Statutory Rules of Northern Ireland

(a) the application for registration of a scheme of which the applicant was a member is refused;

(b) the registration of a scheme of which the applicant was a member is cancelled;

(c) the applicant's membership of a scheme is discontinued;

(d) the applicant becomes a producer in respect of that year; or

(e) an application to register made within the time limit in paragraph (1) above is refused,

an application for registration shall be made within 28 days of the occurrence.

    (4) An application for producer registration shall—

(a) be made in writing;

(b) contain the information set out in Part I of Schedule 3;

(c) other than in the case of a small producer who has elected to follow the allocation method under sub-paragraph (d) below and subject to paragraph (9) below, be accompanied by the following further information, on a form supplied for that purpose by the Department and signed by the approved person, in relation to the relevant year—


(i) each class of producer to which the applicant belongs;

(ii) if he belongs to more than one class of producer, which of those classes constitutes his main activity as a producer;

(iii) the relevant SIC code for the class of producer to which the applicant belongs or, as the case may be, for the applicant's main activity;

(iv) in relation to each such class of producer—


(aa) the amount of packaging waste which he is required to recover by virtue of paragraph 3(1) of Schedule 2 and of this the proportion which is to be recovered by recycling by virtue of paragraph 3(2) of Schedule 2; and

(bb) the amount of packaging waste which he is required to recycle for each kind of recyclable material by virtue of paragraph 3(3) of Schedule 2;



(v) the basis on which the amounts referred to in paragraph (iv) were calculated; and

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



(d) in the case of a small producer state whether he elects to follow the allocation method, and, if he does, be accompanied by evidence as to his turnover;

(e) be accompanied by the relevant fee for producer registration referred to in regulation 9; and

(f) on a first application for registration where the producer handled more than 500 tonnes of packaging or packaging materials in the preceding year, be accompanied by an operational plan complying with Part III of Schedule 3, and on any subsequent application, be accompanied by a revised version of that plan unless it has already been provided pursuant to paragraph (g) in regulation 8.

    (5) A small producer who has elected under paragraph (4)(d) above to follow the allocation method shall follow this method for a minimum of the year of registration and the following two years.

    (6) An application for producer registration shall be granted where—

(a) the producer has complied with—


(i) paragraph (4)(a), (b) and (e) above; and

(ii) where applicable, paragraphs (4)(c), (d), (f) and (5) above; and



(b) the Department is satisfied that the further information provided in accordance with paragraph (4)(c) above, or (9) below, has been provided in accordance with paragraph (8) below,

and shall otherwise be refused.

    (7) Where an application for producer registration is granted—

(a) the Department shall, within 28 days of it being granted confirm to the producer in writing that he is registered with it; and

(b) the producer shall be treated as having been registered—


(i) where the application was made within the time limit specified in paragraph (1), from the beginning of the relevant year;

(ii) where the application was made within the time limit specified in paragraph (3), from the date of the relevant occurrence;

(iii) in any other case, from the date specified in the confirmation,

(a) comply with his obligations set out in regulation 4(4);

(b) provide any information reasonably requested by the Department with regard to the obligations referred to in paragraph (a) above;

(c) inform the Department of—


(i) any change in the circumstances of the producer which relate to the registration of the producer and, where the producer is a partnership, any change of partners;

(ii) any material change in the information provided in accordance with regulation 7(4)(b); and

(iii) any material change in the further information provided in accordance with regulation 7(4)(c ), or 7(9), as the case may be,



within 28 days of the occurrence of any such change;



(d) provide records and returns to the Department as required by regulation 20;

(e) notify the Department that he wishes to cancel his registration where he has become a member of a registered scheme or has ceased to be a producer in respect of a year;

(f) comply with the operational plan submitted under regulation 7(4)(f) or, if a revised plan has been submitted under paragraph (g) below, with the most recent version so submitted; and

(g) on or before 1^st January in a relevant year, provide to the Department a revised version of the operational plan.

(e) that the operator of the scheme will provide records and returns to the Department as required by regulation 22;

(f) that the operator of the scheme will comply with the operational plan submitted under regulation 14(3)(f) or, if a revised plan has been submitted under paragraph (g) below, with the most recent version so submitted; and

(g) that the operator of the scheme will, on or before 31^st January in a relevant year, provide to the Department a revised version of the operational plan for the scheme that complies with Part III of Schedule 3.

"A" is the number of new members of the scheme which are the subject of the notification who are not small producers who have elected to follow the allocation method;

"B" is the fee set out at sub-paragraph (2)(b) above plus the sum of £110;

"C" is the number of new members of the scheme which are the subject of the notification who are small producers who have elected to follow the allocation method;

"D" is the fee set out at sub-paragraph (2)(a) above plus the sum of £110; and

"AF" is the additional fee.

(a) maintain, and retain for at least 4 years after the record is made, records of the information referred to in paragraph (2) below for a small producer who has elected to follow the allocation method or paragraph (3) for any other producer; and

(b) at the same time as he furnishes a certificate of compliance to the Department in accordance with regulation 21, make a return to the Department of that information.

