(1) This regulation applies where—
(a) the Secretary of State revokes a person’s appointment as the deposit management organisation (the “outgoing DMO”), and
(b) the revocation takes effect before another person is appointed as the deposit management organisation.
(2) The Secretary of State may—
(a) carry out the essential DMO functions during the interim period, or
(b) with the consent of DAERA, appoint another person to carry out those functions during the interim period.
(3) The Scheme applies during the interim period with the modifications set out in paragraphs (4) to (6).
(4) Any reference to the deposit management organisation in any of the provisions mentioned in the definition of “essential DMO functions” is to be read as a reference to the interim scheme administrator.
(5) Any registration fee determined under regulation 63 which is in effect immediately before the revocation date is to have effect on and after that date as if determined by the interim scheme administrator.
(6) Regulation 52 is to be treated as omitted for the purposes of the exercise of the essential DMO functions under this regulation.
(7) For the purposes of regulations 76 to 78—
(a) any decision made by the outgoing DMO has effect as a decision of the interim scheme administrator;
(b) any internal review procedures which are in effect immediately before the revocation date are to have effect on and after that date as if specified by the interim scheme administrator.
(8) For the purposes of this regulation, the “essential DMO functions” are the functions of the deposit management organisation under—
(a) regulation 11 and Schedule 1 (registration of scheme producers);
(b) regulation 12 (register of scheme producers);
(c) regulation 14 (DMO instructions);
(d) regulation 18 (registration of low volume products);
(e) regulation 19 (cancellation of registration of low volume products);
(f) regulation 20 (updates on low volume);
(g) regulation 21 (payment of registration fee to deposit management organisation);
(h) regulation 22 (receipt of deposits);
(i) regulation 30 (DMO instructions);
(j) regulations 31 to 33 (overseas schemes);
(k) regulation 34(4) and (5) and Schedule 2 (registration of mandatory return point operators);
(l) regulation 34(6) and Schedule 3 (return point exemptions);
(m) regulations 38 and 41 and Schedule 4 (voluntary return points and take-back services);
(n) regulation 39 (operation of return points), in so far as it relates to any return point operated by the deposit management organisation immediately before the revocation date;
(o) regulation 43 (collection or acceptance of returnable items from any person), in so far as it relates to any arrangements made by the deposit management organisation and remaining in effect immediately before the revocation date;
(p) regulations 44 to 46 (registers);
(q) regulation 62 (use of amounts received as deposits);
(r) regulation 63 (registration fees for scheme producers), if there is no registration fee requirement in effect immediately before the revocation date or alterations are required to any registration fee requirement following a review under regulation 63(9);
(s) regulation 64 (use of registration fees);
(t) regulation 66 (collection etc. of returnable items);
(u) regulation 67 (handling payments);
(v) regulation 68 (recycling of in-scope material);
(w) regulation 70 (amounts received in connection with arrangements under regulation 68 or 69), in so far as it relates to recycling functions under regulation 69;
(x) regulation 71 (payment of NEA costs);
(y) regulation 73 (co-operation);
(z) regulation 74 (co-operation with other scheme administrators);
(z1) regulation 75 (payments to other scheme administrators);
(z2) regulation 76 (internal review).
(9) In this regulation—
“interim period” means the period—
beginning with the revocation date, and
ending at the end of the day preceding the day on which the next appointment of a person as the deposit management organisation takes effect;
“revocation date” means the date on which the revocation of the outgoing DMO’s appointment takes effect.
81 Collection targets: the deposit management organisation
(1) The deposit management organisation must ensure that the Scheme, together with any reciprocal recycling arrangements, operates so as to ensure that at least the minimum total quantity of refund items (the “collection targets”) is returned to the deposit management organisation.
(2) The collection targets are—
(a) in the calendar year beginning on 1st January 2028—
(i) 70% of all refund items from deposit items supplied by registered scheme producers with a view to final consumption in England;
(ii) 70% of all refund items from deposit items supplied by registered scheme producers with a view to final consumption in Northern Ireland;
(b) in the calendar year beginning on 1st January 2029—
(i) 80% of all refund items from deposit items supplied by registered scheme producers with a view to final consumption in England;
(ii) 80% of all refund items from deposit items supplied by registered scheme producers with a view to final consumption in Northern Ireland;
(c) in each calendar year beginning on or after 1st January 2030—
(i) 90% of all refund items from deposit items supplied by registered scheme producers with a view to final consumption in England;
(ii) 90% of all refund items from deposit items supplied by registered scheme producers with a view to final consumption in Northern Ireland.
(3) For the purposes of paragraph (2)(c)(i) and (ii), the quantity of containers returned must include—
(a) at least 85% of the refund items made wholly or mainly from polyethylene terephthalate (PET) plastic, and
(b) at least 85% of the refund items made wholly or mainly from any other in-scope material.
(4) For the purposes of this regulation, a refund item which is—
(a) subject to reciprocal recycling arrangements, and
(b) returned to a person in Wales or in Scotland in accordance with those arrangements,
is to be treated as returned to the deposit management organisation.
(5) In this regulation “reciprocal recycling arrangements” means—
(a) arrangements made by the deposit management organisation with a Welsh scheme administrator for the recycling of refund items which are returned to scheme collectors in Wales, or
(b) arrangements made by the deposit management organisation with a Scottish scheme administrator for the recycling of refund items which are returned in accordance with the Scottish deposit and return scheme in relation to which the Scottish deposit administrator is exercising functions.
(1) In this Part—
“appropriate authority” means—
the local weights and measures authority, in relation to the ALA provisions as they apply in the authority’s area;
the Environment Agency;
DAERA;
“the CS Table” means the Table in Part 2 of Schedule 6;
“enforcement action” means the exercise of enforcement powers and functions by the national enforcement authorities under this Part.
(2) For the purposes of this Part, “the ALA provisions” are the following provisions of these Regulations—
(a) regulation 23 (requirement to supply items from registered scheme producers);
(b) regulation 24(1)(a) (requirement for deposit items supplied to carry scheme logo);
(c) regulation 24(1)(b) (requirement for deposit items supplied to carry scheme return code);
(d) regulation 24(2) (requirement for scheme multipacks supplied to carry the packaging logo);
(e) regulation 25(1) (restrictions on supply of registered low volume products);
(f) regulation 26(1) and (6) (requirement to provide or display scheme information);
(g) regulation 27(1) (requirement to provide or display registered low volume product information);
(h) regulation 28(1) (scheme retailer: requirement to charge deposit);
(i) regulation 34(1) (requirement to operate a return point);
(j) regulation 36(1) (requirement to display information on premises where no return point is operated);
(k) regulation 40 (requirement to display information at a return point);
(l) regulation 41 (requirements for provision of take-back services);
(m) regulation 42(1) and (5) (requirement to provide or display information about take-back service);
(n) regulation 47(1), (2) and (3) (requirements as to payment of total return amount);
(o) regulation 48 (requirement to retain returnable items);
(p) regulation 49 (requirement for take-back service providers to retain returnable items);
(q) regulation 85(1) (provision of information).
(1) A person who appears suitable to an appropriate authority in England may be authorised in writing by the appropriate authority for the purposes of its functions under these Regulations to exercise the powers of entry and inspection mentioned in paragraph (2).
(2) The powers of entry and inspection are those set out in section 108(4)(a) to (f) and (h) to (ka) of the EA 1995 (powers of enforcing authorities and persons authorised by them).
(3) For the purposes of paragraph (1), section 108(4) of the EA 1995 is to be read as if—
(a) any reference to an authorised person (however expressed) were a reference to a person authorised under paragraph (1);
(b) in section 108(4)(a), the words “(or, in an emergency, at any time and, if need be, by force)” were omitted;
(c) in section 108(4)(f)—
(i) for “articles or substances” there were substituted “containers (within the meaning of regulation 8 of the Deposit Scheme for Drinks Containers (England and Northern Ireland) Regulations 2025)”;
(ii) the words “, and of the air, water or land in, on, or in the vicinity of, the premises” were omitted;
(d) in section 108(4)(h)—
(i) in the words before sub-paragraph (i), for “article or substance as is mentioned in paragraph (g)” there were substituted “container as is mentioned in paragraph (f)”;
(ii) in sub-paragraph (iii), for the words from “an offence” to the end there were substituted “an offence under regulation 86 or 87, or any other proceedings relating to the imposition of a civil sanction under regulation 90, of the Deposit Scheme for Drinks Containers (England and Northern Ireland) Regulations 2025 as those Regulations apply in relation to England”;
(e) in section 108(4)(k)—
(i) after “computerised form” there were inserted “, including any information recorded electronically”;
(ii) in sub-paragraph (i) for the words from “the pollution control enactments” to “he acts” there were substituted “the Deposit Scheme for Drinks Containers (England and Northern Ireland) Regulations 2025 as those Regulations apply in relation to England”;
(f) in section 108(4)(ka)(ii), the words “(other than an article or substance within paragraph (g)” were omitted.
(4) Section 108(6) to (7F) of the EA 1995 applies to the applied enforcement powers as it applies to the powers in section 108(4) and is to be read as if—
(a) any reference to an authorised person (however expressed) were a reference to a person authorised under paragraph (1);
(b) in section 108(6), the words “, or to take heavy equipment on to any premises which are to be entered,” were omitted;
(c) in section 108(6) and (7), the words “Except in an emergency” were omitted;
(d) in section 108(7B), for “the pollution control enactments or flood risk activity enactments” there were substituted “the Deposit Scheme for Drinks Containers (England and Northern Ireland) Regulations 2025 as those Regulations apply in relation to England.”.
(5) Section 108(12), (12A) and (13) of the EA 1995 applies to the applied enforcement powers as it applies in relation to the powers conferred by section 108(4) of the EA 1995.
(6) Paragraphs 2 to 6 of Schedule 18 to the EA 1995 (issue of warrants, exercise of powers, information admissible in evidence, duty to secure premises and compensation) apply to the applied enforcement powers as they apply to the powers conferred by section 108(4) but as if—
(a) any reference to a designated person (however expressed) were a reference to a person authorised under paragraph (1);
(b) any reference to a relevant power were a reference to an applied enforcement power, including any power exercisable by virtue of a warrant under the provisions of the Schedule as applied by this paragraph;
(c) in paragraph 6(1), the reference to a power conferred by section 108(4)(a) or (b) or (5) were a reference to an applied enforcement power;
(d) any reference to “sheriff” were omitted.
(7) In this regulation—
(a) “the EA 1995” means the Environment Act 1995 as it applies in England;
(b) “the applied enforcement powers” means the powers conferred by paragraphs (1) and (2).
(1) A person who appears suitable to DAERA may be authorised in writing by DAERA for the purposes of its functions under these Regulations to exercise the powers of entry and inspection mentioned in paragraph (2).
(2) The powers of entry and inspection are those set out in Article 72(2)(a) to (c), (e), (f) and (h) to (j) of the WCLO 1997.
