Policy paper

Radioactive substances activities: assessing environmental permit compliance

Updated 16 January 2024

Applies to England

This guide applies to permit holders with permits regulated under the Environmental Permitting Regulations carrying out radioactive substances activities.

If you also have a permit for a waste operation or installation you must read the guide for waste operations and installations: assessing and scoring environmental permit compliance.

If you also have a permit for a standalone discharge to surface water or to ground you must read the guide for discharges to surface water and groundwater: assessing environmental permit compliance. Standalone means the activity is not part of another regulated facility such as a waste operation or installation.

The Environment Agency must focus its resources where there is likely to be the greatest risk to human health, quality of life and the environment. This guide explains how we regulate radioactive substances activities with an environmental permit in a way that is:

• consistent
• transparent
• proportionate

We use a generic approach which we then adapt according to the specific radioactive substances activity, its location and potential receptors.

This guide includes:

• 6 principles which explain how the Environment Agency assesses and categorises permit breaches
• an explanation of what happens after a compliance assessment

We follow principles 1, 2, 3, 4 and 6 in this guide.

Principle 1: record all non-compliances

The results of a compliance assessment is recorded on a Radioactive Substances Compliance Assessment Report (RASCAR) form. We provide the permit holder with a copy of the form and the law requires us to put it on the Environment Agency’s public register, except where we are specifically directed not to do so by government.

We record all non-compliances identified during the assessment on the RASCAR form.

We only categorise non-compliances that relate directly to permit conditions.

A permit may contain 20 to 60 conditions. These are matched on the RASCAR form to 7 high level areas and 22 sub-criteria. The sub-criteria for radioactive substances activity permit conditions are:

a) Permitted activities

1. Specified by permit

b) Infrastructure

1. Engineering for prevention and control of pollution
2. Closure and decommissioning
3. Site drainage engineering (clean and foul)
4. Containment of stored materials
5. Plant and equipment

c) General management

1. Staff competency and training
2. Management system and operating procedures
3. Materials acceptance
4. Storage, handling, labelling, segregation

d) Incident management

1. Site security
2. Accident, emergency and incident planning

e) Emissions

1. Air
2. Land and groundwater
3. Surface water
4. Sewer
5. Waste

f) Amenity

1. N/A
2. N/A
3. N/A
4. N/A
5. N/A

g) Monitoring and records, maintenance and reporting

1. Monitoring of emissions and environment
2. Records of activity, site diary, journal and events
3. Maintenance records
4. Reporting and notification

h) Resource efficiency

1. Efficient use of raw materials
2. N/A

We record all permit non-compliances on the RASCAR form under the relevant sub-criteria. Where we can record a non-compliance under more than one sub-criterion, we choose the one that best describes the non-compliance.

The completed form explains which of the sub-criteria:

• have been assessed (A)
• have not been assessed (N)
• are not applicable (N/A)

Compliance assessments vary in frequency, duration, detail and complexity. This depends on the type, scale, hazard profile of the activity and the compliance history of the permit holder. It can include audits, inspections, monitoring and other data reviews and discharge sampling. An audit may assess all or the majority of conditions within a permit. An inspection or desktop assessment may only focus on a few, specific conditions.

We record all permit condition breaches identified by our compliance assessments on the Compliance Classification Scheme (CCS).

Principle 2: consolidation

We record and give a CCS score to each separate breach of the conditions of the permit on the RASCAR form.

Where disposal limits are breached for 2 or more different radionuclides or groups of radionuclides in one reporting period, we record these as separate non-compliances. Each breach may have a different CCS score depending on the potential impact of the breach.

The CCS score takes into account the severity, duration and overall impact of all the recorded non-compliances under an individual permit condition. This is explained in more detail in principle 6.

However, there are circumstances that could lead to the production of a disproportionate number of CCS scores.

Single site with multiple radioactive substances permits

For a single site with more than one radioactive substances permit, where there is a breach of a condition that is common to all of the permits, we consolidate multiple breaches into a single CCS score.

Short-term discharge limit non-compliances

Where short-term discharge limits are set, for example daily or weekly limits, but discharges are reported to us over a longer period of time, for example monthly or quarterly returns, we may consolidate multiple breaches within a reporting period. These breaches must have a common cause and be considered as one event or incident.

Rolling annual limits non-compliances

Where rolling annual limits are set, a single exceedance in one month may cause exceedances in following months even though disposals may have returned back to compliant levels. We will record a non-compliance in the first month and only record further non-compliances if disposals remain above limits across 2 or more months.

Principle 3: assess the reasonably foreseeable impact

Permit conditions seek to minimise impact on people and the environment. The CCS score we give a non-compliance reflects the potential impact it could have if it were not addressed promptly and adequately. Breaches of permit conditions can lead directly to harm to people or the environment.

Our assessment of the potential impact is known as the ‘reasonably foreseeable impact’. We assess this on a case-by-case basis using knowledge, evidence, professional judgement and common sense. For example, a non-compliance with a permit condition could be categorised as having a significant potential impact in one location, but it may have only a minor potential impact if it happened somewhere else.

Assessing reasonably foreseeable impact takes account of:

• the proximity and vulnerability of the local population
• the sensitivity of the surrounding environment
• any procedures, resources and infrastructure that the permit holder has in place to mitigate the potential impact (these are collectively known as ‘appropriate measures’)
• the responsiveness of the permit holder and site staff

The RASCAR form will explain how we have taken these factors into account when we arrive at a CCS score for the reasonably foreseeable impact.

