United Kingdom Statutory Instruments

" "accredited exporter" means an exporter who is accredited by the appropriate Agency under regulation 21B;";

(i) the Environment Agency, where at the beginning of the relevant year the person's registered office or principal place of business is in England or Wales;

(ii) SEPA, where at the beginning of the relevant year the person's registered office or principal place of business is in Scotland; or

(iii) at the election of the person, either the Agency or SEPA, where at the beginning of the relevant year the person does not have a registered office or principal place of business in Great Britain, or there is more than one operator of the scheme and such operators have registered offices or principal places of business in either England or Wales and in Scotland;";

" "recyclable material" means - 

(a) glass;

(b) aluminium;

(c) steel;

(d) paper/fibreboard;

(e) plastic; or

(f) 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;";

(i) omit "and who is not registered";

(ii) for "Agency, being - " substitute "Agency."; and

(iii) omit sub-paragraphs (a), (b) and (c);

(b) omit paragraph (3)(a);

(c) in paragraph (4)(c) after "appropriate Agency" insert "and signed by the approved person";

(d) omit paragraph (4)(c)(ii);

(e) in paragraph (4)(c)(v) omit "(excluding special producer)";

(f) at the end of paragraph (4)(c)(vi) insert "and", and after paragraph (4)(c)(vi) insert - 

" (vii) such other information as the appropriate Agency reasonably requires in order to determine the application and as is specified on the form.";

(g) in paragraph (4)(dd) - 

(i) at the start of the sub-paragraph insert "on a first application for registration"; and

(ii) for "a plan setting out the steps intended to be taken to comply with the producer's recovery and recycling obligations" substitute "an operational plan complying with Part IV of Schedule 4";

(h) in paragraph (5) - 

(i) at the end of sub-paragraph (a) insert "and";

(ii) at the end of sub-paragraph (b) omit "and"; and

(iii) omit sub-paragraph (c); and

(i) for paragraph (7) substitute - 

(a) inform the appropriate Agency of - 


(i) any change in the circumstances of the producer which relate to the registration of the producer, and where the producer is a partnership, any change of partners;

(ii) any change in the person who is the partner who is able to accept notices and act on behalf of the partnership as stated as required in regulation 6(4)(e);

(iii) any material change in the initial information provided in accordance with regulation 6(4)(b); or

(iv) any material change in the further information provided in accordance with regulation 6(4)(c), or (8), as the case may be,



within 28 days of the occurrence of any such change;

(b) provide records and returns to the appropriate Agency as required by regulation 22;

(c) apply to the appropriate Agency to cancel his registration where he has become a member of a registered scheme or has ceased to be a producer in respect of a year;

(d) comply with the operational plan submitted under regulation 6 or, if a revised plan has been submitted under paragraph (e), with the most recent version so submitted; and

(e) on or before 31st January in a relevant year, provide to the appropriate Agency a revised version of the operational plan.".

(a) in the case of an application where the fee is to be treated as a fee for group registration by virtue of paragraph 5(b)(iii) of Schedule 8, in respect of the subsidiaries included within that application, a fee of - 


(i) £180 for each of the first 4 subsidiaries;

(ii) £90 for each of the 5th to the 20th subsidiaries inclusive; and

(iii) £45 for each of the 21st and subsequent subsidiaries; and



(b) on each resubmission of an application which is required by reason of its having failed to meet the requirements of regulation 6(4) or (7) on its previous submission, £220.".

(i) at the end of sub-paragraph (c), omit "and";

(ii) at the end of sub-paragraph (c), for the full stop substitute "; and"; and

(iii) after sub paragraph (c), insert - 

" (d) the right of appeal under Part IV of these Regulations.".

