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www.skep-era.net [email protected] TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner Environment Agency for England & Wales

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Page 1: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective

Dr Simon GardnerEnvironment Agency for England & Wales

Page 2: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

2000/60/ECCOMMPS procedure - Frauenhofer Institute

Common Implementation Strategy (CIS)Ecological Quality Ratios (EQRs) - Predicting species assemblages

Inter-calibration (JRC)River Basin Characterisation (RBC) - pressures and impacts

2005/07/ECbacterial pollution incident prediction

91/271/ECWQ models:

phosphate/orthophosphatenitrate/DAIN/DAIPnutrient budgets

91/676/ECNO3 -based surface and

Groundwater health protection and

eutrophication models

Habitats Directivephosphate/orthophosphate

nitrate/DAIN/DAIPnutrient budgets

79/923/EECWQ models:

bacteriological concentrations

Page 3: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

European Commission Infractions Interest

In the interests of driving what it regards as full implementation of European Union legislation, the Commission typically exerts pressure on a Member State via either direct legal pressure:

- pre-Article 226 warning letter of formal notice- Article 226 ‘Reasoned Opinion’letters

- pre-Article 228(1)1, 228(2)2 letters of formal notice- Article 228(1) 1, 228(2)2 ‘Reasoned Opinion’ letters

- referal of unresolved cases to the European Court of Justice (ECJ)- the levying of daily fines in Euros

1Commission ECJ action (Article 226) leading to Article 228(1) judgment2Second ECJ action: fine against non-compliance with 1st judgment (Article 228(2))

Page 4: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

European Commission Infractions Interest

Or indirect pressure:

- prosecution of other Member States as an example- informal discussions

- use of negative publicity- encouraging Member States to infract each other under Art. 227

Page 5: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

European Commission Infractions Interest

Common triggers for the initiation of infraction proceedings include:

1. Unacceptable time delays

- to the transposition of Commission legislation into domestic law

- to the identification of sites to be protected under the Directive in question

- to remediation measures designed to reduce pollution in identified sites (NVZ Action Programmes; treatment additional to

secondaRy at qualifying discharges)

- to reporting on the environmental effects of implementation

Page 6: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

European Commission Infractions Interest

Common triggers for the initiation of infraction proceedings:

2. Incomplete or incorrect transposition

- via inappropriate legal means (ex. Circulars)

- via too restrictive a site identification policy(ex. flawed interpretation of an Article within a Directive)

- as a result of inadequate or insufficient remediation measures employed at identified sites (ex. an assessment of which

qualifying discharges are deemed to impact on a Sensitive Area)

Potential modeling link

Page 7: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

European Commission Infractions Interest

Subsidiarity - a double edged swordThe subsidiarity principle pursues

two opposing aims:

On the one hand, it seeks to uphold the authority of the

Member States in those areas that cannot be dealt with more

effectively by Community action.

On the other, it allows the Community to act if a problem

cannot be adequately settled by the Member States acting on their

own.

Imprecise and vague wording are intrinsic to the drafting of EC legislation - however, the benefits of subsidiarity often fall in the

Commission’s favour

Page 8: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

European Commission Infractions Interest

Non-conformity Environment Cases(by Member State, December 2002)

14

8 8 7 7 7 7 6 5 5 4 3 2330

2

4

6

8

10

12

14

16

A D F E FIN I UK B IRL NL S EL L P DK

Page 9: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

European Commission Infractions Interest

There is an extensive history of infraction cases against EU Member States, and the UK is no

exception.