    (2) The information to be recorded by a small producer who has elected to follow the allocation method is—

(a) his turnover;

(b) the recycling allocation for the relevant year as provided in paragraph 8 of Schedule 2;

(c) the amount, in tonnes, of packaging waste which is to be recycled under the allocation method set out in paragraph 7 of Schedule 2; and

(d) the aggregate tonnage of packaging materials that have been received by an accredited reprocessor for recycling and that have been exported by an accredited exporter for recycling as set out in the PRNs or PERNs acquired.

    (3) The information to be recorded by any other producer is—

(a) the amount in tonnes, to the nearest tonne, of packaging waste delivered respectively for recovery and for recycling to a reprocessor or exporter, by or on behalf of the producer as set out in the PRNs or PERNs acquired; and

(b) the total number of tonnes of each material which is the subject of the producer's recovery and recycling obligations.

(a) in the case of a person wishing to be accredited—


(i) as a reprocessor in respect of each site for which he wishes to be accredited and stating which of the applicable recovery operations which recyclable materials he wishes that accreditation to cover; or

(ii) as an exporter, in respect of the export of one or more recyclable materials for reprocessing at one or more specified sites outside the United Kingdom;



(b) on a form made available by the Department and including all the information specified on that form, being information which the Department reasonably requires in order to determine the application;

(c) accompanied by a business plan containing information on how the funds acquired from the issue of PRNs or PERNs are to be applied including information in respect of the following matters—



(i) the development of capacity for the collection and reprocessing of packaging waste and the development of new markets for materials or goods which have been made from recycled packaging waste; and

(ii) arrangements for the collection and sorting of packaging waste; and

(iii) the strategy, including communications, to be adopted in order to achieve the matters described in paragraphs (i) and (ii) above; and



(d) accompanied by a fee of—



(i) in the case of an applicant who undertakes to issue PRNs or PERNs for not more than 400 tonnes of packaging waste in the year to which the application relates, £500; or

(ii) in any other case, £2,590.

    (2) An application for accreditation as—

(a) A reprocessor to issue PRNs for the receipt of one or more specified recyclable materials at a specified site and for reprocessing in one or more specified recovery operations or a combination of such operations; or

(b) An exporter, to issue PERNs for the export of one or more specified recyclable materials for reprocessing in one or more recovery operations at a specified site or sites outside the United Kingdom, or a combination of such operations,

shall be granted where the Department is satisfied as to the matters set out in paragraph (3) below or, in any other case, shall be refused.

    (3) The matters referred to in paragraph (2) are—

(a) the contents of the business plan referred to in paragraph (1)(c) above;

(b) where the application is made for accreditation as an exporter and relates to one or more reprocessing sites outside the European Community, that the requirements of Article 6(2) of the Packaging Waste Directive have been met in respect of each site; and

(c) that the application has been duly made in accordance with paragraph (1) above.

    (4) The Department shall notify the applicant in writing of its decision under paragraph (2) no later than 12 weeks after the application was made and, if the decision is a decision to refuse accreditation, such notification shall include reasons for the decision and a statement of the right of appeal under regulation 27(3)(a).

    (5) Subject to regulation 26, where accreditation is granted under paragraph (2), it shall take effect—

(a) where the application is made in the preceding year to that in which the person wishes to be accredited—


(i) from 1^st January where the decision to accredit was made before that date; and

(ii) in all other cases, from the date of the decision,

(b) where the application is made during the year in which the person wishes to be accredited, from the date of the decision, and shall remain in force until 31^st December in that year.

(a) to refuse to grant an application for registration under regulation 7(6); or

(b) to cancel registration under regulation 11(1).

    (2) The operator of a scheme may appeal to the Planning Appeals Commission against a decision of the Department—

(a) to refuse to grant an application for registration under regulation 14(4); or

(b) to cancel registration under regulation 18(1).

    (3) A reprocessor or exporter may appeal to the Planning Appeals Committee against a decision of the Department—

(a) to refuse accreditation under regulation 24;

(b) to specify a condition pursuant to paragraph 1(q)(iii) of Schedule 5; or

(c) to cancel or suspend accreditation under regulation 26.

(a) compliance with their producer responsibility obligations by persons who are or may be producers;

(b) compliance by operators of schemes with the obligations referred to in regulation 12(1);

(c) compliance by operators of schemes with the conditions referred to in regulation 13(4;

(d) compliance by persons who are accredited reprocessors or exporters with the conditions specified in or under Schedule 5; and

(e) compliance by producers and operators of schemes with operational plans submitted under these Regulations.

    (2) The duty referred to in paragraph (1) above includes a duty to monitor—

(a) the registration of producers as required by regulation 6;

(b) the accuracy of the information provided by producers pursuant to regulations 7 and 8;

(c) the accuracy of the returns furnished to the Department by a producer under regulation 20;

(d) the accuracy of the information contained in the certificates of compliance furnished to the Department under regulation 21;

(e) the accuracy of the information provided by an operator of a scheme pursuant to regulations 14 and 15; and

(f) the accuracy of the returns provided to the Department by an operator of a scheme under regulations 13(5)(c) and 22.