(i) omit "Subject to paragraph (8) below,";

(ii) for "Agency, being - " substitute "Agency."; and

(iii) omit sub-paragraphs (a), (b) and (c);

(b) in paragraph (3)(c)(i) omit "class of";

(c) omit paragraph (3)(c)(ii);

(d) in paragraph (3)(c)(v) omit "(excluding special producer)";

(e) after paragraph (3)(c)(vi) insert - 

" (vii) such other information as the appropriate Agency reasonably requires in order to determine the application and as is specified on the form.";

(f) at the start of paragraph (3)(e) insert "on a first application for registration" and for "as provided in" substitute "complying with";

(g) omit paragraph (3)(f);

(h) in paragraph (g) omit "and", and at the end of paragraph (h) insert "and";

(i) after paragraph (3)(h) insert - 

" (i) be accompanied by a monitoring plan which demonstrates how information to which regulation 17A applies is to be monitored so that the operator of the scheme can meet his obligation under paragraph (7).";

(j) after paragraph (4) insert - 

(a) contain the following information - 


(i) the name and address of the person who proposes to operate the scheme; and

(ii) any other information which demonstrates that the scheme is likely to subsist for a period of at least 5 years and will assist the objectives of the United Kingdom in relation to the recovery and recycling of packaging waste; and



(b) be accompanied by the following documentation - 



(i) a copy of the constitution of the scheme;

(ii) a copy of the rules with which a member of the scheme is obliged to comply; and

(iii) a copy of the procedures under which the operator of the scheme would enforce the rules against a member of the scheme.

    (4B) An application for approval of a scheme by the Secretary of State shall be granted where the Secretary of State is satisfied that the scheme is likely to subsist for a period of at least 5 years and will assist the objectives of the United Kingdom in relation to the recovery and recycling of packaging waste, and shall otherwise be refused.

    (4C) A further application for approval in accordance with paragraph (4A) shall be made within 28 days of the occurrence of any of the following - 

(a) a change in the person who is the operator of the scheme;

(b) a conviction of the operator of the scheme for an offence under these Regulations; or

(c) a failure by the operator of the scheme to comply with the obligation referred to in regulation 3(5B).

    (4D) Where an application which is required by paragraph (4C) is not received by the due date, the Secretary of State may decide to withdraw approval of the scheme, and if he so decides shall serve written notice on the operator of the scheme of - 

(a) his decision to withdraw approval of the scheme;

(b) the reasons for the decision;

(c) the date when the withdrawal will take effect, not being earlier than 28 days from the date of the notice.

    (4E) The Secretary of State shall consider any representations made before the notice takes effect by the operator of the scheme, and may withdraw the notice under paragraph (4D) at any time.";

" (a) that the obligation in regulation 3(5B) is complied with;";

(b) in paragraph (d)(iv) for "regulations 12(3)(c) or 14" substitute "regulation 12(3)(c)";

(c) omit paragraphs (e) and (g); and

(d) in paragraph (f) omit "and" where it appears for the second time, and insert after paragraph (f) - 

" (g) that the operator of the scheme will comply with the operational plan submitted under regulation 12(3)(e) or, if a revised plan has been submitted under sub-paragraph (h), with the most recent version so submitted; and

(h) that the operator of the scheme will on or before 31st January in a relevant year provide to the appropriate Agency a revised version of the operational plan for the scheme.".

(a) in a case where part of the fee is calculated on the basis of a group of companies, a fee of the following amount for each subsidiary within that group apart from the holding company - 


(i) £180 for each of the first 4 subsidiaries;

(ii) £90 for each of the 5th to 20th subsidiaries inclusive; and

(iii) £45 for each of the 21st and subsequent subsidiaries;";



(b) in the case of an application which is received after 7th April in any year, £110; and

(c) on each resubmission of an application which is required by reason of its having failed to meet the requirements of regulation 12(3) and (7), on its previous submission, £220.".

(a) is provided to the operator of the scheme by a producer who is a member of that scheme at the time the information is provided; and

(b) is information which the operator of the scheme will need to rely upon for the purposes of his application for registration of a scheme under regulation 12.

    (2) A producer who provides to the operator of the scheme information to which this regulation applies shall - 

(a) provide that information on a form supplied for the purpose by the appropriate Agency;

(b) ensure that the form is signed by the approved person; and

(c) ensure that the information is as accurate as reasonably possible.".

(a) to refuse to grant an application for registration under regulation 6(5); or

(b) to cancel registration under regulation 11(1).