(3) For this purpose, Article 72 of the WCLO 1997 is to be read as if—
(a) any reference to an authorised person (however expressed) were a reference to a person authorised under paragraph (1);
(b) in Article 72(2)(a), the words “(or, in an emergency, at any time and, if need be, by force)” were omitted;
(c) in Article 72(2)(f)—
(i) for “articles or substances” there were substituted “containers (within the meaning of regulation 8 of the Deposit Scheme for Drinks Containers (England and Northern Ireland) Regulations 2025)”;
(ii) the words “, and of the air, water or land in, on, or in the vicinity of, the premises” were omitted;
(d) in Article 72(2)(h)—
(i) for “article or substance as is mentioned in sub-paragraph (g)” there were substituted “container as is mentioned in paragraph (f)”;
(ii) in sub-paragraph (iii), for the words from “an offence” to the end there were substituted “an offence under regulation 86 or 87, or any other proceedings relating to the imposition of a civil sanction under regulation 90, of the Deposit Scheme for Drinks Containers (England and Northern Ireland) Regulations 2025 as those Regulations apply in relation to Northern Ireland.”;
(e) in Article 72(2)(j)—
(i) after “computerised form” there were inserted “, including any information recorded electronically”;
(ii) in sub-paragraph (i) for the words from “the pollution control” to “he acts” there were substituted “the Deposit Scheme for Drinks Containers (England and Northern Ireland) Regulations 2025 as those Regulations apply in relation to Northern Ireland”;
(f) in Article 72(2)(k), for “this Article” there were substituted “this Article as applied by the Deposit Scheme for Drinks Containers (England and Northern Ireland) Regulations 2025 as those Regulations apply in relation to Northern Ireland”;
(g) after Article 72(2) there were inserted—
(2A) An authorised person must not exercise the powers in sub-paragraphs (2)(f), (h) or (j) without—
(a) the consent of a person entitled to access to material on or accessible from the premises, or
(b) the authority of a warrant under Schedule 4 to this Order.
.
(4) Article 72(4) and (5) of the WCLO 1997 applies to the applied enforcement powers as it applies to the powers in Article 72(2) of the WCLO 1997, but as if—
(a) any reference to an authorised person (however expressed) were to a person authorised under paragraph (1);
(b) in Article 72(4), the words “, or to take heavy equipment on to any premises which are to be entered,” were omitted;
(c) in Article 72(4) and (5), the words “Except in an emergency” were omitted.
(5) Article 72(9) and (10) of the WCLO 1997 applies to the applied enforcement powers as it applies to the powers conferred by Article 72(2) of the WCLO 1997.
(6) Paragraphs 2 to 5 of Schedule 4 to the WCLO 1997 apply to the applied enforcement powers as they apply to the powers conferred by Article 72(2) of the WCLO 1997, but as if—
(a) any reference to an authorised person (however expressed) were a reference to a person authorised under paragraph (1);
(b) any reference to a relevant power were a reference to an applied enforcement power, including any power exercisable by virtue of a warrant under the provisions of the Schedule as applied by this paragraph;
(c) in paragraph 5, the reference to a power conferred by Article 72(2)(a) or (b) or (3) were a reference to the applied enforcement powers and the reference to the enforcing authority under whose authorisation the authorised person acts were a reference to DAERA.
(7) In this regulation—
(a) “the WCLO 1997” means the Waste and Contaminated Land (Northern Ireland) Order 1997;
(b) “the applied enforcement powers” means the powers conferred by paragraphs (1) and (2).
(1) An appropriate authority may, by notice (an “information notice”), require a duty-holder to provide information which the enforcement authority requires for the purposes of carrying out its functions under, or in connection with, the Scheme.
(2) An information notice under paragraph (1)—
(a) must be in writing;
(b) may be given to—
(i) a specified duty-holder;
(ii) duty-holders of a specified description;
(iii) all duty-holders;
(c) may require the information to be provided in a specified form or manner;
(d) may require the information to be provided—
(i) by a specified date or at a specified time, and
(ii) in respect of a specified period.
(3) A duty-holder who is given a notice under paragraph (1) must comply with it.
(4) In this regulation—
“duty-holder” means—
a scheme producer,
a scheme supplier,
a scheme collector, or
the deposit management organisation;
“specified” means specified in a notice under paragraph (1).
(1) A person who intentionally obstructs, or fails to assist, an authorised person, in the carrying out of their enforcement functions is guilty of an offence.
(2) An offence under paragraph (1) is punishable—
(a) on conviction on indictment, with a fine;
(b) on summary conviction—
(i) in England, with a fine;
(ii) in Northern Ireland, with a fine not exceeding the statutory maximum.
(3) In this regulation—
“authorised person” means a person authorised under regulation 83(1) or 84(1);
“enforcement functions”, in relation to an authorised person, means the powers which that person is authorised to exercise under regulation 83 or 84.
(1) A person who fails to comply with a civil sanction imposed under regulation 90 is guilty of an offence.
(2) An offence under paragraph (1) is punishable—
(a) on conviction on indictment, with a fine;
(b) on summary conviction—
(i) in England, with a fine;
(ii) in Northern Ireland, with a fine not exceeding the statutory maximum.
(1) If a relevant offence—
(a) is committed by a body corporate, a Scottish partnership or other unincorporated association, and
(b) is proved to have been committed with the consent or connivance, or to be attributable only to neglect on the part of—
(i) any relevant individual, or
(ii) an individual purporting to act in the capacity of a relevant individual,
the individual, as well as the body corporate, Scottish partnership or other unincorporated association, is guilty of the offence and liable to be proceeded against and punished accordingly.
(2) Where a person (“A”) commits a relevant offence due to the act or default of some other person (“B”), B is also guilty of the offence and liable to be proceeded against and punished accordingly, whether or not proceedings for the offence are taken against A.
(3) In this regulation—
“relevant individual”—
in relation to a body corporate, means—
a director, member of the committee of management, chief executive, manager, secretary or other similar officer of the body, or
where the affairs of the body corporate are managed by its members, a member;
in relation to a limited liability partnership, means a member;
in relation to a relevant partnership, means a partner;
in relation to an unincorporated association (other than a relevant partnership), means a person who is concerned in the management and control of the association;
“relevant offence” means an offence under regulation 86 or 87;
“relevant partnership” means a partnership, other than a limited liability partnership, and includes a Scottish partnership.
In this Chapter “enforcement authority” means—
(a) the local weights and measures authority in relation to—
(i) an offence under regulation 86, where the person obstructed or not assisted was authorised by an authority under regulation 83;
(ii) a civil sanction specified in the CS Table for—
(aa) any contravention of an ALA provision in the area of the local weights and measures authority, or
(bb) any contravention of regulation 85(3) in relation to a notice given by the authority, or the provision of false or misleading information in response to such a notice;
(b) the Environment Agency in relation to—
(i) an offence under regulation 86, where the person obstructed or not assisted was authorised by the Agency under regulation 83;
(ii) a civil sanction specified in the CS Table for—
(aa) any contravention of a provision other than an ALA provision in England,
(bb) any contravention of regulation 85(3) in relation to a notice given by the Agency, or the provision of false or misleading information in response to such a notice, or
(cc) the provision of false or misleading information in response to a notice given by the deposit management organisation or under any provision of Schedule 2, 3 or 4;
(c) DAERA in relation to—
(i) an offence under regulation 86, where the person obstructed or not assisted was authorised by DAERA under regulation 84;
(ii) a civil sanction specified in the CS Table for—
(aa) any contravention of a provision in Northern Ireland,
(bb) any contravention of regulation 85(3) in relation to a notice given by DAERA or the provision of false or misleading information in response to such a notice, or
(cc) the provision of false or misleading information in response to a notice given by the deposit management organisation or under any provision of Schedule 2, 3 or 4.
(1) Where an enforcement authority is satisfied on the balance of probabilities that there has been an act, or a contravention of any requirement, specified in the first column of the CS Table and the corresponding entry for that act or requirement states “yes”, the enforcement authority may, in relation to that act or contravention—
(a) impose a fixed monetary penalty in accordance with Part 3 of Schedule 6;
(b) impose a variable monetary penalty in accordance with Part 4 of Schedule 6;
(c) impose a compliance notice in accordance with Part 5 of Schedule 6;
(d) accept an enforcement undertaking in accordance with Part 6 of Schedule 6.
(2) An enforcement authority may recover a fixed monetary penalty or variable monetary penalty as a civil debt or on the order of a court, as if payable under a court order.
(1) An enforcement authority may serve a notice (an “enforcement cost recovery notice”) on a person on whom a variable monetary penalty notice in accordance with Part 4 of Schedule 6, or a compliance notice in accordance with Part 5 of Schedule 6, has been served requiring that person to pay the costs incurred by the enforcement authority in relation to the imposition of that notice up to the time of its imposition.
(2) The costs mentioned in paragraph (1) include in particular—
(a) investigation costs;
(b) administration costs;
(c) the costs of obtaining expert advice (including legal advice).
(3) An enforcement cost recovery notice must specify—
(a) the amount required to be paid,
(b) how payment must be made,
(c) the period within which payment must be made, which must be not less than 28 days beginning with the date on which the notice is served,
(d) the grounds for serving the notice,
(e) the right of appeal, and
(f) the consequences of failure to comply with the notice in the specified period.
(4) A person on whom an enforcement costs recovery notice is served may require the enforcement authority to provide a detailed breakdown of the amount.
(5) A person required to pay costs is not liable to pay the proportion of those costs which are shown by the person to have been unnecessarily incurred.
(6) A person required to pay costs may appeal against—
(a) the decision of the enforcement authority to impose the requirement to pay costs;
(b) the decision of the enforcement authority as to the amount of those costs.
(1) The Environment Agency must pay any penalty and costs it receives under this Part into the Consolidated Fund.
(2) DAERA must pay any penalty it receives under this Part into the Consolidated Fund of Northern Ireland.
(3) A local weights and measures authority may retain any penalty and any costs that it receives under this Part.
An enforcement authority may at any time, in writing—
(a) withdraw a fixed penalty notice;
(b) withdraw a variable monetary penalty notice or an enforcement costs recovery notice;
(c) reduce the amount specified in a variable monetary penalty notice or an enforcement costs recovery notice;
(d) withdraw a compliance notice;
(e) amend the steps specified in a compliance notice so as to reduce the amount of work necessary to comply with the notice;
(f) vary a notice so as to extend the time in which to pay any penalty.
94 Publication of enforcement action in public register
(1) Each national enforcement authority must maintain a register (a “public register”) containing information relating to any enforcement action taken.
(2) The public register must contain details of—
(a) any conviction for an offence under regulation 86, 87 or 88;
(b) any civil sanction imposed under regulation 90 provided that—
(i) the time for lodging any appeal in respect of the civil sanction has expired, or
(ii) any appeal in relation to the civil sanction has been finally disposed of;
(c) any enforcement undertaking accepted in accordance with Part 6 of Schedule 6;
(d) any enforcement cost recovery notice served under regulation 91.
(3) Information relating to civil sanctions must be removed from the public register within a period no greater than 4 years after it was entered on the register.
(4) Nothing in this regulation requires the public register to contain information relating to criminal proceedings, or anything which is the subject matter of criminal proceedings, before those proceedings are finally disposed of.
(5) In paragraph (4), “criminal proceedings” includes prospective criminal proceedings.
(6) Each national enforcement authority must enter information on the public register, subject to paragraph (4), as soon as reasonably practicable after it comes within that authority’s possession.
(7) Each national enforcement authority must—
(a) make the public register available for inspection by members of the public at all reasonable times, free of charge, and
(b) permit members of the public to obtain copies of entries on the public register on payment of a reasonable charge.
