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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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(a) the appointment of that body;

(b) the proposed duration of the appointment; and

(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Principles

2

In exercising its functions, the scheme administrator is to act in accordance with the following principles—

(a) that it must act fairly in—

(i) the treatment of relevant authorities and producers across the United Kingdom;

(ii) the exercise of any discretions conferred on it by these Regulations; and

(iii) the recovery of disposal fees and administration fees owed by producers and holding companies, and the distribution under these Regulations of the amounts received by it in respect of disposal fees;

(b) that it must take into account differences in circumstances and, where it considers it appropriate, adjust the way in which it exercises its functions to reflect those different circumstances, in different parts of the United Kingdom;

(i) the use of environmentally sustainable packaging;

(ii) the prevention of packaging becoming waste;

(iii) an increase in the reuse of packaging, and in the quantity and quality of packaging materials recycled; and

(iv) a reduction in the disposal of packaging waste;

(d) the need to support the provision of efficient and effective waste management services by relevant authorities;

(e) the need to use its resources in the most efficient and effective way;

(f) the need to facilitate achievement of the environmental effects set out in the policy statement published under regulation 127;

(g) that it must exercise its functions transparently, accounting fully for all monies received by it, and disbursed by it in the exercise of its functions;

(h) that it is not to earn a profit from carrying out its functions under these Regulations.

Communications

3

(1) The scheme administrator must make and maintain effective arrangements for—

(a) communicating with; and

(b) where required by these Regulations, or the scheme administrator otherwise considers it appropriate to do so, consulting,

the persons referred to in sub-paragraph (2).

(2) Those persons are—

(a) producers, packaging manufacturers, scheme operators, relevant authorities and waste management companies, or, where appropriate, persons appearing to the scheme administrator to represent the interests of any of those classes of persons; and

(b) any other persons appearing to the scheme administrator to have a legitimate interest in—

(i) the way in which it exercises its functions; or

(ii) the development of—

(aa) its proposals to exercise its functions; or

(bb) its strategy or annual operational plan.

Public information

4

(1) The scheme administrator must make available to members of the public, and to businesses that discard packaging waste, information on—

(a) the reuse of packaging;

(b) the recovery, including recycling, and disposal of packaging waste; and

(2) The scheme administrator may satisfy the obligation in sub-paragraph (1) by any of the following measures—

(a) conducting, or making arrangements for, national or local public information campaigns—

(i) to inform members of the public and businesses how to manage their packaging waste;

(ii) to encourage members of the public and businesses to reuse and recycle more packaging waste;

(iii) on the prevention of packaging litter;

(b) providing information or advice to the public on any of the matters referred to in paragraph (a) by any other means;

(c) publishing information on packaging, including on the recyclability of different types of packaging in use, and the extent to which different producers are using recyclable packaging and other types of environmentally sustainable packaging.

(3) In determining the type of public information campaigns to be carried out, and what the focus of those campaigns should be, the scheme administrator may take account of the following factors—

(a) the recycling rates of packaging waste of different packaging categories;

(b) the packaging waste items collected for recycling by relevant authorities, and whether any new items are added to recycling collections;

(c) differences in recycling behaviour of members of the public and businesses and differences in collection systems in different areas within the United Kingdom; and

(d) any other factor the scheme administrator considers relevant.

Guidance, etc., to producers

5

(1) The scheme administrator may provide, or arrange for the provision of, information, guidance, and any other support the scheme administrator considers necessary, to businesses which are producers, to assist them in understanding and meeting their disposal cost obligations under these Regulations.

(2) The scheme administrator may determine what level of information, guidance or other support is required for the purposes of this paragraph, taking into account the needs of different classes of producer.

(3) In sub-paragraph (1), “disposal cost obligations” means—

(a) the obligation to pay disposal fees and administration fees under Part 5; and

(b) any other obligations which are connected to that obligation, including obligations to keep records, make reports of information, and carry out recyclability assessments, which are used for the purposes of calculating the producer’s disposal fees and administration fees.

Guidance, etc., to relevant authorities

6

(1) The scheme administrator must produce guidance on the methodology and procedure that the scheme administrator will use and, where relevant, the factors that the scheme administrator will take into account, in—

(a) assessing the efficient disposal costs of relevant authorities under regulation 70;

(b) assessing the waste income of relevant authorities under regulation 71; and

(c) determining whether to adjust, and making adjustments to, the net efficient disposal costs of relevant authorities under regulation 72(8).

(2) The scheme administrator must publish the guidance under sub-paragraph (1) as soon as reasonably practicable after regulations 70 to 72 come into force, in such a manner that it is likely to come to the attention of relevant authorities, producers and any other persons likely to have an interest in the guidance.

(3) The scheme administrator must, each year—

(a) review the guidance under sub-paragraph (1); and

(b) publish revised guidance by 1st November in that year, if it decides to amend the guidance which is to apply in relation to assessments and adjustments for the following assessment year.

(4) The scheme administrator may provide, or arrange for the provision of—

(a) guidance to relevant authorities on the information the scheme administrator needs to assess the chargeable disposal costs of a relevant authority for the purposes of Chapter 4 of Part 5; and

(b) information, guidance, advice and any other support the scheme administrator considers necessary to relevant authorities as to how they may—

(i) deliver efficient and effective waste management services; and

(ii) increase the amount of packaging waste collected for recycling.

(5) The scheme administrator may determine what level of information, guidance, advice or other support is required for the purposes of sub-paragraph (4), taking into account the needs of different relevant authorities.

Methodology and guidance on assessment of recyclability

7

The scheme administrator must—

(a) develop, or arrange for the development of, and maintain—

(i) a methodology which producers must use to assess the recyclability of the packaging they supply;

(ii) guidance on the use of that methodology;

(b) publish that methodology and guidance in the way appearing to the scheme administrator to be most appropriate to bring them to the attention of producers.

Statement of policy on modulation of disposal fees

8

(1) The scheme administrator must prepare and issue a statement of its policy with respect to modulating under regulation 64 the amounts calculated under regulation 62 and used in determining a liable producer’s disposal fee, in which it explains the circumstances in which those amounts may be increased, reduced or left unchanged.

(2) Subject to sub-paragraph (6), before issuing a statement of policy under sub-paragraph (1), the scheme administrator must—

(a) send a draft of the proposed statement to each of the appropriate authorities; and

(b) publish a draft of the proposed statement in the way appearing to the scheme administrator to be most appropriate for the purpose of bringing it to the attention of producers and other parties appearing to the scheme administrator to have an interest in the policy.

(3) The draft must be accompanied by notice that representations about the proposal may be made by an appropriate authority, by producers who are liable to pay disposal fees or by any other person having an interest in the proposal, to the scheme administrator within a specified time, which may not be less than 28 days after the day on which that notice is given.

(4) Before issuing the statement, the scheme administrator must have regard to any written representations made to it in accordance with sub-paragraph (3).

(5) If the statement is issued, the scheme administrator must publish with it an account, in general terms, of the written representations made to it in accordance with sub-paragraph (3), and the scheme administrator’s response to them.

(6) Sub-paragraphs (2) to (5) apply in relation to all statements of policy (including revised statements of policy), except for the first statement of policy published by the scheme administrator under sub-paragraph (1).

(7) The scheme administrator must—

(a) publish the first statement of policy issued under sub-paragraph (1) as soon as practicable after the day on which the scheme administrator is appointed under regulation 58;

(b) review its statement of policy at least once every three years, and if necessary issue a revised statement of policy.

