S E PAV - Rob Edwards · 2014. 7. 11. · S E PAV Scottish Environment Protection Agency io a+tAR...
Transcript of S E PAV - Rob Edwards · 2014. 7. 11. · S E PAV Scottish Environment Protection Agency io a+tAR...
S E PAVScottish Environment
Protection Agency
io a+tAR oec.5
The Water Environment (Controlled Activities)
Scotland) Regulations 2011
Application to Transfer a Licence
FORM H
Complete this form to apply to transfer (in whole orin part) a licence issued under the above
Regulations
Use this form if you and another person are applying jointly to transfer a licence in whole
The Data Protection Act 1998
The Scottish Environment Protection Agency is responsible for maintaining and improving the environment andregulating environmental emissions. It has a duty to discharge its functions to protect and enhance the environmentand to promote conservation and recreation.
The information provided will be processed by the Scottish Environment Protection Agency to deal with yourapplication, to monitor compliance with the licence /permit/ registration conditions, to process renewals, and for
maintaining the relevant public register(s). We may also process and /or disclose it in connection with the following:
offering /providing you with our literature /services relating to environmental affairsconsulting with the public, public bodies and other organisations ( e. g. Health and Safety Executive, LocalAuthorities, Emergency Services, Scottish Executive) on environmental issuescarrying out statistical analysis, research and development on environmental issuesproviding public register information to enquirersinvestigating possible breaches of environmental law and taking any resulting actionpreventing breaches of environmental lawassessing customer service satisfaction and improving our service.
We may pass it on to our agents /representatives to do these things on our behalf.
You should ensure that any persons named on this form are Informed of the contents of this DataProtection Notice
LiCatiL7el Page 1 of 8 v6 Dec 2013
Making changes to a licence
Transfer
If you wish to transfer a licence, in whole or in part, to another person, you must apply jointly with thatother person, using this form. No other forms need to be filled in.
An application fee is payable for a transfer request. For further information on the application fees payable, please see the Water Regulation > Charging Scheme guidance on the SEPA websitehttp: / /www.sepa. org. uk /water /water regulation /charging scheme. aspx) or contact your local SEPA
office ( http: / /apps.sepa. org. uk /map /index. htmi for details).
Other changes to a licence
Variations
Application form G should be used for any application for an administrative or technical variation to alicence.
Surrender
Application form I should be used for any application to surrender a licence in whole or in part.
Environmental Service
Some controlled activities are eligible for an exemption from subsistence charges if SEPA considers
that the activity delivers an environmental service. To apply for an exemption from charges pleasecontact SEPA. Further information on environmental service is available in the charging scheme andassociated guidance www.sepa. orq. uk /wfd /regimes /charging. htm
Who signs the application?
The existing ' Responsible Person' and proposedResponsible Person' ( transferee) must both sign
the form as it is a joint application.
If you are making an application on your own behalfand you are the existing or proposed ResponsiblePerson, then you should sign the application form. If
the application is being made on behalf of acompany, partnership or other organisation which isthe existing or proposed " Responsible Person ", then the person( s) signing the declaration at theend of the form should have the authority to signthe application on behalf of that organisation.
For more guidance on ' Responsible Person' please
see the " Guide for Applicants ".
Where to send your applicationSee details on page 10 of this form.
What happens when we get your
application?
We will check through the application to make surethat it is complete and that SEPA has all the
information it requires.
We may contact you for further information viatelephone, letter or in some cases a formal notice. In cases where further relevant information has tobe gathered before a decision can be made on an
application, there may be an additional charge, tocover the cost of SEPA acquiring the informationbut this will always be subject to prior agreement.
Poor quality information may result in yourapplication being delayed.
Processing your application for transferSEPA has to process your application within 2months. This period will be extended if SEPA needsto contact you for further information and may beextended for other reasons, but only with the writtenagreement of both applicants.
Disclosure of the information you give us inyour application
Please read the data protection notice on the frontpage of this form which explains how we will useinformation given to us.
SEPA' s full service charter may be viewed from theSEPA web site www.seoa. org. uk
CAR -LA- FORM -H Page 2 of 8 v6 Dec 2013
Licence to be Transferred (in Whole or In Part)
Please- p-rov-ide--- theli-c-e- --n-cere-fer-e-n-ce-- — number — rb-elow a-nd-a- aattach --h- i—he ORIGINAL s—ig-------- ------ - nedIicen-c-ey-ouare -app- - -- - lyingto transfer:
CAR Licence Reference number I CAR/ L-( I anotl2_ Please indicate whether the application relates to the transfer of the WHOLE licence or PART of it :
Transfer the licence in WHOLE
C1 F' If—thie-a'-p ip-)fi-G-a-ti-o--n- is- a--par—t trams-f-er -p-lea-s-e-au-b-mitTransfer the licence in PART a map or plan identifying the activities or areas to
which this transfer application relates
Map/plan reference numberi I
I- i-c-e-nc-e---r-e-la-t-e-s---t-o---a-n -ove-r-flo-w --w-h-!-c--h--yo--u- w-is-h--t-o- tr--a-n-s"f-e-r--i-nt-o---a- S-e-w-er- N-e-t"-w--o-r-k--L-i-c,e-n--c-e-, please provide the appropriate Sewer Network Licence number
Sewer Network Licence Reference number I CAR/
2. 1 Date
I ( Where-possib -le- this d-ate-should- be no-i-e-ss- tih-an2 -month- s--fro-m- Date: the date of the application, in order to give SEPA time to process
the application)
2. 2 Table of Transferred Activities
For - - - - - - - - - - -- - -- ---- - --- - - - - -- -- - - --- -- 1- ---- ---- --
part transfers only, please fill in the table below with details of the authorised activities and partsof the licence which are to be transferred.
