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7. 1 The Environmental Protection (Applications, Appeals and Registers) Regulations 1991 S1507 establish the detailed procedure for applications for IPC authorisations.
7.2 Regulation 2 provides that the application must be made in writing and that it must contain the information specified in the Regulations. The following is a summary and explanation of that Regulation (which applicants are also advised to study before submitting an application):
a. the name, address and telephone number of the applicant and an address for correspondence if different. If the applicant is a registered company the registered number and office must be included;
b. the name of the local authority and the address where the prescribed process will be carried on. This must include adequate information to enable the enforcing authority, and others interested in the application, to locate the process within the district. If only part of the premises concerned is used for carrying on the process, that part should be identified in the plan or by some other means. A detailed site plan is not required, provided the basic locational information is conveyed by something more general.
c. in the case of mobile plant, the name of the local authority and the address where the applicant has his principal place of business.
d a description of the prescribed process. The operator should include in his application for an authorisation a description of the activities and operations he intends to undertake which together comprise the prescribed process, including the number of steps in the process, and whether the application is in respect of a new or an existing plant. This .information should include the physical characteristics of the parts of the proposed plant, including the handling and transportation of materials on the premises, accompanied as necessary by appropriate simple grams and drawings; what is to be manufactured, in what quantities and at what times; details of any other related neighbouring processes (eg those which could have an effect on the operation of the process in question or be affected by its operation); whether the process is mobile; the number of people to be employed and what their experience and training is to be. If necessary advice on this aspect can be obtained from the enforcing authority.
e. a list of prescribed substances (and any other substances which might cause harm if released into any environmental medium) used in connection with or resulting from the process.
f. a description of the techniques to be used for preventing or minimising the generation and release of prescribed substances and rendering, harmless any substances which are released. This should specify the discharge routes used or proposed to be used by the process and the extent to which these are shared by other scheduled and non-scheduled processes.
g. and i. details of any proposed release of such a substance into any environmental medium and an assessment of the environmental consequences and the matters on which the applicant relies to establish that the objectives in section 7 of the Act including the residual duty to use BATNEEC (see paragraphs 3.9 to 3.10 above) will be achieved. Where a process releases substances to more than one environmental medium, a BPEO (see paragraph 3.6) assessment will be required. It is recognised that a detailed environmental impact statement relating to each process option considered and for all substances involved would be excessive. What is required is an assessment of the main areas where the process is likely to impact on the environment (whether globally, regionally or locally) and, against that, a justification of the process/ technique chosen. For example, where a particular local environmental issue or sensitivity exists, the operator would need to demonstrate that his proposed process /technique takes adequate account of it. The assessment should demonstrate that the chosen combination of process and abatement techniques meets the objectives set out in Section 7 of the Act;
h. proposals for monitoring the release of substances, the environmental consequences of releases and the use of the techniques referred to in f above;
i. any additional information the applicant wishes the enforcing authority to take into account in considering the application.
7.3 The applicant also should point out clearly any information which the applicant wishes to be withheld from public registers on the grounds of national security or commercial confidentiality. Sections 21 and 22 of the Act and paragraphs 9.6 to 9.11 in this guidance provide more details.
7.4 Application forms are available from the enforcing authority and include further guidance on completion.
Additional Information
7.5 Paragraph 1(3) of Schedule 1 to the Act also gives the enforcing authorities a right, by notice in writing, to require the operator to furnish such further information as may be specified in that notice and within a specified period, so as to enable an application to be determined.
Consultation Procedures
7.6 The statutory consultees are identified in regulation 4 and consist of :
a. the Health and Safety Executive;
b. the Secretary of State for Scotland;
c. in relation to Scotland, the regional or islands council, in cases which may involve the release of any substance into a sewer vested in the council;
d. Scottish Natural Heritage, in cases which may involve a release of any substance which may affect a site of special scientific interest in Scotland;
e. the harbour authority in the case of all prescribed processes designated for central control which may involve a release of any substance into a harbour managed by the harbour authority.
7.7 Whichever of the Chief Inspector or the river purification authority it is determined under the Environmental Protection (Determination of Enforcing Authority etc) (Scotland) Regulations 1992 to be the enforcing authority is also required to consult the other in terms of regulation 4(1) of these Regulations.
