DAOD 4003-3, Environmental Inspections and Enforcement Measures

Table of Contents

1. Introduction
2. Definitions
3. Overview
4. Operating Principles
5. Environmental Inspections
6. Enforcement Measures
7. Monitoring
8. Reporting
9. Compliance and Consequences
10. Responsibilities
11. References

1. Introduction

Date of Issue: 2025-01-29

Application: This DAOD is a directive that applies to employees of the Department of National Defence (DND employees) and an order that applies to officers and non-commissioned members of the Canadian Armed Forces (CAF members).

Supersession: ED 4003-03, Directive Regarding Environmental Enforcement Actions

Approval Authority: Assistant Deputy Minister (Infrastructure and Environment) (ADM(IE))

Enquiries: Director General Environment and Sustainable Management (DGESM).

2. Definitions

military operation (opération militaire)

Any operation, training exercise, trial, manoeuvre, deployment, combat or related activity carried out by the CAF, and any activity of the DND or the CAF that is in direct or indirect support. (Defence Terminology Bank record number 43142)

non-public property (NPP) (biens non publics (BNP))

NPP as defined in section 2 of the National Defence Act (NDA) and includes all money and property received for or administered by or through NPP organizations, and all money and property contributed to or by CAF members for their collective benefit and welfare. (Defence Terminology Bank record number 43153 to be amended)

3. Overview

Context

3.1 Enforcement Officers (Officers) are:

1. legislated to enforce laws relating to the protection of the environment and its biodiversity; and
2. authorized to undertake environmental inspections and issue enforcement measures.

3.2 Officers are typically representatives of Environment and Climate Change Canada (ECCC) under its Enforcement Branch. ECCC has responsibility for environmental and wildlife protection in line with select federal acts and their regulations. Throughout Canada, Officers collaborate with stakeholders including provincial and territorial governments, and national and international agencies in the enforcement of environmental and wildlife protection legislation and regulations. This means that officers for ECCC may be members of the Royal Canadian Mounted Police, customs officers, parks officers, conservation officers, and fishery inspectors or officers.

3.3 Officers may also be representatives of provincial, territorial, or municipal governments or agencies.

3.4 Adherence to this DAOD ensures that:

1. the DND and the CAF are prepared for environmental inspections;
2. communication is enhanced between all stakeholders; and
3. a prompt return to environmental compliance is enabled if required.

Purpose

3.5 This DAOD outlines specific operating principles, environmental inspections and enforcement measures regarding:

1. interaction with Officers;
2. preparation for environmental inspections;
3. response to environmental enforcement measures and development of an appropriate action plan; and
4. monitoring and reporting of inspections and actions taken to return to compliance.

Application

3.6 This DAOD applies to any environmental inspection and enforcement measure relating to:

1. a Defence establishment; or
2. military operations that are managed with public funds.

3.7 This DAOD does not apply to non-public property (NPP) such as a CANEX store on a base, though related enforcement measures are to be communicated by Real Property Operations Group (RP Ops GP) to DGESM.

3.8 Environmental inspections and enforcement are commonly undertaken for, though not limited to, the following significant environmental aspects identified by Defence Environmental Management System (EMS):

1. environmental emergency preparedness and response;
2. hazardous materials such as polychlorinated biphenyls (also known as PCBs);
3. ozone depleting substances, halocarbons, and related equipment;
4. species at risk;
5. storage tank systems; and
6. wastewater treatment system effluent.

3.9 At any time, an Officer may undertake an inspection for the implementation of environmental requirements. The inspection may identify alleged non-compliance with environmental requirements, which can include further investigation. The overall findings may result in an enforcement measure issued by the Officer to the DND and the CAF.

Legal Implications

3.10 For the DND and the CAF, the following list provides the most commonly applicable Acts related to inspection and enforcement measures:

• Canada Wildlife Act
• Canada National Marine Conservation Areas Act
• Canadian Environmental Protection Act, 1999
• Contraventions Act
• Environmental Violations Administrative Monetary Penalties Act
• Fisheries Act, specifically with regard to the pollution prevention provisions
• Migratory Birds Convention Act, 1994
• Oceans Act
• Species at Risk Act

3.11 Non-federal legislation may be applicable to our operations and activities, including for environmental inspections and enforcement measures.

3.12 Contravention of an Act or its regulations can result in a variety of enforcement measures, which in severe cases can be fines and other penalties (refer to Section 6.7).