Recent domestic infraction cases have been drawn up on the basis of:

Page 10: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

European Commission Infractions Interest

Art. 228 Reasoned Opinion 2106/96 (91/676/EEC)“non-identification of

Nitrate Vulnerable Zones in the United Kingdom”

Reasoned Opinion 2265/98 (91/271/EEC)

“non-identification of Sensitive Areas deemed to

be eutrophic by the Commission (ongoing)”

Art. 226 Reasoned Opinion 4126/00 (78/659/EEC)

“insufficient identification of salmonid and cyprinid

stretches”

Pre-Art. 228 (C-427/00)(76/160/EEC)

“for continued non-compliance with the limit values set out in Article 3 of the Council Directive”

Art. 228 4756/96(79/923/EEC)

“failure to designate shellfish waters; to establish pollution control programmes; and to

sample parameters correctly”

Page 11: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

European Commission Infractions Interest

A Directive may attract a sequence of legal challenges from the Commission, and the nature of the infraction often develops in parallel with the

stage of implementation of a Directive

Page 12: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

Oct 02. 2nd designation of NVZs in England – total NVZ area now 55%

Dec 02. 2nd round of action programme

measures in force

Dec 03. Infraction chefs meet to decide on UK case. If they are not satisfied with the UK’s response the case will go back to the ECJ and if found guilty the UK will be fined.

1991 19961992 1993 1994 1995 1997 1998 2002200120001999 2003 2004

Dec 91. Directive adopted by Council having been formally proposed 3 years earlier in Dec 1988 by Commission.

Dec 93. Directive should have been transposed into national law, NVZs should have been designated and codes of good practice established

Dec 95. Action programmes within NVZs should have been established.

Oct 96. Infraction proceedings against the UK begin with an article 226 letter of formal notice from the Commission

June 98. Infraction progresses to second stage of article 226 - reasoned opinion.

Dec 00. After a hearing in the European Court of Justice (ECJ) it rules against the UK and orders them to comply.

Oct 01. Infraction proceedings progressed to the next stage when the Commission sent a letter of formal notice under article 228.

April 03. The Commission issues a reasoned opinion under article 228 which the UK responds to in May 03 detailing method and scope of new designations.

April 96. 1st

designation of NVZs in England – total NVZ area 8%

28 months late

36 months late

Dec. 98. Action programme measures in place in NVZs.Commission

deadlines. Department actions in italics.Dates relating to Commission infraction proceedings

Time between deadline and date achieved

Dec. 01. Consultation on 2nd round of NVZ consultation in response to infraction proceedings

62 months after infraction proceedings began

July 91. Codes of agricultural good practice established – prior to adoption of Directive

29 months before Commission deadline

Case study: Timeline showing the implementation of the Nitrates Directive against Commission deadlines and the progress of the infraction case against the UK

Page 13: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

European Commission Infractions Interest

In the decade between 1992-2002, the Commission registered 280 dossiers relating to presumed or ascertained violations of EC

environmental legislation in the UK.

These dossiers were open on the basis of:

complaintspetitions

parliamentary questions, andCommission own-initiative investigations

Page 14: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

European Commission Infractions Interest

Infractions under Article 226 of the Treaty have been initiated in 84 of these 280 cases:

On the 2nd of October 2003, 106 dossiers concerning presumed or confirmed breaches of EC environmental legislation in the UK

remained open

Air pollution - 12Waste - 15Nature - 13

Chemicals - 9Water - 17

Environmental Impact Assessment - 10GMOs - 3

Other Sectors of environmental legislation - 5

Page 15: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

European Commission Infractions Interest

The UK can reasonably expect to experience continued infractions pressure in the future,

because of three basic facts...

#1 History tells us that the UK has never implemented any significant piece of European Union environmental water quality legislation and

escaped infraction pressure from the Commission

#2 The more complex the legislation, the greater the chance of incorrectly implementing it (compare 76/160/EEC to 2000/60/EC)

#3 The goalposts often move. What the Commission regards as “adequate” implementation has a tendency to become more exacting

over time.

Page 16: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

European Commission Infractions Interest

“Ever tried? Ever Failed? No matter. Try again. Fail again. Fail better.”

Samuel Beckett

Page 17: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

Some future challenges for theuse of models in the EU

- re-establishment of credibility (Arthur Petersen)

- detailed argument received as disemblement or filler (only 5-10% of a document is commonly read - Jeroen van der Sluijs)

- the precautionary principle: underlining quantitative certainty?(what is significant: 1%, 10%, 30%...)

