Statutory Instruments
2007 No. 871
environmental protection
The Producer Responsibility Obligations (Packaging Waste) Regulations 2007
Made
15th March 2007
Coming into force in accordance with regulation 1(1)
These Regulations are made by the Secretary of State for Environment, Food and Rural Affairs as respects England, Scotland(1) and Wales(2) in exercise of the powers conferred upon him by section 2(2) of the European Communities Act 1972(3) and sections 93 - 95 of the Environment Act 1995(4).
These Regulations implement Article 6(1) of Council Directive
The Secretary of State for Environment, Food and Rural Affairs is designated(5) for the purposes of section 2(2) of the European Communities Act 1972 in relation to measures relating to the prevention, reduction and elimination of pollution caused by waste and the management of packaging and packaging waste.
A draft of these Regulations has been laid before and approved by a resolution of each House of Parliament in accordance with section 93(10) of the Environment Act 1995.
Accordingly, after consultation in accordance with section 93(2) of the Environment Act 1995, and after having regard to the matters specified in section 93(6) of that Act as required by section 93(5) of that Act, the Secretary of State for Environment, Food and Rural Affairs makes the following Regulations:
PART IGENERAL
Citation, commencement and extent
1.—(1) These Regulations may be cited as the Producer Responsibility Obligations (Packaging Waste) Regulations 2007 and shall come into force on the day after the day on which they are made.
(2) These Regulations extend to Great Britain.
Interpretation and notices
2.—(1) In these Regulations—
“the Packaging Waste Directive” means Council Directive 94/62/EC(6) on packaging and packaging waste, as last amended by Directive (EU) 2018/852, and as read in accordance with regulation 2A ;
“the Waste Directive” means Directive 2008/98/EC of the European Parliament and of the Council on waste , as last amended by Directive (EU) 2018/851, and as read in accordance with regulation 2B ;
“the 1995 Act” means the Environment Act 1995(7); and
“the 1990 Act” means the Environmental Protection Act 1990.
...
(2) In these Regulations—
“accredited exporter” means an exporter who is accredited by the appropriate Agency under regulation 24;
“accredited reprocessor” means a reprocessor who is accredited by the appropriate Agency under regulation 24;
...
“appropriate Agency” means—
for the purposes of any provision of these Regulations relating to the exercise of the functions of the appropriate Agency in England, the Environment Agency;
for the purposes of any provision of these Regulations relating to the exercise of the functions of the appropriate Agency in Scotland, SEPA;
for the purposes of any provision of these Regulations relating to the exercise of the functions of the appropriate Agency in Wales, the Natural Resources Body for Wales;
for the purposes of any provision of these Regulations relating to the obligations of any other person—
the Environment Agency, where at the beginning of the relevant year the person’s registered office or principal place of business is in England;
SEPA, where at the beginning of the relevant year the person’s registered office or principal place of business is in Scotland;
the Natural Resources Body for Wales, where at the beginning of the relevant year the person’s registered office or principal place of business is in Wales;
at the election of the person, the Environment Agency, SEPA or the Natural Resources Body for Wales, where at the beginning of the relevant year the person does not have a registered office or principal place of business in Great Britain;
in relation to schemes, where there is more than one operator of a scheme and such operators have registered offices or principal places of business in England and in Scotland (but not in Wales)—
the Environment Agency where the operators have elected to apply for approval of the scheme from that Agency; or
SEPA where the operators have elected to apply for approval of the scheme from that Agency;
in relation to schemes, where there is more than one operator of a scheme and such operators have registered offices or principal places of business in Wales and in Scotland (but not in England)—
the Natural Resources Body for Wales where the operators have elected to apply for approval of the scheme from that Body; or
SEPA where the operators have elected to apply for approval of the scheme from that Agency;
in relation to schemes, where there is more than one operator of a scheme and such operators have registered offices or principal places of business in England and in Wales (but not in Scotland)—
the Environment Agency, where the operators have elected to apply for approval of the scheme from that Agency; or
the Natural Resources Body for Wales, where the operators have elected to apply for approval of the scheme from that Body;
in relation to schemes, where there is more than one operator of a scheme and such operators have registered offices or principal places of business in England, in Scotland and in Wales—
the Environment Agency, where the operator has elected to apply for approval of the scheme from that Agency;
SEPA, where the operator has elected to apply for approval from that Agency; or
the Natural Resources Body for Wales, where the operator has elected to apply for approval from that Body;
“appropriate authority” means—
for the purposes of regulations 2A and 2B —
the Secretary of State in relation to England;
the National Assembly for Wales in relation to Wales;
the Scottish Ministers in relation to Scotland;
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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
for the purposes of any provision in these Regulations relating to the exercise of functions in respect of determining appeals against decisions of the Environment Agency ... , the Secretary of State; ...
for the purposes of any provision in these Regulations relating to the exercise of functions in respect of determining appeals against decisions of the Natural Resources Body for Wales—
where the decision was made prior to 1st October 2013, the Secretary of State;
where the decision was made on or after 1st October 2013, the Welsh Ministers;
for the purposes of any provision in these Regulations relating to the exercise of functions in respect of determining appeals against decisions of SEPA, the Scottish Ministers;
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“common database” means the electronic database held jointly by the Environment Agency and SEPA in which information under regulation 36(1) and (2) is placed.
