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162 provisions
76 Distribution to relevant authorities and the scheme administrator
(1) The scheme administrator must apply the disposal fees received, or due to be received, from producers under Chapter 3 in—
(a) making payments to relevant authorities towards their chargeable disposal costs; and
(b) meeting the scheme administrator’s public information disposal costs.
(2) The scheme administrator must ensure that, so far as possible, where sufficient disposal fees have been received, or are due to be received, from liable producers—
(a) the amount paid to a relevant authority in relation to an assessment year is equal to the chargeable disposal costs of the relevant authority for that assessment year; and
(b) its public information disposal costs are met.
(3) A scheme administrator is not required to distribute to relevant authorities more than the total amount of disposal fees that has been received, or is due to be received, from producers, after taking account of its public information disposal costs.
(4) Where the disposal fees received, or expected to be received, from producers under these Regulations are not sufficient to cover the total chargeable disposal costs of all relevant authorities and the public information disposal costs of the scheme administrator, the scheme administrator may determine—
(a) what proportion of the total amount of those disposal fees is to be—
(i) distributed to relevant authorities; and
(ii) applied in meeting its public information disposal costs; and
(b) how the total amount to be distributed to relevant authorities is to be divided between those authorities.
(5) Payments must be made to relevant authorities in quarterly instalments during the financial year, at the end of each quarter, or following such other period as may be determined by the scheme administrator.
(6) Where, as a result of a determination under paragraph (4), the scheme administrator intends to change the amounts or dates of payments to a relevant authority that were stated in an assessment notice given to the relevant authority under regulation 74, the scheme administrator must—
(a) give the relevant authority notice in writing of that change; and
(b) set out in that notice the reason for the change.
77 Relevant authorities: costs of providing information
(1) A relevant authority may, by invoicing the scheme administrator in accordance with paragraph (6), charge the scheme administrator its reasonable costs of providing information to the scheme administrator where—
(a) the scheme administrator has requested the information under regulation 73(4);
(b) the relevant authority provides the information pursuant to a consultation under regulation 73(2)(a), and the conditions in paragraph (2) are satisfied; or
(c) the relevant authority provides the information in support of a complaint, made in accordance with the scheme administrator’s complaints procedure, about an assessment or adjustment made under regulations 70 to 72 or a recalculation made under regulation 80 in relation to the relevant authority, and the conditions in paragraph (3) are satisfied.
(2) The conditions in this paragraph are that—
(a) before providing the information, the relevant authority submits a proposal in writing to the scheme administrator which—
(i) describes the information which the relevant authority wishes to submit to the scheme administrator;
(ii) explains why the relevant authority wishes to submit that information; and
(iii) gives the date by which the relevant authority proposes to submit the information;
(b) the scheme administrator gives the relevant authority notice in writing that, if the relevant authority submits that information, or such part of that information as is specified in the notice, by a date specified in the notice, the scheme administrator will meet the relevant authority’s reasonable costs of providing the information; and
(c) the relevant authority provides to the scheme administrator the information specified in the notice under sub-paragraph (b) by the date specified in that notice.
(3) The conditions in this paragraph are that the scheme administrator—
(a) decides as a result of the complaint to revise the assessment, adjustment or recalculation complained about in the relevant authority’s favour; and
(b) considers the information was relevant to its decision.
(4) Where the scheme administrator receives a proposal from a relevant authority under paragraph (2)(a), it must, within 3 months of receiving the proposal—
(a) give the relevant authority a notice under paragraph (2)(b); or
(b) inform the relevant authority that it does not agree to meet its costs of providing any of the information, giving the reason for that decision.
(5) Where the scheme administrator determines a complaint about a matter referred to in paragraph (1)(c) in the relevant authority’s favour, the scheme administrator must notify the relevant authority in writing for the purposes of paragraph (3)(b)—
(a) which, if any, of the information provided by the relevant authority it considers relevant to its decision; and
(b) its reasons, if it considers that any of the information provided by the relevant authority was not relevant.
(6) A relevant authority—
(a) may only invoice the scheme administrator for the costs of providing information to the scheme administrator after it has provided that information;
(b) may not issue more than one such invoice in each assessment year; and
(c) may include in an invoice the costs of providing information—
(i) in the assessment year in which the invoice is issued; and
(ii) in the last 3 months of the previous assessment year, provided that those costs have not previously been invoiced.
(1) The scheme administrator may—
(a) where regulation 79(1) applies, recalculate the amount of—
(i) the disposal fee;
(ii) the administration fee; or
(iii) both of those fees,
payable by a liable producer in relation to an assessment year,
(b) where regulation 80(1) applies, recalculate the chargeable disposal costs of a relevant authority in relation to an assessment year.
(2) The scheme administrator may carry out a recalculation—
(a) subject to regulation 81(3), at any time during the assessment year (an “interim recalculation”); and
(b) subject to regulation 81(5) to (7), at any time after the end of the assessment year (a “year-end recalculation”).
79 Recalculation of disposal and administration fees
(1) The scheme administrator may recalculate the amount of the disposal fee payable by a liable producer in relation to an assessment year if the scheme administrator considers that there is likely to be a material difference between the amount that the producer has previously been assessed as being liable to pay and that amount as recalculated because the scheme administrator—
(a) receives further information relating to a matter referred to in paragraph (2)(a);
(b) discovers an error in the calculation of the liability of the producer;
(c) determines that the total amount of disposal fees received or recoverable from all liable producers is likely to be greater or less than the sum of—
(i) the total chargeable disposal costs of all relevant authorities; and
(ii) the public information disposal costs of the scheme administrator; or
(d) reasonably considers on any other ground that there is likely to be such a material difference.
(2) A recalculation of the disposal fee payable by a liable producer for an assessment year is to be carried out by re-making the calculations in regulations 61 to 64 and 66(4)(a) for the producer, taking into account—
(a) any further information relevant to those calculations which the scheme administrator has received since the producer’s disposal fee for that assessment year was previously calculated, including information relating to—
(i) the amount of household packaging in each packaging category supplied by the producer, or by all liable producers, in the calendar year ending on the 31st December before the start of the assessment year;
(ii) the total chargeable disposal costs of all relevant authorities for the assessment year; or
(iii) the amount of public information disposal costs incurred by (or, in the case of an interim recalculation, expected to be incurred by) the scheme administrator in the assessment year;
(b) the outcome of any complaint or appeal by the producer relating to the calculation of the producer’s disposal fee for the assessment year;
(c) any other matters which the scheme administrator considers relevant.
(3) The scheme administrator may recalculate the amount of the administration fee payable by a liable producer in relation to an assessment year if the scheme administrator considers that there is likely to be a material difference between the amount that the producer has previously been assessed as being liable to pay and that amount as recalculated because—
(a) the scheme administrator has recalculated the disposal fee payable by the producer for the assessment year;
(b) the chargeable administration costs of the scheme administrator for the assessment year are greater or less than previously determined by the scheme administrator;
(c) the scheme administrator discovers an error in the calculation of the liability of the producer;
(d) the scheme administrator determines that the total amount of administration fees received or recoverable from all liable producers is likely to be greater or less than the chargeable administration costs of the scheme administrator; or
(e) the scheme administrator reasonably considers on any other ground that there is likely to be such a material difference.
