Statutory Rules of Northern Ireland

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

(i) in paragraph (4)(dd) -

(i) at the beginning of the sub-paragraph there shall be inserted "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" there shall be substituted "an operational plan complying with Part IV of Schedule 4";

(j) at the end of paragraph (5)(a) "and" shall be inserted;

(k) at the end of paragraph (5)(b) "and" shall be omitted;

(l) paragraph (5)(c) shall be omitted; and

(m) for paragraph (7) there shall be substituted -

(a) inform the Department 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 Department as required by regulation 22;

(c) apply to the Department 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 Department 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 9, in respect of the subsidiaries included within that application, a fee of -


(i) £100 for each of the first 4 subsidiaries; or

(ii) £50 for each of the 5th 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 (3)(b), "and" shall be omitted;

(ii) at the end of sub-paragraph (3)(c), for "." there shall be substituted "; and"; and

(iii) after sub-paragraph (3)(c) there shall be inserted -

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

" and

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

(f) at the beginning of paragraph (3)(e) there shall be inserted "on a first application for registration" and for "as provided in" there shall be substituted "complying with";

(g) paragraph (3)(f) shall be omitted;

(h) at the end of paragraph (3)(g) "and" shall be omitted;

(i) at the end of paragraph (3)(h) "and" shall be inserted;

(j) after paragraph (3)(h) there shall be inserted -

" (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).";

(k) after paragraph (4) there shall be inserted -

(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 Department shall be granted where the Department 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 Department may decide to withdraw approval of the scheme, and if it so decides shall serve written notice on the operator of the scheme of -

(a) its 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 Department 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" there shall be substituted "regulation 12(3)(c)";

(c) paragraph (e) shall be omitted;

(d) at the end of paragraph (f) "and" shall be omitted; and

(e) after paragraph (f) there shall be inserted -

" (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 Department 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) £100 for each of the first 4 subsidiaries; or

(ii) £50 for each of the 5th 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 Department;

(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 Planning Appeals Commission against a decision of the Department -

(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 Planning Appeals Commission against a decision of the Department -

(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 Department and including all the information specified on that form, being information which the Department 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 UK 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 UK 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 Department 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 respect of the year 2000 and subsequent years" shall be omitted;

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

(iii) in sub-paragraph (b) "and" shall be omitted;

(iv) at the end of sub-paragraph (c) "." shall be omitted and "; and" shall be inserted; and

(v) after sub-paragraph (c) there shall be inserted -

" (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) "for the year 2000 and subsequent years," shall be omitted.

(i) for "paragraphs (2) and" there shall be substituted "paragraph"; and

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

(b) paragraph (2) shall be omitted;

(c) in paragraph (3) -

(i) for "In respect of the year 2000 and subsequent years the information is, in addition to the information referred to in paragraph (2) -" there shall be substituted "For each year the information is -";

(ii) in sub-paragraph (a) after "provided" there shall be inserted "respectively for recycling and for recovery";

(iii) at the end of sub-paragraph (c) "and" shall be omitted;

(iv) for sub-paragraph (d) there shall be substituted -

" (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 2000 and subsequent years packaging materials" there shall be substituted "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" there shall be substituted "regulation 6" and for "undertakings" there shall be substituted "conditions";

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

(iii) in sub-paragraph (e) for "regulations 12 and 14" there shall be substituted "regulation 12";

(iv) at the end of sub-paragraph (e) "and" shall be omitted;

(v) at the end of sub-paragraph (f) "and" shall be inserted; and

(vi) after sub-paragraph (f) there shall be inserted -

" (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), "or" shall be omitted;

(ii) at the end of sub-paragraph (b), for "," there shall be substituted "; or"; and

(iii) after sub-paragraph (b), there shall be inserted -

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

" (a) the Department'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.".

(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) for paragraph 4(1)(c)(i) and (ii) there shall be substituted -

" 7th April in the obligation year; and".

(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 and any subsequent year, 70%.";

(c) for paragraph 5 there shall be substituted -

(i) in sub-paragraph (1)(iv) "or" shall be omitted after paper/fibreboard;

(ii) in sub-paragraph (1)(v) "," shall be omitted after plastic and "; or" shall be inserted;

(iii) at the end of sub-paragraph (1) there shall be inserted -


" (vi) wood," and



(iv) sub-paragraph (3) shall be omitted.

(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 Department 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 Department at all times and shall be returned to the Department 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 Department 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 Department 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 Department 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 Department 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 Department 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 Department; and

(iii) comply with such other conditions as the Department may specify in the notification of a grant of accreditation.

" R1 Use of waste principally as a fuel or for other means of generating energy;

R2 Reclamation or regeneration of solvents;

R3 Recycling or reclamation of organic substances which are not used as solvents, including composting and other biological transformation processes;

R4 Recycling or reclamation of metals and metal compounds;

R5 Recycling or reclamation of other inorganic materials;

R6 Regeneration of acids or bases;

R7 Recovery of components used for pollution abatement;

R8 Recovery of components from catalysts;

R9 Re refining, or other reuses, of oil which is waste;

R10 Land treatment resulting in benefit to agriculture or ecological improvement;

R11 Use of wastes obtained from any of the operations listed as R1 to R10 in this paragraph;

R12 Exchange of wastes for submission to any of the operations listed as R1 to R11 in this paragraph;

R13 Storage of waste pending any of the operations listed in this paragraph, but excluding temporary storage, pending collection, on the site where it is produced.".

(i) "schemes" shall be omitted and for "regulation 12(3)(e)" there shall be substituted "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" there shall be substituted "producer or the obligation of the operator of the scheme under regulation 3(5B) (as the case may be).";

(iii) for sub-paragraph (b) there shall be substituted -

" (g) copies of all PRNs or PERNs acquired in the year to which the certificate relates, save that a PRN or PERN which is acquired in December of any year may be included in the certificate of compliance for either that year or the following year.".

(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.