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“disposal” has the meaning given to it in Article 3(19) of the Waste Directive ;
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“exporter” means a person who, in the ordinary course of conduct of a trade, occupation or profession, owns and exports packaging waste for reprocessing outside the United Kingdom;
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“local authority” means—
in England outside Greater London—
a district council,
a county council, or
the Council of the Isles of Scilly;
in Greater London—
the council of a London borough,
the Common Council of the City of London,
the Sub-Treasurer of the Inner Temple, or
the Under-Treasurer of the Middle Temple;
in Wales—
a county council, or
a county borough council;
in Scotland, a council constituted under section 2 of the Local Government etc. (Scotland) Act 1994;
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“packaging” has the meaning given to it in Article 3(1) of the Packaging Waste Directive;
“packaging materials” means materials used in the manufacture of packaging and includes raw materials and processed materials prior to their conversion into packaging;
“packaging waste” has the meaning given to it in Article 3(2) of the Packaging Waste Directive; but does not include packaging that became waste outside the United Kingdom;
“partnership” has the meaning given in section 1 of the Partnership Act 1890(8);
“PERN” means a packaging waste export recycling note issued by an accredited exporter on a form supplied to him by the appropriate Agency, as evidence of the export of the tonnage of packaging waste specified in the note for reprocessing outside the United Kingdom;
“preceding year” means the year preceding a relevant year;
“PRN” means a packaging wasterecycling note issued by an accredited reprocessor on a form supplied to him by the appropriate Agency, as evidence of the receipt of the tonnage of packaging waste specified in the note for reprocessing within the United Kingdom;
“producer” has the meaning given in regulation 4 and includes a small producer unless otherwise stated, and the classes of producer are those set out in column 4 of Table 1 in Schedule 1;
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“recovery” means any of the applicable operations provided for in Annex II to the Waste Directive ...;
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“recyclable material” means—
glass;
aluminium;
steel;
paper/board;
plastic; or
wood,
and packaging materials composed of a combination of any of those materials are to be treated as made of the material which is predominant by weight;
“recycling” has the meaning given to it in Article 3(17) of the Waste Directive ; and “recycle” shall be construed accordingly;
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“relevant authorisation” means—
a permit granted under regulation 13(1) ofthe Environmental Permitting (England and Wales) Regulations 2016 or under the Pollution Prevention and Control (Scotland) Regulations 2012 ;
an authorisation granted under section 6 of the 1990 Act ;
a waste management licence granted under section 36 of the 1990 Act; or
an exemption registered under regulation 19 of the Waste Management Licensing (Scotland) Regulations 2011.
an exempt waste operation under the Environmental Permitting (England and Wales) Regulations 2016 or any other operation exempt from the requirements of section 33(1)(a) and (b) of the Environmental Protection Act 1990 under those Regulations;
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“reprocessing site” means a site at which reprocessing takes place;
“reprocessor” means a person who, in the ordinary course of conduct of a trade, occupation or profession, carries out one or more activities of recovery or recycling, and “reprocessing” shall be construed accordingly;
“reuse” has the meaning given to it in Article 3(13) of the Waste Directive ;
“scheme” means a scheme which is (or, if it were to be registered in accordance with these Regulations would be) a scheme whose members for the time being are, by virtue of these Regulations and their membership of that scheme, exempt from the requirement to comply with their producer responsibility obligations and “registered scheme” means a scheme which is registered with the appropriate Agency in accordance with these Regulations;
“SEPA” means the Scottish Environment Protection Agency;
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“signatory” means a natural person who creates an electronic signature;
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“transit packaging” means—
grouped packaging or secondary packaging, as defined in paragraph (b) in Article 3(1) of the Packaging Waste Directive; or
transport packaging or tertiary packaging as defined in paragraph (c) in Article 3(1) of the Packaging Waste Directive;
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“year” means a calendar year beginning on 1st January.
(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(5) In these Regulations—
(a)any document which is to be provided or given to any person may be provided or given to that person by electronic means if the document is capable of being reproduced by that person in legible form;
(b)any requirement to make, keep or retain a record or to maintain a register may be satisfied in electronic form if the text is capable of being produced by the person subject to the requirement in a legible documentary form;
(c)any requirement for a signature may be satisfied by an electronic signature incorporated into the document; and
(d) “electronic signature” means data in electronic form which is attached to or logically associated with other data in electronic form and which is used by the signatory to sign;
Modifications to the Packaging Directive
2A.—(1)For the purposes of these Regulations, the Packaging Waste Directive is to be read in accordance with this regulation.
(2)A reference to one or more member States in a provision imposing an obligation or conferring a discretion on a member State or member States is to be read as a reference to the appropriate authority, appropriate agency or local authority which, immediately before IP completion day, was responsible for the United Kingdom's compliance with that obligation or able to exercise that discretion.
(3) Article 3 is to be read as if—
(a)in paragraph 2, for “Article 3 of Directive 2008/98/EC” there were substituted “Article 3(1) of the Waste Directive, as read with Articles 5 and 6 of that Directive;
(b)in paragraph 2c, for “Directive 2008/98/EC” there were substituted “the Waste Directive”.
