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2004 No. 416

ENVIRONMENTAL PROTECTION

The Landfill Allowances Scheme (Northern Ireland) Regulations 2004

  Made 29th September 2004 
  To be laid before Parliament under paragraph 7(3) of the Schedule to the Northern Ireland Act 2000[1]
  Coming into operation 1st April 2005 


ARRANGEMENT OF REGULATIONS


PART 1

GENERAL
1. Citation and commencement and application
2. Interpretation
3. Giving notices and notifications, and the submission of forms and returns
4. Electronic registers and forms

PART 2

ALLOCATION AND THE BORROWING AND TRANSFER OF LANDFILL ALLOWANCES
5. Allocation of allowances
6. Borrowing of landfill allowances
7. Transfer of landfill allowances
8. Suspension of borrowing and transferring of landfill allowances

PART 3

MONITORING
9. Monitoring authority and keeping the provisions in regulation 12(2) under review
10. Obligation for district councils to keep records and make returns
11. Obligation for operators of landfills to keep records and make returns
12. Determining the amount of biodegradable municipal waste in amounts of waste
13. Calculation of the amount of biodegradable municipal waste sent to landfills
14. Utilisation of landfill allowances

PART 4

REGISTERS
15. Landfill allowances register
16. Penalties register
17. Amendment of information on registers
18. Availability of registers

PART 5

PENALTIES
19. Penalties: exceeding allowances
20. Penalties: failure to comply with requirements imposed by regulation 10 of these Regulations
21. Penalties: general

PART 6

GUIDANCE
22. Guidance to district councils

  SCHEDULE Amount of biodegradable municipal waste in certain types of waste

The Department of the Environment, in exercise of the powers conferred upon it by sections 6, 7, 10 to 13, 15, 16, and 26 of the Waste and Emissions Trading Act 2003[
2] ("the Act"), and having consulted in accordance with section 27(2) of the Act such bodies or persons appearing to it to be representative of -

hereby makes the following Regulations.



PART 1

GENERAL

Citation and commencement and application
     1.  - (1) These Regulations may be cited as the Landfill Allowances Scheme (Northern Ireland) Regulations 2004 and shall come into operation on 1st April 2005.

    (2) These Regulations apply to Northern Ireland only.

Interpretation
    
2.  - (1) The Interpretation Act (Northern Ireland) 1954[3] shall apply to these Regulations as it applies to an Act of the Northern Ireland Assembly.

    (2) In these Regulations -

    (3) In these Regulations references to waste being sent by a district council to a landfill or a waste facility are references to waste being sent to such a landfill or facility in pursuance of arrangements made by the district council.

    (4) In these Regulations a landfill allowance is available to a district council for a scheme year -

Giving notices and notifications, and the submission of forms and returns
     3.  - (1) Subject to paragraph (2), where under these Regulations a person is required or authorised to -

the form, notice, return or notification must be in writing.

    (2) Where -

    (3) Any notification given in writing by the Department under these Regulations may be given by addressing it to the district council and -

the district council's principal office.

Electronic registers and forms
    
4.  - (1) Any register maintained under these Regulations may be in an electronic form.

    (2) Where any register is in an electronic form a relevant authority may make the register available for inspection by the public on a website maintained by the authority for that purpose.

    (3) Any form provided by the monitoring authority under these Regulations may be provided -



PART 2

ALLOCATION AND THE BORROWING AND TRANSFER OF LANDFILL ALLOWANCES

Allocation of allowances
    
5.  - (1) As soon as reasonably practicable after the Department has complied with section 4(4) of the Act, the monitoring authority must assign all landfill allowances allocated to a district council under that section -

Borrowing of landfill allowances
    
6.  - (1) A district council may borrow for use in a scheme year up to 5% of the landfill allowances available to it for the following scheme year (rounded down to the nearest whole allowance).

    (2) Paragraph (1) does not apply -

    (3) Where a district council intends to borrow a landfill allowance it must submit a borrowing request to the monitoring authority before the end of the reconciliation period for the scheme year.

    (4) A borrowing request must -

    (5) The monitoring authority is not required to consider a borrowing request unless it is made in accordance with paragraph (4).

    (6) If the conditions in paragraph (8) are satisfied the monitoring authority must -

    (7) If the conditions in paragraph (8) are not satisfied the monitoring authority must notify the district council -

    (8) The conditions referred to in paragraphs (6) and (7) are that -

Transfer of landfill allowances
    
7.  - (1) Subject to paragraph (2), a district council may transfer to any other district council landfill allowances which -

    (2) A district council must not transfer an allowance from any scheme year for which the allowance is available to another district council unless the transfer is to that scheme year.

