Transcript AECEN Regional Forum: Public Participation in

AECEN Regional Forum:
Public Participation in Environmental Compliance
and Enforcement in Asia
December 13-15, 2007
Challenges and Successes in Compliance and
Enforcement Programs in Asia – Case of Japan
Hidefumi IMURA
Graduate School of Environmental
Studies
Nagoya University
Institutional Arrangements (1)
Historical Development
Before 1960: No effective institutional arrangements both on the national and
local levels in terms of legislation and organization
In the 1960s (Japan’s rapid economic growth period): Revision of existing
laws and enactment of new laws, but not effective enough  Exploding
health damages of residents, e.g., Yokkaichi Asthma, Minamata Disease, Etc.
1971: Drastic change and start of systematic environmental policy
Anti-pollution movements developed to anti-government movements
which might have led to a political turmoil
Court adopted “no fault liability” principle: Companies which caused
health damages were sentenced to be guilty of illegal actions even though
they asserted that they were not able to expect the health impacts 
Companies had to pay huge monetary compensation to victims
Decision of the elites (LDP politicians, bureaucrats and business leaders)
faced with the risk
Amendment of Pollution Control Law (Deletion of “Harmonization”
Clause)
Establishment of Environment Agency
Institutional Arrangements (2)
Japanese Environmental Institutions
Mix of centralized and decentralized approaches
Enforcement of environmental laws, including monitoring and
inspection, is largely delegated to 47 prefectures and large municipalities
Prefectures were the pioneer in environmental regulation: they enacted
ordinances before national laws were legislated.
National Framework Law
Pollution Control Law (1967, Amended in 71)
Basic Environmental Law (1994)
National Specific Laws
Air Pollution Control Law
Water Pollution Control Law
Health Damage Compensation Law
Local Ordinances
Prefectures and municipalities can set more stringent standards than
national ones
Ambient Air / Water Standards and Emission/Effluent Standards
Standards desired to be achieved and “obligatory” standards
Planning, Performance and Evaluation
Basic Environmental Plan
Set national environmental goals and targets
Prefectures and municipalities also prepare similar plans
Total Pollutant Load Control Plans
Special Law for Environmental Preservation of Seto Inland Sea
Law of Special Measures for Lake Water Quality
Air Pollution (SO2)
Regional Pollution Control Plans
Plans to provide special financial assistance to environmental projects in the
designated areas (e.g., national subsidies for sewerage treatment plants)
Environmental Reports
The annual report on the state of environment is prepared and submitted to
the National Parliament (Similar reports in prefectures and municipalities).
Environmental performance is evaluated in terms of the number of
monitoring stations which comply with the standards
Monitoring data from all air and water monitoring stations are collected and
evaluated by local governments and sent to the center (Ministry of the
Environment).
Detailed monitoring results are published in book form  They are
necessary and useful for environmental assessment
Compliance Monitoring and Inspection
Compliance of Emission/Effluent Standards
Prior consultation before new installation or modification of facilities
Periodic and sudden inspection by local government officers
Improvement order and penalties
Case of Water
Specified
Facilities
Environmental Office
Of Prefectures and
Municipalities
Effluent
On-site
Inspection
Public
Waters
Environmental
Monitoring
Non-Compliance
Improvement
Order
Penalty
National Compliance
Monitoring
Water
300,000
Specified facilities of
/ Many,
small sources
Data 2002
300,000 specified facilities
40 issues of improvement
order
8,434 issues of
administrative guidance
55,332 visits for on-site
inspection
(daytime 54,672,
nighttime 660)
Submit a plan prior to new installation
or modification of specified facility
Environmental Offices
Decentralized
of Prefectures and
Approach
Municipalities
Number of Persons in Charge of
Environmental Management
• National (MoE) 1,000
• Local (Prefectures and Large Cities)
6,400
* Including Air, Water, and Others
Check of
submitted document
Issue of orders to change the
plan or take prior measures
Compliance
Compliance of EQS
Air
Water
90.0
SO2
Automobile
station
General station
Compliance Ratio (%)
80.0
70.0
60.0
50.0
40.0
30.0
Rivers
Lakes
20.0
Coastal area
10.0
1970
20
01
19
98
19
95
19
92
19
89
19
86
19
83
19
80
19
77
19
74
0.0
2004
600
NO2
C O D loading (t/day)
500
400
1979
1984
1989
1994
1999
300
200
100
Ise B ay
O thers
Industry
O thers
Industry
O thers
Industry
Tokyo B ay
H ousehold
2004
H ousehold
1970
H ousehold
0
Seto Inland sea
Violation of Environmental Laws
The number of arrests for violating water pollution control law which was more than 1000 in
the 70s decreased to almost “0” in the 90s, while the violation of solid waste disposal law
(illegal dumping, improper treatment of hazardous wastes, etc.) is sharply increasing in the
2000s after the enforcement of stricter regulations.