Modifications to the Waste Directive
2B.—(1)For the purposes of these Regulations, the Waste Directive is to be read in accordance with this regulation.
(2)A reference to one or more member States in a provision imposing an obligation or conferring a discretion on a member State or member States is to be read as a reference to the appropriate authority, appropriate agency or local authority which, immediately before IP completion day, was responsible for the United Kingdom's compliance with that obligation or able to exercise that discretion.
(3) Article 5 is to be read as if—
(a)in paragraph 1, “Member States shall take appropriate measures to ensure that” were omitted;
(b)after paragraph 1 there were inserted—
“1A.Any decision as to whether a substance or object is a by-product must be made—
(a)in accordance with any regulations setting out detailed criteria on the application of the conditions in paragraph 1 to specific substances or objects; and
(b)having regard to any guidance published by the appropriate authority or the appropriate agency for the purposes of this Article.”;
(c)paragraphs 2 and 3 were omitted.
(4)Article 6 is to be read as if—
(a)in paragraph 1, “Member States shall take appropriate measures to ensure that” were omitted;
(b)after paragraph 1 there were inserted—
“1A.Any decision as to whether a substance or object has ceased to be waste must be made—
(a)in accordance with any regulations or assimilated direct legislation setting out detailed criteria on the application of the conditions in paragraph 1 to specific types of waste; and
(b)having regard to any guidance published by the appropriate authority or the appropriate agency for the purposes of this Article.”;
(c)in paragraph 2—
(i)the first subparagraph were omitted;
(ii)in the second subparagraph, for “Those detailed criteria” there were substituted “Any detailed criteria set out in guidance as referred to in paragraph 1A”;
(iii)the third and fourth subparagraphs were omitted;
(d)paragraph 3 were omitted;
(e)in paragraph 4—
(i)in the first subparagraph—
(aa)in the first sentence, for the words from the beginning to “Member State”, there were substituted “Where criteria have not been set out as referred to in paragraph 1A(a), the appropriate agency”;
(bb)the second sentence were omitted;
(ii)in the second subparagraph—
(aa)for “Member States” there were substituted “The appropriate agency”;
(bb)“by competent authorities” were omitted.
Exclusion of charities from producer responsibility obligations
3. Parts II, III and IV of these Regulations do not apply to a charity within the meaning given in section 506 of the Income and Corporation Taxes Act 1988(9).
PART IIPRODUCERS AND OBLIGATIONS
Producers and producer responsibility obligations
4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Producers and Scheme membership
5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
PART IIIREGISTRATION: PRODUCERS AND SCHEMES
Producer registration obligation
6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Application for producer registration
7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Conditions of registration of a producer
8. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Forms and fees for producer registration
9. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Refusal to register producers
10. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Cancellation of registration of producers
11. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Schemes: general provisions
12. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Application for approval of a scheme
13. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Conditions of approval of a scheme
13A. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Refusal to grant approval of a scheme
13B. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Withdrawal of approval of a scheme
13C. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Application for registration of a scheme
14. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Conditions of registration of a scheme
15. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Notification of change of membership
15A. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Forms and fees for registration of a scheme
16. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Refusal to register a scheme
17. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Cancellation of registration of a scheme
18. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Information provided to scheme operators
19. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
PART IVRECORDS, RETURNS AND CERTIFICATE
Producers—records and returns
20. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Producers—certifying obligation
21. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Schemes—records and returns
22. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Notification of winding-up, receivership, administration, etc.
22A.—(1)This regulation applies to—
(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(c)a reprocessor or an exporter accredited in accordance with Part 5 (accreditation of reprocessors and exporters).
(2)A company or limited liability partnership to which this regulation applies shall inform the appropriate Agency as soon as is practicable upon becoming aware that one or more relevant circumstances apply or are about to apply to them.
(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4)For the purposes of this regulation “relevant circumstances” are—
(a)a winding-up order has been made or a resolution for voluntary winding-up has been passed;
(b)a determination for a voluntary winding-up has been made;
(c)a receiver or a manager of the company or limited liability partnership’s undertaking has been duly appointed;
(d)its undertaking has entered administration;
(e)a voluntary arrangement proposed for the purposes of Part 1 of the Insolvency Act 1986 has been approved under that Part of the Act.
PART VACCREDITATION OF REPROCESSORS AND EXPORTERS
Requirement for accreditation
23.—(1) A person shall not issue a PRN unless he is at the time of the issue an accredited reprocessor or, where the PRN is of the type referred to in paragraph (6) of regulation 4 or paragraph (4) of regulation 12 was accredited at the time the material was received, and the PRN relates to packaging waste received by him for reprocessing on the reprocessing site for which he is accredited.
(2) A person shall not issue a PERN unless he is at the time of the issue an accredited exporter or, where the PERN is of the type referred to in paragraph (6) of regulation 4 or paragraph (4) of regulation 12 was accredited at the time the material was received, and the PERN relates to an export of packaging waste for reprocessing for which he is accredited under regulation 24.