    (3) Where a district council ("the transferor") agrees to transfer a landfill allowance to another district council ("the transferee") the transferor must submit a transfer request to the monitoring authority before the end of the reconciliation period for the scheme year in which the agreement is made.

    (4) A transfer request must -

    (5) The monitoring authority is not required to consider a transfer request unless it is made in accordance with paragraph (4).

    (6) If the conditions in paragraph (8) are satisfied, the monitoring authority must -

    (7) If the conditions in paragraph (8) are not satisfied the monitoring authority must notify the transferor and transferee -

    (8) The conditions referred to in paragraphs (6) and (7) are that -

Suspension of borrowing and transferring of landfill allowances
    
8.  - (1) The Department may suspend any or all district councils from borrowing and transferring landfill allowances if it considers -

    (2) The Department may suspend a district council from borrowing and transferring landfill allowances if it has reason to believe that -

    (3) If the Department suspends a district council from borrowing and transferring landfill allowances under paragraph (1) or (2), at the same time it must notify the monitoring authority and the district council of -

    (4) The Department may cancel a suspension if in any case falling within -

    (5) If the Department cancels a suspension under paragraph (4), at the same time it must notify the monitoring authority and any district council which, as a consequence, is no longer suspended from borrowing and transferring landfill allowances of -

    (6) The effect of suspending a district council from borrowing and transferring landfill allowances is that no landfill allowances may be -

    (7) In paragraph (2)(b) "unauthorised person" means a person who is not authorised by a district council to submit borrowing or transfer requests on the district council's behalf.



PART 3

MONITORING

Monitoring authority and keeping the provisions in regulation 12(2) under review
    
9.  - (1) The person for the time being holding the position of Head of Waste Management and Contaminated Land of the Environment and Heritage Service of the Department shall be the monitoring authority for Northern Ireland.

    (2) The monitoring authority must keep under review the provisions in regulation 12(2).

    (3) If the monitoring authority considers that any of the provisions in regulation 12(2) ought to be changed he must as soon as reasonably practicable notify the Department of -

Obligation for district councils to keep records and make returns
    
10.  - (1) A district council must keep records containing the following information for each scheme year -

    (2) In relation to municipal waste mentioned in paragraph (1)(b) and (c) the records must contain details of -

    (3) All weights mentioned in paragraphs (1) and (2) must be rounded up to the nearest tonne.

    (4) The records under paragraph (1) must be kept for a period of two years beginning on the day after the day on which the reconciliation period for the scheme year ends.

    (5) A district council must submit to the monitoring authority, in the form specified by that authority, a return containing the information in paragraph (1) for each 3 month period in a scheme year ending on 31st March, 30th June, 30th September and 31st December within 2 months of the end of that period.

    (6) The monitoring authority, or a person authorised by the monitoring authority, may by notice require a district council to -

and to do so in such form, at such reasonable place and within such reasonable time as is specified in the notice.

    (7) The monitoring authority, or a person authorised in writing by the monitoring authority, may make copies of -

Obligation for operators of landfills to keep records and make returns
    
11.  - (1) Subject to paragraph (2), an operator of a landfill must keep records containing the following information for each scheme year -

    (2) Where any waste has been sent to a landfill directly from a transfer station -

    (3) The records under paragraph (1) and (2)(b) must be kept for a period of two years beginning on the day after the day on which the reconciliation period for the scheme year ends.

    (4) An operator of a landfill must submit to the monitoring authority, in the form specified by the monitoring authority, a return containing the information in paragraph (1) for each 3 month period in a scheme year ending on 31st March, 30th June, 30th September and 31st December within 2 months of the end of that period.

    (5) The monitoring authority, or a person authorised in writing by the monitoring authority, may by notice require an operator of a landfill -

    (6) The monitoring authority, or a person authorised by the monitoring authority, may make copies of records produced under paragraph (5).

    (7) A person authorised in writing by the monitoring authority may enter at any reasonable time (and, if need be, by force) premises occupied by a person concerned in the operation of a landfill for the purposes of -

    (8) On entering any premises under paragraph (7), a person may take with him -

    (9) The power of the monitoring authority, or a person authorised by the monitoring authority, under paragraphs (5) to (7) includes power to require any person to afford such facilities and assistance -

as are necessary to enable the monitoring authority or an authorised person to exercise the power.

    (10) In this regulation -

Determining the amount of biodegradable municipal waste in amounts of waste
    
12.  - (1) The provisions in this regulation apply for the purposes of -

    (2) For the purposes mentioned in paragraph (1) it must be assumed that -

    (3) In paragraph (2) -

Calculation of the amount of biodegradable municipal waste sent to landfills
    
13.  - (1) No later than 5 months after the end of a scheme year, in relation to each district council the monitoring authority must -

    (2) In making the calculation referred to in paragraph (1)(a) the monitoring authority shall carry out the following steps -

    (3) The monitoring authority must round the amount calculated in accordance with paragraph (2) up to the nearest tonne.

