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The Producer Responsibility Obligations (Packaging and Packaging Waste) Regulations 2024

Type Statutory-Instrument

Publication 2024-12-11

Last updated 2026-01-01

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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(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 2007⁶⁵;

(ii) Regulation (EC) No 1013/2006 of the European Parliament and of the Council on shipments of waste⁶⁶; 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 apply⁶⁷;

(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.

Variation of sampling and inspection plan

89

(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.

Cancellation of registration of reprocessors and exporters

90

(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

(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;

(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.

Records and reporting requirements for registered reprocessors and exporters

91

(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;

(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.

CHAPTER 3 — Accreditation

Prohibition on issuing PRNs and PERNs unless accredited

92

(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

(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

(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.

Requirements for accreditation

93

(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

(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.

Applications for accreditation: reprocessors

94

(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.

Applications for accreditation: exporters

95

(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.

Applications for accreditation: general requirements

96

(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;

(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.

Determination of accreditation applications

97

(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;

(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

(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).

Conditions of accreditation

98

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;

(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.

Variation of accreditation

99

(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

(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

(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).

Suspension and cancellation of accreditation

100

(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

(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;

(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.

PART 7 — Corporate Groups, Licensors and Pub Operating Businesses

Packaging supplied by corporate groups

101

The provisions of Schedule 9 apply to corporate groups.

Packaging supplied by licensors and their licensees, and by pub operating businesses and their tenants

102

(1) Part 1 of Schedule 10 applies to licensors.

(2) Part 2 of Schedule 10 applies to pub operating businesses.

PART 8 — Appeals

Interpretation

103

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;

(i) regulation 104, the Scottish Ministers;

(ii) regulation 105, the sheriff.

Right of appeal: decisions of the appropriate agency and civil sanctions

104

(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);

(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);

(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.

Right of appeal: disposal costs and scheme administrator costs

105

(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.

Procedure on appeals

106

(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;

(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.

Status pending appeal

107

(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.

Determination of appeals

108

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.

PART 9 — Monitoring and enforcement

CHAPTER 1 — Powers and duties of the appropriate agency

Monitoring

109

(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.

Powers to obtain information

110

(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;

(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.

Monitoring plans and reports

111

(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.

CHAPTER 2 — Powers of entry etc.

Powers of entry etc: England, Wales and Scotland

112

(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 1995⁶⁸ (“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.

Powers of entry etc: Northern Ireland

113

(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 1997⁶⁹ (“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.

PART 10 — Offences and Civil Sanctions

CHAPTER 1 — General

Interpretation

114

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.

CHAPTER 2 — Offences and penalties

Offences: producers

115

(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;

(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);

(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.

Offences: scheme operators

116

It is an offence for a scheme operator—

(a) to operate a compliance scheme without registering the compliance scheme under regulations 43(1)(b) and 51(1);

(b) to breach a condition of the compliance scheme’s registration in regulation 53;

(c) to fail to carry out the obligation to apply for the registration of a member of the compliance scheme under regulation 43(3)(a);

(d) to fail to make an application referred to in sub-paragraph (c) by the date on which that application is required to be made under regulation 44(1)(a);

(e) to fail to report information in relation to a member of the compliance scheme which the scheme operator is required to report under regulations 43(3)(b) and 44(2);

(f) to fail to make a report of any of the information referred to in sub-paragraph (e) by the date on which that report is required to be made under regulation 35, 36, 37 or 38, as those regulations apply by virtue of regulation 44(2);

(g) to fail to carry out the recycling obligations under regulation 43(3)(c) and 44(3);

(h) to fail to keep records and make returns to the appropriate agency as required by regulations 43(6)(a) and 55;

(i) to fail to submit a statement of compliance to the appropriate agency as required by regulation 56;

(j) to fail to give each member of the compliance scheme—

(i) the notice required by regulation 49(5) if approval of the compliance scheme is withdrawn; or

(ii) the notice required by regulation 54(4) if registration of the compliance scheme is cancelled.

Offences: reprocessors and exporters

117

(1) It is an offence for a person to—

(a) operate a reprocessing site at which a category of packaging waste is recycled or accepted for recycling, without being registered with the appropriate agency in accordance with regulation 85 as a reprocessor of that category of packaging waste at that reprocessing site; or

(b) export a category of packaging waste without being registered with the appropriate agency in accordance with regulation 86 as an exporter of that category of packaging waste.