are more page
CAR- LA- FORM- H Page 3 of 8 v6 Dec 2013
3 ABOUTTtE EXIST(NG RESPON518LE P ERSQN AND OTHERCq JICTS r, t, ,, , ` N
3. 1 EXISTING RESPONSIBLE PERSON
3. 1. 1 Please provide the following details about the existing responsible person as specified in the existing CARlicence.
Name:
if a company, please give registered name, numberand any trading names. If a partnership, please listall partners on a separate sheet as well as the names
of any other persons authorised to sign on behalf ofthe partnership).
Address:
if a company, please give address of registeredoffice. If a partnership or other corporate body, please give address of principal office).
3. 1. 2 Is the address given at 3. 1. 1 also the application
contact address and ( for partial transfer applications
only) the address for service of the amended licence? If the answer to either of these options is NO, please
complete questions 3. 2. 1 and /or 3.2. 2 as applicable, otherwise go straight to Section 4.
3.2
Tit a a ft5W CAAL- R0 L —pI
company registration number, where applicable)
SCtS 65S
Goo VVA4 k Le
0.l we >T ciE0" C yctl r
c,, NsAo,
4' L v-5
Application contact address: El NO ® YES
Address for service of amended licence
part transfer applications only): [] NO YES
Where the application contact address or ( for partial transfer applications only) the address for service of theamended licence is different from the address given at 3. 1. 1 please complete the relevant section(s) below.
3.2. 1 APPLICATION CONTACT ADDRESS FOR EXISTING RESPONSIBLE PERSON:
If the address for contact regarding this application is different from that given at 3. 1. 1 above please providedetails here:
Applicant Contact Name:
Address:
Postcode:
Tel No:
r... ....__.... ....._ —
1 - _ _.. _. E--- M ai IiFax No:
ADDRESS FOR SERVICE OF AMENDED LICENCE ( for Part Transfers Only):
Only complete this section if you are applying to transfer PART of the licence
You may specify an alternative UK address to that given at 3. 1. 1 as the address at which you or someone on yourbehalf will accept service of the amended licence.
Please tick this box if you wish the amended licence to be served at a different address, and give details below
Contact Name:
Address:
Postcode: Contact No:
CAR -LA- FORM -H Page 4 of 8 v6 Dec 2013
4.1 PROPOSED RESPONSIBLE PERSON ( TRANSFEREE)
4.1. 1 Please provide the following details about the proposed responsible person to whom the licence, or part of thelicence, Is being transferred (The responsible person is the person responsible for securing compliance with theconditions of the licence. See applicant guidance for more Information):
I 5cAv Lzm I Date of Birth:
if a company, please give registered name, number and any trading names; If a partnership, please list all partners on a separate sheet as company registration
1 well as the names of any other persons number (where
authorised to sign on behalf of the partnership). japplicable):
Status; a) ID Land- owner/occupier Nominated individual on behalf of a voluntary associationIndividual:
Sole Trader Other, please specify:
Select one of the
separate sheet)
fIf -a-pplic—abae- 1-n-sart _name____;___________ options fromeither a) or b) of voluntary association:
and provide the b) FP Limited Company ( Ltd or plc) Scottish Partnership Other Partnershipadditional detailswhere relevant)
1 Corporatei I10 Company limited by guarantee
body: D Other Corporate Body ( e. g. ' NHS Trust', ' Local Authority')
Nominated corporate body on behalf of a voluntary association
name/ Reference
Other, please specify (e.g. ' the Crown'):
If applicable Insert name
NO
of voluntary association:
Address: I-
NO
If a company, please give i Uft—A- i-_S 61A_1VoJ L--,baddress of
registered office.
If a partnershipor othe
corporate body, please giveve
address of
principal office).
Postcode: CT- 2- ' ET E• mail
Tel No: I
t+- 7( 3, 0 Fax No: 14. 1. 2 Is there anything you wish to disclose which might NO El YES ( pleasegivefull information on separate sheet)
inhibit you from undertaking your duty to ensurecompliance with the conditions of any authorisation?
Document
name/ Reference
4. 1. 3 also the a_ ippricationIs the address given at 4.1. 1 Application contact address NO YES
contact address, billing address, correspondence Billing address: NO g YESaddress and address for service of notices? If yes to all
go to section 5. If no to any, complete relevant Correspondence address: NO YES
Section 4. 2. Address for service of notices: NO YES
CAR-LA- FORM- H Page 5 of 8 v6 Dec 2013
4.2 FURTHER ADDRESSES FOR PROPOSED RESPONSIBLE PERSON ( TRANSFEREE):
For the transferred --"o-r,-p—ar—t- transferred --licence -: --- W--he-rath-e--application coniant address, billing address, correspondenceaddress or address for service of notices is different from the address given at 4.1. 1 please complete the relevantsections below.
