NEBOSH National Diploma

in Environmental Management
Unit ED1
MANAGement of Environmental Risk
element 6: Environmental Legislative Framework and
Methods of Enforcement
Sample material
(Material correct at 1/11/2011)

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 Element 6: Environmental Legislative Framework and Methods of Enforcement

Statutory Obligations

Key Information

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• The Pollution Prevention and Control Act 1999 is a framework Act that is largely implemented by the

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Environmental Permitting (England and Wales) Regulations 2010.
• Under the Environmental Permitting Regulations a permit is required to operate a regulated facility
(installation, mobile plant, waste operation, radioactive substances activity, water discharge activity, groundwater

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activity, mining waste operation).
• An A(1) and A(2) installation environmental permit takes a wide range of environmental impacts into account,
such as energy efficiency, waste management and consumption of raw materials.
• The installation requirements of the Environmental Permitting Regulations cover a wide range of processes,
such as energy industries, production of metals and chemicals manufacture.

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The Pollution Prevention and Control The PPC Act introduced the concept of ‘Best Available
Techniques’ (BAT) to ALL installations (rather than
Act 1999 (PPC Act)
The PPC Act received royal assent in July 1999, and
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allowed regulations to be made implementing the

European Council adopted Directive 96/61 on Jargon Buster
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Integrated Pollution Prevention and Control (the IPPC
Directive).
Installation
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The Directive has since been updated to include

amendments and to introduce changes and adaptation. A stationary technical unit, such as a self-
In its latest version it is now known as Directive contained building, permanent structure or fixed
2008/1/EC of 15th January 2008 concerning Integrated plant, that is used for one or more listed activities
Pollution Prevention and Control. (listed in the Environmental Permitting
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Regulations). Also includes any directly

associated activities that are carried out at the
Jargon Buster same site.
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IPPC The PPC Act is very much a Framework Act and consists
Refers to the Directive’s main purpose - to of little information on the requirements of the PPC
achieve an ‘integrated’ approach to pollution regime. More detailed law is provided by Regulations
control from a range of industrial and agricultural made from the PPC Act, which are described below.
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activities. ‘Integrated’ means looking at all the

environmental impacts together rather than Associated Legislation
dealing with them separately. It aims to achieve The Environmental Permitting (England and Wales)
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a high level of protection of the environment as Regulations 2010 implement the IPPC Directive in
a whole. England and Wales and are made under the Pollution
Prevention and Control Act 1999. This recent change
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in legislation means that IPPC permits are now known

The PPC Act is derived in a large measure from IPC as installation environmental permits in England and
itself, although there are some important differences. Wales; however, they still implement the requirements
The PPC regime: of the IPPC Directive. In Scotland, the Directive is
implemented by the Pollution Prevention and Control
• Repeals, in full, Part I of the Environmental (Scotland) Regulations 2000.
Protection Act 1990 covering Integrated Pollution
Control and Local Air Pollution Control. As we saw in the previous element, the Environmental
Permitting (England and Wales) Regulations 2010

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 Element 6: Environmental Legislative Framework and Methods of Enforcement

cover the operation of regulated facilities which are

classed as being:
Topic Focus
• Installations.
• Mobile plant. A Part A(1) or Part A(2) installation
• Waste operations. environmental permit takes a wide range of
environmental impacts into account, as follows:

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• Radioactive substances activities.
• Emissions of pollutants to air, water and land.
• Water discharge activities.

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• Energy efficiency; waste management.
• Groundwater activities.
• Consumption of raw materials.
• Mining waste operations.
• Noise and vibration.

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In this section we will cover the requirements for
‘installation environmental permits’ and cover other • Site restoration and decommissioning.*
regulated facilities later in the course. * In order to satisfy this condition, an
For installation regulated facilities the EP Regulations Application Site Report has to be prepared,
2010 require industry to prevent or, where that is giving the condition of the site at the time

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not possible, to reduce pollution from a range of the permit was issued. The site must be
industrial and other activities, by means of an integrated returned to this condition after the plant has
permitting process based on the application of Best closed.
Available Techniques. • Accidents and incidents affecting the
environment, with the aim of achieving a
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as a whole. Permits must take into account
local environmental conditions at the site
concerned, its technical characteristics and
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its geographical location. Conditions must
be included to address any transboundary
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pollution from an installation.