Lists

9

(1) The scheme administrator must compile a list of items of packaging which are commonly disposed of in public bins or as ground litter (“commonly binned or littered items”), from the best evidence available to the scheme administrator.

(2) The scheme administrator must compile a list of—

(a) the items which are collected for recycling from households by each relevant authority in each part of the United Kingdom;

(b) those items which are collected for recycling from households by more than 75% of the relevant authorities in the United Kingdom responsible for waste collection.

(3) The scheme administrator must update the lists compiled under sub-paragraphs (1) and (2) at least once every two years after they are first published, and if the scheme administrator considers it necessary, more often.

(4) The scheme administrator must publish the lists compiled under sub-paragraphs (1) and (2), and any updated versions of those lists, in the way which appears to the scheme administrator to be most likely to draw them to the attention of producers, relevant authorities and any other persons appearing to the scheme administrator to have an interest in the lists.

Complaints procedure

10

The scheme administrator must establish a procedure to manage and resolve complaints by producers and relevant authorities as to the way in which the scheme administrator exercises its functions under the Regulations, or the way in which a Producer Responsibility Organisation appointed under paragraph 1(2B) of this Schedule or a body with which the scheme administrator enters into an agreement under paragraph 1(1) of this Schedule exercises the functions conferred on that body, including in particular—

(a) complaints by liable producers in relation to the assessment of—

(i) the disposal fee or the administration fee which they are liable to pay for an assessment year under regulation 60(2); or

(ii) any recalculation of their disposal fee or administration fee under regulation 79; and

(b) complaints by relevant authorities in relation to—

(i) the assessment of their chargeable disposal costs under regulations 70 to 72;

(ii) any decision concerning the payments they are due to receive towards their chargeable disposal costs under regulation 76; or

(iii) any recalculation of their chargeable disposal costs under regulation 80.

Strategy

11

(1) The scheme administrator must before the end of the period of 6 months beginning with the date on which it is appointed publish a strategy setting out—

(a) its objectives and functions;

(b) the outcomes it will seek to achieve;

(d) how it proposes to deliver its objectives and to exercise its functions;

(e) how, by performing its functions, it will contribute to—

(i) the use of environmentally sustainable packaging by producers who are subject to obligations under these Regulations;

(ii) the provision of efficient and effective waste management services by relevant authorities, and the collection of a common set of packaging materials for recycling from households;

(iii) enabling consumers and businesses to discard packaging waste correctly through the provision of public information and communication campaigns;

(iv) the achievement of the environmental effects set out in the policy statement required under regulation 127;

(v) the achievement of other relevant policy objectives in each nation of the United Kingdom.

(f) its approach to engaging with stakeholders and other organisations having a legitimate interest in the way in which it performs its functions;

(g) how it will measure and report on—

(i) the delivery of its objectives;

(ii) the impact of the contributions referred to in paragraph (e).

(2) Before publishing the strategy, the scheme administrator must send a draft of its proposed strategy to each appropriate authority, and allow the authority at least one month to make representations to the scheme administrator on the strategy.

(3) The scheme administrator must take any representations made to it under sub-paragraph (2) into account in finalising its strategy for publication.

(4) If the scheme administrator makes any changes to its strategy, it must publish an updated version as soon as reasonably possible.

(5) The strategy must be reviewed and updated at intervals of not more than 5 years after it is first published.

Operational plan

12

(1) The scheme administrator must publish an operational plan each year by 28th February setting out—

(a) its priorities for the financial year starting on the following 1st April (“the operational year”);

(b) forecasts of—

(i) the total amount of chargeable disposal costs of all relevant authorities in the operational year;

(ii) the amounts of public information disposal costs and administration costs the scheme administrator expects to incur in the operational year;

(iii) the amounts of disposal fees and administration fees it will seek to recover in the operational year;

(c) the approach it proposes to take in the operational year to calculating disposal fees payable by liable producers and assessing chargeable disposal costs of relevant authorities under Part 6;

(d) the public information campaigns and other communications activities it proposes to conduct in the operational year;

(e) any other activities it intends to carry out in the operational year; and

(f) the key performance indicators it will apply.

(2) Before publishing the operational plan, the scheme administrator must send a draft of its proposed operational plan to each appropriate authority and allow the authority at least one month to make representations to it on the plan.

(3) The scheme administrator must take any representations made to it under sub-paragraph (2) into account in finalising its operational plan.

(4) If the scheme administrator makes any changes to its operational plan, it must publish an updated version as soon as reasonably possible.

Annual report

13

(1) The scheme administrator must publish a report each year by 30th September which—

(a) describes the activities undertaken by the scheme administrator in the exercise of its functions during the financial year ending on 31st March of that year;

(b) sets out—

(i) the total amount of disposal fees raised from producers;

(ii) the total amount paid to each relevant authority towards its disposal costs;

(iii) how the scheme administrator has used its resources in the most efficient and effective way;

(i) the impact of its fees policy on the use of environmentally sustainable packaging; and

(ii) the contribution the scheme administrator has made to the achievement of the outcomes described in its strategy;

(d) sets out what activities the scheme administrator has undertaken in the United Kingdom as a whole and, where relevant, in each nation of the United Kingdom;

(e) describes its performance against the key performance indicators for the United Kingdom as a whole and, where relevant, for each nation of the United Kingdom.

(2) Before publishing the report, the scheme administrator must send a draft of its proposed report to each appropriate authority and allow the authority at least one month to make representations to the scheme administrator on the report.

(3) The scheme administrator must take any representations made to it under sub-paragraph (2) into account in finalising its report.

Accounts

14

(1) The scheme administrator must—

(a) keep proper accounts and proper accounting records in relation to the exercise of its functions under these Regulations (“the relevant functions”);

(b) prepare in respect of each financial year a statement of accounts giving a true and fair view of the state of affairs and the income and expenditure of the scheme administrator in relation to the relevant functions, including details of—

(i) the fees paid to the scheme administrator by producers under regulation 60(2);

(ii) the amounts distributed under regulation 76 to—

(aa) each relevant authority; and

(bb) relevant authorities in each nation of the United Kingdom; and

(iii) any amounts owed to, and by, the scheme administrator.

(2) Each statement of accounts must—

(a) be consistent with IFRS Accounting Standards; and

(b) comply with any directions given jointly by all of the appropriate authorities, so far as those directions are consistent with IFRS Accounting Standards, as to—

(i) its content and form;

(ii) the methods and principles to be applied in preparing it.

(3) The scheme administrator must publish the statement of accounts prepared under sub-paragraphs (1) and (2) before 30th September after the end of the financial year to which it relates.

(4) In this paragraph “accounting records” include all books, papers and other records of the scheme administrator relating to, or to matters dealt with in, the accounts required to be kept by virtue of this paragraph.

SCHEDULE 8 — Reprocessors and exporters

PART 1 — Information for registration

Reprocessors

1

The name of the reprocessor, and the address and telephone number of the registered office of the reprocessor or, if not a company, the head office or the principal place of business of the reprocessor.

2

The name and contact details, including an email address, of an individual at the reprocessor who is responsible for dealing with enquiries from the appropriate agency.

3

The trading name of the reprocessor if different from that the name referred to in paragraph 1.

4

The address for service of notices on the reprocessor if different from that referred to in paragraph 1.

5

Where the reprocessor is a partnership, the names of all the partners.

6

The name and address of the reprocessing site for which the application is being made.

7

A list of all the categories of packaging waste the site is authorised by a relevant authorisation to accept and recycle, with details of the weight of packaging waste in each category which the site is authorised to accept and recycle.

8

The category of packaging waste for which the application is being made.

