Diploma Thesis, 2008
60 Pages, Grade: none
Table of Contents
1.1 Problem statement
1.2 General objectives
1.3 Specific objectives
1.4 Research questions
1.5 Structure of the report
2 Research Methodology
2.1 Description of the study area
2.2.1 Problem identification
2.2.2 Sampling procedure
2.2.4 Data collection
2.2.5 Primary data
2.2.6 Data analysis
3 Literature Review
3.1 Basic theories of compliance and enforcement
3.1.1 Fundamentals of enforcement
3.1.2 The importance of compliance and enforcement
3.1.3 Promoting compliance within the regulated community
3.1.4 Four approaches to compliance promotion
3.2 The table of eleven and its dimensions
3.3 The framework of enforcement
3.4 Institutional framework
3.5 Reasons influencing compliance
3.5.1 Reasons for enforcement failure
3.6 Significant issues for effectiveness of policy implementation
3.7 The agricultural industry and its environmental impact
3.7.1 The regulatory environment of agriculture
3.7.2 Hazardous practices on the environment
3.7.3 The agricultural chemical law (The plant protection Act, 1997) in Tanzania
4 Results and analysis
4.1 Results of government officials
4.2 Results of farmers
4.2.2 Compliance estimate
4.3 Comparison in perception between enforcers and farmers
6.2 Suggestion for further study
Over the years, the use of agricultural chemicals in agriculture has spread rapidly in Tanzania. The compliance of the pesticide application regulations seems not to be appropriate with the purpose of sustainable development as the result environmental degradation continues rapidly. A number of studies have shown that enforcement has not received sufficient attention of compliance from decision makers, and low environmental performance and violations of environmental laws have been spread.
The aim of this study was to assess the gaps between enforcers and compliers, towards environmental management of pesticides in relation to enforcement for compliance with the existing legislation.
Data was collected using structured questionnaires based on Table Eleven, a total number of 40 and 15 from target group and government officials were selected respectively in Shinyanga district. Based on the approach of the Table of Eleven, the research reveals the factors affecting compliance behaviours of the target groups and look into the performance of enforcement system in improving compliance. Table of Eleven software were used to analyze the perceptions of both the regulated and the regulators with respect to the law and its enforcement.
Results showed that the full compliance of law requirements is still weak. The main factors encouraging the violating behaviour are unfamiliarity and lack of clarity of the law, lack of acceptance of the policy objectives, low risk of being reported by social communities, low risk of sanction and severity of sanction. All these factors reflect the main weakness of the enforcement system.
Following these results it was recommended that training should be emphasized to the target group to create awareness on regulation issues. Through gaining knowledge the target group will understand and accept the regulations, hence dimensions of unfamiliarity, lack of clarity and lack of acceptance of policy objectives will be improved.
Keywords: Effectiveness, Compliance, Enforcement, agricultural chemicals, regulation
I am very grateful to the Watermill sponsorship for offering me a scholarship to pursue a Master of Science degree at UNESCO-IHE I institute for Water Education.
I am indebted to Professor Jan Leentvaar, my supervisor for unlimited support, cooperation and untiring guidance throughout the preparation and completion of this thesis. His suggestions and discussions had been highly constructive. I also thank him for showing confidence in me from the beginning, which encouraged me to perform better.
Likewise, I am very much grateful to my mentors Florence Eizinga and Dr. Elena Ostrovskaya, for providing advice and comments on the manuscripts which significantly improved my work. I really appreciate their interest in my work, their critical review and constructive comments on the manuscript.
I am thankful to all the staff of the Environmental Science department UNESCO-IHE for their help and guidance whenever it was needed on how to write a good research report especially, Dr Lubberding, Dr.Kelderman, Dr.Chiung and Dr.Rousseau.I wish to convey my sincere thanks to all friends who helped me experience a wonderful time in the Netherlands.
Above all my daughter Loyce, my son William and Elicanah kept up with father who is always away with love and understanding. My wife, Leah had to endure the harsh realities of accepting a career man in her life. I also thank her very much for helping in translating my questionnaire from English to Swahili which ensured accuracy in language.
Last but not least, special thanks to all farmers, agricultural extension workers and Agricultural officers in Shinyanga region who participated enthusiastically to the study, not forgetting Savannah systems computing school for their transport without whom the present study would have not been accomplished.
Compliance: the full implementation of requirements.
