Unique Reference: FE-14001-LEG-1
Last Site Visit: 07/01/2015
DIRECTLY Applicable Legislation
ENVIRONMENTAL PERMITTING: INDUSTRIAL EMISSIONS
ENVIRONMENTAL PERMITTING: WASTE MANAGEMENT
CONTROL OF WASTE (DEALING WITH SEIZED PROPERTY) (ENGLAND AND WALES) REGULATIONS 2015
ENVIRONMENTAL PROTECTION ACT 1990 PART II: THE DUTY OF CARE, AS AMENDED
HAZARDOUS WASTE (ENGLAND AND WALES) REGULATIONS 2005, AS AMENDED
WATER INDUSTRY ACT 1991, AS AMENDED
CLIMATE CHANGE LEVY (REGISTRATION AND MISCELLANEOUS PROVISIONS) REGULATIONS 2001, AS AMENDED
INDIRECTLY Applicable Legislation
FINANCE ACT 1996, PART III: LANDFILL TAX, AS AMENDED
WATER ACT 2014
ENERGY SAVINGS OPPORTUNITY SCHEME REGULATIONS 2014
ENVIRONMENTAL CRIME DIRECTIVE
MONITORING AND CERTIFICATION SCHEME (MCERTS)
POLLUTION PREVENTION GUIDELINES (PPGs)
This legislation has been identified as directly applicable to the company. The company is required to remain compliant with this legislation and should carry out compliance evaluation against these regulations.
This legislation has been identified as indirectly applicable to the company and is provided for background information only. The company is not required to comply with these regulations directly but may be affected by them as they influence policies and requirements made by regulators such as the Environment Agency, Scottish Environmental Protection Agency and Local Authorities. A compliance rating is therefore not required.
This legislation has been identified as forthcoming and may impact upon activities at the company in the future. These should therefore be monitored for further developments to ensure ongoing compliance.
This section lists other requirements that are applicable to the company. The company is required to remain compliant with the non-legislative requirements listed and should carry out compliance evaluation against these requirements.
|Red:||Evidence of non-compliance|
|Amber:||Risk of non-compliance|
|Green:||No evidence of non-compliance observed|
Additional InformationInsert any company specific information, references, instructions to employees or other relevant information here.
Last Update: 05/05/2015
The Industrial Emissions Directive (IED) (2010/75/EU), which replaced the PPC Directive, requires installations in various industry sectors to apply for and operate under permits. Pemits authorise specified activities while imposing mandatory conditions.
The Directive is implemented through the Environmental Permitting (England and Wales) Regulations 2010, as amended. Part 2 of Schedule 1 to the regulations specifies activities requiring a permit.
Industry sectors covered include: combustion activities, refineries, ferrous and non-ferrous metal production and processing, surface treatment, mineral production including glass and ceramics, organic and inorganic chemical production, pharmaceuticals, waste management, paper, food and carbon capture and storage.
When the PPC regime first came into force (2000), existing installations had to make applications by a set deadline. Now, new installations must obtain a permit before operations commence. Applications must be Duly Made (on time, with the correct fee and containing all necessary information).
In their applications, companies are required to show how they comply with sector specific Best Available Techniques (BAT) for the protection for the environment or justify any deviation from them. They are also required to disclose other general information about environmental performance such as: emissions, raw materials use, waste generation, energy use, preparedness for accidents and decommissioning.
Applicants are also required to submit a baseline report detailing the existing condition of the land with their applications. Guidance on baseline reports has been published by the EU.
Article 16 of the Directive introduces a requirement for periodic monitoring of groundwater (every 5 years) and soil (every 10 years) quality at permitted sites, unless such monitoring is based on a systematic appraisal of the risk of contamination.
Once the application has been made, it will be determined by the Regulator and a permit issued. The permit will contain conditions which companies are required to comply with during operations. This typically includes periodic monitoring of point source emissions and annual reporting of environmental issues such as energy and waste production, raw materials usuage and emissions. The regulator will undertake periodic inspections of the installation for the lifetime of the permit.