4.2. 1 APPLICATION CONTACT ADDRESS FOR PROPOSED RESPONSIBLE PERSON
TRANSFEREE)
If the address for contact regarding this application is different from that given at 4.1. 1 please provide details here:
IAN - - ------------_-- ----- — -- ---- .... . ..... ------- --- ------- -- - ----- ---- ---- Contact N Ca
Address: 5 \-( Lxt—) _kk3E-Mail:
7,7- 1 -- -----
Postcode: I -7( 2, V,
Tel No: 1+ 14-? Fax No: ' OIL(( 221
4.2.2 BILLING ADDRESS FOR PROPOSED RESPONSIBLE PERSON ( TRANSFEREE):
Where a licence has been issued you may be required to pay an annual subsistence charge. Please provide details of theaddress you wish invoices to be sent to, if different from the one given at 4.1. 1, and details of someone we may contactabout fees and charges. Please see the SEPA' charging scheme' for more details.
Contact Name:
Address:
E- Mail: Postcode:
Tel No: Fax No:
4.2. 3 CORRESPONDENCE ADDRESS FOR PROPOSED RESPONSIBLE PERSON (TRANSFEREE)
Once your transferred licence is issued SEPA may require to contact you regarding the licence (e.g. for compliancepurposes). Please provide details of the person SEPA should contact about such matters and the address for
correspondence, if different from that given at 4. 1. 1
Contact Name:
Address:
Postcode: Q. v, _. s i 9 kA- IkyTelNo: _. p \4l -L-)-( Fax No: to
4.2.3 ADDRESS FOR SERVICE OF TRANSFERRED LICENCE AND NOTICES FOR PROPOSEDRESPONSIBLE PERSON ( TRANSFEREE):
You may specify an alternative UK address to that given at 4. 1. 1 as the address at which you or someone on yourbehalf will accept service of the transferred licence and, if SEPA varies, suspends, revokes or enforces your
licence, legal notices from SEPA under:
regulation 23(3) ( notice of variation of authorisation)
1. regulation 26( 2) or (3)( a) ( issue of transferred licence)
regulation 29( 1) ( notice of suspension or revocation of authorisation) and/ or
regulation 32( 2) ( enforcement notice).
Please tick the boxes of all types of notice which you wish to be served at this address.
Contact Name: I A 0 04104.1 0XI,
Address: 23 65 r 1 & 4 ' 1
Postcode: E- m V'Y__ Co
Tel No: F d --------------- --- _14 Fax No: ( OkO
CAR- LA- FORM- H Page 6 of 8 v6 Dec 2013
tnu s r
Is there any information that you wish to Justify being kept from the publicregister on the grounds of commercial confidentiality?
Reference number for the documents:
3- NO YES
If yes please give full
information and identify relevantdocuments /parts of documents.
NB. There Is an additional application fee for
a commercial confidentiality request. Pleaserefer to Clause 12 of the ' Charging Scheme' for the correct fee.
5.2 NATIONAL SECURITY
If there is any information In the application that you believe should be kept from the public register on the grounds ofnational security please:
Provide full information on separate sheets.
Provide a copy of your request to the Scottish Ministers for a Direction ( as appropriate) on the issue ofnational security.
DO NOT WRITE ANYTHING ABOUT NATIONAL SECURITY ON THIS FORM, NOR GIVE REFERENCE NUMBERS TO THERELEVANT INFORMATION /DOCUMENTS SUBMITTED. SEE APPLICANT GUIDANCE FOR FURTHER INFORMATION.
6 SIGNATURES AND DECLARATION ( Existing and Proposed Responsible Persons] a-k- - - -- - -- - -- --- - -_ - -- = --- - -- - - -- -- - _.._:= - --- --- -- - -- - To make an application for transfer, the existing and proposed responsible persons identified in Sections 3 and 4
respectively of this form ( or, if a company, partnership or other corporate body, an individual authorised to sign onbehalf of the corporate body) must sign below.
It is an offence under Regulation 44 of the Water Environment (Controlled Activities) (Scotland) Regulations 2011 to: Make a statement which you know to be false or misleading in a material particular, Recklessly make a statement which is false or misleading in a material particular, for the purposes ofobtaining an authorisation (for yourself or anyone else).
If you make a false statement:
We may prepare a report to the Procurator Fiscal who may prosecute you, andIf you are convicted, you are liable to a fine or imprisonment, or both.
Declaration i We certify that the information In this application is correct. We apply for the transfer of an authorisation In respect of the particulars described in thisapplication ( including any supporting documentation that we have supplied)
Name:
Existing Signature* DateResponsible
Person
CXQA40 AN'fito - i FatAv4 ... POSttlon
Proposed Signature ' l Date. Responsible
Person ( Transferee) l
Name: Position:
NOTE: Signature of existing and proposed responsible person
25 ti1t
Sot.+T I-%qV% , TcWL-
Please note that the existing and proposed responsible persons must sign the declaration, even if someone else isacting on their behalf as applicant contact.