Compliance promotion: any activity that encourages voluntary compliance with requirements.
Deterrence: an atmosphere in which people are discouraged from violating requirements.
Environment: all external conditions affecting the life, development, and survival of living organism.
Enforcement: the set of actions the governments or others take to achieve compliance within the regulated community and correct or halt situations that endanger the environment or public health.
Environmental requirements: specific practices and procedures required by law to directly or indirectly reduce or prevent pollution.
Effectiveness: degree to which goals are achieved.
Inspection: official review and examination of the compliance status of the target group.
Law: document that provides the vision, scope, and authority for requirements to protect public health from pollutants and/or to protect and restore the environment.
Monetary penalty: a sanction that must be paid in a country’s currency.
Pesticide : ( a term which used to include insecticides, herbicides, fungicides for controlling weeds, animal pests, and various plant and livestock diseases) can be toxic to humanas,domestic animals, and wildlife as well as plants.
Policy implementation: Is the process of putting policy commitment into practice, whether those are rules or other sources of law that are not self-executing.
Regulation: document that establishes general requirements that must be met by regulated community.
Regulated community: those individuals, facilities, businesses, and/or institutions that are subject to particular requirements.
Technical assistance: assistance of scientific or technological nature provided to facility personnel to help them comply with environmental requirement.
Early days, regulation of agriculture focused on promotion and development of industry, and even environmental concerns were raised this did little to change the basic model of agricultural support rather than regulatory control (Gunningham and Grabosky, 1998). The low public visibility of non-compliance further reduced what small risk of detection and sanction might have existed (Barr and Cary, 1992).Enforcement is the essential driving force that makes environmental laws work. Without enforcement, the law would be a tiger without teeth. Enforcement evens the scales by adding a powerful incentive in favour of compliance. Enforcement of environmental requirements also provides a good opportunity for entities to invest in making their production process more efficient, and their products more valuable per unit of resources, energy and raw materials usages (Lawrence and Carolina, 2005)
The concerns for the environment and a sustainable society have increased during the last two decades. The Non-governmental Organizations (NGO) is no longer alone debating sustainability. Regulators stress the importance of a prosperous society that is not destroying the environment and depleting our natural resource (Pontus, 2006). According to Zaelke et al., (2005), said that environmental law must be enforced and complied with by all society, and all society must share this obligation. Meanwhile, the effectiveness and quality of enforcement with respect to environmental requirements are important criteria for both domestic society and international society to evaluate the performance of the government, in terms of contributing to sustainable development and evaluate its ability for achieving the Millennium Development Goals, which was proposed in the United Nations Millennium Summit in 2000.The degradation of ecosystem services by use of agricultural chemicals poses a significant barrier to the achievement of Millennium Development Goals.
A number of studies have shown that enforcement has not received sufficient attention of compliance from decision-makers, and low environmental performance and violations of environmental laws have been spread. Important factors that nourished non-compliance were slow pace of governance and economic reforms, the complicated legal framework and poor economic situation, society’s failure to believe in fair regulation and erosion of the rule of law (Zaelke et al., 2005). Although, the above stated reasons might be enough to stimulate the review of enforcement implementation, this study would like to see how limited powers, scarce financial and human resources of enforcement agencies as they play a major role to cause low effectiveness, in ensuring communication to the user. Studies by Magat and Viscusi (1990) and Laplante and Rilstone (1996) investigated the impact of inspections and the threat of inspections, respectively, on water pollution compliance rates of pulp and paper plants. Gray and Deily (1991) extended the analysis to include non-monetary enforcement actions. Each of these studies indicated that lagged enforcement and monitoring activity increased compliance. The study examined the number of violations before and after an administrative rule change, and consequently contained no data on actual enforcement or penalties. He also looked at how potential legal liability affected compliance; and examined how actual enforcement affects compliance.
Environmental degradation adversely affects human health through exposure of chemical agents (such as pesticides and heavy metals) that presents serious threats to human well-being and environment in many parts of Africa (UN Millennium Project 2005). It will not be possible, for example, to achieve the goal of delivering clean water to the world’s population without ensuring compliance with the laws designed to protect water supplies from pollution. And without clean water, development cannot proceed (Zaelke et al., 2005)
Pesticide hazards are frequent and severe in developing country, where use is widespread; some pesticides like DDT had been banned elsewhere on account of their problems to human being due to their toxic and environmental degradation (Forget, 1991). Coupled with lack of adequate legislation on enforcement of existing pesticide laws and regulation, lack of coordination between authorities of health and agriculture, hazards to human being and environment has become substantially greater in developing countries.
