Joint European Commission – IMPEL Joint European Commission – IMPEL Seminar on Environmental InspectionsSeminar on Environmental InspectionsWednesday 17 November 2010Wednesday 17 November 2010Hotel Le Meredien, BrusselsHotel Le Meredien, Brussels

Presentation by Jan TeekensPresentation by Jan TeekensCo-Chair IMPEL Better Co-Chair IMPEL Better Regulation ClusterRegulation Cluster

Appraisal of current and future body of Appraisal of current and future body of criteria and requirements related to criteria and requirements related to environmental inspections and how this environmental inspections and how this can be supported by IMPEL projects can be supported by IMPEL projects and activitiesand activities

3

Content of this presentation

The Inspection Cycle and criteria for waste shipment inspections

RMCEI, IED, IPPC and IMPEL Work in progress, IMPEL’s role Topics for discussion

4

Waste Shipment inspectionsWaste Shipment inspections

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 context1a. Describing the context

3. Execution and Reporting

3. Execution and Reporting

2. Execution Framework2. Execution Framework

Inspection Cycle

5

Inspection Cycle Inspection requiremens for waste shipments

Planning • Understanding of illegal waste movement • Assessment of criminal activity contributing to illegal waste

shipment

• Risk profiling and risk analysis of waste streams that may result in illegal waste shipment

• Effective control strategy to ensure implementation of the WSR

• Budget

• Inspection plan covering all aspects of waste shipment inspection

• Inspection programme• Review of the inspection plan

6

Inspection Cycle Inspection requiremens for waste shipments

Execution Framework • Procedures for the preparation of an inspection• Procedures for undertaking an inspection• Procedures for the follow-up to an inspection• Sampling plan • Laboratory facilities and procedures

• High quality staff• Necessary competence• Training

Execution & reporting • Co-operation within the competent authority• Co-operation between competent authorities• relevant aspects of waste shipment inspection activity are

transparent

Performance monitoring

• Effective inspections• Inspection activities are undertaken to a high quality

7

8

RMCEI, IED, IPPC and IMPELRMCEI, IED, IPPC and IMPEL

RMCEI IED IPPC IMPEL1 - Compliance

2 - Inspections

3 - Plans and Programmes

4 - Non-routine Inspections

5 - Reports on Inspections

9

Topics RMCEI IED IPPC IMPEL1 - Ensuring compliance + + - NA1 - Response to non-compliance + ++ -

1 - Response to incidents, accidents + ++ -/+

2 - Organisation and competences + + -/+ 2 - Inspecting authority + -/+ - NA2 - Definition of inspection ++ + - NA2 - Site visit ++ + - 3 - Plans ++ + -

3 - Programmes + ++ - 4 - Non-routine Inspections ++ + - 5 - Reports on Inspections ++ + -

1. Compliance - Ensuring Compliance

IED (art. 8-1) RMCEI (art. I)

Member States shall take the necessary measures to ensure that the permit conditions are complied with.

Environmental inspection tasks should be carried out in the Member States, (…) thereby strengthening compliance with, and contributing to a more consistent implementation and enforcement of Community environmental law in all Member States.

10

1. Compliance – Responses to non-compliances

IED (art. 8-2) RMCEI

In the event of a breach of the permit conditions:•the operator immediately informs the competent authority;•the operator immediately takes the measures necessary to ensure that compliance is restored within the shortest possible time;•the competent authority requires the operator to take any appropriate complementary measures that the competent authority considers necessary to restore compliance.

11

1. Compliance – Response to non-compliances

IED (art. 8-2) RMCEI

Where the breach of the permit conditions poses an immediate danger to human health or threatens to cause an immediate significant adverse effect upon the environment, and until compliance is restored (…) the operation of the installation (…) or relevant part thereof shall be suspended.

12

1. Compliance - Incidents and accidents

IED (art. 7) RMCEI

In the event of any incident or accident significantly affecting the environment:•the operator informs the competent authority immediately;•the operator immediately takes the measures to limit the environmental consequences and to prevent further possible incidents or accidents;•the competent authority requires the operator to take any appropriate complementary measures that the competent authority considers necessary to limit the environmental consequences and to prevent further possible incidents or accidents.

13

2. Inspections - Organisation and competences

IED (art. 23-1) RMCEI (art.V-2a)

Member States shall set up a system of environmental inspections of installations addressing the examination of the full range of relevant environmental effects from the installations concerned.

Regular site visits shall be carried out to examine the full range of relevant environmental impacts, in conformity with the applicable EC legal requirements, the environmental inspection programmes and the inspecting bodies' organisational arrangements.

Operators shall afford the competent authorities all necessary assistance to enable those authorities to carry out any site visits, to take samples and to gather any information necessary for the performance of their duties for the purposes of this Directive.

