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CCOMPLIANCE OMPLIANCE MMANAGEMENT ANAGEMENT FFRAMEWORKRAMEWORK

THE MINISTRY OF ENVIRONMENT’S

APPROACH TO ENSURING COMPLIANCE

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Presentation Overview

British Columbia Context

Compliance Management Framework &

Lessons Learned

Initiatives to Improvement Compliance Management

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British Columbia Goal

to lead the world in sustainable environmental

management, with the best air and water quality, and the

best fisheries management, bar none.

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British Columbia Environmental Challenges

Species at Risk

Mountain Pine Beetle

Parks and Protected Areas

Product Stewardship

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Key Factors Influencing our Business

Shifts in Environmental Governance

Drive for Regulatory Effectiveness

New Relationship with BC’s First Nations

Competitive Labour Market

Keeping Pace with the Economy

Encouragement of Outdoor Recreation

2010 Olympic and Paralympic Games

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Deputy MinisterDeputy Minister

StrategicPolicy

StrategicPolicy

EnvironmentalStewardship

EnvironmentalStewardship

EnvironmentalProtection

EnvironmentalProtection

ComplianceCompliance

Oceans andMarine Fisheries

Oceans andMarine Fisheries

WaterStewardship

WaterStewardship

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Compliance Management Framework

Describes the strategic context in which the Ministry conducts its compliance activities, including the principles, goals and objectives that guide compliance-related work;

Outlines the Ministry’s approach to ensuring the effective delivery, management and reporting of compliance activities; and

Highlights the respective roles and responsibilities of Ministry staff.

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Setting Requirements

Promoting Compliance

Verifying Compliance

Enforcing Requirements

Compliance PrinciplesCompliance Principles

Managing our Performance Managing our Performance

Communicating Our ResultsCommunicating Our Results

How to respond to non-compliance?

Continuous Improvement

and Accountability

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Objective

To establish regulatory requirements that are clear, practical and enforceable.

Setting Requirements

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Objective

To achieve high rates of voluntary compliance.

Compliance Promotion

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Objective

To ensure the Ministryhas the informationnecessary to determinecompliance, compliancerates and to informprogram management.

Compliance Verification

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Objective

To enforce regulatory requirements using a consistent, clear and predictable approach.

Enforcement

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[Regulatory agencies]… have tended to organize

their activities around failures rather than around

opportunities for intervention [prevention].

Malcolm Sparrow Imposing Duties

…moving forward….

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Consisted of a two-pronged approach:

1. Benchmark Survey

Take stock of how well the division is ensuring compliance

2. Problem Identification Project

Inventory and analyze current and emerging compliance issues

Assessment of the Environmental Stewardship Division

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Purpose

1. To take stock of the division’s progress in ensuring compliance (a scorecard that aligns with the Compliance Management Framework)

2. To obtain staff views on what is working well and what improvements could be made

Benchmark Survey

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Compliance Model– Setting Regulatory Requirements– Promoting Compliance– Verifying Compliance– Enforcing Requirements

Continuous Improvement & Accountability– Managing our Performance– Communication our Results (Internally and Externally)

Anything else you want to tell us?

Survey Format

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Progress– Successes are being achieved!

Resources Pressures– Particularly in verification and enforcement

Focussed Efforts– Be specific in what we tackle and be rigorous in setting

priorities

Key Survey Themes

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3 step process­ Initial scan of regional staff to identify problems ­ Focused follow-up discussions (regions and HQ)­ Problem-focused analysis on each issue

General observations­ Staff are generally positive, very committed, and want to spend

their time on the right things­ Balance between regulatory and non-regulatory responsibilities

Problem Identification Project

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1. Develop multi-year compliance plans

2. Develop problem-focussed compliance strategies

3. Focus on high priority “provincial” problems

Parks - Boundary Trespass

Ecosystems - Lakefront Development

Fish and Wildlife - Invasive alien fish

Key Actions Resulting from the Survey and Problem Identification

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Key Lessons Learned…on problem identification

Lack of information on compliance patterns and trends makes problem identification challenging

Identifying problems with “business practices” is as

important as identifying compliance problems

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Key Lessons Learned…on risk and data analysis

Acquiring the data necessary to analyze trends and

patterns is often difficult to find

“Risk control, it turns out, is a data-intensive, analytically demanding, and very messy business.”

Malcolm Sparrow The Regulatory Craft

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Key Lessons Learned…on learning to affect behavioural changes

Outreach is a key tool

“…information campaigns that emphasize enhancing knowledge or altering attitudes

frequently have little or no effect upon behaviour”.

McKenzie-Mohr, Fostering Sustainable Behaviour

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Initiatives to Improve Compliance Management

Staff Training and Tools

Western Canada Training Academy

Expert Witnesses Training

Case Law Index

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Initiatives to Improve Compliance Management

Alternative Approaches

Commercial Environmental Investigation Unit

Restorative Justice under the Wildlife Act

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Initiatives to Improve Compliance Management

Expanding the Compliance “Toolkit”

Administrative Monetary Penalties

Expansion of Ticket Issuing Authority

Mitigation and Compensation Legislation

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Initiatives to Improve Compliance Management

Continuous Improvement

Case Review Committee

Evaluation of Compliance and Enforcement Policy

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Initiatives to Improve Compliance Management

Community of Practice

Sparrow Conference

Western Canadian Compliance and Enforcement

Information Sharing Forums

Compliance Discussion Series

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Gwenda Laughland

Director

Compliance Policy and Planning Branch

Compliance Division

Thank you