(4) A recalculation of the administration fee payable by a liable producer is to be carried out by re-making the calculations in regulations 65 and 66(4)(b) for the producer, taking into account—
(a) any changes since the producer’s administration fee for that assessment year was previously calculated to—
(i) the disposal fee payable by the producer for the assessment year; or
(ii) the chargeable administration costs of the scheme administrator for the assessment year;
(b) the outcome of any complaint or appeal by the producer relating to the calculation of the producer’s administration fee for the assessment year;
(c) any other matters which the scheme administrator considers relevant.
(5) Where the scheme administrator determines upon a recalculation under this regulation that the amount of the disposal fee or the administration fee which a liable producer is liable to pay in relation to an assessment year is materially greater or less than the amount previously notified to the producer—
(a) the scheme administrator must serve on the producer a notice under regulation 82;
(b) if the producer’s recalculated disposal fee is greater than the amount paid by the producer to the scheme administrator in relation to the assessment year, the producer is liable to pay to the scheme administrator the difference between those amounts;
(c) if the producer’s recalculated disposal fee is less than the amount paid by the producer to the scheme administrator in relation to the assessment year, the scheme administrator must refund or credit to the producer the difference between those amounts.
(1) The scheme administrator may recalculate the chargeable disposal costs of a relevant authority in relation to an assessment year if the scheme administrator considers that there is likely to be a material difference between that relevant authority’s chargeable disposal costs as previously calculated and those costs as recalculated because the scheme administrator—
(a) receives further information relating to a matter referred to in paragraph (2)(a);
(b) discovers an error in the calculation of any element of the chargeable disposal costs in relation to the relevant authority; or
(c) reasonably considers on any other ground that there is likely to be such a material difference.
(2) A recalculation of the chargeable disposal costs of a relevant authority is to be carried out by re-making the assessments and adjustments in Chapter 4 for that relevant authority, taking into account—
(a) any further information relevant to those assessments and adjustments which the scheme administrator has received since the relevant authority’s chargeable disposal costs were previously determined, including information as to—
(i) the efficient disposal costs of the relevant authority for the assessment year;
(ii) the waste income received (or, in the case of an interim recalculation, likely to be received) by the relevant authority in the assessment year;
(iii) the scheme administrator’s assessment of the effectiveness of the waste management service provided by the relevant authority for the purposes of regulation 72;
(b) the outcome of any complaint or appeal by the relevant authority relating to the determination of the relevant authority’s chargeable disposal costs for the assessment year;
(c) any other matters which the scheme administrator considers relevant.
(3) Where the scheme administrator determines, upon a recalculation under this regulation, that the amount of a relevant authority’s chargeable disposal costs in relation to an assessment year is greater or less than the amount previously notified to the relevant authority—
(a) the scheme administrator must give the relevant authority a notice under regulation 83;
(b) if the relevant authority’s recalculated chargeable disposal costs are greater than the amount paid to the relevant authority in relation to the assessment year, the scheme administrator must increase the amount to be paid to the relevant authority under regulation 76 in the assessment year in which the recalculation is made, or a subsequent assessment year, to cover the difference;
(c) if the relevant authority’s recalculated chargeable disposal costs are less than the amount paid to the relevant authority in relation to the assessment year, the scheme administrator must deduct the amount of the excess from the amount to be paid to the relevant authority under regulation 76 in the assessment year in which the recalculation is made, or a subsequent assessment year.
(1) The scheme administrator may carry out an interim recalculation or a year-end recalculation in relation to—
(a) a single liable producer or relevant authority;
(b) more than one liable producer or relevant authority, at the same or different times; or
(c) all liable producers or relevant authorities.
(2) The scheme administrator may, in relation to the same liable producer or relevant authority, carry out in relation to an assessment year—
(a) both an interim recalculation and a year-end recalculation; or
(b) more than one of either type or both types of recalculation.
(3) The scheme administrator may determine that no further interim recalculations in relation to an assessment year are to be commenced after a date in the assessment year specified by the scheme administrator.
(4) If the scheme administrator makes a determination under paragraph (3), it must give notice of that determination to all liable producers and relevant authorities.
(5) The scheme administrator may not make a year-end recalculation—
(a) more than 4 years after the end of the assessment year to which the recalculation relates (“the four-year period”), unless paragraph (6) applies; or
(b) more than 10 years after the end of the assessment year to which the recalculation relates, in any event.
(6) This paragraph applies if—
(a) the scheme administrator obtains information giving it reasonable grounds to consider that there is likely to be a material difference as referred to in regulation 79(1) or 80(1) after the end of the four-year period; and
(b) the scheme administrator did not obtain the information earlier because of—
(i) deliberate action or omission by a producer, or a relevant authority or a person acting on their behalf; or
(ii) the failure by a producer to comply with its obligations under these Regulations.
(7) Where paragraph (6) applies, the scheme administrator must complete any subsequent recalculation as soon as reasonably practicable after the scheme administrator has obtained the new information.
(8) Whether to carry out a recalculation, and subject to paragraphs (3) to (7) the timing of any recalculation, are matters for the discretion of the scheme administrator, and no liable producer or relevant authority has a right to have a recalculation carried out, or to have a recalculation carried out within any particular time.
(9) Paragraph (8) does not apply to a recalculation which is necessary to give effect to a decision of an appeal body.
(10) Any notice served on a liable producer by the scheme administrator under regulation 67 or 82 remains valid unless it is withdrawn by the scheme administrator or replaced by a new notice, and the producer remains liable to pay the amount specified in such a notice notwithstanding that the scheme administrator—
(a) is carrying out a recalculation, or a further recalculation, of the producer’s disposal fee or administration fee; or
(b) has grounds for carrying out such a recalculation.
(1) Paragraph (2) applies where the scheme administrator has carried out a recalculation under regulation 79 of the disposal fees or administration fees of one or more liable producers for an assessment year.
(2) Where this paragraph applies, the scheme administrator must serve on each affected producer a notice in writing which must—
(a) state the revised amount of the disposal fee or administration fee payable by the producer for the assessment year;
(b) set out how that revised amount has been calculated;
(c) where the producer’s disposal fee or administration fee has been revised, include a statement of account for the assessment year setting out—
(i) the amount, if any, which the producer has paid towards that fee for the assessment year;
(ii) if the amount paid by the producer is less than the producer’s revised disposal fee or administration fee for the assessment year, the amount owed by the producer;
(iii) if the amount paid by the producer is greater than the producer’s revised disposal fee or administration fee for the assessment year, the amount which the producer is entitled to be credited or refunded;
(d) where the producer owes an amount, state the date by which that amount must be paid;
(e) where a credit or refund is due to the producer, state—
(i) whether a credit or a refund will be made; and
(ii) the date on which the credit or refund will be made;
(f) include any other information which would be required by regulation 67(2) in a notice of liability under that regulation;
(g) provide information on the scheme administrator’s complaints procedure; and
(h) set out the right of appeal under regulation 105(1)(b).
(3) A notice issued in relation to an assessment year to an affected producer under paragraph (2) replaces any notice previously served on the producer under regulation 67 or this regulation in relation to that assessment year.
(4) Regulation 68 (payments and interest) applies in relation to an amount owed by a producer pursuant to a notice under paragraph (2).
