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Rothesay waste carrier fined £300 for incomplete waste transfer notes

John McMillan of Rothesay, Isle of Bute, was served the Fixed Monetary Penalty (FMP) by the Scottish Environment Protection Agency (SEPA) after the regulator discovered that waste transfer notes relating to the transfer of controlled waste from several properties in Rothesay had not been completed correctly.

Waste transfer notes ensure that there is a clear audit trail from when waste is produced until disposal - providing an accurate record that enables regulators to track waste movements and check waste has been handled legally.

A waste transfer note must contain certain essential information as set out in the Environmental Protection (Duty of Care) (Scotland) Regulations 2014, including the type and quantity of waste, where it originated from, and where it will be disposed of or treated. Any person who produces, keeps, manages or carries controlled waste must complete accurate waste transfer notes and make them available to SEPA on request.

Calum McGregor, Unit Manager of SEPA’s Environmental Crime Team, said:

“Regulating the movement of waste is essential to ensure that it is taken to an appropriate disposal or treatment site and to prevent waste crime. Waste transfer notes are vital in tracking who has handled waste at every stage of the journey and how it has ultimately been disposed of, which is why they must be filled in accurately.

“This penalty should be a reminder to any business or individual working in the waste management industry that it is your responsibility to ensure you are compliant with your duty of care obligations. That includes ensuring your staff understand what is required when completing waste transfer notes.”

Details of the offences

After obtaining evidence that Mr McMillan collected septic tank sludge from various properties between 29 April 2023 and 22 June 2023, SEPA issued Mr McMillan with a notice requiring the production of waste transfer notes in relation to this work.

On review, it was found that the waste transfer notes provided were incomplete and did not contain the following essential information as required by the Environmental Protection (Duty of Care) (Scotland) Regulations 2014:

• Full address of the transferor and the transferee.
• Postcode of the transfer.
• If the transferor was the producer or importer of the waste.
• Description of the waste, composition and quantity of the waste being transferred.
• The appropriate six-digit code in the European Waste Catalogue.
• The Standard Industrial Classification code describing the activity carried out by the transferor in respect of the waste being transferred.
• The signature of transferee.
• Waste carrier registration information.

Mr McMillan was found to have committed an offence under the Environmental Protection Act 1990 by failing to comply with waste transfer note requirements and an FMP was deemed the appropriate enforcement action.

Civil penalties

SEPA can issue FMPs for relevant offences - they are not available for all offences. FMPs are normally appropriate where an offence has not caused environmental harm or has caused minimal environmental harm with no lasting environmental effects or impacts on communities, for administrative offences and where little (if any) financial benefit arises from the offence.

They sit alongside other enforcement tools available to SEPA staff, including advice and guidance, final warning letters, statutory enforcement notices, other civil penalties, including Variable Monetary Penalties (VMPs) and reports to the Procurator Fiscal.

SEPA’s enforcement action is designed to secure compliance with regulatory requirements, protecting and improving the environment. It aims to bring activity under regulatory control, stop offending, stop harm or reduce the risk of harm arising from non-compliance. It is also designed to ensure restoration or remediation of harm caused by regulatory non-compliance where appropriate.

Notes to Editors

Find advice on waste transfer notes and how to complete them on the NetRegs website.

SEPA are satisfied on the balance of probabilities that John McMillan of Greenan Mill, Rothesay, provided waste transfer notes that failed to comply with Regulation 3 of the Environmental Protection (Duty of Care) (Scotland) Regulations 2014 in relation to the transfer of controlled waste from various properties between 29 April 2023 and 22 June 2023 and therefore committed a relevant offence prescribed under the Environmental Regulation (Enforcement Measures) (Scotland) Order 2015, namely an offence under Section 34(6) of the Environmental Protection Act 1990.

Section 34(6) of the Environmental Protection Act 1990 states that any person who fails without reasonable excuse to comply with any requirement imposed under section 34(5) is guilty of an offence. The Environmental Protection (Duty of Care) (Scotland) Regulations 2014 (“the Regulations”) are made under Section 34(5) and impose a number of requirements as respect the making and retention of documents. Regulation 3 requires the completion and signing of a waste transfer note containing certain specified information in respect of any waste being transferred.

The level of FMPs is set out in The Environmental Regulation (Enforcement Measures) (Scotland) Order 2015 which provides SEPA with the power to issue penalties and accept undertakings for relevant environmental offences.

SEPA’s Enforcement policy and Guidance on the use of enforcement action underpins decision-making in relation to enforcement action.

The Lord Advocate’s guidelines to SEPA also supports enforcement decision making. Where SEPA is considering issuing monetary penalties or accepting a voluntary undertaking, the Guidelines provide a framework for deciding whether SEPA may take such action, or whether the case should instead be referred to the Crown Office and Procurator Fiscal Service for consideration of prosecution.

Whilst penalties are initially paid to SEPA (which also undertakes debt recovery on unpaid penalties), article 12 of the Environmental Regulation (Enforcement Measures) (Scotland) Order 2015 provides that where SEPA receives such sums, they must be paid to the Scottish Ministers. It is understood that Scottish Ministers put such sums to the Scottish Consolidated Fund.