Applications by a company or other corporate body must be signed by an officer or officers duly authorised to sign onbehalf of the company or corporate body. Applications by a Scottish partnership must be signed by a partner of that partnership or a person authorised by thepartnership to sign on its behalf.
The information contained in this application is based on the information and records available to theJoint Liquidators and the Joint Liquidators cannot make any declarations as to its accuracy.
Signature of Gerard Anthony Friar acting in his capacity as Joint Liquidator of The Scottish CoalCompany Limited (in liquidation) ( "the Company ") pursuant to the powers granted to him by theInsolvency Act 1986 and ddbehalf of his Joint Liquidator (as agent for the Company without personalliability).
CAR -LA- FORM -H Page 7 of 8 v6 Dec 2013
The application is not valid unless the application fee incorrect. See. Water Regulation > Charging Scheme guidance onthe SEPA website (htto: /Iwww.sepa.org.uk/water /water regulation /charging scheme.asox) or contact your local SEPAoffice (see httD:// apps.sepa.orq: uk/map /index.html fordetails).
Application fees to transfer (in whole or in part) are per licence.
TRANSFER FEE ENCLOSED: £ fs 3 J
BAGS Son uoae 83- J4 -11U IMPORTANTI when paying by BAGS or direct transter you musT submit theA/C number 00137187 Remittance Advice /Proof of Payment with your application form. If this is not
received the application will be returned to you as Invalid and a request willbe made for the correct Remittance Advice /Proof of Payment, as SEPA cannotprocess your application without this.
Cheque.. Made payable to ' SEPA' and submitted with your application
Credit/Debit Payment is accepted by all major credit/debit cards, Please telephone SEPA to arrange payment. Card ` ( Note: Payment by credit cards will attract a 2% surcharge)
Once you have completed all parts of your application, including the relevant regime specific form(s), please use this dtecklist to indicate the itemsyou have completed and are sending us as part of this application:
5 ! 2 PAPER COPIES OF WHOLE APPLICATIONORIGINAL LICENCE
PAYMENT MADE USING A SUITABLE PAYMENT METHOD
REMITTANCE ADVICE /PROOF OF PAYMENT (if applicable) INCLUDED WITH YOUR APPLICATION
ASSOCIATED DOCUMENTS FOR ANSWERS TO QUESTIONS
CONTINUATION SHEETS FOR ANSWERS TO QUESTIONS
DECLARATION SIGNED BY BOTH APPLICANTS
Please now return 2 signed paper copies of this form and all supporting information and evidence of correct payment, to therelevant SEPA Office (see details below). For electronic submissions, forward an electronic copy to: wfdadmin(aseoa.org.uk (N. 8
you must also submit a signed paper copy of your completed application).
SEPA AREA OFFICES
Please send to the Registry Department at the appropriate Area OfficeAberdeen Office
SEPA USE
1 Angus Smith Building
Fee Received
Dingwall Office
Inverdee House
Application Reference
6 Parklands Avenue Fodderty WayBaxter Street
NO YES
Holytown Dingwall Business Park
Terry North Lanarkshire Dingwall
Aberdeen MI- 1 4WQ IV15 9XBAR11 QOA
Tel: 01698 839000Tel: 01224 266600
Fax: 01224 896657
UPFIGC Obt
Tel: 01349 862021Fax: 01349 863987
CAR - LA- FORM - H Page 8 of 8 v6 Dec 2013
SEPA USE Date Rcvd. Fee Received Amount Name Assigned to Activity Application Reference
NO YES
CAR - LA- FORM - H Page 8 of 8 v6 Dec 2013
Our Ref: 140225 /iwc01 /sd
25 February 2014
The Registrar
SEPA
Angus Smith Building6 Parklands Avenue
Holytown
North Lanarkshire
MI- 1 4QW
Dear Sir or Madam
SUBMISSION OF TRANSFER APPLICATIONS UNDER THE WATERENVIRONMENT ( CONTROLLED ACTIVITIES) ( SCOTLAND) REGULATIONS
2011 AND THE POLLUTION AND PREVENTION AND CONTROL ( SCOTLAND) REGULATIONS 2012 IN RESPECT OF;
MAINSHILL SURFACE MINE, POWHARNAL SURFACE MINE,
PONESK /SPIRESLACK SURFACE MINE AND BLAIRHOUSE SURFACE MINE
Please find enclosed transfer applications in respect of various CAR licences andPPC permits associated with the above surface mines. These transfer applicationsare intended to transfer the various licences and permits from the current holder,
formerly Scottish Coal Company Ltd ( in liquidation) and now held by the liquidatorKPMG PPL, to our client Scot Coal Energy Ltd.
It is possible that subsequent to receipt of the applications SEPA may wish to enterinto further discussions over the submissions and we would ask that theseenquiries be directed to JIG Ltd as agent in the first instance.
If further information is required to assist then please do not hesitate to call.
