6. Compliance promotion and enforcement

6.1 Compliance promotion

Compliance promotion relates to planned activities undertaken to increase awareness, understanding and compliance with the law and its regulations. Through these activities, compliance promotion officers provide information to regulated communities on what is required to comply with the law, the benefits of compliance and the consequences of non-compliance. The goal is to achieve desired environmental results more efficiently through education and awareness-building, which helps mitigate consequential enforcement actions.

Tools used to promote compliance include:

• information sessions
• conferences and workshops
• facts sheets
• manuals
• guidelines
• reports
• Canada Gazette notices

6.1.1 Compliance promotion priorities

Each year, ECCC establishes priorities for compliance promotion activities. These priorities are among regulatory and non-regulatory CEPA instruments that address issues such as chemical management, air pollutants, and greenhouse gas emissions. To determine the priorities, ECCC considers a number of factors to assess the need for promoting compliance of the instrument.  These include whether the instrument is new or amended, has new requirements coming into force, has a low level of compliance, or there is a need to maintain awareness, understanding, or compliance. ECCC's Compliance Promotion Program then aligns resources to priority instruments and carries out compliance promotion activities in collaboration with the managers responsible for the instruments and enforcement personnel.

In 2021-2022, compliance promotion activities were carried out on the following prioritized CEPA instruments, namely:

• Chromium Electroplating, Chromium Anodizing and Reverse Etching Regulations
• Code of Practice for the Environmental Management of Road Salts
• Code of Practice for the Reduction of Volatile Organic Compound (VOC) Emissions from the Use of Cutback and Emulsified Asphalt
• Concentration of Phosphorus in Certain Cleaning Products Regulations
• Cross-border Movement of Hazardous Waste and Hazardous Recyclable Material Regulations
• Export of Substances on the Export Control List Regulations
• Federal Halocarbon Regulations, 2003
• Formaldehyde Emissions from Composite Wood Products Regulations
• Microbeads in Toiletries Regulations
• Multi-Sector Air Pollutants Regulations (MSAPR)
• New Substances Notification Regulations (Organisms)
• Off-road Compression-Ignition (Mobile and Stationary) and Large Spark-Ignition Engine Emission Regulations
• PCB Regulations
• Products Containing Mercury Regulations
• Prohibition of Asbestos and Asbestos Products Regulations
• Prohibition of Certain Toxic Substances Regulations
• Storage Tank Systems for Petroleum Products and Allied Petroleum Products Regulations
• Tetrachloroethylene (Use in Dry Cleaning and Reporting Requirements Regulations)
• Volatile Organic Compound (VOC) Concentration Limits for Architectural Coatings Regulations
• Volatile Organic Compound (VOC) Concentration Limits for Automotive Refinishing Products Regulations

6.1.2 Compliance promotion activities

The COVID-19 pandemic restrictions preventing in-person contact resulted in limited opportunities to hold meetings, site visits, conferences, multi-instrument sessions, or training. The majority of compliance promotion activities focused on virtual events aimed at reaching larger audiences such as virtual conferences and webinar events, email campaigns, article publications and phone calls. Many of these activities were carried out in collaboration with other government departments, or non-governmental organizations and associations.

In 2021-2022, 34 150 known or potential regulatees received compliance promotion material and 1423 stakeholders contacted ECCC by email, fax, letter and telephone to get clarification of regulatory requirements and/or additional information .

During 2021-2022, ECCC launched the following compliance promotion initiatives:

• collaborated with Health Canada to increase the reach of an awareness campaign regarding the Prohibition of Certain Toxic Substances Regulations, 2012, among relevant stakeholders
• developed and distributed a simplified factsheet written for members of the regulated community that do not have a scientific background, to help determine whether the Prohibition of Certain Toxic Substances Regulations, 2012, applies to their business activities
• maximized outreach to regulated sectors by distributing guidance material to influencers (companies that have regulatees as their client) and encouraging influencers to share the information with clients that may be subject to the Prohibition of Certain Toxic Substances Regulations, 2012
• developed an interactive online business reply form to replace paper forms, which allows interested stakeholders to efficiently update their company information, thereby facilitating easier communication with ECCC regarding the Products Containing Mercury Regulations
• delivered campaigns to stakeholders involved in transboundary movements of certain substances which integrated information about the Export of Substances on the Export Control List Regulations
• updated webpage content and added keywords to enhance visibility in search engine results which increased the accessibility of information related to New Substances Notification Regulations (Organisms), and the broader New Substances Program
• disseminated a targeted reminder to rural and remote facilities that may face challenges in scheduling equipment replacement ahead of the PCB Regulations end-of-use deadline
• increased the visibility of the Storage Tank Systems for Petroleum Products and Allied Petroleum Products Regulations informational video Identification of Storage Tank Systems, through updates to guidance material and promotion on social media