Inspectors or other officials entitled to carry out site visits shall have a legal right of access to sites and information, for the purposes of environmental inspection.

14

2. Inspections - Inspecting authorities

IED RMCEI (art. II-4)

Any public authority at either national, regional or local level, which is established or designated by the Member State and responsible for the matters covered by thisRecommendation.

These may, in accordance with their national legislation, delegate the tasks provided for in this recommendation to be accomplished, under their authority and supervision, to any legal person whether governed by public or private law provided such person has no personal interest in the outcome of the inspections it undertakes.

15

2. Inspections - Definition of Inspections

IED (art. 3(21)) RMCEI (art. II-2)

Inspections: (…) undertaken by or on behalf of the competent authority to check and promote compliance of installations with their permit conditions and, where necessary, to monitor their environmental impact

Inspections (as appropriate):

•checking and promoting the compliance of controlled installations with relevant environmental requirements;•monitoring the impact of controlled installations on the environment to determine whether further inspection or enforcement action is required to secure compliance with EC legal requirements

16

2. Inspections - Definition of Inspections

IED (art. 3 (21)) RMCEI (art. II-2)

Inspections: all actions, including site visits, monitoring of emissions and checks of internal reports and follow-up documents, verification of self-monitoring, checking of the techniques used and adequacy of the environment management of the installation,

Inspections include (as appropiate):

•site visits;•monitoring achievement of environmental quality standards•consideration of environmental audit reports and statements;•consideration and verification of any self monitoring carried out;•assessing the activities and operations;•checking the premises and the relevant equipment and the adequacy of the environmental management at the site;•checking the relevant records kept by the operators.

17

2. Inspections - Site visits

IED RMCEI (art. V)

If site visits are to be carried out by more than one environmental inspecting authority, they exchange informationand coordinate site visits and other environmental inspection work.

Planned site visits should aim to promote and reinforce operators' knowledge and understanding of relevant EC legal requirements and environmental sensitivities, and of the environmental impacts of their activities.

During planned site visits the risks to and impact on the environment of the controlled installation are considered in order to evaluate the effectiveness of existing permit requirements and to assess whether improvements to such requirements are necessary.

18

3. Plans and programmes – Obligation to produce and update a plan

IED (art. 23-2/3a,b,c,f) RMCEI (art. V-2a)

Plan covering all installations at national, regional or local level.

Plan or plans at national, regional or local levels.

Plan to be regularly reviewed and, where appropriate, updated.

Plan to cover a defined time period, for example one year.Plan to include specific provisions for its revision.

Plan to include a general assessment of relevant significant environmental issues.

Plan to be produced on the basis of a general assessment of major environmental issues within the plan area.

Plan to include the geographical area covered by the inspection plan.

Plan to define the geographical area which it covers.

Plan to include a register of the installations covered by the plan.

Plan to be produced on the basis of a register of controlled installations within the plan area.

Plan to include where necessary, provisions on the co-operation between different inspection authorities.

Plan to provide for coordination between the different inspecting authorities, where relevant.

19

3. Plans and programmes – Content of plans

IED RMCEI (art. IV-3/5)

Plan to be produced on the basis of the EC legal requirements to be complied with.

Plan to be produced on the basis of a general appraisal of the state of compliance by the controlled installations with EC legal requirements.

Plan to identify the specific sites or types of controlled installations covered.

Plan to be produced on the basis of data from previous inspection activities, if any.

20

3. Plans and programmes – Content of plans

IED RMCEI (art. IV-4)

Plan should be appropriate to the inspection tasks of the relevant authorities, and should take account of the controlled installations concerned and the risks and environmental impacts of emissions and discharges from them.

Plan should take into account relevant available information in relation to specific sites or types of controlled installations, such as reports by operators (…)

21

3. Plans and programmes - Procedures for establishing programmes for routine inspections

IED (art. 23-3d/4) RMCEI (art. IV-5e)

Plan to include procedures for drawing up programmes for routine environmental inspections.

Plan to prescribe the programmes for routine environmental inspections, taking into account environmental risks.

Based on the inspection plans, the competent authority shall regularly draw up programmes for routine environmental inspections, including the frequency of site visits for different types of installations.

These programmes should include, where appropriate, the frequency of site visits for different types of or specified controlled installations.

The period between two site visits shall be based on a systematic appraisal of the environmental risks of the installations concerned and shall not exceed one year for installations posing the highest risks and three years for installations posing the lowest risks.

22

3. Plans and programmes – Frequency of site visits & risk assessment

IED (art. 23-4) RMCEI

The systematic appraisal of the environmental risks shall be based on at least the following criteria:•the potential and actual impacts of the installations concerned on human health and the environment taking into account the levels and types of emissions, the sensitivity of the local environment and the risk of accidents;•the record of compliance with permit conditions;•the participation of the operator in the Union eco-management and audit scheme (EMAS).