9

Information on the recycling operations the reprocessor wishes the registration to cover, including the classification of each operation provided for in Annex 2 to the Waste Directive.

Exporters

10

The name of the exporter, and the address and telephone number of the registered office of the exporter or, if not a company, the head office or the principal place of business of the exporter in the United Kingdom.

11

The name and contact details, including an email address, of an individual at the exporter who is responsible for dealing with enquiries from the appropriate agency.

12

The trading name of the exporter if different from the name referred to in paragraph 10.

13

The address for service of notices on the exporter if different from that referred to in paragraph 10.

14

Where the exporter is a partnership, the names of all the partners.

15

The category of packaging waste for which the application is being made.

16

The locations in the United Kingdom from which the packaging waste is to be exported by the exporter.

17

In relation to each overseas reprocessing site to which the exporter will export the packaging waste, where known at the date of the application—

(a) the name and address of the overseas reprocessing site; and

(b) a telephone number and email address of the operator of the site.

18

Information on the recycling operations carried out at the overseas reprocessing sites specified under paragraph 17, including the classification of each operation provided for in Annex 2 to the Waste Directive.

PART 2 — Reporting requirements

19

(1) In this Part, “reporting period” means—

(a) a quarter, in the case of a registered reprocessor or exporter; or

(b) a month, in the case of an accredited reprocessor or exporter.

(2) A report under paragraph 20 or 21 must be—

(a) made in the form specified by the appropriate agency; and

(b) verified by an approved person of the reprocessor or exporter.

20

A reprocessor must report the following information to the appropriate agency for each category of packaging waste handled at each reprocessing site for which they are registered—

(a) the weight of packaging waste in that category received at the reprocessing site for recycling in the reporting period;

(b) details of each person from whom packaging waste was received at the reprocessing site for recycling, including—

(i) the name, address, telephone number and email address of that person;

(ii) a description of the role that person has in relation to the packaging waste, with details of what they do to the waste (for example, details of any sorting, cleaning or processing activities, or transportation of the waste, carried out by that person);

(c) the weight of packaging waste in that category recycled in the reporting period by the reprocessor at the reprocessing site;

(d) the weight of packaging waste in that category received at the reprocessing site in the reporting period which was not recycled by the reprocessor at the site (“unrecycled packaging waste”);

(e) the weight of unrecycled packaging waste in that category which, in the reporting period, was—

(i) sent to another reprocessor;

(ii) exported; or

(iii) sent to any other facility or site;

(f) the final destination in the United Kingdom of all unrecycled packaging waste in that category, identifying each facility or site to which that unrecycled packaging waste was sent in the reporting period.

21

An exporter must report the following information to the appropriate agency for each category of packaging waste for which they are registered—

(a) the weight of packaging waste in that category received by the exporter for exporting in each reporting period;

(b) details of the persons in the United Kingdom from whom the packaging waste was received by the exporter, including—

(i) the name, address, telephone number and email address of that person;

(ii) a description of the role that person has in relation to the packaging waste;

(c) the weight of packaging waste in that category exported for recycling in the reporting period, and details of each overseas reprocessing site to which any of that waste was exported;

(d) the weight of packaging waste in that category exported for recycling in the reporting period which was—

(i) refused by the recipient destination; or

(ii) stopped during the course of export;

(e) the weight of packaging waste referred to in sub-paragraph (d)(i) and (ii) which has been repatriated in the reporting period;

(f) details of the weight of packaging waste in that category received by the exporter in the reporting period which has not been exported by the exporter (“unexported packaging waste”);

(g) the weight of unexported packaging waste in that category which, in the reporting period, was—

(i) sent to a reprocessor in the United Kingdom;

(ii) sent to another exporter in the United Kingdom; or

(iii) sent to any other facility or site in the United Kingdom;

(h) the final destination in the United Kingdom of all unexported packaging waste in that category, identifying each facility or site to which that unexported packaging waste was sent in the reporting period.

22

(1) In this Part, a reference to the weight of packaging waste received for recycling is to the weight in tonnes of the recyclable proportion of that packaging waste, calculated in accordance with sub-paragraphs (2) and (3).

(2) The recyclable proportion may be calculated as one of the following amounts—

(a) the actual weight of packaging waste in a category received by the reprocessor for recycling, or by the exporter for exporting to an overseas reprocessing site for recycling, after deduction of everything which is not packaging waste in that category;

(b) the percentage of packaging waste specified in any protocol for packaging waste recycling which is approved by the appropriate agencies as applying to recycling of that category of packaging waste; or

(c) the amount identified by applying the sampling and inspection plan approved by the appropriate agency under regulation 97(1)(a) in relation to the category of packaging waste in question.

(3) The “recyclable proportion” is not to include any packaging waste which—

(a) is not in the same category of packaging waste as the waste being recycled; or

(b) does not originate in the United Kingdom.

PART 3 — Conditions of Accreditation

Application of conditions

23

(1) A reprocessor who has an accreditation for a year (an “accreditation year”) must comply with—

(a) the conditions in paragraphs 24(1) to (4), 25, 31 and 32 in relation to any PRNs which the reprocessor issues pursuant to that accreditation, including PRNs which the reprocessor issues after the end of the accreditation year under regulation 92(1)(c);

(b) the condition in paragraph 24(5) by the end of the year following the accreditation year;

(c) the condition in paragraph 26(1) (monthly reports) for each month starting with February in the accreditation year and ending with February in the following year;

(d) the condition in paragraph 26(2) (annual report) by 28th February in the year following the accreditation year;

(e) the condition in paragraph 30 during the accreditation year.

(2) An exporter who has an accreditation for an accreditation year must comply with—

(a) the conditions in paragraphs 27, 28, 31 and 32 in relation to any PERNs which the exporter issues pursuant to that accreditation, including PERNs which the exporter issues after the end of the accreditation year under regulation 92(2)(c);

(b) the condition in paragraph 29(1) (monthly reports) for each month starting with February in the accreditation year and ending with February in the following year;

(d) the condition in paragraph 30 during the accreditation year.

Conditions applying to reprocessors

24

(1) A reprocessor may only issue a PRN in relation to packaging waste if the packaging waste is received for recycling at a reprocessing site, and is of a category of packaging waste, for which the reprocessor has an accreditation at the time the waste is received.

(2) A reprocessor may not issue a PRN for more than the recyclable proportion, as calculated in accordance with paragraph 22, of packaging waste which meets the conditions in sub-paragraph (1).

(3) A reprocessor must not, in relation to a category of packaging waste and a reprocessing site, issue PRNs for more packaging waste than—

(a) the upper limit of the tonnage band for which the reprocessor is accredited; or

(b) the amount which the reprocessor has capacity to recycle at that reprocessing site by the end of the year after the year in which it is received.

(4) A reprocessor must ensure that any PRN it issues which relates to packaging waste received for recycling in December of a year specifies that fact.

(5) A reprocessor must recycle at the reprocessing site at least the amount of packaging waste in each category received at that site for which it has issued PRNs, by no later than the end of the year following the year in which the packaging waste was received at the site.

25

A reprocessor must, in relation to each PRN it issues, keep records—

(a) identifying the load of packaging waste to which the PRN relates, and when that waste was recycled; and

(b) of evidence demonstrating—

(i) that the issue of the PRN was in accordance with paragraph (1), and the amount of packaging waste for which the PRN was issued was in accordance with paragraph 24(2);

(ii) that the packaging waste received for recycling at the reprocessing site has been recycled.