Over the years, the use of pesticides in agriculture has spread rapidly in Tanzania (Ministry of Agriculture, 1997).While the important contribution of pesticides in increasing agricultural yields and reducing vector-borne diseases has generally been appreciated, concern over their harmful effect on man and environment has only gain little attention (Ngowi, 2002). Pesticide poses environmental pollution problems when they are discharged into the environment because they are poisonous to many target species. Water is the main receiver of pesticide pollutant. The primary evidence suggests that countries with stricter environmental regulations that would be expected at their level of GDP per capital enjoy economic growth. According to Gunningham and Grabosky (1998), the chemical inputs can be reduced without detracracting from quality and yield, the producer profits and the public wins. The nature of pollution arising from misuse of agricultural chemicals tends to pose significant regulatory challenges. These hazardous pesticides are contaminating soil, water, air, and food sources. Environmental torts have been defined more extensively in the common law of other countries. So the sound management of chemical i.e. essential to achieve sustainable development, including the eradication of poverty and disease, the improvement of human health and the environment, and the elevation and maintenance of the standard of living in all countries at all levels of the development (SAICM,2006).
The aim of the study is to assess the gaps between enforcers and compliers, towards environmental management of pesticides in relation to enforcement for compliance with the existing legislation.
Environmental policy implementation is seemed to be very weak in some developing countries. Efforts to reduce pollution in developing countries have focused on developing environmental legal frame work. However, formal regulation alone is not very effective in reducing pollution. Without enforcement and compliance, environmental policies will not achieve the desired results of improved environmental quality and reduced pollution (OECD 2003). The hazardous pesticides are contaminating soil, water, air, and food sources (Gunningham and Grabosky 1998).The runoff of nitrate and phosphate into lake and streams causes eutrophication enrichment of waters. They pose serious health threats to rural as well as urban populations and contribute to land water degradation.
Tanzania pesticide and fertilizer applications had contributed in increasing agricultural yields by reducing vector-borne diseases and improving soil fertility respectively, and had been appreciated, but the concern over their harmful effect on man and environment has only gained little attention (Ngowi, 2002).The compliance of the pesticide application regulations seems not to be appropriate with the purpose of sustainable development as the result environmental degradation continues rapidly. Faced with the non-compliance of environmental policies and pesticide applications regulations, the challenges come of how to improve compliance and enforcement of the law.
To study the effectiveness of enforcement and level of compliance of environmental regulations with respect to pesticide and fertilizer application regulations, aiming at improving the environment in the country .
- To identify and assess the factors which influence the pesticide and fertilizer application regulations not be complied.
- To assess the enforcement management aspect in Tanzania with respect to the use of agricultural chemicals (pesticides and fertilizers).
- To check the applicability of T11 with the Tanzanian’s regulations
- To determine the level of compliance in the study area.
- To offer recommendations for improving the effectiveness of enforcement and environmental regulations in respect to pesticides applications
- What are the enforcement instruments which are used by the government for implementation of environmental policies in regard to pesticides regulations?
- Which factors can lead to compliance/non compliance behaviours in the pesticide application regulations as far as environmental management is concerned.
- Is it possible for Table 11 to determine the level of compliance?
- How can the government improve the effectiveness of enforcement on pesticide applications based on T-11 criteria, without hindering the agriculture or economic activities in the country?
Chapter one: This gives an introduction of the research, Problem statement, research objectives, and research questions. Chapter two: is about the methodology of the research. Chapter three: is about Literature review. Chapter four; introduces institutional frame work. Chapter five; Results and Analysis; Chapter six; Conclusion and recommendations.
This chapter describes the location of the study area, research methodology of how the research questions have been addressed, dimensions of table eleven and data collection
The study was conducted in Shinyanga district, in Shinyanga region, located in the northern Tanzania. According to (URT,1995),Shinyanga district which is among the four in the region (others being Maswa,Bariadi and Kahama) is located 3oS 10oE,covers 50,764sq km with a population of 2.8million.The altitude ranges from 1200-1500m above sea level, receiving an average rainfall of 700mm per year (November-April).The soil types are shallow red clay (euric cambiosl) and shallow black cotton soils (vertisol) and shallow black cotton soils (vertisols).Most of Shinyanga region was cleared of natural woodlands in the past in an effort to eradicate tsetse fly and expand livestock and agricultural production. The region’s main output is livestock and is a major producer of leather. Agricultural activities are dominated by cotton which is the main crop from the region. Mining is an extensive activity, with gold and diamond being the most available.
illustration not visible in this excerpt
Figure 1.0 Map of pesticides usage region
A flow chart tries to outline the relationship of the methods within the framework of the methodology. The overview of the methodological framework is shown as figure 1.0.