    (2) The operator of the scheme may appeal to the Secretary of State against a decision of the appropriate Agency - 

(a) to refuse to grant an application for registration under regulation 12(5); or

(b) to cancel registration under regulation 17(1).

    (3) A reprocessor or exporter may appeal to the Secretary of State against a decision of the appropriate Agency - 

(a) to refuse accreditation under regulation 21B(2);

(b) to specify a condition pursuant to paragraph 1(n)(iii) of Schedule 2A; or

(c) to cancel accreditation under regulation 21D.".

(a) in the case of a person wishing to be accredited - 


(i) as a reprocessor, in respect of each site for which he wishes to be accredited and stating which of the applicable recovery operations specified in Part II of Schedule 3 and which recyclable materials he wishes that accreditation to cover;

(ii) as an exporter, in respect of the export of one or more recyclable materials for reprocessing in one or more applicable recovery operations outside the United Kingdom;



(b) before 30th September in the year immediately prior to that for which the reprocessor or exporter wishes to be accredited, the latter being a year not earlier than the year 2005;

(c) on a form made available by the appropriate Agency and including all the information specified on that form, being information which the Agency reasonably requires in order to determine the application;

(d) accompanied by a business plan containing information on how the funds acquired from the issue of PRNs or PERNs are to be applied including in respect of the following matters - 



(i) the development of capacity for the collection and reprocessing of packaging waste and the development of new markets for materials or goods which have been made from recycled packaging waste;

(ii) arrangements for the collection and sorting of packaging waste; and

(iii) the strategy, including communications, to be adopted in order to achieve the matters described in (i) and (ii) above; and



(e) accompanied by a fee of - 



(i) in the case of an applicant who undertakes to issue PRNs or PERNs for 400 tonnes or less of packaging waste in the year to which the application relates, £500; or

(ii) in any other case, £2,590.

    (2) The appropriate Agency shall - 

(a) where it is satisfied as to the contents of the business plan referred to in paragraph (1)(d) above, and where it is otherwise satisfied that the application has been duly made in accordance with paragraph (1), grant accreditation to - 


(i) a reprocessor, to issue PRNs for the receipt of one or more specified recyclable materials at a specified site and for reprocessing in one or more specified applicable recovery operations; or

(ii) an exporter, to issue PERNs for the export of one or more specified recyclable materials for reprocessing in one or more applicable recovery operations outside the United Kingdom,



and in each case subject to the conditions imposed by or under regulation 21C; or

(b) in any other case, refuse the application.

(i) in the headpiece, omit ", in respect of the year 1998 and subsequent years";

(ii) in sub-paragraph (a), for "provided to a reprocessor" substitute "delivered respectively for recycling and for recovery";

(iii) in sub-paragraph (b) omit "and,";

(iv) at the end of sub-paragraph (c) insert "and"; and

(v) after sub-paragraph (c) insert - 

" (d) the total number of tonnes of each material which is the subject of both the producer's recovery obligations and his recycling obligations;

(e) the number of PRNs or PERNs acquired; and

(f) a statement which demonstrates how the producer has complied with his operational plan (where he has one) for the period in question.";

(b) in paragraph (3) omit "for the year 1998 and subsequent years,".

(i) for "paragraphs (2) and" substitute "paragraph"; and

(ii) for sub-paragraphs (a) and (b) substitute "on or before 31st January in the year immediately following the year to which the information relates";

(b) omit paragraph (2);

(c) in paragraph (3) - 

(i) for the headpiece to paragraph (3) substitute "For each year the information is - "

(ii) in sub-paragraph (a) after "provided" insert "respectively for recycling and for recovery";

(iii) at the end of sub-paragraph (c) omit "and";

(iv) for sub-paragraph (d) substitute - 

" (d) for each producer who is a member of the scheme in that year, the information specified in regulation 12(3)(c) and the revised operational plan referred to in regulation 13(h), together with any changes notified in accordance with the condition specified in regulation 13(d)(iv);

(e) the total number of tonnes of each material which is the subject of both the recovery and recycling obligations for which the operator of the scheme is responsible under regulation 3(5B);

(f) the number of PRNs or PERNs acquired by the operator of the scheme; and

(g) a statement which demonstrates how the scheme has complied with its operational plan in the period in question."; and

(d) in paragraph (4) for the words "for the year 1998 and subsequent years packaging materials" substitute "packaging material".