- clear usage, ie. for discrete and qualified deliberative problem solving - [despite political pressure for perfect knowledge]

- to educate Government Ministry & Commission policy and legal staff - a form of ‘uncertainty communication’. Use of science/model translators;

- to encourage the EC to develop guidance on the consideration of models (a difficult task given questions relating to subsidiarity and institutional goals);

- involvement of policy-makers in model development

Page 18: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

An Environment Agency led co-ordination initiative to bring together the key funders of national environmental research programmes to generate this knowledge in partnership and improve links with environmental protection and policies

WHAT is the‘SKEP ERA-NET’?

Page 19: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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SKEP participants

17 partners from 13 European countries funding environmental research to support environmental

protection regulation and policy

Page 20: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

[email protected]

SKEP Observers

Page 21: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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The aims of SKEP

Foster Joint Calls

Identify overlaps in research activities Identify gaps in

research portfolios

Current fragmentation - separate national programmes, no consultation, duplication, missed opportunities for collaboration, sharing and developing innovation

Full integration – joined up national programmes, collaborating on issues of common concern using experience

Identification of common strategic issues – current and future research themes and ‘horizontal themes’, e.g. dissemination

Development of joint activities – development of guidelines for good practice in programme management, research evaluation, dissemination and implementation

Implementation of joint research activities - for 2 thematic and/or ‘horizontal’ areas

Systematic exchange of information – research plans and priorities, policy-makers’ needs, good management and dissemination practices

Page 22: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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SKEP Work Packages

WP 2: Exchange of research programme information (EA)

WP 3: Best practice in researchmanagement (FiMoE, SYKE)*

WP 4: Dissemination and implementation of research (SwEPA)*

WP 6: Investigate emerging issues forfuture research planning (MEDD, ADEME)

WP

5: Plan and develop collaborative

work areas (IE

PA

)

WP

1: ER

A-N

ET

managem

ent and co-ordination (E

A)

Page 23: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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Implementation timetableJune 2005

Year 1 Year 2 Year 3 Year 4WP1 Co-ordinationWP2 Develop data toolWP2 Collect dataWP2 Portfolio analysisWP3 Survey of research best practiceWP3 Workshop programmeWP3 Reports and guidelines for researchWP4 Survey current implementation practiceWP4 Define implementation best practiceWP5 Select area for joint activitiesWP5 Develop action planWP5 Deliver joint activityWP5 Review joint activityWP6 Review horizon-scanning activitiesWP6 Recommenations for future research

June 2009

Page 24: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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Work Package 1‘Management and co-ordination’

Page 25: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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Work Packages

Experts as required(all participant organisations)

Work Package LeadersGroup

(EA, FiMoE, SYKE, SwEPA, IEPA, MEDD, ADEME)

Advisory Board(Invited external experts)

DG-ENV, DG-RTD, EEA, USEPA, NEPA

Observer Institutions

(Interested non-participants)

Co-ordination Office

3-4 core staff (EA)

Network SteeringCommittee

Science/Research Directors(one /participant organisation)

6 monthly meetings

annual meetings

Environment AgencyProject Board

SKEP administrative structures

SKEP Advisory Board

Ingvar Andersson, EEA Pierre Valette, DG-RTD

Irja Vounakis, DG-ENV

Savka Kucar Dragičević ,

NEPA; Croatian EPA

Pasky Pascual, USEPA

Page 26: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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SKEP (CA, 2005)‘Scientific knowledge for environmental protection

– network of funding agencies’Field: Environmental science;

environmental technology; policy developmentwww.skep-era.net

BiodiversitySustainable Development/

Horizon Scanning

Energy Water Resources/Flood Defence

Coastal and Marine research

Contaminated Land

Climate Change Agriculture and Food Safety

Transport

BIODIVERSA (CA, 2005)‘Biodiversity research ERA-NET’