(8) The public register may be kept in any form but shall be indexed or arranged so that members of the public can readily trace information contained in it.
Each national enforcement authority must remove details of any conviction from the public register once the rehabilitation period for a sentence has ended in accordance with—
(a) section 5 of the Rehabilitation of Offenders Act 1974 (rehabilitation periods for particular sentences) as it applies in England;
(b) Article 3 of the Rehabilitation of Offenders (Northern Ireland) Order 1978.
In this Part—
“appeal body” means—
in relation to England or an appeal under paragraph 8 of Schedule 5, the First-tier Tribunal;
in relation to Northern Ireland, the appeals commission;
“appeals commission” means the planning appeals commission provided for in accordance with section 203 of the Planning Act (Northern Ireland) 2011;
“enforcement authority” has the meaning given in regulation 89.
(1) A person may appeal to the appeal body against—
(a) a decision to refuse the person’s application for appointment as the deposit management organisation under paragraph 2 of Schedule 5,
(b) a decision to revoke the person’s appointment as the deposit management organisation under paragraph 4 of Schedule 5, or
(c) a civil sanction imposed under a notice, or enforcement cost recovery notice, issued under Part 9 which is subject to an appeal.
(2) An appeal under paragraph (1) may only be brought on the grounds that the person making the decision made a material mistake of law.
(1) Where an appeal is made to the appeal body under regulation 97—
(a) subject to sub-paragraph (b) and regulation 99, the decision which is the subject of the appeal, including a decision to appoint a person other than the person who is making the appeal to be the deposit management organisation, has effect until the appeal is finally determined or withdrawn, unless the appeal body determines otherwise;
(b) any civil sanction imposed under a notice (other than a compliance notice), or an enforcement cost recovery notice issued under Part 9, which is subject to an appeal is suspended until the appeal is finally determined or withdrawn.
(2) The appeal body may, in relation to the decision or notice which is the subject of the appeal—
(a) quash the decision or withdraw the notice (whether in whole or in part);
(b) confirm the decision or notice (whether in whole or in part);
(c) vary the decision or notice (whether in whole or in part);
(d) take any steps that the Secretary of State or the appropriate authority as defined in regulation 82(1) could take in relation to the matters giving rise to the decision or the act or omission giving rise to the notice;
(e) remit the decision, including any decision whether to confirm any matter relating to the decision or to confirm the notice, to the Secretary of State or the appropriate authority.
(3) Where an appeal is made to the appeals commission, if the appellant so requests or the appeals commission so decides, the appeal must be in the form of a hearing.
(4) Schedule 7 makes further provision about the procedure on an appeal.
99 Status pending appeal: decision to revoke a person’s appointment as the deposit management organisation
(1) In the case of an appeal against a decision to revoke a person’s appointment as the deposit management organisation, the decision is ineffective until the appeal is granted, dismissed or withdrawn.
(2) If the appeal is dismissed or withdrawn, the decision becomes effective from the end of the day on which the appeal is dismissed or withdrawn.
(1) Where, following an appeal under this Part, the appeal body determines that a decision of a decision maker is to be varied or remitted to the decision maker, the decision maker must—
(a) comply with any directions given to it by the appeal body, and
(b) take any steps necessary to give effect to the appeal body’s determination.
(2) In this regulation “decision maker” means—
(a) the Secretary of State, or
(b) the enforcement authority.
Each national enforcement authority must consult on, and where satisfied may approve, any revision of a deposit management organisation’s operational plan in accordance with regulation 52.
103 Co-operation with deposit management organisations
Each national enforcement authority must, under regulation 73, enter into arrangements with deposit management organisations for securing co-operation and the exchange of information for the carrying out of any of their functions other than any relevant enforcement functions.
104 Annual reports from deposit management organisations
The national enforcement authorities—
(a) must consider the annual reports submitted by a deposit management organisation under regulation 53;
(b) may request such additional reports from the deposit management organisation as the national enforcement authorities consider necessary.
Each national enforcement authority must monitor—
(a) compliance by registered scheme producers with the obligations of a registered scheme producer under these Regulations;
(b) compliance by the deposit management organisation with the obligations imposed on the deposit management organisation under these Regulations;
(c) compliance by scheme retailers with the obligations imposed on scheme retailers under these Regulations;
(d) the registration of scheme producers;
(e) the registration of scheme retailers;
(f) the accuracy of the information provided by registered scheme producers;
(g) the accuracy of the information provided by scheme retailers;
(h) the accuracy of the information provided by the deposit management organisation.
(1) Each national enforcement authority must no later than 1st September 2027 and, in each subsequent year no later than 31st December of that year, provide to the Secretary of State or DAERA, as appropriate, a report setting out its proposed monitoring plan.
(2) Each national enforcement authority must no later than 30th September 2027 and, in each subsequent year no later than 31st December of that year, publish its proposed monitoring plan.
(3) The monitoring plan referred to in paragraph (1) must give—
(a) details of the authority’s policy for the following calendar year in relation to performing its functions under regulation 105;
(b) details of the monitoring the authority proposes to carry out during the following calendar year including its monitoring relating to registered scheme producers and to deposit management organisations.
(4) Each national enforcement authority must no later than 31st March 2029 and, in each subsequent year no later than 31st March of that year, publish a report setting out—
(a) the monitoring and enforcement activities it has undertaken during the year commencing with 1st January of the preceding calendar year and ending on 31st December of that year, and
(b) the extent to which by those activities the authority has implemented its monitoring plan for the year reported on, including a description of its performance against the monitoring plan.
Where an appeal body under regulation 100 determines that a decision of a national enforcement authority is to be varied or remitted to that authority, the national enforcement authority must comply with any directions given to it by the appeal body, and take any steps necessary to give effect to the appeal body’s determination.
(1) The Secretary of State must, from time to time—
(a) carry out a review of the regulatory provisions contained in these Regulations,
(b) set out the conclusions of the review in a report, and
(c) publish the report.
(2) Section 30(4) of the Small Business, Enterprise and Employment Act 2015 requires that the report must in particular—
(a) set out the objectives intended to be achieved by the regulatory regime established by the regulatory provisions referred to in paragraph (1)(a),
(b) assess the extent to which those objectives are achieved, and
(c) assess whether those objectives remain appropriate, and if so, the extent to which they could be achieved by a system which imposes less onerous regulatory provision.
(3) The first report must be published before the end of the period of five years beginning with 1st October 2027.
(4) Subsequent reports must be published at intervals not exceeding five years.
(5) In this regulation “regulatory provision” has the same meaning as in sections 28 to 32 of the Small Business, Enterprise and Employment Act 2015 (see section 32(4) of that Act).
Schedule 1 Scheme producers: registration with the deposit management organisation
Regulations 11 and 15
Part 1 Registration
Interpretation of Part 1
1 (1) In this Part—
“applicant” means a person making an application for registration with the deposit management organisation as a scheme producer;
“registration application” means an application for registration with the deposit management organisation as a scheme producer;
“registration information” has the meaning given in sub-paragraph (2).
(2) “Registration information”, in relation to an applicant, means—
(a) the applicant’s name and business name (if different);
(b) the address and telephone number of the applicant’s registered or principal office;
(c) an address for service, if different from the address mentioned in paragraph (b);
(d) if the applicant is a company, the company registration number;
(e) if the applicant is a partnership, the names of all of the partners;
(f) the name and contact details (including an email address where available) of the person appointed as the point of contact for the applicant in relation to the Scheme;
(g) the applicant’s SIC code;
(h) a statement as to whether or not the applicant is a brand owner;
(i) a statement as to whether or not the applicant is an importer;
(j) a statement as to whether or not the applicant fills to order;
(k) if the applicant is a brand owner or importer, the brand name of each drink for which the applicant is the brand owner or importer;
(l) the total number of deposit items which the applicant expects to supply in the relevant area in the period of 12 months following their registration with the deposit management organisation and in each subsequent 12 month period or as the deposit management organisation directs, together with—
(i) information about the in-scope materials from which the applicant expects the in-scope bottles and cans to be wholly or mainly made,
(ii) the expected capacity of each type of those bottles and cans, and
(iii) if the applicant expects any of the deposit items to be made available for supply in scheme multipacks, the expected size of those multipacks.
(3) For the purposes of sub-paragraph (2)(g), “SIC code” means a code included in the UK Standard Industrial Classification of Economic Activities 2007 (SIC 2007).
Registration application
2 (1) A person seeking registration with the deposit management organisation as a scheme producer must make a registration application to the deposit management organisation before 1st October 2027.
(2) A registration application must—
(a) be made in such form and manner as the deposit management organisation directs,
(b) contain the registration information, and
(c) contain such other information (if any) as the deposit management organisation may direct in compliance with sub-paragraph (4).
(3) Where the applicant is a partnership, the registration application must, if made by only one partner, be made by that partner on behalf of all of the partners.
(4) The deposit management organisation may only direct an applicant to provide information in their registration application which the deposit management organisation reasonably requires for the purposes of its functions under, or in connection with, the Scheme.
(5) Where a person becomes a scheme producer after the coming into force of regulation 11, the scheme producer must make a registration application within such period as the deposit management organisation may direct.
Decision on registration application
3 (1) The deposit management organisation—
(a) may make a decision on a registration application before 1st October 2027, and
(b) must grant the registration application and register the applicant as a scheme producer, if the deposit management organisation is satisfied that the registration application meets the requirements of paragraph 2(2), or
(c) otherwise, must refuse the registration application.
(2) The deposit management organisation must notify the applicant—
(a) of its decision concerning the registration application,
(b) if the application is granted, of the date on which the registration takes effect, and
(c) if the registration application is refused, of the reasons for that decision.
(3) A notification under sub-paragraph (2) must be in writing.
(4) The deposit management organisation must complete the steps required by sub-paragraphs (1) and (2) within a reasonable period of receiving the registration application.
Requirement to notify the deposit management organisation of changes in registration information
4 (1) A registered scheme producer must notify the deposit management organisation of any change to any of the relevant information.
(2) In this paragraph “relevant information” means—
(a) the registration information, and
(b) any other information that the applicant was directed to include in their registration application by the deposit management organisation.
Part 2 Cancellation of registration
Cancellation of registration on the request of the registered person
5 (1) The deposit management organisation must cancel a person’s registration as a scheme producer if—
(a) that person notifies the deposit management organisation that they have ceased to be a scheme producer, and
(b) the deposit management organisation is satisfied that that is the case.
(2) Where the deposit management organisation cancels a person’s registration as a scheme producer following a notification under sub-paragraph (1), the deposit management organisation must give the person a notice, which—
(a) states that the person’s registration as a scheme producer has been cancelled, and
(b) specifies the date on which that cancellation takes effect.
Deposit management organisation’s power to cancel registration
6 (1) The deposit management organisation may cancel a person’s registration as a scheme producer if the deposit management organisation is satisfied, without a notification having been given under paragraph 5, that the person has ceased to be a scheme producer.
(2) Before cancelling a person’s registration as a scheme producer in accordance with sub-paragraph (1), the deposit management organisation must give that person a notice (a “proposal notice”).
(3) A proposal notice must be in writing and must—
(a) state why the deposit management organisation is proposing to cancel a person’s registration as a scheme producer,
(b) specify the date on which the cancellation of the person’s registration as a scheme producer will take effect,
(c) state that the person to whom the notice is given may make representations to the deposit management organisation about the proposal, and
(d) specify the form and manner in which such representations are to be made and the period within which they must be made, which must not be less than 28 days beginning with the date on which the person receives the proposal notice.
