Chapter 2: Compliance and enforcement mechanisms25that some enterprises have not been inspected at all.One possible reason is that there is no list <strong>of</strong>industrial enterprises and there is no clear view whatkind <strong>of</strong> existing activities must be inspected most<strong>of</strong>ten.Unplanned inspections mainly arise from alerts orother information given by citizens, complaints frompublic and civil organizations and non-governmentalorganizations (NGOs), or complaints posted bypublic institutions and the People’s Advocate(Ombudsman). In addition, in the course <strong>of</strong> travellingto undertake a planned inspection, inspectors carryout ad-hoc inspections along the way, e.g. atconstruction sites, factories, fuel stations, excavationworks on a river.In practice, an inspection starts with checking the sitefor visible signs <strong>of</strong> emissions into air and dischargesto water. The inspector then reports to the enterpriseto make his or her presence known. During theinspection the operator’s performance is assessedagainst the permit conditions; however, the lack <strong>of</strong>detailed conditions in the permits may hamper thisprocess. The inspector examines raw materialstorage, analyses soil contamination, and assesses fireand explosion risks, employee safety, wastegeneration, emissions, existing monitoringprocedures.While carrying out an inspection, the inspector <strong>of</strong>tentakes the opportunity to raise the awareness <strong>of</strong> thesite operator to the environmental consequences <strong>of</strong>the activities.A written site inspection report form is completed bythe inspector on the site following each routineinspection. The report is discussed with the manageror a legal representative <strong>of</strong> the operator and a copy <strong>of</strong>this form remains on the site. MoEFWA does notkeep records <strong>of</strong> written site inspection reports. Whiledifferent types <strong>of</strong> inspections are outlined in the<strong>Environmental</strong> Inspectors’ Manual, the preparation<strong>of</strong> checklists would make site inspections moreefficient.Inspectors have the obligation and duty, in case <strong>of</strong>non-compliance, to undertake measures and sanctionsagainst the <strong>of</strong>fender or to press administrative andcriminal charges (Table 2.1). Inspectors have also arole in informing and advising the operator.Table 2.1: Measures and sanctions for non-complianceAdministrative sanctions Criminal prosecution Civil/administrative courtinstigated by the actions instigated by theinspecting authority inspecting authorityType <strong>of</strong> Warning letter Issue <strong>of</strong> Administrative Reports to Prosecution Reports to Civil/administrativeaction notices/orders fines prosecutor taken prosecutor cases takenrequiring theoperator totake actionSource: Ministry <strong>of</strong> Environment, Forests and Water Administration, 2011.Some forms <strong>of</strong> damage to the environment constitutea criminal act. The Criminal Code has a specificchapter (chapter IV) on Criminal Acts againstEnvironment, to deal with such cases. The legislationcreates the obligation to pursue penal proceedingswhen notice is given <strong>of</strong> a criminal act in theenvironmental field.Pursuant to the Criminal Procedure Code, <strong>of</strong>ficialsare bound to lodge a penal proceeding when, duringthe course <strong>of</strong> their work or because <strong>of</strong> their functionsor service, they receive notice <strong>of</strong> a criminal <strong>of</strong>fence.The same obligation is placed on citizens as definedin article 283 <strong>of</strong> the Criminal Procedure Code.In the course <strong>of</strong> an inspection, an inspector may takesamples. These samples are given to authorizedlaboratories for analysis. EI does not have equipmentfor undertaking laboratory analysis itself. Resultsfrom analyses are given to EI and the operator <strong>of</strong> thefacility from where the sample was taken. The resultsmay be challenged by the operator in which case anew analysis may be undertaken at anotherauthorized laboratory. Standards exist only for air,water and noise. When a facility is non-compliant,the inspector may prescribe certain measures(Table 2.1).There are no available annual reports or data on thetotal number <strong>of</strong> inspections undertaken during theperiod from the first EPR until now. Only thoseinspections which have financial consequences forthe operator are documented (Table 2.2).The scope <strong>of</strong> inspection activities is increasing. For2003 and 2004, there is no information about the