(5) In this regulation an “affected producer” means a producer whom the scheme administrator has determined upon a recalculation is—
(a) liable to pay an increased disposal fee in respect of an assessment year; or
(b) entitled to be credited or refunded part of the amount of the disposal fee the producer has paid, or has previously been notified that it is liable to pay, in respect of the assessment year.
(1) Paragraph (2) applies where the scheme administrator has carried out a recalculation under regulation 80 of the chargeable disposal costs of one or more relevant authorities.
(2) Where this paragraph applies, the scheme administrator must give each affected relevant authority a notice in writing which must—
(a) state the revised amount of the relevant authority’s chargeable disposal costs for the assessment year;
(b) set out how that revised amount has been calculated;
(c) include a statement of the difference between—
(i) each of the costs for the assessment year notified to the relevant authority under regulation 74; and
(ii) the relevant authority’s revised chargeable disposal costs for the assessment year, as calculated under regulation 80;
(d) state the amount which will be—
(i) paid to the relevant authority; or
(ii) deducted from the monies to be distributed to the relevant authority;
(e) state the date when—
(i) any additional distribution will be made to the relevant authority; or
(ii) the deduction referred to in sub-paragraph (d)(ii) will be made;
(f) provide information on the scheme administrator’s complaints procedure; and
(g) set out the right of appeal under regulation 105(4)(a)(iii).
(3) A notice in relation to an assessment year given to an affected relevant authority under paragraph (2) replaces any notice previously given to the relevant authority under regulation 74 or this regulation in relation to that assessment year.
(4) In this regulation an “affected relevant authority” means, in relation to a recalculation under regulation 80, a relevant authority whose chargeable disposal costs in respect of an assessment year are revised by the scheme administrator upon that recalculation.
(1) In this Part and in Schedule 8—
“accredited” means accredited under Chapter 3 of this Part to issue PRNs or PERNs;
“exporter” means a person who, in the ordinary course of business, exports for recycling outside the United Kingdom packaging waste which—
is owned by that person; or
that person has owned, prior to transferring ownership of it to an operator of an overseas reprocessing site;
“issue”, in relation to a PRN or PERN, means to supply to a producer or scheme operator, or to the representative of a producer or scheme operator, and an accredited reprocessor or exporter who is also a producer or scheme operator may issue a PRN or PERN to itself;
“overseas reprocessing site” means a site outside the United Kingdom at which recycling of packaging waste takes place;
“PERN” means a packaging waste export recycling note issued by an accredited exporter in a format specified by the appropriate agency, as evidence that the tonnage of packaging waste specified in the note has been exported and received for recycling at an overseas reprocessing site;
“PRN” means a packaging waste recycling note issued by an accredited reprocessor in a format specified by the appropriate agency, as evidence that the tonnage of packaging waste specified in the note has been received for recycling at a reprocessing site;
“relevant authorisation” has the meaning given in paragraph (3), read together with paragraphs (4) and (5);
“reprocessing site”, except in the expression “overseas reprocessing site”, means a site in the United Kingdom at which recycling of packaging waste takes place;
“reprocessor” means a person who, in the ordinary course of business, carries out one or more recycling activities in relation to packaging waste;
“sampling and inspection plan”—
in relation to a reprocessor (“R”), means a plan setting out R’s arrangements for undertaking sampling and inspection of the packaging waste received for recycling at a reprocessing site operated by R;
in relation to an exporter (“E”), means a plan setting out E’s arrangements for undertaking sampling and inspection of the packaging waste E exports;
“tonnage band” means one of the following ranges of amounts of packaging waste—
up to 500 tonnes;
up to 5,000 tonnes;
up to 10,000 tonnes; or
over 10,000 tonnes.
(2) In this Part and Schedule 8—
(a) a reference to a “category” of packaging waste is a reference to packaging waste composed of one of the materials listed in regulation 7(5)(a) to (g);
(b) a reference to an accreditation “corresponding” to a registration, or vice versa, is a reference to—
(i) a registration and an accreditation held by, or applied for by, the same reprocessor which relate to the same category of packaging waste recycled at the same reprocessing site; or
(ii) a registration and an accreditation held by, or applied for by, the same exporter which relate to the same category of packaging waste.
(3) In this Part and Schedule 8, “relevant authorisation”, in relation to a reprocessor or exporter, means any authorisation, licence, permit or registration listed in paragraph (4) which that person is required by any legislation to have, in order to—
(a) carry out any of the activities which that person carries out in relation to packaging waste; or
(b) operate any site at which that person carries out those activities.
(4) The authorisations, licences, permits and registrations referred to in paragraph (3) are—
(a) a waste management licence granted under section 36 of the 1990 Act;
(b) a permit granted under—
(i) regulation 13(1) of the Environmental Permitting (England and Wales) Regulations 2016;
(ii) the Pollution Prevention and Control (Scotland) Regulations 2012; or
(iii) regulation 10 of the Pollution Prevention and Control (Industrial Emissions) Regulations (Northern Ireland) 2013;
(c) an authorisation granted under the Environmental Authorisations (Scotland) Regulations 2018;
(d) an authorisation granted under article 6 of the Industrial Pollution Control (Northern Ireland) Order 1997;
(e) a licence granted under article 8 of the Waste and Contaminated Land (Northern Ireland) Order 1997;
(f) registration as a carrier of waste, under—
(i) the Controlled Waste (Registration of Carriers and Seizure of Vehicles) Regulations 1991;
(ii) the Control of Pollution (Amendment) Act 1989 and the Waste (England and Wales) Regulations 2011; or
(iii) the Controlled Waste (Registration of Carriers and Seizure of Vehicles) Regulations (Northern Ireland) 1999;
(g) registration as a broker or dealer of waste, under—
(i) the Control of Pollution (Amendment) Act 1989 and the Waste (England and Wales) Regulations 2011;
(ii) the Waste Management Licensing (Scotland) Regulations 2011; or
(iii) the Waste Management Licensing Regulations (Northern Ireland) 2003.
(5) A requirement for a person to have a relevant authorisation for an activity is to be treated as met if the activity does not require an authorisation listed in paragraph (4) by virtue of—
(a) an exemption registered under regulation 19 of the Waste Management Licensing (Scotland) Regulations 2011;
(b) an exempt waste operation under the Environmental Permitting (England and Wales) Regulations 2016;
(c) registration in connection with exempt activities under regulation 18 of the Waste Management Licensing Regulations (Northern Ireland) 2003.
(1) A reprocessor (“R”) must, on and after 1st January 2026, be registered with the appropriate agency—
(a) separately for each category of packaging waste recycled at each reprocessing site operated by R;
(b) for any year in which that category of packaging waste is recycled at that reprocessing site.
(2) R must submit to the appropriate agency a separate application for registration as a reprocessor for each category of packaging waste recycled at each reprocessing site for which R wishes to be registered, stating in each case which recycling operations R wishes that registration to cover.
(3) An application for registration under this regulation must be made—
(a) on or before 1st October 2025; or
(b) if later, before the end of a period of 28 days starting with the day on which R first recycles the category of packaging waste to which the application relates at the reprocessing site to which the application relates.