Yours sincerely
Ian Corner
For and on behalf of JIG Limited
Encs
Ro9is oretlm S, oM,0 SC231C93 VAT regalralion nom be, 796919266
SEA AYR
26 FE6 2014
REcENE®
tSi
MCCLURE NAISMITH
Solicitors
Our Ref: 15356. 1 strk
Your Ref:
Date: 26 February 2014
SEPA
31 Miller RoadAyr
KA7 2AX
Dear Sirs
Scot Coal Energy Limited
3 Portion Street
Edinburgh E113 9QQ
DX: ED135 Edinburgh
Tel: 0131 228 4994
Fax: 0131 228 4260
E- mail: skerr
@McC( ureNaismith. com
Direct dial: 0131 272 8354
We act on behalf of Scot Coal Energy Limited and refer to the various applications which have beensubmitted today to have transferred to them various licences from the liquidators of Scottish CoatCompany Limited ( in liquidation).
In terms of the agreement with the transferor we request that all such applications be consideredtogether and not individually.
We are also aware that concerns have been raised over our clients' ability to access the sites to ensurethat they may comply with the licence terms. In this regards, we have examined the titles to eachsuch property and note as follows: Mainshill
The Mainshill Wood site is bounded by both the A70 and 87078 and access is taken from these roads. Both these roads have been adopted by the local authority.
Spiresiack .
Access to the Spireslack site is via the A70 road - as noted this road is adopted for maintenance by thelocal authority.
Powharnal
Access to the Powharnat site is via the A70 road - as noted this road is adopted for maintenance by thelocal authority.
Blairhouse
In relation to the access at Blairhouse there are two existing teases, the Tenant' s interest of whichrests with The Scottish Coal Company Limited ( in liquidation) and the Landlord of which is TaylorWimpey. One of these leases relates to the access road.
McClure Naismith is the trading name, of McClure Naismith LIP. McClure Nalsmlth LLP Is a limited liability partnership incorporated In Scotland with registered number 50301685 andhaving its registered office at 292 St Vincent Street, Glasgow 02 5' rQ. McClure Nalsmlth LIP Is regulated by both the Law Society of Scotland and the Solicitors Regulation Authority and isauthorised and regulated by the Financial Conduct Authority. We use the word partner to refer to a member of Auction Naismith I. I. P. A list of members is available at any of our offices.
1. r Neq 1'Addl wCrl v.
Also at: EliItaNO H..
a global netvmB of info, lent 1. Urns. _ 297 St,,
G? 5
sveet
m ki n w111 a 16irce1Glatgon G2
4 77 la 0 19 93/ Tel. 01417093998 Ye1. oID99791970
Fax: 0141 ; 461998 Fax: nSO ] 9] 91406
Letter [ o:
Dated: 26 February 2014
Page: 2
1 M_a
MCCLURE NAISMITH
Solicitors
Taylor Wimpey advised verbally at a meeting on 13 February that they would consent to an Assignationof the Tenant' s interest from The Scottish Coal Company Limited ( in liquidation) to Scot Coat EnergyLimited and this has been confirmed by e -mail sent by them today, a copy of which is attached. Ourclients are willing to accept the conditions stated in the a -mail and we shall therefore progressnegotiations with them to sign the formal assignation. You will note that they indicate they assumeour clients shall obtaining right to the property but we are progressing discussions on the basis that theassignation would be conditional upon such rights being acquired as we appreciate SEPA may wishmore formal evidence. Taylor Wimpey had previously indicated this process might take 2 weeks atmost.
We attach a plan showing the extent of the Access Road which abuts the A907 road and a plan takenfrom the Fife Council Roads Adoption page showing that the A907 is publicly adopted.
Yours faithfully
Scott Kerr
For and on behalf of McClure Naismith LLP
Enc.
r
SCOT COAL ENERGY LTD
SEPA Submission
Business Plan Briefing Note
Executive Summary
Introduction
CONFIDENTIAL
Scot Coal Energy Holdings Limited ( "Holdings "), has been established to acquire a number
of sites from the liquidators of Scottish Coal, KPMG.
The intention is for Holdings, and its subsidiaries ( "The Group "), to maximise the commercialopportunities available from these sites, and to generate further opportunities from the
contacts and activities generated by the ownership of these.
Scot Coal Energy Ltd signed the Sales and Purchase Agreement ( SPA) on 15' November2013 with all matters being finalised Monday 411 November. The sale is conditional uponreceipt of consent from SEPA to the transfer of the relevant CAR licences.
To this end, The Group requires SEPA to consent to the transfer of the CAR licences, and anyremaining PPC licences from KPMG to The Group.
The purpose of this document is to provide SEPA with the financial and operational
information necessary to allow its officers to consent to the transfer.
Page 2 of 14
CONFIDENTIAL
Group Structure
The Group Structure has been developed around operating four divisions;
Scot Coal Energy Mining and Restoration Ltd ( SCEMRL)
Scot Coal Energy Trading Ltd ( SCETL)
Scot Coal Energy Consultancy and Manpower Services Ltd ( SCECMSL)
Scot Coal Energy Ltd ( SCEL).
Page 3 of 14
CONFIDENTIAL
Objectives
SCELH is being developed by;
The successful transfer of the sites to The Group will allow the business to begin the processof assessing the prospects for each site and the process of formulating a business plan in foreach site. This in turn will allow the resources required to exploit and develop each site tobe identified, and the required resources secured.
