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3. Institutional instruments for the use and protection of the environment of the Caspian Sea Establishment of an efficient institutional system is one of the conditions for proper implementation of the legislation. In all the Riparian States development of the environmental legislation is accompanied by setting up of executive bodies that are assigned functions and competencies for implementation and enforcement of legal rules. In all the states, the governmental system is quite centralized, and the leading role belongs to national state agencies. Regional and local bodies are limited in their powers. In Russia, taking into consideration the federative structure of the state, the member-units of the Russian Federation (subjects) are also involved into state management of environmental protection in conformity with the Constitution and agreements concluded by the Russian Federation with each member-unit of the RF. 3.1. The system and structure of the governmental institutions responsible for implementation of the legislation on environmental protection and use of natural resources of the Caspian Sea The system of the governmental institutions responsible for implementation of the legislation on environmental protection and use of natural resources of the Caspian Sea is formed by the ministries and agencies, that deal with the Caspian Sea within their general duties to protect the environment. They work under the supervision of the higher executive bodies – governments, cabinets of ministers that have in their structures, in some states special environmental departments. In Iran important administrative competencies are vested with the Environmental High Council that coordinates activities of ministries and agencies, and is also charged with independent competencies (specially protected areas, regulation of licensing in the field of environmental protection against pollution). To a different degree, heads of the Riparian States are also involved into executive activities. In all the Riparian States, there are no special ministries or departments that would deal with environmental protection of the Caspian Sea, and the competencies that relate to it, are distributed among ministries and agencies that are either responsible for regulation of the use of selected natural objects (minerals, waters, protected areas, fish), or for fulfillment of selected environmental functions in respect to the environment in whole (environmental control, environmental monitoring). The institutional system in the CIS Riparian States tend to consolidate, when both the functions of environmental protection against negative impacts (pollution), and administrative regulation of nature use are vested with one and the same department. It is now characterized by certain instability expressed in many administrative reforms connected with re-distribution of competencies and functions, changes in the structure of executive bodies. Such instability affects the functioning of the executive system and weakens responsibility for their work. Serious problems arise with financing and technical supply of governmental activities. These factors reduce the efficiency of administrative activities. Azerbaijan The executive powers in respect to environmental protection and use of natural resources of the Caspian Sea are vested with the:
Goskomecologia plays the key role in environmental protection, including the Caspian Sea. The Committee executes the functions of control over activities that have various negative impacts on the environment, and primarily, pollution. It monitors the quality of the environment and emissions of pollutants into the environment, conducts ecological expertise, controls compliance with the environmental legislation and conditions of the permitting documents. The regulatory functions include issuance of permits for emissions of pollutants into air and water, approval of ecological passports of enterprises (record of impacts on the environment to be kept by an enterprise itself), development of environmental standards and limitations. The Committee administers 14 nature reserves and regulates entirely nature use within their territories. Structurally, the Committee consists of the central office and 30 regional units responsible for environmental protection from land-based sources in respective administrative units. In addition, the Committee has a special inspectorate -–Goskaspohrana that is responsible exclusively for controlling the pollution of the Caspian Sea from marine sources. Implementation of the legislative requirements in respect to fish resources and regulation of fishing falls within the competence of Azerbabyk – a governmental entity responsible for distribution of fish quotas, determination of the maximum allowable catch, issuance of permits for the catch of fish and other aquatic animals, and for the control of the activities of the fishing companies. Azerbalyk administers enterprises for the reproduction of fish resources, including sturgeon. The State Oil Company participates on behalf of the state in international consortiums engaged in oil deposits development of the Caspian seabed. It makes this organization predominantly an economic entity, and puts it under control of Goskomecologia. At the same time, this company is obliged to be in compliance with the environmental requirements in its activities. Regulation of the use of subsoil, including the use of oil deposits and other minerals on the land is vested on the Ministry of Geology and Mineral Resources. It issues permits for the development of deposits and is engaged in geological surveys. It is mandated to ensure compliance with the environmental requirements, and in particular, is has to rehabilitate lands after termination of geological works, to rehabilitate the destructed