(4) An application for registration under this regulation must—
(a) be made in such form and manner as the appropriate agency specifies;
(b) contain the information set out in paragraphs 1 to 9 of Schedule 8;
(c) be accompanied by a sampling and inspection plan for the reprocessing site to which the application relates, for approval by the appropriate agency; and
(d) be accompanied by such other information as the appropriate agency reasonably requires to determine the application.
(5) The charge in paragraph 5(1) of Schedule 1 must be paid for each application for registration made by a reprocessor, when the application is made.
(6) Any information provided by a reprocessor to the appropriate agency in, or in relation to, an application for registration must be as accurate as reasonably possible.
(1) An exporter (“E”) must, on and after 1st January 2026, be registered with the appropriate agency—
(a) separately in relation to each category of packaging waste that E exports for recycling;
(b) for any year in which E exports that category of packaging waste for recycling.
(2) E must submit to the appropriate agency a separate application for registration as an exporter for each category of packaging waste that E wishes to be registered to export for recycling outside the United Kingdom.
(3) An application for registration under this regulation must be made—
(a) on or before 1st October 2025; or
(b) if later, before the end of a period of 28 days starting with the day on which E first exports the category of packaging waste to which the application relates.
(4) An application for registration under this regulation must—
(a) be made in such form and manner as the appropriate agency specifies;
(b) contain the information set out in paragraphs 10 to 18 of Schedule 8;
(c) be accompanied by a sampling and inspection plan for approval by the appropriate agency; and
(d) be accompanied by such other information as the appropriate agency reasonably requires to determine the application.
(5) The charge in paragraph 5(1) of Schedule 1 must be paid for each application for registration made by an exporter, when the application is made.
(6) Any information provided by an exporter to the appropriate agency in, or in relation to, an application for registration must be as accurate as reasonably possible.
(1) An application for registration as a reprocessor or an exporter must be determined by the appropriate agency before the end of a period of 12 weeks starting with—
(a) the day on which an application in accordance with regulation 85(4) or 86(4) is submitted to the appropriate agency; or
(b) if later, the day on which it receives payment of the charge payable for the application under regulation 85(5) or 86(5).
(2) The appropriate agency may require the applicant to amend the arrangements described in its sampling and inspection plan as a condition of granting registration.
(3) Subject to paragraph (4), an application for registration must be granted where—
(a) the applicant has complied with regulation 85(4) to (6) or regulation 86(4) to (6), as applicable;
(b) the appropriate agency is satisfied that the applicant holds all relevant authorisations; and
(c) the appropriate agency approves the arrangements proposed in the sampling and inspection plan,
and must otherwise be refused.
(4) The appropriate agency may refuse an application for registration under this regulation if the agency considers, on reasonable grounds, that the applicant has supplied information in, or in relation to, the application which is false or misleading in a material particular.
(5) When an application for registration has been determined—
(a) the appropriate agency must serve on the applicant notice in writing of its decision within 28 days of the day on which it is made; and
(b) if the application has been refused, the notice must include—
(i) the reasons for the refusal; and
(ii) the right of appeal under regulation 104(3)(a).
(6) The appropriate agency may require the applicant to pay the charge in paragraph 5(2) of Schedule 1, if the arrangements described in the applicant’s sampling and inspection plan are changed before registration, whether at the request of the appropriate agency or otherwise.
(1) A registration granted to a reprocessor or an exporter is subject to the conditions that the reprocessor or exporter (“RE”) must—
(a) operate in accordance with the sampling and inspection plan approved by the appropriate agency under regulation 87(3)(c);
(b) provide any information reasonably requested by the appropriate agency with regard to the obligation referred to in sub-paragraph (a);
(c) inform the appropriate agency in writing of—
(i) any change in RE’s circumstances which relates to the registration and, where RE is a partnership, any change of partners; and
(ii) any material change in the information provided in accordance with regulation 85(4)(b) or 86(4)(b),
within 28 days of the occurrence of any such change;
(d) provide records and reports to the appropriate agency as required by regulation 91;
(e) pay any charges due to the appropriate agency under these Regulations;
(f) give notice to the appropriate agency in writing that RE wishes to cancel the registration where RE has ceased, or intends to cease by the end of the year in which the notice is given—
(i) in the case of a reprocessor, to recycle the category of packaging waste to which the registration relates at the reprocessing site to which the registration relates;
(ii) in the case of an exporter, to export for recycling the category of packaging waste to which the registration relates;
(g) continue to hold, and comply with, all relevant authorisations;
(h) comply, where applicable, with—
(i) the Transfrontier Shipment of Waste Regulations 2007;
(ii) Regulation (EC) No 1013/2006 of the European Parliament and of the Council on shipments of waste; and
(iii) Commission Regulation (EC) No 1418/2007 concerning the export for recovery of certain waste listed in Annex III or IIIA to Regulation (EC) No 1013/2006 of the European Parliament and of the Council to certain countries to which the OECD Decision on the control of transboundary movements of wastes does not apply;
(i) inform the appropriate agency as soon as reasonably practicable if RE becomes aware that a circumstance in Schedule 2 has happened or is about to happen to it.
(2) RE must, in relation to each registration that it holds, pay the annual charge in paragraph 5(3) of Schedule 1 to the appropriate agency no later than 30th September in each year after the year in which the registration is granted, unless RE has given notice to the appropriate agency under paragraph (1)(f) that it wishes the registration to be cancelled at or before the end of that year.
(1) If a registered reprocessor or exporter (“RE”) wishes to operate otherwise than in accordance with the sampling and inspection plan approved by the appropriate agency under regulation 87(3)(c) or 97(1)(a) (“the approved plan”), RE must—
(a) submit an amended sampling and inspection plan to the appropriate agency; and
(b) pay the charge—
(i) in paragraph 5(2) of Schedule 1 where the plan has been approved under regulation 87(3)(c); or
(ii) in paragraph 6(4) of Schedule 1, where the plan has been approved under regulation 97(1)(a).
(2) The appropriate agency must determine whether it approves the amendments to the plan, and serve on RE notice in writing of its decision, before the end of a period of 12 weeks starting with—
(a) the date on which it receives the amended sampling and inspection plan; or
(b) if later, the date on which it receives payment of the charge referred to in paragraph (1)(b).
(3) RE must continue to operate in accordance with the approved plan until the appropriate agency notifies it that the amendments are approved.
90 Cancellation of registration of reprocessors and exporters
(1) The appropriate agency may cancel a registration with it of a reprocessor or an exporter (“RE”) where it appears to the appropriate agency that—
(a) RE is in breach of any of the conditions of that registration in regulation 88(1); or
(b) RE knowingly or recklessly supplied information which is false or misleading in a material particular, in connection with RE’s application for that registration, or in connection with compliance with any of the conditions of that registration in regulation 88(1).
(2) The appropriate agency must cancel all registrations with it of RE where it appears to the appropriate agency that—
(a) RE has died or become incapacitated, or one of the relevant circumstances referred to in paragraph 4 of Schedule 2 applies to RE and RE has ceased trading;
(b) if RE is a body corporate or a partnership one of the relevant circumstances referred to in paragraph 2 or 3 of Schedule 2 applies to RE and RE has ceased trading; or
(c) if RE is a partnership, RE has been wound up.