Number of Arrests for Violation of Environmental Laws
8,000
Air, Soil, Noise, etc
Wild Life Protection, etc.
6,000
5,000
Others
Solid Waste
Water
4,000
3,000
2,000
1,000
00
90
80
0
76
Number of Arrests
7,000
Year
Enforcement Response
Designation of “specified facilities”
Case of Water: 300, 000 factories and other commercial facilities (hotels,
stock raising, cleaning, night soil treatment, etc.)
Large facilities (more than 50 m3/day) 13%
Small facilities (less than 50 m3/day) 87%
Role of prefectures and designated cities
Request reports from specified facilities
On-site inspections to monitor compliance
Take administrative action such as “improvement order”
Response: Large Factories
Specified facilities (with a volume of effluent more than 10,000 m3/day in
the case of water) must have pollution control managers who are qualified
by the relevant law
Use of Bank Loans and Policy-Based Financing (Japan Development
Bank)
Response: SMEs
Reporting and guidance by local environmental authorities
Subject to monitoring and inspection by prefectures and municipalities
Financial assistance by JEC (Japan Environmental Corporation) and local
governments
Relocation to industrial parks with collective treatment systems
Compliance Promotion and Incentives
Cooperative Enforcement Using Administrative Guidance
Japanese industrial policy in the catching-up period (until 1970s),
“Embedded Broker-State” (Jeffrey Broadbent)
Cooperative enforcement based on networking and close information
exchange between government and industries lowered the cost of
compliance
Clean government (free from corruption and bribes)
Networking of companies (“Kyogikai”) also facilitated the dissemination of
information
Voluntary Approach: Negotiated Agreements
Pollution Control Agreements （PCAs）between local governments and
companies (More than 40,000 agreements have been concluded).
More stringent compliance is required to companies in terms of effluent
levels and items (e.g., specific chemicals, etc.).
Companies are required to make periodic reporting, receive inspections, etc.
Companies can enjoy some benefits (reduction of transaction cost and “time
cost”) in getting licensing and permission by government, and obtaining
consent of local residents who do not want to have factories in their
neighborhood.
Financial Incentives
Low interest rate loans
Preferential tax incentives
Public Participation
Role of Citizens in System Making
Citizens were victims of industrial pollution in the 60s. They backed up
the critical anti-pollution campaign against industrial activities.
Role of Citizens as Polluters
In the 90s, citizens identify themselves as polluters: they pollute the
environment through their affluent lifestyles, mass consumption and oneway use of resources.
There are gaps between awareness and behaviors: increased environmental
awareness does not necessarily mean environmentally sound behaviors as
consumers.
Greater availability of environmental information by TV, books, etc
Greater opportunities for citizens to participate in environmental actions
Role of NGOs
Weak role of Japanese environmental NGOs in terms of number of
organizations, number of members and financial capability.
New law enacted to promote the activities of NPOs (non-profit
organizations) in 1998.
Traditional Japanese ideas on the role of government: “NGOs are not
necessary because government must / will do the job.”
Lack of systems to financially support NGOs
Optimization According to Japanese
Local, decentralized system proved effective and efficient
Experience
Inventories of sources including a large number of small sources
Reporting prior to new construction and modification of existing
facilities
Document inspection and guidance and advice by local environmental
authorities
Combination of on-site inspection and monitoring by government and
self-monitoring by facilities
Networking and information exchange between government and
companies ensured compliance
Administrative guidance based on on-site inspection and monitoring
ensured improvement measures by companies
The use of negotiated agreements (PCAs) lowered the transaction
cost.
Financial measures by Government facilitated compliance
Financial assistance to SMEs for technical measures
Tax reduction for pollution control investment
Need of public investment (in urban sewerage systems)