1. This course was developed in cooperation with the IUCN Academy of Environmental Law INSTITUTIONAL FRAMEWORKS

2. This course was developed in cooperation with the IUCN Academy of Environmental Law Agenda 21 “Each country should formulate integrated strategies in order to comply with their laws and regulations related to sustainable development at the fullest extent. These strategies should include: –… –Institutional capacity to gather data on compliance, examine the compliance periodically, establish priorities of coercion measures, apply such measures efficiently and carry out periodic assessments on the efficiency of compliance and coercion programmes.” Agenda 21, Chapter 8.21 (1992) 2

3. This course was developed in cooperation with the IUCN Academy of Environmental Law UNEP Guidelines National enforcement of MEAs can be provided through: “an institutional framework: –promoting the assignment of responsibilities in order to apply laws and regulations, and granting clear authority to verify the compliance of these laws and regulations; –examining the capability of laws, regulations and existing policies related to the achievement of environmental objectives periodically.” 3

4. This course was developed in cooperation with the IUCN Academy of Environmental Law Institutional Frameworks  Institutions for implementation of MEAs at the international level  Institutions for incorporation of MEAs into national law  Institutions for implementation of MEAs at the national level  Institutions for enforcement of implementing legislation at the national level  Each must be a competent authority. 4

5. This course was developed in cooperation with the IUCN Academy of Environmental Law International Institutions for Implementation of MEAs  Conference of the Parties (COP)  Meeting of the Parties (MOP)  Plenary  Bureau  Secretariat  Subsidiary and Technical Bodies 5

6. This course was developed in cooperation with the IUCN Academy of Environmental Law Institutions for Incorporating MEAs into National Legislation  Who ratifies MEAs and other treaties?  Legislative Branch / Parliament  Executive Branch 6

7. This course was developed in cooperation with the IUCN Academy of Environmental Law Institutions for National Implementation of MEAs  Implementing agency for the MEA –Important to designate the lead institution and how to coordinate –One or multiple authorities? –The Environment Authority or another authority? –Overlapping and competence conflicts?  Example: Convention on Biological Diversity in Peru –National Environmental Council (CONAM) is the implementing agency –National Institute for Natural Resources (Instituto Nacional de Recursos Naturales – INRENA) is the competent authority 7

8. This course was developed in cooperation with the IUCN Academy of Environmental Law Institutions for National Implementation of MEAs  Designating the Roles of –Environment authority –Foreign Affairs authority –Customs authorities (import/export) –Tribunals and courts –Police –Other institutions  Establishing, structuring, and sustaining mechanisms and procedures for coordination –Horizontal (between governmental bodies) –Vertical (between governmental bodies and regional/local authorities) 8

9. This course was developed in cooperation with the IUCN Academy of Environmental Law Institutional Capacity of Institutions for Enforcement  Structure of institutional frameworks vary from State to State  However, some aspects are universal –the need for a clear mandate of authority for enforcement bodies –the establishment of policies and procedures to facilitate fair and consistent enforcement 9

10. This course was developed in cooperation with the IUCN Academy of Environmental Law Responsibilities of Implementing Institutions  Institutions have authority to –Monitor and evaluate implementation and enforcement –Gather, report, and analyze information, including its qualitative and quantitative verification and provision of research information –Promote awareness and education for the regulated community, the general public, and government staff (among other entities) –Support courts and other related agencies, as appropriate, including the provision of relevant information and data 10

11. This course was developed in cooperation with the IUCN Academy of Environmental Law Monitoring and Evaluation  Rationale for monitoring and evaluation –To verify the compliance with MEAs and national laws, regulations and standards –To identify potential systemic weaknesses  Compliance monitoring usually focuses on: –Determining compliance with laws, regulations, permit conditions, orders, and settlement agreements –Reviewing and evaluating the activities of the regulated sector –Determining whether conditions (including social and economic) present risks for non-compliance and the need for enforcement 11

12. This course was developed in cooperation with the IUCN Academy of Environmental Law Monitoring  Compliance monitoring can take place through: –Surveillance –Inspections (on-site) –Investigations –Record reviews –Targeted information gathering –Compliance monitoring of work required by regulation, permit, order, or settlement 12

13. This course was developed in cooperation with the IUCN Academy of Environmental Law Examples of Monitoring  Reports filed by regulated entities –May be monthly, quarterly, annual, by transaction (e.g., import/export) –For water pollution, import/export of regulated materials (listed species, hazardous waste, persistent organic pollutants, etc.) –Why comply, especially if reporting would highlight a violation?  Individual penalty for filing a false report (possibility of jail time)  Reputation  Loss of benefits (e.g., government contracting)  Other reasons?  Emerging tools –Remote sensing and geographic information systems (GIS) –Satellite images –Other relevant technologies 13

14. This course was developed in cooperation with the IUCN Academy of Environmental Law Gathering, Reporting, and Analyzing Environmental Information Why is it important? –Ensure that violations are identified  Key element in environmental investigation and enforcement actions –Generate non-sensitive information to be disseminated to the public  Essential to raising awareness and to fostering effective public participation 14

15. This course was developed in cooperation with the IUCN Academy of Environmental Law Gathering Environmental Information  There are several ways to gather information –Inventories –Permit or License Applications –Registration –Existing Records, including monitoring reports and other information submitted By regulated entities By government officials By members of the public –Other Sources –Over-flights by aircraft 15