Application for accreditation
24.—(1) An application for accreditation shall be made to the appropriate Agency—
(a)in the case of a person wishing to be accredited—
(i)as a reprocessor in respect of each reprocessing site for which he wishes to be accredited and stating which of the applicable recycling operations and which recyclable materials he wishes that accreditation to cover; or
(ii)as an exporter, in respect of the export of one or more recyclable materials for reprocessing outside the United Kingdom;
(b)on a form made available by the appropriate Agency and including all the information specified on that form, being information which the appropriate Agency reasonably requires in order to determine the application;
(c)accompanied by a business plan containing information on how the funds acquired from the issue of PRNs or PERNs are to be applied including information in respect of the following matters—
(i)investment in infrastructure and the development of capacity for the collection, sorting, treatment and reprocessing of packaging waste;
(ii)funding provided to other persons involved in the collection of packaging waste;
(iii)reductions in the prices of, and the development of new markets for, materials or goods made from recycled packaging waste;
(iv)the costs of complying with obligations in these Regulations;
(v)funds retained for future investment;
(vi)the development of a communications strategy for consumers of packaging made from recyclable materials; and
(d)accompanied by a fee of—
(i)in the case of an applicant who undertakes to issue PRNs or PERNs for not more than 400 tonnes of packaging waste in the year to which the application relates, £505; or
(ii)in any other case, £2616.
(2) An application for accreditation as—
(a)a reprocessor to issue PRNs for the receipt of one or more specified recyclable materials at a specified reprocessing site and for reprocessing in one or more specified recycling operations or a combination of such operations; or
(b)an exporter, to issue PERNs for the export of one or more specified recyclable materials for reprocessing in one or more recycling operations outside the United Kingdom, or a combination of such operations,
shall be granted where the appropriate Agency is satisfied as to the matters set out in paragraph (3) below or, in any other case, shall be refused.
(3) The matters referred to in paragraph (2) are—
(a)the contents of the business plan referred to in paragraph (1)(c) above;
(b)where the application is made for accreditation as an exporter and relates to—
(i)one or more reprocessing sites outside the United Kingdom, that any recovery or recycling operations taking place in each such site take place under conditions that are broadly equivalent to requirements applicable to reprocessing sites in the United Kingdom ; or
(ii)one or more reprocessing sites outside the United Kingdom, but it is not possible for the applicant at the time of the application to specify the site or sites to which the export of one or more specified recyclable materials for reprocessing is taking place, that the requirements applicable to the shipment of waste from the United Kingdom are met in respect of each such export;
(c)that the application has been duly made in accordance with paragraph (1) above; and
(d)the reprocessor or exporter will comply with the conditions specified in or under Schedule 5.
(4) The appropriate Agency shall notify the applicant in writing of its decision under paragraph (2) no later than 12 weeks after the application was made and, if the decision is a decision to refuse accreditation, such notification shall include reasons for the decision and a statement of the right of appeal under regulation 27(3)(a).
(5) Subject to regulation 26, where accreditation is granted under paragraph (2), it shall take effect—
(a)where the application is made in the preceding year to that in which the person wishes to be accredited—
(i)from 1st January where the decision to accredit was made before that date; and
(ii)in all other cases, from the date of the decision,
and shall remain in force until 31st December in the year for which the person has applied to be accredited;
(b)where the application is made during the year in which the person wishes to be accredited, from the date of the decision, and shall remain in force until 31st December in that year.
(6) Where a reprocessor or exporter who has given the undertaking and paid the fee specified in paragraph (1)(d)(i) subsequently breaches that undertaking, he shall from the date of that breach be liable to pay to the appropriate Agency the sum of £2111 (being the balance of the fee which would have been payable under paragraph (1)(d)(ii) had the undertaking not been given) within 28 days of the breach .
(7)An application to extend the accreditation of an exporter to include a further reprocessing site or sites to which they want to export packaging waste for reprocessing shall be made to the appropriate Agency on the form specified in paragraph (1) and be accompanied by a fee of—
(a)£85 for the first form submitted as part of the application; and
(b)£35 for each additional form submitted as part of the application.
(8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(9) An application to extend an exporter’s accreditation to include a further reprocessing site or sites located outside the United Kingdom shall be granted by the appropriate Agency where it is satisfied that each of those sites meets requirements that are broadly equivalent to requirements applicable to reprocessing sites in the United Kingdom and is satisfied that the application was made in accordance with paragraph (7) above, and in any other case be refused.
Conditions of accreditation
25. An accredited reprocessor or exporter shall comply with the conditions specified in and under Schedule 5.
Suspension and cancellation of accreditation
26.—(1) The appropriate Agency may suspend or cancel the accreditation of a reprocessor or exporter where it appears to it that—
(a)the person who is accredited has failed to comply with any of the conditions specified in or under Schedule 5; or
(b)the person who is accredited has knowingly or recklessly supplied false information in his application for accreditation made under regulation 24 or in connection with compliance with any of the conditions specified in or under Schedule 5.
(2) Where the appropriate Agency has granted an accreditation to an exporter, and is no longer satisfied that the requirements in regulation 24(3)(b) or (9), which applied to that grant of accreditation, are met in relation to the export of one or more specified recyclable materials for reprocessing at one or more reprocessing sites outside the European Community, the appropriate Agency shall cancel the accreditation of an exporter to the extent that it relates to any such export which does not meet those requirements.
