AQ Notes (additional guidance notes on local authority industrial pollution control issues)

AQ2(03)

ADDITIONAL GUIDANCE FROM THE DEPARTMENT FOR ENVIRONMENT, FOOD & RURAL AFFAIRS, AND FROM THE WELSH ASSEMBLY GOVERNMENT

INSPECTION FREQUENCY - BASIC PRINCIPLES

This guidance note replaces AQ4(95) where local authorities have adopted the risk-based regulatory methodology issued by DEFRA and the Welsh Assembly Government on 7 November 2000. The guidance relates to inspections to ascertain compliance with conditions (which includes authorities undertaking their own compliance monitoring), to check process changes, and in response to complaints.

The benefits of physical inspection of premises are that it can reveal operational and practical compliance issues which monitoring data alone will not show. Local authorities will also normally want to undertake an inspection visit in response to a complaint, if they receive monitoring data showing a breach or near breach of conditions, or if they receive a report from the operator of abnormal operation.

Where the risk-based regulatory methodology has been adopted, regulated processes (other than small waste oil burners and service stations) will all be classified as either 'high', 'medium' or 'low'. This classification relates to the regulatory effort necessary to devote to each process according to their relative risks. "Regulatory effort" refers to the full range of activities needed to regulate the process, not just inspection.

The following are the minimum levels of inspection DEFRA and NAW would expect for each of these categories:

HIGH - two "full" inspections a year, during which the local authority officer must examine full compliance with all authorisation conditions and look at any process or other relevant (eg management) changes. In addition, there must be at least one "check" inspection to follow up any areas of concern or other matters arising from the full inspection. "Extra" inspections may be needed in response to complaints, adverse monitoring results etc.

MEDIUM - one "full" inspection, plus one "check" inspection, together with "extra" inspections as required.

LOW - one "full" inspection, together with "extra" inspections as required.

In all three categories:

a) it is acceptable to combine an extra inspection with a full or check inspection.

b) it is acceptable to combine a full inspection with an inspection associated with a four-year review.

c) where appropriate it may be best to carry out a full inspection when emissions monitoring is being undertaken for the operator in line with authorisation conditions.

There are likely to be few opportunities for local authorities to combine inspections for LAPC implementation purposes with inspections for any of their other enforcement functions. However, authorities should be alert to such opportunities where they will serve to make more effective use of their own resources and minimise disruption to businesses.

12.02.03