Utilisation of landfill allowances
    
14.  - (1) As soon as reasonably practicable after the end of the reconciliation period the monitoring authority must reconcile the allowances available to each district council with the amount of biodegradable municipal waste sent to landfills by the district council, as calculated under regulation 13(1)(a), by deeming allowances to have been utilised in accordance with paragraphs (2) and (3).

    (2) Landfill allowances available to a district council for the scheme year must be utilised in the following order -

    (3) Within each category in paragraph (2), allowances must be utilised according to the order of their vintage.

    (4) The monitoring authority must deem allowances to have been utilised until -



PART 4

REGISTERS

Landfill allowances register
    
15.  - (1) The monitoring authority must maintain a landfill allowances register.

    (2) In relation to each district council the landfill allowances register must contain -

    (3) The landfill allowance account must record for each scheme year -

    (4) The transaction log must detail the following information in relation to the allocation, borrowing, transfer and withdrawal of landfill allowances -

Penalties register
    
16. The Department must maintain a penalties register which, in relation to each district council, must contain the following information -

Amendment of information on registers
    
17.  - (1) Where a relevant authority has reason to believe that any information on a register maintained by the authority is incorrect, the authority may amend the register so as to correct that information.

    (2) Before a relevant authority amends a register under paragraph (1) it must -

    (3) Where a relevant authority amends a register under paragraph (1) it must notify any district council which is affected by the amendment of the amendment which has been made.

Availability of registers
    
18.  - (1) In relation to any register maintained under this Part a relevant authority must -



PART 5

PENALTIES

Penalties: exceeding allowances
    
19.  - (1) The penalty to which a district council is liable under section 9(2) of the Act is the excess landfill for that district council multiplied by £200.

    (2) For the purposes of paragraph (1) "excess landfill" means, for a scheme year, the amount in tonnes by which biodegradable municipal waste sent to landfills by the district council, as calculated under regulation 13(1)(a), exceeds the landfill allowances available to the district council.

    (3) The supplementary penalty ("SP") to which a district council is liable under section 9(3) of the Act must be calculated according to the following formula -

SP =F × (T1/T2)
where for the target year -

    (4) The supplementary penalty ("SP") to which a district council is liable under section 9(4) of the Act must be calculated according to the following formula -

SP =F × (T1/T2)
where -

Penalties: failure to comply with requirements imposed by regulation 10 of these Regulations
    
20.  - (1) The penalty to which a district council is liable under section 12(3) of the Act is £1000 for each requirement imposed on the district council by regulation 10 with which the district council fails to comply.

Penalties: general
    
21.  - (1) Where a district council is liable to a penalty, the Department may -

    (2) The penalty is due one month after the date on which the district council is notified by the Department under paragraph (1)(b) ("the due date").

    (3) Where a district council does not pay a penalty in full by the due date, the district council is liable to pay interest on any outstanding amount of the penalty for the period which -

    (4) Interest under this regulation shall be payable at a rate of one percentage point above LIBOR on a day to day basis.

    (5) Where an amount has been assessed and notified to a district council under paragraph (1), the amount and any interest incurred under paragraph (3) shall be recoverable as if it were a civil debt.

    (6) In paragraph (4), "LIBOR" means the sterling three month London interbank offered rate in force during the period between -



PART 6

GUIDANCE

Guidance to district councils
    
22. A district council, in exercising functions in relation to waste that is or contains biodegradable municipal waste, must have regard to any guidance issued by the Department under this regulation.



Sealed with the Official Seal of the Department of the Environment on


29th September 2004.

L.S.


Ian Maye
A senior officer of the Department of the Environment


SCHEDULE
Regulation 12(2)(c)


Amount of biodegradable municipal waste in certain types of waste


In this Schedule -



EXPLANATORY NOTE

(This note is not part of the Order.)


These Regulations are made under the Waste and Emissions Trading Act 2003 ("the Act") for the purpose of implementing Articles 5(1) and (2) of Council Directive 99/31/EC on the landfill of waste in Northern Ireland. They make provision for implementing Part 1 of the Act (waste sent to landfills) including the landfill allowances scheme under that Part. The Regulations come into operation on 1st April 2005.

Part 1 sets out the general provisions. Regulation 1 concerns the citation, commencement and application of the Regulations and Regulation 2 deals with interpretation. Regulation 3 is concerned with the giving and submission of various documents and provision is made for electronic communications and the use of websites. Regulation 4 also enables the use of electronic registers and the provision of electronic forms.