The business objectives of The Group can be broken down into three categories, short,
medium and long term objectives.
Short term
Once the sites are secured the initial objective of The Group is to confirm the position of
each site in terms of its current " care and maintenance" position, stabilising the position and
establishing the care and maintenance programme necessary to maintain the sites to therequired standard.
The ownership of the sites will allow The Group to confirm the appointment of themanagement team set out in this document and allow The Group to identify the short term
commercial appointments preserved by the field.
Medium term
The Group intends to begin negotiations to trade non coal assets from the sites, using their
existing business connections, and invest in the infrastructure and logistical requirements toallow these activities to commence.
In addition, The Group will be begin the application process for the required PPC licences toallow mining activities to recommence.
Long term
The identification of the commercial desirability of recommencing mining operations at eachsite will govern the overall investment requirement for The Group (see below).
The Group will then be in a position to take advantage of the UK coal market and theemerging UK biomass market and in tandem expand into the international market by actingas a consultancy business to key energy consumers of coal.
The key long term objective is to expand The Group to provide consultancy and manpowerservices to the sector, and to begin the supply of coal to the UK power industry, using acombination of mined and purchased coal.
Page 4 of 14
CONFIDENTIAL
Management
Board of Directors
James G Gaffney Director Non - Executive Director — Investor Representative
James C Gaffney Director Non - Executive Director - Investor Representative
Richard Gibson Director Designate Non - Executive Director — Investor Representative
David Shaw Director Designate Logistics & Operations
Bill Fitzimons Director Designate Managing Director
TBC Finance Director
TBC Chairman
The Directors will build and appoint a team of committed executives to implement and
develop the business plan explained above.
Scot Coal Energy Holdings Executive, Senior Management Team and Advisors
James Gerald Gaffney
James has owned and operated the family businesses for more than 35years. He currentlyowns and operates a civil engineering plant company and owns and
operates a plant and machinery trading company.
Previous he has owned and operated businesses in construction, farm management and
road haulage. He is an active member of the Road Haulage Association and the Freight
Transport Association.
James Christopher Gaffney
James is currently employed as the owner's representative in Strathclyde Commercials And
Plant Ltd who specialises in trading plant and machinery. He has worked in the familybusiness before and after graduating with a Hons Business Degree from GlasgowCaledonian University. James remit is to expand and develop the family business on behalfof the owner.
Both of these Directors represent the business interests of the family office that has takenresponsibility for the Phase 1 investment in the Group. Their contacts and experience haveallowed them to take an investment position in the business at this stage, to facilitate the
purchase of the sites.
Page 5 of 14
Richard Gibson BAcc CA CF
CONFIDENTIAL
The Investors intend to appoint Richard to the position of Non Executive Director, followingthe transfer of the properties.
Richard is a qualified chartered account with over 20 years' experience in the profession.
He is currently the Managing Director of Haines Watts Glasgow, a member firm of theHaines Watts Group, winners of the Auditor of The Year award for past two years. Richardhas experience within the property & construction, engineering, contracting plant plant hire
industry and has been involved in the commercial growth of major firms within theseindustries. He also heads a team of corporate finance experts who have extensive
experience in restructuring, corporate governance, private equity, specialist lending andindependent business reviews.
Richard' s firm have been appointed at Corporate Finance advisers to the Group and havebeen instructed to secure the funds for the Group to meet its objectives from existing andalternative equity sources.
Management Team
Bill Fitzimons — Managing Director
Bill has been in the Industry all of his working life, spanning almost 40 years. During thistime, he has been Managing Director with one of Scotland' s largest and most prominentdrainage and Environmental Companies. The Company was eventually sold to The
Northumbrian Water Group and Bill was retained as MD. His extensive operationalexperience in both the Public and Private sectors will be of great value to the project as well
as ensuring all aspects of Corporate Governance are addressed and maintained. In additionhe has been working with SEPA and their English counterparts on a regular basis with hisformer employers and now with Enviroclean in his current role.
His current employers to provide emergency response drainage and flood preventionservices, and Bill has extensive knowledge and experience in working with SEPA.
David Shaw — Logistics and Operations Director
David has over 40 years knowledge and experience in the full logistics chain of handling bulkmaterials off road and on road, rail and sea. The knowledge and experience gained has
been within nationalised industry and private sector industry. He has held various seniormanagement and executive positions within each sector. Ranging from senior manager of acivil engineering mobile plant fleet, senior manager of a bulk haulage fleet, Director ofShipping Company, MD of a bulk haulage company. David currently holds a CPC licenseand is a Chartered Member of the Road Transports Association
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The remainder of the Board, including the Finance Director and Chairman will beidentified and confirmed following the completion of the licence transfer.
