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