Part B permits are regulated on emissions to air
only.
The requirements of the EP Regulations also
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apply to all installations and to parts of existing

installations which undergo a ‘substantial
change’.
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Development and Application of

Pollution Prevention and Control (PPC)
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The original IPPC Directive (Directive on Integrated

Pollution Prevention and Control (96/61/EC)) came
into force in October 1996 and had to be implemented
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for all new installations by October 1999. The Directive

was derived in large measure from IPC as stated in the
Environmental Protection Act 1990. (Remember
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that in England and Wales the IPPC Directive has

largely been implemented through Part A(1) and A(2)
installation environmental permits and as such is no
longer known as IPPC, although the Environmental
Permitting Regulations cover the requirements of the
Directive.)

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 Element 6: Environmental Legislative Framework and Methods of Enforcement

IPPC Directive similarities with the UK’s IPC regime The main requirements of the current Directive are as
include: follows:
• Permits include conditions worked out, as necessary, • Application must be submitted to a competent
on a site ‘installation’ basis. authority (e.g. SEPA).
• BAT takes into account costs, advantages and • The permit is required to take into account the full
economic feasibility in a similar manner to BATNEEC environmental performance of a plant.

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(Best Available Technology Not Entailing Excessive
• Emission limit values (ELVs) for substances and
Costs) under IPC.
preparations as stated in Annex III of the Directive

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• Most of the installations covered by IPC are also must be complied with.
covered by IPPC.
• The permit must take into account local
• Guidance will be issued primarily for the authorities. environmental conditions, geographical location and

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other characteristics.
• There is provision for public access to applications,
permits and monitoring information. • Noise, light, vibration, accident prevention, the
consumption of raw materials, energy efficiency, etc.
However, there are some important differences,
must be regulated.
including:

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• Permit conditions must ensure that there are no
• There are now three categories of process,
breaches of EU environmental quality standards or
designated as Parts A(1), A(2) and B. (In Scotland
EU legislation.
there are only Part A and B process designations.)
• The permit must contain monitoring requirements
• IPPC applies to a wider range of industry, i.e. food
(e.g. methodology and frequency).
processors, milk processors, intensive animal rearing,
etc.
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• Permits must be reviewed periodically and, where
required, updated.
• PPC requires a permit rather than an authorisation.
Technical guidance documents for each of the sectors
• The range of environmental impacts which must be
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known as BREF notes have been produced and identify
considered under PPC is wider than for IPC.
the Best Available Technique for industries covered by
• Installations rather than processes are covered by the Directive.
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the new Regulations.

• There are revised arrangements for dealing with
changes to installations.
More...
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• There is no provision for any exemptions on the

grounds of triviality.
• The Regulations allow for the use of generally Further information on the IPPC Directive
may be found on the website of the European
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binding rules, as an alternative to individually tailored

permit conditions. Commission at http://ec.europa.eu/
environment/air/pollutants/stationary/ippc/
• Prohibition notices under EPA 1990 have been index.htm.
replaced by suspension notices.
• Under IPC, an operator was only required to notify
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a competent authority if a change in operating

conditions would result in a breach of those
Relationship between PPC and Other
conditions. If the proposed change is considered to Regulations
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be substantial, a public consultation procedure is PPC seeks to regulate almost all of the environmental
now triggered. impact of the operation of an installation, for example:
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The main aim of the Directive was to achieve “integrated • Contaminated land.
pollution prevention and control” from a wide range of
• Energy efficiency.
installations. This is undertaken by preventing (or where
not practicable) reducing emissions, to land, water and • Noise, vibration and raw materials consumption.
air by industries that have the potential to pollute, as this
• Accident prevention (COMAH and PPC data can be
achieves substantial protection to the environment in its
used to satisfy both requirements).
entirety.