Companies wishing to make changes to their operations or surrender their permit must apply to do so via their regulator and pay the appropriate associated fee.
A 2014 amendment removed a number of small waste combustion processes from Schedule 1, increased the permit threshold for activities using toluene di-isocyanate monomer and adds further gasification/liquefaction activities for carbonaceous materials.
The 2013 amendment significantly revised these regulations to implement the IED, removing a number of Schedule 1 activities from regulation and introducing a requirement for periodic permit revisions to implement revised BAT conclusions. The 2013 amendment requires that regulators review land condition on permitted sites and may require periodic intrusive investigations to support this.
A 2012 amendment has removed certain processes in section 1.1 combustion and 1.2 gasification, liquefaction and refining activities no longer require an environmental permit, although activities will still require a waste permit. These include certain processes burning:
A 2010 amendment excluded certain non-ferrous metal, powder coating manufacture and green crop drying operations from the permitting regime.
A 2015 amendment requires cost-benefit analysis of cogeneration or waste heat recovery where applications or variations are made for permits concerning energy producing installations with an aggregated net rated thermal input over 20MW.
Last Update: 07/01/2015
The detergent plant at the organisation's site is an obligated process and falls under Section 4.1 Part A (1) (xi) of Schedule 1 of the Environmental Permitting (England and Wales) regulations 2010, as amended for the manufacture of surface active agents. The Environment Agency issued the organisation a permit (no. EA12345FEL) in August 2012.
During the audit it was found that the organisation has not submitted a Site Protection and Monitoring Program to the Environment Agency. This must be completed as an immediate priority and the organisation must contact its local inspector to arrange a submission date.
The organisation must ensure that it monitors and reports it emissions from the installation to the Environment Agency in accordance with the deadlines specified.
Last Update: 24/06/2014
The aim of the Waste Framework Directive (WFD) is to ensure the protection of human health and the environment in the course of waste management activities. The Directive promotes effective and consistent rules within the EU on waste disposal and recovery and the recovery and reuse of wastes where possible.
Under the Directive, waste disposal and recovery operations must be authorized and inspected. This is implemented in England and Wales through the Environmental Permitting (England and Wales) Regulations 2010, as amended, which requires waste operators to apply for and operate to an environmental permit or exemption. The type of permit depends upon the hazardous nature of the waste activity. The most hazardous, such as landfills and waste incinerators require bespoke permits. Standard permits are issued for activities such as waste transfer stations. Exemptions are issued for low risk activities such as:
The more hazardous activities include more onerous conditions such as emissions monitoring. All permits include restrictions on the type of waste, quantity and treatment activity. Waste operations must keep records of the quantity, nature, origin, destination and treatment method of all wastes disposed of or recovered in the course of the activity.
Obligations of the Regulator
Schedule 9 to the EPR details the regulator's obligations in relation to the WFD including:
A 2014 amendment removes a number of small waste combustion operations from Schedule 1, while requiring that a permit is held for the disposal or recycling of animal carcasses by rendering or treatment by small waste incineration plant.
Materials recycling facilities (MRFs) will be required to sample and report on input and output materials from 1 October 2014.
A 2012 amendment made small changes to the waste codes applicable in certain waste exemptions including Use of Waste in Construction (U1) and Use of Waste for a Specified Purpose (U8).
Waste (England and Wales) Regulations 2011 amend these regulations by :
The amendments are set out in Schedule 3 of the waste regulations.
Regulation EU/333/2011 establishes criteria determining when certain types of scrap metal cease to be waste under the WFD, including iron, steel and aluminium scrap.
Last Update: 07/01/2015
The organisation operates a compactor and baler for waste cardboard generated by the goods-in packaging. Under the Environmental Permitting (England and Wales) Regulations 2007 this operation was classified as a waste management licence exemption and organisation were required to register this exemption. under the 2010 regulations this activity is now classified as a non-waste framework directive exemption and the organisation no longer needs to register this activity as exempt.