(3) Before cancellation of a registration under paragraph (1) or (2) above, the appropriate agency must serve on RE written notice of—
(a) its decision to cancel;
(b) the reasons for the decision;
(c) the date when cancellation will take effect, not being earlier than the date of receipt of the notice;
(d) the right of appeal under regulation 104(3)(b); and
(e) a statement advising RE that failure to comply with the requirement for registration in regulation 85 or 86 constitutes an offence under regulation 117.
(4) Paragraph (3) does not apply where a registration is being cancelled because RE has died.
91 Records and reporting requirements for registered reprocessors and exporters
(1) Registered reprocessors and exporters must—
(a) maintain, and retain for at least 7 years after the record is made, records of the information set out in paragraph 20 or 21 of Schedule 8, as applicable;
(b) report that information to the appropriate agency—
(i) in quarterly reports, before the 21st day of the month following the end of the quarter; and
(ii) in annual reports, before 21st March in the year following the year to which the report relates;
(c) make the records available to the appropriate agency on demand.
(2) The quarterly and annual reports required under paragraph (1)(b) are to be—
(a) made in such form as the appropriate agency specifies;
(b) verified by the signature of an approved person of the reprocessor or exporter.
(3) Where a reprocessor or exporter (“RE”) with a registration under this Chapter also has a corresponding accreditation under Chapter 3—
(a) paragraph (1) does not apply to RE in relation to packaging waste to which that accreditation applies; and
(b) the record keeping and reporting obligations of RE in relation to that packaging waste are those specified in the conditions of accreditation in Part 3 of Schedule 8.
92 Prohibition on issuing PRNs and PERNs unless accredited
(1) A person (“R”) must not, on or after 1st January 2026, issue a PRN unless—
(a) the PRN relates to packaging waste received for recycling at a reprocessing site operated by R;
(b) at the time the packaging waste is received at that reprocessing site, R is accredited in accordance with this Chapter to issue PRNs in relation to the recycling of the category of packaging waste to which the PRN relates at that reprocessing site; and
(c) the PRN is issued either—
(i) in the same year that the packaging waste is received at that reprocessing site; or
(ii) no later than 31st January in the following year.
(2) A person (“E”) must not, on or after 1st January 2026, issue a PERN unless—
(a) the PERN relates to packaging waste exported by E to an overseas reprocessing site for recycling;
(b) at the times the packaging waste is exported to, and received by, that overseas reprocessing site, E is accredited to issue PERNs in relation to the export of the category of packaging waste to which the PERN relates for recycling at that overseas reprocessing site; and
(c) the PERN is issued either—
(i) in the same year that the packaging waste is received at that overseas reprocessing site; or
(ii) no later than 31st January in the following year.
(1) A person may not be accredited under this Chapter to issue PRNs in relation to a category of packaging waste recycled at a reprocessing site unless the person is—
(a) a reprocessor;
(b) established in the United Kingdom; and
(c) registered under regulation 85 in relation to that category of packaging waste and reprocessing site.
(2) A person may not be accredited under this Chapter to issue PERNs in relation to a category of packaging waste exported to an overseas reprocessing site unless the person is—
(a) an exporter;
(b) established in the United Kingdom; and
(c) registered under regulation 86 in relation to the export of that category of packaging waste to overseas reprocessing sites for recycling.
(3) Paragraphs (1)(c) and (2)(c) do not prevent a person who applies for a registration from applying for a corresponding accreditation at the same time, or before the application for registration has been determined, but in such a case the appropriate agency must determine the application for registration first.
(1) This regulation applies to a reprocessor wishing to be accredited under this Chapter to issue PRNs in a year or part of a year (“R”).
(2) R must make a separate application to the appropriate agency for accreditation for each category of packaging waste recycled at each reprocessing site for which R wishes to issue PRNs.
(3) Each application must—
(a) state—
(i) the reprocessing site and the category of packaging waste in relation to which the application is being made;
(ii) the tonnage band of packaging waste in that category to be recycled at that reprocessing site for which the applicant is applying to be accredited to issue PRNs; and
(iii) all information specified on the application form; and
(b) be accompanied by—
(i) R’s sampling and inspection plan for the reprocessing site to which the application relates; and
(ii) R’s business plan, which must include the information specified in regulation 96(4).
(4) R must provide the appropriate agency with any other information the appropriate agency reasonably requires in order to determine the application.
(1) This regulation applies to an exporter wishing to be accredited under this Chapter to issue PERNs in a year or part of a year (“E”).
(2) E must make a separate application to the appropriate agency for accreditation for each category of packaging waste exported by E for which E wishes to issue PERNs.
(3) Each application must—
(a) state—
(i) the category of packaging waste for which the application is being made;
(ii) the tonnage band of packaging waste in that category which E intends to export for recycling, for which E wishes to be accredited to issue PERNs;
(iii) if known at the time of making the application, the name and address of each overseas reprocessing site to which E intends to export that category of packaging waste;
(iv) all information specified on the application form; and
(b) be accompanied by—
(i) E’s sampling and inspection plan; and
(ii) E’s business plan, which must include the information specified in regulation 96(4).
(4) E must provide the appropriate agency with any other information the appropriate agency reasonably requires in order to determine the application.
96 Applications for accreditation: general requirements
(1) An application by a reprocessor or exporter (“RE”) for an accreditation under this Chapter must be—
(a) made in such form and manner as the appropriate agency specifies; and
(b) signed by an approved person of RE to verify the information provided in the application and the documents accompanying it.
(2) Any information provided by RE in, or in relation to, an application for accreditation must be as accurate as reasonably possible.
(3) The following charge must be paid at the time the application is made—
(a) the charge in paragraph 6(1) of Schedule 1, for an application by a reprocessor; or
(b) the charge in paragraph 6(2) of Schedule 1, for an application by an exporter.
(4) For the purposes of regulations 94(3)(b)(ii) and 95(3)(b)(ii) a reprocessor or exporter’s business plan must contain information on how its revenue from the issue of PRNs or PERNs is to be applied, including information on expenditure in respect of the following matters—
(a) investment in infrastructure for recycling or exporting, including both the development of new infrastructure, and support and maintenance of existing infrastructure;
(b) price support provided for buying packaging waste or selling recycled packaging waste;
(c) support for business collections;
(d) communications, including national and local information campaigns, and direct contacts with suppliers;
(e) the development of new markets for materials or goods made from recycled packaging waste in the United Kingdom and overseas;
(f) the development of new uses for recycled packaging waste.
(5) The appropriate agency may request RE to amend RE’s sampling and inspection plan or business plan as a condition of granting an accreditation.
(6) If RE amends its sampling and inspection plan or business plan before an application for accreditation has been determined, whether at the request of the appropriate agency or otherwise—
(a) RE must submit an amended plan to the appropriate agency; and
(b) the appropriate agency may require RE to pay the charge in paragraph 6(4) of Schedule 1 before it determines whether it approves, or is satisfied with the contents of, the plan.
(1) An application by a reprocessor or exporter for an accreditation under this Chapter—
(a) must be granted where the appropriate agency approves RE’s sampling and inspection plan and is satisfied as to the matters set out in paragraph (2), and
(b) in any other case, must be refused.
