Conference on Implementation and En- forcement of Environmental Legislation Session 5: Compliance and Enforcement Horst Büther, Germany Malta, October 2013 New Requirements on Inspection New Requirements on Inspection European Union Network for the Implementation and Enforcement of Environmental Law

October 2013Malta2 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 IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

3 IED Articles on Inspections Recital 26: staff and qualifications Article 3: Definitions Article 7: Incidents and accidents Article 8: Non-compliance Article 14: Annual emissions report Article 16: Monitoring requirements Article 21: Reconsidering of permit conditions Article 23: Environmental inspections  For the first time obligatory MaltaOctober 2013 IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

Project member countries Project member countries Project supporting countries Project supporting countries IMPEL Project IED Inspections October 2013Malta4 IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

easyTools RISK ASSESSMENT GUIDANCE BOOK Final version February Article

Article 3: Definitions October 2013Malta6 ‘environmental inspection’ means 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, 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; (22) IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

7 1.System of environmental inspections / full range of environmental effects 2.Environmental inspection plan 3.Content of the inspection plan 4.Environmental inspection program / frequency of site visits / risk appraisal / risk criteria 5.Non-routine inspections 6.Inspection report October 2013Malta IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law Article 23: Environmental inspections

3. Each environmental inspection plan shall include the following: a)a general assessment of relevant significant environmental issues; b)the geographical area covered by the inspection plan; c)a register of the installations covered by the plan; d)procedures for drawing up programmes for routine environmental inspections pursuant to paragraph 4; e)procedures for non-routine environmental inspections pursuant to paragraph 5; f)where necessary, provisions on the cooperation between different inspection authorities. October 2013Malta8 IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

9MaltaOctober 2013 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. 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 1 year for installations posing the highest risks and 3 years for installations posing the lowest risks. If an inspection has identified an important case of non-compliance with the permit conditions, an additional site visit shall be carried out within 6 months of that inspection IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law Article 23: Environmental inspections

Lucom Interaction Platform October 2013Malta10

Article 23: Environmental inspections 4. The systematic appraisal of the environmental risks shall be based on at least the following criteria: a)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; b)the record of compliance with permit conditions; c)the participation of the operator in the Union eco- management and audit scheme (EMAS), pursuant to Regulation (EC) No 1221/2009. The Commission may adopt guidance on the criteria for the appraisal of environmental risks. October 2013Malta11 IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

12 Risk Criteria 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) Malta Regional District Admin. Cologne Environmental permit Rn: October 2013

Potential Impacts October 2013Malta13 IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

14 Actual Impacts October 2013Malta IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

15 Integrated Risk Assessment Method October 2013Malta IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

16 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 Integrated Risk Assessment Method MaltaOctober 2013 IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

Implementation of the IED into the (German) Law on Pollution Control Betensted / Grandjot / Waskow, ZUR 7-8/2013, :  Inspection Programs MaltaOctober 2013 IED Inspections IED Inspections...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. European Union Network for the Implementation and Enforcement of Environmental Law

18 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: MaltaOctober 2013 IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

Malta19 Lucom Interaction Platform October 2013 IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

European Union Network for the Implementation and Enforcement of Environmental Law Malta20 New Language Versions Lucom Interaction Platform October 2013 English Czech Deutsch Français Hrvatski Portuguese Slovenian 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. IED Inspections IED Inspections

Article 23: Environmental inspections October 2013Malta21 IED Inspections IED Inspections 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. 5. European Union Network for the Implementation and Enforcement of Environmental Law

22 Scope of Site Visits Non-routine inspections Non-routine inspections Scope is defined by kind of accident, complaint, etc. Routine inspections Routine inspections Scope depends on the risk profile Criteria with highest risk will get most attention Criteria with lowest risk will get least attention Scope also depends on qualifications involved October 2013Malta IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

Unannounced Inspections At factories causing problems After serious occurrences of non- compliance, accidents After repeated non-compliances After repeated complaints As an expansion of a site visit To check an ordinance As focus inspection After exceeding of ELV‘s or EQS‘s As control of EQS‘s October 2013Malta23 IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

24 Graduation of non-compliance A Minor B Relevant C Serious cases of non-compliance Were is the violation: Compliance with ☻☻ ☻ permit conditions Emission limit ☻ ☻ ☻ values are kept Environmental quality ☻☻ ☻ standards are kept Aim of permit achieved ☻☻ ☻ Case of non-compliance: A B C Requires: ☻ nothing ☻ assessment ☻ enforcement October 2013Malta IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

Article 23: Environmental inspections 6. 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. - The report shall be notified to the operator concerned within 2 months of the site visit taking place. 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 4 months of the site visit taking place. - 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. October 2013Malta25 IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

Inspection Report Notification to the operator 2 month after on-site inspection Publicly available 4 month after inspection in accordance with EID  Art. 3: on demand  Art. 7: summary on the internet Content of the summary  Description of the installation and the inspection  Results: minor/relevant/serious non-compliance  Measures to be taken by the operator and the inspection authority October 2013Malta26 IED Inspections IED Inspections European Union Network for the Implementation and Enforcement of Environmental Law

A) Umweltinspektionsbericht Fa. Guss GmbH & Co. KG, Aachen vom October 2013

Malta28October 2013