Senior Management (agreed in principle to accept appointment)
Andy Auld, Senior Manager
Andy has over 40 years' experience in the Coal Mining Industry both in Deep Mines andSurface Mining operations. Andy has established a diverse skill set covering all aspects ofsite management. He has held operational posts within the senior management team withinScottish Coal with direct Health & Safety and Environment responsibility. The operationalknowledge gained has ensured his appointments as a Competent Person has provided a
robust and proactive approach to site management. Andy' s wealth of knowledge andexperience has seen his involvement develop Health, Safety and Environmental initiatives. In addition to operation responsibilities he is a Trustee of the East Ayrshire Minerals Trust,
Trustee of the Scottish Coal Industry Social Welfare Fund and is a Fellow of the Institute ofQuarrying.
Ian Munro, Health and Safety /Environment
Ian has 33 year's operational experience is the coal industry. He has been employed for 16years as Scottish Resource Group Safety and Environmental Manager reporting to theBoard of Directors on Health and Safety and Environmental matters. He was the frontlineSRG contact with SEPA and the HSE for all regulation, compliance control, licence
application and administration. Ian is a Chartered Mining Engineer, a Chartered Member ofthe Institute Occupational Safety and Health and is a Member of the Mining Institute.
John Mclndoe , West
John' s experience in the industry spans more than 30 years, all of that time in the OpencastMining Industry. His expertise and knowledge takes in the complete process from extraction,
through Coal Processing, Coal stocking, Handling and Delivery to the marketplace. Theexperience and knowledge has been gained by holding Operational and Managementpositions within both nationalised British Coal and the private sector with Scottish Coal. He
has been responsible for the day -to -day management of environmental licenses and permitslevied by the relevant authorities, in particular, water, dust and noise management. He hasalso attended courses on Environmental Management. Once the business has beenestablished, John will hold a key role in the Senior Management Structure
Tom Boyd, East
Tom experience in the industry spans more than 30 years, in both the Opencast MiningIndustry and Underground. His expertise and knowledge takes in the complete process from
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extraction, through Coal Processing, Coal stocking, Handling and Delivery to themarketplace. The experience and knowledge has been gained by holding Operational andManagement positions within both nationalised British Coal and the private sector with
Scottish Coal. He has been responsible for the day -to -day management of environmental
licenses and permits levied by the relevant authorities, in particular, water, dust and noisemanagement. He has also attended courses on Environmental Management. Once the
business has been established, Tom will hold a key role in the Senior Management Structure
It should be noted SCEHL will continue to move forward with the finalisation of the SPA
using the existing advisory team listed below.
The Management Team and the Board will be supported by external advisors, including theGroups auditors and Legal Advisors.
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Financial and Operational
The Group has identified the short, medium and long term objectives as identified earlier. Ithas also secured confirmation that it has the financial commitment in principal from itscurrent and prospective investors to ensure that the resources will be available to completethese objectives.
Financial
The funding for the Group has been broken down into three elements, based upon theDirectors assumptions regarding the points at which the business will be able to demonstrate
sufficient value to attract the required levels of funding, while limiting the levels of equitydilution required by the new investors
Phase One (Short term objectives)
The Directors have identified Phase One as being the first element of the Groups
development, namely the securing of the available sites from the liquidator KPMG, obtainingSEPA consent to the transfer, and securing the additional contractual requirements, such asrights of access.
The funding requirement for Phase 1 has been estimated at around £ 500, 000. This isexpected to cover the legal and professional fees required to secure the sites, the cost of the
acquisition, and the care and maintenance costs for the sites for a maximum six month
period after the completion. The existing Directors have committed these funds to theproject, ensuring Phase One can be successfully completed.
The Directors estimate that the successful completion of Phase One will allow the Group toconfirm the proposed appointments proposed in this document, allow the refinement of the
business plan and financial projections, and solidify the proposition for the Phase Twoinvestment.
Phase Two (Medium term objectives)
The Directors believe Phase Two consists of the bedding in of the management, the
reopening of operations in the most appropriate manner at the various sites, and the openingof both the Consultancy and Coal Trading elements of the business.
The ability of the Group to undertake this will depend upon the establishment of goodrelations with the potential customer base, and the Group will rely heavily on the skills andexperience of the Directors and Management Team.
There is an expectation that the crystallisation of the restoration liabilities will form a
significant part of the work undertaken by the Team. The unquantifiable nature of these at
this point in time is regarded as the only main limiting factors in the ability of the Group toraise equity.
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Phase Two of the business is expected to last several years, and the funding requirement
may be significant. The existing management shareholders have committed to fund afurther £ 5,000,000 of working capital to successfully complete Phase Two, and havereceived a commitment of £5,000,000 from an external investor. These funds are expected
to secure the future of the Group, up to the point where the viability of the business has beenconfirmed, the restoration liabilities have been agreed, and the business is mature enough to
identify its options for further funding.
Phase Three
Once the business reaches this stage, it is the intention of the Phase One and Phase Two
investors to offer shares in the business to the market, securing any further funds required
by the business, but also diluting their own commitment to the business. The Directorsestimate that this stage in the development of the Group could be several years away, but
accept that the long term future of the Business may require the Group to raise externalcapital beyond the levels currently committed by the Phase One and Phase Two investors.
Financial projections for the business have been prepared and are available for review if
required. While the finalisation of the strategy and the required resources have not yet been
finalised, the Directors have demonstrated the viability of the business to a number of Debt
and equity providers and have secured offers in principle from a number of Debt and equityproviders.