The organisation does not operate any other activities that require a waste management licence or exemption.
Last Update: 09/04/2015
These regulations extend vehicle seizure powers of the Environment Agency, Natural Resources Wales and Waste Collection Authorities.
Vehicles and their contents may be seized from any party suspected of waste transport or disposal offences. Seized property is to be kept safe until its return or disposal.
The authority is required to identify the registered keeper of the vehicle concerned, notify them of seizure and publish a public notice.
The authority may retain seized property within a given period following the publication of the seizure notice (no less than 15 days). The authority may return the property to a valid claimant during or after this period, and if no valid claim is received retain the property, sell, destroy or otherwise dispose of it
Reference: 1990 c.43 pt.II
Last Update: 14/04/2014
Section 34 of the Environmental Protection Act (EPA) 1990 imposes a ‘duty of care’ on anyone who produces, imports, carries, keeps, treats or disposes of ‘controlled’ wastes, or as a broker has control over such waste.
Controlled waste must only be transferred to authorised persons (e.g. registered waste carriers or licensed waste management facilities) and such transfers must be accompanied by ‘transfer note’ documentation.
The Waste (England and Wales) Regulations 2011 and the Environmental Protection (Duty of Care) (Scotland) Regulations 2014, set out the requirements for a mandatory system of ‘transfer notes’ and record-keeping requirements in England and Wales, and Scotland respectively.
These regulations impose details to be completed on the transfer note including appropriate code for wastes under the European Waste Catalogue (EWC). Transferors and transferees are required to retain transfer notes for at least two years after the transfer and provide copies to the regulator if required.
Waste Operations and the Duty of Care
All those who generate and manage controlled waste are required to take reasonable and appropriate steps in relation to it (the duty of care); otherwise they commit a criminal offence. The duty of care includes the following requirements
Parties producing, brokering, carrying, dealing in or disposing of waste are required to ensure that all other participants in the waste management chain are suitably authorised (where relevant) and comply with the duty of care.
It is a criminal offence to treat, keep or dispose of controlled waste except under and in accordance with a waste management licence, permit or exemption. A number of activities not subject to the Waste Framework Directive (2008/98/EC) are exempt from the requirement for authorisation, including the temporary storage of waste, pending collection where it was produced.
It is also criminal offence to treat, keep or dispose of controlled waste in a manner likely to cause pollution of the environment or harm to human health, irrespective of the need for a waste management licence, permit or exemption.
The Definition of Waste
Controlled waste is defined in the Controlled Waste Regulations 1992 (in Scotland) and the Controlled Waste (England and Wales) Regulations 2012 (England & Wales) as household, industrial and commercial, including materials destined for recycling, clinical and construction waste.
The Waste (England and Wales) Regulations 2011 have amended the definition of 'waste' in England and Wales to include anything within the definition given in Article 3(1) of the revised Waste Framework Directive (2008/98/EC).
Last Update: 07/01/2015
The organisation produces both hazardous and non-hazardous controlled wastes.
During the site walkover the waste streams were observed to be well segregated. Signage was in place to inform relevant persons which wastes are stored in which locations.
On-site personnel demonstrated a good understanding with respect to waste management. Housekeeping at the site was also noted to be to a high standard.
The control of waste movements and the disposal / recovery option are governed by environmental procedure EWI 2 in the company’s ISO14001 accredited environmental management system. The procedure ensures that all non-hazardous waste movements are accompanied by a transfer note and all hazardous waste movements are accompanied by a consignment note, providing a unique identity for all waste transactions.
Transfer notes and consignment notes are retained onsite for the designated time specified in the regulations and are available for inspection by the regulator.
The organisation uses the waste contractor Waste Ltd for the all movements of waste off site. The organisation ensures that the contractor holds all appropriate licenses and competencies to deal with the waste streams produced at the site through regular auditing.
Last Update: 07/01/2015
These regulations outline controls in place for those producing, transporting and disposing of hazardous waste including tracking of the movement of hazardous waste.