Section 2.1.introduce the methods taken to achieve the objective of the research.
illustration not visible in this excerpt
Figure 2.0 Schematic Diagram of Methodological Framework
The following subsections explain the theories and functions of these methods.
Before problem identification, problem analysis should come first. It is useful method of understanding the target group’s real problem. One aspect within problem analysis is problem identification, which focuses on gaining of the targets group problem domain. Identification of the problems and issues serves the following purposes;
- To identify all possible problems and issues, the present ones and the future ones
- To understand the root causes and effects often used in conjunction when identifying the actual problem.
- T o help identify all interventions that can possibly be made
- To identify all stakeholders involved
- To enable the analysts and decision-makers to rank problems and issues and specify priority questions for analysis
The model of table eleven is used to identify possible problems and other issues which focus to this research. Table eleven have eleven dimensions (Eleven dimensions of T-11).
The target populations for the study were smallholder farmers from thee following villages: Mwagala and Bumera villages. District Agricultural officers, Research officers and village Extension officers were also included as enforcers.
Prior to pre-testing the researcher organized a one day discussion in Shinyanga aimed at introducing the quality of the work to be done and discussion on the overview schedules. Relevant correction was made; a researcher went to a nearby village to check for content validity. The minor collections were made followed by pre-testing of revised interview scheduled to five respondents. This was done to check for content, validity and reliability of questions. Comments obtained from pre-test were incorporated to final drafts of the questionnaires for data collection.
Two standard forms of questionnaire based on ‘Table Eleven ‘were developed. It was furnished with detailed interview instructions, and finally administered.
Accordingly two data sets were established:
(1) Enforcement official Questionnaire (34 questions) administered to district agricultural development officers, staff from Integrated Pest Management institute and directors of agricultural research aimed at obtaining information on the enforcement of agricultural chemical regulations. A total of 15 enforcers were interviewed.
(2) Farmers Questionnaire (33 questions) administered to village members as compliers of the rules and regulations. A total of 40 farmers were interviewed using structured questionnaire. Additional information was collected through group discussion with enforcers and farmers in the study village.
Observation: Pesticides handling practices were observed and photographs from study area were also made.
Primary data were collected using questionnaires (Appendix 1 and 2 for enforcers and farmers respectively).Both questionnaires had opened and closed questions deemed relevant to study objectives.
Primary data from interview schedules and questionnaires were summarized, coded and transferred to computer code sheet for analysis using Statistical Package for Social Sciences (SPSS).Descriptive statistic namely frequencies and percentages were determined. Then the summary of the results were again transferred to the iT11 which is an internet version of T-11, it consist of four modules
(1) Data management: It offers the possibility of documenting data on the rule to be tested
(2) The checklist for the legislators: This checklist contains 60 questions. By answering these questions of 11 dimensions, the legislator can quickly obtain picture of the extent to which a new legislation can be complied with before carrying the obligatory feasibility and enforceability test.
(3) The motives for compliance test: Will suggest enforcer with enforcement team the motives of the target group for complying with the rule. Based on the answers of the questions, the system creates a Compliance Profile, which shows the rules weakness and strength of the target group. This allows enforcers to enforce the rule by focusing on several problem areas.
(4) The compliance estimate: This module gives a rough estimate of the types of persons that are compliant or non compliant. The source of the numbers were obtained I from asking the target group directly in a group discussion.
The last two modules are used in data analysis of this research to estimate the current compliance level of farmers and reveal the extent of influence of compliant factors.
This chapter reviews the literature pertinent to this study and it has incorporated the following sections; The section that include the basic theories of compliance and enforcement, Table of eleven and dimension, the reasons for compliance, significant issues for effectiveness of policy implementation and agricultural industry and environmental impact.