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Operational
SCEHL subsidiary operating company Scot Coal Mining and Restoration Ltd ( SCEMRL) willcontract with SCEL for the care and maintenance of all listed SPA transferred assets. It is
intended that SCEL/ SCEMRL will engage with SEPA during the transfer period andimmediately after the licence transfer to develop out all SEPA related matters in a correctand proper proactive manner.
SCEL/ SCEMRL will employ a team of skilled and knowledgeable personnel who candemonstrate their capability in managing the care and maintenance of all assets transferred.
SCEHL and their subsidiary companies working with the SEPA team will have the capacityin knowledge to develop out all environmental SCELL legacy matters in a positive manner.
It is clear early engagement is required with SEPA to develop out a full understanding on theSCEL action plan on developing out the assets acquired.
The base plan will be to continue with the current SEPA licence conformance care and
maintenance as the current standards expected.
To support the base plan SCEL supported by SCEHL /SCEMRL has engaged with thirdparties for added operational and technical support;
Plant and Equipment
SCEL has immediate access to a comprehensive range of mobile plant and machinery. Theplant and machinery include the full range of earth moving equipment, transportable pumps
and transportable electrical generators. All equipment will have the capability to operate ona 24/7 basis. Equipment can be procured direct via Strathclyde Commercial and Plant Ltd
and or via an existing proven network of plant and machinery suppliers used by StrathclydeCommercial and Plant Ltd.
Environmental Technical Support
Technical support will be contracted with Knight Energy Services ( KES) which is part of theAlfred H Knight Group. KES is an independent technical service company located in Ayrshireand will deliver a range of proactive services; analytical, water analysis, hydrological
engineering solution, environmental monitoring.
However it should be recognised it is difficult to develop out a plan on all SEPA relatedmatters until the transfer of all SCCLL intellectual property is made.
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Current Care and Maintenance Environmental Position
Listed is a short summary note of current known matters that need discussed and developedwith SEPA;
Blairhouse
High level Summary
A single CAR licence covers the three authorised discharge points and abstraction
and there is a separate CAR licence for engineering works associated with the burndiversion
PPC permit is in place
Pumping has been discontinued and water is accumulating in the void which is notexpected to overflow.
Discussion Points
Erosion in the channel of the burn diversion for which there a requirement to restore
to its original course by the end of 2016
Lagoon cleaning needs to take place
Flooding from the farmer's field east of the access road
Potential run -off from the site access road causing flooding of the A907 at Oakley
Discharge of water from the void if coaling takes place.
Mainshill
High Level Summary
The CAR licence covers three discharge points and abstraction
PPC permit is in place
Pumping has been discontinued and water is accumulating in the main void and theManson void both of which are expected to overflow. An engineering solution directto the overflow from the voids to surface watercourses needs to be developed if
operations do not take place.
Discussion Points
Water quality in the Manson void and initial sample analysis indicates pH and ironcontent
Potential for run -off from the access road affecting the 87078
Lagoon cleaning at the old barrel washer discharge needs to take place
Discharge water from the void if coaling takes place. Page 12 of 14
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Spireslack /Ponesk
High Level Summary
Currently there are CAR licences covering five discharge points and abstraction plusa separate CAR engineering licence for the Ponesk Burn diversion
PPC permit is in place.
Water has accumulated in the Ponesk void but the level is not expected to overflow
as groundwater is now discharging in the Ponesk Burn diversion.
Water is continuing to rise on the Grasshill void and an engineering solution tocontrol the overflow and direct it to the Stottencleugh Burn is currently beingdeveloped
Discussion Points
Remedial works at the Airdsgreen office /DP water treatment area groundwaterrebound problems
Review of all water discharge points
Discharges at Glenbuck ( Coal Authority)
Lagoon cleaning needs to take place at former barrel wash area
Potential pollution from the former barrel washer tailings area at Glenbuck.
Dalfad /Powharnal
High Level Summary
Currently there are CAR licences for four discharge points plus abstraction
PPC permit is in place
The Powharnal void is filling up at a rate of approximately 0. 5m per month and anengineering solution to direct the overflow into the River Ayr is being developed
Water is accumulating in the Dalfad void but this is not expected to overflow as thewater is expected percolate through old mine workings.
Discussion Points
Flow rates in the Welltrees burn and an engineering solution to alleviate this bydiverting surface run -off to the Powharnal void
Review of lagoon design @ Dalfad
Lagoon cleaning needs to take place
Discharge water from Dalfad void if coaling takes place.
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Summary Statement
Following the transfer of all licences SCEL supported by SCEHL and the supporting services
are committed to holding an effective proactive relationship with SEPA on all SCCLL legacymatters.
In addition SCEHL is committed to continue to demonstrate a proactive approach with SEPA
on all other future operations within the SCEHL portfolio as they develop out.
Please make contact with Ian Corner of Jig Consulting if any further information isrequired on this submission note.
M: 07739 985 991
T: 0141 221 4747
E Mail: ian@jig. uk.com
PRINT Name: ..... t ...............................
k- Signature:
Date:......: z 0 ... . I . 1, 4.
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