4. Operating Principles

Overview

4.1 Environmental inspections and enforcement measures require collaboration and communication with officers and multiple key stakeholders, not limited to:

1. Department of National Defence and Canadian Forces Legal Services Advisor (DND/CF LA);
2. ADM(IE), functional authority for environment and climate, as well as real property and immovables life cycle;
3. DGESM;
4. Director Architecture and Engineering Services (DAES);
5. Environmental Office of Primary Interest (OPI);
6. RP Ops Gp Commander;
7. DND and CAF level one (L1) and level two (L2) advisors, as applicable; and
8. Contracting authorities and third parties.

4.2 Enforcement measures are:

1. typically issued to the Deputy Minister (DM) as the accountable party;
2. directed to the DND and the CAF as the entity;
3. directed to a defence organization or individual employees; and
4. not typically issued to individual employees except in cases of wilful misconduct.

4.3 ADM(IE) must provide direction and support for preparation, review, and revision of implementation documentation in collaboration with key stakeholders.

4.4 Operating principles specific to the sequence of events that are typical for an environmental inspection and enforcement measure are described in this DAOD. Further guidance is available on the ADM(IE) DGESM intranet site (refer to Section 11, References).

4.5 For environmental inspections and enforcement measures occurring in the North, contact DGESM for assistance.

5. Environmental Inspections

Preparation

5.1 The intent of any preparatory activity is for the ongoing due diligent management of environmental requirements.

5.2 Communication with stakeholders is essential to:

1. assist in ensuring awareness; and
2. receive useful support.

5.3 Although uncommon, environmental inspections may be undertaken without advance notice. Whether or not advance notice is received, it is useful to complete the following tasks:

1. obtain and review lessons learned from prior environmental enforcement measures as well as site-specific environmental audits (e.g., ADM(IE) environmental audits) to help in identifying and documenting possible gaps and developing action plans;
2. collect relevant documentation that should be readily available such as the environmental content of site-specific emergency plans and possible ongoing action plan documentation;
3. ensure key stakeholders are available for discussions with Officers; and
4. provide information and data to Officers within reasonable timeframes, specifically identifying any uncertainties and possible delays (e.g., via follow-up correspondence).

Inspection

5.4 Officers have broad powers to enter and inspect premises as well as to issue enforcement measures. While this means that officers may arrive unannounced, DND and CAF security and occupational health and safety requirements still apply. Key stakeholders are to serve as guides to facilitate safe movement around the premises and unfettered access to DND and CAF information and data that may include:

1. policy and procedures;
2. reports and procedures; and
3. the ability to inspect any assets.

5.5 If environmental sampling is undertaken by officers, duplicate sampling for confirmatory purposes must be completed as possible by the DND and the CAF. Sampling must follow the chain of custody rules and use accredited laboratories to ensure integrity of the results.

6. Enforcement Measures

General Approach

6.1 The DND and the CAF must make every reasonable effort to promptly address enforcement measures to ensure environmental compliance is achieved in a manner that is factual, transparent, cooperative and diligent.

6.2 L1 advisors and other key stakeholders are responsible for identifying and including relevant individuals and applicable third parties such as contractors.

6.3 Each enforcement measure reflects site-specific circumstances and considerations. Accordingly, the DND and the CAF must prepare a tailored response comprising relevant implementation documentation, at a minimum, that includes:

1. acknowledgement of receipt and follow-up with Officers;
2. a Memorandum to the DM sent through the ADM(IE); and
3. an action plan for return to compliance.

6.4 Officers may undertake follow-up action to confirm compliance with environmental requirements.

Overview of Enforcement Measures

6.5 The intent of an enforcement measure is to ensure that a return to environmental compliance is achieved as promptly as possible.

6.6 Officers consider key factors when selecting the type of enforcement measure to issue:

1. nature of the alleged violation, including consideration of factors such as the level of the harm or potential harm, and level of cooperation from the DND and the CAF; and
2. history of compliance for all sites, repeated occurrences, and the handling of previous enforcement measures of the DND and the CAF. 

6.7 Enforcement measures can typically be issued as:

1. warnings (verbal or written) if a note is put on the record and no fines are imposed;
2. orders, directions, and Injunctions if prompt actions are required, or activities are not allowed to continue until due diligence has been applied to achieve compliance (as with warnings, no fines are imposed);
3. tickets and administrative monetary penalties if fines are imposed, possibly with required actions and publication of the entity may occur in the enforcement notifications registry;
4. prosecutions if other measures are not deemed sufficient and appropriate, and with consideration for the above-noted key factors:
   1. the court can impose penalties along with set actions that must be completed; and
   2. publication of the entity occurs in the enforcement notifications and registries of environmental offenders; and
5. agreements such as alternatives to prosecution, if applicable, are intended to achieve compliance without a court trial and charges are dropped once compliance is achieved.