Compliance is the ultimate goal of any enforcement progarm.Compliance is essentially a state of being, when a regulated source achieved required environmental standards, regulations, by meeting expected behaviours in processes and practices (Tieterberg, 1992). One of primary goal for using policy instruments is to change human behaviour so that environmental requirements are complied with (Scholtz 1984). There are many factors affect compliance that is economic, political, personal, and technological as well as institutional credibility and other social factors. Enhancing compliance requires tools that empower citizens to participate in governance, including through access to justice, with opportunities to apply pressure on and through the judicial and legal systems (Tieterberg, 1992). The Aarhus Convention guarantees the rights of access to information, public participation in decision-making, and access to justice in environmental matters. These rights empower citizens to ensure that environmental laws are properly enforced and complied with, as well as foster norms that complement and support the law and good governance.
Building capacity of regulators and those they regulate: Strengthening efforts to build capacity is essential, to enhance both the ability of those in the regulated community to comply and the knowledge and capability of those seeking to secure compliance, judges, policymakers, and other governmental officials.
Enforcement is a set of actions that governments or others take to achieve compliance within the regulated community and to correct or halt situations that endanger the environment or public health. The term enforcement response usually applies to those authority specifically intended to convey legal sanction and/penalty (Tieterberg, 1992).Traditional enforcement programs encompass compliance monitoring and both informal and formal enforcement responses. However, deterrence is the most important underlying theory of enforcement. According to the concept of deterrence, a strong enforcement program deters the regulated community from violating. According to (Charlton,1985),to create deterrence there should be four elements(1) a credible likelihood of detection of the violation (2) appropriate severe sanction (3)swift and sure enforcement response (4) that each of these factors are be perceived as real.
Enforcement by the government usually includes:
- Inspections to determine the compliance status of the regulated community and to detect violations.
- Warnings with individuals or faculty managers who are out of compliance to develop mutually agreeable schedules and approaches for achieving compliance. Warning can enhance compliance by sending a signal to the regulated community that, while pursuing enforcement response, the government is willing to be responsive to the concerns and difficulties faced by the regulated community in achieving compliance and work cooperatively to develop satisfactory solutions (USEPA 1992).
- Legal action when necessary, to compel compliance and impose some consequences for violating the law or posing a threat to public health or environmental quality.
- Compliance promotion (e.g. education program, technical assistance, subsides) to encourage voluntary compliance, and subsidies (USEPA 1991)
OECD (2003) made a list of fundamentals of enforcement and these are:
- Environmental enforcement systems should ensure effective and efficient protection of human health and the environment
The government should recognize that enforcement actions and cases handled, but the environmental results that should matter .The government could recognize that enforcement is not a value in itself, but a means o bring compliance with environmental requirements at least cost society. If a government is engaged in enforcement but does not bring the desired compliance, its methods are probably misdirected. On the other hand, if a government achieves compliance without environmental improvements, regulatory requirements should be resigned.
- In securing compliance, prevention is better than cure; therefore the government should maximize the deterrent effect of their activities.
A government should establish a deterrence atmosphere i.e. widespread perception that violations will not be tolerated. This can be achieved in several ways: by providing strict and timely response to non-compliance, by establishing social disapproval of violators, resulting from public awareness of regulatees’environmental performance; by publishing successful enforcement actions; by addressing with perseverance minor but widespread violations and creating incentives to improve compliance and reward for good behaviour;Detterence stimulates voluntary compliance eliminating the need for a physically omnipresent, thus reducing enforcement costs.
- Government should treat the regulated community equitably; enforcement actions should have a solid justification.
In acting equitably, the government should treat regulated community with consistency, in a transparent and proportionate manner. Consistency means taking a similar approach in similar circumstances toward all violators. At the same time, criteria that justify variations of non-compliance response should be established. Consistency should be promoted within the government at national levels and through more effective interaction with other enforcement authorities. Transparency makes clear what enforcement actions may be taken, in which situations, and why. Transparency helps those regulated, and others, to understand what is expected of them and what they should expect from the government. It helps to maintain public confidence in the government’s ability to regulate. Proportionality means that the enforcement action is commensurate with risks to environment cases are equitable and consistent with legal requirements, appeal mechanism need to be established for both administrative and judicial enforcement.
- Environmental requirements should be enforceable and establish feasible compliance objectives.
Sanctions should ensure that good environmental performers do not suffer any disadvantage, in particular economically, as a result of their compliance activities. This presupposes that sanctions are proportional to any economic gains that result from non-compliance.