(3) Where the appropriate Agency suspends or cancels an accreditation under paragraph (1) or cancels the accreditation of an exporterpursuant to paragraph (2), it shall serve on the reprocessor or exporter concerned written notice of—
(a)its decision to cancel or suspend (as the case may be) the accreditation;
(b)the reasons for the decision;
(c)the right of appeal under Part VI;
(d)the date when the cancellation or suspension will take effect, not being earlier than the date of receipt of the notice; and
(e)in the case of a suspension, the period of the suspension or any steps which are required to be taken in order to bring the suspension to an end.
(4) The accreditation of a reprocessor or exporter shall be deemed to be cancelled—
(a)on the date on which either of the following occurs—
(i)the person who is accredited ceases to be the holder of a relevant authorisation; or
(ii)the person who is accredited ceases to be a reprocessor or exporter; or
(b)in a case where the person who is accredited requests that his accreditation should be cancelled, with effect from the date for cancellation specified by that person.
PART VIAPPEALS
Right of appeal
27.—(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) A reprocessor or exporter may appeal to the appropriate authority against a decision of the appropriate Agency—
(a)to refuse accreditation under regulation 24;
(b)to specify a condition pursuant to paragraph 1(q)(iii) of Schedule 5; or
(c)to cancel or suspend accreditation under regulation 26.
Procedure on appeals
28.—(1) Where an appeal is made to the appropriate authority it may—
(a)appoint any person to exercise on its behalf, with or without payment, the function of determining the appeal; or
(b)refer any matter involved in the appeal to such person as the appropriate authority may appoint for the purpose, with or without payment.
(2) If the appellant so requests, or the appropriate authority so decides, the appeal shall be or continue in the form of a hearing.
(3) Schedule 6 shall have effect with respect to the procedure on any such appeal.
Determination of appeals
29. Where, on such an appeal, the appropriate authority determines that the decision of the appropriate Agency shall be altered it shall be the duty of the appropriate Agency to give effect to the determination.
Status pending appeal
30. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
PART VIIAGENCIES’ POWERS & DUTIES
Monitoring
31.—(1) The appropriate Agency shall monitor in accordance with this regulation—
(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(d)compliance by persons who are accredited reprocessors or exporters with the conditions specified in or under Schedule 5; and
(e). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) For the purposes of the discharge of its functions under these Regulations, the appropriate Agency may, by notice in writing served on—
(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(c)any person who is, or who the Agency has reason to believe is, issuing PERNs or PRNs;
(d)any person who is engaged in trading in, or brokerage in relation to, PERNs or PRNs; or
(e)any accredited reprocessor or exporter,
require him to maintain such records, and furnish such returns to the appropriate Agency, of such information specified in the notice as the appropriate Agency reasonably considers it needs for those purposes, in such form and within such period following service of the notice, or at such time, as is so specified.
Monitoring—publication
32. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Public register
33.—(1) The appropriate Agency shall maintain and make available in accordance with this regulation a register relating to—
(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b)the reprocessors and exporters accredited by it in accordance with Part V,
and containing the relevant information prescribed in Schedule 7.
(2) The appropriate Agency shall—
(a)secure that the register is open for inspection at its principal office by members of the public free of charge at all reasonable working hours; and
(b)permit members of the public to obtain copies of entries in the register on payment of reasonable charges.
(3) The register may be kept in any form but shall be indexed and arranged so that members of the public can readily trace information contained in it.
(4) The appropriate Agency shall within 7 days of receipt of the information amend the relevant entry in the register to record any change to the information entered ....
(5) Nothing in this regulation shall require a register maintained by the appropriate Agency to contain information relating to, or to anything which is the subject-matter of, any criminal proceedings (including prospective proceedings) at any time before those proceedings are finally disposed of.
(6) Nothing in this regulation shall require a register maintained by the appropriate Agency to contain any information which has been superseded by later information after 4 years have elapsed from that later information being entered in the register.
Approved persons
34. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Delegation of approved persons’ functions: procedure
34A. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Entry and inspection
35.—(1) A person who appears suitable to the appropriate Agency may be authorised in writing by that Agency for the purposes of its functions under these Regulations to exercise the powers of entry and inspection referred to in paragraph (2) below.
(2) The powers of entry and inspection are those set out in section 108(4)(a) to (l) of the 1995 Act (powers of enforcing authorities and persons authorised by them) and for this purpose section 108(4) shall be read as if references to the authorised person were references to a person authorised under paragraph (1) of this regulation and as if—
(a)the words “(or, in an emergency, at any time and, if need be, by force)” in section 108(4)(a) were omitted;
(b)the reference in section 108(4)(f) to articles or substances in relation to which samples may be taken were to records and packaging and packaging materials and as if the power in that paragraph to take samples of the air, water or land in, on, or in the vicinity of, the premises were omitted;
(c)the power set out in section 108(4)(g) were omitted;
(d)the reference in section 108(4)(h) to any article or substance were to any sample as is mentioned in sub-paragraph (b) above and as if the reference to an offence in section 108(4)(h)(iii) were to an offence under regulation 40;
(e)the reference to records in section 108(4)(k)(i) were to the records and returns required to be kept and provided to the appropriate Agency under these Regulations; and
(f)the reference to the power in section 108(1) were to the power conferred by this regulation.