(4) The deposit management organisation—
(a) must consider any representations made by the relevant person before the date specified in the proposal notice, in accordance with sub-paragraph (3)(b), and
(b) must accept a representation made by that person that the person is a scheme producer.
(5) The deposit management organisation must notify that person in writing of its decision.
(6) Where the deposit management organisation decides to proceed with the cancellation of the person’s registration as a scheme producer, the deposit management organisation must give that person a notice (a “cancellation notice”).
(7) A cancellation notice must be in writing and must—
(a) state that the person’s registration as a scheme producer is being cancelled and the reasons why, and
(b) specify the date on which the cancellation of the registration will take effect, and
(c) state that the person has a right under regulation 76 to ask the deposit management organisation to review the decision.
(8) If the person exercises the right referred to in sub-paragraph (7)(c), the cancellation notice will not take effect pending the review of the decision.
(9) The date specified for the purposes of sub-paragraph (7)(b) must not be before the end of the period of 28 days beginning with the date on which the person receives the cancellation notice.
Schedule 2 Registration of mandatory return point operators
Regulation 34(5)
Interpretation
1 In this Schedule—
“application information”, in relation to an in-scope retailer, means—
the retailer’s name, and if different, business name,
the address and telephone number of the retailer’s registered or principal office,
an address for service, if different from the address mentioned in sub-paragraph (b),
if the retailer is a company, the company registration number,
if the retailer is a partnership, the names of all of the partners,
the name and contact details (including an email address where available) of the person appointed as the point of contact for the retailer in relation to the Scheme, and
the address of each of the MRP premises in respect of which the retailer is required to operate a return point in accordance with regulation 34(1);
“registration application” means an application for registration with the deposit management organisation as a mandatory return point operator.
Application for registration
2 (1) An in-scope retailer must make a registration application to the deposit management organisation before 1st October 2027.
(2) A registration application must—
(a) be made in such form and manner as the deposit management organisation directs, and
(b) contain the application information, and
(c) contain such other information (if any) as the deposit management organisation may direct.
(3) Where the in-scope retailer is a partnership, the registration application must, if made by only one partner, be made by that partner on behalf of all of the partners.
(4) Where a person becomes an in-scope retailer after the coming into force of regulation 34, the retailer must make a registration application within such period as the deposit management organisation may direct.
Application for registration: decision
3 (1) Where the deposit management organisation receives a registration application which complies with paragraph 2(2), the deposit management organisation must, within a reasonable period of receiving the application—
(a) register the in-scope retailer in relation to each of the MRP premises in respect of which the retailer is required to operate a return point, and
(b) notify the in-scope retailer in writing that the retailer has been registered as a mandatory return point operator.
(2) The deposit management organisation may register the in-scope retailer under sub-paragraph (1) before 1st October 2027.
Cancellation of registration
4 (1) The deposit management organisation must—
(a) cancel an in-scope retailer’s registration as a mandatory return point operator in respect of any particular MRP premises, if—
(i) the retailer notifies the deposit management organisation that they no longer supply deposit items at or on those premises and the deposit management organisation is satisfied that that is the case, or
(ii) the deposit management organisation grants a return point exemption in respect of those premises;
(b) cancel a person’s registration as a mandatory return point operator, if—
(i) the person notifies the deposit management organisation that they are no longer an in-scope retailer and the deposit management organisation is satisfied that that is the case, or
(ii) the deposit management organisation grants a return point exemption in respect of all of the in-scope retailer’s premises which are MRP premises.
(2) Where the deposit management organisation cancels a person’s registration as a mandatory return point operator following a notification under sub-paragraph (1), the deposit management organisation must give the person a notice which—
(a) states that the person’s registration as a mandatory return point operator has been cancelled, and
(b) specifies the date on which that cancellation takes effect.
(3) The deposit management organisation may—
(a) cancel an in-scope retailer’s registration as a mandatory return point operator in respect of any particular premises if the deposit management organisation is satisfied, without a notification having been given under sub-paragraph (1)(a)(i) that the retailer no longer supplies deposit items at or on those premises;
(b) cancel a person’s registration as a mandatory return point operator, if the deposit management organisation is satisfied, without a notification having been given under sub-paragraph (1)(b)(i), that the person is no longer an in-scope retailer.
(4) Before cancelling a person’s registration as a mandatory return point operator in accordance with sub-paragraph (3), the deposit management organisation must give that person a notice (a “proposal notice”).
(5) A proposal notice must be in writing and must—
(a) state why the deposit management organisation is proposing to cancel the person’s registration as a mandatory return point operator,
(b) specify the date on which the cancellation of the person’s registration as a mandatory return point operator will take effect,
(c) state that the person to whom the notice is given may make representations to the deposit management organisation about the proposal, and
(d) specify the form and manner in which such representations are to be made and the period within which they must be made, which must not be less than 28 days beginning with the date on which the person receives the proposal notice.
(6) The deposit management organisation—
(a) must consider any representations made by the relevant person before the date specified in the proposal notice in accordance with sub-paragraph (5)(b);
(b) may reject any representations made by that person after that date.
(7) The deposit management organisation must notify that person in writing of its decision.
(8) Where the deposit management organisation decides to proceed with the cancellation of the person’s registration as a mandatory return point operator, the deposit management organisation must give that person a notice (a “cancellation notice”).
(9) A cancellation notice must be in writing and must—
(a) state that the persons’ registration as a mandatory return point operator is being cancelled and the reasons why, and
(b) specify the date on which the cancellation of the registration will take effect, and
(c) state that the person has a right under regulation 76 to ask the deposit management organisation to review the decision.
(10) If the person exercises the right referred to in sub-paragraph (9)(c), the cancellation notice will not take effect pending the review of the decision.
(11) The date specified for the purposes of sub-paragraph (9)(b) must not be before the end of the period of 28 days beginning with the date on which the person received the cancellation notice.
Regulation 34(6)
Interpretation of Schedule 3
1 (1) In this Schedule—
“exemption application” means an application made under paragraph 2(1);
“exemption holder”, in relation to a return point exemption, means an MRP retailer to whom the return point exemption has, for the time being, been granted;
“MRP retailer” means a scheme retailer whose business consists wholly or mainly of the sale or supply of groceries to scheme consumers;
“renewal application” means an application under paragraph 6(3).
(2) For the purposes of this Schedule—
(a) an exemption application is made on the proximity grounds if it is made on the grounds that—
(i) there is one or more alternative return points located within reasonable proximity to the premises specified in the application, and
(ii) if the exemption were granted, it would not affect the deposit management organisation’s ability to meet the collection targets (see regulation 81);
(b) an exemption application is made on the premises grounds if it is made on the grounds that the location, layout, size, design, or construction of the specified premises does not permit, or does not easily permit, or cannot reasonably be altered to permit, the operation of a return point in respect of those premises.
Applications for return point exemptions
2 (1) An in-scope retailer may apply before or after 1st October 2027 to the deposit management organisation for a return point exemption in respect of the premises in the exemption application.
(2) An exemption application must be made on either the proximity grounds or the premises grounds.
(3) An exemption application must—
(a) be made in such form and manner as may be directed by the deposit management organisation,
(b) contain the application information, and
(c) contain such other information (if any) as the deposit management organisation may direct.
(4) In this paragraph—
“the application information” means—
if an exemption application is made on the proximity grounds—
information about the size of the applicant, which may include information about the—
floor area of the specified premises;
number of employees or other persons working in the specified premises;
annual profit or turnover of the applicant’s business;
information about the alternative return point or points which are located in reasonable proximity to the specified premises, and
confirmation that the operator of each of those return points has been consulted about the retailer’s application for a return point exemption, and none of them has objected to the potential increase in the number of returnable items likely to be returned to their return point if the return point exemption is granted;
any further information the applicant considers may be relevant;
if an exemption application is made on the premises grounds, information which is sufficient to demonstrate that the location, layout, size, design or construction of the specified premises does not permit, does not easily permit, or, as the case may be, cannot easily be altered to permit the operation of a return point in respect of those premises.
Decision on applications for return point exemptions
3 (1) Where the deposit management organisation receives, whether before or after 1st October 2027, an exemption application from an in-scope retailer (“the applicant”), it must, within a reasonable time—
(a) consider the application information supplied by the applicant under paragraph 2 of this Schedule, and
(b) in making a decision on the exemption application, have regard to all relevant factors including—
(i) the number of applications for exemption made in the proximity of the applicant;
(ii) the decisions taken with regard to such other applications;
(iii) any representations made by members of the public, or by groups representing sections of the public, regarding exemptions from the requirement to operate a return point.
(2) The deposit management organisation must—
(a) subject to sub-paragraph (3), decide whether or not to grant the return point exemption, and
(b) give a notice regarding its decision to the applicant.
(3) A notice under sub-paragraph (2) must be in writing, and—
(a) if the deposit management organisation grants the exemption—
(i) specify the premises in respect of which the exemption is granted,
(ii) specify the date on which the exemption will take effect, and
(iii) include a statement that, unless the exemption is revoked or renewed, it will expire at the end of the period of three years beginning with that date;
(b) if the deposit management organisation refuses the exemption—
(i) state the reasons for that decision, and
(ii) state that the in-scope retailer has a right under regulation 76 to ask the deposit management organisation to review its decision.
Effect of making an application for a return point exemption: applications ongoing on 1st October 2027
4 (1) This paragraph applies where—
(a) an in-scope retailer makes an exemption application before 1st October 2027, and
(b) the deposit management organisation has not made a decision on that application by the end of 30th September 2027.
(2) Irrespective of the final outcome of the exemption application, the in-scope retailer is not required to operate a return point in respect of the premises specified in the exemption application during the period—
(a) beginning with 1st October 2027, and
(b) ending—
(i) if the return point exemption is granted, immediately before the exemption takes effect;
(ii) if the return point exemption is refused and the retailer has asked the deposit management organisation to review its decision under regulation 76, at the end of the period during which the review is carried out;
(iii) if the return point exemption is refused and the retailer has not asked the deposit management organisation to review its decision under regulation 76, at the end of the period within which the retailer could have asked the deposit management organisation to review its decision under regulation 76.
Effect of making an application for a return point exemption: person becoming an in-scope retailer on or after 1st October 2027
5 (1) This paragraph applies where a person who becomes an in-scope retailer on or after 1st October 2027 (a “new retailer”) makes their first exemption application.
(2) The new retailer is not required to operate a return point in respect of the premises specified in the exemption application during the period—
(a) beginning with the day on which the exemption application is received, and
(b) ending—
(i) if the return point exemption is granted, immediately before the exemption takes effect;
(ii) if the return point exemption is refused and the new retailer has asked the deposit management organisation to review its decision under regulation 76, at the end of the period during which the review is carried out;
(iii) if the return point exemption is refused and the new retailer has not asked the deposit management organisation to review its decision under regulation 76, at the end of the period within which the new retailer could have asked the deposit management organisation to review its decision under regulation 76.
Duration, and renewal, of a return point exemption
6 (1) A return point exemption—
(a) continues in force for a period of three years beginning with the date specified for the purposes of paragraph 3(3)(a)(ii);
(b) may be renewed by the deposit management organisation on one or more occasions.