26

(1) A reprocessor must provide a monthly report to the appropriate agency before the 21st day of each month setting out—

(a) for each category of packaging waste in respect of which the reprocessor issued PRNs in the previous calendar month—

(i) the tonnage of packaging waste for which PRNs were issued by the reprocessor in that month;

(ii) the average price per tonne of packaging waste received by the reprocessor for the sale of PRNs in that month;

(iii) the total revenue generated by the reprocessor from the sale of PRNs in that month;

(b) the information set out in paragraphs 20 and 25.

(2) A reprocessor must provide an annual report to the appropriate agency before 28th February in each year which sets out—

(a) all the information provided in the reprocessor’s monthly reports which relate to each month of the previous calendar year;

(b) the amount of revenue generated from the sale of PRNs in the previous calendar year;

(c) what that amount has been spent on, including information on the matters set out in regulation 96(4) and accounting for the whole of that amount;

(d) any deviation during the previous calendar year from the reprocessor’s business plan, explaining the reasons for it.

(3) The reports required to be made by a reprocessor under sub-paragraphs (1) and (2) must be—

(a) in the form specified by the appropriate agency; and

(b) verified by the signature of an approved person of the reprocessor.

Conditions applying to exporters

27

(1) An exporter may only issue a PERN in relation to packaging waste if—

(a) the packaging waste—

(i) is of a category for which the exporter has an accreditation at the time of its export; and

(ii) has been exported for recycling at an overseas reprocessing site specified in that accreditation;

(b) the packaging waste has been exported in accordance with the legislation referred to in regulation 88(1)(h);

(i) is the legal owner of the packaging waste at the point of export; or

(ii) the exporter has transferred legal ownership of the packaging waste to the person responsible for the operation of the overseas reprocessing site to which the waste is exported, and that person is its legal owner at the point of export;

(d) the exporter has evidence that the packaging waste has been received at the overseas reprocessing site, and of the tonnage of packaging waste received;

(e) the exporter has up-to-date information that the recycling operations taking place at the overseas reprocessing site take place under conditions that are broadly equivalent to requirements applicable to reprocessing sites in the United Kingdom.

(2) An exporter must not issue a PERN for more than the recyclable proportion, as calculated in accordance with paragraph 22, of packaging waste which meets the conditions in sub-paragraph (1).

(3) An exporter must ensure that anyPERN it issues which relates to packaging waste received at an overseas reprocessing site for recycling in December of a year specifies that fact.

(4) An exporter must not, in relation to a category of packaging waste, issue PERNs for more packaging waste than the upper limit of the tonnage band for which the exporter is accredited.

(5) An exporter who exports packaging waste to an overseas reprocessing site via an interim site which handles the waste before the waste is sent on to its final destination at an overseas reprocessing site—

(a) must, before exporting packaging waste to an interim site, provide to the appropriate agency in such manner as the appropriate agency specifies—

(i) the name and address of the interim site; and

(ii) an email address and telephone number of the operator of the site;

(b) may only issue PERNs for the weight of packaging waste received for recycling at the overseas reprocessing site.

28

An exporter must, in relation to each PERN it issues, keep records—

(a) identifying the load of packaging waste to which the PERN relates, and when that waste was exported for recycling; and

(b) of evidence demonstrating—

(i) that the issue of the PERN was in accordance with paragraph (1), and the amount of packaging waste for which the PERN was issued was in accordance with paragraph 27(2);

(ii) that the packaging waste to which the PERN relates has been received for recycling at the overseas reprocessing site to which it has been exported, and the tonnage of packaging waste received at the overseas reprocessing site;

(iii) that the packaging waste to which the PERN relates has been recycled by no later than the end of the year after the year in which it is received at the overseas reprocessing site.

29

(1) An exporter must provide a monthly report to the appropriate agency before the 21st day of each month setting out—

(a) for each category of packaging waste in respect of which the exporter issued PERNs in the previous calendar month—

(i) the tonnage of packaging waste for which PERNs were issued by the exporter in that month;

(ii) the average price per tonne of packaging waste received by the exporter for the sale of PERNs in that month;

(iii) the total revenue generated by the exporter from the sale of PERNs in that month;

(b) the information set out in paragraphs 21 and 28.

(2) An exporter must provide an annual report to the appropriate agency before the end of February in each year which sets out—

(a) all the information provided in the exporter’s monthly reports which relate to each month of the previous calendar year;

(b) the amount of revenue generated from the sale of PERNs in the previous calendar year;

(c) what that amount has been spent on, including information on the matters set out in regulation 96(4) and accounting for the whole of that amount;

(d) any deviation during the previous calendar year from the exporter’s business plan, explaining the reasons for it.

(3) The reports required to be made by a exporter under sub-paragraphs (1) and (2) must be—

(a) in the form specified by the appropriate agency; and

(b) verified by the signature of an approved person of the exporter.

Conditions applying to both reprocessors and exporters

30

A reprocessor or exporter must—

(a) implement the business plan referred to in regulation 94(3)(b)(ii) or 95(3)(b)(ii);

(b) operate in accordance with the sampling and inspection plan approved by the appropriate agency under regulation 97(1)(a); and

(c) implement all other procedures and policies set out in their application for an accreditation and in any subsequent application to vary an accreditation.

31

A reprocessor or exporter—

(a) must not issue PRNs or PERNs to any person other than a producer or scheme operator or their representative;

(b) must issue PRNs or PERNs in a manner which least hinders the ability of any person to acquire PRNs and PERNs;

(d) must not issue a PRN or PERN in relation to any packaging waste for which a PRN or PERN has already been issued, either by that reprocessor or exporter or by any other reprocessor or exporter.

32

The records required to be kept by a reprocessor under paragraph 25 or by an exporter under paragraph 28 must be—

(a) maintained for each month in a summary log in a format specified by the appropriate agency;

(b) retained by the reprocessor or exporter for at least 7 years after the end of the year in which the record is made; and

SCHEDULE 9 — Corporate Groups

PART 1 — General

Application and interpretation

1

(1) This Schedule applies where, in relation to a relevant year, two or more bodies corporate in the same corporate group are each producers.

(2) In this Schedule—

“relevant group member” means a body corporate which is—a producer; anda member of a corporate group, two or more members of which are producers;

“the threshold criteria” means the criteria in paragraph (1) or (2) of regulation 24 read together with paragraphs (3) to (7) of that regulation.

Large and small producers: application of thresholds to relevant group companies

2

(1) If, in relation to a relevant year—

(a) the aggregate of the turnovers of each relevant group member in a corporate group in the financial year referred to in regulation 24(1)(a) satisfies the threshold criterion in that paragraph; and

(b) the aggregate of the amounts of packaging supplied by each relevant group member in the calendar year referred to in regulation 24(1)(b) satisfies the threshold criterion in that paragraph,

every relevant group member in the corporate group is a large producer in relation to the relevant year, whether or not it would satisfy those criteria if it were not a member of the group.

(2) If, in relation to a relevant year—

(a) the aggregate of the turnovers of each relevant group member in a corporate group in the financial year referred to in regulation 24(2)(a) satisfies the threshold criterion in that paragraph; and

(b) the aggregate of the amounts of packaging supplied by each relevant group member in the calendar year referred to in regulation 24(2)(b) satisfies the threshold criterion in that regulation; but

each relevant group member is a small producer in relation to the relevant year, whether or not it would satisfy the tests referred to in sub-paragraphs (a) and (b) if it were not a member of the group.

Individual and group registrations

3

Subject to regulation 42, a relevant group member must comply with its obligation under regulation 25(1)(a) to be registered with the appropriate agency for a relevant year by—

(a) being registered separately for that year with the appropriate agency as required by regulation 25(1)(a), in which case the relevant group member has its own obligations under these Regulations; or

(b) being registered for that year with the appropriate agency as part of a group registration on an application under paragraph 4, in which case paragraphs 5 and 6 apply.