Definition of Hazardous Waste
The term “hazardous waste” is defined by the Waste Framework Directive (2008/98/EC) and the revised European Waste Catalogue (Decision 2000/532/EC, as amended) as non-domestic waste that is included on a designated list. This list has been transposed into national legislation by the List of Wastes (England) Regulations 2005 and the List of Waste (Wales) Regulations 2005.
The list of wastes supports the classification of waste streams using six digit codes. Some wastes are classed as hazardous or non-hazardous irrespective of the concentration of dangerous substances (absolute entries). Other streams (mirror entries) are deemed where chemical composition causes the waste to display any hazardous property under Annex III of the Waste Framework Directive (2008/98/EC).
Registration as a Hazardous Waste Producer
All non-domestic premises that produce hazardous waste or where hazardous waste is collected, must make themselves known to the Regulator via an annual registration. Premises include land and any ship and any other means of transport from which a mobile service is operated. Sites exempt from the requirement to register are listed in regulation 23(3) and include offices, shops and agricultural premises. In order to be exempt, a site must fall into one of the categories listed and produce less than 500kg of hazardous waste per year.
Hazardous waste must be accompanied by a consignment note. This is a specific form of waste transfer note. Hazardous waste producers (consignors) are required to retain consignment notes for three years under the Duty of Care.
Hazardous waste transfer / management companies (consignees) are required to send quarterly consignment note returns to both the Regulator and the consignor. A charge is levied on carriers on the basis of quarterly returns to the Regulator covering all consignments accepted. The consignor is required to retain returns onsite for three years under the Duty of Care.
Compliance with these regulations is carried out by the Regulator through ‘cradle to grave’ auditing of hazardous waste movements. The Regulator checks that all paperwork is correct and complete from all parties in the waste consignment chain and that the waste has been handled and consigned properly at each part of the disposal process. The Regulator may also periodically inspect sites producing hazardous waste.
In most cases, the mixing of any hazardous waste with any other type of waste, or other hazardous waste, is prohibited under the regulations unless the company has an environmental permit for this activity.
A 2009 amendment required the inclusion of specific disposal or recovery codes on consignment notes, as per Annex IIA and IIB of the Waste Directive.
The Waste (England and Wales) Regulations 2011 amended these regulations by:
The new consignment note came into use on 28 September 2011. The 2003 SIC codes should continue to be recorded on consignment notes.
The Environmental Permitting (England and Wales) (Amendment) Regulations 2011 makes minor consequential amendments to this piece of legislation as a result of amendments made to the EPR 2010 and the repeal of the majority of the Radioactive Substances Act 1993 in England and Wales.
From 1 June 2015 Regulation (EU) No 1357/2014 will amend Annex III of the Waste Framework Directive (2008/98/EC), which defines properties of waste rendering it hazardous. These changes reflect revised hazard classification criteria under the CLP Regulation (EC) No 1272/2008.
Last Update: 07/01/2015
The organisation produces the following hazardous waste streams:
All off site disposal of hazardous waste is accompanied by a hazardous waste consignment note. The company hold these records onsite for at least three years and are available for inspection by the regulator upon request.
During the audit it was identified that the organisation has not received any consignment note returns. The organisation must contact the waste contractor to ensure that consignment note returns are sent to the organisation. Upon receipt these should be filed alongside the original consignment note to demonstrate that waste has been disposed of in accordance with the Duty of Care.
Reference: 1991 c.56
Last Update: 08/06/2012
This legislation requires effluent discharges to the foul sewer to be authorised.
The Water Industry Act (WIA) regulates the discharge of trade effluent from trade premises to the foul sewer. It is a criminal offence to discharge trade effluent from trade premises into the foul sewer unless a trade effluent consent is obtained from the sewerage undertaker. Consents are normally granted subject to specified conditions. It is a criminal offence under section 121 (5) of the Act to contravene any condition attached to a trade effluent consent.