natural objects, to monitor the conserved oil wells. The State Committee of Hydrometeorology is charged with the monitoring of the state of waters, including the Caspian Sea, atmospheric air and soil. It is responsible for the establishment together with other state agencies of the maximum allowable limitations of pollutants in natural environment. An important role in environmental protection is played by the local bodies, who predominantly deal with the regulation of land use, and in particular, the seashore. The mandates include regulation of the location of enterprises, control over economic activities, and compliance with the legal regime of the coastal zone, disposal of solid wastes. The Caspian Basin Rescue Department is responsible for removal of accidental oil spills in the Sea, for the control of hydrotechnical equipment, preparedness for rescue operations. It functions on the basis on a Charter that was adopted in the USSR by the then Ministry of Marine Fleet of the USSR. Iran The system of the executive bodies responsible for implementation of the environmental legislation relating to the Caspian Sea is composed of:
Department of the Environment is responsible for the protection and enhancement of the environment, prevention and control of any form of pollution or degradation, conducting of all matters related to wildlife and aquatic biota of the territorial waters The Department is attached to the President of the IRI Office, is headed by the Director and functions under the supervision of the Environmental High Council. The President of Iran appoints the Director. The Department monitors the quality of the environment, controls compliance with the permits issued by other ministries, publishes regulatory acts that determine the requirements for the location of constructions, do scientific research, recommends environmental standards and criteria, imposes provisional prohibitions and restrictions for hunting and fishing, controls the use of pesticides and chemicals. It is responsible for 11 national parks, 5 national monuments, 25 national refuges and 17 wetlands that all in total occupy 5% of the land area. The Department has a uniformed body of guard with necessary equipment. The Department is allowed to delegate part of its competences to municipalities and other state bodies. Originally the DOE followed the Game and Fish Organization that was set up in 1956 to control rangeland hunting. In 1967 its competence expanded to the oversight and protection of wildlife and the country’s wide variety of ecosystems. The Organization was restructured in 1974 and acquired its present name – Department of the Environment. Its mandate was upgraded to ensure the enhancement and promotion of establishing the balance between the needs of social development and environmental protection. The DOE has a high administrative status being headed by the Vice President of the Republic of Iran. It has provincial directorates in 28 provinces of the country. The Environmental High Council is a collective body that is composed of the Minister of Agriculture, Ministers of Industry and the Interior, Minister of Housing and Urban Development, the Minister of Health and Medical Education, Minister of Jihad-e Sazandegi, The Director of the Plan and Budget Organization, the Director of the Department of the Environment and four experts appointed by the Chairman for a three years term by the Chairman. The President chairs the Environment High Council. Having a status of a collective body, the Council has real tools for coordination of activities of executive bodies, foremost, through reaching agreed decisions. At the same time, the Council has its own field of competence. In particular, it sets aside certain areas as national parks national nature monuments, wildlife refuges and protected areas, governs protection and reproduction of animals, issues exportation and importation permits of rare species, approves rules for environmental impact assessment. Permits for exploration and exploitation of minerals in protected areas are subject to approval by the High Environment Council. The Forest and Rangeland Organization is responsible for the protection and use of forests and rangelands and administratively included into the system of the Ministry of Agriculture. The Fisheries Company that functions within the system of the Ministry of Agriculture has monopolistic fishing rights and is also responsible for the protection of aquatic animals. Water use is regulated by the Ministry of Energy and navigation and marine transportation – by the Ports and Shipping Organization within the Ministry of Roads and Transportation. The Ports and Shipping Organization is responsible for implementation of the Act on the Protection of Sea and Frontier Rivers against pollution by Oil. Kazakhstan The following state bodies are involved into environmental protection and regulation of the use of natural resources:
The central place in the environmental institutional system is taken by the Ministry of the Environment and Natural Resources that administers waters, wild animals, air, wastes, specially protected areas, land pollution. The Ministry is charged with issuance of permits for water use and fishing in the Caspian Sea and other water objects, for discharges and emissions of pollutants. It conducts the state ecological expertise and makes decisions concerning the fulfillment of projects that have an impact on the environment, establishes standards and limitations, monitors the state of the environment, controls all types of nature use. The competence of the Ministry does not cover subsoil, including oil and gas deposits in the sea and on the adjacent lands. Regulation of the activities connected with the exploration and exploitation of mineral deposits is administered independently and is vested with the Ministry of Energy and Mineral Resources. The Ministry is charged with concluding agreements for the use of subsoil with interested organizations, and also with supervision of compliance with the legislative requirements and conditions of individual agreements. Russia Implementation of the environmental legislation in respect to the Caspian Sea is imposed on the following federal departments:
