Inspection and enforcement approach Pavel Šremer Vedoucí projektu Č I Ž P

1. Inspection and enforcement approach Pavel Šremer Vedoucí projektu ČIŽP

2. Introduction • Result of work: 30 working groups • + at RI, 1 at HQ, • + almost all heads of departments at RI • + 2 seminars of top management together with • representatives of co-operating organisations • Inspection approach • Enforcement approach • Part of the CEI Strategic plan (till 1Q 2006)

3. Inspection approach/strategy • Introduction • Presumptions • Preparatory phase • Actual inspections • Conclusions from inspection and follow-up steps

4. Introduction • Definition of inspection activity: inspection of • subjects - compliance of the activity with • environmental laws • Purpose: unification of preparation and realisation • of inspections-more efficiency • Reasons: ▪ experience of CEI inspectors • ▪ international co-operation (IMPEL) • ▪ minimum criteria for inspection • ▪ twinning- involvement of inspectors

5. Presumptions • Overall framework and priorities • High- quality enforceable legislation, inc. legislation about CEI, appealing body • Vision-strategy-annual plans • Complex database of all inspected subjects • Central methodical management - unity • Expert qualification and financial conditions • Co-operation among departments and with public and industry

6. Preparatory phase – overall preparation • Is based on legislation, strategies and planes • Plan - for regular and non-planned inspections, time for consultancy, inspection frequency for different types of installations, making public of the plans • Following trends in environment area→methodical regulations→ training • Keeping and updating of databases - overview about sources and priorities • Take into account communication strategy and vice versa

7. Individual preparation of inspection • Selection of subject → based on a plan/individual for an inspector → warning by a third person → own experience of an inspector/ manager • Study of background materials and previous results • Find out about ownership/operator • Decide about inspection type and way • Development of preparatory plan and carrying out of an inspection • Determine personnel needs, training • Inform inspected subjects (inspection plan)

8. Carrying out inspection • Announce to the responsible person • Introduction of purpose and requirements of inspection for the subject (separately - explaining visits) • Check of documentation • Find out about situation at the actual installation/in terrain • Taking samples for documentation • Discussion with the operator • Decision of the inspector about next procedure • Write a record/protocol (conclusions, guidance, comments, subject’s opinion) and signatures

9. Conclusion of individual inspection • Accord. To inspection results: forwarding, evidence or other procedure • In case of failures: further procedure according to the CEI enforcement strategy • Inform inspected subject about inspection results • For started administrative procedures → get opinion of the inspected subject • For complaints and incentives →answer to complainer • Final reports - into database, conclusions make pubic

10. Follow-up activity of the CEI • Results made public according to communication strategy, • Keep databases about inspection activity and archiving • Evaluation of inspection from centre till an inspector →trends of future inspections • Result analysis→stimuli for improvement of legislation, methodical process and expert knowledge • …..

11. Enforcement approach • Preceding steps • Initial phase • 1st Option for procedure (according to the • current legislation) • 2nd Option (according to the unified legislation) • Follow-up procedure

12. Preceding steps • After carrying out inspection accord. to the • inspection strategy → 1st evaluation of found • out facts on site • Mention compliance/non-compliance in the protocol • More detailed evaluation after detailed examination • of all documents from inspection

13. Initial phase of enforcement • 0 insufficiencies during inspection → postponing of • other inspection, making public of results • Breaching of law less serious • (administrative) • Breaching of law serious • Breaching with serious consequences (accident) • Done unintentionally • Done purposely • Done professionally

14. First option according to the currently prevailing legislation • Breaching of law less serious, not on purpose→a fine • at the lowest limit of the possible rate, corrective • measure and inspection • Breaching of law not serious, on purpose or professionally • → a fine, corrective measure, follow-up inspection. If • failures→higher sanctions, reduction/stopping of activity, • stricter supervision: failure lasts → reduction/stopping of • activity, criminal offence • ▪ Insufficiencies serious, not on purpose→ -“-

15. 1st Option accord. to the prevailing legislation • Failures serious, on purpose and professional • → sanction, procedure on limitation/stopping of • activity, taking away of a licence, after next • inspection → in case of non-compliance of • procedure on limitation/stopping of activity, • submitting of criminal notification if non- • compliance • Failures serious (accident) → -“-

16. 2nd Option according to unified legislation (with warning letter) • less serious failures → negotiation, warning letter with deadline for correction. If after inspection not fulfilled, procedure about a fine and corrective measure. • serious failures → procedure about a fine and corrective measures, if not fulfilled a higher fine • serious failures (accident) → fine, corrective measures, • stopping of activity, taking away of the licence, in case of other non-compliance criminal notification

17. Follow-up procedure • Follow-up inspections • Tough procedure in case of further non-compliance • Taking into account of results in the activity plan • Make public of valid results • Whole documentation in a database relevant to individual subjects • In all phases important co-operation with other bodies of state administration