new approaches elen strahle, environment agency england
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New Approaches
Elen Strahle, Environment Agency England
Session aim
To explore the role of new approaches in environmental regulation?
•What are they?•Why use them? •Do they work?
Session outlineTime Item Speaker09.15 - 08.40 Choosing appropriate
interventionsDuncan Giddens and Chris Booth (England)
09.50 - 10.15 Voluntary Agreements with industry in Czech Republic
Jakub Achrer (Czech Republic)
10.15 – 10.50 Exploration and evaluation of Compliance Assurance through CMS
Han de Haas and Paul Meerman (Netherlands)
10.50 – 10.10 Coffee Break
11.15 - 11.40 Improving Environmental Performance In SMEs
Torbjörn Brorson (Sweden)
11.40 - 12.15 A Polish system for suspension of environmental penalties as a mechanism of promoting environmental investments
Krzysztof Wójcik (Poland)
12.15 – 12.30 Summary and conclusions Elen Strahle (England)
Complementary approaches and Choosing interventions
Duncan GiddensChris Booth
Context
• 7th EAP• Focus on implementation• Smarter regulation• Choosing the right interventions• Evidence base
IMPEL Project: Complementary Approaches to Inspections – 2011
Aims, Mission etc of your organisation and regulatory regime
The Regulator The Regulated
Sector
Chemicals
Energy
Agriculture
Etc
Business Drivers
Deterrence
Values
Financial (direct)
Financial (indirect)
Capacity
Size
Large International
Large National
Medium
Small
Micro
Attitudes and
Behaviours
Criminal
Chancer
Careless
Confused
Compliant
Champions
Where are you now. What
approaches do you use and what are they achieving?
Assess your regulated
community.
Review your own freedom to act. E.g. legal remit, capacity,
capabilities, smart regulation requirements
Select interventions according to
context
Co-opt others to exert influence over business
behaviour
Review what you have achieved.
E.g. effectiveness of approaches and
outputs and outcomes delivered
What do you want to achieve?
activities, outputs, outcomes, etc
Interventions. (full list at annex 3)
Inspections
Communication Approaches
Voluntary and Certification Approaches
Non-traditional inspections
Economic Instruments
Choosing interventions according to context
Guidance would be helpful for selecting interventions according to circumstances (such as the aspects of the regulated community listed above right). See annex 9 for an example.
Interventions. (full list at annex 3)
Inspections
Communication Approaches
Voluntary and Certification Approaches
Non-traditional inspections
Economic Instruments
IMPEL Project: Complementary Approaches to Inspections
• Regulatory Interventions• Economic Interventions• Voluntary Interventions• Information and Communication-
based interventionsAvailable from the regulatory evidence network:
https://connect.innovateuk.org/web/evidence/overview
• Direct regulation: relatively certain outcome but potentially costly, need to be targeted according to risk e.g. Environmental Permitting regime, REACH
• Economic instruments: less certainty of outcome but greater flexibility for businesses to choose least cost options, may provide long-term certainty e.g. Landfill Tax
• Information based approaches: uptake dependent on customer/supply chain interest e.g. EU Ecolabel
• Co-regulation: can encourage rapid action, flexible to changing circumstances, but may struggle to capture small businesses e.g. Courtauld Commitment
• Self-regulation: action motivated by financial, customer/supply-chain or reputational influences e.g. ISO14001
• Support and capacity building: impact may depend on credibility and trust.
Choosing appropriate interventions:Phase 1 - Developing a model approach (2012)
Conceptual model - the’ blue wheel’ diagram
1. Influencing factors (factors that influence business environmental performance) - nature of business- nature of regulator- environmental /regulatory outcomes
2. Types of interventions we might use, building on the typology developed by the SNIFFER regulatory evidence project, interventions that have come out of IMPEL complementary approaches project and similar findings in a study carried out by Defra/Cranfield.
3. A ‘tool’ that helps you (policy maker, practitioners) to take account of things that influence business environmental performance and knowledge of what interventions work in certain circumstances.
What is the Issue?: current, desired, what
needs to change?