    (3) For the purposes of the discharge of its functions under these Regulations, the Department may, by notice in writing served on—

(a) any person who has, or who the Department has reason to believe has, producer responsibility obligations under regulation 4;

(b) in relation to any person who is a member of a registered scheme, the operator of that scheme;

(c) any person who is, or who the Department has reason to believe is, issuing PERNs or PRNs;

(d) any person who is engaged in trading in, or brokerage in relation to, PERNs or PRNs; or

(e) any accredited reprocessor or exporter,

(a) he is a party to a pub operating agreement in or under which he grants a lease or tenancy of premises to another; and

(b) the premises to which the pub operating agreement relates are used by the tenant in order to carry on the licensable activity of—


(i) selling intoxicating liquor by retail for consumption in, or both in or off the premises; or

(ii) the supply of intoxicating liquor by or on behalf of a club, or to the order of, a member of the club or both, for consumption on the premises or both on and off the premises,

(a) subject to paragraph (2) below, regulation 4(4)(a);

(b) regulation 4(4)(b); or

(c) regulation 4(4)(c),

is guilty of an offence.

    (2) A producer is not guilty of an offence under paragraph (1)(a) above in respect of any period during which, under regulation 7(7), he is treated as having been registered.

    (3) An operator of a scheme who fails to comply with his recovery and recycling obligations in contravention of regulation 12(1) is guilty of an offence.

    (4) A person who contravenes a requirement of regulation 23 or who is in breach of either of the conditions specified in paragraph 1(a) or 1(d) of Schedule 5 is guilty of an offence.

    (5) A person who furnishes any information to the Department in connection with its functions under these Regulations or furnishes information to which regulation 19 applies to an operator of a scheme shall be guilty of an offence if, in furnishing the information, he—

(a) knows the information to be false or misleading in a material particular; or

(b) furnishes such information recklessly and it is false or misleading in a material particular.

    (6) A person who fails without reasonable excuse to comply with any requirement imposed in a notice under regulation 31(3) shall be guilty of an offence.

    (7) A person who intentionally delays or obstructs a person authorised by the Department in the exercise of powers referred to in regulation 35 is guilty of an offence.

    (8) Where in accordance with Schedule 9 there is a group registration the holding company is guilty of an offence if—

(a) it does not comply with its recovery and recycling obligations referred to in paragraph 5(c) of Schedule 9; or

(b) it does not furnish a certificate of compliance in accordance with paragraph 5(d) of Schedule 9.

    (9) A person guilty of an offence under any of paragraphs (1) to (8) above shall be liable—

(a) on summary conviction to a fine not exceeding the statutory maximum; or

(b) on conviction on indictment, to a fine.

Wesley Shannon
A senior officer of the Department of the Environment

(a) "relevant function" means the performance by a person of the functions of one of the following—


(i) manufacturer;

(ii) convertor;

(iii) packer/filler;

(iv) importer;

(v) seller;

(vi) service provider,

(b) "convertor" means a person who uses or modifies packaging materials in the production or formation of packaging;

(c) "importer" means a person who imports packaging or packaging materials into the United Kingdom;

(d) "manufacturer" means a person who manufactures raw materials for packaging;

(e) "packer/filler" means a person who puts goods into packaging;

(f) "seller" means a person who supplies packaging to a user or a consumer of that packaging, whether or not the filling has taken place at the time of the supply;

(g) "service provider" means a person who supplies reusable packaging to a user of that packaging where the supply is made by hiring out or lending the packaging;

(h) "Year 1" means the preceding year; and

(i) "Year 2" means the relevant year.

    (2) Where a person performs the functions of a convertor and a packer/filler at the same time, and as part of the same packing/filling process, and in relation to the same packaging, as regards supplies of packaging or packaging materials made to or by him in connection with those functions, or that process, he is treated for the purposes of these Regulations as a producer of the class of packer/filler only.

    (3) For the purposes of this Schedule a person acts "in the course of business" if he acts in the ordinary course of conduct of a trade, occupation or profession.

     2. For the purposes of Column 3 of the above Table, and Schedule 2—

(a) "Class A supply" means a deemed supply;

(b) "Class B supply" means a supply, other than solely for the purpose of transport, to a person who acts as a distributor, that is to say who, in relation to the packaging or packaging materials supplied, neither performed the functions of one of the classes of producer, nor was the user or consumer;

(c) "Class C supply" means a supply (other than a Class F supply) to a person for the performance by that person of a relevant function which—


(i) is different from the function performed by his immediate supplier; and

(ii) is not that of an importer;



(d) "Class E supply" means a supply, other than a supply of transit packaging in respect of which a Class F supply has already been made, to a user or consumer other than a person who performed a relevant function;

(e) "Class F supply" means a supply—



(i) to a person who performed a relevant function;

(ii) to a user or consumer; or

(iii) to a person who acts as a distributor,



using the transit packaging supplied to perform the functions of a packer/filler and seller;

(f) "Class G supply" means a supply —



(i) to a person who performed a relevant function; or

(ii) to a person who acts as a distributor,



where the supply is made by hiring out or lending the packaging;

(g) "supply" means doing any of the following, either himself or through an agent acting on his behalf, in relation to packaging or packaging materials owned by the supplier—



(i) selling, hiring out or lending;

(ii) providing in exchange for any consideration other than money;

(iii) providing in or in connection with the performance of any statutory function; or

(iv) giving as a prize or otherwise making a gift,



and "deemed supply" means a supply which is deemed to occur when a person who has carried out a relevant function then performs another such function in relation to the same packaging or packaging materials.

