Strengthening Enforcement Bodies Naomi Radke seecon international Gmb

Strengthening Enforcement Bodies Naomi Radke, seecon international Gmb. H Strengthening Enforcement Bodies

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Find this presentation and more on www. sswm. info Contents 1. Policies and Laws: Framework for Compliance and Enforcement 2. Compliance and Enforcement Actors 3. Principles of Enforcement Bodies 4. What Enforcement Bodies Need 5. Enforcement and Corruption 6. Applicability 7. Advantages and Disadvantages 8. References Strengthening Enforcement Bodies 3

Find this presentation and more on www. sswm. info 1. Policies and Laws: Framework for Compliance and Enforcement Laws need enforcement! • Enforcement of laws as important as their formulation • One cannot go without the other: laws need enforcement bodies and enforcement bodies need laws (as statues for their work) Source: Circleofblue (2012) Strengthening Enforcement Bodies 4

Find this presentation and more on www. sswm. info 1. Policies and Laws: Framework for Compliance and Enforcement Functions of enforcement bodies • Usually specific functions are determined by the local government (but may subcontract activities (e. g. monitoring) to NGOs or private companies) • Financed by central government or other funds, user fees or fines for non-compliance • Examples of functions: • Identify particular types of offences (e. g. Non-compliance of certain agreements by a partner), • Investigate certain matters, gather evidence, • Take direct remedial actions, • Confiscate certain things (e. G. Licences), • Initiate prosecution Strengthening Enforcement Bodies 5

Find this presentation and more on www. sswm. info 2. Compliance and Enforcement Actors Who can be included? (1/2) • Offender – a company/person/part of local government/even police officer or official inspector violating the law concerning sanitation and water management • Local government – investigate and take enforcement action. Sometimes the same body undertakes BOTH regulation and enforcement, sometimes separate • Police – normally the executive of the government Strengthening Enforcement Bodies 6

Find this presentation and more on www. sswm. info 2. Compliance and Enforcement Actors Who can be included? (2/2) • Private agencies/inspectors – subcontracted to enforce compliance in specific areas/for specific tasks (monitoring/promotion of compliance) • Community – does not directly enforce but provides info to the enforcement actor (e. g. details of potential offences) • NGOs – can report non-compliance to the enforcement actors, can monitor and report incorrect behaviour, can put pressure on offenders Strengthening Enforcement Bodies 7

Find this presentation and more on www. sswm. info 3. Principles of Enforcement Bodies Enforcement bodies have to: (1/2) • Act in the public interest • Act consistently, impartially and fairly according to the law • Promote consistency through effective liaison with field staff and adherence to policies and procedures • Ensure not to discriminate on the basis of race, religion, sex, national origin or political association • Ensure that enforcement action is taken against the right person for the right offence • Ensure that all relevant evidence is placed before courts or appeal tribunals Strengthening Enforcement Bodies 8

Find this presentation and more on www. sswm. info 3. Principles of Enforcement Bodies Enforcement bodies have to: (2/2) • Make sanitation and water businesses aware of their legal obligations through the widest possible dissemination of info • Make legislation available to industry • Explain the benefits of compliance in sustainable sanitation and water management issues and discuss specific compliance failures/problems • Provide advice on mechanisms that can be used to improve compliance • Advise regulated parties of their right to appeal where provided by law; provide alleged offenders with an opportunity to discuss the circumstances of their case Strengthening Enforcement Bodies 9

Find this presentation and more on www. sswm. info 4. What Enforcement Bodies Need (1/2) • Sufficient staff of adequate capability in enforcement agencies ◦ Staff needs to be paid well to avoid corruption • Statutes which are practical, enforceable and based on accurate knowledge of sustainable sanitation and water management When enforcement bodies work with missing transparency, finances or statutes, officials might be misled to act corrupt. Source: BASATI (2010) Strengthening Enforcement Bodies 10

Find this presentation and more on www. sswm. info 4. What Enforcement Bodies Need (2/2) • Staff with knowledge about sustainable sanitation and water management practices and with appropriate scientific knowledge • A sense of ownership on the part of stakeholders so that they can accept the monitoring, enforcement and regulation procedures • Adequate financial resources to support the staff, their education and operations and transparency in financial management • Meaningful indicators for technical, economic and social issues and appropriate benchmarks • Good leadership • A programme of legal education and awareness building for the enforcement bodies and the general public Strengthening Enforcement Bodies 11

Find this presentation and more on www. sswm. info 5. Enforcement and Corruption • Development processes like sustainable sanitation and water management are hampered by corruption • If enforcement officials are corrupt: nobody assures implementation of intervention tools For the progress of any process it is important to fight corruption. Source: WSP (2006) Strengthening Enforcement Bodies 12

Find this presentation and more on www. sswm. info 5. Enforcement and Corruption Tips to fight corruption (1/2) • Improve positive ◦ Fair pay levels, so officials do not have to accept side payments • Increase effective penalties for corruption ◦ Often penalties are too high to be deterrent Fair pay levels against corruption. Source: WSP (2006) Strengthening Enforcement Bodies 13

Find this presentation and more on www. sswm. info 5. Enforcement and Corruption Tips to fight corruption (2/2) • Limit monopoly ◦ By promoting competition in the public and private sectors ◦ Openness in bidding, grant-giving and aid projects • Clarify/simplify rules and regulations ◦ Help citizens learn how public systems are supposed to work (brochures, help desks, rules in ordinary language, etc. ) • Enhance accountability and transparency ◦ Clear standards of conduct and rules makes accountability easier ◦ Openness in bidding, grant-giving and aid projects Strengthening Enforcement Bodies 14

Find this presentation and more on www. sswm. info 6. Applicability Effective capacity in regulation and enforcement. . . • Is essential as it applies whether for traditional regulatory instruments or innovative pricing and economic instruments • Is lacking in many regions and capacity building and support is essential ü Legitimacy of the regulatory and enforcement body critical for ensuring compliance! Strengthening Enforcement Bodies 15

Find this presentation and more on www. sswm. info 7. Advantages and Disadvantages Advantages: • Pre-condition for successful implementation of many other tools (command control tools, legal framework, etc. ) • Sound enforcement bodies gain trust of community • Might heighten transparency and accountability in local governance • Important part of any institutional framework • Transparency of law enforcement leads to public awareness Strengthening Enforcement Bodies Disadvantages: • Problems with corruption possible • Need for financial resources to pay enforcement bodies • Process to strengthen enforcement bodies can take much time • Not working without sound legal framework • Need of good leadership 16

Find this presentation and more on www. sswm. info 8. References BASATI (2010): Corruption in Nigeria. New York: Human Rights Watch. URL: http: //www. hrw. org/features/police-corruption-nigeria [Accessed: 03. 10. 2013] WSP (Editor) (2006): Water and Sanitation 2006 Calendar. Water and Sanitation Programme (WSP). URL: http: //www. wsp. org/about/Cartoon%20 Calendars/2006%20 Calendar [Accessed: 03. 10. 2013] CIRCLEOFBLUE (2012): Water Law. Michigan: Circle of Blue. URL: http: //www. circleofblue. org/waternews/category/water-law-2/ [Accessed: 03. 10. 2013] Strengthening Enforcement Bodies 17

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