This Act stringently controls the emissions of special category effluent to sewer. Special Category Effluent, including substances on the UK's Red List of dangerous substances, plus carbon tetrachloride and effluent likely to result in the release of more than 30kg or more of trichloroethylene or perchloroethylene in a year, is defined in the Trade Effluent (Prescribed Processes and Substances) Regulations 1989, as amended. Prescribed processes include manufacturing certain asbestos products, paper pulp manufacture, production of chlorinated organic chemicals, and processes discharging chlorinated effluents.
The sewerage undertaker (Water Company) has a power to vary a trade effluent consent unilaterally by giving two months’ notice to the discharger and may use this power in order to enable it to meet the requirements imposed upon its sewage treatment works by the Regulator under the Water Resources Act 1991.
The Water Industry Act 1999 amends the 1991 Act and outlines the specification for water and sewerage charges in England and Wales and makes provision for the establishment of a water industry commissioner in Scotland. The Water Industry (Special Administration) Rules 2009 applies the Insolvency Act 1986 to water and sewerage suppliers in the event that they go into administration.
The Water Supply (Amendment to the Threshold Requirement) Regulations 2011 amend this Act so as to reduce the threshold level for water supply to specified premises from 50 megalitres to 5 megalitres. The threshold is the minimum quantity of water estimated to be supplied annually to any premises by a licensed water supplier. A licensed water supplier may not enter into an undertaking with a new customer to supply water to their premises unless the threshold requirement is satisfied.
The Water Industry (Financial Assistance) Act 2012 (covering England and Wales) enables the Secretary of State to provide financial assistance to water and sewage undertakers and other waste suppliers licensed under the WIA to secure a reduction in water and sewerage bills where desirable to do so.
Last Update: 07/01/2015
The organisation has two point source releases to foul sewer; the Detergent Line effluent treatment plant and the Anodising Line effluent treatment plant. The detergent effluent treatment tank also receives discharges from the cooling water system.
Both have discharge consents regulated by Water Company plc. Additionally, these releases are regulated by the Environment Agency through the company’s PPC permit. These discharges run to foul sewer before being treated offsite at a wastewater treatment works.
The organisation reported that it is within the parameters set by both Water Company plc and the Environment Agency and that the effluent treatment tanks are fitted with continuous monitoring and are alarmed in the event of the releases being out of specification. Previous problems with pH levels were resolved by installing a dosing plant.
Last Update: 17/04/2015
The Climate Change Levy (CCL) is a tax applied to energy consumed by business and the public sector and is automatically added to energy bills.
|April 2015||April 2016||Units|
|Any other taxable commodity||1.512||1.526||p/kg|
Climate Change Agreements (CCAs)
CCAs are available to certain energy intensive sectors. Participation in sector agreements provides a levy reduction of 90% (for electricity) and 65% (gas, liquid hydrocarbon fuels, other taxable commodities). Reductions are provided for commitments to sector negotiated energy or carbon reduction targets. Organisations failing to meet targets are required to buy carbon allowances to make up the shortfall, a situation that is potentially very expensive.
Levy reductions are provided on 100% of any taxable commidity, where eligible processes present 70% or greater of the organisation's consumption.
Phase 2 of the CCA scheme runs from April 2013 to April 2023 and is administered and regulated by the Environment Agency across the UK.
Carbon Price Support
Fuel used to generate electricity was exempt from the CCL until the Finance Act 2013 introduced a new tax, the Carbon Price Support (CPS). Generators with >2MW capacity must now pay the CPS on fuel used to generate electricity.
Individual CHP plants >2MW must pay the CPS on the proportion of fuel (coal, gas, kerosene and LPG) used to generate electricity. The proportion used to generate heat is exempt.
Fossil fuels used in good quality combined heat and power (CHP) plants are exempt from the carbon price floor.
CPS rates are as follows:
|CPS Rate (2015/16 through 2018/2019)||Units|
|Gas Oil & Kerosene||4.916||p/l|
The CPS rate per tonne of carbon is frozen at £18 until April 2019. This has also freezed these rates on each commodity during this period.