(2) A return point exemption must not on any occasion be renewed for a period of more than three years.
(3) An exemption holder may apply for the return point exemption to be renewed at any time before the exemption expires.
(4) The deposit management organisation may only renew a return point exemption if—
(a) a renewal application is made by the exemption holder, and
(b) the grounds on which the exemption was originally granted continue to apply.
(5) A renewal application must—
(a) be made in such form and manner as the deposit management organisation may direct,
(b) contain the exemption grounds information, and
(c) contain such other information (if any) as the deposit management organisation may direct.
(6) In sub-paragraph (5) “the exemption grounds information” means—
(a) if the exemption was granted on the proximity grounds—
(i) information about the alternative return point or points which are located in reasonable proximity to the specified premises, and
(ii) confirmation that the operator of each of those return points has been consulted about the retailer’s application for a return point exemption, and each of those operators has agreed to continue to accept returnable items which could otherwise have been returned to the retailer making the renewal application;
(b) if the exemption was granted on the premises grounds, information which is sufficient to demonstrate that the location, layout, size, design or construction of the specified premises still does not permit, does not easily permit, or, as the case may be, cannot easily be altered to permit, the operation of a return point in respect of those premises.
(7) Where the deposit management organisation receives a renewal application, it must, within a reasonable period of receiving the application—
(a) decide whether or not to renew the relevant return point exemption, and
(b) notify the exemption holder of its decision.
(8) A notice under sub-paragraph (7)(b) must be in writing and—
(a) if the deposit management organisation renews the return point exemption—
(i) specify the further period for which the exemption is to continue in force, and
(ii) specify the date at the end of which the return point exemption will expire unless it is renewed or revoked;
(b) if the deposit management organisation decides not to renew the return point exemption—
(i) state the reasons for that decision, and
(ii) state that the in-scope retailer has a right under regulation 76 to ask the deposit management organisation to review its decision.
(9) But this paragraph is subject to paragraphs 8 and 9.
Duty to notify the deposit management organisation of a relevant change of circumstances
7 (1) An exemption holder must notify the deposit management organisation of any change of circumstances relevant to the grounds on which the relevant return point exemption was granted or, as the case may be, renewed.
(2) A notice under sub-paragraph (1) must be given to the deposit management organisation within the period of 28 days beginning with the day on which the change occurs.
Revocation of a return point exemption at the request of the exemption holder
8 (1) An exemption holder may request that any return point exemption granted to them be revoked.
(2) A request under sub-paragraph (1) must be made in such form and manner as the deposit management organisation may direct.
(3) Where the deposit management organisation receives a request under this paragraph, the deposit management organisation must—
(a) revoke the relevant return point exemption, and
(b) notify the exemption holder, in writing, of the date on which the revocation of the return point exemption takes effect.
Revocation of a return point exemption on initiative of the deposit management organisation
9 (1) The deposit management organisation may revoke a return point exemption if the deposit management organisation is satisfied that—
(a) there has been a change of circumstances relevant to the grounds on which the exemption was granted, or
(b) if the exemption was granted on the proximity grounds, the continuing operation of the exemption will mean that there are scheme consumers who no longer have reasonable access to a return point.
(2) Where the deposit management organisation proposes to revoke a return point exemption under sub-paragraph (1), the deposit management organisation must give the exemption holder a notice (a “proposal notice”).
(3) A proposal notice must be in writing and must—
(a) state the reasons for which the deposit management organisation is proposing to revoke the return point exemption,
(b) specify the day at the end of which the return point exemption will cease to have effect, if the proposal is upheld, and
(c) specify—
(i) the form and manner in which any representations are to be made to the deposit management organisation about the proposal, and
(ii) the period within which any such representations must be made, which must not be less than 28 days beginning with the date on which the person receives the proposal notice.
(4) The deposit management organisation—
(a) must consider any representations made to it in the specified form and manner and by the specified date;
(b) may reject any representations that are made otherwise than in the specified form and manner or after the specified date (or both).
(5) The deposit management organisation must notify the exemption holder in writing of its decision.
(6) Where the deposit management organisation decides to proceed with the revocation of the relevant return point exemption, the deposit management organisation must give the exemption holder a notice (a “revocation notice”).
(7) A revocation notice must be in writing and must—
(a) state that the relevant return point exemption is being revoked, and the reasons why, and
(b) specify the day at the end of which the return point exemption will cease to have effect, and
(c) state that the exemption holder has the right under regulation 76 to ask the deposit management organisation to review its decision.
(8) A notice under sub-paragraph (5), together with any revocation notice, must be given before the end of the period of seven days beginning with the day on which the deposit management organisation makes its decision.
(9) If the person exercises the right referred to in sub-paragraph (7)(c), the revocation notice will not take effect pending the review of the decision.
(10) The day specified for the purposes of sub-paragraph (7)(b) must not be before the end of the period of 28 days beginning with the date on which the person receives the revocation notice.
Schedule 4 Voluntary operation of return points and provision of take-back services
Regulations 38 and 41
Part 1 Introductory
Interpretation of Schedule 4
1 In this Schedule—
“applicant information” means—
the name of the person making the application and, if different, their business name,
the address and telephone number for the person’s registered or principal office,
an address for service if different from the address mentioned in paragraph (b),
where the person making the application is a company, the company registration number,
where the person making the application is a partnership, the names of all of the partners, and
the name and contact details (including an email address where available) of the person appointed as the point of contact in connection with the application;
“notice” means a notice in writing;
“return point authorisation information” means—
the address of the premises at or on which it is proposed to operate a return point,
information about the accessibility of the return point, including—
its proposed location,
the access routes to it, and
its proposed hours of operation,
the type of return point that the person making the application proposes to operate, and
information which demonstrates—
that the person making the application has sufficient resources to set up and operate the return point for a period of at least 12 months,
the number of returnable items that the person making the application estimates will be returned to the return point each month, and the basis for that estimate, and
how the person making the application intends to manage the expected volume of returns of returnable items;
“take-back service authorisation information” means information which demonstrates—
that the scheme retailer applying for authorisation has sufficient resources to set up and operate the proposed take-back service for at least 12 months,
the number of returnable items that the scheme retailer estimates will be collected during each month and the basis for that estimate, and
how the scheme retailer intends to manage the expected volume of returns of returnable items.
Part 2 Application for authorisation to operate a return point
Application for authorisation to operate a return point at or on any in-scope premises
2 (1) A scheme supplier may apply to the deposit management organisation to operate a return point at or on an in-scope premises.
(2) A groceries retailer which is exempt from the requirement to operate a return point under regulation 35 (“exempt groceries retailer”) may apply to the deposit management organisation to operate a return point at or on an in-scope premises.
(3) An application under this paragraph must—
(a) be made in such form and manner as the deposit management organisation may direct, and
(b) contain—
(i) the applicant information,
(ii) the return point authorisation information, and
(iii) such other information (if any) as the deposit management organisation may direct.
(4) Where the scheme supplier or the exempt groceries retailer is a partnership, the application must be made by one of the partners on behalf of all of the partners.
Decision on application
3 (1) Where the deposit management organisation receives an application under paragraph 2, it must, within a reasonable period of receiving the application—
(a) decide whether to grant or refuse the application, and
(b) notify the applicant of its decision.
(2) The deposit management organisation may grant or refuse the application under sub-paragraph (1)(a) before 1st October 2027.
(3) A notice under sub-paragraph (1)(b) must—
(a) where the deposit management organisation grants the application, specify the date on which the authorisation takes effect;
(b) where the deposit management organisation refuses the application, state the reasons for that decision and—
(i) notify the applicant that the authorisation to operate a return point has been refused;
(ii) state that the applicant has a right under regulation 76 to apply to the deposit management organisation to review its decision.
Duration of a person’s authorisation to operate a return point
4 A person’s authorisation to operate a return point has effect until it is revoked by the deposit management organisation.
Part 3 Authorisation of a scheme retailer as a take-back service provider
Authorisation of a scheme retailer as a take-back service provider
5 (1) A scheme retailer may make an application to the deposit management organisation for authorisation as a take-back service provider.
(2) Where the scheme retailer is a partnership, the application must, if made by only one partner, be made by that partner on behalf of all of the partners.
(3) An application under this paragraph must—
(a) be made in such form and manner as the deposit management organisation may direct,
(b) contain the applicant information, and
(c) contain such other information (if any) as the deposit management organisation may direct.
Decision on application
6 (1) Where the deposit management organisation receives an application under paragraph 5, it must, within a reasonable period of receiving the application—
(a) decide whether to grant or refuse the application, and
(b) give the applicant a notice of its decision.
(2) A notice under sub-paragraph (1)(b) must—
(a) where the deposit management organisation grants the application, specify the date on which the authorisation takes effect;
(b) where the deposit management organisation refuses the application—
(i) state the reasons for that decision, and
(ii) state that the applicant has a right under regulation 76 to apply to the deposit management organisation to review its decision.
Duration of a scheme retailer’s authorisation as a take-back service provider
7 A scheme retailer’s authorisation as a take-back service provider has effect until it is revoked by the deposit management organisation.
Part 4 Information
Duty to notify the deposit management organisation of a change in the applicant information, return point authorisation information or take-back service authorisation information
8 (1) A scheme supplier or an exempt groceries retailer who is authorised to operate a return point at or on particular premises must notify the deposit management organisation if there is any change in the applicant information or the return point authorisation information submitted in connection with that scheme supplier’s or exempt groceries retailer’s authorisation.
(2) A scheme retailer who is authorised to provide take-back services must notify the deposit management organisation if there is any change in the applicant information or the take-back service authorisation information submitted in connection with that scheme retailer’s authorisation.
(3) A notice under this paragraph must be given within the period of 28 days beginning with the date on which the change occurs.
Part 5 Revocation of authorisation
Revocation of authorisation on request
9 (1) The deposit management organisation must, if requested to do so by the scheme supplier or the exempt groceries retailer authorised to operate a return point at or on particular premises, revoke the authorisation to operate that return point.
(2) The deposit management organisation must, if requested to do so by the scheme retailer, revoke the scheme retailer’s authorisation as a take-back service provider.
(3) Where the deposit management organisation revokes a person’s authorisation under this paragraph, the deposit management organisation must give the person a notice, specifying the day at the end of which the authorisation ceases to have effect.
Revocation of authorisation on initiative of the deposit management organisation
10 (1) The deposit management organisation may revoke—
(a) the authorisation of a scheme supplier or exempt groceries retailer to operate a return point at or on particular premises, or
(b) a scheme retailer’s authorisation to provide take-back services,
otherwise than following a request under paragraph 9.
(2) The deposit management organisation may only revoke the authorisation of a scheme supplier or exempt groceries retailer under sub-paragraph (1)(a) on the following grounds—
(a) the person has failed to comply with one or more of their obligations as a return point operator under or in connection with the Scheme;
(b) there has been a change of circumstances since the authorisation was granted, including any change such that—
(i) the location, layout, design, or construction of the premises to which the authorisation relates can no longer, or can no longer easily, permit the operation of a return point and cannot be reasonably altered to allow the continued operation of a return point;
(ii) the operation of the return point to which the authorisation relates is no longer viable.