     3. A person satisfies the threshold tests if—

(a) his turnover in the last financial year in respect of which audited accounts are available before the relevant date was more than £2,000,000; and

     in the calculation year the person handled in aggregate more than 50 tonnes of packaging or packaging materials.

(a) to recover an amount of packaging waste as provided in paragraph 3(1) below;

(b) to recover by recycling a proportion of that packaging waste, as provided in paragraph 3(2) below; and

(c) as part of the obligation to recover packaging waste as provided in paragraph (a) above, to recover by recycling an amount of packaging materials which is packaging waste, as provided in paragraph 3(3) below,

and are calculated by aggregating his obligations in relation to each class of producer to which he belongs in respect of that year.

     2. Where a small producer has elected to follow the allocation method, his obligations to recycle packaging waste in a relevant year are to recycle an amount of packaging waste as provided in paragraphs 7 and 8 below.

     3. —(1) The amount of packaging waste to be recovered by a producer in relation to a class of producer to which he belongs is calculated as follows—

"P" is the amount in tonnes to the nearest tonne of packaging and packaging materials handled in Northern Ireland by the producer in the preceding year;

"C" is the percentage prescribed in paragraph 4 below in relation to the class of producer;

"X" is the percentage prescribed in paragraph 5 below as the recovery target for the relevant year; and

"Z" is the amount by tonnage of packaging waste which is to be recovered within the relevant year.

    (2) The proportion of the packaging waste referred to in sub-paragraph (1) above which is to be recovered by recycling, in relation to a class of producer to which the producer belongs in the years 2006, 2007, 2008, 2009 and 2010 is not less than 92% of the amount by tonnage of packaging waste represented by "Z" in sub-paragraph (1) above.

    (3) Where in the preceding year the producer has handled any recyclable material (whether in the form of packaging or packaging materials), the producer shall recover by recycling an amount of packaging waste consisting of that material calculated as follows—

"M" is the amount in tonnes to the nearest tonne of the recyclable material (whether in the form of packaging or packaging materials) handled in Northern Ireland by the producer in the preceding year;

"C" is the percentage prescribed in paragraph 4 below in relation to the class of producer;

"Y" is the percentage prescribed in paragraph 6 below as the recycling target for the relevant year; and

"Q" is the amount by tonnage of packaging waste consisting of that material which is to be recycled in the relevant year.

     4. —(1) The following percentages are prescribed as the percentages for the following classes of producer—

(a) manufacturer	6% ;
(b) convertor	9% ;
(c) packer/filler	37% ;
(d) seller	48% ;
(e) secondary provider	85% ; and
(f) service provider	85% .

    (2) The following percentages are prescribed for the class of importer—

(a) the manufacturer's percentage, that is 6% —


(i) on Class A supplies, where the importer also carries out the functions of a convertor;

(ii) on Class B supplies, where the relevant packaging or packaging materials are supplied, by the distributor who receives them, to a convertor; and

(iii) on Class C supplies to a convertor;



(b) the manufacturer's and the convertor's percentages aggregated, that is 6% + 9% = 15% —



(i) on Class A supplies, where the importer also carries out the functions of a packer/filler;

(ii) on Class B supplies, where the relevant packaging or packaging materials are supplied, by the distributor who receives them, to a packer/filler;

(iii) on Class C supplies to a packer/filler; and

(iv) on Class G supplies;



(c) the manufacturer's, the convertor's and the packer/filler's percentages aggregated, that is 6% + 9% + 37% = 52% —



(i) on Class A supplies where the importer also carries out the functions of a seller;

(ii) on Class B supplies where the relevant packaging or packaging materials are supplied, by the distributor who receives them, to a seller; and

(iii) on Class C supplies to a seller;



(d) the manufacturer's, the convertor's, the packer/filler's and the seller's percentages aggregated, that is 6% + 9% + 37% + 48% = 100% —



(i) on Class F supplies; and

(ii) on Class A supplies, where the importer is also the final user or consumer.

     5. The following is prescribed as the recovery target "X"—

(a) for the year 2006, 66% ;

(b) for the year 2007, 67% ;

(c) for the year 2008, 68% ;

(d) for the year 2009, 69% ; and

(e) or the year 2010, 70% .

     6. The following percentages are prescribed as the recycling target "Y" in respect of the recyclable material specified in the first column in relation to the years indicated at the head of the subsequent columns—


Table 2: Recycling targets

Material	2006	2007	2008	2009	2010
Glass	65	69.5	73.5	74	74.5
Aluminium	29	31	32.5	33	33.5
Steel	56	57.5	58.5	59	59.5
Paper/Board	66.5	67	67.5	68	68.5
Plastic	23	24	24.5	25	25.5
Wood	19.5	20	20.5	21	21.5

     7. —(1) The amount of packaging waste to be recycled by a small producer who has elected to follow the allocation method is calculated as follows—

"A" = a/1,000,000;

"a" is the annual turnover of the producer in the last financial year in respect of which audited accounts are available before the relevant date, rounded up to the nearest ten thousand pounds;

"B" is the recycling allocation for the relevant year prescribed in paragraph 8 below; and

"Z_s" is the amount of packaging waste (in tonnes) which is to be recycled in the relevant year.

    (2) For the purposes of this paragraph, a small producer shall carry out his recycling obligations by recycling the recyclable material he handled which is predominant by weight.