Field: Biodiversitywww.biodiversa.net

FORSOCIETY (CA, 2004)‘Laying the foundations for an ERA-NET on

foresight and society’Field: Forsight, Science and Society

http://www.eranet-forsociety.net/

WOODWISDOM (CA, 2003)‘Networking and integration of national

programmes in the area of wood material science and engineering’

Field: Wood material sciencewww.woodwisdom.net

SUSPRISE (CA, 2003)‘Networking, co-ordination, co-operation and

integration of national RTD programmes in the field of the sustainable enterprise’

Field: Sustainable industrial developmentwww.susprise.net

MNT (CA, 2003; 2005)‘From micro- and nano-scale science to new

technologies for Europe’Field: Nanotechnology, micro-systems, micro-

technologywww.mnt-era.net

ERA-BUILD (CA, 2004)‘Strategic co-operation between national

programmes promoting sustainable construction and operation of buildings’

Field: Building construction and operationwww.erabuild.net

WORK-IN (CA, 2004)‘Labour and innovation: Work-oriented innovations

– a key to better employment, cohesion and competitiveness in a knowledge-intensive society’

Field: Innovation in work organisationwww.workinnet.org

EraSME (CA, 2004)‘ERA-NET on national and regional programmes to promote innovation, networking and co-operation

between SMEs and research organisations’Field: Innovation by SMEs

www.era-sme.net

MATERA (CA, 2005)‘ERA-NET materials’

Field: Materials Sciencewww.matera.fi

Nanosci-ERA (CA, 2005)‘Nanoscience in the ERA’

Field: Nanosciencehttp://www.iemn.univ-lille1.fr/cnanono/nanosci-era.htm

VISION (CA, 2005)‘Shared knowledge base for sustainable innovation

policies’Field: Innovation policywww.visioneranet.org

FENCO (CA, 2005)‘Promotion of an integrated European and national

R&D initiative for fossil energy technologies towards zero-emission power plant’

Field: Energyhttp://www.fenco-era.net/

ERA-NET BIOENERGY (CA, 2004)‘ERA-NET Bioenergy’

Field: Renewable energy sourceswww.eranetbioenergy.net

PV ERA-NET (CA, 2004)‘Networking and integration of national and regional programmes in the field of photovoltaic (PV) solar energy research and technological development in

the ERA’Field: Renewable energy sources

www.pv-era.net

HY-CO (CA, 2004)‘CA to establish a hydrogen and fuel cell ERA-NET,

Hydrogen-Co-ordination’Field: Alternative energy

www.hy-co-era.net

ACENET ERA-NET (CA, 2004)‘ERA-NET for applied catalysis in Europe’

Field: Applied catalysis and sustainable chemistrywww.acenet.net

INNER (CA, 2005)‘Innovative energy research’

Field: Energywww.inner-era.net

IWRM (CA, 2006)‘Towards a European-wide exchange network for

improving dissemination of IWRM research outcomes’

Field: Integrated water reources managementhttp://www.oieau.fr/eranet/

CRUE (CA, 2004)‘Co-ordination of the research financed in the

European Union on flood management’Field: Flood management

www.crue-eranet.net

EUWI ERA-NET (SSA, 2005)‘Co-ordination of Member State research

programmes in water science and technology for the developing world’

Field: Co-ordination of national and regional activities

www.euwi-era.netwww.euwi.net

BONUS (CA, 2003)‘BONUS for the Baltic Sea science network of

funding agencies’Field: Marine Sciencewww.bonusportal.org

MARINERA (CA, 2004)‘Co-ordination of national and regional marine RTD

programmes in Europe’Field: Marine science and technology

www.marinera.net

AMPERA (CA, 2005)‘European concerted action to foster prevention

and best response to accidental marine pollution’Field: Marine Pollution

www.ampera.net

COASTAL-ERA (SSA, 2005)‘Co-ordination of the research financed in the

European Union on flood management’Field: Marine water quality/food standards

www.coastal-era.net

SNOWMAN (CA, 2003)‘Sustainable management of soil and groundwater

under the pressure of soil pollution and soil contamination’