L1 advisors and DGESM Responding to Enforcement Measures (Implementation Documentation)

6.8 Acknowledgement of receipt with enforcement agencies – key actions include:

1. informing the chain of command and DGESM; and
2. sending an immediate acknowledgement of receipt to the Officer:
   1. a concise message acknowledging receipt of the enforcement measure, using email or other means of communication acceptable to Officers; and
   2. the chosen responsible sender must be confirmed between key stakeholders, though it should be at the L2 or above.

6.9 Memorandum and action plan – key actions include:

1. supporting development by DGESM of a Memorandum to the DM; and
2. developing an action plan to enable a prompt return to compliance, with contents reflecting:
   1. root cause analysis, also including identification of system-level improvements and actions needed;
   2. deliverables and related task breakdown with assigned responsibilities and milestone dates; and
   3. conditions to monitor, report on, and close action plan.

Note – Key stakeholders must determine the appropriate extent of the action plan based on the compliance gap and nature of the related risks.

6.10 Follow-up with enforcement agencies – key action is a follow-up message sent to the Officer including the action plan as appropriate, and information on progress made to date.

Note – All applicable key stakeholders must receive a copy of the finalized implementation documentation (refer to Section 10, Responsibilities).

7. Monitoring

Overview

7.1 The intent of monitoring is to ensure that:

1. inspections are tracked and communicated;
2. action plan deliverables are tracked and completed; and
3. a prompt return to environmental compliance is achieved.

7.2 Together, key stakeholders must confirm responsibilities for undertaking monitoring. A key distinction between monitoring responsibilities is whether the environmental enforcement measure is related to military operations or Defence establishment real property (refer to Section 10, Responsibilities).

7.3 L1 and L2 advisors, as applicable, must monitor action plans with key actions including:

1. recurring review of progress on corrective actions, as scheduled in the action plan; and
2. revising next steps and reallocating resources as needed to promptly achieve compliance.

7.4 DGESM must monitor inspections and the issuance and status of enforcement measures.

8. Reporting and Oversight

8.1 L1 and L2 advisors, as applicable, must report on inspections and action plans to chain of command, Environmental OPI, and DGESM as scheduled in the action plan. At a minimum, reporting is to reflect:

1. details of inspections;
2. requirements from Officers, as applicable;
3. progress and completion of action plans;
4. status of environmental compliance; and
5. recommendations and implementation of necessary improvements.

8.2 DGESM must report on inspections and enforcement measures to senior management and complete oversight. At a minimum, reporting and oversight is to include:

1. for each inspection, tracking and communicating on details;
2. for each enforcement measure, recommendations of additional next steps if needed to ensure prompt return to compliance; and
3. for enforcement measures received, annually:
   1. assessment of trends at Defence establishments and L1advisors as well as at a program level;
   2. recommendations for performance improvements; and
   3. integration of results into departmental corporate reporting requirements on key performance indicators.

9. Compliance and Consequences

Compliance

9.1 DND employees and CAF members must comply with this DAOD. Should clarification of the policies or instructions set out in this DAOD be required, DND employees and CAF members may seek direction through their channel of communication or chain of command, as appropriate. Managers and military supervisors have the primary responsibility for and means of ensuring the compliance of their DND employees and CAF members with this DAOD.

9.2 DND employees and CAF members are accountable to their respective managers and military supervisors for any failure to comply with the direction set out in this DAOD. Non compliance with this DAOD may result in administrative action, including the imposition of disciplinary measures for a DND employee and administrative or disciplinary action, or both, for a CAF member. Non-compliance may also result in the imposition of liability on the part of His Majesty in right of Canada, DND employees and CAF members.

Note – In respect of the compliance of DND employees, see the Treasury Board Framework for the Management of Compliance for additional information.

10. Responsibilities

Responsibility Table

10.1 The following table identifies the responsibilities associated with this DAOD:

11. References

Acts, Regulations, Central Agency Policies and Policy DAOD

• Canada National Marine Conservation Areas Act
• Canada Wildlife Act
• Canadian Environmental Protection Act, 1999
• Contraventions Act
• Environmental Violations Administrative Monetary Penalties Act
• Fisheries Act
• Migratory Birds Convention Act, 1994
• National Defence Act
• Oceans Act
• Species at Risk Act
• Framework for the Management of Compliance, Treasury Board
• Policy on Legal Assistance and Indemnification, Treasury Board
• DAOD 1001-11, Policy Framework for Infrastructure and Environment Management
• DAOD 4003-0, Environmental Protection and Stewardship

Other References

• Environmental Enforcement: publications
• Environment and Sustainable Management, ADM(IE) DGESM intranet site
• Infrastructure and Environment Management Manual Module 5 Environmental Management and DGESM Organization