     8. Table 3 prescribes the recycling allocation "B" in relation to a relevant year—


Table 3: Recycling Allocations

Relevant Year	Recycling Allocation
2006	25
2007	26
2008	27
2009	28
2010	29

     9. Paragraph 4(2) of Schedule 1 applies for the purposes of this Schedule, but as though the words "For the purposes of paragraph 3(b) above," and the words "other than a Class A supply," were omitted.

     10. Where the Department is satisfied that a producer has instituted a system of using reusable packaging which has a life of at least four years, the producer's obligations under this Schedule in relation to that packaging may be discharged by equal instalments over four years commencing with the year in which that packaging is first used.

(a) the steps intended to be taken through the scheme to increase the use of recycled packaging waste in the manufacture of packaging, packaging materials or other products or materials supplied by its members; and

(b) the principal methods by which packaging waste is to be recovered through the scheme, and by which it is to be recycled through the scheme, together with information about the steps the user or consumer may take to assist the scheme in applying these methods.

     12. The matters to be contained in the operational plan referred to in regulations 7(4)(f), 8(g), 14(3)(f) and 15(g) are matters which demonstrate—

(a) PRNs shall not be issued for more than the total amount of packaging waste which—


(i) is received for reprocessing on the site of a reprocessor in the year or the part of the year for which he is accredited; and

(ii) will be capable of being reprocessed on the site for which he is accredited no later than the end of the following year;



(b) a reprocessor may only issue a PRN in respect of packaging waste once that packaging waste has been received for reprocessing on that site;

(c) PRNs which relate to packaging waste received for reprocessing in December of a year shall specify that fact;

(d) PERNs shall not be issued for more than the total amount of packaging waste which an accredited exporter exports for reprocessing to the specified overseas sites notified to and approved by the Department in the year or part of the year for which he is accredited;

(e) a PERN may only be issued once the packaging waste that it relates to has been exported for reprocessing to the specified overseas sites notified to and approved by the Department;

(f) PERNs which relate to packaging waste exported in December of a year shall specify that fact;

(g) where a PRN or PERN has not been issued by 31st January in any year in respect of an amount of packaging waste received for reprocessing or exporting in the previous year, a PRN or PERN for that amount shall not be issued to producers or operators of schemes, or to the representatives of producers or operators of schemes but shall be issued to the Department on or before 15th February in that year;

(h) any blank PRN or PERN forms not issued and remaining blank in the book of PRNs or PERNs of a reprocessor or exporter are the property of the Department and are to be returned to the Department on demand;

(i) the weight of packaging waste recorded on a PRN or PERN shall be—



(i) rounded up to the nearest whole tonne where the part tonne is 0.5 or more;

(ii) rounded down to the nearest whole tonne where the part tonne is less than 0.5;



(j) duplicate copies of all PRNs and PERNs issued shall be retained and made available for inspection by the Department at all reasonable times;

(k) subject to sub-paragraph (g) above, PRNs and PERNs may only be issued to producers or operators of schemes, or to the representatives of producers or operators of schemes;

(l) one or more substitute PRNs or PERNs shall be issued, on request, to the holder of an original PRN or PERN in exchange for the original, provided that—



(i) the aggregate tonnage of the substitute or substitutes so issued remains equal to that exchanged;

(ii) where the packaging waste was received or exported in December, the substitute shall also specify that fact;

(iii) the substitute PRNs or PERNs relate to the same year as the original; and

(iv) no substitutes which relate to packaging waste received for reprocessing in any given year may be issued after 31st January in the following year;



(m) records shall be maintained for each quarter year on a form made available for the purpose by the Department, shall be retained for at least 4 years after the end of the year in which the record is made and shall be made available to the Department on demand;

(n) reports shall be provided to the Department before each of 21st April, 21st July, 21st October and 28th February in respect of the previous quarter year on—



(i) the tonnage of packaging waste received or exported for reprocessing in that quarter;

(ii) the tonnage of packaging waste reprocessed in that quarter;

(iii) the number of PRNs or PERNs issued in that quarter; and

(iv) a list of all PRNs and PERNs issued,



on a form provided by the [Department];

(o) a report shall be provided to the Department before 28th February in each year which sets out—



(i) all the information provided in the quarterly reports which relate to the whole of the previous year; and

(ii) the amount of revenue received in the previous year from the sale of PRNs or PERNs and a statement of what it has been spent on;



(p) except in the case of a reprocessor or exporter who has made the undertaking specified in regulation 24(1)(d)(i) for the whole of the year in which he is accredited, a report shall be provided to the Department which—



(i) is from an independent auditor; and

(ii) demonstrates that the PRNs or PERNs issued by the reprocessor or exporter in the previous year are consistent with the tonnage of packaging waste received or exported for reprocessing that year,



before 28th February in the subsequent year.

(q) a reprocessor or exporter must—



(i) as far as possible implement the business plan referred to in regulation 24(1)(c);

(ii) undertake sampling and inspection of packaging waste received or exported for reprocessing, in accordance with a plan approved by the Department; and

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

     2. For the purposes of this Schedule—

(a) each registered producer;

(b) each registered operator of a scheme and each member of the scheme for which he is the operator; and

(c) each accredited reprocessor and accredited exporter.