The Ministry of Natural Resources plays the leading role in ensuring compliance with the environmental legislation and also in defining the state environmental policy. The Ministry deals with issuance of licenses for the exploration and exploitation of oil deposits, permits for the discharges of pollutants, for all types of water uses. It develops environmental standards and limitations, conducts ecological expertise. The Ministry coordinates the activities in the field environmental protection of other ministries and agencies, but only in cases specifically provided for. Practical exercise of this function is complicated, as there is no legal definition of “coordination”, and no legal mechanisms for coordination have been established. In conformity with its status and limits of competencies, the Ministry cannot exercise any inter-agency functions that may include coordination. A large share of practical work of the Ministry is done by its regional branches that are located in the member-units of the Russian Federation, including the Caspian ones – the Republic of Dagestan, Astrakhan Oblast, Republic of Kalmykia. The State Fisheries Committee is empowered to regulate fishing through determining the maximum allowable catch, arrangement of competitions and auctions for their distribution among interested persons, issuance of long-term licenses to fishing companies. Control of fishing, including finding of violations, detention of violators and applications of enforcement measures is shared by the State Fisheries Committee, Ministry of Natural Resources and Federal Frontier Service. For implementing its mandate, the Federal Frontier Service employs a strong potential of its technical means, including well-equipped military vessels. The competences of the State Federal Hysdrometeorological service extend to monitoring of the state of the environment, including waters, air and soil. It operates monitoring stations located in main waterbodies, including the Caspian Sea. Turkmenistan The system of state environmental bodies generally and in respect to the Caspian Sea is composed of:
The Ministry of Nature Protection is charged with regulatory and controlling functions in respect to environmental protection and use of certain types of natural resources. In particular, the Ministry develops environmental standards for water objects, approves the ecological passports of enterprises, conducts the ecological expertise of economic projects, issues permits for water use, monitors the state of the environment. The Ministry has regional departments that deal predominantly with supervising implementation of environmental legal requirements. Relating to the Caspian, the controlling functions are exercised by a special structure within the Ministry – Kaspecogullug (Kaspecocontrol). Regulation of fishing falls within the competence of the State Fisheries Committee. It has in its structure the State Fish Inspection that is responsible for regulation of fishing in all the water bodies, including the Caspian Sea. Besides, the Committee determined annual quotas and issues permits for fishing to the interested physical and legal persons.
Optimum distribution of state functions has a high significance for efficient implementation of the environmental and nature use legislation. Taking into consideration, that in many instances, economic and environmental interests towards nature are hardly reconcilable, it is widely spread in the world to arrange the state institutional system in such a manner when environmental controlling functions are divided from the regulation of nature use, and are fulfilled either independently by different ministries, or rather independently within one ministry, but separate departments. Such division is also justified by considerable specific features of these two types of activities that require use of special knowledge and habits. In the CIS Caspian States functions of administartive regulation of the nature use and environmental protection, including issuance of permits, granting of natural objects for use, establishment of maximum allowable limitations of pollution, and environmental control, including monitoring, state ecological expertise and others are predominantly not separated and are executed by one comprehensive environment protection ministries/committees. In some countries, controlling and/or regulation functions in respect to certain natural objects (oil – Kazakhstan, fish resources – Russia) may be beyond the competence of such bodies. However, in all countries, comprehensive environment protection agencies are granted such a common tool of preventive control as an ecological expertise that gives an opportunity to influence all types of nature use in the interests of environmental protection and rational (sustainable) use of natural resources. All the CIS Caspian states lack bodies with comprehensive inter-agency coordination functions in respect to the Caspian Sea, although in Russia, it is practiced to set up various inter-agency commissions for certain environmental aspects. All the CIS Caspian States use the agency agreement procedure that allows to coordinate to some extent the activities of the state agencies on the stage of decision-making. The agency agreement procedure means that while issuing a permit, for instance, for oil production, a responsible agency has to get a consent from at least such agencies as fisheries committee, water regulation agency. Should such consents (agreements) not received, a permit may not be issued. In Iran, another approach is being used, when environmental control and regulation of such types of nature uses as minerals development, construction of industrial objects, fishing are administratively separated and are executed by several agencies. An environmental protection body is executing mostly controlling functions. There is an environmental protection coordinating body – Environmental High Council. In the CIS Caspian States one of the most acute problems associated with executive activities is the problem of poor funding. It causes many negative effects, including bad technical equipment of especially controlling activities that prevents proper control, monitoring, and enforcement. It all causes decrease in the professional level of the administrative officers and corruption. Azerbaijan The functions of administrative regulation of nature use and state control are distributed among several agencies. In a most consolidated manner they are fulfilled by the State Committee for Ecology and Nature Use Control. The compretences of the Committee cover lands, wastes, emissions and discharges of pollutants, specially protected areas, and minerals. The Committee has also financial instruments of influencing nature use being responsible for collection of environmental charges and administering the State Fund for Nature Protection. Within the Committee the functions of administrative regulation (permits for emissions, standard-setting) and control in respect to certain types of natural resources are combined, except for subsoil and partially lands. It means that Goskomecologia, for instance, issues permits for emissions and discharges, disposal of solid wastes on the land and at the same time controls compliance. Whether this approach is the right one will be a subject of further thinking, but exactly this approach is most widely used in the world. If to make an attempt to analyze the situation from the point of view of interests, it may be supposed that Goskomecologia becomes interested in the increase of emissions and discharges, respectively in issuance of permits, and probably in bad enforcement, as all that increases the flow of money to the State Fund for Nature Protection and increases the possibilities to finance the activities of the agency. The work of Azerbalyk is organized on the basis of the same approach – combination of controlling and regulatory functions. The agency is responsible for distributing quotas among individuals and organizations, issues permits and controls their compliance. The principle of separation of administrative regulations and controlling functions is clearly expressed in respect to the use of minerals of the Caspian Sea, when contracts for oil deposits development are concluded by the State Oil Company and control of the activities of oil companies is effected by the State Committee for Ecology. The state environmental protection agencies face the problem of duplication of administrative functions. For instance, the environmental control functions are vested with Goskomekologia, Ministry of Health, State Committee for Supervision of the Safety of Works in Industry, and also local bodies. In such instances, when the sea is being polluted by effluents or other wastes, enforcement measures may be taken in parallel to one and the same offender by Goskomekologia, Ministry of Health and local agencies. Such duplication causes the problem of unfair punishment and also increases administrative expenses connected with the support of controlling agencies. A similar duplication is existent in the field of monitoring, when such functions are executed by Goskomekologia and State Committee for Hydrometeorology, and is also done by the nature user himself. The above problems are not that evident in practice, and are concealed by their incomplete fulfillment by all agencies because of their under-funding. There are no coordinating bodies for the Caspian Sea. Iran Issuance of permits (licenses) for nature use falls into the competence of several agencies, including the Ministries of Industry, Energy, Oil, Coal and Metal, Housing and Urban Development, that are mandated to submit the copies of the permits (licenses) issued to the Department of the Environment (DOE). Should the conditions of the permit (licenses) in the opinion of the DOE contradict the environmental legal requirements, it is empowered to express its disagreement with the actions of a respective ministry. Therefore, the administrative regulation of nature use and administrative control are predominantly separated (for water use), except for fishing where all the functions including administrative regulation and control are fulfilled by a single state-owned entity – Fisheries Company. The Department of the Environment is a predominantly controlling state body that is empowered to inspect any activities and take enforcement actions to offenders. It does not issue permits (licenses) for nature use or pollution of the environment (impacts on the environment). At the same time, specially protected areas that are entirely administered by the DOE. Within their borders, the DOE regulates nature use and effects environmental enforcement and control. The administrative regulation and controlling competences in relation to fishing are combined and executed by one agency – the Fisheries Company. Such a combination seems not to cause well-known problems of domination of economic interests over protection ones, as traditionally consumption of sturgeon is quite low in Iran (10% of the volume taken is consumed in the internal market) and fishing and trade activities are strictly supervised by enforcement officers, Department of the Environment and the Fisheries Company. A certain duplication of inspection functions may be stated. Kazakhstan The environmental