The Climate Change Levy (Miscellaneous Amendments) Regulations 2005 deal with treatment of exemptions for CHP plant and also extend levy exemptions to various recycling processes.
The Climate Change Agreements (Energy Intensive Installations) Regulations 2006 and the Climate Change Agreements (Eligible Facilities) Regulations 2012 expand the types of installations that may be covered by a climate change agreement to include other activities such as heat-treating metals. An eligible facility is where, during a 12 month period at least 70% of the reckonable energy supplied to the facility will be used within an installation (previously 90%). The Schedule to the 2012 Regulations lists the relevant processes and activities that are considered eligible. It also removes the energy intensive criteria.
The Climate Change Levy (General) (Amendment) Regulations 2007 replace half rate (50%) reductions for energy intensive non-PPC industries such as the horticultural sector with full reduced rate (80%) reductions, and removes to 2-month time limit on generators to report electricity generation from combined heat and power (CHP) for the purposes of obtaining Levy Exemption Certificates (LECs).
Amendments to the Finance Act 2000:
Climate Change Levy (General) Regulations 2001 amendments:
Other Pertinent Legislation and Amendments:
HMRC offers general guidance on the levy and specific elements, including registration, the treatment of CHP, relief and special treatment for taxable supplies, renewable electricity and penalties and interest.
Last Update: 07/01/2015
The organisation has entered into a climate change levy agreement (CIA/F1234) within the Chemical Industries Association agreement. Monitoring data of its consumption and targets has revealed that to date, the organisation has achieved its agreed targets. Data was submitted in last December showing the company are in compliance with their milestone target and have ringfenced approximately 1000 tonnes of CO2.
Reference: 1996 c.8
Last Update: 17/04/2015
This legislation introduced a tax on waste sent to landfill. This tax was introduced under Part III of the Finance Act 1996.
Landfill tax powers were devolved to Scotland on April 2015 by the Landfill Tax (Scotland) Act 2014.
Landfill tax powers will be devolved to Wales by Sections 18 and 19 of the Wales Act 2014. The Welsh Government will administer this tax from April 2018.
All waste disposed to landfill is subject to tax based on its weight. Two rates are in place: one for inert wastes and one for non-inert wastes. HM Revenue and Customs administer the tax, which is reviewed annually as part of the Chancellor of the Exchequer’s Budget Statement.
Inert and Contaminated Materials
The Landfill Tax (Qualifying Material) Order 2011 implemented a list of inert material subject to the lower rate of landfill tax. The material listed is grouped under the following headings: Rocks and soils; ceramic or concrete materials; minerals; furnace slags; ash; low activity inorganic compounds; calcium sulphate; and calcium hydroxide and brine. The Landfill Tax (Qualifying Material) (Amendment) Order 2012 amended this Order so that bottom ash and fly ash from coal or petroleum coke combustion taken alone or added to biomass burnt with it have to be deposited in a cell containing no other waste at all in order to qualify for the reduced rate of landfill tax.
The Landfill Tax (Material from Contaminated Land) (Phasing out of Exemption) Order 2008 removed a previous exemption for tax on disposal of soils from contaminated land. Applications for new exemption certificates were declined from 1st December 2008. An amendment allowed completion of current projects covered by a current exemption certificate.
The Landfill Tax Regulations 1996, as amended cover registration procedures, accounting arrangements and provisions for bodies undertaking work for the environment. Detailed information on weighing procedures, obtaining credits against tax charged on waste removed from landfill and credits on overall tax liability of operators are set out. Projects eligible for funding from landfill tax revenues are established.