     2. In relation to accredited reprocessors and exporters—

(a) each material type accepted;

(b) in relation to any recovery operation to be used, the appropriate classification of the applicable operation provided for in Annex IIB of the Waste Directive;

(c) in relation to the incineration at waste incineration plants with energy recovery, the appropriate classification of the applicable operation under Annex IIA or Annex IIB of the Waste Directive;

(d) whether the reprocessor or exporter is accredited to issue PRNs or PERNs for either 400 tonnes or less, or more than 400 tonnes of packaging waste;

(e) the name and telephone number of the reprocessor or exporter;

(f) the site address for an accredited reprocessor;

(g) the reference number supplied by the Department;

(h) the serial number ranges of books of PRN or PERN forms supplied by the Department;

(i) whether or not quarterly returns and annual returns have been provided in accordance with the conditions set out in paragraphs 1(n), 1(o) and where required 1(p) of Schedule 5;

(j) whether the Department has served a notice to suspend or cancel accreditation; and

(k) whether accreditation has been suspended or cancelled.

     3. A statement in relation to each registered producer as to whether a satisfactory certificate of compliance has been furnished.

     4. A statement in relation to each registered operator of a scheme as to whether he has complied with his obligations under regulation 12(1).

(a) that there are reasonable grounds for the exercise in relation to any premises of a relevant power conferred by regulation 35; and

(b) that one or more of the conditions specified in sub-paragraph (2) is fulfilled in relation to those premises,

the justice may by warrant authorise an authorised person to exercise the power in relation to those premises, in accordance with the warrant and, if need be, by force.

    (2) The conditions mentioned in sub-paragraph (1)(b) are—

(a) that the exercise of the power in relation to the premises has been refused;

(b) that such a refusal is reasonably apprehended;

(c) that the premises are unoccupied;

(d) that the occupier is temporarily absent from the premises and the case is one of urgency; or

(e) that an application for admission to the premises would defeat the object of the proposed entry.

    (3) In a case where paragraph (3) of regulation 35, applies, a justice of the peace shall not issue a warrant under this Schedule by virtue only of being satisfied that the exercise of a power in relation to any premises has been refused, or that a refusal is reasonably apprehended; unless he is also satisfied that the notice required by that paragraph has been given and that the period of that notice has expired.

    (4) Every warrant under this Schedule shall continue in force until the purposes for which the warrant was issued have been fulfilled.

Manner of exercise of powers
     2. An authorised person shall produce evidence of his designation and other authority before he exercises the power.

Information obtained to be admissible in evidence
     3. —(1) Subject to paragraph (5) of regulation 35, information obtained in consequence of the exercise of relevant power, with or without the consent of any person, shall be admissible in evidence against that or any other person.

    (2) Without prejudice to the generality of sub-paragraph (1), information obtained by means of monitoring or other apparatus installed on any premises in the exercise of a relevant power, with or without the consent of any person in occupation of the premises, shall be admissible in evidence in any proceedings against that or any other person.

Duty to secure premises
     4. A person who, in the exercise of a relevant power, enters on any premises which are unoccupied or whose occupier is temporarily absent shall leave the premises as effectually secured against trespassers as he found them.

Compensations
     5. —(1) Where an authorised person exercises any power conferred by sub-paragraph 2(a) of regulation 35, it shall be the duty of the Department to make full compensation to any person who has sustained loss or damage by reason of—

(a) the exercise by the authorised person of that power; or

(b) the performance of, or failure of the authorised person to perform, the duty imposed by paragraph (4).

    (2) Compensation shall not be payable by virtue of sub-paragraph (1) in respect of any loss or damage if the loss or damage—

(a) is attributable to the default of the person who sustained it; or

(b) is loss or damage in respect of which compensation is payable by virtue of any other provision of the Order.

(a) where a holding company and one or more of its subsidiaries, or two or more subsidiary companies of the same holding company (in either case referred to in this Schedule and Schedule 10 as "a group of companies") each satisfies the provisions of Columns 1 to 3 of Table 1 in Schedule 1 in relation to a class or classes of producer; and

(b) where the aggregate of the turnovers, and the aggregate of the amounts of packaging or packaging materials handled by each such company, are sufficient to satisfy the threshold tests as provided by paragraph 3 of Schedule 1.

     2. Subject to regulation 5, in respect of a year each company referred to in paragraph 1 above is a producer of a class specified in an entry in Column 4 of Table 1 in Schedule 1 if—

(a) in that year and the preceding year the company performs the relevant functions specified in Column 1 of that Table in relation to that entry; and

(b) in the preceding year the company made supplies of the materials or products specified in Column 2 of that Table in relation to that entry of a class specified in Column 3 of that Table in relation to that entry,

and the other provisions of that Schedule, other than paragraph 3, shall also have effect for the purposes of determining to which class of producer such a company belongs.

     3. For the purposes of this Schedule and Schedule 10 "subsidiary" and "holding company" have the same meanings as they have in Article 4 of the Companies (Northern Ireland) Order 1986.

     4. Subject to regulation 5, companies who are producers and are in a group of companies shall comply with their producer registration obligations for a relevant year by—

(a) being registered for that year with the Department as required by regulation 6, in which case each company so registered has its own recovery and recycling obligations, certifying obligations, and, where applicable, consumer information obligations; or

(b) the holding company and one or more of the subsidiaries being registered together for that year with the Department, (in this Schedule and Schedule 10 referred to as a "group registration") in which case paragraph 5 below shall apply.

