C OMPLIANCE M ANAGEMENT F RAMEWORK T HE M INISTRY OF E NVIRONMENT’S A PPROACH TO E NSURING C OMPLIANCE

1. COMPLIANCE MANAGEMENT FRAMEWORK THE MINISTRY OF ENVIRONMENT’S APPROACH TO ENSURING COMPLIANCE

2. British Columbia Context Compliance Management Framework & Lessons Learned Initiatives to Improvement Compliance Management Presentation Overview

3. to lead the world in sustainable environmental management, with the best air and water quality, and the best fisheries management, bar none. British Columbia Goal

4. Species at Risk Mountain Pine Beetle Parks and Protected Areas Product Stewardship British Columbia Environmental Challenges

6. 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 Key Factors Influencing our Business

7. Deputy Minister Environmental Stewardship Water Stewardship Oceans and Marine Fisheries Environmental Protection Compliance Strategic Policy

8. 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. Compliance Management Framework

9. Compliance Principles Setting Requirements Promoting Compliance Verifying Compliance How to respond to non-compliance? Enforcing Requirements Continuous Improvement and Accountability Managing our Performance Communicating Our Results

10. Setting Requirements Objective • To establish regulatory requirements that are clear, practical and enforceable.

11. Compliance Promotion Objective • To achieve high rates of voluntary compliance.

12. Compliance Verification Objective • To ensure the Ministry has the information necessary to determine compliance, compliance rates and to inform program management.

13. Enforcement Objective • To enforce regulatory requirements using a consistent, clear and predictable approach.

14. …moving forward…. [Regulatory agencies]… have tended to organize their activities around failures rather than around opportunities for intervention [prevention]. Malcolm Sparrow Imposing Duties

15. Assessment of the Environmental Stewardship Division Consisted of a two-pronged approach: • Benchmark Survey Take stock of how well the division is ensuring compliance • Problem Identification Project Inventory and analyze current and emerging compliance issues

16. Benchmark Survey 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

17. Survey Format 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?

18. Key Survey Themes 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

19. Problem Identification Project 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

20. Key Actions Resulting from the Survey and Problem Identification • Develop multi-year compliance plans • Develop problem-focussed compliance strategies • Focus on high priority “provincial” problems Parks - Boundary Trespass Ecosystems - Lakefront Development Fish and Wildlife - Invasive alien fish

21. Lack of information on compliance patterns and trends makes problem identification challenging Identifying problems with “business practices” is as important as identifying compliance problems Key Lessons Learned…on problem identification

23. 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 Key Lessons Learned…on risk and data analysis

24. 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 Key Lessons Learned…on learning to affect behavioural changes

25. Staff Training and Tools Western Canada Training Academy Expert Witnesses Training Case Law Index Initiatives to Improve Compliance Management

26. Alternative Approaches Commercial Environmental Investigation Unit Restorative Justice under the Wildlife Act Initiatives to Improve Compliance Management

27. Expanding the Compliance “Toolkit” Administrative Monetary Penalties Expansion of Ticket Issuing Authority Mitigation and Compensation Legislation Initiatives to Improve Compliance Management

28. Continuous Improvement Case Review Committee Evaluation of Compliance and Enforcement Policy Initiatives to Improve Compliance Management

29. Community of Practice Sparrow Conference Western Canadian Compliance and Enforcement Information Sharing Forums Compliance Discussion Series Initiatives to Improve Compliance Management

30. Thank you Gwenda Laughland Director Compliance Policy and Planning Branch Compliance Division