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Presentation given at the University College Cork, Ireland Conference of the Enforcement of Environmental Law on the Topics of Risk based enforcement, Environmental Outcomes and Environmental Regulation
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Managing Risk and Delivering Outcomes through Environmental Regulation
Mr. Dara Lynott BE, MSc, PE, Ceng, FEIDirector
Office of Environmental EnforcementEnvironmental Protection Agency
All or part of this publication may be reproduced without further permission, provided the source is acknowledged.
Outline of Talk
Development of Enforcement Strategy
Industry
Drinking water
Wastewater
The Challenge for Regulators 1
To deliver the objectives and outcomes set down in statute.
To develop a comprehensive risk assessment system which can deal with a wider range of risks both high level and facility specific so as to inform judgements about the application of resources to different areas of risk.
To understand the effectiveness of their activities – to strike the right balance between enforcement activity and other means of achieving compliance.
Note 1 – National Audit Office - UK
Or to put it another way1
“Regulators, under unprecedented pressure, face a range of demands, often contradictory in nature: be less intrusive – but more effective; be kinder and gentler – but don’t let the bastards get away with anything; focus your efforts – but be consistent; process things quicker – and be more careful next time; deal with important issues – but do not stray outside your statutory authority; be more responsive to the regulated community – but do not get captured by industry.”
.
Note 1 – “The Regulatory Craft”, by Malcolm Sparrow (2000)
Policy to action 1 – Traditional approach
Note 1: focus on Enforcement Report 2006/08
Enforcement of Regulation is more complex 1
Note 1: focus on Enforcement Report 2006/08
2005 report by Hampton on effective inspection and enforcement1
Recommended a risk based regulation
with a renewed focus on advice and education
less emphasis on inspections and enforcement for its own sake.
Note 1 Reducing administrative burdens: Effective inspection and enforcement, Hampton, P., HM Treasury, March 2005,
Risk based outcome focused enforcement 1
Note 1 – Regulatory Quality: How Regulators are implementing the Hampton Vision, National Audit Office 2008 - UK
Intermediate Outcomes 1
Note 1: focus on Enforcement Report 2006/08
Example 1
Industry
Background
To improve the standard of environmental protection within the whole of the EU
"Achieve integrated prevention and control of pollution""Prevent or... reduce emissions in the air, land and
water" ....... "including waste""to achieve a high level of protection of the
environment taken as a whole"
Purpose of the IPPC Directive
Licence Applications received & granted:
Legislation (EPA Act) enacted in 1992. First IPC Licence issued at end of 1994.
Applications received 10051
Licenses issued 878 Rejected/Refused/withdrawn/abandoned 84 Under consideration 43
Note 1 – As of November 2010
Wide range of sectors and industries – A need for effective environmental regulationFocus resources where the risks are highest
Risk based approach to licence enforcement required to:provide consistent, transparent and tangible rationale for level of enforcementresult in improved use of resources within OEE
2004 - Plan to Develop Risk Based Approach
Development timeline
Sept 2004 - Consultants appointed Steering Committee established – internal/external members Review of International Best Practices & current OEE licence
enforcement methodology; Proposed Irish system combination of English and Norwegian systems
Mid 2005 - Draft methodology developed based on best practice review;
2006 - Methodology Tested Training of key personnel Finalise guidance documentation Consultation and conference with stakeholders
Risk Enforcement & Assessment Methodology
Complexity complexity grade assigned to each activity some automatic high risk activities
Emissions The quantity of PRTR substances that are emitted to all media Location - fixed
attribute and risk is based on Location
Proximity to sensitive receptors, ecological sites; Operator Management
Environmental Management System No. of Notificable incidents
Enforcement Record No. of enforcement notices issued or legal actions Soil/groundwater contamination issues on site
IPPC Risk Assessment Methodology
Complexity Emissions Location Operator Management
Enforcement Record
High RiskMeduim Risk
Low Risk
High RiskMedium Risk
Low Risk
High RiskMedium Risk
Low Risk
High RiskMedium Risk
Low Risk
High RiskMedium Risk
Low Risk
Overall Risk Classification of Facility
High Risk Medium Risk Low Risk
A1 B1 C1
A2 B2 C2
A3 B3