Only requirements that are economically and technically feasible are enforceable in the long run. Feasibility is a pre-condition to ensure industry’s acceptance of requirements, even when requirements are stringent, and to keep the costs of compliance within reasonable limits. To reduce the cost of compliance within reasonable limits. To reduce the cost of compliance, effective dates (introduction) of new regulatory requirements should be coordinated, to the extent possible, with investment cycles. This underlines the importance of involving the regulated community-and others-in the specification of environmental requirement.
- Government staff should work with integrity and fully accountable for any discretionary decision takes.
Integrity and accountability are fundamental characteristics of the government that wants to gain respect to gain respect among stakeholders and achieve environmental results. Government staff should base decisions on professional judgment consistent with legal requirements and resist pressure from interest groups. The governments professional ethics’ should prohibit theft,fraud,bribery,abuse,misconduct of any kind.Accountabilty of the government mangers and other staff,ie.their willingness to explain and justify their decisions and perfomance,is instrumental for ensuring integrity.
An effective compliance strategy and enforcement program brings many benefits to society. First, and most important, is improved environmental quality and public health that results when environmental requirements are complied with.Second,compliance with environmental requirements reinforces the credibility of environmental protection efforts and legal systems that support them.Third,effective enforcement program helps ensure fairness for those who willingly comply with environmental requirement. Finally, compliance can bring economic benefits to individual facilities and to society
The components of a successful enforcement program
An effective enforcement program involves several components.
- Creating requirements that are enforceable
- Knowing who is subject to the requirements and setting program priorities
- Promoting compliance in the regulated community
- Monitoring compliance
- Responding to violations
- Clarifying roles and responsible
Evaluating the success of the program and holding program personnel accountable for its success.
These components form a framework within which to consider issues pertinent to any enforcement program, no matter what its stage of development. The response to these issues may differ among countries, among regions or localities within countries, among different programs over time. Important to the success of all programs, however, is the need to address all elements of the framework. Each element is part of an interconnected whole and thus can influence the success of the whole program.
Compliance promotion is that set of activities which promote rather than coerce compliance, such as officers of assistance, information exchange and the like. The theory that underlines most compliance monitoring and enforcement programs is that to enforce the law (Tietenberg 1992).The Compliance programs at the state level offer a range of programs to disseminate information and provide technical assistance to the regulated community. While it is broadly held that the threat of enforcement is the best motivation for regulatees to avail themselves of these sources of information and assistance, government officials undertake these compliance (Strouk, 1990).Promotion helps overcome some of the barriers to compliance. Most compliance strategies involve both activities to promote and enforce requirements. Policy makers will need to determine the most effective mix of compliance of promotion and enforcement response. Experience has shown that promotion alone is often not effective. Enforcement is important to create a climate in which members of the regulated community will have clear incentives to make use of the opportunities and resources provided by promotion. Experience has also shown that enforcement alone is not effective as enforcement combined with promotion. This particularly true for example when;
- The size of regulated community far exceeds the programs resources for enforcement, e.g. when regulated community consists of numerous small sources, such as gasoline stations
- The regulated community is generally willing to comply voluntarily
- There is cultural resistance to enforcement
However, farmers are highly resistant to regulation, monitoring is extremely difficult and expensive, and sanctions lack acceptability (Gunningham and Grabosky, 1998).
Education and technical assistance: Education and technical assistance lay the ground for voluntary compliance. They are essential to overcome barriers of ignorance or inability that otherwise would prevent compliance. Education and technical assistance make it easier and more possible for regulated community to comply by providing information about the requirements and how to meet them, and by providing assistance to help regulated target to comply. They are critical to changing attitudes, behaviour, and expertse to be consistent with environmental policy imperatives (Hines et al., 1987).
Building public support: Public support can create a social ethic of compliance. The public can also serve as watchdogs that alert officials to non-compliance. Public support can help ensure that enforcement programs continue to receive the necessary political support to be effective. Building public support may be particularly important groundwork in societies where personal economic concern competes with concern for environmental quality, or where a general lack of awareness about is or concern for environmental problems. The public can be educated about causes and effects of pollution, its short and long term threats to human health and natural resources, and the costs to society.
Publicizing success stories: Program officials can provide an incentive for the regulated community to comply by publishing information about facilities that have been particularly successful in achieving compliance.
Creative financing arrangements: One barrier to compliance is cost. Facility managers may want to comply but may not be able to afford the cost of fulfilling the requirements.