(3) The deposit management organisation may only revoke a scheme retailer’s authorisation to provide take-back services under sub-paragraph (1)(b) on the following grounds—
(a) the scheme retailer has failed to comply with any of their obligations as a take-back service provider under or in connection with the Scheme;
(b) there has been a change of circumstances since the authorisation was granted;
(c) the operation of the take-back service is no longer viable.
(4) Where the deposit management organisation proposes to revoke an authorisation, it must give that person a notice (a “proposal notice”).
(5) A proposal notice must be in writing and must—
(a) state the reasons for which the deposit management organisation is proposing to revoke the authorisation, and
(b) specify the day at the end of which the revocation is expected to take effect, if the proposal is upheld, and
(c) specify the form and manner in which, and the period within which the relevant person may make representations to the deposit management organisation about the proposed revocation, which must not be less than 28 days beginning with the date on which the person receives the proposal notice.
(6) The deposit management organisation—
(a) must consider any representations made to it in the specified form and manner and by the specified date;
(b) may consider any representations made otherwise than in the specified form or manner or after the specified date (or both).
(7) Where the deposit management organisation decides to proceed with the revocation of a person’s authorisation, it must give the person a notice (a “revocation notice”).
(8) A revocation notice must be in writing and must—
(a) state that the person’s authorisation is being revoked, and the reasons why, and
(b) specify the day at the end of which the revocation will take effect, and
(c) state that the person has a right under regulation 76 to apply to the deposit management organisation to review its decision.
(9) If the person exercises the right referred to in sub-paragraph (8)(c), the revocation notice will not take effect pending the review of the decision.
(10) The date specified for the purposes of sub-paragraph (8)(b) must not be before the end of the period of 28 days beginning with the date on which the person receives the revocation notice.
(11) The deposit management organisation must notify the person in writing of its decision within a reasonable time.
Schedule 5 Appointment etc. of the deposit management organisation
Regulations 50 and 79
Part 1 Introductory
Interpretation of Schedule 5
1 In this Schedule—
“DMO applicant” means a person who makes a DMO appointment application;
“DMO appointment application” means an application to be appointed as the deposit management organisation;
“not-for-profit body corporate” means a body corporate which uses money earned by, or donated to, that body corporate solely to pursue its objectives and which does not distribute income to its members, directors, or officers except for reasonable remuneration for goods or services supplied to that body;
“notice” means a notice in writing;
“specified” means specified in a notice given by the Secretary of State.
Part 2 Appointment of the deposit management organisation
Decision on DMO appointment applications
2 (1) The Secretary of State must—
(a) having assessed each DMO appointment application, determine—
(i) which DMO applicant is proposed to be appointed as the successful DMO applicant, and
(ii) whether any conditions apply to the appointment,
(b) obtain the consent of DAERA to the proposed appointment of the successful DMO applicant, and
(c) give each DMO applicant a notice of the decision made in respect of their DMO appointment application.
(2) The Secretary of State may only propose that a DMO applicant is appointed as the deposit management organisation if the Secretary of State is satisfied that the DMO applicant—
(a) is a not-for-profit body corporate but is not a charity, and
(b) is suitable for appointment as the deposit management organisation, having regard in particular to—
(i) the level of support for the DMO applicant’s DMO application amongst scheme producers and scheme suppliers;
(ii) the DMO applicant’s proposed finance strategy, including in particular how the DMO applicant intends to ensure that the Scheme becomes and remains self-financing;
(iii) the DMO applicant’s proposed strategy for ensuring that the views of all scheme producers and scheme suppliers (irrespective of their size), and of consumers, are obtained and taken into account in the carrying out of the DMO functions;
(iv) the DMO applicant’s proposed strategy for minimising the environmental impact of the Scheme and facilitating the recycling of in-scope material;
(v) the arrangements which the DMO applicant intends to put in place to ensure cooperation with any scheme administrator of another deposit scheme or any Scottish deposit administrator of a Scottish deposit and return scheme, in particular in connection with—
(aa) the operation of the Scheme;
(bb) the operation of the other deposit schemes;
(cc) the operation of the Scottish deposit and return schemes;
(dd) facilitating and improving the ease of return by consumers of drinks containers purchased in one part of the United Kingdom and returned in another part of the United Kingdom;
(ee) facilitating and improving the registration process for those who produce, or import, drinks for the United Kingdom market;
(vi) the DMO applicant’s proposed strategy for reducing and eliminating any fraud in the Scheme, and
(vii) the purposes for which the DMO proposes to use any amounts which they are permitted to retain under the Scheme but which are not needed to finance the Scheme itself.
(3) A notice under sub-paragraph (1)(c) must—
(a) if the Secretary of State grants the DMO applicant’s DMO appointment application—
(i) state that the application has been granted,
(ii) specify the date on which the person’s appointment as the deposit management organisation will take effect, and
(iii) state any conditions applying to the person’s appointment;
(b) if the Secretary of State refuses the DMO applicant’s DMO appointment application—
(i) state the reasons for the decision, and
(ii) state that the DMO applicant may appeal against the decision, and include a statement as to how such an appeal may be brought.
(4) Where there are two or more DMO applicants, the date specified for the purposes of sub-paragraph (3)(a)(ii) must not be before the end of the period within which a person may bring an appeal against the decision to refuse their DMO appointment application (disregarding any extension of that period).
(5) In this paragraph “charity” means a body established for charitable purposes only (whether or not it is registered as a charity in any part of the United Kingdom).
Part 3 Revocation of a person’s appointment as the deposit management organisation
Revocation of a person’s appointment as the deposit management organisation: on notice
3 (1) The person appointed as the deposit management organisation (“the resigning DMO”) may give notice (a “revocation notice”) to the Secretary of State stating that they wish to cease to be the deposit management organisation.
(2) If the Secretary of State receives a revocation notice, the Secretary of State must—
(a) revoke the resigning DMO’s appointment as the deposit management organisation, and
(b) give the resigning DMO a notice which specifies the date on which the revocation takes effect.
(3) The date specified for the purposes of sub-paragraph (2)(b) must not be before the end of the period of 18 months beginning with the date on which the Secretary of State receives the revocation notice.
Revocation of a person’s appointment as the deposit management organisation: discretion of the Secretary of State
4 (1) The Secretary of State may, with the consent of DAERA, revoke a person’s appointment as the deposit management organisation if—
(a) it appears to the Secretary of State that the person—
(i) has been convicted of an offence involving financial impropriety or fraud;
(ii) has become bankrupt;
(iii) has become subject to insolvency or winding-up proceedings;
(iv) has had assets made subject to administration or receivership, including by a liquidator or court;
(v) has entered into an arrangement with the person’s creditors;
(vi) has become subject to a petition or application for any such procedures or arrangements referred to in sub-paragraphs (ii) to (v);
(vii) has, in any jurisdiction, been subject to a procedure or an application which corresponds to any procedure or application mentioned in sub-paragraphs (ii) to (v);
(viii) has failed for at least three years to meet the collection targets for a deposit management organisation;
(ix) has knowingly or recklessly supplied false information in connection with its DMO appointment application or in connection with any of its obligations as the deposit management organisation under or in connection with the Scheme;
(x) has failed to comply with a notice or fine issued by a national enforcement authority;
(xi) has repeatedly refused or failed to pay NEA costs after being invoiced for those costs, or
(xii) has failed to meet one or more of that person’s conditions of appointment; or
(b) the person has notified the Secretary of State of a change of circumstances which the Secretary of State considers is likely to prevent the person from complying with that person’s conditions of appointment.
(2) The Secretary of State—
(a) must revoke a person’s appointment as the deposit management organisation if the Secretary of State considers—
(i) that a mandatory exclusion ground set out in Schedule 6 to the Procurement Act 2023 (mandatory exclusion grounds) (“the 2023 Act”), applies to that person or to a connected person, and
(ii) the circumstances giving rise to the application of the exclusion ground are continuing or likely to occur again, or
(iii) the person, or a connected person, is on the debarment list under section 62 of the 2023 Act (debarment list) by virtue of a mandatory exclusion ground set out in Schedule 6 to that Act.
(b) may, with the consent of DAERA, revoke a person’s appointment as the deposit management organisation if the Secretary of State considers—
(i) that a discretionary exclusion ground set out in Schedule 7 to the 2023 Act (discretionary exclusion grounds) applies to that person or to a connected person, and
(ii) the circumstances giving rise to the application of the exclusion ground are continuing or likely to occur again, or
(iii) the person, or a connected person, is on the debarment list under section 62 of the 2023 Act by virtue of a discretionary exclusion ground set out in Schedule 7 to that Act.
(3) In this regulation “connected person” has the same meaning as that given to “connected person” in paragraph 45 of Schedule 6 to the 2023 Act in relation to a supplier.
(4) If the Secretary of State proposes to revoke a person’s appointment as the deposit management organisation it must give the person a notice (a “proposal notice”).
(5) A proposal notice must be in writing and must—
(a) state that the Secretary of State, with the consent of DAERA, proposes to revoke the person’s appointment as the deposit management organisation, and the reasons why,
(b) specify the date on which the revocation will take effect,
(c) state that the person may make representations in connection with the proposed revocation of their appointment, and
(d) specify the form and manner in, and date by, which any such representations must be made to the Secretary of State.
(6) The date specified for the purposes of sub-paragraph (5)(b) must not be before the end of the period within which the person may make an application for a review of the decision to revoke their appointment as the deposit management organisation (disregarding any extension of that period).
(7) The Secretary of State—
(a) must consider any representations that are made in the specified form and manner, and by the specified date;
(b) may disregard any representations that are not made in the specified form and manner or are made after the specified date.
(8) The Secretary of State must notify the deposit management organisation in writing of the decision.
(9) The Secretary of State must give a copy of any notice under sub-paragraph (8) to DAERA.
(10) Where the Secretary of State decides to proceed with the proposed revocation, the Secretary of State must give that person a notice (a “revocation notice”).
(11) The revocation notice must—
(a) state that the person’s appointment as the deposit management organisation has been revoked, and
(b) specify the date on which the revocation will take effect.
(12) The Secretary of State must give a copy of any revocation notice to DAERA.
Transfer of assets etc.
5 (1) The Secretary of State may transfer relevant property, rights and liabilities of the outgoing DMO to the new DMO, or to the interim scheme administrator, as a consequence of the outgoing DMO ceasing to be the deposit management organisation.
(2) The relevant property, rights and liabilities of the outgoing DMO that may be transferred under paragraph (1) are as follows—
(a) data created and compiled specifically for the Scheme;
(b) land assets;
(c) intellectual property, including scheme branding;
(d) deposits;
(e) IT systems;
(f) contracts entered into by the outgoing DMO for the purpose of the Scheme;
(g) collection and processing infrastructure;
(h) staff and human resources systems.
(3) The Secretary of State may only transfer such of the relevant property, rights and liabilities set out in paragraph (2) as constitute the minimum assets required to keep the Scheme operational and to protect consumer interests.
(4) The transfer of any property, rights and liabilities is effective on the new appointment date.
(5) The property, rights and liabilities that may be transferred under this paragraph include property, rights and liabilities that would not otherwise be capable of being transferred or assigned by the outgoing DMO.
(6) A transfer of property, rights and liabilities under this paragraph takes effect despite the absence of any required consent or concurrence to or with the transfer and as if—
(a) no liability existed in respect of a contravention of a requirement for consent or concurrence, and
(b) there were no interference with any property or right,
that would otherwise exist by reason of any provision (whether under any enactment or agreement or otherwise) having effect in relation to the terms on which the outgoing DMO is entitled to the property or right, or subject to the liability, in question.