26 Part I: Policymaking, planning and implementationfactual reasons either for imposing sanctions andissuing decisions or for their real consequences. From2005, such information is available along withinformation on subsequent action.The main types <strong>of</strong> violation are working without anenvironmental permit or working in non-compliancewith the permit. The consequences <strong>of</strong> decisions onfines vary from “paid” (i.e. paid within the legaldeadline) to “forgiven” (i.e. forgiven by the Minister<strong>of</strong> Environment, Forests and Water Administration)and “burned” (which means expired). In some cases,orders for suspension were issued.Closure <strong>of</strong> an enterprise is possible only where theactivity is illegal. If an operator is working withoutan environmental permit or licence, the activity mustcease until a permit is issued, and a fine is leviedalso.The total number <strong>of</strong> inspections during the periodfrom January to September 2011 was 5,710. Anevaluation <strong>of</strong> the activities <strong>of</strong> EI reveals that its workhas improved compared with earlier years, but stillmuch remains to be done. There are manyinstallations which operate without environmentalpermits or do not undertake their activity incompliance with environmental permit requirements.The environmental inspection system is only partlyaligned with good practice. There is a lack <strong>of</strong>administrative capacity, in particular well-trainedstaff and appropriate equipment for properimplementation <strong>of</strong> the whole environmentalinspection cycle.2.4 <strong>Environmental</strong> permitting and assessmenttoolsThe main provisions on environmental permitting areset out in the 2011 Law on <strong>Environmental</strong> Protection.The procedures are stipulated in the 2003 Law on<strong>Environmental</strong> Impact Assessment, No. 8990.<strong>Environmental</strong> permitting, impact assessmentand licensingPermissions for activities with significant negativeimpact are approved at the central level, i.e. byMoEFWA, and activities with minor negative impactfall within the competence <strong>of</strong> REAs. Those activitieswhich require an environmental permission for theirdevelopment are listed in specific normative acts.<strong>Environmental</strong> permitting is based on theenvironmental impact assessment (EIA) process. Thenational EIA system follows common EIA practicebut without maintaining the typical features <strong>of</strong> thisassessment tool, which are that it is to be appliedonly to: (i) new activities; (ii) projects included in aspecial list <strong>of</strong> activities based on the lists from theEIA Directive, the Espoo Convention on<strong>Environmental</strong> Impact Assessment and the AarhusConvention on Access to Information, PublicParticipation in Decision-making and Access toJustice in <strong>Environmental</strong> Matters.Activities subject to EIA are industrial, constructionand trade, such as exploitation <strong>of</strong> inert materials,construction <strong>of</strong> roads, oil refineries, brick factories,petrol stations, bakeries, bars, cafes, restaurants anddisco clubs. There is no distinction made betweeninvestment proposals, projects, plans, programmesand strategies, and existing activities, facilities andinstallations. The EIA procedure applies to all <strong>of</strong>them. So the final document does not fulfil itspurpose. There are no conditions with threshold limitvalues for pollutants and emissions to air, water andsoil.At the end <strong>of</strong> the EIA process, based on the activitytype, one <strong>of</strong> three types <strong>of</strong> environmental permit isissued:• Integrated environmental permit (MoEFWAcompetence);• <strong>Environmental</strong> permit (MoEFWA competence);• <strong>Environmental</strong> consent or authorization (issuedby REAs).A permit is valid for a certain period <strong>of</strong> time – one,two or five years. Its validity is related tocommencement <strong>of</strong> the activity – issuing <strong>of</strong> the finallicensing document – or whether it is for new orexisting activity. The basic document for decisionmakingon environmental permission is the EIAreport prepared by independent environmentalexperts certified by MoEFWA or consultingcompanies licensed by the National Licensing Centre(NLC).<strong>Environmental</strong> permissions approved by MoEFWAare issued for activities listed in the 2003 DCM onthe Approval <strong>of</strong> the List <strong>of</strong> Activities with an<strong>Environmental</strong> Impact for which an <strong>Environmental</strong>Permit is Needed, No. 805. The 2007 Instruction <strong>of</strong>MoEFWA on the List <strong>of</strong> Activities with<strong>Environmental</strong> Impacts, Rules and Procedures <strong>of</strong>Approval <strong>of</strong> the <strong>Environmental</strong> Authorization andConsent from REAs, No. 2, prescribes the activitiesthat are approved by REAs at the local level.The licensing process is centralized. The NLC, underMoETE, was established in 2009 to issue licences.
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UNITED NATIONS ECONOMIC COMMISSION
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178Worldwide agreementsYear1979 (BO
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