Application for group registration

4

(1) An application to the appropriate agency for a group registration must be made by the holding company of a corporate group, whether or not the holding company is a producer.

(2) The application must be submitted to the appropriate agency—

(a) in relation to 2025, on or before 1st April 2025;

(b) in relation to 2026 or any subsequent year, on or before—

(i) the date specified in regulation 28(1)(b)(i), if any of the relevant group members included in the application would be required to apply for registration by that date if they were applying for registration separately; or

(ii) the date specified in regulation 28(1)(b)(ii) in any other case.

(3) The application must—

(a) be made in such form and manner as the appropriate agency specifies;

(b) include the information set out in Schedule 3 for each body corporate to be included in the group registration;

(c) be accompanied by such other information as the appropriate agency may reasonably require to determine the application;

(d) be verified by the signature of an approved person of the holding company; and

(e) be accompanied by payment of the sum of—

(i) the charge under paragraph 2(1)(a) to (c) of Schedule 1 for the holding company (which in the case of a holding company which is not a producer is payable as if it were a producer);

(ii) the charge under paragraph 2(1)(d) of Schedule 1 for each subsidiary; and

(iii) the additional charge for late registration under paragraph 2(2) of Schedule 1 for the holding company and for each subsidiary, if the application is made after the date referred to in sub-paragraph (2).

(4) Regulation 30 applies to the application with the modifications that—

(a) the reference to “the producer” in paragraph (1)(a), the first reference in paragraph (2)(a) and the references in paragraphs (2)(b) and (3) were references to the holding company;

(b) the second and third references to “the producer” in paragraph (2)(a) and the reference in paragraph (2)(c) were references to each body corporate included in the application;

(c) the reference to “the producer’s registration” in paragraph (2)(c) were a reference to “that body corporate’s registration”.

(5) If registration is granted, the registration is subject to—

(a) the condition that the holding company and each subsidiary registered as part of the group registration comply with the obligations which they have respectively under paragraph 5 below; and

(b) the conditions in regulation 31(b) to (e), read with the modifications that—

(i) the first reference to P in regulation 31(c), the first and second references in regulation 31(d) and the first reference in regulation 31(e) were references to the holding company; and

(ii) all other references to P were references to the holding company or any subsidiary registered as part of the group registration.

(6) Regulation 32 applies in relation to the registration, with the modifications that—

(a) the references to “a producer” in the opening words of paragraphs (1) and (2), and to “the producer” in paragraph (2)(b), were references to the group;

(b) the references to “the producer” in paragraphs (1)(a) and (b) were references to the holding company or any subsidiary registered as part of the group registration;

(c) the reference in paragraph (1)(a) to the conditions in regulation 31 were a reference to the conditions in sub-paragraph (5) above;

(d) paragraph (2)(a) does not apply; and

(e) the notice required by paragraph (3) is to be served on the holding company.

(7) If any of the circumstances in regulation 27(1) applies to a relevant group member in the group registration, the holding company must apply to the appropriate authority to amend the group registration by removing that relevant group member from the registration.

Effect of group registration: producer responsibility obligations

5

(1) Where there is a group registration—

(a) the relevant group members in the group registration, other than the holding company, are exempt from complying with their obligations under paragraph (1)(a), (c) and (d), paragraph (2) and paragraph (3)(a) and (c) of regulation 25 for the relevant year;

(b) the holding company, whether or not it is a producer, must comply with the obligations in paragraph (1)(c) and (d) and paragraph (3)(a) and (c) of regulation 25 which each relevant group member in the group registration that is a producer would have had, but for paragraph (a);

(i) the records specified in relation to the subsidiary in regulation 34(1), in accordance with regulation 34(2); and

(ii) records of any assessments carried out of the recyclability of the packaging which the subsidiary supplies, in accordance with regulation 34(5).

(2) Where, under paragraph 2, each relevant group member in a group registration is a large producer—

(a) the holding company has recycling obligations for the relevant year which are the aggregate of the recycling obligations which each relevant group member in the group registration would have had but for the group registration; and

(b) the holding company must provide to the appropriate agency a certificate of compliance in accordance with regulation 41 in relation to those recycling obligations.

(3) For the purposes of sub-paragraph (1)(b), regulation 39 applies in relation to reports made by the holding company, with the modifications that—

(a) the report must be verified by the signature of the approved person of the holding company; and

(b) the references to a producer in paragraph (3) are to be treated as references to the holding company.

(4) For the purposes of sub-paragraph (2)(a), regulation 40 applies with the modifications that references to a large producer are to be treated as references to the holding company.

Effect of group registration: liability for disposal fees and administration fees

6

(1) Where one or more relevant group members in a group registration, other than the holding company, is a liable producer under regulation 60 in relation to an assessment year—

(a) the liability of each of those persons under regulation 60(2) to pay disposal fees and administration fees is transferred to the holding company; and

(b) the holding company is liable to pay to the scheme administrator in accordance with regulation 68—

(i) an amount equal to the sum of the disposal fees, and

(ii) an amount equal to the sum of the administration fees,

which would, apart from this paragraph, be payable by each relevant group member in the group registration.

(2) For the purposes of sub-paragraph (1), the provisions referred to in sub-paragraphs (3) and (4) apply with the modifications in those sub-paragraphs.

(3) Chapter 3 of Part 5 applies with the modifications that—

(a) in regulations 60(3) and 61 to 66, any reference to a fee payable by a liable producer is to be treated as a reference to a fee payable by the holding company in relation to a relevant group member which is a liable producer;

(b) the notice of liability required by regulations 60(3)(b) and 67 is to be served on the holding company and is to state—

(i) the total amounts of the disposal fees and administration fees payable by the holding company under sub-paragraph (1)(b)(i) and (ii) above;

(ii) the information in regulation 67(2)(a) to (e) for the holding company, if it is a liable producer, and for each relevant group member whose liability has transferred to the holding company;

(iii) the information in regulation 67(2)(f) to (h) and (3), with regulation 67(2)(h) being read as if the reference to the producer were a reference to the holding company.

(4) In Chapter 5 of Part 5, regulations 78(1)(a), 79, 81 and 82 apply with the modifications that references to a liable producer, an affected producer or the producer are to be treated as references to the holding company, except for the reference to the producer in regulation 79(2)(a)(i) which is to be treated as a reference to the holding company, if it is a liable producer, and to any relevant group member whose liability has transferred to the holding company.

PART 2 — Mid-year changes

Producer joining a corporate group

7

Paragraphs 8 to 11 apply where a corporate body which is a producer (“NC”) joins a corporate group and becomes a relevant group member.

8

NC must be registered with the appropriate agency either—

(a) separately as referred to in paragraph 3(a); or

(b) by being added to a group registration under Part 1 of this Schedule, and for the purposes of this paragraph—

(i) such registration is effected upon notice being given by the holding company to the appropriate agency of the change in the group registration; and

(ii) where prior to joining the group of companies the company was registered with the appropriate agency, the appropriate agency must cancel that registration, and regulation 32(3) applies to that cancellation as it applies to a cancellation under regulation 32(2).

9

(1) Where, in relation to the year in which NC joins the corporate group, NC is added to a group registration—

(a) if NC satisfies the threshold criteria as an individual producer, paragraph 5 applies as if NC had been part of the group registration for the whole year;

(b) if NC does not itself satisfy the threshold criteria, paragraph 5 applies with the modification in sub-paragraph (2).