(3) The provisions of section 108(6) and (7) of the 1995 Act shall apply to the powers conferred by paragraphs (1) and (2) above as they apply to the powers conferred by section 108(4) of the 1995 Act, but as if any reference to an authorised person were to a person authorised under paragraph (1) of this regulation, and as if—
(a)in section 108(6) and (7) the words “Except in an emergency” were omitted; and
(b)in section 108(6) the words “or to take heavy equipment on to any premises which are to be entered” were omitted.
(4) The provisions of section 108(12) and (13) of the 1995 Act shall apply to the powers conferred by paragraphs (1) and (2) above as they apply to the powers conferred by section 108(4) of the 1995 Act.
(5) The provisions of paragraphs 2 to 6 of Schedule 18 to the 1995 Act (supplemental provisions with respect to powers of entry) shall apply to the powers conferred by this regulation as they apply to the powers conferred by section 108 of the 1995 Act, but as if any reference—
(a)to a designated person were to a person authorised in writing by the appropriate Agency to exercise on its behalf any power conferred by this regulation;
(b)to a relevant power were to a power conferred by this regulation, including a power exercisable by virtue of a warrant under the provisions of that Schedule as applied by this paragraph; and
(c)in paragraph 6(1) to section 108(4)(a) or (b) or (5) of the 1995 Act were to paragraph (1) of this regulation.
(6) In this regulation “warrant” means a warrant under the provisions set out in Schedule 18 to the 1995 Act as applied by paragraph (5) above.
Collation and provision of information
36.—(1) The appropriate Agency shall collate and place in the common database every report provided to it under paragraph 1(n) of Schedule 5 no later than 21 days after receipt.
(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) The Environment Agency shall, by 31st March in the year following the year in which the reports are due to be provided under paragraph 1(n) of Schedule 5, provide the Secretary of State with a copy of every report collated under paragraph (1) above.
(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
PART VIIIGROUPS OF COMPANIES, PUB OPERATING BUSINESSES AND LICENSORS AND MID-YEAR CHANGES
Packaging handled by groups of companies
37. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Packaging handled by licensors and pub operating businesses
38. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Mid-year changes
39. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
PART IXOFFENCES
Offences and penalties
40.—(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4)A person who contravenes a requirement of regulation 23 or who is in breach of either of the conditions specified in paragraph 1(a) or 1(d) of Schedule 5 is guilty of an offence.
(5)A person who furnishes any information to the appropriate Agency in connection with its functions under these Regulations ... shall be guilty of an offence if, in furnishing the information, he—
(a)knows the information to be false or misleading in a material particular; or
(b)furnishes such information recklessly and it is false or misleading in a material particular.
(6)A person who fails without reasonable excuse to comply with any requirement imposed in a notice under regulation 31(3) shall be guilty of an offence.
(7)A person who intentionally delays or obstructs a person authorised by the appropriate Agency in the exercise of powers referred to in regulation 35 is guilty of an offence.
(8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(9)A person guilty of an offence under any of paragraphs (1) to (7) above shall be liable—
(a)on summary conviction to a fine not exceeding the statutory maximum; or
(b)on conviction on indictment, to a fine.
(10)Where an offence under these Regulations is committed by a Scottish partnership and is proved to have been committed with the consent or connivance of, or have been attributable to neglect on the part of, any partner or a person who was purporting to act as such, that person as well as the partnership shall be guilty of that offence and shall be liable to be proceeded against and punished accordingly.
Civil sanctions
40A.—(1)The Environment Agency may impose a fixed monetary penalty or variable monetary penalty, or accept an enforcement undertaking, in relation to an offence specified in the following Table of civil sanctions, as indicated in that Table, as if it were an offence under a provision specified in relation to that sanction in Schedule 5 to the Environmental Civil Sanctions (England) Order 2010.
Table of civil sanctions
| Offence under these Regulations | Fixed monetary penalty | Variable monetary penalty | Enforcement undertaking |
|---|---|---|---|
| . . . | . . . | . . . | . . . |
| . . . | . . . | . . . | . . . |
| . . . | . . . | . . . | . . . |
| . . . | . . . | . . . | . . . |
| regulation 40(7) | No | Yes | No |
| . . . | . . . | . . . | . . . |
| . . . | . . . | . . . | . . . |
(2)The terms used in this regulation have the same meaning as in that Order.
(3)The provisions of that Order in relation to those sanctions apply as if they were provisions of those Regulations.
(4)This regulation applies only in England.
Civil sanctions, Wales
40B.—(1)The Natural Resources Body for Wales may impose a fixed monetary penalty or variable monetary penalty, or accept an enforcement undertaking, in relation to an offence specified in the following Table of civil sanctions, as indicated in that Table, as if it were an offence under a provision specified in relation to that sanction in Schedule 5 to the Environmental Civil Sanctions (Wales) Order 2010.