" (b) compliance by operators of schemes with the obligation referred to in regulation 3(5B); and

(c) compliance by persons who are accredited reprocessors or exporters with the conditions specified in or under Schedule 2A.";

(b) in paragraph (2) - 

(i) in sub-paragraph (b) for "regulations 6 and 8" substitute "regulation 6" and for "undertakings" substitute "conditions";

(ii) in sub-paragraph (c) omit "or Part V of Schedule 3";

(iii) in sub-paragraph (e) for "regulations 12 and 14" substitute "regulation 12"; and

(iv) after sub-paragraph (f) insert - 

" (g) the compliance by accredited reprocessors and exporters with the conditions specified in or under Schedule 2A.";

(c) in paragraph (3) - 

(i) at the end of sub-paragraph (a), omit "or";

(ii) at the end of sub-paragraph (b), for the comma substitute "; or"; and

(iii) after sub-paragraph (b) insert - 

" (c) any person who is engaged in trading in, or brokerage in relation to, PERNs or PRNs,".

" (a) the Agency's policy in relation to the monitoring it is required to carry out under regulation 25; and".

(a) the producers and schemes registered with it in accordance with regulations 5 to 16; and

(b) the reprocessors and exporters accredited by it in accordance with Part IVA,

and containing the relevant information prescribed in Schedule 7.".

(i) in the headpiece, for "the appropriate Agency's servant or agent" substitute "a person authorised under paragraph (1) of this regulation";

(ii) omit sub-paragraphs (b) and (c); and

(iii) in sub-paragraph (g), for "regulations 22 and 24 and Part V of Schedule 3" substitute "regulations 21C, 22 and 24"; and

(b) in paragraph (3) for "the appropriate Agency's servant or agent" substitute "a person authorised under paragraph (1) of this regulation".

(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.

    (3A) A person who fails without reasonable excuse to comply with any requirement imposed in a notice under regulation 25(3) shall be guilty of an offence.".

" (a) his turnover in the last financial year in respect of which audited accounts are available before the relevant date was more than £2,000,000; and"; and

(b) in paragraph 4(1)(c) - 

(i) for sub-paragraph (i) substitute - 

(a) in the years 2004, 2005 and 2006, not less than 94%;

(b) in the years 2007 and 2008, not less than 95%,

of the amount by tonnage of packaging waste represented by "Z" in sub-paragraph (1) above;";

(a) for the year 2004 63%;

(b) for the year 2005 65%;

(c) for the year 2006 67%;

(d) for the year 2007 69%; and

(e) for the year 2008 70%.";

(c) for paragraph 5 substitute - 

(a) PRNs and PERNs shall relate to packaging waste received or exported, as the case may be, in a specified year and shall not be issued after 31st January in any year in respect of packaging waste received or exported in the previous year;

(b) all PRNs and PERNs which have not been issued before 1st February of the year following that in which the packaging waste to which they relate was received shall be returned to the appropriate Agency before 15th February immediately following that 1st February;

(c) PRNs shall be issued for no more than the total amount of packaging waste which - 


(i) is received for reprocessing on the site of an accredited reprocessor for the year for which he is accredited; and

(ii) will be capable of being reprocessed on the site for which he is accredited by not later than the end of the year following that for which he is accredited;



(d) PERNs shall be issued for no more than the total amount of packaging waste which an accredited exporter exports for reprocessing in the year for which he is accredited;

(e) PRNs and PERNs which have not been issued and which have expired shall remain the property of the appropriate Agency at all times and shall be returned to the Agency on demand;

(f) the weight of packaging waste recorded on a PRN or PERN shall be rounded up to the nearest tonne;