(2) A reprocessor with a registration under regulation 85 or an exporter with a registration under regulation 86 commits an offence if the reprocessor or exporter—

(a) fails to comply with a condition of that registration in regulation 88; or

(b) contravenes a requirement in regulation 91 or in Part 2 of Schedule 8.

(3) It is an offence for a person to—

(a) issue a PRN otherwise than in accordance with regulation 92(1);

(b) issue a PERN otherwise than in accordance with regulation 92(2); or

(c) issue a PRN or a PERN pursuant to information which is false or misleading in a material particular, knowing the information to be false or misleading or being reckless as to whether it is false or misleading.

(4) A reprocessor or exporter who has an accreditation to issue PRNs or PERNs commits an offence if the reprocessor or exporter fails to comply with a condition of that accreditation in regulation 98 or Part 3 of Schedule 8.

Further offences

118

(1) A person who provides any information to the appropriate agency in connection with that agency’s functions under these Regulations, or who provides to a scheme operator any information referred to in regulation 45(1), commits an offence if—

(a) the information is false or misleading in a material particular; and

(b) the person provides the information knowing it to be false or misleading, or being reckless as to whether it is false or misleading.

(2) It is an offence for a person to fail without reasonable excuse—

(a) to comply with any requirement imposed in a notice under regulation 110(1); or

(b) to give an officer of an appropriate agency any assistance or information which that officer reasonably requires in the exercise of their powers under regulation 112.

(3) It is an offence for a person intentionally to delay or obstruct a person authorised by the appropriate agency—

(a) in carrying out monitoring under regulation 109; or

(b) in the exercise of their powers under regulation 112.

(4) Where in accordance with Schedule 9 there is a group registration, the holding company commits an offence if it does not comply with an obligation referred to in sub-paragraph (1)(b) or (c) or (2)(a) or (b) of paragraph 5 of Schedule 9.

(4A) It is an offence in Scotland for—

(a) a licensor to which Part 1 of Schedule 10 applies to fail to—

(i) collect and keep data as required by paragraph 5 of Schedule 10; or

(ii) report data as required by paragraph 6 of Schedule 10;

(b) a pub operating business to which Part 2 of Schedule 10 applies to fail to—

(i) collect and keep data as required by paragraph 12 of Schedule 10; or

(ii) report data as required by paragraph 13 of Schedule 10.

(5) A person commits an offence if that person fails to comply with a compliance notice imposed, or an enforcement undertaking given and accepted, under regulation 121.

Penalties for offences

119

An offence under any of regulations 115 to 118 is punishable—

(a) on conviction on indictment, by a fine; or

(b) on summary conviction—

(i) in England and Wales, by a fine;

(ii) in Scotland or Northern Ireland, by a fine not exceeding the statutory maximum.

Offences: supplementary

120

(1) Where—

(a) an offence under these Regulations has been committed by a body corporate, partnership or unincorporated association; and

(b) it is proved that the offence was committed with the consent or connivance of, or was attributable to any neglect on the part of—

(i) a relevant individual; or

(ii) an individual purporting to act in the capacity of a relevant individual,

the individual as well as the body corporate, partnership or unincorporated association commits an offence and is liable to be proceeded against and punished accordingly.

(2) If an offence committed by a person under these Regulations is due to the act or default of some other person, that other person 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 the first-mentioned person.

(3) In paragraph (1), “relevant individual” means—

(a) in relation to a body corporate—

(i) a director, member of the committee of management, chief executive, manager, secretary or other similar officer of the body, or a person purporting to act in any such capacity;

(ii) where the affairs of the body are managed by its members, a member;

(b) in relation to an LLP, a member;

(d) in relation to an unincorporated association, a person who is concerned in the management or control of the association.

CHAPTER 3 — Civil Sanctions

Civil sanctions

121

(1) Where an enforcement agency to which the table of civil sanctions in Part 1 of Schedule 13 applies is satisfied on the balance of probabilities that a person has contravened a requirement or prohibition specified in that table (a “relevant requirement or prohibition”), the enforcement agency may, in relation to that contravention—

(a) impose on that person—

(i) a fixed monetary penalty in accordance with Part 2 of Schedule 13;

(ii) a variable monetary penalty in accordance with Part 3 of Schedule 13; or

(iii) a compliance notice in accordance with Part 4 of Schedule 13; or

(b) accept an enforcement undertaking from that person, in accordance with Part 5 of Schedule 13,

where, in the entry in the table for the relevant requirement or prohibition, “yes” is stated in the column for that civil sanction.

