Annual Regulation Report 2019

Our regulatory performance for 2019 is comparable with 2018. The breakdown of the incidents by regime only had small percentage changes.

Water pollution incidents were the highest single incident category accounting for 29% of all recorded incidents in both 2018 and 2019. We attended more water pollution incidents in both the high and low categories than any other single category.

The data used in this report has been taken from the Wales Incident Recording System (WIRS), the Compliance Assessment Reporting System (CARS) and the Contravention Offence Legal Information Notification System (COLINS).

Incident responses

We received 7,423 incident reports in 2019. We classified:

• 76.2% as low level
• 14.5% as high level
• 9.3% as duplicates, not in remit, complaints and events

Our incident attendance rate in 2019 was 27%. We attended 27% (1,525) of low level incidents and 39% (424) of all high level incidents.

Noncompliance reports

There were 624 noncompliance reports at permitted sites in 2019. Some 264, or 42%, of all noncompliance was dealt with by warning letter.

• The disposal of waste by landfill had the most non-compliance reported
• In waste operations, general management was the highest cause of noncompliance
• In installations, emissions were the highest cause of noncompliance followed by general management
• In water quality, emissions were the highest cause of noncompliance and in water abstraction it was infrastructure
  
  

Enforcement cases

We created 655 enforcement cases on our COLINS system; 455 of these cases were concluded with a legal outcome.

Out of the 455 completed records:

• 245 cases (54%) were for waste related cases
• 83 cases (18%) were for water related cases
• 127 cases (28%) were for all other regimes including forestry, fisheries, wildlife and countryside

Formal cautions

We issued formal cautions for 53 separate charges across 39 cases. In these cases, there were 46 offenders of which 15 were companies and 31 were individuals.

Prosecutions

We prosecuted 98 separate charges over 58 cases. In these cases, there were 59 offenders of which 6 were companies and 52 individuals.

We prosecuted 25 more separate charges in 2019 than 2018. The amount of court fines awarded, and our costs recovered, were nearly 50% less than we received in 2018.

Enforcement undertakings

In 2019 we accepted three enforcement undertakings and served four Regulation 36 notices under EPR 2010.

Water pollution case study

Environmental Permitting (England and Wales) Regulations 2016 Regulation 38 (1) (a) contravene regulation 12 (1) (Colin’s 8275)

On the 3 October 2017, a pollution incident was reported to NRW that the water in Wepre Brook at Wepre Park was discoloured chocolate brown with sediment. Our officers attended the incident and found that the pollution in the brook was visible for approximately 5km. Our officers traced the source of the pollution back to a Quarry in Alltami which has a permitted discharge point into Alltami brook.

Although there was no discharge taking place when our officers arrived at the discharge point, they found that was discoloured water in the chamber which could be traced through surface water manholes to the Alltami Brook which flows into the Wepre Brook.

On 7 November 2017, another similar pollution incident was reported to NRW that the Wepre Brook at Wepre Park was discoloured chocolate brown with sediment. Officers attended the incident and again traced the pollution back to the discharge point from the quarry.

We sampled the affected water at both incidents. The first, in October 2017, showed almost 600 times the safe limit of solid particles and the second in November 2017 was 17 times over the legal limit.

On both occasions, there was also dirty water within the drainage ditch that runs along the boundary fence of the quarry. Our investigation found that the operator of the quarry did not have the adequate pollution prevention methods in place, which caused the bank below an outlet pipe to become smothered in a red clay-like material and the water in both brooks to turn chocolate brown.

Both of these incidents were registered as high-level by NRW due to the likelihood of them to cause serious harm or death to aquatic life. Pollution of this nature is known to bury fish eggs in the stream bed, suppress photosynthesis and damage fish gills resulting in their deaths.

In October 2019 at Mold Court the owners of Quarry in Alltami, pleaded guilty to four charges related to breaching their environmental permit, following two pollution incidents in 2017 that affected 5km of the Alltami brook and Wepre brook. They were fined £8,000 for each permit offence, totalling £32,000, as well being ordered to cover £6,653.86 in related costs.

Species licences

The Species Permitting Team determine applications for a wide range of activities and species under five Acts and Regulations.

Licences issued

Act or Regulation	Number of licences issued
Conservation of Habitats and Species Regulations 2017	366
Wildlife and Countryside Act 1981	921
Badgers Act 1992	16
Deer Act 1991	1
Seals Act 1970	0

Rejection, refusal, withdrawal and offences

• 171 licences were amended
• 26 licences were refused
• 85 applications were withdrawn
• 13 offences were reported to the police
  
  

Forestry licences

The Forestry Permitting team deal with permits for felling and planting activities (external customers). We also approve Forest Resource Plans and administer the Countryside Rights of Way applications (internal customers).