The Landfill Tax (Amendment) Regulations 2009 revoke Part IX of The Landfill Tax Regulations 1996, relating to temporary disposal of material at a landfill site and introduce a requirement for operators to maintain records of activities and provide information to commissioners. “Information areas” are to be maintained for material not to be disposed of as waste. Operators must maintain records of these temporary storage areas to enable determination of taxable status of material. Information required includes weight and description of material deposited, intended and actual destination/use of material and the description of any such material sorted or removed. The Landfill Tax (Amendment) Regulations 2009 also confer powers to HM Revenue and Customs, allowing them to set the format of the Landfill Tax Return Form for submission by operators.
The Landfill Tax (Amendment) Regulations 2009 and The Landfill Tax (Prescribed Landfill Site Activities) Regulations 2009 prescribe specific temporary uses of material at landfill sites eligible for landfill tax. Temporary uses may be credited back if later used in site restoration. Schedule 60 of the Finance Act 2009 establishes the regulatory environment for taxation of prescribed activities and enables information requirements.
The Landfill Tax (Amendment) Regulations 2015 increase the maximum credit a landfill site operator may claim against annual landfill tax liability (in respect of qualifying contributions made) to 5.7%.
Last Update: 07/01/2015
Although not directly affected by the requirements of this legislation, the organisation disposes of much of the waste generated on site to landfill. They are therefore indirectly exposed to this tax via the rising costs charged by waste contractors of disposal to landfill.
The organisation should be aware of the implications of this tax and consider setting company waste minimisation targets in order to reduce both waste and associated financial burdens.
Reference: 2014 c.21
Last Update: 06/01/2015
This Act aims to improve water supply and sewerage resilience while providing an effective market for the water sector. It largely applies to England and Wales and mainly amends the Water Industry Act 1991. Its impact on Scotland and Northern Ireland is largely limited to establishing a cross border market with England and Wales and Flood Insurance.
Environmental Permitting (England and Wales)
Water System Resilience and Sustainability
Market and Legal Reform
The flood re-insurance scheme (FloodRe) provides homeowners in high flood risk areas with affordable flood insurance. This is financed through an industry-wide levy recovered by increases on all householder premiums.
Last Update: 05/05/2015
The Energy Savings Opportunity Scheme (ESOS) scheme requires large undertakings (250 employees and/or €50 million annual turnover and 43 million annual balance sheet) to undergo energy efficiency audits. Large undertakings must calculate their total energy use, which must then be audited by an approved assessor. The assessor is required to identify reasonably practicable and cost effective ways to improve the undertaking’s energy efficiency.
These regulations implement Article 8(4), (5) and (6) of the Energy Efficiency Directive (2012/27/EU). The Environment Agency administrates the ESOS scheme across the UK, and specific regulators are in place for each state and offshore.
All large undertakings (and any small or medium undertakings within the same corporate group as a large undertaking) must participate in ESOS. A “large undertaking” has:
Group undertakings are required to participate in ESOS as a group by default, although individual undertakings may participate individually if agreed in writing.
Public sector bodies and insolvent undertakings.
Evidence of compliance must be submitted to the regulator by 5 December 2015 and every subsequent 4 years.
Compliance can be achieved via:
The compliance route must account for 90% of the organisation's energy use.
ESOS Audits: Required Evidence
Undertakings subject to ESOS must compile “evidence packs”, including any data required to calculate total energy consumption and facilitate an energy audit. Data must be:
Evidence packs must also include (if available):
Evidence packs must be retained for at least two of the four year compliance periods after they were first used.
ESOS Audits: Assessments and Notification
Undertakings subject to ESOS must appoint at least one approved lead assessor.
The assessor is required to:
Following completion of the ESOS audit, the lead assessor is required to notify the Environment Agency that the participating undertaking’s duties have been met. This notification must include confirmation that a “responsible officer” from the undertaking is satisfied they have complied with the scheme and information to be notified is correct.
Lead assessors under ESOS are listed on the approved register operated by the Environment Agency. The Environment Agency is required to keep this register up to date and review approvals at least every four years.
The Environment Agency is to determine whether persons qualify for approval based on the competence requirements in PAS 51215 standard (Energy efficiency assessment – Competency of a lead energy assessor).