6.2 Enforcement

CEPA provides enforcement officers with a wide range of powers to enforce the Act, including the powers of a peace officer. Enforcement officers can carry out inspections to verify compliance with the Act; enter premises, open containers, examine contents and take samples; conduct tests and measurements; obtain access to information (including data stored on computers); stop and detain conveyances; search, seize and detain items related to the enforcement of the act; secure inspection warrants to enter and inspect premises that are locked and/or abandoned or where entry has been refused; seek search warrants; and arrest offenders.

Enforcement activities are conducted in accordance with the Compliance and Enforcement Policy for CEPA (1999).

6.2.1 Enforcement priorities

Each year, ECCC develops an Integrated Enforcement Plan that sets out the enforcement activities to be carried out in that fiscal year, including activities to address non-compliance with CEPA. This risk-based approach allows the department to target entities where evidence indicates an offence is likely to occur and where significant environmental or conservation damage would result from an offence.  Factors that influence the identification of priority activities include the risk to the environment and human health represented by the regulated substance or activity, governmental and departmental priorities, suspected non-compliance, recent publication of new and amended regulations, and domestic and international commitments and obligations.

In 2021-2022, the Integrated Enforcement Plan gave priority to the following CEPA instruments:

• 2-Butoxyethanol Regulations
• Environmental Emergency Regulations
• Off-Road Compression-Ignition Engine (Mobile and Stationary) and Large Spark-Ignition Engine Emission Regulations
• Benzene in Gasoline Regulations
• Sulphur in Gasoline Regulations
• Sulphur in Diesel Fuel Regulations and Renewable Fuels Regulations
• Volatile Organic Compound (VOC) Concentration Limits Automotive Refinishing Products Regulations
• Export and Import of Hazardous Waste and Hazardous Recyclable Material Regulations / Cross-Border Movement of Hazardous Waste and Hazardous Recyclable Material Regulations
• Prohibition of Asbestos and Products Containing Asbestos Regulations
• Prohibition of Certain Toxic Substances Regulations, 2012
• Microbeads in Toiletries Regulations

In addition to the planned inspections carried out under the Integrated Enforcement Plan, enforcement activities under CEPA also include a large number of unplanned inspections resulting from responses to complaints, notifications from partners, intelligence or departmental referrals, reported spills and incidents, or other information.

ECCC initiated a series of risk assessments in 2018-2019 to assess and determine the risk of non‑compliance with its laws and regulations - including those under CEPA. In 2019-2020, a threat risk assessment on toxic substances was completed and the results were used to inform planning. In 2020-2021, a series of risk-based projects were launched based on the results of the threat risk assessments. These projects continued into 2021-2022 and focused on increased inspections for ammonia, siloxane D4, metallurgical projects, and textile mill effluent. Additional risk assessments are currently ongoing and will inform decision-making processes and help to better align enforcement actions and resources to protect the environment and human health.

6.2.2 Enforcement activities

Enforcement activities undertaken between April 1, 2021 and March 31, 2022 are summarized in Tables 21 and 22 and found in the Appendix.

• Table 21 provides the number of on-site and off-site inspections for each regulation, the breakdown of investigations for each regulation for which at least 1 investigation occurred or closed, and the total number of enforcement measures resulting from inspections and investigations that were imposed for each regulation
• Table 22 provides the number of prosecutions for each regulation

6.2.2.1 Inspections

Inspections are defined as the active process of gathering information to verify compliance with legislation. This may include site visits, examining substances, products or containers, taking samples and reviewing records. An on-site inspection involves visiting a site, such as a border crossing, an airport, or a port of entry, to conduct any activity, operation, or analysis required to verify the regulatee's compliance with a regulation. An off-site inspection is normally undertaken at the officer's place of work or in another location that is not at the regulated site and is usually limited to documentation verification.

Table 21 details the 669 inspections conducted under CEPA for fiscal year 2021-2022. The number of inspections relates to the number of times the regulation or other instrument was inspected for compliance, using the start date of the inspection for the reference period.

6.2.2.2 Investigations

An investigation involves gathering, from a variety of sources, evidence and information relevant to a suspected violation. An enforcement officer will conduct an investigation when he or she has reasonable grounds to believe that an offence has been committed under the Act.

Table 21 describes the 42 investigations conducted under CEPA during 2021-2022.

Two of these investigations started and ended in 2021-2022.

