The IMPEL Project easyTools Conference on Implementation and En- forcement of Environmental Legislation Session 3: Compliance and Enforcement

The IMPEL ProjectThe IMPEL Project

easyTools

Conference on Implementation and En-Conference on Implementation and En-forcement of Environmental Legislationforcement of Environmental Legislation

Session 3:Session 3:Compliance and EnforcementCompliance and Enforcement

Horst Büther, GermanyHorst Büther, Germany Malta, October 2013Malta, October 2013

European Union Network forthe Implementation and Enforcement

of Environmental Law







October 2013 Malta 2

HistoryHistory

1997: IMPEL – Minimum Criteria for Inspections

1999: IMPEL - Reference Book for Environmental Inspections

2001: EU – Recommendation on Minimum Criteria for Environmental Inspections

2007: IMPEL – Step by Step Guidance Book for Planning of Environmental Inspections

2011: IMPEL – easyTools Risk Assessment Guidance Book

2011: EU - Industrial Emissions Directive2012: IMPEL – Guidance for IED Inspections

easyTools

1. Planning1. Planning

4. Performance monitoring

4. Performance monitoring

1b. Setting priorities1b. Setting priorities

1c. Defining objectives and strategies

1c. Defining objectives and strategies

1d. Planning and review1d. Planning and review

1a. Describing the context

1a. Describing the context

3. Execution and Reporting

3. Execution and Reporting

2. Execution Framework2. Execution Framework

ENVIRONMENTAL INSPECTION CYCLEENVIRONMENTAL INSPECTION CYCLE

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easyTools Project 2010/11easyTools Project 2010/11

Risk Assessment in Inspection Planning

Development of a web based risk assessment tool for inspections like IPPC (IED), Seveso, waste, waste water, genetic engineering, agriculture and so on

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ObjectivesObjectives

Evaluation of existing inspection tools and risk criteria

Development of a risk assessment tool for environmental inspections that could easily be used by every IMPEL member

Integration into the inspection cycle of the Step by step guidance book (DTRT)

Availability from the IMPEL website as an advanced interactive IT tool

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MaltaOctober 2013





Methods for Risk AppraisalMethods for Risk Appraisal

Results of the easyTools enquiry• Nearly all methods developed in the EU use

risk criteria to determine the inspection frequency

• Only France uses inspection tasks for risk ranking

• Three basic methods were identified: Linear mean value of risk criteria scores The same multiplied by a probability factor Maximum value / highest frequency (France)

• All want a simple method for risk appraisal

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6MaltaOctober 2013









Linear Mean Value: examplesLinear Mean Value: examples

5

4

3

2

1

0

Average Risk = 3.8

IC 1 IC 2 IC 3 IC 4 IC 5 IC 6

5

4

3

2

1

0

Average Risk = 1.7


5

4

3

2

1

0

Average Risk = 3


5

4

3

2

1

0

Average Risk = 3


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8

Risk CriteriaRisk CriteriaPotential impactsPotential impacts Kind and type of installation Risk of accidents Handling and storage of waste Actual impactsActual impacts Levels and types of emissions: air, water, soil Sensitivity of the local environment Incidents and accidents Operator performanceOperator performance Compliance with permit conditions Attitude of the operator Environmental management system (EMAS)

easyTools

Malta

Regional DistrictAdmin. Cologne

Environmental permitRn: 53.8851-16- 03513

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Potential ImpactsPotential ImpactsType and Kind of Installation

1

2

3

4

no

5

0

1

2

3

4

5

BuildingPermit

Environ.Directive

Environ.Permit

IED IED +Directive

IED + 2Dirctives

Sc

ore

Ins

pe

cti

on

fre

qu

en

cy

(y

ea

rs)

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Potential ImpactsPotential ImpactsDangerous Waste

5

no

4

3

2

1

0

1

2

3

4

5

No DW DW < 2t/y DW > 2t/y DW >350t/y

DW >3,500t/y

DW >20,000t/y

Sco

re

Insp

ectio

n fr

equ

ency

(yea

rs)

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Actual Impacts by …Actual Impacts by …Releases to air, water and soil

5

no

4

3

2

1

0

1

2

3

4

5

NonPRTR

PRTR<TV

DifferentPollut.

PRTR>TV

PRTR>5TV

PRTR>10TV

Sco

re

Insp

ectio

n fr

equ

ency

(yea

rs)

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Actual Impacts on the …Actual Impacts on the …Environmental Quality

5

no

4

3

2

1

0

1

2

3

4

5

Noinfluence

Minorinfluence

Moderateinfluence

Thresh.value

< 3% ofTV

> 3% ofTV

Sco

re

Insp

ectio

n fr

equ

ency

(yea

rs)

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Apraisal of the Installation

5

no

4

3

2

1

0

1

2

3

4

5

Type /Kind

Danger.Subst.