Field: Soil and groundwater protectionwww.snowman-era.net

CIRCLE (CA, 2005)‘Climate impact research co-ordination within a

larger Europe’Field: The impact of and adaptation to climate

changewww.umweltbundesamt.at/umwelt/klima/projekta/

circle/

EUROPOLAR (CA, 2005)‘The European Polar Consortium’

Field: Polar researchwww.europolar.org

PERIAPT (SSA, 2003)‘Pan-European pro-active identification of emerging

risks in the field of food production’Field: Food productionhttp://www.periapt.net/

CORE Organic (CA, 2004)‘Co-ordination of European trans-national research

in organic food and farming’Field: Organic food and farming

www.coreorganic.org

SAFEFOODERA (CA, 2004)‘Food safety – forming a European platform for

protecting consumers against health risks’Field: Food safety

www.safefoodera.net

ERA-ARD (CA, 2005)‘The agricultural research for development

dimension of the ERA’Field: Agriculturewww.era-ard.org

ERA-NET ROAD (CA, 2005)‘Co-ordination and implementation of road research

in Europe’Field: Road Research

www.road-era.net

ERA-NET TRANSPORT (CA, 2005)‘ERA-NET Transport’

Field: Transportwww.transport-era.net

ERAPG (CA, 2003)‘European research area plant genomics’

Field: Genomicswww.erapg.org

ERA-SAGE (CA, 2005)‘ERA on societal aspects of genomics’

Field: Ethical, legal and social aspects of genomics

www.erasage.org

Genomics

Key

Denotes a Co-ordinated Action

Denotes a Specific Support Action

Env

ironm

enta

l Res

earc

hE

nviro

nmen

tal P

olic

y D

evel

opm

ent

Other Environmentally-related ERA-NETs that fall under these research headings

Research Areas and Policy links for ERA-NET Projects(Series I-III) with Relevance to the Environmental Sphere

http://cordis.europa.eu/coordination/projects.htm

Page 27: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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As a screening tool for Science Departments to:

- prevent unnecessary expenditure on parallel projects

- promote collaborative working on projects of joint concern to extend their science budgets

- disseminate their science more effectively

WP2 outputs: A consolidated database of research activities (June 2006), and a strategic assessment of environmental research activities across Europe (June 2007 ) will be used:

Work Package 2 - ‘Exchange of research programme information’WP2 is dedicated towards developing an understanding of the overall portfolio of research being funded by the SKEP participants, the identification of research themes, gaps and the consequent identification of opportunities for joint research activities.

Page 28: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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‘Exchange of researchprogramme information’

Milestones and expected resultsM.2.1 (6 months)Workshop to review existing systems and finalise specifications for information tool and analysis

M.2.2 (12 months)Information tool available on a live web site (D2.1)

M2.3 (24 months)Portfolio analysis completed - including the identification of areas for information-sharing and collaboration to feed into other Work Packages (D2.2)

Work Package 2:

Page 29: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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The SKEPproject website

Page 30: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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The SKEPresearch database

Page 32: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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Launched: 30th June 2006

http://www.skep-era.net/site/81.asp

Page 33: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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Graphical searches

Page 35: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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Text searches

Page 36: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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Theme maps of research expertise

Topic maps to link environmental research

Identifying gaps and overlaps on activities via Heat maps

Knowledge management toolsto support SKEP WP2: Phase 2

Page 39: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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Timeline for the exchange of research data

Part II: Undertaking a strategic assessment of exchanged data

Early 2007- Preparation of a strategic analysis of quality-assured data. The analysis will look

at:

End June 2007- Overview report of

participants’ research to identify duplication, gaps and

priority topics including suggestions for information-sharing and collaboration in

areas where participants have, are or are planning to carry

out similar research.

End June 2006- Launch of Knowledge

Management tool on project website

- What are the thematic issues of the research programmes where are the gaps?

