where are they located?
What are their economic and organisation characteristics?
Who is responsible concerning this issue?
5. Concurrent activities
Are there any other relevant enforcement actions concerning the same field
during this period?
Are there any other relevant communication actions concerning the same field
during this period?
-------
Checklists 47
Checklist 2
Internal Analyses
Internal analyses helps you to define the conditions under which you have to
perform the enforcement and communication actions. At the same time it maps
the people who are involved.
Key Items of Internal Analyses
I.The Enforcement Policy
What are the main principles and objectives of the enforcement policy?
What are the present priorities of the enforcement policy?
Which enforcement instruments are being used?
2. The Enforcement Conditions
What is the time and budget available?
How much inspection capacity is (when) available?
What is the level of experience and know-how in general?
What is the level of experience and know-how concerning this issue?
3. The Enforcement Responsibilities
Who is responsible for the enforcement in general?
Who is responsible for the enforcement in this particular case?
4. The Communication Policy
What are the main principles and objectives of the enforcement-communication
policy?
What are the present priorities of the communication policy?
Which enforcement instruments are being used?
5. The Communication Conditions
What is the time and budget available?
How much communication-capacity is (when) available?
What is the level of experience and know-how in general?
How is the relation between communicators and enforcers?
6. The Communication Responsibilities
Who is responsible for the communication in general?
Who is responsible for the communication in this particular case?
-------
48 Checklists
Checklist 3
Select Target Groups
Target groups can be selected on three different levels:
1. Enforcement Policy
2. Enforcement Action
3. Communication Action
Analyses and selection of each target group should include the following
considerations:
I
Key Items of Target Group Analyses and Selection
1. Structure of the Target Group
How many members?
* What are their main, relevant characteristics?
-individuals / organisations,
-economic activity
-etc.
2. Relation to the Environmental Problem
What do they know about the environmental issue at hand?
Do they care about the environmental problem?
Do they take measures to protect the environment?
3. Relation to the Environmental Regulations
* What do they know about the relevant regulations?
How do they feel about the regulations?
What are the consequences of these regulations for the target group?
Do they comply?
4. Relation to the Enforcement Policy
What do they know about the enforcement policy?
How do they feel about the enforcement policy?
Are they influenced by the enforcement policy?
5. Media Use
Which media are used by your target audience?
How reliable and credible are these media?
What is the outreach of these media?
6. Information Need
Which questions does your audience have?
* Are these questions relevant in relation to the issue at hand?
What information does your audience need?
7. Intermediaires
How is you target audience organised?
Are there institutes, organisations and/or individuals through which you can
reach your audience?
-------
Checklists 49
Checklist 4
Formulating Objectives
Objectives can be formulated at the same three levels as the target groups:
1. Enforcement Policy
2. Enforcement Action
3. Communication Action
At each level the objective-formulation should be:
Formulation of Objectives
1.Target Group Related
With whom do you want to reach the desired effect?
2. Measurable
Is it in future possible to check whether you achieved your objective?
How are you going to check your results?
Can you measure your results objectively?
3. Specific and quantified
Can you quantify your objective?
Is your objective specific and easy to work with?
4. Time-related
Is it clear at what moment the objective must be achieved?
Have you defined any landmarks during the process?
5. Motivating
Is the objective (perceived to be) challenging but realistic?
6. Clearly Stated
Is the objective easy to communicate?
Is there only one interpretation of the objective possible?
Examples of Objectives:
1. Level of Enforcement Policy:
Within two years 7596 of the car-dismantlers in the Netherlands must be in full
compliance with the regulations, stated in the Waste Substances Act. After four years
this must be 85%.
2. Level of Enforcement Action:
The first year 100% of the car-dismantlers in the Netherlands must be paid an
informative and first-inspection visit to register and warn non-compliars. During
the next year 100% of all registered non-compliars should be inspected and if
necessary sanctioned. The next two years car-dismantlers must be inspected every 6
months. If violations are found sanctions should be issued and an inspections should
take place within 3 months.