Principle 4: assess the root cause of the original non-compliance

A non-compliance can often be the symptom of a wider underlying problem. Compliance assessments also identify, record and categorise a root cause non-compliance on the RASCAR form.

In the majority of cases, we can trace back the root cause of a non-compliance to deficiencies in the management system. In some cases the management system may be adequate, but the permit holder is not following it routinely.

The non-compliance of the management system may be caused by:

• inadequate training or staffing levels
• insufficient process controls
• ineffective contingency planning and accident prevention

We usually categorise root causes related to the management system against condition 1.1.1 in the permit.

The CCS score for a root cause does not have to be the same as that of the original non-compliance. The root cause may have the potential for greater impact than the original non-compliance. For example, an inadequate management system could have a greater reasonably foreseeable impact than the failure that led to its discovery.

Principle 5: suspend scores

We do not suspend scores for radioactive substances activities.

Principle 6: assess the category of non-compliance

There are 4 categories of non-compliance. They reflect the severity of the reasonably foreseeable impact of the non-compliance.

Non-compliance category 1

A non-compliance with the potential for a major impact on human health or the environment.

Non-compliance category 2

A non-compliance with the potential for a significant impact on human health or the environment.

Non-compliance category 3

A non-compliance with the potential for a minor impact on human health or the environment.

Non-compliance category 4

A non-compliance with no potential for impact on human health or the environment.

Duration of impact

If there is a link between duration and environmental impact, then we take into account the length of a continuing non-compliance when we determine the CCS category. This is because the duration may increase the reasonably foreseeable impact.

Severity of impact and sensitivity of receptors

The more sensitive the receptor (due to its proximity or type) the more severe the potential impact will be. This sensitivity will be reflected in the CCS category we allocate.

Sensitive receptors for radioactive substances activities include:

• people
• non-human species in protected habitats, such as Special Areas of Conservation, Special Protection Areas, Ramsar Sites, Sites of Special Scientific Interest and Marine Conservation Zones

Use Magic maps to find habitat designations.

We assess the CCS category on a case by case basis – reflecting the relative sensitivity of the receptors and the nature and scale of the non-compliance.

Explaining the outcomes of a compliance assessment

If we have completed a compliance assessment at the operator’s premises, and the operator or their suitable representative is available, we make them aware of any non-compliances we have found. We discuss with them the actions needed to remedy the non-compliance and the timeframe for undertaking them. We summarise the discussion and any actions required on the RASCAR form.

We tell the operator or their suitable representative what CCS category we are likely to give the non-compliance.

If, on reflection, we later change this indicative CCS category, we record this on the RASCAR form along with an explanation of why we made the correction.

We record a non-compliance identified during an assessment on the RASCAR form along with an explanation of:

• what is wrong
• the actions the permit holder needs to take to correct the problem
• the date by which they must complete the actions
• what enforcement action (if any) we may take in response to the non-compliance

Where we have given the permit holder a period of time in which to complete actions, we may make several re-inspections during, or at the end of this period. We do this in order to monitor progress and to confirm that the permit holder has addressed the non-compliance. We record progress updates and satisfactory completion of actions on the RASCAR form.

We send the permit holder the RASCAR form outlining the results of a compliance assessment. This is usually within:

• 10 working days of the assessment for a non-nuclear permit
• 20 working days of the assessment for a nuclear permit

We do this even when we have not identified any non-compliances. In exceptional circumstances, it may take us longer to send the permit holder the RASCAR form. Where this happens, we let the permit holder know the reason for the delay and also the date when we will send the RASCAR form.

We send nuclear operators a draft RASCAR form so they can check for matters of technical accuracy associated with the plant and management arrangements only. Following this check, we may agree to factual changes before issuing a final RASCAR form.

A permit holder can challenge any part of the CAR form by writing to the Environment Agency office local to the site within 28 days of receipt. If the issue cannot be resolved by the local office, a permit holder may request an appeal of the regulatory decision by emailing enquiries@environment-agency.gov.uk within 14 days of receipt of the outcome.

How we use data from a compliance assessment

Published data

The Environment Agency publishes data which is available to everyone to access, use and share.

Data which relates to assessing permit compliance for radioactive substances activities includes:

• Compliance Classification Scheme

Regulating for people, the environment and growth

The Environment Agency publishes annual reports which include information about:

• assessing permit compliance
• radioactivity in the environment
• the number of serious pollution incidents and sectors responsible
• reductions in costs for businesses we regulate
• enforcement action we take when businesses do not comply

Privacy notice: how we use your personal data

The Environment Agency runs the CCS database. We use CCS to store all permit breaches that we identify.

We are the data controller for these services. A data controller determines how and why personal information is processed.

Our personal information charter explains your rights and how we deal with your personal information.

Personal data we need

The personal data we process about you includes your:

• name
• job title
• address
• information on permitted activities

We are allowed to process your personal data because we have official authority as the environmental regulator. The lawful basis for processing your personal data is to perform a task in the public interest that is set out in law.

We use your personal data to process and reference our compliance assessments.

What we do with your personal data

The information from our compliance assessments is stored on the CCS database. RASCAR forms (sent to permit holders of permitted sites following a compliance assessment) are stored on our electronic document and records management system.

RASCAR forms are available on our public register, unless we are directed not to release them.

How long we keep your personal data

We keep your personal data for 7 years after the end of your permit. The end of your permit means it has been surrendered, transferred or revoked. This is our standard information retention policy.

Where your personal data is processed and stored

We store and process your personal data on our servers in the UK.