16. This course was developed in cooperation with the IUCN Academy of Environmental Law Gathering and Analyzing Environmental Information  When adopting legislation implementing an MEA, an agency should: –Evaluate institutional capacities to generate information –Examine the strengths and weaknesses of national authorities to gather and analyze information –Identify existing and potential mechanisms to coordinate gathering and systematizing of information  Information collected and analyzed for one MEA might be relevant to other MEAs  Centralized or decentralized process? –It can be more efficient and effective to have a single agency collect all of the related information rather than having information collected several times by different agencies in charge of different MEAs 16

17. This course was developed in cooperation with the IUCN Academy of Environmental Law Promoting Awareness through Publicity and Education  Environmental violations may be the result of a lack of awareness –Often, violations of environmental law are not deliberate, but instead result from ignorance in the regulated community and the general public. 17

18. This course was developed in cooperation with the IUCN Academy of Environmental Law Promoting Awareness through Publicity and Education  Compliance can be promoted by: –Identifying and analyzing the regulated community Determine their sophistication, ability, motivation, and willingness to comply This process raises awareness of the regulated community regarding requirements of the MEA and national implementing legislation, the fact that the enforcement authority knows who they are, and that they will be expected to comply –Raising awareness (of both the regulated community and the public) of the importance of an MEA and of national legislation May be popular or technical (but should not be too technical!) Brochures, outreach, advertisements and news articles in the various media, etc. –Agency leadership is essential  Process also helps to build credibility of and support for the agency –Outreach to stakeholders (including regulated community, NGOs, and the public) is also very important 18

19. This course was developed in cooperation with the IUCN Academy of Environmental Law Tribunals and Courts  Supporting tribunals, courts, and other related institutions can greatly improve the effectiveness of environmental enforcement efforts  Support may take the form of –Information sharing –Training –Inter-institutional communication and coordination mechanisms  Creation of specialized environmental tribunals or courts –What are the benefits? Risks? Costs? 19

20. This course was developed in cooperation with the IUCN Academy of Environmental Law Customs Authorities (1)  Why are customs and related authorities important to national efforts to comply with and enforce MEAs?  They are the first (and often primary) agency that controls the import and export of regulated goods –These include substances (hazardous waste, persistent organic pollutants, regulated pesticides, ozone-depleting substances, etc.), endangered species, genetically modified organisms, etc. –Functions include tracking of shipments, inspections, and other enforcement activities at border crossings, ports, and other areas of known or suspected illegal activity 20

21. This course was developed in cooperation with the IUCN Academy of Environmental Law Customs Authorities (2)  Monitoring trade is an effective way to enhance enforcement of some key MEAs –Particularly MEAs that prohibit, restrict, or closely control trade in certain substances or species  Examples of MEAs where customs authorities play an important role –CITES (endangered species) –Montreal Protocol (ozone-depleting substances) –Stockholm Convention (persistent organic pollutants - POPs) –Rotterdam Convention (certain pesticides) –Cartegena Protocol (genetically-modified organisms) –Basel Convention (hazardous waste)  Also related regional conventions, such as the Bamako Convention –Chemical Weapons Convention 21

22. This course was developed in cooperation with the IUCN Academy of Environmental Law Enforcement Agencies (1)  Responsibilities and powers often include: –Obtaining information on implementation and compliance –Having access to relevant facilities, including ports and border crossings –Monitoring and verifying compliance with national laws and regulations –Ordering actions to prevent and remedy environmental law violations –Coordinating with other agencies –Imposing sanctions, including penalties for environmental law violations and non-compliance 22

23. This course was developed in cooperation with the IUCN Academy of Environmental Law Enforcement Agencies (2)  Type of authority –The type of authority that an enforcement agency has determines the actions deployed to ensure compliance –Response mechanisms can be formal (e.g., civil or criminal judicial enforcement, or administrative enforcement) or informal (e.g., telephone calls, inspection, warning letters, or notices of violation) –Authority may be either direct or indirect (requiring a court order to impose a sanction) –The relevant law should clearly define the range of actions that an enforcement authority can impose 23

24. This course was developed in cooperation with the IUCN Academy of Environmental Law Enforcement Agencies (3)  Remedial actions and sanctions may include: –Imposing a programme for compliance –Permanently or temporarily shut down all or part of a facility, operation, or practice –Deny or revoke a permit –Require a facility to restore or clean up the environment –Emergency powers to enter and correct immediate dangers to the local population or environment –Seeking compensation for damage caused by the violation 24

25. This course was developed in cooperation with the IUCN Academy of Environmental Law Enforcement Agencies (4)  Remedial actions and sanctions may also include: –Requiring specific testing, monitoring, and reporting –Imposing specific labeling requirements –Requesting and obtaining information on industrial processes –Requiring specialized training (e.g., in emergency response to spills) for facility employees –Require a facility to undergo an environmental audit 25

26. This course was developed in cooperation with the IUCN Academy of Environmental Law Enforcement Agencies (5)  There are a wide range of sanctions. Some may require a legislative mandate. Types of sanctions may include: –Monetary penalty  Particularly effective penalties include those with specified amounts assessed per day and per violation  In addition to fines, may include punitive damages –Payment to an environmental fund or project –Imprisonment (a jail term) –Seizure of property –Reimbursement for government clean-up expenses –Barring a facility or company from government loans, guarantees, or contracts –Requiring community work to benefit the environment –Publication of violators (“naming and shaming”) 26

27. This course was developed in cooperation with the IUCN Academy of Environmental Law Challenges to Enforcement  Enforcing compliance to the requirements of MEAs presents challenges, requiring: –Improved institutional capacities –Creation or strengthening of inspection agencies and strategies –Increases to public budgets and staff –Investment in infrastructure and equipment –Transparency, eliminating corruption, etc. 27