Applying for a permit and outcomes

This page has been archived and, as of March 2011, is no-longer maintained by WRAP. 

For latest update on permiting and exemptions, please visit the Environmental Permitting page of the Environment Agency website. 

This page provides information on the procedural aspects of applying for a permit. The types of available permits (standard and bespoke, including those from Local Authorities) are described elsewhere in this section.

The following is a summary of the information provided within DEFRA Core Guidance on Environmental Permitting and Waste Exemptions Guidance and covers mainly applications for new permits. You are strongly advised to read in full relevant sections of both guidance documents and/or contact your local Regulator for further advice, particularly for other applications (transfers, variations, surrenders etc.).

Further information on permitting can be accessed on the Environment agency website.

The Environmental Permitting Regulations establish that only the operator, i.e. the person who has or will have control over a regulated facility, may obtain or hold an environmental permit. Operators are required to demonstrate that they have the authority to ensure the conditions of the permit are complied with.

For waste operations, this usually means that the operator should hold a Certificate of Technical Competence, which can be obtained through the CIWM / WAMITAB scheme or through the ESA/EU Skills scheme.

Operators of old exempt facilities now requiring a permit are also required to demonstrate technical competence but will be given 12 months from the date on which their permit is granted to demonstrate it. However, they are required to indicate in their application to the Regulator which scheme they intend to register or have registered with.

Other competence requirements that the operator must meet include having an effective management system in place (proportionate to the complexity of the operation), be financially capable and not having any conviction for offences related to the environment or environmental regulations. This competence must be maintained.

Applicants are encouraged to start discussion with the Regulators as soon as possible to ascertain whether a permit is required, and if so which type, and to obtain guidance on the application.

Operators of new facilities are also advised to consult the Regulators as soon as possible during or just at the end of the design phase of any major expenditure programme. Applicants can start the implementation phase, including any construction, but at their own risk, as the Regulators might not approve of the design.

Planning permissions should be applied for in parallel with the permit application, bearing in mind that for many waste operations a planning consent needs to be in place before a permit can be released.

The Environmental Permitting (England and Wales) Regulations define who regulates which facilities.

The Environment Agency regulates Part A(1) facilities, fixed or mobile, where high risk activities emitting to air, soil and water are undertaken, and waste operations in general.

Local Authorities regulate Part A(2) facilities, fixed or mobile where lower risk activities emitting to air, soil and water are undertaken, and Part B facilities, where activities emitting to air only are carried on. Example: a plant crushing of concrete and bricks with associated storage of waste to be processed is a Part B facility.

For Part A(2) and Part B mobile plants, if the principal place of business of the operator is in England and Wales, the Regulator is the Local Authority of the place of business. If the principal place of business of the operator of Part A(2) or Part B mobile plant is not in England and Wales, the Regulator can either be the Local Authority which granted the environmental permit authorising the operation of the regulated facility; or, if no permit has been granted, the Local Authority in whose area the regulated facility is first operated, or is intended to be first operated.

Please note that the principle of one Regulator for one site apply as much as possible, and the Secretary of State or the Welsh Government can issue, and are likely to issue, Directions to that effect, either on a site by site basis or for an entire sector/category of facilities. This means that, for example, if a waste operation (normally regulated by the Agency) is part of a Part B or Part A(2) facility (normally regulated by the Local Authority) a Direction could impose that the waste operation be regulated by the Local Authority who already regulates the main facility. This will result in the opportunity for having a single permit. Further information is available in paragraphs 2.30 and the General Guidance Manual on Policy and Procedures for A2 and B Installations from the DEFRA website.

However, until such Directions are issued, if a facility of the type regulated by Local Authorities includes a waste operation regulated by the Agency, or a waste operation includes a Part B facility, two permits will be required and need to be applied and paid for.

Applications must be made on the forms provided by the Regulators: for new permits, they are different parts of the same application form for standard and bespoke permits with the Agency, and are provided within Part C of this guidance for applications to Local Authorities. Other forms are available for variation, surrender etc. from your Regulator. The application must be accompanied by the required additional information and relevant fees for standard and for bespoke permits.

Duly made applications (i.e. appropriate and complete application forms and documentation sent to the right Regulators with the relevant fee) will be recognised by the Regulator, who will indicate a date for the determination of the application.  Non-duly made applications will be rejected with an explanation as to the reasons why.

The determination period starts from the date the Regulator recognises the application as duly made. It should take around three months for permits relating to mobile plants and standard, non Part A facilities and around four months for the granting of a permit to all other facilities.

The Regulators have the duty to deliver, through the permitting regime, the requirements of the applicable Directives and national policy, including ensuring protection of the environment and human health.

The Directives and national policy applicable to waste operations relevant to the construction industry are described in the following Schedules of the Environmental Permitting Regulations 2010:

• Part B installations and Part B mobile plant: Schedule 8 – Part B installations and Part B mobile plant
• Waste Framework Directive: Schedule 9 – Waste operations
• Landfill Directive: Schedule 10 – Landfill
• Asbestos Directive: Schedule 16 – Asbestos
• Mining Waste Directive : Schedule 20 – Mining waste operations

Guidance on the above is available from DEFRA through the Core Guidance on Environmental Permitting and other specific guidance. 

Assessment of risks to the environment and human health 

All applications will include a risk assessment of the proposal. The applicants will need to assess risks to the environment and population under normal and abnormal operating conditions and to provide robust justification of any assumptions made.  Control measures to mitigate the risks and the impacts must be described. All these will be judged for adequacy by the Regulator.

Standard permits relevant to the construction industry come already with a generic risk assessment; while for bespoke permits, the Agency has recently consulted on a new specific H1 Environmental Risk Assessment guidance which includes waste operations. This and the Guidelines for Environmental Risk Assessment and Management should be used by the applicants preparing the risk assessment for bespoke permits.

For applications to Local Authorities, the permit form (Part C of this guidance) includes a trace to be followed to provide an assessment of emissions and measures to mitigate impacts. You are advised to read the Guidance manual and refer to the Guidelines for Environmental Risk Assessment and Management and to the relevant Process Guidance Notes (please note: the PGNs relevant to the Minerals sector are being reviewed and should be published after the end of March 2011).

The outcome of the determination will hopefully be the grant of a permit. However, there are cases where the Regulators must or might refuse an application and cases where the permit will be granted with conditions.

The Regulators must refuse permission if :

• they believe the applicant will not be the operator;
• for transfers of permits, they believe or know that the new operator will not be technically or financially competent, has a poor management system or a poor record of compliance; and
• for certain mining waste facilities (Category A), the operator has failed to provide required information to the emergency planner for an external emergency plan.

The Regulators might refuse permission if:

• the operator is not judged competent;
• the environmental impact is unacceptable;
• the applicant has not provided sufficient information even after further request;
• the requirements of the relevant Directives are not met.

Conditions might accompany a permit and be imposed to the operator to ensure, for example, that certain legislative requirements are met, risks are mitigated and certain objectives are attained.

Please use the WMR Step by Step Tool to find out which exemptions and permits apply to the waste stream you are using or processing or storing and to the activities you are proposing to undertake.