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 Element 6: Environmental Legislative Framework and Methods of Enforcement

• Environmental Impact Assessment (EIA). (A number

of the installations require an EIA before consent
for development is given. It is suggested that under More...
certain circumstances, there may be benefit in
running the two procedures together.)
• Waste. For a full list please refer to Schedule 1 to the EP
Regulations 2010 available at

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In general, PPC complements Acts and Regulations
that have been made in the above areas and does not http://www.legislation.gov.uk/uksi/2010/675/

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revoke existing legal requirements. For example, PPC contents/made.
installations are still covered by the ‘Duty of Care’ for
waste and still have to gain consent for discharges to
sewer or surface water.
Enforcement under EP

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However, you should note that the introduction of The following organisations are involved in the
the first set of environmental permitting regulations enforcement of the installation EP/IPPC regime:
(Environmental Permitting (England and Wales)
Regulations 2007) resulted in the replacement of over • In England and Wales, responsibilities are split
40 pieces of legislation which largely implement the between the Environment Agency and the Local

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requirements of EU Directives. For example, Directive Authorities.
99/13 (on the limitation of emissions of volatile organic • Additionally, there is consultation depending
compounds due to the use of organic solvents in certain on technical expertise between the two groups
activities and installations) until the introduction of the of regulators, e.g. the Local Authority are the
EP Regulations was implemented through PPC permits consultees with regard to noise issues and the EA
under the Solvent Emissions (England and Wales)
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Regulations 2004. The requirements of the Directive expertise.
are now implemented through the EP Regulations.
• In Scotland, where IPPC permits still apply, the
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Scottish Environment Protection Agency is the
Structure and Application of Regulations sole regulator.
to Implement PPC
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• In Northern Ireland, where IPPC permits still apply,

separate arrangements have been made by the
Northern Ireland Environment Agency and
Topic Focus District Councils.
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The installation requirements of the

Environmental Permitting Regulations cover a
wide range of processes, for example:
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• Energy industries.
• Production of metals.
• Chemicals manufacture.
• Recovery processes, e.g. waste oils and
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incinerators.
• Tanneries.
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• Surface treatments, e.g. paint and printing

using solvents.
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• Slaughterhouses.
• Large food and drink manufacturers.
• Intensive rearing of poultry and pigs.
• Dyeing of fibres and textiles.

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 Element 6: Environmental Legislative Framework and Methods of Enforcement

Mobile Plant and Installation Risk-Based Grading System (England and Wales)
A(1) A(2) B
Pollution to the air, water and Pollution to air, water and land Pollution only to air
Polluting land
Smaller and less polluting than The least polluting
potential The larger, most polluting A(1) installations installations/mobile plant
installations/mobile plant

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Enforcing body Environment Agency Local Authority Local Authority

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1. Energy efficiency 1. Energy efficiency 7. Emissions to air
2. Waste management 2. Waste management

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3. Consumption of raw 3. Consumption of raw
Impacts that are materials materials
controlled by 4. Noise and vibration 4. Noise and vibration
permit
5. Site restoration and 5. Site restoration and
decommissioning decommissioning

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6. Accidents and incidents 6. Accidents and incidents
involving the environment involving the environment
7. Emissions to air 7. Emissions to air
8. Emissions to water 8. Emissions to water
9. Emissions to land
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9. Emissions to land
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The following enforcement options are available to the Transition from EPA to PPC
regulators:
Part 1 of EPA 1990 has now been completely
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• Enforcement notice - if the regulator is of the replaced by the Pollution Prevention and Control
opinion that an operator is not complying with their Act 1999 (and Regulations 2000, repealed in 2007)
permit, or its conditions. and subsequently installation permits under the
• Suspension of the permit - if the regulator is of the Environmental Permitting Regulations 2010.
opinion that the installation is being operated in such
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a manner as to involve a serious risk of pollution, a BAT

suspension notice can be served. PPC introduced the concept of Best Available
Techniques (BAT) to environmental regulations.
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• The regulator also has powers, if he is of the

opinion that an emergency situation exists, to take Operators of these industrial activities must use these
preventative steps rather than issuing a suspension Best Available Techniques to control pollution from their
notice. Costs can be recovered from the operator. installations.