Enforcement notices and financial penalties may be issued against undertakings should they fail to meet their duties under these regulations.
Last Update: 14/09/2011
The draft Directive requires member states to criminalise a wide range of environmental breaches where they have been committed "intentionally" or with "serious negligence".
In most cases the unlawful activity must have caused, or be likely to cause, death, serious injury or substantial damage to the environment. These offences include:
Unlawful activities falling under the Directive must have been conducted in breach of EU or domestic environmental legislation. For some offences covered by the Directive, there is no need to demonstrate substantial damage to the environment or people:
Maximum prison terms against individuals are likely to range between 5-10 years where the offence was committed intentionally and caused death or serious injury.
In the case of offences committed by "legal persons", such as companies, the Directive allows member states to apply criminal or non-criminal sanctions. These sanctions shall "not exclude" criminal proceedings against individual directors or managers who are "perpetrators, instigators or accessories to the offences". Fines up to €1.5 million are proposed where the offence was committed intentionally and caused death.
UPDATE: This Directive had to be implemented in December 2010. Waterman reviewed the status of its implementation in September 2011. No reference to this Directive being directly enacted into UK legislation was identified with the exception of the Water Supply (Water Quality) (Amendment) Regulations (Northern Ireland) 2009 and a reference from the Scottish Government stating that, with regard to waste crime..."It is the Government's view that the existing provisions of Scots law meet this requirement". It is interpreted that existing provisions with statutory legislation meet the requirements of the Environmental Crime Directive.
Last Update: 07/01/2015
The organisation should be aware of this proposed legislation and ensure that all staff are informed of their own responsibilities once it comes into force
Last Update: 06/11/2014
The MCERTS certification scheme is designed to improve the quality of emissions monitoring data to ensure regulatory compliance.
The scheme covers the certification of instruments; the competency certification of personnel; and the accreditation of laboratories and on-site inspections.
Monitoring to MCERTs standards is commonly required for organisations obligated under the IPPC Directive (2008/1/EC) and Urban Wastewater Treatment Directive (91/271/EEC). Permits issued under the IPPC Directive will dictate whether monitoring is required, and if so, the frequency and type of monitoring and the substances to be detected. It is then best practice to undertake such monitoring using MCERTs certified equipment using MCERTs accredited personnel and laboratories.
MCERTS guidance is available for monitoring emissions to atmosphere and water, and for soil analysis. Guidance varies depending on the substance and type of monitoring and to which media.
Operator Monitoring Assessment (OMA)
Environmental Regulators may undertake an Operator Monitoring Assessment (OMA) audit to establish the quality of a company's monitoring regime. The audit typically entails interviews with relevant site personnel, inspections of monitoring locations and a review of appropriate documentation such as:
Last Update: 07/01/2015
As part of the environmental permit, the organisation has a requirement to report on NOx and CO emissions to air from the process boiler. The organisation must ensure that monitoring is undertaken to the appropriate MCERTS standard by a suitably qualified contractor.
Last Update: 09/07/2014
Pollution Prevention Guidelines (PPGs) were jointly produced by the Environment Agency, Northern Ireland Environment Agency (NIEA) and the Scottish Environment Protection Agency (SEPA).
This practical guidance aims to help companies implement measures to prevent pollution occurring in a number of different scenarios. All guidance should be considered within the context of each individual site. PPGs are also issued with the following caveat from the Regulators:
Following these guidelines doesn’t remove your responsibility to comply with the law and prevent pollution from your activities. Causing or allowing pollution is a criminal offence: compliance with this or any guidance isn’t a defence. You should make sure that the references to other sources of guidance are still current; use updated guidance if it exists.
* - guideline archived by the Environment Agency and no longer live in England.
In Wales, the 'Is your site right?' checklist replaces a number of withdrawn PPGs. This checklist has been archived in England.
Last Update: 07/01/2015
THe organisation should be review the PPGs and implement relevant guidance. The following PPGs are noted as being particularly relevant to activities on site: