Conference on Implementation and Enforcement of Environmental Legislation
Session 3:
Compliance and Enforcement
The IMPEL Project
easyTools

Horst Büther, Germany
European Union Network for
the Implementation and Enforcement
of Environmental Law
Malta, October 2013
easyTools
History

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 Directive
2012: IMPEL – Guidance for IED Inspections
October 2013
Malta
European Union Network for
the Implementation and Enforcement
of Environmental Law
2
ENVIRONMENTAL INSPECTION CYCLE
1. Planning
1b. Setting priorities
1c. Defining objectives
and strategies
1a. Describing the
context
1d. Planning and review
2. Execution Framework
4. Performance
monitoring
3. Execution and
Reporting
October 2013
Malta
3
easyTools Project 2010/11
easyTools

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
October 2013
Malta
European Union Network for
the Implementation and Enforcement
of Environmental Law
4
Objectives




easyTools

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
October 2013
Malta
European Union Network for
the Implementation and Enforcement
of Environmental Law
5
Methods for Risk Appraisal
easyTools

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
October 2013
Malta
European Union Network for
the Implementation and Enforcement
of Environmental Law
6
Linear Mean Value: examples
Average Risk = 3.8
5
4
4
3
3
2
2
1
1
IC 1
IC 2
IC 3
IC 4
IC 5
IC 6
0
IC 1
Average Risk = 3
5
4
4
3
3
2
2
1
1
IC 1
IC 2
IC 3
IC 4
IC 5
IC 2
IC 3
IC 4
IC 5
IC 6
Average Risk = 3
5
0

Average Risk = 1.7
5
0
easyTools
IC 6
0
European Union Network for
the Implementation and Enforcement
of Environmental
Law for
European
Union Network
the Implementation and Enforcement
of Environmental Law
7
IC 1
IC 2
IC 3
IC 4
IC 5
IC 6
Risk Criteria
easyTools

Potential impacts
 Kind and type of installation
 Risk of accidents
 Handling and storage of waste
Actual impacts
 Levels and types of emissions: air, water, soil
 Sensitivity of the local environment
 Incidents and accidents
Operator performance
 Compliance with permit conditions
 Attitude of the operator
 Environmental management system (EMAS)
October 2013
Malta
Environmental permit
Rn: 53.8851-16- 03513
Regional District
Admin. Cologne
8
easyTools
Potential Impacts

1
5
2
4
3
3
4
2
5
1
no
0
Building
Permit
October 2013
Environ. Environ.
Directive Permit
IED
Malta
IED +
IED + 2
Directive Dirctives
Score
Inspection frequency (years)
Type and Kind of Installation
European Union Network for
the Implementation and Enforcement
of Environmental Law
9
easyTools
Potential Impacts

1
5
2
4
3
3
4
2
5
1
no
0
No DW
October 2013
DW < 2t/y DW > 2t/y
DW >
350t/y
Malta
DW >
3,500t/y
DW >
20,000t/y
Score
Inspection frequency (years)
Dangerous Waste
European Union Network for
the Implementation and Enforcement
of Environmental Law
10
easyTools
Actual Impacts by …

1
5
2
4
3
3
4
2
5
1
no
0
Non
PRTR
October 2013
PRTR
<TV
Different
Pollut.
PRTR
>TV
Malta
PRTR
>5TV
PRTR
>10TV
Score
Inspection frequency (years)
Releases to air, water and soil
European Union Network for
the Implementation and Enforcement
of Environmental Law
11
easyTools
Actual Impacts on the …

1
5
2
4
3
3
4
2
5
1
no
0
No
Minor
Moderate
influence influence influence
October 2013
Thresh.
value
Malta
< 3% of
TV
> 3% of
TV
Score
Inspection frequency (years)
Environmental Quality
European
European Union
Union Network
Network for
for
the
the Implementation
Implementation and
and Enforcement
Enforcement
of
of Environmental
Environmental Law
Law
12
Integrated Risk Assessment Method
easyTools