(2) The matters referred to in paragraph (1)(a) are—
(a) that the application has been made in accordance with—
(i) regulation 94 or 95, as applicable; and
(ii) regulation 96;
(b) that any charges payable in relation to the application have been paid;
(c) that RE—
(i) has a registration that corresponds to the accreditation RE has applied for; and
(ii) is a fit and proper person to be granted an accreditation;
(d) the contents of RE’s business plan;
(e) where the application is made by an exporter for an accreditation and relates to one or more overseas reprocessing sites, that any recycling operations taking place on each such site take place under conditions that are broadly equivalent to requirements applicable to reprocessing sites in the United Kingdom.
(3) The appropriate agency must, within 12 weeks of the day on which it has received an application which complies with paragraph (2)(a) and (b)—
(a) determine the application; and
(b) serve on the applicant notice in writing of its decision.
(4) Where the decision is to grant an accreditation to a reprocessor, the decision notice must state—
(a) the category of packaging waste and the reprocessing site in relation to which the accreditation is granted;
(b) the tonnage band for which the reprocessor is accredited to issue PRNs; and
(c) if applicable, any special conditions subject to which the accreditation is granted.
(5) Where the decision is to grant an accreditation to an exporter, the decision notice must state—
(a) the category of packaging waste in relation to which the accreditation is granted;
(b) the tonnage band for which the exporter is accredited to issue PERNs;
(c) except where the application was made without specifying any overseas reprocessing sites, the overseas reprocessing site or sites in relation to which accreditation is granted; and
(d) if applicable, any special conditions subject to which the accreditation is granted.
(6) If the decision is to refuse an accreditation, or to grant an accreditation subject to any special conditions, the decision notice must include the reasons for the decision and, where applicable, a statement of the right of appeal under regulation 104(3)(c) or (d).
(7) Subject to paragraph (8) and to regulation 100, where an accreditation is granted it is to take effect—
(a) where the application is made in the preceding year to that in which the person wishes to be accredited—
(i) from 1st January where the decision to accredit is made before that date; and
(ii) in all other cases, from the date of the decision,
and it remains in force until the end of the calendar year for which the person has applied for the accreditation;
(b) where the application is made during the year in which the person wishes to be accredited, from the date of the decision, and it remains in force until the end of that calendar year.
(8) Where an exporter has not identified in their application for accreditation the overseas reprocessing sites to which the exporter wishes to export packaging waste for recycling, their accreditation does not take effect until one or more overseas reprocessing sites have been added to the accreditation on an application under regulation 99(3).
(9) In this regulation, a “special condition” means a condition of an accreditation specified by the appropriate agency, which is to apply in addition to the conditions referred to in regulation 98(b)(i) and (ii).
An accreditation granted to a reprocessor or exporter (“RE”) under this Chapter is subject to the conditions that RE—
(a) continues to meet the requirements for accreditation in regulation 93(1) or (2), as applicable;
(b) complies with—
(i) the conditions of registration in regulation 88;
(ii) the conditions in Part 3 of Schedule 8; and
(iii) any special conditions specified by the appropriate agency under regulation 97(4)(c) or (5)(d) in the grant of accreditation;
(c) informs the appropriate agency in writing of—
(i) any change in RE’s circumstances which relates to RE’s accreditation and, where RE is a partnership, any change of partners; and
(ii) any material change in the information provided in accordance with regulation 94(3) or 95(3),
at least 28 days before the occurrence of any such change, or, if later, as soon as reasonably practicable after RE becomes aware that the change is going to occur or has occurred; and
(d) does not issue any PRNs or PERNs otherwise than in accordance with regulation 92.
(1) A reprocessor or exporter (“RE”) may apply to the appropriate agency to vary an accreditation under this Chapter by increasing the tonnage band of a category of packaging waste for which RE is accredited to issue PRNs or PERNs.
(2) An application under paragraph (1) must—
(a) be made in such form and manner as the appropriate agency specifies;
(b) state the new tonnage band of packaging waste for which RE wishes to be accredited; and
(c) be accompanied by payment of the charge in paragraph 6(5) of Schedule 1.
(3) An exporter (“E”) may apply to the appropriate agency to vary an accreditation to specify one or more overseas reprocessing sites, or additional overseas reprocessing sites, in respect of which E is accredited to issue PERNs in relation to packaging waste of the category specified in the accreditation which it exports for recycling to those sites.
(4) An application under paragraph (3) must—
(a) be made in such form and manner as the appropriate agency specifies;
(b) state the name and address of each overseas reprocessing site that E wishes to be specified in the accreditation; and
(c) be accompanied by payment of the charge in paragraph 6(6) of Schedule 1 for each such overseas reprocessing site.
(5) An application under paragraph (1) or (3) must be granted by the appropriate agency where—
(a) the application has been made in accordance with paragraph (2) or (4), as applicable;
(b) the charge payable for the application has been paid;
(c) the appropriate agency is satisfied that RE has complied with, and will continue to comply with, the conditions of accreditation referred to in regulation 98(b); and
(d) in the case of an application under paragraph (3), the appropriate agency is satisfied that the recycling operations at each overseas reprocessing site take place under conditions that are broadly equivalent to requirements applicable to reprocessing sites in the United Kingdom,
and in any other case must be refused.
(6) The appropriate agency must, within 12 weeks of the day on which the agency has received an application which complies with paragraph (2) or (4), as applicable—
(a) determine the application; and
(b) serve on the applicant notice in writing of its decision.
(7) If the application is refused, the notice of decision must include the reasons for the decision and, where applicable, a statement of the right of appeal under regulation 104(3)(e).
(1) The appropriate agency may suspend or cancel an accreditation held by a reprocessor or exporter (“RE”) under this Chapter where it appears to it that—
(a) RE has failed to comply, or there are reasonable grounds for considering that RE is likely to fail to comply, with any of the conditions specified in regulation 98;
(b) RE has knowingly or recklessly supplied information which is false or misleading in a material particular to the appropriate agency in, or in connection with—
(i) an application for a registration under regulation 85 or 86;
(ii) an application for an accreditation under regulation 94 or 95;
(iii) an application to vary an accreditation under regulation 99; or
(iv) any other requirement of these Regulations; or
(c) RE is not, or has at any time ceased to be, a fit and proper person.
(2) Where the appropriate agency is no longer satisfied that the requirements in regulation 97(2)(e) or 99(5)(d), as applicable, are met in relation to an overseas reprocessing site covered by an accreditation held by an exporter, the appropriate agency must suspend or cancel the accreditation to the extent that it relates to exports to that site.
(3) The appropriate agency must cancel an accreditation of RE where RE’s corresponding registration is cancelled under regulation 90.
(4) Where the appropriate agency suspends or cancels an accreditation under paragraph (1), (2) or (3), it must serve on RE written notice of—
(a) its decision to suspend or cancel (as the case may be) the accreditation;
(b) the reasons for the decision;
(c) the right of appeal under regulation 104(3)(f);
(d) the date when the suspension or cancellation will take effect, not being earlier than the date of receipt of the notice; and
(e) in the case of a suspension, the period of the suspension or any steps which are required to be taken in order to bring the suspension to an end.