3. Level of Communication Action:
Within one year 95% of the car-dismantlers in the Netherlands must be known with
the environmental regulations concerning their company and be aware of the intentions
to intensify the enforcement of these regulations. After two years they must estimate
the chance to get an inspection as being "(reasonably )high" and 95% must state to
have the intention to comply.
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50 Checklists
Checklist 5
Enforcement Action
In relation to your objectives and target groups you can shape your enforcement
action. Variations on the following dimensions are possible:
Dimensions of Enforcements Actions
i
1. Kind of Inspection: Single or Multi-media
Is it possible to execute multi-media inspections?
What are the advantages of multi-media inspections in this case?
What are the disadvantages of multi-media inspections in this case?
2. Procedure: Announced or Unannounced
Is it possible to announce the inspections?
What are the advantages of announced inspections in this case?
What are the disadvantages of announced inspections in this case?
3. Intensity: Once or More than Once
* Do you have the resources to inspect more than once?
What are the advantages of more than one inspection in this case?
What are the disadvantages of more than one inspection in this case?
4. Equipment
What equipment do you have and how effective is it?
Does this equipment influence your communication possibilities? (helicopter,
car, thermometer etc.)
5. Surprise: Expected or Unexpected
How can you make the inspections surprising?
Does a creative unexpected approach increase your impact?
Can you add newsvalue by a creative unexpected approach?
Are you taken serious?
6. Time spread: Concentrated or Large Spread
How is your inspection-capacity spread over time?
What do you gain by short periods of intense inspections?
What do you loose by short periods of intense inspections?
7. Contact: Written or Personal
1 Can you achieve eye to eye contact?
1 What do you gain by personal, eye to eye contact?
1 What do you loose by personal eye to eye contact?
8. Sanctions
What kind of sanctions do you issue? (ex.: fines, licence withdrawal)
How much time goes by between detection and the sanctioning?
Do you relate sanctions to the caused pollution? (ex.: cleaning, restore damage)
How do you treat repetition of offences?
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Checklists 51
Checklist 6
Communication action
In relation to your objectives, target groups and enforcement action you can
shape your communication action. Variations on the following dimensions are
possible:
Dimensions of Communication Actions '
1. Media:
a publicity
a written
a personal
(characteristics of media see checklist 7)
How does the target group normally get their information?
What's the best way to attract the attention of the target group?
Are there any specific media used by the target group?
Which kind of media best serve this project?
What different frequencies and deadlines best fit your planning?
What in-house-experience in communication do you have?
What are the financial and human resources available?
2. Message:
a problem
a policy
a enforcement
a regulation
a inspections
a sanctions
What does the target group know about the environmental problem?
What does the target group know about the environmental policy and regulations?
What does the target group know about the environmental enforcement?
What is the attitude of your audience towards those issues?
Is the objective to influence attention, knowledge attitude, intention and/or
behaviour?
3. Timing
a before
a during
a after
When do you get the most attention for your message?
What timing maximizes the newsvalue?
Are there possibilities to communicate before, during and after the enforcement
action?
Does communication before the enforcement action increase or decrease the
impact?
Is it possible to prolonge the effect of enforcement action by 'follow up
communication'?
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52
Checklists
4. Sender
o Government
a politician
a enforcement
a inspector
department
Which sender would create newsvalue?
Which sender has authority for the target group?
Where is the most experienced and appropriate communicator?
Where are (human) resources available?
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Checklists
53
Checklist 7
Communication Instruments
Characteristics of Communication Instruments
Instrument >
Objectives
jCharacteristics
attention :knowledae attitude
' publicity .
; Press release x j x i x
: i ' '
i *
i
Radio item x j : x
TV item xxx
Magazine xxx
written communication
Letter ; x x x
;
Brochure , x x
personal communication
Training/course : : x x
Personal Meeting x ; : x
j
; Group Meeting x x x
; Lobbying
! intention
i
[
x
x
X
x :
i
i
x ;
behaviour
j informative
; controlled
up to date
variable outreach
limited information
high outreach
; short
high impact
1 high outreach
short
target group directed
informative
documentation function
personal
. high attention value
: informative
individual
one-way communication
informative
controlled
documentation function
x two way communication
high involvement
. intensive information
tarqet group directed
individual
high impact
; maximum feedback
controlled
; interactive
target group
: formal
.x i informal
: interactive
personal
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54 Checklists
Checklist 8
Organisation
In order to attain a well coordinated and adjusted set of enforcement and
communication actions special attention must be paid to the organisation of the
project. This concerns five basic elements:
Basic Elements of Organisation
1. Activities
What actions are you going to take?
* Which tasks have to be furfilled?
2. Responsibilities
Who are the projectmembers?
Who is the projectleader?
Who is involved in the execution?
Who is executing which task?
3. Structure
In what structure do you operate?
Do you create a projectteam?
4. Internal Communication
How do you accomplish cooperation and coordination?
Who should be informed within the enforcement and environmenal department?
How do you inform them?
Which other parties do you work and communicate with?
5. Planning
When do you plan to take action?
What asks for preperation, how long in advance?
Is it a temporary project or a permanent activity?
Have you planned your follow-up?
Did you plan your evaluation?
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Checklists
55
Checklist 9
Execution
Organisation must be followed by execution. The quality of the execution makes
the difference between succes and failure. In order to assure a good quality of
communication the following tips can be helpful.
Tips on How to Communicate
1. Press/Publicity
Speak with one voice; assign one individual to coordinate and communicate
Build and maintain good relations with the press
Create newsvalue, by planning unexpected and conspicuous actions
Prepare your press presentations
What is your point?
What does the press want to know?
Which questions can you expect?
Provide yourself with correct back-up documentation
Keep it simple
Know the deadlines of your audience.
Pick your medium carefully
Make your message attractive, media-genie
2. Written media
Attune content and style of writing to your audience
Structure your text
Extensive texts should include a 'contents/index', an 'abstract1 and a 'readers
guideline'
Formulate clear and concise
Use simple words and short sentences (15 words on average)
Balance text and illustrations
Pay ample attention to a good lay-out
Keep in mind the time needed for development and production of the material
Ask yourself, beforehand how you distribute your material:
on request
as direct mail
as additional information to other reports
stocking material at 'hot' locations
hand-out personally
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56 Checklists
Checklist 10
process Evaluation
The value of process evaluation lies in the insight it can give you in the way the
project is progressing. Furthermore process evaluation learns you how every
part of the strategic wheel is functioning. Are there any bottle necks in the
analyses, target group and objective formulation, seleceted enforcement and
communication actions organisation, execution or evaluation?
process evaluation of the Enforcement and Communication Project
D How did preperation, execution and follow-up work out?
D What can we learn from this for future activities?
Key Questions of process Evaluation:
1. What do you want to know?
costs compared to budget
execution compared to planning
efficiency of human resources
media- outreach
efficiency of technical equipment/logistics
opinion of employees on cooperation, internal communication etc.
2. How are you going to know this?
surveys
desk research and administration
(informal) talks with employees
measurement
3. Who evaluates?
internal or external agency
4. When do you evaluate?
Determine in advance at what moment you evaluate
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Checklists
57
Checklist 11
Effect evaluation
Effect evaluation makes it possible to compare the results of your activities with
the objectives you've formulated. Because objectives can and should be
formulated at different leves, you should also evaluate on these different levels.
Effect Evaluation of the Enforcement and Communication Project
D What effect did you sort with your enforcement and communication activities?
q What can we learn from this for future activities?
Key Questions of Effect Evaluation:
1. What do you want to know?
effect on attention
effect on knowledge
effect on attitude change
effect on intended behaviour
effect on behaviour/ compliance
2. How are you going to know this?
quantitative and/or qualitative research
desk research and administration
surveys
measurement
3. Who evaluates?
internal or external agency
4. When do you evaluate?
1 Determine in advance at what moment you evaluate.
Tips on the evaluation in general
Make sure your evaluation matches the objectives you've set.
Integrate the evaluation of communication and enforcement.
Choose an evaluationmethod which fits the size of your project.
Your evaluation should conclude with tips for the future.
Elaborated research should be done by a specialised agency.
Evaluation costs time and money.
Make sure your evaluation is objective
Don't evaluate for the sake of evaluation but to do better in the future.
Take someone objective and not responsible for (parts of) the project.
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58
Checklists
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Information Sources
- Documentation on Enforcement-
-Documentation on Communication-
-Documentation Centers-
-Institutes-
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60 Information Sources
1. Introduction
-Three Propositions
2. Enforcement
1
- General Concepts
3. Communication
- General Concepts
4. Communication and Enforcement
- Perception,
- Objective Chance to Get Caught
- Subjective Chance to Get Caught
- Target Groups
5. The Peeling Model
- The Peeling Model
r- Credibility
6. Making Things Work
- Strategic Wheel
7. Checklists
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Information Sources 61
8 Information Sources
All sources marked with an '*' are in the English language.
Documentation on Enforcement
Baaijens, I. (1995). Kwaliteit van Handhaving: meer dan /outer controleren. Noord-
Holland: Dienst Milieu en Water.
*Enforcement and Compliance Assurance Accomplishments Report FY1994 (1995).
Washington, DC: Environmental Protection Agency, United States.
* Environmental Law Enforcement in practice in the Netherlands: an integral approach
(1995). Capelle a/d Ussel: Inspectorate-General International Affairs, The
Netherlands.
Handhaving milieuwetten: Landelijk Handhavingsproject Industrie 1992, Deelrapport:
Grafische bedrijven en verpakkingsdrukkerijen (1993). Ministry of Housing,
Spatial Planning and the Environment, Inspectorate for the Environment: The Hague,
the Netherlands.
Handhaving milieuwetten: Landelijk Handhavingsproject Industrie 1992, Deelrapport:
grote emittenten (1993). Ministry of Housing, Spatial Planning and the Environment,
Inspectorate for the Environment: The Hague, the Netherlands.
Handhaving milieuwetten: Landelijk Handhavingsproject Industrie 1992, Deelrapport:
gemeentelijk milieubeleid (1993). Ministry of Housing, Spatial Planning and the
Environment, Inspectorate for the Environment: The Hague, the Netherlands.
*International Enforcement Workshop (1990). Proceedings Vol. 1. May Utrecht:
Environmental Protection Agency, United States, Ministry of Housing, Spatial Planning
and the Environment, the Netherlands.
International Enforcement Workshop (1990). Proceedings Vol. 2. May Utrecht:
Environmental Protection Agency, United States., Ministry of Housing, Spatial
Planning and the Environment, the Netherlands.
*International Conference on Environmental Enforcement (1992). Proceedings Vol. 1.
Sept. Budapest: Environmental Protection Agency, United States, European Economic
Community, Ministry of Housing, Spatial Planning and the Environment, the
Netherlands.
*lntemational Conference on Environmental Enforcement (1992). Proceedings Vol. 2.
Sept. Budapest: Environmental Protection Agency, United States, European Economic
Community, Ministry of Housing, Spatial Planning and the Environment, the
Netherlands.
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62 Information Sources
*Landfill Methane Outreach Program: Voluntary Pollution Prevention at a Profit.
Environmental Protection Agency, United States Atmospheric Pollution Prevention
Division.
LeidraadHandhaving('\993'). Provincie Noord-Brabant, Nederland
Milj0-og Energiministeriet Miljostyrelsen. Milj0tilsyn 1993.
^Principles of Environmental Enforcement (1992). Washington, DC: Environmental
Protection Agency, United States.
Publikatiereeks Stoffen, Veiligheid, Straling. De perceptie, acceptatie en communicatie
van milieurisico's. nr. 1993/6, Ministry of Housing, Spatial Planning and the
Environment, the Netherlands.