(7) For the purposes of this paragraph, any property, right or liability of the outgoing DMO is relevant property, or a relevant right or liability, only if it was acquired by, or the outgoing DMO became subject to it, in the course of the exercise of its functions as the deposit management organisation under or in connection with the Scheme.
(8) In this paragraph and paragraph 6—
“the new appointment date” means the date on which the new DMO’s appointment takes effect;
“the new DMO” means the person next appointed as the deposit management organisation following the revocation of the outgoing DMO's appointment;
“the outgoing DMO” means the person whose appointment as the deposit management organisation is revoked under paragraph 3 or 4.
Transitional provision in connection with paragraph 5
6 (1) Anything that—
(a) is done (or has effect as if done) by or in relation to the outgoing DMO in respect of any property, right or liability transferred to the new DMO under paragraph 5, and
(b) has effect immediately before the new appointment date,
is to be treated as done by or in relation to the new DMO.
(2) There may be continued by or in relation to the new DMO anything (including legal proceedings) that—
(a) relates to any property, right or liability transferred under paragraph 5, and
(b) is in the process of being done by, on behalf of or in relation to the outgoing DMO immediately before the new appointment date.
Continuity in exercise of deposit management organisation functions
7 (1) Anything done by the outgoing DMO in connection with the exercise of the DMO functions has effect as if done by the new DMO.
(2) In this paragraph, “the new DMO” and “the outgoing DMO” have the same meanings as in paragraph 5(8).
Part 4 Appeals in connection with Parts 2 and 3
Right of appeal
8 (1) A DMO applicant may appeal against a decision of the Secretary of State under paragraph 2 to refuse their DMO appointment application.
(2) A person may appeal against a decision of the Secretary of State under paragraph 4 to revoke their appointment as the deposit management organisation.
(3) An appeal under sub-paragraph (1) or (2) is to the First-tier Tribunal.
Regulation 90
Part 1 Introductory
Interpretation of Schedule 6
1 In this Schedule—
“compliance notice” has the meaning given in paragraph 14(1);
“enforcement undertaking” means an undertaking, in writing, to take the action specified in that undertaking within the period specified in that undertaking;
“FMP” means a fixed monetary penalty;
“variable monetary penalty” means a penalty of such amount as the enforcement authority may determine;
“VMP” means a variable monetary penalty.
Part 2 The Table of Civil Sanctions
Requirement or act | FMP (amount) | VMP | compliance notice | enforcement undertaking
Scheme producers
Regulation 11 and Part 1 of Schedule 1 (registration) | No | Yes | Yes | Yes
Regulation 13(1)(a) or (b) (requirement to make or keep records) | No | Yes | Yes | Yes
Providing information in response to a DMO instruction under regulation 14, or in an application for registration under paragraph 2 of Schedule 1, or under paragraph 4 or 5 of Schedule 1, where— (a) the person providing the information knows it to be inaccurate, false or misleading in a material particular, or (b) the person providing it does so recklessly and the information is false or misleading in a material particular, or (c) the person providing the information knows it to be incomplete in a material particular, or (d) the producer has not notified the deposit management organisation of a change to the relevant information. | No | Yes | Yes | Yes
Providing information in an application under regulation 18 for registration of a product line as a low volume line, where— (a) the person providing the information knows it to be false or misleading in a material particular, or (b) the person providing it does so recklessly and the information is false or misleading in a material particular. | No | Yes | Yes | Yes
Regulation 21 (requirement to pay a producer registration fee) | No | Yes | Yes | Yes
Regulation 22 (requirement to pay deposits to the deposit management organisation) | No | Yes | Yes | Yes
Scheme suppliers
Regulation 23 (prohibition on supply of items from a scheme producer not registered with the deposit management organisation) | Yes (£1,000) | No | Yes | No
Regulation 24(1)(a) (requirement for deposit item to carry scheme logo) | Yes (£1,000) | No | Yes | No
Regulation 24(1)(b) (requirement for deposit item to carry scheme return code) | Yes (£1,000) | No | Yes | No
Regulation 24(2) (requirement for scheme multipack to carry scheme packaging logo) | Yes (£1,000) | No | Yes | No
Regulation 25(1) (prohibition on supply of a registered low volume product carrying a scheme logo or scheme return code) | Yes (£1,000) | No | Yes | No
Regulation 26(1) or (6) (requirement to provide or display, or provide for display, the Scheme information) | Yes (£1,000) | No | Yes | No
Regulation 27(1) (requirement to provide or display, or provide for display, the LVP information) | Yes (£500) | No | Yes | No
Regulation 28(1) (requirement to charge a deposit), where the scheme supplier is a scheme retailer | Yes (£1,000) | No | Yes | No
Regulation 28(1), where the scheme supplier is not a scheme retailer | No | Yes | Yes | Yes
Regulation 29(1) (requirement to display opt-out information) | Yes (£500) | No | Yes | No
Providing information in response to a DMO instruction under regulation 30 where— (a) the person providing the information knows it to be inaccurate, false or misleading in a material particular, or (b) the person providing it does so recklessly and the information is false or misleading in a material particular, or (c) the person providing the information knows it to be incomplete in a material particular. | No | Yes | Yes | Yes
Return of returnable items
Regulation 34(1) (requirement to operate a return point) | Yes (£1,000) | No | Yes | No
Regulation 34(4) and (5) and Schedule 2 (requirement to register, or renew registration, with the deposit management organisation as a mandatory return point operator) | No | Yes | Yes | Yes
Providing information under paragraph 2, or 4 of Schedule 2 where— (a) the person providing the information knows it to be false or misleading in a material particular, or (b) the person providing it does so recklessly and the information is false or misleading in a material particular. | No | Yes | Yes | Yes
Failure to provide information under paragraph 7 of Schedule 3 (return point exemption: duty to notify deposit management organisation of change of circumstances. | No | Yes | Yes | Yes
Providing information under paragraph 2, 7 or 9 of Schedule 3 where— (a) the person providing the information knows it to be false or misleading in a material particular, or (b) the person providing it does so recklessly and the information is false or misleading in a material particular. | No | Yes | Yes | Yes
Regulation 36(1) (requirement to display information where no return point is operated) | Yes (£500) | No | Yes | No
Regulation 40 (requirement to display information at a return point) | Yes (£500) | No | Yes | No
Regulation 41 (requirement to be a scheme retailer and registered in order to provide a take-back service) | Yes (£1,000) | No | Yes | No
Regulation 42(1) or (5) (requirement to provide or display information about a take-back service) | Yes (£500) | No | Yes | No
Providing information in an application under paragraph 2 or 5 of Schedule 4, where— (a) the person providing the information knows it to be false or misleading in a material particular, or (b) the person providing it does so recklessly and the information is false or misleading in a material particular. | No | Yes | Yes | Yes
Paragraph 8 of Schedule 4 (duty to notify the deposit management organisation of a change in information) | No | Yes | Yes | Yes
Regulation 47(1), (2) or (3) (b) (requirements as to the payment of the total return amount) | Yes (£500) | No | Yes | No
Regulation 48 (requirement to retain returnable items) | Yes (£1,000) | No | Yes | No
Regulation 49 (requirement to retain or return returnable items) | Yes (£1,000) | No | Yes | Yes
The deposit management organisation
Regulation 51(3) (requirement to comply with conditions of appointment) | No | Yes | Yes | Yes
Regulation 52(1) (requirement to act in accordance with operational plan) | No | Yes | Yes | Yes
Regulation 53(1) (requirement to submit annual report) | No | Yes | Yes | Yes
Regulation 54(1) (requirement to establish and maintain a reserve fund) | No | Yes | Yes | Yes
Regulation 55 (scheme logo and scheme packaging logo: requirement to issue) | No | Yes | Yes | Yes
Regulation 56 (publication of scheme logo and scheme packaging logo) | No | Yes | Yes | Yes
Regulation 57 (scheme return code) | No | Yes | Yes | Yes
Regulation 66(1) (requirement to collect returnable items etc. from return point operators etc.) | No | Yes | Yes | Yes
Regulation 66(2) (requirement to pay sums for returnable items) | No | Yes | Yes | Yes
Regulation 68 (requirement to recycle or make arrangements for recycling of in-scope material from refund items) | No | Yes | Yes | Yes
Regulation 69 (requirement to make arrangements for the recycling of in-scope material from items other than refund items) | No | Yes | Yes | Yes
Regulation 71 (requirement to pay NEA costs) | No | Yes | Yes | Yes
Regulation 72 (information about returns data) | No | Yes | Yes | Yes
Failure, without reasonable excuse, to comply with the obligation in regulation 81 (collection targets). | No | Yes | Yes | Yes
Matters connected with enforcement
Regulation 85(3) (requirement to comply with an information notice), where the notice is given by a local weights and measures authority | Yes (£500) | No | Yes | No
Providing information to a local weights and measures authority in response to an information notice under regulation 85 where— (a) the person providing the information knows it to be false or misleading in a material particular, or (b) the person providing it does so recklessly and the information is false or misleading in a material particular. | Yes (£500) | No | Yes | No
Regulation 85(3) (requirement to comply with an information notice), where the notice is given by a national enforcement authority | No | Yes | Yes | Yes
Providing information to a national enforcement authority under regulation 85 where — (a) the person providing the information knows it to be false or misleading in a material particular, or (b) the person providing it does so recklessly and the information is false or misleading in a material particular. | No | Yes | Yes | Yes
Regulation 86(1) (obstructing or failing to assist an authorised person), where the authorised person was appointed by a local weights and measures authority | Yes (£1,000) | No | Yes | No
Regulation 86(1) (obstructing or failing to assist an authorised person), where the authorised person was appointed by DAERA or the Environment Agency | No | Yes | Yes | Yes
Part 3 Fixed monetary penalties
Power to impose an FMP
2 (1) An enforcement authority may, by notice, impose an FMP on a person in relation to an act or contravention of a requirement mentioned in the CS Table, if the CS Table indicates that an FMP is available for that act or contravention of that requirement.
(2) Before doing so, the enforcement authority must be satisfied on the balance of probabilities that the person has acted or contravened the relevant requirement as set out in the CS Table.
(3) “Fixed monetary penalty” means a requirement to pay to the enforcement authority a penalty in relation to an act or contravention of a requirement mentioned in the CS Table, of the amount indicated in the CS Table for that act or contravention of that requirement.
Notice of intention to impose an FMP
3 (1) Where an enforcement authority proposes to impose an FMP on a person, the authority must give that person a notice of what is proposed (referred to in this Part of this Schedule as a “notice of intent”).
(2) A notice of intent must be in writing and must—
(a) state the grounds for imposing the FMP,
(b) state the amount of the FMP, and
(c) include information as to the right to make representations and objections within the period of 28 days beginning with the date on which the person receives the notice (referred to in this Part of this Schedule as “the 28-day period”).
Making representations and objections
4 (1) A person who is given a notice of intent may, within the 28-day period, make representations or objections to the enforcement authority in relation to the proposed imposition of the FMP.
(2) Any representations or objections under paragraph (1) must be in writing.