Table of civil sanctions
| Offence under these Regulations | Fixed monetary penalty | Variable monetary penalty | Enforcement undertaking |
|---|---|---|---|
| . . . | . . . | . . . | . . . |
| . . . | . . . | . . . | . . . |
| . . . | . . . | . . . | . . . |
| . . . | . . . | . . . | . . . |
| regulation 40(7) | No | Yes | No |
| . . . | . . . | . . . | . . . |
| . . . | . . . | . . . | . . . |
(2)The terms used in this regulation have the same meaning as in that Order.
(3)The provisions of that Order in relation to those sanctions apply as if they were provisions of these Regulations.
(4)This regulation applies only in Wales.
PART XREVOCATION AND TRANSITIONAL PROVISION
Revocation and transitional provision
41.—(1)The Producer Responsibility Obligations (Packaging Waste) Regulations 2005(10) are revoked.
(2) Any step taken before commencement of these Regulations which has effect under any provision of the Producer Responsibility Obligations (Packaging Waste) Regulations 2005 shall be treated on or after commencement as having effect under any equivalent provision of these Regulations.
(3) Where the Producer Responsibility Obligations (Packaging Waste) Regulations 2005 specified a time period and part of that period had elapsed under those Regulations before revocation of those Regulations, that part of the period shall be treated on commencement of these Regulations as having elapsed under the equivalent provision of these Regulations.
PART 11Review
Review
42. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
PART XIIReport
Report
43. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Ben Bradshaw
Minister of State
Department for Environment, Food, and Rural Affairs
Regulations 2(2), 4(2) and 4(3)
SCHEDULE 1PRODUCERS
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Regulation 4(4)
SCHEDULE 2... RECYCLING OBLIGATIONS
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Regulations 7(4), 14(3) and 15(g)
SCHEDULE 3INFORMATION
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Regulation 21
SCHEDULE 4INFORMATION IN CERTIFICATE OF COMPLIANCE
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Regulation 25
SCHEDULE 5CONDITIONS OF ACCREDITATION
1. The conditions referred to in regulation 25 are that—
(a)PRNs shall not be issued for more than the total amount of packaging waste which—
(i)is received for reprocessing on the reprocessing site of a reprocessor in the year or the part of the year for which he is accredited; and
(ii)will be capable of being reprocessed on the site for which he is accredited no later than the end of the following year;
(b)a reprocessor may only issue a PRN in respect of packaging waste once that packaging waste has been received for reprocessing on that reprocessing site;
(c)PRNs which relate to packaging waste received for reprocessing in December of a year shall specify that fact;
(d)PERNs shall not be issued for more than the total amount of packaging waste which an accredited exporter exports for reprocessing in the year or part of the year for which he is accredited;
(e)a PERN may only be issued once the packaging waste that it relates to has been exported for reprocessing;
(f)PERNs which relate to packaging waste exported in December of a year shall specify that fact;
(g)where a PRN or PERN has not been issued by 31st January in any year in respect of an amount of packaging waste received for reprocessing or exporting in the previous year, a PRN or PERN for that amount shall not be issued to producers or operators of schemes, or to the representatives of producers or operators of schemes but shall be issued to the appropriate Agency on or before 28th February in that year;
(h). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(i)the weight of packaging waste recorded on a PRN or PERN shall be—
(i)rounded up to the nearest whole tonne where the part tonne is 0.5 or more;
(ii)rounded down to the nearest whole tonne where the part tonne is less than 0.5;
(j). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(k)subject to sub-paragraph (g) above, PRNs and PERNs may only be issued to producers or operators of schemes, or to the representatives of producers or operators of schemes;
(l). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(m)records shall be maintained for each quarter year on a form made available for the purpose by the appropriate Agency, shall be retained for at least 4 years after the end of the year in which the record is made and shall be made available to the appropriate Agency on demand;
(n)reports shall be provided to the appropriate Agency before each of 21st April, 21st July, 21st October and 28th February in respect of the previous quarter year on—
(i)the tonnage of packaging waste received or exported for reprocessing in that quarter;
(ii)the tonnage of packaging waste reprocessed in that quarter;
(iii)the number of PRNs or PERNs issued in that quarter; and
(iv)a list of all PRNs and PERNs issued,
on a form provided by the appropriate Agency;
(o)a report shall be provided to the appropriate Agency before 28th February in each year which—
(i)sets out all the information provided in the quarterly reports which relate to the whole of the previous year;
(ii)sets out the amount of revenue received in the previous year from the sale of PRNs and PERNs;
(iii)sets out what that amount has been spent on, including information on the matters set out in paragraphs (i) to (vi) of regulation 24(1)(c);
(iv)accounts for the whole of that amount;
(v)sets out and explains any deviation during the previous year from the business plan referred to in regulation 24(1)(c);
(vi)is in the form prescribed by the appropriate Agency for this purpose;
(p). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(q)a reprocessor or exporter must—
(i)as far as possible implement the business plan referred to in regulation 24(1)(c);
(ii)undertake sampling and inspection of packaging waste received or exported for reprocessing, in accordance with a plan approved by the appropriate Agency; and
(iii)comply with such other conditions as the appropriate Agency may specify in the notification of a grant of accreditation;
(r)a PERN may only be issued in respect of packaging waste that is exported in accordance with—
(i)Regulation (EC) No 1013/2006 of the European Parliament and of the Council on shipments of waste , as last amended by Commission Regulation (EU) 2015/2002; and
(ii)Commission Regulation (EC) No 1418/2007 concerning the export for recovery of certain waste listed in Annex III or IIIA to Regulation (EC) No 1013/2006 of the European Parliament and of the Council to certain countries to which the OECD Decision on the control of transboundary movements of wastes does not apply , as last amended by Commission Regulation (EU) No 733/2014;
(s)where applicable, a reprocessor or exporter must comply with regulation 24(6)
2. For the purposes of this Schedule—
(a)“issue” in relation to a PRN or PERN means to sell or otherwise supply to a producer or operator of a scheme or to the representative of a scheme or operator of a scheme, and a reprocessor or exporter may issue a PRN or PERN to himself;
(b)“quarter year” means the first, second, third and fourth three months of the year...