The Commission may adopt guidance on the criteria for the appraisal of environmental risks.

23

4. Non-routine inspections – Additional site visits; procedures for non-routine inspections

IED (art. 23-4/3e) RMCEI (art. IV-5f)

If an inspection has identified an important case of non-compliance with the permit conditions, an additional site visit shall be carried out within six months.

Plan to include procedures for non-routine environmental inspections.

Plan to provide for and outline the procedures for non-routine environmental inspections, in such cases in response to complaints, accidents, incidents and occurrences of non-compliance and for purposes of granting permission.

24

4. Non routine inspections – Nature of non-routine inspections

IED (art. 23-5) RMCEI (art. V-3)

Non-routine environmental inspections shall be carried out to investigate serious environmental complaints, serious environmental accidents, incidents and occurrences of non-compliance as soon as possible and, where appropriate, before the granting, reconsideration or update of a permit.

Non-routine site visits are carried out in the following circumstances:•in the investigation (…) of serious environmental complaints (…) and serious environmental accidents, incidents and occurrences of non-compliance (…);•where appropriate, as part of the determination as to whether and on what terms to issue a first authorisation, permit or licence for a process or activity at a controlled installation (…);•where appropriate, before the reissue, renewal or modification of authorisations, permits or licences.

25

4. Non-routine inspections - Investigations

IED RMCE (art. VII)

Serious accidents, incidents and occurrences of non-compliance are investigated in order•to clarify the causes and impact and as appropriate, the responsibilities and possible liabilities for the event and its consequences (…);•to mitigate and, where possible, remedy the environmental impacts through a determination of the appropriate actions to be taken by the operator(s) and the authorities;•to determine action to be taken to prevent further accidents, incidents and occurrences of non-compliance;•to enable enforcement action or sanctions to proceed, if appropriate; and•to ensure that the operator takes appropriate follow-up actions.

26

5. Report on site visits – Obligation to produce report on site visit

IED (art. 23-6) RMCEI (art. VI-1)

Following each site visit, the competent authority shall prepare a report describing the relevant findings regarding compliance of the installation with the permit conditions and conclusions on whether any further action is necessary.

After every site visit the inspecting authorities shall process or store, in identifiable form and in data files, the inspection data and their findings as to compliance with EC legal requirements, an evaluation thereof and a conclusion on whether any further action should follow, such as enforcement proceedings, including sanctions, the issuing of a new or revised authorisation, permit or licence or follow-up inspection activities, including further site visits. Reports should be finalised as soon as possible.

Without prejudice to Article 8(2), the competent authority shall ensure that the operator takes all the necessary actions identified in the report within a reasonable period.

27

5. Reports on site visits – Notification and publication

IED (art. 23-6) RMCEI (art. VI-2)

The report shall be notified to the operator concerned within two months.

Reports shall be properly recorded in writing and maintained in a readily accessible database. The full reports, and wherever this is not practicable the conclusions of such reports, should be communicated to the operator of the controlled installation in question according to Directive 90/313/EEC.

The report shall be made publicly available by the competent authority in accordance with Directive 2003/4/EC of the European Parliament and of the Council of 28 January 2003 on public access to environmental information within four months of the site visit taking place.

Reports should be publicly available within two months of the inspection taking place.

28

29

Work in progress, IMPEL’s roleWork in progress, IMPEL’s role

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 context1a. Describing the context

3. Execution and Reporting

3. Execution and Reporting

2. Execution Framework2. Execution Framework

Inspection Cycle

30

31

Planning RMCEI IED IPPC IMPEL

Describing the context •Identifying the scope•information gathering

++ - -

Setting priorities•Risk assessment•ranking & classification•resources

+ ++ -

Defining objectives and strategies•Inspection targets•Inspection strategies•Communication strategies

- - -

Planning & Review•Resources and conditions;•Producing plans & programmes•Review & revision

+ + -

32

RMCEI IED IPPC IMPEL

Execution Framework ++ + +/-

Execution & reporting ++ + -

Performance monitoring + - -

Quality assurance +

33

Topics for discussion… in the break out sessions What provisions of the IED on compliance and

inspections need further clarification? What is needed to proper implement these provisions? How will the implementation of these provisions

interact with the current RMCEI? What should be the future role, scope and content of a

revised RMCEI in relation to the provisions on compliance and inspections in the IED and in other EU environmental Directives and Regulations?

What requirements that can help strengthening WSR-inspections need to be considered?

34

35

Thank you for your attention!

Afternoon Programme 14:00 – 15:30

Break out sessions 15:30 – 16:00

Tea Break 16:00 – 16:40

Reporting back and Plenary discussion 16:40 – 17:00

Chair Conclusions 17:00

Closure of Seminar

36