Final notice of decision to impose an FMP
5 (1) The enforcement authority must, after considering any representations or objections made within the 28-day period, notify the person concerned in writing of its decision.
(2) Where the decision is made to impose the FMP (with or without modifications to the original terms of the notice of intent) the enforcement authority must serve a final notice in writing and must include the following information—
(a) the amount of the FMP,
(b) the grounds for imposing the FMP,
(c) how payment of the FMP is to be made,
(d) that the date by which payment must be made is the last day of a period of 56 days beginning with the date of receipt of the final notice,
(e) details of the late payment penalties,
(f) information as to the right of appeal, and
(g) the consequences of non-payment.
Appeal
6 (1) A person who receives a final notice may appeal against it.
(2) The grounds of appeal are—
(a) that the decision was based on an error of fact;
(b) that the decision was wrong in law;
(c) that the decision was unreasonable for any other reason.
Non-payment after 56 days
7 (1) An FMP must be paid within the period of 56 days beginning with the date of receipt of the final notice, unless the final notice is appealed in which case regulation 98(1)(b) applies.
(2) If the FMP is not paid within that period, the amount payable is the original amount of the FMP plus 50% of that figure.
(3) Where a final notice is appealed and the appeal is unsuccessful or withdrawn—
(a) the FMP is payable within the period of 28 days beginning with the day on which the appeal is determined or withdrawn (as the case may be), and
(b) if the FMP is not paid within that period, the amount payable is the original amount of the FMP plus 50% of that figure.
Part 4 Variable monetary penalties
Power to impose a VMP
8 (1) An enforcement authority may, by notice, impose a VMP on a person in relation to an act or contravention of a requirement mentioned in the CS Table, if the CS Table indicates that a VMP is available for the act or contravention.
(2) A requirement under this paragraph must not be imposed on a person on more than one occasion in relation to the same act or omission, unless the act or omission is a continuing act or omission.
(3) Before serving a notice relating to a VMP for failure to comply with a compliance notice or enforcement undertaking, the enforcement authority may require a person to provide such information as is reasonable to establish the amount of any benefit arising from the failure to comply with the compliance notice or enforcement undertaking.
Notice of intention to issue a VMP
9 (1) Where an enforcement authority proposes to impose a VMP on a person under this Part of this Schedule, the authority must give the person a notice of what is proposed (a “notice of intent”).
(2) A notice of intent must be in writing and must include—
(a) the grounds for imposing the VMP,
(b) the amount of the penalty,
(c) information as to the right to make representations within the period of 28 days beginning with the day on which the person receives the notice (referred to in this Part of this Schedule as “the 28-day period”).
Representations and objections
10 (1) A person on whom a notice of intent is served may within the 28-day period make representations to the enforcement authority about the proposed imposition of the VMP.
(2) Any representations or objections under this paragraph must be in writing.
Service of final notice
11 (1) The enforcement authority must after considering any representations made within the 28-day period, notify the person concerned of its decision, with or without modifications.
(2) Where the enforcement authority decides to impose a VMP, the enforcement authority must give a notice (referred to in this Part of this Schedule as a “final notice”) to the relevant person.
(3) The final notice must be in writing.
Contents of final notice
12 A final notice must include—
(a) the grounds for imposing the VMP,
(b) the amount of the penalty,
(c) how the payment may be made,
(d) the period within which the payment must be made, which must not be less than 28 days from when the final notice is given,
(e) information as to the right of appeal, and
(f) information as to the consequences of failing to comply with the notice.
Appeal against a final notice
13 (1) A person who receives a final notice may appeal against it.
(2) The grounds of appeal are—
(a) that the decision was based on an error of fact;
(b) that the decision was wrong in law;
(c) that the amount of the penalty is unreasonable;
(d) that the decision was unreasonable for any other reason.
Part 5 Compliance Notices
Issue of a compliance notice
14 (1) An enforcement authority may, by notice (a “compliance notice”), impose a requirement on a person to take such steps as the authority may specify, within such period as the authority may specify, to secure that the contravention of a requirement does not continue or recur in relation to an act or a contravention of a requirement mentioned in the CS Table, if the CS Table indicates such penalty is possible for the act or contravention.
(2) Before imposing any such requirement, the enforcement authority must be satisfied that there are reasonable grounds for considering that the person has contravened or will contravene the relevant requirement.
(3) A requirement must not be imposed on a person on more than one occasion in relation to the same act or omission unless the act or omission is a continuing act or omission.
(4) But sub-paragraph (3) does not prevent an equivalent requirement being imposed on a person in a compliance notice if any earlier requirement imposed on that person in relation to the same act or omission has first been withdrawn.
Contents of a compliance notice
15 A compliance notice must include—
(a) information as to the grounds for imposing the requirement,
(b) information as to the compliance or restoration which is required and the period within which it must be completed,
(c) information about the right of appeal, and
(d) information as to the consequences of failing to comply with the notice.
Appeal against a compliance notice
16 (1) A person who receives a compliance notice may appeal against it.
(2) The grounds of appeal are—
(a) that the decision was based on an error of fact;
(b) that the decision was wrong in law;
(c) that the nature of the requirement is unreasonable;
(d) that the decision was unreasonable for any other reason.
Part 6 Enforcement undertaking
Power to accept an enforcement undertaking and related matters
17 (1) An enforcement authority may accept an enforcement undertaking from a person in a case where, in relation to an act or a contravention of a requirement mentioned in the CS Table, the CS Table indicates that a penalty is available for that act or contravention.
(2) Before accepting any enforcement undertaking, the enforcement authority concerned must first establish a procedure appropriate to such undertakings.
(3) The enforcement authority must—
(a) consult such persons as it considers appropriate before establishing the procedure, and
(b) publish the procedure established.
Contents of an enforcement undertaking
18 (1) An enforcement undertaking must—
(a) specify a relevant action,
(b) specify the period within which that action must be completed, and
(c) include—
(i) a statement that the undertaking is made in accordance with this Part,
(ii) the terms of the undertaking, and
(iii) a statement as to how and when the person giving the undertaking should be considered to have discharged the undertaking.
(2) An enforcement undertaking may be varied, or the period within which the relevant action is to be taken extended, if agreed in writing by the enforcement authority and the person who gave the enforcement undertaking.
(3) For the purposes of this paragraph “relevant action” means—
(a) action to secure that the contravention of the requirement of these Regulations does not continue or recur,
(b) action to secure that the position is, so far as possible, restored to what it would have been had the contravention not occurred, or
(c) action (including the payment of a sum of money) to benefit or improve the environment, such as action to prevent littering or increase the recycling of in-scope material from which containers are made.
Effect of acceptance of an enforcement undertaking
19 (1) If an enforcement authority accepts an enforcement undertaking under paragraph 17(1), the enforcement authority must not impose any other civil sanction in respect of the act or the contravention to which the enforcement undertaking relates.
(2) But sub-paragraph (1) ceases to apply if the person fails to comply with the relevant enforcement undertaking or any part of it.
Publication of enforcement undertakings
20 An enforcement authority must publish each enforcement undertaking it accepts in such manner as it considers appropriate for the purposes of bringing it to the attention of persons who may be affected.
Discharge of an enforcement undertaking
21 (1) If an enforcement authority is satisfied that an enforcement undertaking has been complied with, the enforcement authority must issue a certificate (a “discharge certificate”) to that effect.
(2) An enforcement authority may require a person who has given an enforcement undertaking to provide sufficient information for the purposes of determining whether the person has complied with that undertaking.
(3) A person who has given an enforcement undertaking may apply, at any time, for a discharge certificate.
(4) Where an enforcement authority receives an application under sub-paragraph (3), the authority must within the relevant period—
(a) decide whether to issue a discharge certificate, and
(b) notify the person making the application of that decision.
(5) The “relevant period” is the period of 14 days beginning with the day on which the enforcement authority receives the application in question.
Rights of appeal
22 (1) A person who has given an enforcement undertaking to an enforcement authority may appeal against a decision of that authority not to issue a discharge certificate.
(2) The grounds of appeal are—
(a) that the decision was based on an error of fact;
(b) that the decision was wrong in law;
(c) that the decision was unfair or unreasonable;
(d) that the decision was wrong for any other reason.
Inaccurate, incomplete or misleading information
23 (1) A person who gives inaccurate, incomplete or misleading information in relation to an enforcement undertaking is to be regarded as not having complied with it.
(2) An enforcement authority may revoke a discharge certificate if it was issued on the basis of inaccurate, incomplete or misleading information.
Partial compliance with an enforcement undertaking
24 If a person has partly complied with an enforcement undertaking, the enforcement authority must take that into account when imposing any other civil sanction.
Regulation 98
Application
1 (1) Paragraph 2 applies to a person in England who wishes to appeal to the First-tier Tribunal under regulation 97 (such a person is referred to in this Schedule as an “FTT appellant”).
(2) Paragraphs 3 to 5 apply to a person in Northern Ireland who wishes to appeal to the appeals commission under regulation 97 (such a person is referred to in this Schedule as a “PACNI appellant”).
(3) In this Schedule, “appeals commission” means the planning appeals commission established in accordance with section 203 of the Planning Act (Northern Ireland) 2011.
Appeal to the First-tier Tribunal
2 (1) A FTT appellant may appeal to the First-tier Tribunal in accordance with the GRC Rules 2009.
(2) The GRC Rules 2009 apply to the appeal subject to the modification in sub-paragraph (3).
(3) Rule 22 of the GRC Rules 2009 applies to an appeal brought under regulation 97 of these Regulations as if paragraph (1)(b) of that rule required the appeal to be brought within two months of the date on which the notice to which the appeal relates was sent to the FTT appellant.
(4) In this paragraph “the GRC Rules 2009” means the Tribunal Procedure (First-tier Tribunal) (General Regulatory Chamber) Rules 2009.
Appeal to the appeals commission: notice of appeal
3 (1) A PACNI appellant must appeal to the appeals commission by sending a notice to the appeals commission (“the notice of appeal”).
(2) The notice of appeal must be in writing and must be accompanied by the relevant fee.
(3) The relevant fee is the amount specified in regulation 9(1) of the Planning Fees (Deemed Planning Applications and Appeals) Regulations (Northern Ireland) 2015.
(4) The notice of appeal must be accompanied by—
(a) a statement of the grounds of appeal,
(b) a copy of the notice which is the subject of the appeal,
(c) a copy of any correspondence between the PACNI appellant and the deposit management organisation or the national enforcement authority and any other document relevant to the appeal,
(d) a copy of any other document on which the PACNI appellant intends to rely for the purposes of the appeal, and
(e) a statement indicating whether the PACNI appellant wishes the appeal to be in the form of a hearing or to be determined on the basis of written representations.
Appeal to the appeals commission: time for bringing appeal
4 The notice of appeal under paragraph 3(1) must be given to the appeals commission before the end of the period of 2 months beginning with the date on which the notice to which the appeal relates was received by the appellant.
Appeal to the appeals commission: decision on appeal
5 (1) The appeals commission must notify the PACNI appellant in writing of the decision on the appeal and the reasons for that decision.
(2) If the appeals commission determines the appeal after a hearing, the appeals commission must provide the appellant with a copy of any report made by the person who conducted the hearing.
(3) The appeals commission must, at the same time as notifying the appellant of the decision on the appeal, send a copy of any document sent to the appellant under this paragraph to the national enforcement authority.