Danger.Waste

Emisions Environ.Quality

Incid. /Accid.

Sco

re

Insp

ectio

n fr

equ

ency

(yea

rs)

easyTools IIntegrated ntegrated RRisk isk AAssessment ssessment MMethodethod

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IRAM principles

I. The inspection frequency is determined by the highest impact score

II. The inspection frequency is reduced by one step, if the set number of highest scores is not met (the Rule)

III. The inspection frequency can be changed by one step up or down based on operator performance

IV. The more criteria are scored high, the more inspection effort is needed


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Influence of Operator Performance

Operator performance criteria: Compliance► Attitude of the operator► Environmental management system ►

Scoring of operator performance criteria: good: -1► moderate: 0► bad: +1►

The average (integer) of the operator performance scoring is added to each impact criteria score

risk scorerisk score


►►

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IRAM Principle III:IRAM Principle III:Operator PerformanceOperator Performance

Impact of the Installation

5

no

4

3

2

1

0

1

2

3

4

5

Type /Kind

Danger.Subst.

Danger.Waste


Incid. /Accid.

Sc

ore

Ins

pe

cti

on

fre

qu

en

cy

(y

ea

rs)


1

2

3

4

no

5

0

1

2

3

4

5

Type /Kind

Danger.Subst.

Danger.Waste


Incid. /Accid.

Sc

ore

Ins

pe

cti

on

fre

qu

en

cy

(y

ea

rs)


5

no

4

3

2

1

0

1

2

3

4

5

Type /Kind

Danger.Subst.

Danger.Waste


Incid. /Accid.

Sc

ore

Ins

pe

cti

on

fre

qu

en

cy

(y

ea

rs)

easyTools

MaltaOctober 2013









IRAM Principle IV:IRAM Principle IV:Inspection EffortInspection Effort

5

4

3

2

1

0

High Inspection Effort


5

4

3

2

1

0

Low Inspection Effort


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17MaltaOctober 2013





Implementation of the IED into the Implementation of the IED into the (German) Law on Pollution Control(German) Law on Pollution Control

Betensted / Grandjot / Waskow, ZUR 7-8/2013, 395-403:

Inspection Programs...assessment methods are developed that distinguish between impact and operator criteria; the mean value problem, …, shall be solved by using the most severe criterion for determining the inspection frequency.

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Web Tool and DatabaseWeb Tool and Database

The IRAM rules were implemented into a web based programme for risk assessment in inspection planning

The programme distinguishes between:Coordinator --- decides on inspection task, criteria, and ►steering terms and factorsInspector ------ does the risk assessment►

No assessment data storage in the internet The assessment data can be downloaded as xml- or csv-files and be imported into national data bases

(Access and Excel) Address of the programme:

https://www.fms.nrw.de/lip/authenticate.do

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easyTools

Lucom Interaction PlatformLucom Interaction PlatformLucom Interaction PlatformLucom Interaction Platform

easyTools

October 2013

EnglishEnglish

LogonPlease enter your logon data of user-id and password.

user-id:

password:

[Download the description of the tools for the Integrated Risk Assessment Method]

Register

Reset password

Integrated Risk Assess





Malta 21

easyTools


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New Language VersionsNew Language Versions


October 2013

English

Czech

Deutsch

Français

Hrvatski

Portuguese

Slovenian

easyTools

Welcome, Koordinator BR Köln!

Date of the last logon: April 1, 2013 at 6:14 PM

You are on the IMPEL form server that provides you with an application for risk assessment in inspection planning.


October 2013 Malta 26

Guidance bookGuidance book

Introduction in Risk Assessment

Integrated Risk Assessment Method (IRAM)

Manual of the online IRAM tool

Examples of impact and probability criteria

Final version February 2012

easyToolseasyToolsRISK ASSESSMENTGUIDANCE BOOK

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Cologne Workshop Cologne Workshop ConclusionsConclusions The methodology is accepted The comparison with other systems confirms the value

of IRAM The IRAM tool is an added value and organisations can

start implementation Procedural arrangements in the member countries need to be made

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Utilisation of IRAMUtilisation of IRAMIRAM is (considered to be) used by Inspection Authorities of

Austria, Belgium, Croatia, Czech Republic, Denmark, Estonia, Finland, France, Georgia, Germany, Greece, Iceland, Italy, The Netherlands, Poland, Portugal, Slovakia, Slovenia, Turkey and RENA member countries.

29

easyTools

MaltaOctober 2013

[email protected]@brk.nrw.de

Malta 30October 2013

Documents

The IMPEL Project easyTools Conference on Implementation and En- forcement of Environmental Legislation Session 3: Compliance and Enforcement