- What are the drivers and pressures of the

programmes and how they have to be managed in order to facilitate co-

operation?

- What is the timing and life cycle of research

programming for each organisation?

- How will National Research Directors make use of this knowledge to

improve funding efficiency and thematic focus of

programmes?

- What tools are necessary to maintain co-

operation?

Network Steering Committee decide which research areas for future

collaboration will be developed in WP5.

Early June 2007- 3 day workshop to condider the draft

portfolio analysis of exchanged research

information

Page 40: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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Potential avenues (external) for future development of theSKEP database of environmental research funding

SciMIS

SKEPdatabase

Page 41: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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Work Package 3‘Best practice in research programme management’

Progress to date:

Stage 1: A study on programme management across European countries will be undertaken. A questionnaire for participants will be developed which will investigate their programme project cycles and specific issues of good practice and concerns that they would like to investigate. ‘In-situ’ and telephone interviews will be made of 15-20 key programme management staff in participant countries.

A 2-day workshop in Finland will explore good practices on programme management identified fromthe questionnaire. Key topics will be to identify common good practices on:

• planning procedures and general programme management• mechanisms for research programme development

(e.g. how to identify policy needs and ensure policy implementation of results)• leading successfully projects• peer review facilities

Page 42: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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Work Package 3‘Best practice in research programme management’

Stage 2: This task will explore research evaluation schemes including:• proposal evaluation• project evaluation• overall programme evaluation

The questionnaire developed in Stage1 will have already collected some of the initial information for this task.

Based on the results of the questionnaire, phone interviews will be made to key programme management staff in participant countries.

Further issues to be investigated are how, when, and should who carry out evaluation schemes. Also whether the objectives of the project/programmes were achieved? The exact design of a workshop will be defined after the interview phase. This task will be completed by a 2-day workshop.

Page 43: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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Stakeholders evaluating project proposals in programmes with criteria for scientific quality and/or policy effectiveness

Methods used to assess project proposals

- In-house experts in the funding organisation assessing project proposals and/or deciding on the funded projects;

- External national and/or international experts assessing project proposals and/or deciding on the funded projects;

- A programme steering group deciding on the funded projects;

- Thematic evaluation teams (3-10 people) that quantitatively and/or qualitatively assess how each of the proposals meet the set criteria;

- A combination of a management committee and thematic sub-committees of external experts;

Page 44: Www.skep-era.net skep@environment-agency.gov.uk TAUC - underlying theory and method #3: ‘the legal discourse’: a European perspective Dr Simon Gardner

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Recommendations for best practice for evaluating project proposals

1. An open two-step process for inviting project proposals can be used in larger research funding programmes. The intent of applications in the first round is to highlight what is being done in the research field, and enable inviting the more promising projects to submit a full research plan.

2. Clearly defined criteria, that are linked to the objectives of the Programme, and that are followed strictly and transparently in evaluating the project proposals reduce problems during the Programme.

3. Scientific quality is the most important criterion. It should, however, be balanced with other important criteria: policyrelevance, collaboration, innovativeness.

Expertise in reviewing project funding proposals

4. In addition other useful criteria can be used, such as those related to societal benefits or to dissemination of results.

5. A panel or a group of people should be used in evaluating project proposals to take into account the "big picture" and make the evaluation more democratic.

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i. Recommendations for best practice in programme management structure

4. Using a programme board whose members are motivated and somehow reflect the aims of the programme is also recommended. A programme board can consist of a variety of members including funding agencies, scientific experts, and the end-users of results, e.g. from public administration, businesses and NGOs.

5. A separate steering committee can be used for following up and advising the programme or individual projects. In this case ensuring the commitment of the members of the committee is important.

