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Regulations are indispensable for the proper functioning of the economy and society. They create the “rules of the game” for citizens, business, government and civil society. They underpin markets, protect the rights and safety of citizens and ensure the delivery of public goods and services, such as the protection of the environment. The way in which regulations are designed is a major factor in both the quality of the regulatory framework and the outcomes achieved. But how regulations are implemented and enforced, and how compliance with regulatory requirements is assured and promoted, are also critical determinants of whether the regulatory system is working as intended.
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This chapter highlights the relevance for governments to ensure the effectiveness of enforcement and inspection activities to help achieve policy objectives. It then presents the environmental regulatory system and its management in Peru, provides a description of the Environmental Evaluation and Enforcement Agency (OEFA), and includes an introduction to assessment and recommendations.
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This chapter explains the rationality and purpose of the evidence-based enforcement principle. It aims at identifying evidence of the principle within OEFA’s daily operation and work. This includes an assessment of OEFAs’ implementation of inspection duties, the use of sources of information and indicators, etc. as supporting promoters of regulatory decisions.
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The chapter focusses on the selectivity principle, according to the OECD Best Practice Principles for Regulatory Policy: Regulatory Enforcement and Inspections. It presents the main insights of the principle in OEFA’s practices and presents a general assessment of the practices and recommendations to improve OEFA’s intervention in environmental policy.
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The chapter explains the relevance of the risk focus and proportionality approach, as a principle to enforce regulation and conduct effective and proportional inspections. It provides an analysis of OEFA’s practices in line with this principle and concludes with an assessment and a series of recommendations to embed risk focus and proportionality in inspection practices.
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This chapter describes the practices followed by OEFA to design inspections based on the actions of the regulated subjects. It also addresses the legal instruments available that grant OEFA the possibility of implementing differentiated regulatory responses based on a series of criteria and considerations. Additionally, this chapter presents an assessment of the practices followed by OEFA and proposes areas for further improvements.
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Long-term vision is an important component of a good enforcement and inspections policy. This chapter presents an overview of OEFA’s long-term strategy, its vision and mission, and addresses the use of indicators by the agency. Moreover, the section includes an evaluation of the elements that guide the functioning of OEFA and proposes changes or areas for improvement with the intention to further develop the institutional mechanisms and objectives that OEFA follows.
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This chapter covers the institutional mandates and structures in place to foster co-ordination among enforcement and environmental agencies in Peru. Co-ordination is a key element to avoid duplication of functions and increase efficiency in the delivery of regulation. The section presents OEFA’s role and attributions as an enforcement and co-ordinating agency. It provides recommendations in line with the OECD’s best practice principles to improve information sharing and promote the consolidation of inspection functions.
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Transparency is one of the elements that fosters trust, reduces conflicts of interest and limits the possibility of new social conflicts arising. This chapter covers the practices and organisational structures that OEFA has in place regarding the appointment of officials, funding schemes and its relationship with other institutions, which aim at increasing the transparency and accountability of the agency. Moreover, this section includes an assessment of the governance structures and policies in place and offers recommendations to further improve the performance of OEFA.
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Data and information sharing allow regulatory delivery agencies to increase co-ordination and efficiency, helps inspectors target better site visits and reduces administrative burdens for citizens and businesses. This chapter goes over the technological tools and internal arrangements that OEFA has set in place to promote information integration, exchange and management. This chapter also provides recommendations with the objective of facilitating data availability and interoperability among institutions.
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This chapter dives into the decision-making process and challenge possibilities inside OEFA. Clear and transparent rules and actions ensure a better delivery of regulation and promote compliance, as citizens and businesses are more likely to abide by the regulations that they understand. This section describes the legal instruments that OEFA has adopted to guarantee that inspections and inspectors follow a set of defined steps and procedural rules. Additionally, this chapter covers the management of complaints by OEFA and offers recommendations to increase transparency and fairness in the inspection process.
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The most basic assumption for any regulatory instrument is compliance. Without a systematic compliance practice from regulated entities, policy objectives will not be reached. This chapter addresses the promotion of compliance as a principle of the enforcement process. The chapter first describes the principle and relevant international practices and tools. Furthermore, it assesses compliance practices promoted by OEFA and provides recommendations to improve regulatory enforcement.
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This chapter describes the relevance of promoting professionalism and capacity building of inspectors for the regulatory enforcement process and the achievement of expected outcomes. The chapter describes the professionalism principle and relevant practices to train inspectors. It presents OEFA’s actions to professionalise its inspection team and provides recommendations.
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This chapter focuses on the fact checking derived from institutional intervention. It presents the principle and international practices to evaluate outcomes, describes OEFA’s view in the designing performance indicators and presents an assessment and recommendations aimed at helping OEFA be at the performance level expected by stakeholders.
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This chapter presents three international case studies on regulatory enforcement and inspections: the Environmental Protection Agency in Ireland, the United Kingdoms’ Health and Safety Executive and the Lithuanian State Food Veterinary Service. All case studies present the institutional background, followed by practices before, during and after the inspection process.