(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.In paragraph 1(g) and (k), references to producers or operators of schemes include, in relation to the year 2025, persons who are producers or scheme operators under the Producer Responsibility Obligations (Packaging and Packaging Waste) Regulations 2024.
Regulation 28(3)
SCHEDULE 6PROCEDURE ON APPEALS
1.—(1) A person who wishes to appeal to the appropriate authority under regulation 27 shall do so by notice in writing given or sent to the appropriate authority.
(2) The notice shall be accompanied by—
(a)a statement of the grounds of appeal;
(b)a copy of any correspondence or document relevant to the appeal that could be required to be disclosed as part of standard disclosure under Part 31 of the Civil Procedure Rules 1998(11); and
(c)a statement indicating whether the appellant wishes the appeal to be in the form of a hearing or to be determined on the basis of written representations.
(3) The appellant shall serve a copy of his notice of appeal on the appropriate Agency together with copies of the documents mentioned in sub-paragraph (2) above.
2.—(1) Subject to sub-paragraph (2) below, notice of appeal shall be given before the expiry of the period of 2 months beginning with the date of the decision which is the subject of the appeal.
(2) The appropriate authority may at any time allow notice of an appeal to be given after the expiry of the period mentioned in sub-paragraph (1) above.
3. Where under regulation 28(2) the appeal is by way of a hearing, the person hearing the appeal shall, unless he has been appointed to determine the appeal under regulation 28(1)(a), make a written report to the appropriate authority which shall include his conclusions and recommendations or his reasons for not making any recommendations.
4.—(1) The appropriate authority or other person determining an appeal shall notify the appellant in writing of its or his decision and the reasons for the decision.
(2) If the appropriate authority determines an appeal after a hearing under regulation 28(2), it shall provide the appellant with a copy of any report made to him under paragraph 3 above.
(3) The appropriate authority or other person determining an appeal shall, at the same time as notifying the appellant of his decision, send the appropriate Agency a copy of any document sent to the appellant under this paragraph.
Regulation 33
SCHEDULE 7PUBLIC REGISTER
1. The name and address of the registered office or principal place of business of—
(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(c)each accredited reprocessor and accredited exporter.
2. In relation to accredited reprocessors and exporters—
(a)each material type accepted;
(b)in relation to any recovery operation to be used, the appropriate classification of the applicable operation provided for in Annex II of the Waste Directive;
(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(d)whether the reprocessor or exporter is accredited to issue PRNs or PERNs for either 400 tonnes or less, or more than 400 tonnes of packaging waste;
(e)the trading name, address and telephone number of the reprocessor or exporter;
(f)the reprocessing site address for an accredited reprocessor;
(g)the reference number supplied by the appropriate Agency;
(h)whether or not quarterly returns and annual returns have been provided in accordance with the conditions set out in paragraph 1(n) and (o) of Schedule 5;
(i)whether the appropriate Agency has served a notice to suspend or cancel accreditation; and
(j)whether accreditation has been suspended or cancelled.
3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Regulation 37
SCHEDULE 8GROUPS OF COMPANIES
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Regulation 38
SCHEDULE 9LICENSORS AND PUB OPERATING BUSINESSES
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Regulation 39
SCHEDULE 10MID-YEAR CHANGES
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Under section 57 of the Scotland Act 1998 (c. 46), despite the transfer to Scottish Ministers of functions in relation to implementing obligations under Community law in respect of devolved matters, the function of the Secretary of State in relation to implementing those obligations continues to be exercisable by him as regards Scotland.
Under paragraph 5 of Schedule 3 of the Government of Wales Act 1998 (c. 38), despite the transfer of the relevant functions of the Secretary of State so far as they are exercisable in relation to Wales to the National Assembly for Wales by virtue of Article 2 and Schedule 1 of the National Assembly for Wales (Transfer of Functions) Order 1999 (S.I. 1999/ 672), the function of the Secretary of State in relation to implementing obligations under Community law continues to be exercisable by him as regards Wales.
OJ No. L 365, 31.12.1994, p. 10, as last amended by Council Directive 2005/20/EC, OJ No. L 70, 16.3.2005, p.17.