(5) An accreditation of RE is deemed to be cancelled—
(a) on the date on which RE ceases—
(i) to hold a relevant authorisation; or
(ii) to be a reprocessor or exporter; or
(b) in a case where RE requests that the accreditation should be cancelled, with effect from the date for cancellation specified by RE.
In this Part, “appeal body” means—
(a) in relation to England and Wales, the First-tier Tribunal;
(b) in relation to Northern Ireland, the Planning Appeals Commission;
(c) in relation to Scotland, for an appeal under—
(i) regulation 104, the Scottish Ministers;
(ii) regulation 105, the sheriff.
104 Right of appeal: decisions of the appropriate agency and civil sanctions
(1) A producer may appeal to the appeal body against a decision of the appropriate agency—
(a) to refuse to grant an application for registration under regulation 30(1); or
(b) to cancel the producer’s registration under regulation 32(1).
(2) A scheme operator may appeal to the appeal body against a decision of the appropriate agency—
(a) to refuse to grant an application for approval of a compliance scheme under regulation 47(4);
(b) to grant approval subject to additional conditions under regulation 48(2);
(c) to withdraw approval of a compliance scheme under regulation 49(1)(a) or (3);
(d) to refuse to grant an application for registration of a compliance scheme under regulation 52(1);
(e) to cancel the registration of a compliance scheme under regulation 54(1) or (2).
(3) A reprocessor or exporter may appeal to the appeal body against a decision of the appropriate agency—
(a) to refuse to grant an application for a registration under regulation 87(3) or (4);
(b) to cancel a registration under regulation 90(1) or (2);
(c) to refuse an accreditation under regulation 97(1);
(d) to grant an accreditation subject to a special condition under regulation 97(4)(c) or 97(5)(d);
(e) to refuse to vary an accreditation under regulation 99(5); or
(f) to suspend or cancel accreditation under regulation 100(1), (2) or (3).
(4) A holding company may appeal to the appeal body against a decision of the appropriate agency—
(a) to refuse to grant an application for a group registration under regulation 30 as applied by paragraph 4(4) of Schedule 9;
(b) to cancel a group registration under regulation 32 as applied by paragraph 4(6) of Schedule 9.
(5) An approved person may appeal to the appeal body against a decision of the appropriate agency—
(a) to refuse to approve a delegation of the approved person’s functions under regulation 133(3); or
(b) to withdraw such an approval under regulation 134(5).
(6) A person—
(a) on whom a civil sanction has been imposed under regulation 121; or
(b) to whom an enforcement cost recovery notice has been issued under regulation 123,
may appeal to the appeal body against the imposition of that sanction or the issue of that notice.
(7) A person who has applied under paragraph 23 of Schedule 13 for a certificate that an enforcement undertaking has been complied with may appeal to the appeal body against a decision not to issue such a certificate.
105 Right of appeal: disposal costs and scheme administrator costs
(1) A producer may appeal to the appeal body against a decision of the scheme administrator—
(a) to serve a notice of liability to pay a disposal fee or administration fee on the producer under or 67A;
(b) to serve a notice of a revised fee on the producer under regulation 82.
(2) A holding company may appeal to the appeal body against a decision of the scheme administrator—
(a) to serve a notice of liability to pay a disposal fee or administration fee on the holding company under regulation 67 (as applied in relation to the holding company by paragraph 6 of Schedule 9) in relation to relevant group members within a group registration;
(b) to serve a notice of a revised fee on the holding company under regulation 82 (as applied in relation to the holding company by paragraph 6 of Schedule 9) in relation to such relevant group members.
(3) The grounds for an appeal under paragraph (1) or (2) are that—
(a) the producer or holding company is not liable to pay a disposal fee or administration fee; or
(b) the amount which the producer or holding company has been assessed as being liable to pay has been miscalculated.
(4) A relevant authority may appeal to the appeal body against—
(a) a decision of the scheme administrator—
(i) assessing its chargeable disposal costs under Chapter 4 of Part 5;
(ii) as to the amount to be distributed to the relevant authority under Chapter 4 of Part 5; or
(iii) recalculating its chargeable disposal costs under Chapter 5 of Part 5;
(b) a notice by the scheme administrator under regulation 76(6) that it intends to reduce a payment to the relevant authority;
(c) a decision by the scheme administrator under regulation 77(5), where it has determined a complaint by the relevant authority and that paragraph applies, that information provided by the relevant authority in support of the complaint was not relevant to its decision.
(5) The grounds for an appeal under paragraph (4)(a) are that—
(a) the chargeable disposal costs of the relevant authority have been miscalculated;
(b) the scheme administrator has reduced the disposal costs of the relevant authority when it was not entitled to do so under regulation 71(3) or 72(8);
(c) that the scheme administrator has failed to comply with a procedural requirement in Chapter 4 or 5 of Part 5 which applies in relation to the decision in question;
(d) that the scheme administrator has failed to pay the correct amount to the relevant authority under regulation 76.
(6) The ground for an appeal under paragraph (4)(b) is that the scheme administrator’s determination of how to apportion the total amount available to be divided between relevant authorities is wrong.
(7) The ground for an appeal under paragraph (4)(c) is that the information provided by the relevant authority in support of the complaint was relevant to the decision to uphold the complaint.
(8) No appeal may be brought under paragraph (1), (2) or (4)(a) or (b) of this regulation unless the appellant has first brought a complaint under the scheme administrator’s complaints procedure about the decision or notice appealed against.
(9) Expressions used in this regulation which are defined in regulation 57(1) have the meanings given in that regulation.
(1) The appeal body may, in relation to a decision, or the imposition of a civil sanction or issue of a notice which is the subject of an appeal under regulation 104 or 105—
(a) quash the decision, or withdraw the civil sanction or the notice, in whole or in part;
(b) confirm the decision, civil sanction or notice, in whole or in part;
(c) vary the decision, civil sanction or notice in whole or in part;
(d) take any steps the appropriate agency or the scheme administrator could take in relation to the matters giving rise to the decision, or the act or omission giving rise to the civil sanction or the notice;
(e) remit the decision, including a decision whether to confirm the civil sanction or the notice, or any matter relating to that decision, to the appropriate agency or the scheme administrator.
(2) Where an appeal is made to the Scottish Ministers, they may—
(a) appoint any person to exercise on their behalf, with or without payment, the function of determining the appeal; or
(b) refer any matter involved in the appeal to such person as the Scottish Ministers may appoint for the purpose, with or without payment.
(3) Where an appeal is made to the Scottish Ministers or the Planning Appeals Commission, if the appellant so requests, or the Scottish Ministers or Planning Appeals Commission so decide, the appeal must be in the form of a hearing.
(4) Schedule 11 makes further provision about the procedure on an appeal.
(1) Where an appeal is made to the appeal body under regulation 104 or 105, subject to paragraphs (2) and (3), the decision, civil sanction or notice which is the subject of the appeal has effect until the appeal is determined or withdrawn, unless the appeal body decides otherwise.
(2) Any—
(a) civil sanction imposed under regulation 121, other than a compliance notice; or
(b) enforcement cost recovery notice issued under regulation 123,
which is the subject of an appeal is suspended until the appeal is determined or withdrawn.
(3) In the case of an appeal under regulation 104(1)(b), the decision appealed against does not have effect until the appeal is dismissed or withdrawn; and if the appeal is dismissed or withdrawn the decision has effect from the day after the day on which the appeal is dismissed or withdrawn.
