strengthening enforcement bodies 1 naomi radke, seecon international gmbh

Strengthening Enforcement Bodies


1

Naomi Radke, seecon international GmbH


Find this presentation and more on www.sswm.info

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 open-source 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.

Copyright & Disclaimer



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

3



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)

4


Source: Circleofblue (2012)



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

5




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

6




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

7




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

8




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

9




10

4. What Enforcement Bodies Need (1/2)

When enforcement bodies work with missing transparency, finances or statutes,

officials might be misled to act corrupt. Source: BASATI (2010)

• 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



• 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

11

4. What Enforcement Bodies Need (2/2)



• Development processes like sustainable sanitation and water management are hampered by corruption

• If enforcement officials are corrupt: nobody assures implementation of intervention tools

12


For the progress of any process it is important to fight corruption. Source: WSP

(2006)



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

13


Fair pay levels against corruption. Source: WSP (2006)



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

14




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!

15

6. Applicability



16

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

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

7. Advantages and Disadvantages



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]

17

8. References

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

“Linking up Sustainable Sanitation, Water Management & Agriculture”

SSWM is an initiative supported by:

Created by:

strengthening enforcement bodies 1 naomi radke, seecon international gmbh

Documents

enforcement of laws

enforcement source

enforcement actors

sswm toolbox

open source

open source concept

opensource concept

respective authors