(g) duplicate copies of all PRNs and PERNs issued shall be retained and made available for inspection by the Environment Agency at all reasonable times;

(h) PRNs and PERNs shall only be issued to producers or operators of schemes, or to the representatives of producers or operators of schemes;

(i) substitute PRNs or PERNs shall be issued on request to the holder of original PRNs or PERNs in exchange for those originals, provided that the value of the substitute PRNs or PERNs so issued remains equal to those exchanged and that no substitutes which relate to packaging waste received for reprocessing in any given year are issued after 31st January in the following year;

(j) records shall be maintained for each quarter year on a form made available for the purpose by the appropriate Agency and shall be retained for at least 4 years after the end of the year in which the record is made;

(k) reports shall be provided to the appropriate Agency before each of the 21st days of April, July, October and 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; and

(iii) the number of PRNs or PERNs issued in that quarter together with copies of those notes;



(l) a report shall be provided to the appropriate Agency before 28th February in each year which sets out - 



(i) all the information provided in the quarterly reports which relate to the whole of the previous year;

(ii) the amount of revenue received in the previous year from the sale of PRNs or PERNs and a statement of what it has been spent on;



(m) except in the case of a reprocessor or exporter who has made the undertaking specified in regulation 21B(1)(e)(i), a report shall be provided to the appropriate Agency before 28th February in any year which - 



(i) is from an independent auditor; and

(ii) demonstrates that the PRNs or PERNs issued by the reprocessor or exporter in the previous year are consistent with the tonnage of packaging waste received or exported for that year;



(n) a reprocessor or exporter must - 



(i) take reasonable steps to implement the business plan referred to in regulation 21B(1)(d);

(ii) undertake sampling and inspection of packaging waste received or exported, 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.

(i) in the headpiece omit "scheme's" and for "regulation 12(3)(e)" substitute "regulations 6(4)(dd) and 12(3)(e)";

(ii) in sub-paragraph (a) for "scheme's members referred to in regulation 4(1)(b) to be discharged through the scheme" substitute "producer or the obligation of the operator of the scheme under regulation 3(5B) (as the case may be).";

(iii) for sub-paragraph (b) substitute - 

" (b) that the arrangements for recovery and recycling take account of any statement which contains the Secretary of State's policies in relation to the recovery and disposal of waste and which is made under section 44A of the 1990 Act;";

(iv) omit sub-paragraph (c);

(v) in sub-paragraph (d) for "of its members referred to in regulation 4(1)(b)" substitute "or the obligation of the operator of the scheme under regulation 3(5B) (as the case may be)";

(vi) in sub-paragraph (d)(iii) omit "who is a member of the scheme";

(vii) at the end of sub-paragraph (d)(v) omit "and";

(viii) in sub-paragraph (e) for "of the scheme's members" substitute "or the obligation of the operator of the scheme under regulation 3(5B) (as the case may be)" and for "any member of the scheme, or any other producer" substitute "any producer"; and

(ix) after sub-paragraph (e) insert - 

" (f) the number of PRNs or PERNs which are expected to be acquired in each quarter of the three years immediately following registration, and the type of recyclable material to which they are expected to relate;

(g) the quantity of packaging waste which is expected to be acquired during the three years immediately following registration;

(h) the amounts to the nearest tonne of the recovery and recycling obligations in respect of each recyclable material that are expected to have to be discharged in each of the three years immediately following registration;

(i) a statement indicating the contracts anticipated to be made with reprocessors and packaging waste suppliers in the three years immediately following registration;

(j) a statement as to the purposes for which it is intended to apply funds supplied to reprocessors for the acquisition of PRNs or PERNs in the three years immediately following registration, including the amounts to be applied to the following matters - 


(i) increasing the capacity for the collection and reprocessing of packaging waste;

(ii) encouraging the development of markets for materials or goods made from recycled packaging waste;

(iii) the strategy, including communications, to be adopted in order to achieve the objectives described in heads (i) and (ii) above.

(a) each registered producer;

(b) each registered operator of a scheme and each member of the scheme for which he is the operator; and

(c) each accredited reprocessor and accredited exporter.