6.2.3 Enforcement measures

Enforcement measures available to address alleged violations of CEPA and its regulations include warnings to bring an alleged violation to the attention of an alleged offender, and if applicable, return to compliance. In addition, environmental protection compliance orders (EPCOs) require action to be taken to stop an ongoing violation from continuing, or to prevent a violation from occurring, and administrative monetary penalties (AMPs) provide a financial disincentive to non‑compliance.

Table 22 sets out the number of written warnings, EPCOs, and AMPs issued under CEPA during fiscal year 2021-2022. Only those regulations or other instruments under which enforcement measures were issued during the time period are listed in this table.

Enforcement measures also include tickets, prosecutions and environmental protection alternative measures (EPAMs).

For reporting purposes, prosecutions are all instances in which charges were laid against a person (individual, corporation, or government department). The decision to prosecute ultimately rests with the Director of Public Prosecution (DPP) of Canada or their delegated agent. While reviewing the data, it should be noted that prosecutions often continue through multiple fiscal years, so there may be more prosecutions tabulated during a particular year than actual charges laid.

Tickets for offences under CEPA can be issued under the Contraventions Act, usually where there is minimal or no threat to the environment or human health. Where an offence has taken place and this offence is designated as ticketable, enforcement officers will issue a ticket, unless they have determined that, in accordance with the criteria of the Compliance and Enforcement Policy for CEPA, another enforcement measure is the appropriate response.

An EPAM is an agreement that is negotiated with the accused in order to return an alleged violator to compliance with CEPA. It can be used only after a charge has been laid and before the matter goes to trial, as an alternative measure to prosecution for an alleged violation of the Act.

Table 22 outlines the number of prosecutions and tickets under CEPA for fiscal year 2021-2022. Only those regulations or other instruments under which prosecutions or tickets resulted during the time period are listed in this table. No EPAMs were issued in 2021-2022.

Environmental Damages Fund

In 2021-2022, $161 000 was directed to the Environmental Damages Fund (EDF) through the issuance of Administrative Monetary Penalties (AMPs). Table 22 includes a breakdown of the regulations under which these AMPs were issued.

The EDF is a specified purpose account, administered by ECCC, to provide a mechanism for directing funds received as a result of fines, court orders, and voluntary payments to priority projects that will benefit our natural environment.

6.2.4 Enforcement highlights

From April, 2021 to March, 2022 Enforcement issued $161,000 in AMPs under seven CEPA regulations. There were no prosecutions during this period because of reduced operations caused by the COVID pandemic.

6.2.5 Environmental Offenders Registry and Enforcement Notifications

The Environmental Offenders Registry contains information on convictions of corporations obtained under certain federal environmental laws, including CEPA, from June 18, 2009 to the present. This tool allows the media and the public to search for corporate convictions using keywords such as the name of the corporation or the legislation under which the conviction was obtained.

The Enforcement Notifications provide information regarding successful prosecutions across Canada under the acts and regulations administered by ECCC or involving ECCC enforcement officers (including CEPA).

6.3 International enforcement cooperation

Enforcement-related activities are carried out under various international and domestic agreements and organizations. ECCC actively participates in INTERPOL's Pollution Crime Working Group, which brings together member countries to work collectively on pollution crime issues.

In October 2021, ECCC participated in the World Customs Organization (WCO) Demeter VII operation, which focused on addressing illegal waste. Enforcement officers, working with the Canada Border Services Agency, stopped the export of a total of 15 containers containing approximately 196 000 kilograms of plastic waste and 101 000 kilograms of other wastes.

^a Investigations are tabulated by the number of investigation files at the regulation level, based on the start or end date of the investigation. An investigation may be counted under 1 or more regulations.
^b Enforcement measures issued between April 1, 2021 and March 31, 2022. Note that the initial inspection may have been conducted in a different fiscal year than when the measure was issued.
^c Written warnings, Environmental Protection Compliance Orders (EPCOs) and Administrative Monetary Penalties (AMPs) are tabulated by number of measures issued at the regulation level. For example, if 1 warning is issued for 2 different regulations, the number of warnings is 2.
^d The number of subjects involved in EPCOs is represented by the number of regulatees issued EPCOs, regardless of the number of sections. For example, if 1 regulatee was issued an EPCO for 3 sections of the PCB Regulations, the number of subjects involved is 1.

^e The number of subjects convicted during the reporting period, based on date sentenced.
^f The number of sections of legislation or regulations, for which there was a charge or conviction during the reporting period. For example, if 1 person is charged with 2 counts under CEPA, this is considered 1 charge laid against the subject and 2 counts