Who is the target business
community?: Identify; Assess;
Segment into groups
What interventions are
available? Currently used,
what else is available? what
suits each business group?
Who can deliver interventions?
What are your remit, powers etc? Which
other delivery agents might be
used?
Preferred interventions and
delivery agents for each business
group:
Choosing Appropriate
Interventions
Problem and Outcom
es
Dep
ende
ncie
s
Possible Interventions
Possible D
elivery Agents
Final
Outp
uts
Choosing Interventions Phase 2 (2013): Developing and testing a modelling tool
• Phase 2 of the project has developed a tool called idepend that takes account of the things that influence business environmental performance and provides a means to help you decide what information you need, how each issue interrelates and what factors have most effect on achieving your desired state, or goal.
• idepend is based on the concept of a ‘belief net’- effectively a mind map - of factors on which your goal depends (the dependencies). Dependencies can be added in successive layers based upon evidence of the type set out above. The idepend tool allows you to build your ‘mind map’ or ‘belief net’ with the following benefits.
External influences incentives good business behaviour
Several Interventions are available
Delivery agents available
Let’s see this in a dependency model
Desired state. Eg environmental or regulatory outcome
Businesses behaviour and response is favourable
Choosing Interventions Phase 2: Testing the model and the tool
The IMPEL community is testing how a toolkit can help implement the model approach. The aims are to test whether the toolkit enables users to:
• Assemble and quantify risks and dependencies for a goal or desired state (idepend)
• Access information on available interventions and delivery agents (library of interventions)
• Choose interventions and delivery agents (idepend)
• Predict to what extent this might help you achieve your goal (idepend)
• Record and share the results of choosing and using interventions (regulatory evidence net)
Choosing Interventions Phase 2: Benefits of dependency modelling identified by workshop (June 2013)
Benefits of using model approach1. Forces you to articulate desired outcome(s) and dependencies2. Can be shared with and informed by others3. Improves understanding and visibility of issues4. Supports decision making to choose and compare interventions
Features of idepend tool5. Provides a logical framework to assemble dependencies6. Uses a standard methodology to describe and discuss risk7. Can be iterated to identify critical dependencies8. Allows complex situations to be split into easy to deal with parts9. Enables information to be stored and used as an audit trail10. Shows likelihood of achieving the goal/desired state
Example models developed using the iDEPEND tool
Example models developed using the iDEPEND tool
Predicting how an intervention might improve the chances of achieving your goal
Feedback from user testing
• Feedback from 25 users in the Netherlands, Spain, Portugal, Sweden, Denmark, England, Wales, Scotland and Ireland.
• Effective use depends on the user’s knowledge and the available evidence of:• the dependencies and how they fit together, • probabilities of dependencies affecting the goal, • range of interventions available and how they might change • its early days and this process will become easier with experience.
• The tool forces you to think through a problem logically.
• Using the tool brings about a growing awareness of how much needs to be known and the uncertainties of so many aspects.
• It can be used at various levels from local through to national (scalable).
• Would be good for co-ordinating roles of various regulatory bodies involved.
Some quotes from test users
“Helps you to reach your outcomes and how to deal with
companies”
“A good means to develop Compliance Action Plans as it captures the reasons for
interventions”
“Being able to trial certain interventions and model potential success was useful”
“Captures and presentsall the aspects in a
pictorial manner which is useful in using to
demonstrate your thinking and putting a case to
management”
“Useful to use it with industry because
being regulated better is in industries interest
as well as ours”
“Potential aid to develop plans, strategies, site
specific action plans etc.”
“To be of greatest use, it should lead you more towards
the right interventions”
Next Steps
Timeline• Malta conference: presentation and
poster session - try it yourselves ! October 2013• Report to IMPEL Cluster and GA Oct – Dec 2013• Make available to IMPEL members 2014 (tbc)
Possible uses• Choosing interventions → framework for inspection?• Risk analysis & appraisal • Compliance assessment planning• Strategies and priorities
Hosting and maintaining• IMPEL/Regulatory evidence network?
Conclusions
It all depends!
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