     5. Where there is a group registration—

(a) the subsidiary companies in the group registration are exempt from complying with their producer responsibility obligations for the relevant year;

(b) the holding company has a producer registration obligation for the relevant year which is an obligation to make the group registration and for this purpose regulations 5 to 11, and Parts I and II of Schedule 3, shall be read as if—


(i) references to the applicant or the producer were references to the holding company;

(ii) references to information to be provided regarding the producer were to information to be provided regarding each company in the group registration; and

(iii) the references in [regulations 7(4)(e) and 9(2) to a fee for producer registration were read as references to a fee for group registration;



(c) the holding company has recovery and recycling obligations and, where applicable, consumer information obligations for the relevant year which are the aggregate of its own obligations in respect of that year, if any, and the obligations which the subsidiary companies in the group registration would have had but for the group registration;

(d) the holding company shall furnish records and returns and provide a certificate of compliance, and references in regulation 21 and Schedule 4—



(i) to a producer shall be read as references to the holding company, and

(ii) to information shall be read as references to information regarding each company in the group registration.

     6. This Schedule is subject to the provisions of Schedule 11.

(a) the head organisation and one or more of his members would, but for a failure to satisfy one or both of the threshold tests in paragraph 3 of Schedule 1, each have producer responsibility obligations under these Regulations;

(b) two or more members of the head organisation would, but for a failure to satisfy one or both of the threshold tests in paragraph 3 of Schedule 1, each have producer responsibility obligations under these Regulations; or

(c) the head organisation has producer responsibility obligations under these Regulations and one or more of his members would, but for a failure to satisfy one or both of the threshold tests in paragraph 3 of Schedule 1, each have producer responsibility obligations under these Regulations.

    (2) The conditions referred to in paragraph 1 above are that—

(a) the head organisation satisfies the threshold test relating to turnover in paragraph 3(a) of Schedule 1; and

(b) subject to paragraphs 4 and 5 below, the head organisation and one or more of his members, or his members alone, in one of the situations in paragraph 3(1)(a), (b) or (c) above, together satisfy the threshold test relating to packaging handled in paragraph 3(b) of Schedule 1.

     4. Where the head organisation is a licensor, for the purposes of the threshold test in paragraph 3(b) of Schedule 1, packaging or packaging materials handled in one of the situations in paragraph 3(1)(a), (b) or (c) above shall only include—

(a) packaging or packaging materials that bear a trade mark of the head organisation for which a licence to use such trade mark has been granted under the licence agreement;

(b) packaging associated with goods that bear a trade mark of the head organisation for which a licence to use such trade mark has been granted under the licence agreement; and

(c) where the member is obliged to—


(i) purchase goods in packaging;

(ii) purchase goods and associated packaging or packaging materials to be used to contain or protect such goods or to facilitate the handling of or for the presentation of such goods;

(iii) purchase packaging or packaging materials to be used to contain or protect such goods or to facilitate the handling of or for the presentation of such goods,

(a) where there is a situation falling in paragraph 3(1)(a) or (b) above and the conditions in paragraph 3(2) above have been met, the head organisation is deemed to be a producer of a class or classes specified in an entry in Column 4 of Table 1 in Schedule 1 and has producer responsibility obligations in respect of his own activities, where applicable, and those of his members in respect of the packaging or packaging materials set out in paragraph 4; or

(b) where there is a situation falling in paragraph 3(1)(c) above and the conditions in paragraph 3(2) above have been met, the head organisation, in addition to having producer responsibility obligations as a producer in respect of his own activities, is deemed to be a producer of a class or classes specified in an entry in Column 4 of Table 1 in Schedule 1 and has producer responsibility obligations in respect of the activities of his members in respect of the packaging or packaging materials set out in paragraph 4.

     7. Where the head organisation is a pub operating business—

(a) where there is a situation falling in paragraph 3(1)(a) or (b) above and the conditions in paragraph 3(2) above have been met, the head organisation is deemed to be a producer of a class or classes specified in an entry in Column 4 of Table 1 in Schedule 1 and has producer responsibility obligations in respect of his own activities, where applicable, and those of his members in respect of the packaging or packaging materials set out in paragraph 5; or

(b) where there is a situation falling in paragraph 3(1)(c) above and the conditions in paragraph 3(2) above have been met, the head organisation, in addition to having producer responsibility obligations as a producer in respect of his own activities, is deemed to be a producer of a class or classes specified in an entry in Column 4 of Table 1 in Schedule 1 and has producer responsibility obligations in respect of the activities of its members in respect of the packaging or packaging materials set out in paragraph 5.

     8. Where the head organisation does not have the information necessary for the purposes of paragraphs 4 to 7 above he shall use his best endeavours to obtain such information; and where despite having used his best endeavours he nevertheless does not have such information he shall produce his best estimate and that estimate shall be used for the purposes of paragraphs 4 to 7 above.

     9. For the purposes of this Schedule—

(a) "head organisation" means a licensor or pub operating business as defined in regulation 38; and

(b) "member" means:


(i) where the head organisation is a licensor, a licensee being the person granted a licence to use a trade mark by the licensor under a licence agreement as provided for in regulation 38; or

(ii) where the head organisation is a pub operating business, a tenant being the person granted a lease or tenancy by the pub operating business as provided for in regulation 38.

(a) a company joins a group of companies and becomes a company to which paragraph 1 of Schedule 8 applies; or

(b) a holding company or subsidiary company to which paragraph 1 of Schedule 9 applies ceases to belong to a group of companies.

     5. Where paragraph 4(a) above applies the company shall either—

(a) be registered separately with the Department as required by regulation 6; or

(b) be registered with the Department as part of a group registration under Schedule 8 and for the purposes of this paragraph—


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

(ii) where prior to joining the group of companies the company was registered with the Department, the Department shall cancel the company's registration and regulation 11(3) shall apply to that cancellation as it applies to a cancellation under regulation 11(2).

     6. Where—

(a) paragraph 4(a) above applies;

(b) in relation to the obligation year the company itself satisfies the threshold tests; and

(c) the company is registered as part of a group registration,

the holding company shall comply with the requirements of the company's recovery and recycling obligations for the year in which it joins the group.

     7. Where—

(a) paragraph 4(a) above applies;

(b) in relation to the obligation year the company itself satisfies the threshold tests; and

(c) the company is registered separately with the Department;

the company shall comply with its recovery and recycling obligations for the year in which it joins the group.

     8. Where—

(a) paragraph 4(a) above applies;

(b) in relation to the obligation year the company itself does not satisfy the threshold tests; and

(c) the company is registered as part of a group registration;

the holding company shall comply with a proportion of the requirements of the company's recovery and recycling obligations for the year in which it joins the group, such proportion being calculated as provided in paragraph 16 below.

     9. Where—

(a) paragraph 4(a) above applies;

(b) in relation to the obligation year the company itself does not satisfy the threshold tests; and

(c) the company is registered separately with the Department;

the company shall comply with a proportion of its recovery and recycling obligations for the year in which it joins the group, such proportion being calculated as provided in paragraph 16 below.

     10. Where—

(a) paragraph 4(b) above applies; and

(b) in relation to the obligation year the company itself satisfies the threshold tests;

it shall register with the Department as required by regulation 6 within 28 days of ceasing to be a member of a group and regulations 7 to 11 shall apply as if this were an occurrence specified in regulation 7(3)(d).

     11. Where—

(a) paragraph 4(b) above applies;

(b) in relation to the obligation year the company itself satisfies the threshold tests; and

(c) the company was registered as part of a group registration;

the holding company shall comply with the requirements of the company's recovery and recycling obligations for the year in which it ceases to be a member of the group.

     12. Where—

(a) paragraph 4(b) above applies;

(b) in relation to the obligation year the company itself satisfies the threshold tests; and

(c) the company is registered separately with the Department;

the company shall comply with its recovery and recycling obligations for the year in which it ceases to be a member of the group.

     13. Where—

(a) paragraph 4(b) above applies;

(b) in relation to the obligation year the company itself does not satisfy the threshold tests; and

(c) the company was registered as part of a group registration;

the holding company shall comply with the requirements of the company's recovery and recycling obligations for the year in which it ceases to be a member of the group.

     14. Where—

(a) paragraph 4(b) above applies;

(b) in relation to the obligation year the company itself does not satisfy the threshold tests; and

(c) the company was registered separately with the Department;

the holding company shall comply with the requirements of the company's recovery and recycling obligations for the year in which it ceases to be a member of the group.

     15. Where in a relevant year paragraph 4 above applies to a company as a result of that company ceasing to be a member of one group ("the first group") and becoming a member of another group ("the second group")—

(a) where in relation to each group the company is registered as part of a group registration, the first group shall comply with the requirements of the company's recovery and recycling obligations for the year in which the company ceases to be a member of that group and the second group shall comply with those requirements in the following and any subsequent year in which the company is a member of the second group;

(b) where in relation to each group the company is registered separately with the Department, the company shall comply with its recovery and recycling obligations for the year;

(c) where in relation to the first group the company was registered as part of a group registration and in relation to the second group the company is registered separately with the Department, the holding company shall comply with the requirements of the company's recovery and recycling obligations for the year in which the company ceases to be a member of that group and the company itself shall comply with its recovery and recycling obligations for any subsequent year; or

(d) where in relation to the first group the company was registered separately with the Department and in relation to the second group the company is registered as part of a group registration, the company itself shall comply with its recovery and recycling obligations for the year in which it joins the group and the holding company shall comply with the requirements of the company's recovery and recycling obligations for any subsequent year.

     16. The proportion referred to in paragraphs 8 and 9 above shall be calculated as follows—

"G" is the number of days in the relevant year during which the company was a member of the group;

"H" is the number of days in the relevant year; and

"G / H" is the proportion.

     17. For the purposes of this Part of this Schedule, the "threshold tests" means the threshold tests provided in paragraph 3 of Schedule 1.

(a) inform the Department in writing of that fact and the date of the death, the date of bankruptcy or the nature of the incapacity and the date on which it began; and

(b) apply to be registered as required by regulation 6 and for this purpose the requirement in [regulation 7(4)(e)] shall not apply.

     20. In relation to a producer which is a company, the references to a person becoming bankrupt or incapacitated in paragraph 18 above shall be construed as references to it going into liquidation or receivership or entering administration.