Where, following an appeal under regulation 104 or 105, the appeal body determines that a decision of the scheme administrator or the appropriate agency (“the decision maker”) is to be varied or remitted to the decision maker for reconsideration, 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.
(1) The appropriate agency must monitor—
(a) compliance by producers with—
(i) their producer responsibility obligations; and
(ii) the conditions of their registration in regulation 31;
(b) compliance by scheme operators with—
(i) the obligations referred to in regulation 43; and
(ii) the conditions referred to in regulation 48(1);
(c) compliance by reprocessors and exporters with the requirement to register in regulations 85(1) and 86(1) respectively;
(d) compliance by registered reprocessors and exporters with the conditions of registration in regulation 88;
(e) compliance by reprocessors and exporters with the prohibition in regulation 92 on issuing PRNs or PERNs unless the conditions for issuing PRNs or PERNs in that regulation are met;
(f) compliance by accredited reprocessors and exporters with the conditions of accreditation in regulation 98(b) to (d).
(2) The appropriate agency must also monitor the accuracy of the information provided to the appropriate agency by producers, scheme operators, reprocessors and exporters—
(a) in, or in relation to, any application under these Regulations;
(b) in any report, statement or certificate required by these Regulations.
(3) The appropriate agency must, as part of the monitoring undertaken under paragraph (1)(a), monitor a sample of producers each year.
(1) The appropriate agency may, by notice in writing served on a person specified in paragraph (2), require that person to—
(a) maintain records of any information specified in the notice which the appropriate agency reasonably considers it needs for the purposes of its monitoring and enforcement functions under these Regulations; and
(b) supply to the appropriate agency any such information—
(i) in such form; and
(ii) at such time, or within such period following service of the notice,
as is specified in the notice.
(2) The persons referred to in paragraph (1) are—
(a) a person who has, or who the appropriate agency has reason to believe has, producer responsibility obligations;
(b) a scheme operator;
(c) a registered or accredited reprocessor or exporter; or
(d) a person who is, or who the appropriate agency has reason to believe is—
(i) issuing or purporting to issue PRNs or PERNs; or
(ii) engaged in trading in, or brokerage in relation to, PRNs or PERNs.
(1) The appropriate agency must provide to the appropriate authority by 1st December, and publish by 31st December, in each year its proposed monitoring plan in respect of the following calendar year, describing—
(a) its policy in relation to the monitoring it is required to carry out under regulation 109;
(b) details of the monitoring it proposes to carry out in the following calendar year, including details of its proposals to monitor a sample of producers under regulation 109(3).
(2) The appropriate agency must publish by 31st May in each year, beginning with the year 2026, a report setting out—
(a) the monitoring and enforcement activities it has undertaken in the previous calendar year; and
(b) the extent to which those activities have implemented its monitoring plan for the year reported on, including a description of its performance against the monitoring plan.
112 Powers of entry etc: England, Wales and Scotland
(1) A person who appears suitable to the appropriate agency may, for the purposes of that agency’s functions under these Regulations, be authorised in writing by that agency to exercise the powers specified in paragraph (2).
(2) The powers specified in this paragraph are powers corresponding to those set out in section 108(4)(a) to (l) of the Environment Act 1995 (“the 1995 Act”).
(3) In relation to the exercise of powers conferred under paragraph (1), provisions corresponding to the following provisions of the 1995 Act apply—
(a) in relation to England and Wales—
(i) section 108(6) to (7A), (7C) to (7F), (12), (12A) and (13); and
(ii) paragraphs 2 to 6 of Schedule 18;
(b) in relation to Scotland—
(i) section 108(6) to (7E), (12) and (13);
(ii) section 108A; and
(iii) paragraphs 2 to 6 of Schedule 18
(4) For the purposes of this regulation, the 1995 Act is to be read with the modifications in paragraph 1 of Schedule 12.
(1) A person who appears suitable to DAERA may, for the purposes of DAERA’s functions under these Regulations, be authorised in writing by DAERA to exercise the powers specified in paragraph (2).
(2) The powers specified in this paragraph are powers corresponding to those set out in article 72(2)(a) to (k) of the Waste and Contaminated Land (Northern Ireland) Order 1997 (“the 1997 Order”).
(3) In relation to the exercise of powers conferred under paragraph (1), provisions corresponding to the following provisions of the 1997 Order apply—
(a) article 72(4), (5), (9) and (10); and
(b) paragraphs 2 to 5 of Schedule 4.
(4) For the purposes of this regulation, the 1997 Order is to be read with the modifications in paragraph 2 of Schedule 12.
In this Part and in Schedule 13—
“compliance notice” means a notice requiring a person to take such steps as are specified in the notice, within such time as is specified in the notice, to ensure that a contravention of a provision of these Regulations does not occur, continue or recur;
“enforcement agency” means—
the appropriate agency, in relation to—
an offence under regulation 115, 116, 117 or 118; or
any civil sanction specified in the table in Part 1 of Schedule 13, other than a civil sanction referred to in sub-paragraph (b);
the scheme administrator, in relation to a civil sanction imposed for a contravention of regulation 68(4) or paragraph 6(1) of Schedule 9 (failure to pay disposal or administration fees by 50 days after the due date);
“enforcement undertaking” means a written undertaking given by a person to the enforcement agency to take such action as may be specified in the undertaking within such period as may be so specified;
“fixed monetary penalty” means a penalty of the amount specified in paragraph 2(1) of Schedule 13;
“Scottish enforcement agency” means—
SEPA;
the scheme administrator, so far as it is imposing a civil sanction provided for in these Regulations in Scotland;
“variable monetary penalty” means a penalty of such amount as is determined by the enforcement agency.
(1) It is an offence for a producer to whom regulation 25(1) applies—
(a) to carry on business as a producer without being registered, at any time at which the producer is required by regulation 25(1)(a) to be registered;
(b) to fail to apply to the appropriate agency for registration by the date specified in regulation 28(1), (2) , (2A), (2B) or (3), as applicable;
(c) to fail to keep records as required by regulation 25(1)(b); ...
(d) to fail to report information which the producer is required to report by regulation 25(1)(c) or, where it applies to the producer, regulation 25(1)(d) or (3)(c);
(e) to fail to make a report of any of the information referred to in sub-paragraph (d) by the date on which that report is required to be made under regulation 35, 36, 37 or 38 ; or
(f) to report the information described in paragraph 12(2) of Schedule 4 (closed loop packaging waste) for a reporting period without having paid the additional registration charge payable under regulation 29(3)(c) for the relevant year in which that reporting period falls.
(2) Paragraph (1)(a) and (b) do not apply in respect of any period during which, under regulation 30(2)(c), the producer is treated as having been registered.
(3) It is an offence for a producer to whom regulation 25(2) applies to fail—
(a) to comply with the producer’s recycling obligation referred to in regulation 25(2)(a);
(b) to keep evidence as required by regulation 25(2)(b);
(c) to furnish a certificate of compliance as required by regulation 25(2)(c).
(4) A registered producer who does not comply with a condition of registration in regulation 31(b) or (c) (provision of information to the appropriate agency) commits an offence.