7.8 The enforcing authority will notify statutory consultees of an application for an authorisation (or in certain cases a variation of an authorisation - see paragraphs 8.2 and 8.5ff below) within 14 days of the receipt of the application for an authorisation (or variation). The Act provides that statutory consultees will then have 28 days in which to respond. Regulation 7 provides an exception to that general rule where an application for an authorisation or variation contains information which the applicant believes should be restricted on the grounds of commercial confidentiality or national security. In such cases the enforcing authority will notify the appropriate statutory consultees of the application or variation not less than 14 days and not more than 28 days after the day on which issues relating to commercial confidentiality or national security are finally determined. The consultees listed at c to e above will not receive information affecting national security and will receive commercially confidential information only insofar as it relates to releases of substances which affect their interests.
7.9 Regulation 5 provides that the public must also be consulted in respect of applications for authorisations, and variations of authorisations involving substantial change. The regulation places a duty on the operator to publish in a newspaper circulating in the locality in which the prescribed process will be carried on an advertisement containing the following details:
a. the name of the applicant (or holder of the authorisation);
b. the address of the premises where the process is carried on;
c. a brief description of the prescribed process;
d. state where any register of information which contains particulars of the application or of the variation involving a substantial change may be inspected and a statement that members of the public have a right to inspect the registers free of charge;
e. a statement that any person may make representations to the enforcing authority within 28 days of the date of the advertisement; and
f. the address to which representations should be sent.
7.10 So that the enforcing authority has the opportunity to place the appropriate documents in the register, the advertisement must be made not less than 14 days and not more than 42 days after the day on which an application for an authorisation (or variation) is made, or the day on which the holder of an authorisation is notified in accordance with section 10(5) of the Act. Regulation 7 again provides slightly differently for applications which contain commercially confidential or national security information. In such cases the advertisement must be published between 14 and 4 2 days after the day on which issues relating to commercial confidentiality and national security are finally determined; and information which is commercially confidential or which affects national security W-ill of course be excluded from any advertisement.
Time Limit for Considering an Application
7.11 Paragraphs 5(1) and (3) of Schedule 1 to the Act provide that an enforcing authority will have a set period in which to determine applications for authorisations. Where the application does not contain commercially confidential or information affecting national security this will. be four months from the date the enforcing authority receives the application. However, a separate Order under the Act - the Environmental Protection (Authorisation of Processes) (Determination Periods) Order 1991 - provides that where an application does contain such information, the period will be four months from the day on which issues relating to commercial confidentiality and national security are finally determined.
7.12 By agreement with the applicant, under paragraph 5 of Schedule 1 to the Act, the enforcing authority may in appropriate cases take longer than four months to determine an application. This may be appropriate for design stage applications in particular (see paragraphs 7.15 to 7.18 below).
7.13 Figure I shows the main steps and timetable for dealing with applications; Figure II sets out the procedures in more detail.
Refusal of an Application
7.14 As paragraph 3.5 above makes clear the enforcing authority must refuse to grant an authorisation unless it considers that the applicant will be able to carry on the process in compliance with the conditions to be included in the authorisation. Those conditions can only be set if the enforcing authority has the information it needs. It is 'vital, therefore, that the application is a comprehensive document. If information is not provided in enough detail the enforcing authority will notify the applicant in writing of the additional information it requires and the time within which it should be provided. If this information is not forthcoming the enforcing authority may refuse to proceed with the application. The application must also be accompanied by the correct fee prescribed in a scheme made under section 8(2)(a) of the Act. If an application is not accompanied by a fee, the application will not be duly made and will not be considered.
Staged Applications
7.15 For existing processes - the vast majority to come within IPC - applications will be made at the due time in the overall IPC implementation programme or when substantial changes to the process are to be introduced.
7.16 For new processes with normal characteristics, it will generally be appropriate for applications to be made when full designs have been drawn up but prior to construction commencing.
7.17 For such processes which are not excessively complex or novel, it is likely that the operator will be in a position at the design stage to submit an application which provides all the information - including proposals covering management of the plant and training of operating staff to enable the enforcing authority to place it on the public register, carry out the required consultations and e a determination within the normal four month period. If in the course of construction or commissioning, changes have to be made which would lead to the need for the authorisation to be varied, it will be open to the applicant to apply in due way or to the enforcing authority to institute the appropriate variation procedures.
7.18 However, for some novel and complex new processes, with long lead times for design construction, it may not be possible for the enforcing authority to determine an application at this stage. In these circumstances applicants should consult the enforcing authority at an early stage of process design, so that for example all choices relating to the best practicable environmental option may be e xamined. before process development closes off options prematurely. At some mutually agreed stage thereafter an application for an IPC authorisation may be made. The applicant however may continue to supply additional design information up to the point, usually after completion of the final design, when the application can finally be deterred.
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