administration functions, including regulation of major types of nature use and state control is consolidated in the mandates of the Ministry of Environmental Protection and Nature Use. Subsoil use is entirely excluded from the competences of the Ministry. Making of contracts for the development of oil deposits in the Caspian Sea and control of compliance with such contracts are vested with the Ministry of Energy and Mineral Resources. Like in other CIS Caspian States, controlling functions prevail in the activities of the Ministry of Environmental Protection and Nature Use. The controlling functions are distributed among various departments in the Ministry. For instance, Water Resources Committee, Forestry and Fisheries committees regulate respectively water use, forests use and fishing. Inspection is effected by an inspectorate department with a staff of some 170 inspectors. They are responsible for finding violations and taking liability measures to offenders. The Ministry also deals with monitoring of the environment. With such high level of consolidation, there seems to be no need to have a coordinating body, at least in respect to the Caspian Sea. Intra-ministry coordination is done in the procedure of holding ministerial meetings of the council of the heads of ministry departments. At the meeting, the members work out agreed decisions on various issues of regulation of nature use and environmental protection. Russia The Russian administrative environmental protection system goes through a phase of intensive reforming. The reform is determined by an evident tendency towards s consolidation of the regulation and controlling functions within a single agency – Ministry of Natural Resources. Only fisheries are now not included into the competence of the Ministry. Functions for regulation of fishing, issuance of permits (licenses) and control of fishing are vested with the State Fisheries Committee. There is certain contradiction in the legislation concerning powers for distribution of fishing quotas. On the one hand, under the Governmental Decree dated 6.9.1998 “On Measures to Improve the State Regulation of Aquatic Biological Resources” such powers are granted to the Fisheries Committee, and on the other – the Government, in fact, distributes the quotas. On 22.2.2000, it enacts an Order that approved the fishing quotas for the year 2000. Emergency response actions are administratively divided in a rather unclear manner. An obligation to take initial response actions are vested with the Ministry of Emergencies, and the Ministry of Natural Resources is in charge for elimination of negative environmental consequences of industrial accidents and natural disasters. Emergency response actions in the sea are also taken by the State Marine Accident Rescue and Coordination Unit in the Ministry of Transportation. In practical terms, the line between initial response actions and further elimination of negative effects is rather instable, and both types of actions need to be taken in a coordinated manner. Besides, it is known that without following definite environmental rules, emergency action may entail secondary side environmental effects, and therefore requires definite knowledge and skills of the participants of the rescue teams. The environmental legislation does not establish professional criteria or requirements addressed to such participants. The duplication phenomenon is also available in the Russian administrative system. For instance, such agencies as fishing inspectorates of the State Fisheries Committee, The Federal Frontier Service, the marine inspection department of the Ministry of Natural Resources, and fishing inspectorates of the Caspian member-units of the Russian Federation are charged with the functions for controlling fishing. Environmental monitoring is done by the Ministry of Natural Resources, State service of Hydrometerology and Monitoring of the Environment with almost no coordination or cooperation between them. There is no special inter-agency coordinating body in relation to the Caspian Sea, or in respect to selected functions, although the Ministry of Natural Resources is formally charged with coordination of environment protection activities of the state agencies. No coordination procedures that are needed to implement the rules have been set up. At the same time, an inter-agency agreement procedure in ministerial decision making is used for the purpose of coordinating decisions connected with regulation of nature use and environmental protection. Like in other CIS Caspian States, it means the procedure of getting mandatory agreements of certain ministries for issuing permits for the use of natural resources. The system works rather effectively in permitting, however, due to its specific character cannot be extended to such function as inspection, control and enforcement. Certain problems arise in connection with distribution of powers among the three levels – Russian Federation, member-units of the RF and local administrations. In most cases, the powers are not clearly divided that leads to vertical duplication. For instance, the Administration of the Astrakhan oblast has set up a Fisheries Unit within its Administration that fulfills similar functions as the Fisheries Committee. Turkmenistan The system of state environmental administration and nature use is characterized by a certain level of separation of environmental functions and powers, when various natural resources are controlled by different executive agencies. Such agencies are charged with both administrative regulation of nature use and control of environmental protection rules. At the same time, the Ministry of Nature Protection is also charged with the state environmental control. In such a situation, a problem of coordination is rather serious.
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