(2) Where an enforcement agency is satisfied on the balance of probabilities that—

(a) a relevant requirement or prohibition has been contravened by a body corporate, partnership or unincorporated association; and

(b) the contravention occurred with the consent or connivance of, or was attributable to any neglect on the part of—

(i) a relevant individual; or

(ii) an individual purporting to act in the capacity of a relevant individual,

the enforcement agency may impose a specified civil sanction on, or accept an enforcement undertaking from, that individual as well as the body corporate, partnership or unincorporated association.

(3) If the enforcement agency is satisfied, on the balance of probabilities, that the contravention of a relevant requirement or prohibition by a person is due to the act or default of some other person, the enforcement agency may also impose a specified civil sanction on that other person, or accept an enforcement undertaking from that other person, whether or not such a sanction is imposed on, or such an undertaking is accepted from, the first-mentioned person.

(4) An enforcement agency, other than a Scottish enforcement agency, may recover a fixed monetary penalty or a variable monetary penalty—

(a) as a civil debt; or

(b) on the order of a court, as if payable under a court order.

(5) In this regulation—

(a) “relevant individual” has the meaning given in regulation 120(3);

(b) “specified civil sanction” means a civil sanction specified in the table in Part 1 of Schedule 13 as applying in relation to the relevant requirement or prohibition in question.

(6) This regulation is subject to regulation 122 in respect of its application to Scottish enforcement agencies.

Civil sanctions: Scottish enforcement agencies

122

(1) In regulation 121(1), sub-paragraphs (a)(i) and (ii) and (b) do not apply to SEPA.

(2) In regulation 121, paragraphs (2) and (3) only apply to SEPA to the extent to which they relate to a compliance notice issued by SEPA under regulation 121(1)(a)(iii).

(3) The scheme administrator may recover a fixed monetary penalty or a variable monetary penalty which it has imposed in Scotland as a civil debt, and the amount is recoverable as if it were payable under an extract registered decree arbitral bearing a warrant for execution issued by a sheriff of any sheriffdom.

(4) The Lord Advocate may issue, and from time to time revise, guidance to the scheme administrator on the exercise of its functions relating to enforcement measures in Scotland.

(5) The scheme administrator must have regard to any guidance issued under paragraph (4) in exercising those functions in Scotland.

Enforcement cost recovery notices

123

(1) An enforcement agency other than SEPA may serve a notice (“an enforcement cost recovery notice”) on a person on whom a variable monetary penalty notice or compliance notice has been served requiring that person to pay the costs incurred by the enforcement agency in relation to the imposition of that notice up to the time of its imposition.

(2) SEPA may serve an enforcement cost recovery notice on a person on whom a compliance notice has been served requiring that person to pay the costs incurred by SEPA in relation to the imposition of that notice up to the time of its imposition.

(3) The costs referred to in paragraphs (1) and (2) include in particular—

(a) investigation costs;

(b) administration costs;

(4) The enforcement cost recovery notice must specify—

(a) how payment must be made;

(b) the amount required to be paid and the period in which payment must be made, which must not be less than 28 days beginning with the day on which the enforcement cost recovery notice is served;

(d) the right of appeal; and

(e) the consequences of failure to comply with the notice in the specified period.

(5) The person on whom the notice is served may require the enforcement agency to provide a detailed breakdown of the amount.

(6) The person required to pay costs is not liable to pay any costs shown by that person to have been unnecessarily incurred.

(7) The person required to pay costs may appeal—

(a) against the decision of the enforcement agency to impose the requirement to pay costs; or

(b) against the decision of the enforcement agency as to the amount of those costs.

(8) An enforcement agency other than a Scottish enforcement agency may recover any costs required to be paid under an enforcement cost recovery notice—

(a) as a civil debt; or

(b) on the order of a court, as if payable under a court order.

(9) A Scottish enforcement agency may recover as a civil debt any costs required to be paid under an enforcement cost recovery notice, and the amount is recoverable as if it were payable under an extract registered decree arbitral bearing a warrant for execution issued by a sheriff of any sheriffdom.

Payment of penalties into Consolidated Fund etc

124

(1) Where an enforcement agency receives any penalty under this Part, the agency must pay it into the relevant fund.

(2) In paragraph (1), “the relevant fund” means—

(a) the Consolidated Fund, in relation to a penalty received by—

(i) the Environment Agency;

(ii) the scheme administrator, except where the penalty was imposed in Wales, Northern Ireland or Scotland;

(b) the Welsh Consolidated Fund, in relation to a penalty received by—

(i) NRW;

(ii) the scheme administrator, where the penalty was imposed in Wales;

(i) DAERA;

(ii) the scheme administrator, where the penalty was imposed in Northern Ireland;

(d) the Scottish Consolidated Fund, in relation to a penalty received by a Scottish enforcement agency.