Application to Surrender a Permit

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If an operator ceases or intends to cease operating an

installation, an application for surrender must be made
to the regulator. A site report must be submitted, which
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identifies any changes in condition of the site since the

issue of the permit. The regulator need only accept the
application for surrender, where they are satisfied with
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the condition of the site and that no further steps to

avoid any pollution risk need be taken.

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 Element 6: Environmental Legislative Framework and Methods of Enforcement

Topic Focus

Best Available Techniques (BAT)

The Best Available Technique is in the IPPC Directive as effective and advanced development of activities and

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operational methods which indicates suitability of techniques for providing the basis for emission limit values
designed to prevent, and where that is not practicable, generally to decrease the emissions and the impact on
the environment as a whole.

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The constituent parts of BAT, as we considered earlier in the course, are as follows:
• “Best” means, in relation to techniques, the most effective in achieving a high general level of protection

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of the environment as a whole.
• “Available Techniques” means those techniques which have been developed on a scale which allows
implementation in the relevant industrial sector, under economically and technically viable conditions,
taking into consideration the cost and advantages, whether or not the techniques are used or produced
inside the United Kingdom (as long as they are reasonably accessible to the operator).

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• “Techniques” includes both the technology used and the way in which the installation is designed, built,
maintained, operated and decommissioned.
Various factors are considered when determining the Best Available Technique, such as:
• The use of low-waste technology.
• The use of less hazardous substances.
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• The furthering of recovery and recycling of substances generated and used in the process and of waste,
where appropriate.
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• Comparable processes, facilities or methods of operation which have been tried with success on an
industrial scale.
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• Technological advances and changes in scientific knowledge and understanding.

• The nature, effects and volume of the emissions concerned.
• The commissioning dates for new or existing installations or mobile plant.
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• The length of time needed to introduce the Best Available Technique.

• The consumption and nature of raw materials (including water) used in the process and the energy
efficiency of the process.
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The BAT approach of IPPC differs from regulatory approaches based on fixed national emission limits. The
legal instrument that ultimately defines BAT is the permit, and permits can only be issued at the installation
level.
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Revision Questions
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1. What environmental impacts are regulated by

installation permits under EP/IPPC?

2. Describe BAT.

(Suggested Answers are at the end of this book.)

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 Element 6: Environmental Legislative Framework and Methods of Enforcement

Powers of Inspectors, Different Types of Enforcement Action

Key Information

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• The key environmental regulators in the UK are the Environment Agency (EA), the Scottish Environment

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Protection Agency (SEPA) and the Northern Ireland Environment Agency (NIEA).
• Enforcement notices, prohibition notices, abatement notices, suspension notices, remediation notices and civil
sanctions can be issued under various environmental laws.

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• The penalties for most environmental offences may involve a fine, imprisonment, or both.
• The local authorities and water companies also have some environmental regulatory responsibilities.
• The enforcement agencies have numerous powers that can be used to carry out their duties (e.g. Section 117 of
EPA 1990).

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Roles of the Agencies installations and regulatory enforcement under the
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The Environment Agency • Waste management licensing such as the registration
The Environment Agency (EA) took over responsibilities of carriers and regulation and enforcement of the
of Her Majesty’s Inspectorate of Pollution, the National import and export of waste.
Rivers Authority and the waste regulatory function of
• Regulation of contaminated land ‘special sites’
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local authorities in April 2006.
in addition to those contaminated by radioactive
It is a non-departmental public body with its materials.
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headquarters located in Bristol and is tasked with

responsibility for policies, standards and making sure • Monitoring the condition of the environment
that a consistent environmental protection system exists. and publishing statistics and research advice to
There are eight regional offices, including one covering government.
the whole of Wales. • Guidance and general advice to industry and others
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The key roles of the EA are as follows (this list is not on best practice.
exhaustive): The EA’s enforcement policy identifies the situation
under which the EA will in most cases prosecute. The
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• Protect and enhance the environment.

general principles under which it operates are:
• Adopt an integrated approach to environmental
protection and enhancement. • Accountability – firm but fair regulation.