OEE - ENVIRONMENTAL RISK ASSESSMENT METHODOLOGY
IPPC Risk Distribution
Note 1: Measuring the environmental performance of IPPC industry I & II (2009) - David Styles, Eileen O’Leary and Michael B. Jones
Intermediate Outcomes 1
Note 1: Measuring the environmental performance of IPPC industry I & II (2009) - David Styles, Eileen O’Leary and Michael B. Jones
Progress is published…
Drinking Water
Example 2
SI 278 of 2007 Published March 2007:
•EPA now the supervisory authority approx. 1,000 public water supplies (PWSs) •EPA must be notified of a failure to meet a DW quality standard within 24 hours•EPA can issue legally binding Directions in respect of PWSs•Failure to comply with a Direction can result in prosecution•EPA must produce legally binding guidance on monitoring, sampling and corrective actions
Design of Regulation
•E. coli detected intermittently in 5% of public water supplies (PWSs) in 2007
•Boil water notices in 53 PWSs (of 952) in 2008 affecting 118,000 persons
•60% of supplies had no chlorine monitor as part of the disinfection system
The Quality of Drinking Water in 2007
• Failure to meet E.coli standard
• Inadequate barriers to cryptosporidium
• Elevated levels of chemical parameters
• Monitoring results or EPA Audits identified lack of operational control at the treatment plant
• Identified by Health Service Executive as requiring improvement
Risk Assessment Methodology
2008 EPA report identified and published the names of:
339 public water supplies (36% of the national supply) required examination from source to consumer to determine whether replacements or upgrades were needed, or whether operational practices should be improved.
This list of 339 water supplies became the Remedial Action List
Origin of the Remedial Action List (RAL)
Media Interest
Newspaper Headlines
Intermediate Outcome
42% of supplies identified by the EPA have undertaken the necessary remedial actions Remedial works complete in 172 supplies serving over 500,000 persons in two years
All supplies on RAL have been prioritised for funding with €274 allocated
•Water Services Investment Programme (WSIP) 2010 – 2012 investment in Water Services is to increase despite overall decrease across all public services•Additions to the RAL can be added to the WSIP as part of the annual review process•Rolling programme to allow for reprioritisation if required•€1.5 m funding for WSTG in 2010 for training in water treatment/conservation
Intermediate Outcome
Status of Action Plans
Remedial actions identified and agreed timeframes
in place for this remedial work in 84% of supplies on the RAL.
Intermediate Outcome
Drinking water supplies need to be Safe and Secure;
Safe – meets the quality standards each time the supply is tested
Secure – management system in place that has identified all potential risks and reduction measures to manage these risks
Based on the World Health Organisation Water Safety Plan Approach
First Plan has been completed by Galway City Council this month
Final Outcome
31
New Model:
Example 3
Urban Wastewater
Design of regulation
Statutory Instrument 684 of 2007 in response to adverse ECJ judgement issued May 2007 Introduced a new system of licensing & authorisation for ALL
local authority controlled wastewater discharges – large and small.
Licences required for all discharges >500 p.e.
Certificates of Authorisation required for all discharges < 500 p.e. …..
…lower threshold has not been specified and EPA is currently discussing this with the CCMA Water Sub-Group….
Kick-off date was December 2007 for > 10,000 p.e.
Licence Applications received & granted:
Agglomeration size Relevant Date
No. Aps No. granted
>10,000 p.e 14th Dec 2007
64 41
2,001 to 10,000 p.e. 22nd Sept 2008
149 42
1,0001 to 2,000 p.e. 28th Feb 2009 140 18500 to 1,000 p.e 22nd June
2009171 14
< 500 p.e 22nd Dec 2009 435 1 21Σ = 959 Σ = 136
Note 1 – Must be processed by 22nd June 2011
Dynamic Risk Enforcement & Assessment Methodology (DREAM)
Allocates an enforcement category to waste water discharges on the basis of five attributes:1. Level of Treatment (Complexity)2. Observed Impacts3. Possible Impact (Location)4. Discharge Compliance (Emissions)5. Enforcement Record
DREAM: Screen shot of enforcement categories
DREAM: Screen shot of a single WWTP
DREAM: Screen shot of a single WWTP
Compliance with Urban WWTP Directive for BOD, COD, TSS
Number of WWDLs operating over and under capacity
Provision of infrastructure at WWDL facilities
Number of discharges discontinued as required by licence
Number of Storm Water Overflows meeting DOEHLG criteria
Status change in receiving water or bathing water; assimilative capacity
Intermediate Outcomes
Outcome sought
EPA State of Environment Report 2008
Progress wil be published…
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