Withdrawing or amending a notice

125

(1) An enforcement agency other than SEPA may at any time in writing—

(a) withdraw a fixed monetary penalty notice;

(b) withdraw, or reduce the amount specified in, a variable monetary penalty notice or an enforcement cost recovery notice;

(c) withdraw a compliance notice, or amend the steps specified in the notice so as to reduce the amount of work necessary to comply with the notice.

(2) SEPA may at any time in writing withdraw a compliance notice, or amend the steps specified in the notice so as to reduce the amount of work necessary to comply with the notice.

Publication of enforcement action

126

(1) Where a civil sanction is imposed under this Part, the appropriate agency must publish in the public register maintained under regulation 129—

(a) details of the contravention in respect of which the civil sanction has been imposed;

(b) where the civil sanction is a fixed monetary penalty, whether liability to the penalty has been discharged by payment of the penalty following the notice of intent and without further action being taken;

(2) The information referred to in paragraph (1) must be entered on the register within 28 days after the day on which a civil sanction is imposed, liability to a fixed monetary penalty is discharged, or an enforcement undertaking is accepted, as the case may be.

(3) The scheme administrator must provide the information described in paragraph (1) in relation to any civil sanction it has imposed to the appropriate agency for publication in the register under paragraph (1).

(4) Where a civil sanction which has been imposed is overturned on appeal, the enforcement agency which imposed the civil sanction must ensure that any information relating to that civil sanction is removed from the register.

PART 11 — Miscellaneous and supplementary

Policy statement

127

(1) The appropriate authorities must jointly publish a statement setting out—

(a) the intended environmental effects of the extended producer responsibility for packaging policy;

(b) how that policy is intended to achieve those effects.

(2) In paragraph (1), “the extended producer responsibility for packaging policy” has the meaning given in regulation 59(9).

Guidance and protocols

128

(1) Each appropriate agency may from time to time publish its own guidance consisting of such information or advice as it considers appropriate in relation to the operation of any provision of these Regulations.

(2) The appropriate agencies must jointly publish—

(a) guidance about the criteria which they will apply in determining whether a person is a fit and proper person for the purposes of these Regulations;

(b) guidance for producers about the evidence which may be used to demonstrate that the conditions in regulation 8(2) or (3) (household packaging) are met;

(c) a list of protocols applying in the United Kingdom which are approved by all the appropriate agencies for the purposes of paragraph 22(2)(b) of Schedule 8.

(3) The appropriate agencies may take the following factors into account in the preparation of guidance under paragraph (2)(b)—

(a) the size and weight of packaging;

(b) whether the supply of a product is subject to any restrictions imposed by or under primary legislation;

(d) whether a product is likely to be used by a business in a household;

(e) any other factors the appropriate agencies consider relevant.

Public register

129

(1) The appropriate agencies must jointly maintain and make available in accordance with this regulation a register relating to—

(a) the producers registered in accordance with Part 3;

(b) the compliance schemes—

(i) approved in accordance with Chapter 2 of Part 4;

(ii) registered in accordance with Chapter 3 of Part 4;

(i) registered in accordance with Chapter 2 of Part 6;

(ii) accredited in accordance with Chapter 3 of Part 6.

(2) The register must contain the information prescribed in Schedule 14.

(3) The appropriate agencies must ensure that the register can be inspected online.

(4) The register may be kept in any form but must be indexed, arranged and searchable so that members of the public can readily trace information contained in it.

(5) The appropriate agencies must enter information on the register as soon as reasonably practicable after it comes into their possession.

(6) Nothing in this regulation or in Schedule 14 requires the register to contain—

(a) any information relating to, or to anything which is the subject-matter of, any criminal proceedings, including prospective proceedings, at any time before those proceedings are finally disposed of; or

(b) any information which has been superseded by later information after 7 years have elapsed from the day on which that later information is entered in the register.

Database of reported information

130

(1) The appropriate agencies must establish a common database, managed by or on behalf of the appropriate agencies for the purposes of this regulation, to contain—

(a) in relation to each producer—

(i) the information under paragraph 11 of Schedule 3 contained in the application for registration of the producer;

(ii) the information reported—

(aa) by the producer under Chapter 2 of Part 3; or

(bb) in relation to the producer, by a scheme operator under the provisions of that Chapter as applied by regulation 44, or by a holding company under paragraph 5 of Schedule 9;

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