Act or Regulation	No of licences issued	Applications refused	Applications withdrawn
The Forestry Act 1967	566	8	80
The Environmental Impact Assessment (Forestry) (England and Wales) Regulations 1999	39	3	1

Permitted waste facilities

There were 792 operational permitted waste facilities in Wales in 2019.

Industry regulated sites

The numbers of sites in each compliance band for industry installations, waste installations and intensive farms:

Band	Industry - total operational permits	Waste (Installations) - total operational permits	Intensive farming - total operational permits
A	101	84	86
B	29	13	18
C	15	4	4
D	6	2	0
E	2	5	0
F	2	2	0
Totals	155	110	108

Producer responsibility monitoring and compliance

In 2019 our focus has been on auditing reprocessors and exporters, with a focus on plastic exports.

Type	Number	Planned audits	Completed audits
Producers	Approximately 400	2	2
Packaging reprocessors and exporters	26	5	5
WEEE reprocessors and exporters	22	0	0
Batteries reprocessors and exporters	2	0	0
Total	Approximately 450	7	7

Agricultural regulation

Inspections/assessments	Number
EPR poultry permit inspections breaches	7
Cross regulatory farm visits - resulting in advice and guidance to meet regulatory requirements.	58
EPR sheep dip disposal permit inspection	33
Nitrate Vulnerable Zone inspections	4
Water Resources (Control of Pollution)(Silage and Slurry) (Wales) Regulations driven inspections/visits	113
Sludge Use in Agriculture Notifications assessed	126
Cross Regulatory inspections	2
Deployments assessed for agricultural benefit and environmental risk	119

Civil sanctions

As a result of relevant environmental offences being committed, during 2019 we accepted 4 Enforcement Undertakings, 1 Variable Monetary Penalty and Enforcement Cost Recovery Note, and 2 Fixed Monetary Penalties.

Enforcement undertakings

Type of offender	Offence	Date accepted	Amount of costs to NRW	Charity donation	Recipient
Individual	Section 25: Water Resources Act 1991	06/03/2019	£3,725.85	£2,560	Welsh Dee Trust
Individual	Section 4: Salmon and Freshwater Fisheries Act 1975	02/06/2018	£1,129.25	£4,000	Wye and Usk Foundation
Company	Section 4; Salmon and Freshwater Fisheries Act 1975	24/01/2019	£20,133.20	£20,000	West Wales Rivers Trust
Individual	Section 4; Salmon and Freshwater Fisheries Act 1975	15/06/20	£2,315.75	£5,000	West Wales Rivers Trust

Civil sanctions case study: enforcement undertaking

Environmental Permitting (England and Wales) Regulations 2016, Section Regulation 38 (1) (a) & 38 Water Quality

Salmon and Freshwater Fisheries Act (SAFFA) 1975, Section 4(1)

During a major river pollution incident in Mid Wales in 2016 a five mile stretch of the river Teifi was affected when approximately 44,000 gallons of pollutant leaked from an anaerobic digestion plant killing around 18,000 fish

As well as investigating the incident and overseeing the clean-up operation, NRW also investigated the roles of all companies involved in the incident.

The sub-contractor mainly responsible for the incident, Hallmark Power Ltd, went into liquidation so no prosecution could be taken against them. Also, the main contractor, ComBigaS UK, also no longer exists, so no action could be taken against them either.

The site owner Pencefn Feeds Ltd , had raised concerns with their sub-contractors about the quality of their work, but this had not been acted upon. This would have provided them significant mitigation if the matter had gone to court, so NRW concluded that accepting an enforcement undertaking was the best option in this case.

The payments offered by Pencefn Feeds Ltd in the enforcement undertaking were consistent with a court fine and this also means that the money paid by the company directly benefits the local environment.

Under the terms of the enforcement undertaking, The West Wales Rivers Trust received £15,000 to restore fish habitat in the area. £5,000 was paid to the Countryside Alliance Foundation to fund education activities about fish and the local environment for children in the Tregaron area, and £20,000 is being paid to recover all investigation and legal costs relating to the case.

Single Justice Procedure (Fisheries)

Rod and line offences	2019
Number of prosecutions	37
Total fines	£3929
Average fine	£106
Total costs awarded	£3215
Average costs	£87
Compensation	£546
Six month conditional discharge	3