(2) The obligation of the holding company is to be calculated as a proportion of the company’s recycling obligations, disposal fee obligations and administration fee obligations for the year in which it joins the group, such proportion being calculated as provided in paragraph 11.

10

(1) Where in relation to the year in which NC joins the corporate group, NC is registered separately with the appropriate agency—

(a) if NC satisfies the threshold criteria as an individual producer, NC must comply with its obligations under these Regulations for that year;

(b) if NC does not itself satisfy the threshold criteria, NC must comply with its obligations under these Regulations for that year as varied by sub-paragraph (2).

(2) The obligation of NC is to be calculated as a proportion of its recycling obligations, disposal fee obligations and administration fee obligations for the year in which it joins the group, such proportion being calculated as provided in paragraph 11.

11

The proportion referred to in paragraphs 9(2) and 10(2) is to be calculated as $G/H$where—

“G” is the number of days in the relevant year during which the company is a member of the corporate group; and

“H” is the number of days in the relevant year.

Producer ceasing to be a member of a corporate group

12

Paragraphs 13 and 14 apply where a relevant group member (“XC”) ceases to be a member of a corporate group.

13

Where, in relation to the year during which XC leaves the corporate group, XC is registered with the appropriate agency as part of a group registration—

(a) if XC satisfies the threshold criteria as an individual producer—

(i) XC must register with the appropriate agency as required by regulation 25(1)(a) within a period of 28 days starting with the day on which XC ceases to be a member of the group, and regulations 29 to 32 apply as if this were an occurrence specified in regulation 28(3)(a); but

(ii) the holding company must comply with XC’s obligations under these Regulations for that year;

(b) if XC does not satisfy the threshold criteria as an individual producer, the holding company must continue to comply with the obligations under these Regulations which XC had for that year as a relevant group member.

14

Where, in relation to the year during which XC leaves the corporate group, XC is registered separately with the appropriate agency—

(a) if XC itself satisfies the threshold criteria, XC must comply with its obligations under these Regulations for that year as an individual producer;

(b) if XC does not itself satisfy the threshold criteria, the holding company must comply with the obligations under these Regulations which XC had for that year as a relevant group member.

Producer changing corporate groups

15

Paragraphs 16 and 17 apply where a relevant group member (“CC”) of one corporate group (“the first group”) ceases to be a member of that group and, in the same calendar year, becomes a member of another corporate group (“the second group”).

16

Where, immediately before leaving the first group, CC is registered with the appropriate agency as part of a group registration, the holding company of the first group must continue to comply with CC’s obligations under these Regulations for the whole of the year in which CC changes groups.

17

Where, immediately before leaving the first group, CC is registered separately with the appropriate agency, CC must comply with its obligations under the Regulations for the whole of the relevant year.

SCHEDULE 10 — Licensors and Pub Operating Businesses

PART 1 — Licensors

Meaning of “licence agreement”, “licensor” and “licensee”

1

In this Part of this Schedule—

(a) a “licence agreement” means an agreement or a number of related agreements in or under which one person (the “licensor”) grants another person (the “licensee”) a licence that—

(i) allows the licensee to use a trade mark as the name under which the licensee sells or otherwise supplies from premises goods that are associated with that trade mark; and

(ii) includes an obligation (whether expressed as a positive obligation or as a prohibition or restriction) on the licensee that relates to the presentation of those premises; and

(b) “licensor” and “licensee” are to be interpreted in accordance with sub-paragraph (a).

Obligations of licensors

2

(1) A licensor (“LR”) has the obligations set out in paragraphs 5 and 6, where the case in paragraph 3 or the case in paragraph 4 applies.

(2) Where the case in paragraph 4 applies, LR’s obligations under paragraphs 5 and 6 are in addition to LR’s producer responsibility obligations.

3

The case in this paragraph is that—

(a) LR—

(i) is a producer, and has a turnover which meets the criterion in regulation 24(2)(a); but

(ii) does not have producer responsibility obligations, because the amount of packaging supplied by LR does not meet the criterion in regulation 24(2)(b);

(b) one or more of LR’s licensees are producers, but do not have producer responsibility obligations because they do not meet one or both of the criteria in regulation 24(2); and

(c) the total amount of packaging specified in paragraph 7 which is supplied by LR and the licensees referred to in sub-paragraph (b) meets the criterion in regulation 24(2)(b).

4

The case in this paragraph is that—

(a) LR has producer responsibility obligations;

(b) one or more of LR’s licensees are producers, but do not have producer responsibility obligations because they do not satisfy one or both of the criteria in regulation 24(2);

(c) the total amount of packaging specified in paragraph 7 which is supplied by the licensees referred to in sub-paragraph (b) meets the criterion in regulation 24(2)(b).

5

(1) Where LR has obligations under this Part, LR must collect the data referred to in sub-paragraph (2) in relation to packaging specified in paragraph 7 which is supplied by—

(a) LR and the licensees referred to in paragraph 3(b), where the case in paragraph 3 applies; or

(b) the licensees referred to in paragraph 4(b), where the case in paragraph 4 applies.

(2) The data referred to in this paragraph are the data specified in—

(a) paragraph 11 of Schedule 4 (which for this purpose is to be read as if references to “the producer” were references to the persons referred to in sub-paragraph (1)(a) and (b)); and

(b) paragraph 14 of Schedule 4, if the relevant packaging supplied by any of the persons referred to in sub-paragraph (1)(a) or (b) includes plastic or paper bags supplied in England.

(3) LR must—

(a) use its best endeavours to obtain from its licensees the data which LR is required by sub-paragraph (1) to collect; and

(b) make an estimate, and record it, in any case in which it is unable to obtain such data.

(4) LR must keep the data collected under sub-paragraph (1) and a record of any estimates made under sub-paragraph (3)(b) for at least 7 years after the end of the reporting period to which the data relate.

6

(1) LR must report every 12 months—

(a) to the appropriate agency, the data specified in paragraph 11 of Schedule 4; and

(b) to the Environment Agency, the data specified in paragraph 14 of Schedule 4,

which it has collected under paragraph 5(1), or estimated under paragraph 5(3)(b), in relation to the packaging specified in paragraph 7.

(2) Regulation 39 applies to LR in relation to information which LR is required to report under sub-paragraph (1), as it applies to a producer in relation to information which the producer is required to report under Chapter 2 of Part 3.

7

For the purposes of paragraphs 3 to 6, the packaging specified in this paragraph is—

(a) packaging that bears, or for goods that bear, a trade mark of LR, where a licence to use that trade mark has been granted to LR’s licensees under their licence agreement;

(b) packaging for goods supplied by a licensee, where the licensee has been required by its licence agreement to purchase—

(i) the packaged goods; or

(ii) the goods, and packaging for them,

either from LR, or from a supplier nominated or authorised by LR with whom LR has negotiated some or all of the terms of their supply to the licensee.

PART 2 — Pub Operating Businesses

Meaning of “pub operating agreement”, “pub operating business” and “tenant”

8

(1) In this Part of this Schedule—

(a) a “pub operating agreement” means an agreement or a number of related agreements in or under which—

(i) one person (a “pub operating business”) grants a tenancy or lease of premises referred to in sub-paragraph (2) to another person (a “tenant”); and

(ii) the tenant is under an obligation to purchase from the pub operating business, or from a person or persons nominated or authorised by or on behalf of the pub operating business, some or all of the alcohol (or, in Northern Ireland, intoxicating liquor) to be supplied on or from the premises;

(b) “pub operating business” and “tenant” are to be interpreted in accordance with paragraph (a).

(2) The premises referred to in this sub-paragraph are premises—

(a) in respect of which a premises licence is in force; and

(b) that are used by the tenant—

(i) in England and Wales, for—

(aa) the sale by retail of alcohol for consumption on the premises or both on and off the premises; or

(bb) the supply of alcohol by or on behalf of a club to, or to the order of, a member of the club, for consumption on the premises or both on and off the premises;

(ii) in Scotland, for the sale by retail or supply of alcohol for consumption on the premises or both on and off the premises;

(iii) in Northern Ireland, for the sale of intoxicating liquor by retail for consumption either in or off the premises, or for consumption off the premises.

Obligations of pub operating businesses

9

(1) A pub operating business (“PB”) has the obligations set out in paragraphs 12 and 13, where the case in paragraph 10 or the case in paragraph 11 applies.

(2) Where the case in paragraph 11 applies, PB’s obligations under paragraphs 12 and 13 are in addition to PB’s producer responsibility obligations.

10

The case in this paragraph is that—

(a) PB—

(i) is a producer, and has a turnover which meets the criterion in regulation 24(2)(a); but

(ii) does not have producer responsibility obligations, because the amount of packaging supplied by PB does not meet the criterion in regulation 24(2)(b);

(b) one or more of PB’s tenants are producers, but do not have producer responsibility obligations because they do not meet one or both of the criteria in regulation 24(2); and

(c) the total amount of packaging specified in paragraph 14 which is supplied by PB and the tenants referred to in sub-paragraph (b) meets the criterion in regulation 24(2)(b).

11

The case in this paragraph is that—

(a) PB is a producer and has producer responsibility obligations;

(b) one or more of PB’s tenants are producers, but do not have producer responsibility obligations because they do not satisfy one or both of the criteria in regulation 24(2);

(c) the total amount of packaging specified in paragraph 14 which is supplied by the tenants referred to in sub-paragraph (b) meets the criterion in regulation 24(2)(b).

12

(1) Where PB has obligations under this Part, PB must collect the data referred to in sub-paragraph (2) in relation to packaging specified in paragraph 14 which are supplied by—

(a) PB and the tenants referred to in paragraph 10(b), where the case in paragraph 10 applies; or

(b) the tenants referred to in paragraph 11(b), where the case in paragraph 11 applies.

(2) The data referred to in this sub-paragraph are the data specified in—

(a) paragraph 11 of Schedule 4 (which for this purpose is to be read as if references to “the producer” were references to the persons referred to in sub-paragraph (1)(a) and (b)); and

(b) paragraph 14 of Schedule 4, if the relevant packaging supplied by any of the persons referred to in sub-paragraph (1)(a) or (b) includes plastic or paper bags supplied in England.

(3) PB must—

(a) use its best endeavours to obtain from its tenants the data which PB is required by sub-paragraph (1) to collect; and

(b) make an estimate, and record it, in any case in which it is unable to obtain such data.

(4) PB must keep the data collected under sub-paragraph (1) and a record of any estimates made under paragraph (3)(b) for at least 7 years after the end of the reporting period to which the data relate.

13

(1) PB must report every 12 months—

(a) to the appropriate agency, the data specified in paragraph 11 of Schedule 4; and

(b) to the Environment Agency, the data specified in paragraph 14 of Schedule 4,

which it has collected under paragraph 12(1) or estimated under paragraph 12(3)(b) in relation to the packaging specified in paragraph 14.

(2) Regulation 39 applies to PB in relation to information which PB is required to report under sub-paragraph (1), as it applies to a producer in relation to information which the producer is required to report under Chapter 2 of Part 3.

14

For the purposes of paragraphs 10 to 13, the packaging specified in this paragraph is packaging for goods that a tenant is required by their pub operating agreement to purchase from PB or from a person nominated or authorised by PB.

PART 3 — Interpretation

Interpretation of this Schedule

15

(1) In Parts 1 and 2 of this Schedule—

(a) “premises” means any sales outlet on which packaging is handled and includes any land, vehicle, vessel, mobile plant and stall;

(b) references to the criteria in regulation 24(2)(a) or (b) (threshold criteria for small producers) are to those criteria read together with regulation 24(3) to (7).

(2) For the purposes of paragraph 8 of this Schedule—

(a) in relation to England and Wales—

(i) “alcohol” has the same meaning as in section 191 of the Licensing Act 2003[^f00085];

(ii) “premises licence” has the same meaning as in section 11 of that Act;

(iii) “sale by retail”, in relation to any alcohol, has the same meaning as in section 192 of that Act;

(iv) “supply of alcohol” has the same meaning as in section 14 of that Act;

(b) in relation to Scotland—

(i) “alcohol” has the meaning given in section 2 of the Licensing (Scotland) Act 2005[^f00086];

(ii) “premises licence” has the meaning given in section 17 of that Act;

(i) “intoxicating liquor” has the meaning given in article 2 of the Licensing (Northern Ireland) Order 1996[^f00087];

(ii) “premises licence” means a licence for premises granted under article 7 or 11 of that Order[^f00088];

(iii) “sale by retail” means a sale at any one time to any one person of quantities not exceeding—

(aa) 9 litres or 1 case of spirits or wine; or

(bb) 21 litres or 2 cases of beer or cider.

SCHEDULE 11 — Procedure on appeals

Application

1

(1) Paragraph 2 applies to a person who wishes to appeal to the First Tier Tribunal under regulation 104 or 105.

(2) Paragraphs 3 to 6 apply to a person who wishes to appeal to—

(a) the Planning Appeals Commission under regulation 104 or 105; or

(b) the Scottish Ministers under regulation 104.

(3) Paragraph 7 applies to a person who wishes to appeal to the sheriff under regulation 105.

Appeals to First Tier Tribunal

2

(1) A person referred to in paragraph 1(1) must appeal to the First Tier Tribunal in accordance with the Tribunal Procedure (First-tier Tribunal) (General Regulatory Chamber) Rules 2009[^f00089] (“the 2009 Rules”), and the 2009 Rules apply to the appeal, subject to the modification in sub-paragraph (2).

(2) Rule 22 of the 2009 Rules applies to an appeal brought under these Regulations as if rule 22(1)(b) required the notice of appeal to be received by the Tribunal—

(a) in the case of an appeal under regulation 104, within 2 months of the date on which notice of the decision to which the appeal relates was sent to the appellant; or

(b) in the case of an appeal under regulation 105, within 2 months of the date on which any complaint relating to that decision under the scheme administrator’s complaints procedure has been completed.

Appeals to Planning Appeals Commission or Scottish Ministers

3

(1) A person referred to in paragraph 1(2) must appeal to the Planning Appeals Commission or to the Scottish Ministers (“the relevant appeal body”), as the case may be, by notice in writing (a “notice of appeal”) sent to the relevant appeal body.

(2) The notice of appeal must be accompanied by—

(a) a statement of the grounds of appeal;

(b) a copy of the following documents—

(i) the decision or notice which is the subject-matter of the appeal;

(ii) any relevant application;

(iii) in the case of an appeal to the Planning Appeals Commission, any correspondence between the appellant and the scheme administrator or the appropriate agency or document relevant to the appeal; and

(iv) any other document on which the appellant intends to rely for the purposes of the appeal;

(c) a statement indicating whether the appellant wishes the appeal to be in the form of a hearing or to be determined on the basis of written representations; and

(d) in the case of an appeal to the Planning Appeals Commission, payment of the fee in regulation 9(1) of the Planning Fees (Deemed Planning Applications and Appeals) Regulations (Northern Ireland) 2015[^f00090].