Compilation of the programme board in programmes with selected project

funding criteria

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Work Package 4‘Best practice in research programme management’

Progress to date:

This work package is about comparing procedures and tools for assuring the best communication anduse of research results.Stage 1: Current dissemination and implementation activitiesA questionnaire will be used to gather information from policy makers and programme managers. A consultant will carry out a mapping exercise of how the process of implementation of research results is undertaken in all the participant organisations. The above questionnaire and the consultant investigation will be presented at a 3-day workshop with 15-20 policy makers and programme managers recruited from the different funding organisations and the research community.

Stage 2: International ConferenceAn effort will be made to present the results of WP4 at an international conference like the "Bridging the Gap" conferences or other meetings such as Science Meets Policy initiatives.

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The case studies and survey will constitute the heart of the study. They will explore the following five areas:

1. The planning and management of research projects and programmes: in particular, the ways in which potential end-users of the research are involved in planning, project selection, project and programme management, and potentially the co-production of knowledge.

2. The communication of results: the routes and mechanisms for bringing the research results to the attention of users.

3. The roles of interpreters and intermediaries in making results available to users in a form which is useful.

4. Engagement with stakeholders: how to ensure that information is made available to stakeholders in a form which meets their information needs, enables them to play an effective role in the decision-making process, and that processes are transparent and build trust.

5. The evaluation of processes of dissemination and utilisation.

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- to guide the management of future Science programmes;

- to increase the impact of our Science by learning from European best practice;

- to influence the development of guidance for evidence-based policy;

- to influence the wider debate on Science governance within other initiatives in the domestic and international (‘Science meets Policy’) arena;

WP3: A report on best practice in the management of environmental research programmes (June 2006 ) and guidelines on common evaluation procedures (June 2007 ) will be used to:

European recommendations for best practice

WP4: A report on current activities in the dissemination and implementation of science for environmental policy makers of environmental research programmes (June 2007 ) and guidelines on best practice (June 2008 ) will be used to:

www.SciencemeetsPolicy.eu

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Work Package 5‘Plan and develop collaborative work areas’

Progress to date:

This work package will deliver two co-ordinated actions to explore the feasibility of conducting joint calls and to provide a framework for future collaborative activities by environmental research funders. A small-scale pilot joint call for proposals will be launched in month 24 using information collected in other SKEP work packages. A review of this pilot call will be conducted to examine the barriers and solutions for collaboration and to inform the development of a full-scale joint call for proposals involving the members of the SKEP network. Thematic areas of strategic and trans-national relevance will be identified and developed for this joint call through further outputs of WP2, WP3 and focus on WP4 and WP6 to include:

• WP6: Emerging themes (e.g. Environmental applications of nanotechnology) or orphan themes – area of high importance for policy makers, but where there may only be limited national research capability (e.g. research at the interface between social, environment and the economy, environmental & social justice);• WP 4: Horizontal activities (e.g. Strategy for effective communication of research, promotion of evidence-based approach to policy making)

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- to pool scientific expertise across the EU in order to produce effective, well-disseminated research to European policy-makers;

- to extend the effectiveness of Science budgets

- to foster partnerships activities and share expertise;

WP5: The creation of a lasting framework for engaging in collaborative research (Test joint call: December 2007 ; Main joint call: June 2008 ) will be used to:

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Work Package 6‘Investigate emerging issues for future research planning

Progress to date:

This work package has the objectives of investigating current methods for future planning or ‘horizon scanning’ for research areas and proactively investigating one emerging issue for horizon scanning, identify the policy and operational questions we need to address to tackle the information needs of policy makers and other stakeholders.

Progress to date:

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SKEP ERA-net : Scientific Knowledge for Environmental ProtectionWork Package 6 – Investigate emerging issues for future research

planningParis, June 12th and 13th

How to identify emerging long term strategic issuesfor environmental research and policies ?

I. An examination of existing practice by horizon-scanners across the EU, and

II. A debate on the topic area to be selected for in-depth study (aided by two completed questionnaires)

Science-Policy assessment

Emerging issues‘GRIN’ technologies

Impacts on regulators

Topic area

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SKEP co-ordination team: [email protected] website: www.skep-era.net

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