Guidance

Permitting non-compliance policy

Published 5 November 2019

1. Recording for non-compliance issues

The Coal Authority keeps a register of all companies who have failed to comply with the permit process and the number of occasions this has happened. This allows us to identify instances of repeat offences and to assess where further action is required. This register is not shared with any other organisation.

2. No permit for potential works

If we are made aware of works that may require a permit, a notice may be issued informing the relevant party that a permit is required for any activity which intersects, disturbs or enters any of the Coal Authority’s coal mining interests. The notice provides a link to the relevant web page, lists examples of work which may require our permission and also lists potential consequences of not obtaining a permit. If we do not receive a response we may continue to monitor the site for evidence of non-compliance.

3. Works carried out without a permit

If works which intersect, disturb or enter any of the Coal Authority’s coal interests have been carried out without obtaining the relevant permit, a notice will be issued to the relevant party. The notice explains that works should not have been carried out without first obtaining a permit from the Coal Authority. The notice asks the party to complete a retrospective permit application (including the necessary closure information).

Failure to submit a retrospective application within the time frame given in the notice will result in the issue of a warning letter. This warning letter informs the relevant party that they have trespassed on Coal Authority land and we may take legal action should the requested information not be submitted by the deadline given.

Further failure to submit a retrospective application will result in the case being referred to the Coal Authority’s legal team for further action. A letter will be issued to the responsible party informing them of the referral.

All instances of works being carried out prior to obtaining the correct permit will be recorded on our non-compliance register and may be used where records indicate multiple permit related offences by the same party.

It is recognised that in a small number of instances, where existing information is limited or incorrect, our property may be unforeseeably intersected or disturbed in the absence of a permit. In proven cases no enforcement action will be taken provided the works undertaken are reported and suitable closure information is provided through a retrospective permit.

4. Unauthorised variation in working methods

A permit is granted on the basis that the working methods and practices stated on the application are, in practice, complied with. A failure to notify the Coal A¬uthority of any changes in the agreed methods of working or to the actual work being undertaken is considered a breach of section 4 of the Permit Terms and Conditions. Examples of unauthorised variations include, but are not limited to, drilling extra boreholes, drilling outside the granted permit boundary, using different flushing methods to that stated and initiating treatment works when only investigation has been permitted. Further charges will apply for any additional works carried out.

The Coal Authority will issue non-compliance notices in response to instances of unauthorised variations. These notices will require the permit holder to provide a written response explaining the reasons for changing the working method. Where a genuine and satisfactory explanation can be provided and the Coal Authority has no significant concerns regarding the alternative method no further action will be taken. The permit holder will be issued with a reminder that any changes in working methods should be agreed with the Coal Authority before starting or continuation of works.

If the Coal Authority has not been provided with a sufficient explanation for a variation in the works, the case will be escalated to the Coal Authority’s legal team and a letter will be sent to the permit holder informing them of this escalation. The Coal Authority may also report the responsible party to the Health and Safety Executive (HSE) where there are severe public safety concerns regarding the methods being used (see section 5 for more details).

All instances of works which are in breach of section 4 of the Terms and Conditions will be recorded in accordance with section 1 of this document. Further action will be taken in cases where there are repeated instances of non-compliance by the same party (see section 6 for details).

5. Health Safety and Environment

Under section 3 of the Permit Terms and Conditions, if there is evidence of spontaneous combustion of coal, uncontrolled emissions of mine gas or water or other hazards, during the course of the permitted activities, the hazard should be reported to the Coal Authority as soon as reasonably practicable on its 24 hour hazard line.

Failure to inform the Coal Authority and remedy hazards resulting from works agreed, or alterations to working methods which have given rise to hazards occurring will be investigated further by the Coal Authority.

If the Coal Authority has immediate and serious public safety/environmental concerns, or if the permit holder fails to agree a remedy within a reasonable timescale, this may result in the matter being referred to the HSE or appropriate environmental regulator (Environment Agency (EA), Scottish Environment Protection Agency (SEPA) or Natural Resources Wales (NRW). Any referrals to the HSE/environmental regulators will also result in referral of the case to the Coal Authority’s legal team.

All instances of works which are in breach of section 3 of the Terms and Conditions will be recorded in accordance with section 1 of this document. Further action will be taken where records indicate multiple permit related offences by the same party (see section 6 for further details).

6. Multiple offences

Where the records outlined in section 1 indicate a second offence, a multiple offences non-compliance notice will be issued to the responsible party. This notice informs the party of their multiple offence and that further failures to comply with the permitting process may result in the case being referred to the Coal Authority’s legal team.

Further instances of non-compliance by a party, which has already been issued with a multiple offences notice will result in the issue of a final warning letter. At this stage, the Coal Authority requires a written response on what steps the responsible party will take to avoid further issues. Any further instances of non-compliance or failures to respond to a final warning will be referred to the Coal Authority’s legal team for advice.

A non-compliance notice will be issued to the responsible party stating that works have been carried out in trespass and that the Coal Authority may take legal action. The legal team will then determine an appropriate course of action against the party.

7. Closure information

Unless otherwise agreed, a report detailing the works undertaken, including any recommendations and the Coal Authority Closure Summary form must be submitted within 3 months of the permitted works being completed.

Failure to do so may result in the Coal Authority using the indemnity provided by the permit holder in section 1 of the Permit Terms and Conditions to cover any resulting claims, losses or damages.

8. Appeals

Where the Coal Authority has taken or intends to take further legal action against a company, the company in question has a right to appeal through the complaints procedure outlined on the Coal Authority website.

Appeals against the acceptability of proposals in terms of risk can be appealed by appointing an independent mining engineer (at the cost of the company/permit holder) to assess the case.

On receipt of the conclusions by the independent assessor, the Coal Authority will re-assess the proposed or ongoing action where the findings of the assessment deem this appropriate. However, should the findings of the independent engineer be in line with the original concerns of the Coal Authority, the action against the company will remain in place.

9. Review

This policy will be reviewed every 3 years.