1
5
2
4
3
3
4
2
5
1
no
0
Type /
Kind
October 2013
Danger.
Subst.
Danger.
Waste
Emisions Environ.
Quality
Malta
Incid. /
Accid.
Score
Inspection frequency (years)
Apraisal of the Installation
European Union Network for
the Implementation and Enforcement
of Environmental Law
13
Integrated Risk Assessment Method
easyTools

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
October 2013
Malta
European Union Network for
the Implementation and Enforcement
of Environmental Law
14
Integrated Risk Assessment Method
easyTools

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 score
October 2013
Malta
European Union Network for
the Implementation and Enforcement
of Environmental Law
15
IRAM Principle III:
Operator Performance
easyTools

4
3
3
4
2
5
1
no
0
Type /
Kind
Danger.
Subst.
Danger.
Waste
Emisions Environ.
Quality
Incid. /
Accid.
2
4
3
3
4
2
5
1
no
0
Type /
Kind
Danger.
Waste
Emisions Environ.
Quality
Incid. /
Accid.
Impact of the Installation
1
5
2
4
3
3
4
2
5
1
no
0
Type /
Kind
October 2013
Danger.
Subst.
Danger.
Subst.
Malta
Danger.
Waste
Emisions Environ.
Quality
Incid. /
Accid.
Score
2
Inspection frequency (years)
1
5
5
Score
Inspection frequency (years)
Impact of the Installation
1
Score
Inspection frequency (years)
Impact of the Installation
European Union Network for
the Implementation and Enforcement
of Environmental Law
16
IRAM Principle IV:
Inspection Effort
5
5
4
4
3
3
2
2
1
1
0
0
IC 2
IC 3
IC 4
IC 5
IC 6

Low Inspection Effort
High Inspection Effort
IC 1
easyTools
IC 1
IC 2
IC 3
IC 4
IC 5
IC 6
European Union Network for
the Implementation and Enforcement
of Environmental Law
October 2013
Malta
17
Implementation of the IED into the
(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.
October 2013
Malta
European Union Network for
the Implementation and Enforcement
of Environmental Law
Web 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 factors
Inspector ------► 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
October 2013
Malta
easyTools

European Union Network for
the Implementation and Enforcement
of Environmental Law
19
Lucom Interaction Platform
easyTools

easyTools

English
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Integrated Risk Assess
[Download the description of the tools for the Integrated Risk Assessment Method]
European Union Network for
the Implementation and Enforcement
of Environmental Law
October 2013
Malta
20
Lucom Interaction Platform
easyTools

easyTools

European Union Network for
the Implementation and Enforcement
of Environmental Law
October 2013
Malta
21
Lucom Interaction Platform
easyTools

easyTools

European Union Network for
the Implementation and Enforcement
of Environmental Law
October 2013
Malta
22
Lucom Interaction Platform
easyTools

European Union Network for
the Implementation and Enforcement
of Environmental Law
October 2013
Malta
23
Lucom Interaction Platform
easyTools

European
European Union
Union Network
Network for
for
the
the Implementation
Implementation and
and Enforcement
Enforcement
of
of Environmental
Environmental Law
Law
October 2013
Malta
24
Lucom Interaction Platform
easyTools

New Language Versions
English
Czech
Welcome, Koordinator BR Köln!
Deutsch
Français
Hrvatski
Date of the last logon: April 1, 2013 at 6:14 PM
Portuguese
You are on the IMPEL form server that provides you with an application for risk assessment in inspection planning.
Slovenian
European Union Network for
the Implementation and Enforcement
of Environmental Law
October 2013
Malta
25
Lucom Interaction Platform
October 2013
Malta
26
Guidance book

Introduction in Risk Assessment

Integrated Risk Assessment
Method (IRAM)

Manual of the online IRAM tool

Examples of impact and
probability criteria
easyTools
RISK ASSESSMENT
GUIDANCE BOOK
Final version February 2012
October 2013
Malta
27
Cologne Workshop Conclusions




easyTools

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
European Union Network for
the Implementation and Enforcement
of Environmental Law
October 2013
Malta
28
Utilisation of IRAM
easyTools

IRAM 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.
European Union Network for
the Implementation and Enforcement
of Environmental Law
October 2013
Malta
29
horst.buether@brk.nrw.de
October 2013
Malta
30