Samen werken aan een duurzame stadC\ 995).(Horeca-case) Tilburg: Gemeente
Tilburg.
i
*Strock, J.M. (1990). E.P-A.'s Environemental Enforcement in the 1990s. In:
Environmental Law Reporter, aug., 10327-10332.
i
*Third International Conference on Environmental Enforcement (1994). Proceedings
Vol. 1. Apr. Oaxaca: Environmental Protection Agency, United States, World Wildlife
Fund, UNEP, Sedesol, Ministry of Housing, Spatial Planning and the Environment, the
Netherlands.
*Third International Conference on Environmental Enforcement (1994). Proceedings
Vol. 2. Apr. Oaxaca: Environmental Protection Agency, United States, World Wildlife
Fund, UNEP, Sedesol, Ministry of Housing, Spatial Planning and the Environment, the
Netherlands.
Tijdschrift Handhaving, Magazine for Enforcers, Ministry of Housing, Spatial Planning
and the Environment, the Netherlands.
Documentation on Communication
*A Primer on Health Risk Communication: Principles and Practices. U.S.Department
of Health and Human Services.
*Environmental Commication Strategies in Europe: Workshop for Communication
Officers of National Environmental Services (1995). Sept., International Academy of
the Environment.
Floor, K. & Van Raaij, F. (1989). Marketing Communicatiestrategie. Antwerpen:
Stenferd-Kroese.
*Fortner, R.W. c.s. (1994). Handbook for Environmental Communication in
Development. Ohio.
*Garn, J. (1993). Sonoma Green Business First Year Evaluation. U.S.: Environmental
Learning Systems.
Handboek Milieucommunicatie (1995). Alphen aan de Rijn Samsom
Bedrijfsinformatie bv.
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Information Sources 63
Handleiding Communicatie Milieu. Provincie Utrecht, The Netherlands.
Klandermans, B. & Seydel, E. (1987). Overtuigen en Activeren. Assen: Van Gorkum.
*McFadden, D. (1994). Take it from a groundhog...PR works. Software Publisher
Magazine. May/June. . ;
Meegeren, van, P. (1995). Milieuvoorlichting: model voor een planmatige
voorbereiding. Amsterdam: Boom
* National Enforcement Training Institute (1995). Don't Die With The Secret: Ways of
Communicating Enforcement and Compliance Assurance Succes. '(training course by
Environmental Protection Agency, United States). i
Preventie door communicatie: Communicatieplan voor de preventieve handhaving van
de WVO door Rijkswaterstaat (1994). Amersfoort: Damming, Dorreboom & Partners.
*Severin, WJ. & Tankard. J.W. (1987). Communication Theories. New York: Longman
*Schultz, D.E., c.s. (1993). Integrated Marketing Communications
Chicago: NTC Business Books. j
j
*Veenman, J.C.M. (1994). The Role of Communication for Implementing Enforcement
Policy. In: Third International Conference on Environmental Compliance and
Enforcement, p. 293-300. |
Documentation Centers , '
American Documentation Center, Embassy of the U.S., The Hague, The Netherlands
Library of the University of Wageningen, The Netherlands
Library of the University of Amsterdam, The Netherlands
Library of the MilieuContact Eastern Europe, Amsterdam, The Netherlands
Library of Ministry of Housing, Spatial Planning and the Environment, The Hague, The
Netherlands
Library of Milieudefensie/ Friends of the Earth , Amsterdam, The Netherlands
Centre for Environmental Studies, Rotterdam, The Netherlands
National Environmental Centre, Amsterdam, The Netherlands
Library of Congress, Washington, United States
Institutions
Impel, European Network for the Implementation and Enforcement of Environment^
Law, Brussels, Belgium
VROM, Dutch -Ministry of Housing, Spatial Planning and the Environment, The Hague,
The Netherlands ;
RIZA , Institute for Inland Water Management and Waste Water Treatment, Lelystad,
The Netherlands
I.W.A.C.O., International Consultancy for Water and the Environment, Rotterdam, The
Netherlands
Greenpeace, Amsterdam, The Netherlands
European Commission, Brussels, Belgium
U.N.E.P. United Nations Environment Program,
Environmental Law Institute, United States
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