Transcript Slide 1

Strengthening Enforcement Bodies
Naomi Radke, seecon international GmbH
Strengthening Enforcement Bodies
1
Find this presentation and more on www.sswm.info
Copyright & Disclaimer
Copy it, adapt it, use it – but acknowledge the source!
Copyright
Included in the SSWM Toolbox are materials from various organisations and sources. Those materials are open source. Following the opensource concept for capacity building and non-profit use, copying and adapting is allowed provided proper acknowledgement of the source
is made (see below). The publication of these materials in the SSWM Toolbox does not alter any existing copyrights. Material published in
the SSWM Toolbox for the first time follows the same open-source concept, with all rights remaining with the original authors or producing
organisations.
To view an official copy of the the Creative Commons Attribution Works 3.0 Unported License we build upon, visit
http://creativecommons.org/licenses/by/3.0. This agreement officially states that:
You are free to:
• Share - to copy, distribute and transmit this document
• Remix - to adapt this document. We would appreciate receiving a copy of any changes that you have made to improve this
document.
Under the following conditions:
• Attribution: You must always give the original authors or publishing agencies credit for the document or picture you are using.
Disclaimer
The contents of the SSWM Toolbox reflect the opinions of the respective authors and not necessarily the official opinion of the funding or
supporting partner organisations.
Depending on the initial situations and respective local circumstances, there is no guarantee that single measures described in the toolbox
will make the local water and sanitation system more sustainable. The main aim of the SSWM Toolbox is to be a reference tool to provide
ideas for improving the local water and sanitation situation in a sustainable manner. Results depend largely on the respective situation
and the implementation and combination of the measures described. An in-depth analysis of respective advantages and disadvantages and
the suitability of the measure is necessary in every single case. We do not assume any responsibility for and make no warranty with
respect to the results that may be obtained from the use of the information provided.
Strengthening Enforcement Bodies
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
 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 and 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%20Calendars/2006%20Calendar [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
“Linking up Sustainable Sanitation,
Water Management & Agriculture”
SSWM is an
initiative
supported by:
Created
by:
Enter the title of your presentation here (go to view  master (THIS TITLE YOU NEED TO ENETER ON BOTH MASTERS: TITLE PAGE MASTER
AND NORMAL PAGE MASTER and FINAL PAGE MASTER)
18