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

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. Outline of Talk
 Development of Enforcement Strategy
 Industry
 Drinking water
 Wastewater

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. 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. Policy to action 1
– Traditional approach
Note 1: focus on Enforcement Report 2006/08

6. Enforcement of Regulation is more complex 1
Note 1: focus on Enforcement Report 2006/08

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. Risk based outcome focused enforcement 1
Note 1 – Regulatory Quality: How Regulators are implementing the Hampton Vision, National Audit Office 2008 - UK

9. Intermediate Outcomes 1
Note 1: focus on Enforcement Report 2006/08

10. Example 1
Industry

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. 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. 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. 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. 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. 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. IPPC Risk Distribution

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. 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. Drinking Water
Example 2

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. •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. • 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. 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. Media Interest
Newspaper Headlines

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. 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. Status of Action Plans
Remedial actions identified and agreed timeframes
in place for this remedial work in 84% of supplies on the RAL.

29. Intermediate Outcome

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
New Model:

32. Example 3
Urban Wastewater

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. 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. 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. DREAM: Screen shot of enforcement categories

37. DREAM: Screen shot of a single WWTP

38. DREAM: Screen shot of a single WWTP

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. Outcome sought
EPA State of Environment Report 2008

41. Progress wil be published…