Regulatory contraventions

Regulatory contravention	2019
Byelaw - Environment Agency (Welsh Region) Rod Fishing Byelaws	1
Byelaw - River Dee Shellfish Byelaw	1
Sea Fisheries (Shellfish) Act 1967	8
The Dee Estuary Cockle Fishery Order 2008	3
Control of Pollution (Amendment) Act 1989	3
Control of Pollution (Silage, Slurry Agricultural Fuel Oil) Reg 1991	2
Water Resources (Control of Pollution) (Silage, Slurry and Agricultural Fuel Oil) (Wales) Regulations 2010	9
Environment Act 1995	2
Environmental Impact Assessment (Forestry) (England and Wales) Regulations 1999	2
Environmental Permitting Regulations 2010	29
Environmental Permitting Regulations 2016	258
Environmental Protection Act 1990	77
Environmental Permitting (England and Wales) (Amendment) Regulations 2014	1
Forestry Act 1967	11
Reservoirs Act 1975	1
Not identified	118
Salmon and Freshwater Fisheries Act 1975	79
Transfrontier Shipment of Waste Regulations 2007	3
Waste (Wales) Measure 2010	2
Waste and Emissions Trading Act 2003	1
Water Resources Act 1991	12
Wildlife and Countryside Act 1981	32
Total	655

Enforcement outcomes

The information provided below shows our enforcement outcomes from 1 January 2019 until 31 December 2019. A few cases will have commenced before 2019 but were completed within the year. There will also be cases that were commenced during 2019 that are either still under investigation or in the court system, and these will be recorded in our 2020 report.

Advice and guidance

Act or Regulation	Cases
Control of Pollution (amendment) Act 1989	1
Control of Pollution (Silage, Slurry Agricultural Fuel Oil) Reg 1991	1
Environmental Permitting (England and Wales) Regulations 2010	2
Environmental Permitting (England and Wales) Regulations 2016	49
Environmental Protection Act 1990	16
Forestry Act 1967	3
No entry made	5
Salmon and Freshwater Fisheries Act (SAFFA) 1975	2
Water Resources (Control of Pollution) (Silage, Slurry and Agricultural Fuel Oil) (Wales) Regulations 2010	2
Water Resources Act 1991	3
Wildlife and Countryside Act 1981	7
Total	91

Warnings

Act or Regulation	Cases
Byelaw - River Dee Shellfish Byelaw	1
Control of Pollution (Silage, Slurry, Agricultural Fuel Oil) Reg 1991	1
Environmental Permitting (England and Wales) Regulations 2010	14
Environmental Permitting (England and Wales) Regulations 2016	118
Environmental Protection Act 1990	26
Forestry Act 1967	5
No entry made	10
Salmon and Freshwater Fisheries Act (SAFFA) 1975	13
Sea Fisheries (Shellfish) Act 1967	4
The Dee Estuary Cockle Fishery Order 2008	1
Transfrontier Shipment of Waste Regulations 2007	2
Water Resources (Control of Pollution) (Silage, Slurry and Agricultural Fuel Oil) (Wales) Regulations 2010	1
Wildlife and Countryside Act 1981	15
Total	211

Cautions

Act or Regulation	Cases
Environmental Permitting (England and Wales) Regulations 2010	3
Environmental Permitting (England and Wales) Regulations 2016	27
Environmental Protection Act 1990	9
Salmon and Freshwater Fisheries Act (SAFFA) 1975	14
Total	53

Fixed notice

Act or Regulation	Cases
Water Resources Act 1991	4

Prosecutions

Act or Regulation	Cases
Byelaw – 13(4)(1)	1
Environmental Permitting (England and Wales) Regulations 2010	7
Environmental Permitting (England and Wales) Regulations 2016	31
Environmental Protection Act 1990	12
Salmon and Freshwater Fisheries Act (SAFFA) 1975	42
Sea Fisheries (Shellfish) Act 1967	1
Theft Act 1968	1
Water Resources (Control of Pollution) (Silage, Slurry and Agricultural Fuel Oil) (Wales) Regulations 2010	0
Total	96

New prosecutions 2019

Outcomes (total 98)

• Guilty: 59
• In progress: 2
• No evidence offered: 17
• Proved in absence: 16
• Not guilty: 4

Fines (total £125,133)

• Guilty: £122,998
• Proved in absence: £2135

Costs awarded (total £67,686.60)

• Guilty: £66,326.60
• Proved in absence: £1360

Orders imposed by the court ancillary to prosecution

The Code for Crown Prosecutors requires us to apply for compensation and ancillary orders, such as anti-social behaviour orders and confiscation orders, in all appropriate cases. Listed below are the ancillary orders that a court may make following a conviction:

Disqualification of directors

No orders have been made by the court

Confiscation of assets - Proceeds of Crime Act 2002

See below

Anti-social behaviour orders

No orders have been made by the court

Forfeiture of equipment used to commit the offence

No orders have been made by the court

Disqualification from driving

Zero

Compensation other than PoCA

Zero

Vehicle seizure

None

Remediation – under the Environmental Permitting Regulations

Zero

However, 2 Regulation 44 Orders were made.

Unpaid work

One

Community orders

One

Curfew

One

Restoration Order under Wildlife and Countryside Act 1982

Zero

Proceeds of Crime (Asset Recovery Incentivisation Scheme-ARIS)

For the Tax Year 18-19 we had no Confiscation Orders made.