• Undertake its duties in an economical, efficient and • Proportionality – action should be proportionate to
effective manner. the risk to the environment and to the seriousness of
compliance with the law.
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• Meet high standards of professional conduct.

• Consistency – this is seen as important but other
• Ensure that individuals and organisations comply with factors such as history of offences may be taken into
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relevant regulations. account.

• Provide high quality, timely advice to government. • Targeting – regulatory effort is focused towards
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• Prepare and collect high quality data and disseminate areas that present the greatest risk to the
information. environment.

• Undertake necessary research. • Transparency – making sure it is clear why the action
has been taken.
Pollution control responsibilities of the EA include:
The Legislative and Regulatory Reform Act 2006
• Permits for emissions discharges and disposal to established good principles which regulators must take
air, land and water and monitoring compliance and into account, and covers the areas in the EA enforcement
enforcement under water legislation, permitting of policy.

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 Element 6: Environmental Legislative Framework and Methods of Enforcement

Northern Ireland Environment Agency (NIEA)

The Northern Ireland Environment Agency forms part
More... of the Department of Environment (Northern Ireland)
and has overall responsibility for pollution control and
environmental protection.
The Environment Agency’s website can be found
The overall aims of the NIEA are to:
at http://www.environment-agency.gov.uk/.

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• Protect and conserve Northern Ireland's natural
heritage and built environment.

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The Scottish Environment Protection Agency • Control pollution.
The overall aim of the Scottish Environment Protection • Promote the wider appreciation of the environment
Agency (SEPA) is to: and best environmental practices.

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“provide an efficient and integrated environmental The Pollution Prevention and Control Regulations
protection system for Scotland that will both improve (Northern Ireland) 2003 introduced the IPPC and
the environment and contribute to the Scottish local authority air pollution control regime to Northern
Ministers’ goal of sustainable development…”. Ireland, similar to those introduced under the PPC Act in
the rest of the UK. Part A and B processes are regulated

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In undertaking its pollution control duties, its main
by the NIEA, with Part C processes (those with significant
objective is to minimise or prevent, mitigate or remedy
but less potential for air pollution) being regulated by
the impact that pollution may have on the environment,
district councils.
in addition to ensuring it has sufficient information
surrounding the level of pollution of the environment. The Northern Ireland Pollution Inventory contains data
SEPA must also keep up to date with any improvements
in technology or techniques for preventing and abating
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on emissions from industry and is kept up to date by the
NIEA.
environmental pollution.
SEPA has a responsibility to regulate all installations
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identified as being controlled by the Pollution
Prevention and Control (Scotland) Regulations 2000.
More...
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SEPA also has responsibilities for:

• Regulating discharges to water, and for protecting The NIEA website can be found at http://www.
and making improvements to water environments. ni-environment.gov.uk.
• Waste management activities (e.g. incinerators).
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• Dealing with contaminated land that has been

designated as a ‘ Special Site’. Enforcement of Environmental Law
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• Use and disposal of radioactive materials and wastes.

Offences
Under the legal system of Scotland, SEPA is not able
to take offenders to court itself, but must instead refer Offences under the Environmental Protection Act
cases to the Procurators Fiscal to enable a prosecution to 1990
occur. These include:
• Failure to comply with or contravening any
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requirement or prohibition imposed by an

enforcement notice or a suspension notice.
More...
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• Failure to comply with any requirement imposed by

regulatory authorities without a good excuse.
The SEPA website can found at http://www.
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• Preventing another person from answering any

sepa.org.uk/. question to which an inspector may require an
answer.
• Intentionally obstructing an inspector in the
performance of his/her duties.
• Making a statement which is known to be false or
misleading.