4

(1) Subject to sub-paragraph (2), the notice of appeal must be given within the period of 2 months beginning with—

(a) in the case of an appeal under regulation 104, the day on which notice of the act or decision to which the appeal relates was sent to the appellant; or

(b) in the case of an appeal under regulation 105, the day on which the scheme administrator’s complaints procedure has been completed in relation to that act or decision.

(2) In the case of an appeal to the Scottish Ministers, the Scottish Ministers may at any time allow a notice of appeal to be given after the expiry of the period mentioned in sub-paragraph (1)(a).

5

Where under regulation 106(3) the appeal is by way of a hearing, the person hearing the appeal must, unless that person has been appointed to determine the appeal under regulation 106(2)(a), make a written report to the relevant appeal body of that person’s conclusions, including where relevant any findings of fact, and recommendation as to the determination of the appeal with the reasons for the recommendation.

6

(1) The relevant appeal body or other person determining an appeal must give the appellant notice in writing of the decision and the reasons for the decision.

(2) If the relevant appeal body determines an appeal after a hearing under regulation 106(3), it must provide the appellant with a copy of any report made under paragraph 5.

(3) The relevant appeal body or other person determining an appeal must, at the same time as notifying the appellant of the decision, send a copy of any document sent to the appellant under this paragraph to—

(a) the appropriate agency, if the appeal concerns a decision of the appropriate agency; or

(b) the scheme administrator, if the appeal concerns a decision of the scheme administrator.

Appeals to the Sheriff

7

A person referred to in paragraph 1(3) must appeal to the sheriff within the period of 2 months beginning with the day on which any complaint under the scheme administrator’s complaints procedure about the decision to which the appeal relates has been completed.

SCHEDULE 12 — Powers of entry etc.

Modifications to the 1995 Act

1

(1) In this paragraph, “the 1995 Act” has the meaning given in regulation 112(2).

(2) For the purposes of regulation 112, the provisions of section 108 and 108A of, and Schedule 18 to, the 1995 Act referred to in regulation 112 are to be read with the modifications in sub-paragraphs (3) to (10).

(3) Those provisions are to be read as if—

(a) references to an authorised person were references to a person authorised under regulation 112(1);

(b) references to an enforcing authority were references to the appropriate agency.

(4) Section 108(4) is to be read as if—

(a) in paragraph (a), the words “(or, in an emergency, at any time and, if need be, by force)” were omitted;

(b) paragraphs (d) and (g) were omitted;

(i) references to articles or substances in relation to which samples may be taken were to packaging, packaging materials and packaging waste; and

(ii) the power in that paragraph to take samples of the air, water or land in, on, or in the vicinity of, the premises were omitted;

(d) in paragraph (h)—

(i) the reference to any article or substance as is mentioned in paragraph (g) were to any sample of packaging, packaging materials or packaging waste taken under section 108(4)(f) as modified by paragraph (c) above;

(ii) in sub-paragraph (iii)—

(aa) the reference to an offence were to an offence under any of regulations 115 to 118 or regulation 120;

(bb) for the words from “a variation notice” to the end, there were substituted “the imposition of a civil sanction under regulation 121 or under the Environmental Regulations (Enforcement Measures) (Scotland) Order 2015[^f00091]”;

(iii) sub-paragraph (iv), as it applies to Scotland, were omitted;

(e) in paragraph (k)—

(i) references to records were to the records and returns required to be kept and provided to the appropriate agency under these Regulations, or under the 2023 Data Regulations;

(ii) references to information recorded in computerised form included any information recorded electronically;

(f) in paragraph (ka) as it applies to England and Wales, in sub-paragraph (ii) the words “(other than an article or substance within paragraph (g))” were omitted;

(g) in paragraph (ka) as it applies to Scotland, the reference to an offence under any of the pollution control enactments, or under section 40(1) of the Regulatory Reform (Scotland) Act 2014, were to an offence under these Regulations.

(5) Section 108(6) is to be read as if the words “Except in an emergency” and “or to take heavy equipment on to any premises which are to be entered” were omitted.

(6) Section 108(7) is to be read as if the words “Except in an emergency” were omitted.

(7) Section 108(7A) as it applies to England and Wales is to be read as if, for the words “subsections (7B) and (7C)”, there were substituted “subsection (7C)”.

(8) Section 108(7A) as it applies to Scotland is to be read as if the words “to seize and remove documents” were omitted.

(9) Paragraphs 2 to 6 of Schedule 18 are to be read as if—

(a) any reference to a designated person were to a person authorised in writing by the appropriate agency to exercise on its behalf any power conferred by regulation 112;

(b) any reference to a relevant power were to a power conferred by regulation 112.

(10) Paragraph 6(1) of Schedule 18 is to be read as if any reference to section 108(4)(a) or (b) or (5) of the 1995 Act were to regulation 112.

Modifications to the 1997 Order

2

(1) In this paragraph, “the 1997 Order” has the meaning given in regulation 113(2).

(2) For the purposes of regulation 113, the provisions of article 72 of, and Schedule 4 to, the 1997 Order referred to in regulation 113 are to be read with the modifications in sub-paragraphs (3) to (8).

(3) Those provisions are to be read as if—

(a) references to an authorised person were references to a person authorised under regulation 113(1);

(b) references to an enforcing authority were references to DAERA.

(4) Article 72(2) is to be read as if—

(a) in paragraph (a), the words “(or, in an emergency, at any time and, if need be, by force)” were omitted;

(b) paragraphs (d) and (g) were omitted;

(i) the reference to articles or substances in relation to which samples may be taken were to packaging, packaging materials and packaging waste;

(ii) the power in that paragraph to take samples of the air, water or land in, on, or in the vicinity of, the premises were omitted;

(d) in paragraph (h)—

(i) the reference to any article or substance as is mentioned in paragraph (g) were to any sample of packaging, packaging materials or packaging waste taken under article 72(2)(f) as modified by paragraph (c) above;

(ii) in sub-paragraph (iii)—

(aa) the references to an offence were to an offence under regulation 115;

(bb) for the words from “a variation notice” to the end, there were substituted “the imposition of a civil sanction under regulation 121 of the Producer Responsibility Obligations (Packaging and Packaging Waste) Regulations 2024”;

(e) in paragraph (j)—

(i) references to records were to the records and returns required to be kept and provided to the appropriate agency under these Regulations, or under the 2023 Data Regulations;

(ii) references to information recorded in computerised form included any information recorded electronically.

(5) Article 72(4) is to be read as if the words “Except in an emergency,” and “or to take heavy equipment on to any premises which are to be entered,” were omitted.

(6) Article 72(5) is to be read as if the words “Except in an emergency,” were omitted.

(7) Paragraphs 2 to 5 of Schedule 4 are to be read as if—

(a) any reference to an authorised person were to a person authorised in writing by DAERA to exercise on its behalf any power conferred by regulation 113;

(b) any reference to a relevant power were to a power conferred by regulation 113.

(8) Paragraph 5 of Schedule 4 is to be read as if any reference to article 72(2)(a) or (b) or (3) of the 1997 Order were to regulation 113.

SCHEDULE 13 — Civil sanctions

PART 1 — Table of civil sanctions

1

(1) The following table sets out requirements and prohibitions for the contravention of which the enforcement agency in relation to the contravention concerned (see the definition of “enforcement agency” in regulation 114) has power to impose civil sanctions.

(2) The power of an enforcement agency to impose a civil sanction for contravention of a requirement or prohibition specified in the table is subject to, and exercisable in accordance with, regulations 121 and 122 and Parts 2 to 5 of this Schedule.

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