Economic incentives: Environmental program can encourage compliance by providing economic incentives for compliance. This may be effective approach in public agencies, which are less likely to be deterred by monetary penalties, since they re funded by the government (USEPA 1992)
The Table of Eleven is tool based on behavioural sciences, consisting of eleven dimensions. These dimensions are formulated with a view to make policies as practical as possible in the fields of policy-making and law enforcement. The dimensions provide criteria with which we can evaluate existing legislations and also assess enforceability of the draft legislation. Legislation assumes some level of compliance with it by the target group. This section has been taken from the website on Tafel van Elf (Table of 11), a versatile tool from the Ministry of Justice, 2004 (The Netherlands).
Dr.Ruimschotel in collaboration with the Ministry of Justice has developed the “Table of eleven”. It is a model based on behaviour sciences, consisting of eleven dimensions. The Law Enforcement Expertise Centre of the Dutch Ministry of Justice coordinates the use and development of the “Table of Eleven” within the Dutch programme.
The “Table of Eleven” comprises eleven dimensions for compliance with legislation; they are divided into two groups: the spontaneous compliance dimension group and the enforcement dimension group. Spontaneous compliance dimensions, consisting of the target groups deceive motivations to comply with a rule. Enforcement dimensions, which determine the risk of being caught in a government control and which determine the governments sanctioning policy, the perception of both influences the compliance behaviour. The choice for this division has been made, because it is easiest to recognize the groups from the perspectives of compliance and enforcement.
They directly anticipate the spontaneous compliance dimensions and thus are very important for the purpose of preventative enforcement. The Table analysis gives a systematic overview of the compliance and non compliance motives; so that a slightly more objective estimate can be made. It can also help to map the strong and weak points of enforcement and compliance with such rule.
Table of eleven had been applied as a basis for formulation of questions in this survey (face-to-face interviews with the target group).
(A) The spontaneous compliance dimensions:
T1. Knowledge of rules
a. familiarity with rules
b.clarity of rules
Definition: The familiarity with and clarity of legislation among the target group
Explanation: Unfamiliarity with the rules may result in unintentionally violating them. By lack of clarity or complexity of legislation compliance mistakes (unintentionally) may be made.
a. financial/economic costs and benefits
b.intangible costs and benefits.
Definition: The tangible/intangible advantages and disadvantages of compliance behaviour. They can be expressed in terms of time, money and effort.
T3.extent of acceptance
a. acceptance of the policy objective
b.acceptance of the effects of a policy
Definition: The extent to which the target group regards the policy and legislation as acceptable..
T4. The target group’s respect for authority
a. official authority
b. Competing authority
Definition: The extent to which the target group respects the government’s authority.
T5.Non-official control (Social control)
a. social control
Definition: The risk, as estimated by the target group, a positive or negative sanctions on their behaviour other than by the authority.
(B) The enforcement dimensions:
T6. Risk of being reported
Definition: The risk, as estimated by the target group, of a violation detected by others than the authorities, being reported to a government body.
T7. Risk of inspection
a. records inspection
b. physical inspection
Definition: The risk, as estimated by the target group, of an inspection by the authorities as to whether rules are broken.
T8 Risk of detection
a. detection in a records inspection
b. detection in a physical inspection
Definition: the risk, as estimated by the target group, of a violation being detected in an inspection carried out by the authorities.
Definition: The perceived (increased) risk of inspection and detection of a violation resulting from the selection of business, persons, actions or areas to be inspected.
T10. Risk of sanction
Definition: the risk, as estimated by the target group of a sanction being imposed if an inspection reveals that a rule has been broken.
T11. Severity of sanction
Definition: The severity and type of sanction associated with the violation and additional disadvantages of being sanctioned.
Authorities: Environmental laws will be most effective if they provide the authorities necessary for their own enforcement. Without sufficient authority, an enforcement program can be severely handicapped in its ability to create compliance (OECD, 2003). The credibility of an enforcement program will be eroded if violators can be successfully challenging the authority of a program to take certain enforcement actions. Authorities that can be extremely important to an effective program include:
- Authority to issue regulations,permits,licences,and/or guidance to implement the law
- Authority to inspect regulated community and gain access to their records and determines if they are in compliance.
- Authority to require that the regulated community monitor its own compliance, keep records of its compliance activities and status, report this information periodically to the enforcement program, and make the information available for inspection.
- Authority to take legal action against non complying regulated community.
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