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Managing Risk and Delivering Outcomes through
Environmental Regulation
Mr. Dara Lynott BE, MSc, PE, Ceng, FEI
Director
Off...
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...
Or to put it another way1
“Regulators, under unprecedented pressure, face a range of
demands, often contradictory in natur...
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 o...
Risk based outcome focused enforcement 1
Note 1 – Regulatory Quality: How Regulators are implementing the Hampton Vision, ...
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...
Licence Applications received & granted:
Legislation (EPA Act) enacted in 1992.
First IPC Licence issued at end of 1994.
A...
Wide range of sectors and industries –
A need for effective environmental regulation
Focus resources where the risks ar...
Development timeline
 Sept 2004 - Consultants appointed
 Steering Committee established – internal/external members
 Re...
Risk Enforcement & Assessment Methodology
 Complexity
 complexity grade assigned to each activity
 some automatic high ...
IPPC Risk Assessment Methodology
Complexity Emissions Location
Operator
Management
Enforcement
Record
High Risk
Meduim Ris...
IPPC Risk Distribution
Note 1: Measuring the environmental performance of IPPC industry I & II (2009) - David Styles, Eileen O’Leary and Michael ...
Note 1: Measuring the environmental performance of IPPC industry I & II (2009) - David Styles, Eileen O’Leary and Michael ...
Drinking Water
Example 2
SI 278 of 2007 Published March 2007:
•EPA now the supervisory authority approx. 1,000 public
water supplies (PWSs)
•EPA mu...
•E. coli detected intermittently in 5% of
public water supplies (PWSs) in 2007
•Boil water notices in 53 PWSs (of 952) in
...
• Failure to meet E.coli standard
• Inadequate barriers to cryptosporidium
• Elevated levels of chemical parameters
• Moni...
2008 EPA report identified and published the names of:
339 public water supplies (36% of the national supply)
required exa...
Media Interest
Newspaper Headlines
Intermediate Outcome
42% of supplies identified by the EPA have undertaken the necessary remedial actions
Remedial works c...
All supplies on RAL have been prioritised for funding
with €274 allocated
•Water Services Investment Programme (WSIP) 2010...
Status of Action Plans
Remedial actions identified and agreed timeframes
in place for this remedial work in 84% of supplie...
Intermediate Outcome
Drinking water supplies need to be Safe and Secure;
Safe – meets the quality standards each time the supply is
tested
Secu...
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 ne...
Licence Applications received & granted:
Agglomeration size Relevant Date No. Aps No. granted
>10,000 p.e 14th Dec 2007 64...
Dynamic Risk Enforcement & Assessment
Methodology (DREAM)
Allocates an enforcement category to waste water
discharges on t...
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 infr...
Outcome sought
EPA State of Environment Report 2008
Progress wil be published…
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Managing risk and delivering outcomes through Environmental Regulation

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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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Transcript of "Managing risk and delivering outcomes through Environmental Regulation"

  1. 1. Managing Risk and Delivering Outcomes through Environmental Regulation Mr. Dara Lynott BE, MSc, PE, Ceng, FEI Director Office of Environmental Enforcement Environmental Protection Agency All or part of this publication may be reproduced without further permission, provided the source is acknowledged.
  2. 2. Outline of Talk  Development of Enforcement Strategy  Industry  Drinking water  Wastewater
  3. 3. 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
  4. 4. 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)
  5. 5. Policy to action 1 – Traditional approach Note 1: focus on Enforcement Report 2006/08
  6. 6. Enforcement of Regulation is more complex 1 Note 1: focus on Enforcement Report 2006/08
  7. 7. 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,
  8. 8. Risk based outcome focused enforcement 1 Note 1 – Regulatory Quality: How Regulators are implementing the Hampton Vision, National Audit Office 2008 - UK
  9. 9. Intermediate Outcomes 1 Note 1: focus on Enforcement Report 2006/08
  10. 10. Example 1 Industry
  11. 11. 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
  12. 12. 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
  13. 13. Wide range of sectors and industries – A need for effective environmental regulation Focus resources where the risks are highest Risk based approach to licence enforcement required to: provide consistent, transparent and tangible rationale for level of enforcement result in improved use of resources within OEE 2004 - Plan to Develop Risk Based Approach
  14. 14. 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
  15. 15. 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
  16. 16. IPPC Risk Assessment Methodology Complexity Emissions Location Operator Management Enforcement Record High Risk Meduim Risk Low Risk High Risk Medium Risk Low Risk High Risk Medium Risk Low Risk High Risk Medium Risk Low Risk High Risk Medium 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
  17. 17. IPPC Risk Distribution
  18. 18. Note 1: Measuring the environmental performance of IPPC industry I & II (2009) - David Styles, Eileen O’Leary and Michael B. Jones Intermediate Outcomes 1
  19. 19. Note 1: Measuring the environmental performance of IPPC industry I & II (2009) - David Styles, Eileen O’Leary and Michael B. Jones Progress is published…
  20. 20. Drinking Water Example 2
  21. 21. 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
  22. 22. •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
  23. 23. • 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
  24. 24. 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)
  25. 25. Media Interest Newspaper Headlines
  26. 26. 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
  27. 27. 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
  28. 28. Status of Action Plans Remedial actions identified and agreed timeframes in place for this remedial work in 84% of supplies on the RAL.
  29. 29. Intermediate Outcome
  30. 30. 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. 31. 31 New Model:
  32. 32. Example 3 Urban Wastewater
  33. 33. 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.
  34. 34. 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 18 500 to 1,000 p.e 22nd June 2009 171 14 < 500 p.e 22nd Dec 2009 435 1 21 Σ = 959 Σ = 136 Note 1 – Must be processed by 22nd June 2011
  35. 35. 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 Impacts 3. Possible Impact (Location) 4. Discharge Compliance (Emissions) 5. Enforcement Record
  36. 36. DREAM: Screen shot of enforcement categories
  37. 37. DREAM: Screen shot of a single WWTP
  38. 38. DREAM: Screen shot of a single WWTP
  39. 39. 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
  40. 40. Outcome sought EPA State of Environment Report 2008
  41. 41. Progress wil be published…
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