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 Element 6: Environmental Legislative Framework and Methods of Enforcement

• Intentionally making a false entry in any record occupier of the premises has the consent of the sewage
required to be kept under Section 7 of the Act. undertaker or other authorisation. However, the
Act does not specify who should prosecute for these
• Pretending falsely to be an inspector.
offences. So, in the case of discharge of dangerous
substances and where controlled water is affected, the
Offences under the Pollution Prevention and Control
Environment Agency would be able to prosecute. The
Act 1999
sewage undertaker could also prosecute.
It is an offence under this Act to undertake the following:

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Section 196 establishes trade effluent registers
• Operate an installation without a permit. containing details of consents and agreements.

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• Contravene a permit or its conditions. This complements the discharge consents registers
maintained by the Environment Agency, under
• Fail to comply with a court order requiring remedial WRA 1991.
action following conviction.

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• Make false entries in a register. Procedures for Appeal Against Decisions of
• Falsify documents, etc. Inspectors and Enforcing Authorities
Under the law, there is a right of appeal in the case of
Offences under the Water Resources Act 1991 environmental offences, as with others. The right of

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Formerly it was an offence under Section 85(1) of the appeal against a decision of the court is made to a higher
Water Resources Act 1991 to cause, or knowingly court (see the figure which follows shortly).
permit, poisonous, noxious or polluting matter to enter There is a right of appeal also in the context of many
controlled waters unless consent to discharge had been separate pieces of legislation, e.g. an applicant may
granted. These powers have now been transferred to appeal if the responsible authority fails to determine
the Environmental Permitting (England and Wales)
Regulations 2010.
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an application for various licences, permits, etc. within
a set time; there is a right of appeal against planning
Section 196 establishes trade effluent registers approval and against the conditions on an Abatement
containing details of consents and agreements. Notice, specifically Sections 15 and 22 of EPA 1990 give
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This complements the registers maintained by the details. This is similarly repeated in other environmental
Environment Agency under the Environmental legislation, e.g. the Statutory Nuisance (Appeals)
Regulations 1995. Appeals are determined by the
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Permitting (England and Wales) Regulations 2010.

Secretary of State. Time periods apply, e.g. an applicant
has six months to appeal against the conditions of a
Permit, two months against an Enforcement Notice and
21 days against an Abatement Notice. These will be
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detailed in the relevant regulations.

Options for Enforcement Action

For Scotland see the publications below for
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further information on relevant offences: Prosecution - Summary, Indictable and Hybrid

Water Environment (Controlled Activities) Offences
(Scotland) Regulations 2011 Environmental law is statutory. It is a criminal offence
to break environmental law.
http://www.legislation.gov.uk/ssi/2011/209/
contents/made Environmental cases are ‘hybrid’ in that they may be
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tried by a Magistrates’ or a Crown Court. This latter

Public Health etc (Scotland) Act 2008
situation arises in more serious ‘indictable’ offences.
http://www.legislation.gov.uk/asp/2008/5/ The structure of the Criminal Courts is shown in the
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contents following diagram.

Water Environment and Water Services
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(Scotland) Act 2003

http://www.legislation.gov.uk/asp/2003/3/
contents

Offences under the Water Industry Act 1991

Under Section 118 of this Act, it is an offence to
discharge trade effluent into a sewer unless the

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 Element 6: Environmental Legislative Framework and Methods of Enforcement

Action Type of Court

Rules on cases of complaint

against member state
European Court of Justice
governments, legality of EC

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legislation and interprets EC

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Treaties.

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Rules on a point of law of Supreme Court
public importance.

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Hears appeals against
conviction on points of law
or fact, or against sentence.
May:
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–– Dismiss appeal. Criminal Division
–– Quash lower courts’
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verdict, or sentence.
–– Order new trial.
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Unlimited fine and up to

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two years in prison. Crown Court

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Committal for trial at the

Crown Court if there is Indictable
prima facie evidence (a case Magistrates’ Court
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on the face of it), i.e. there is

a case to answer.
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Summary
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Depending on the offence,

either £5,000 fine or max.
£50,000 and/or 6 months
in prison.

The Structure of the Criminal Courts in England and Wales

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