Relevant Convictions

1
Relevant Convictions

• Nic Parr
• Policy Advisor, Waste Regulation

2
Relevant Convictions

• Current Position need for review
• Aims, Principles outcomes proposed
• Consultation proposals and feedback
• What happens now / next, future work and review

3
Current position

• The law (Applications, Maintenance)
• Section 74 EPA 1990
• ...a person shall be treated as NOT fit and
  proper ifhe or another relevant person has been
  convicted
• ...the Agency maytreat a person as a fit and
  proper person notwithstanding
• (Comparable test for PPC Carriers / Brokers)
• Sanctions refuse apps / revoke licences
• The guidance WMP4, circ 11/94, etc

4
Why Review the current position?

• Effectiveness
• Undertaken on applications in Agency Area
  permitting teams for WML, Carriers B, PPC
  soon SPG. Frequency ? Consistency?
• Post-conviction decisions by those who initiate
  the prosecution. Impartiality?
• Little impact on persistent re-offenders, as
  flagged by the National Audit office. Deterrence?

5
Proposed approach

• Aims
• measures taken to prevent re-offending
• effort focused on those causing concern
• deterrent, test taken seriously
• Principles
• test applied in the context of each licence
• onus on the operator to demonstrate FAPP
• consistency for body corporate individual

6
Proposed Outcomes

• Reduction in offences by licensees, reduction in
  risk to the environment health.
• Efficiency by Agency Operators with work done
  once.
• Refusals / revocations may rise in short term as
  poorer operators fail to improve their
  performance.

7
Consultation Proposal - Application

• Scrutiny of applications by screening more
  detailed assessment only if necessary.
• Criteria for detailed scrutiny - 3 convictions
  since 1999, imprisonment, other (defined)
• Central team scrutinises difficult cases
  (consistency, impartiality). Option for personal
  representations
• Post-conviction plans credible, comprehensive,
  systematic auditable.
• Refusal Appeal provisions

8
Consultees concerns

• Consistency of decisions need to administer in
  team independent of day-to-day regulation.
• discriminates / onerous for multi-site companies
  with a number of (isolated) convictions
• unnecessarily / unfairly retrospective, in
  seeking Post-conviction plans from 1999
• onerous test for applicants may deter unlicensed
  operators from seeking licences Agency will be
  unable to enforce.

9
Consultation Proposal - Subsequent conviction

• All convictions of licence holders to trigger
  more detailed scrutiny.
• Central team / Option for personal
  representations
• Post-conviction plans credible, comprehensive,
  systematic auditable. Done once available
  for use in future apps
• Refusal Appeal provisions

10
Consultees concerns

• Consistency of decisions need to administer in
  team independent of day-to-day regulation.
• Post-conviction plans supported only when they
  are relevant, prompt and precise i.e. immediately
  after any future conviction.

11
General consultee support for

• The Aims and principles of the Policy
• Strong sanctions where this is proportionate to
  the crime - e.g. recklessness / dishonesty.
• A clear, structured, impartial and forward
  looking test, without undue bureacracy.

12
So what now / next?

• Agency is assessing its position in the light of
  consultation prior to producing
• a statement of policy / a response document
• Procedures work instructions for staff
• Guidance notes for applications and subsequent
  convictions
• Implementation when ready - 1st July 2003? Press
  release Response Document will confirm date
  details

13
Future work review

• Anticipated outcomes
• Reduction in offences by licensees.
• Refusals / revocations may rise in short term
• Efficiency by Agency Operators
• Review implementation after a year and at
  subsequent appropriate intervals.

14
Relevant Convictions

• Nic Parr
• Policy Advisor, Waste Regulation