Part 2 includes provisions on the allocation, borrowing and transfer of landfill allowances. After the Department of the Environment ("the Department") has made an allocation of landfill allowances under section 4 of the Act, Regulation 5 requires the monitoring authority to assign reference numbers to those allowances and to allocate them to the landfill accounts of district councils.

Regulations 6 and 7 concern the borrowing and transfer of landfill allowances. Under regulations 6 and 7, requests must be submitted to the monitoring authority before landfill allowances can be borrowed or transferred. Provided the relevant conditions in regulations 7(8) and 8(8) are satisfied these requests will be accepted. Regulation 8 enables the Department to suspend district councils from borrowing and transferring landfill allowances in the circumstances in Regulation 8(1) and (2).

Part 3 concerns the monitoring of the landfill allowances scheme. Regulation 9 provides that the person for the time being holding the position of head of Waste Management and Contaminated Land of the Environment and Heritage Service of the Department is the monitoring authority for Northern Ireland, and consequently that authority is subject to the duties in section 10(2) of the Act. Regulation 13 requires the monitoring authority to calculate how much biodegradable municipal waste is sent to landfill by each district council in a scheme year, and regulation 14 requires the monitoring authority to reconcile this amount with the district council's allowances for that year. Assumptions about the amount of biodegradable waste in amounts of waste apply in relation to specified functions of the monitoring authority (regulation 12 and the Schedule to the Regulations).

Regulations 10 and 11 impose obligations on district councils and landfill operators to keep specified records and make specified returns to the monitoring authority. The information in the returns is necessary to enable the monitoring authority to carry out his functions under the Act and the Regulations.

Part 4 contains provisions on registers. The monitoring authority must maintain a landfill allowances register (regulation 15), and the Department must maintain a penalties register (regulation 16). Under regulation 18 these registers must be made available for inspection by members of the public, who may also obtain copies of any entries on payment of a reasonable charge. Regulation 17 enables the monitoring authority and the Department to amend incorrect information on a register.

Part 5 contains provisions on penalties. Regulations 19 and 20 specify how penalties under sections 9 (failure to comply with duty not to exceed allowances) and 12(3) (failure to comply with requirements imposed under regulation 10 of these Regulations) of the Act are calculated. Regulation 21 makes provision for when penalties are due and for interest in the event of late payment.

Part 6 concerns guidance. Regulation 22 requires district councils to have regard to any guidance issued by the Department in exercising functions in relation to biodegradable municipal waste.

A transposition note setting out how the Department will transpose Articles 5(1) and (2) of the Landfill Directive into law in relation to Northern Ireland has been prepared and copies can be obtained from The Landfill Team, Environmental Protection Division, Environmental Policy Group, Department of the Environment, 20-24 Donegall Street, Belfast, BT1 2GP. A copy has been placed in the library of each House of Parliament and of the Northern Ireland Assembly.

A full regulatory impact assessment of the effect that this statutory rule will have on the costs of business has been prepared for these Regulations. Copies can be obtained from the Landfill Team, Environmental Protection Division, Environmental Policy Group, Department of the Environment, 20-24 Donegall Street, Belfast, BT1 2GP. A copy has been placed in the library of each House of Parliament and of the Northern Ireland Assembly.


Notes:

[1] 2000 c. 1back

[2] 2003 c. 33. The relevant powers in sections 6, 7, 10 to 13, 15, 16 and 26 are expressed to be exercisable by the allocating authority. Section 24(1) provides that the allocating authority for Northern Ireland is the Department of the Environmentback

[3] 1954 c. 33 (N.I.)back

[4] S.I. 1997/2778 (N.I. 19)back

[5] O.J. No. L194, 25.7.1975, p. 39; as amended by Council Directive 91/156/EEC (O.J No. L78, 26.3.1991, p. 32), Council Directive 91/692/EEC (O.J. No. L377, 31.12.1991, p. 48) and Commission Decision 96/350/EC (O.J. No. L135, 6.6.1996, p. 32)back

[6] 2000 c. 7back

[7] O.J. No. L377, 31.12.1991, p. 20; as amended by Council Directive 94/31/EC (O.J. No. L168, 2.7.1994, p. 28) and Corrigendum to Directive 91/689/EEC (O.J. L23, 30.1.1998, p. 39)back

[8] O.J. No. L226, 6.9.2000, p. 3; as amended by Council Decisions 2001/118/EC (O.J. No. L47, 16.2.2001, p. 1), 2001/119/EC (O.J. No. L47, 16.2.2001, p. 32) and 2001/573/EC (O.J. No. L203, 28.7.2001, p. 18)back



ISBN 0 33795688 X


  © Crown copyright 2004

Prepared 22 October 2004


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