Statutory Rules of Northern Ireland 1999 No. 115
The Producer Responsibility Obligations (Packaging Waste) Regulations (Northern Ireland) 1999
- continued

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SCHEDULE 5
Regulation 19


Procedure on Appeals


     1.  - (1) An operator of a scheme who wishes to appeal to the Planning Appeals Commission under regulation 18 shall do so by notice in writing given or sent to the Planning Appeals Commission.

    (2) The notice shall be accompanied by - 

    (a) a statement of the grounds of appeal;

    (b) where the appeal relates to refusal of registration under regulation 16, a copy of the appellant's application and any supporting documents;

    (c) where the appeal relates to cancellation of registration under regulation 17(1), a copy of the notification of the decision and any supporting documents;

    (d) a copy of any correspondence relevant to the appeal;

    (e) a copy of any other document relevant to the appeal; and

    (f) 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.

    (3) The appellant shall serve a copy of his notice of appeal on the Department together with copies of the documents mentioned in sub-paragraph (2).

     2. Notice of appeal shal be given before the expiry of the period of six months beginning with the date of the decision which is the subject of the appeal.

     3. Where under regulation 19(1) the appeal is by way of a hearing, the person hearing the appeal shall make a written report to the Planning Appeals Commission which shall include his conclusions and recommendations or his reasons for not making any recommendations.

     4.  - (1) The Planning Appeals Commission upon determining an appeal shall notify the appellant in writing of its decisions and of its reasons.

    (2) If the Planning Appeals Commission determines an appeal after a hearing under regulation 19(1) it shall provide the appellant with a copy of any report made to it under paragraph 3.

    (3) The Planning Appeals Commission upon determining an appeal shall, at the same time as notifying the appellant of its decision, sent the Department a copy of any document sent to the appellant.



SCHEDULE 6
Regulation 23


Information in Certificate of Compliance


The information to be contained in a certificate of compliance is as follows - 

    (a) the name and address of the approved person who is issuing the certificate;

    (b) the date of the certificate;

    (c) the producer in respect of whom the approved person is issuing the certificate ("the relevant producer");

    (d) the initial and further information provided by the relevant producer to the Department in accordance with regulations 6(4)(b), 6(4)(c) or (8), as the case may be, and regulation 8, together with any changes made to such information and provided to the Department in accordance with the undertakings referred to in regulations 7(a)(iii) and (iv);

    (e) a statement by the approved person that the certificate has been issued in accordance with any guidance issued by the Department under Article 4(3) of the Order; and

    (f) certification by the approved person as to whether the relevant producer has complied with his recovery and recycling obligations.



SCHEDULE 7
Regulation 26


Public Register


Information regarding producer registration
     1. The information to be contained in the register shall be - 

    (a) for the years 1999 and 2000, the name and address of the registered office or principal place of business of the producer registered; and

    (b) for the year 2001 and subsequent years, the information referred to in sub-paragraph (a) together with a statement in relation to each producer registered and each relevant year as to whether a certificate of compliance has been furnished.

Information regarding scheme registration
     2. The information to be contained in the register shall be - 

    (a) for the years 1999 and 2000 - 

      (i) the name of the scheme,

      (ii) the name and address of the registered office or principal place of business of each operator of the scheme, and

      (iii) the name and address of the registered office or principal place of business of the members of the scheme;

    (b) for the year 2001 and subsequent years, the information referred to in sub-paragraph (a) together with a statement in relation to each scheme member and each year as to whether the scheme has discharged the recovery and recycling obligations of it members referred to in regulation 4(1)(b).



SCHEDULE 8
Regulation 28


Supplemental Provisions with regard to powers of entry


Issue of warrants
     1.  - (1) If it is shown to the satisfaction of a justice of the peace on complaint on oath - 

    (a) that there are reasonable grounds for the exercise in relation to any premises of a relevant power conferred by regulation 28; 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 28, 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 28, 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 28, 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.

    (3) Any dispute as to a person's entitlement to compensation under this paragraph, or as to the amount of any such compensation, shall be referred to and determined by the Lands Tribunal; and Articles 4 and 5 of the Land Compensation (Northern Ireland) Order 1982[12] shall apply to any such determination.

    (4) An authorised person shall not be liable in any civil or criminal proceedings for anything done in the purported exercise of any relevant power if the court is satisfied that the act was done in good faith and that there were reasonable grounds for doing it.

Relevant power
     6. In this Schedule "relevant power" means a power conferred by regulation 28 including a power exercisable by virtue of a warrant under this Schedule.



SCHEDULE 9
Regulation 29


Groups of Companies


     1. This Schedule applies in relation to a relevant year - 

    (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 that Table 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 4, in respect of a year each company referred to in paragraph 1 is a producer of a class specified in an entry in Column 4 of the Table set out in Schedule 1 if - 

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

    (b) in the preceding year he 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 purpose 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[13].

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

    (a) being registered for that year with the Department as required by regulation 5, in which case each company so registered has its own recovery, recycling and certifying 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 paragraphs 5 and 6 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 4, 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 6(4)(d) and 9(2) to a fee for producer registration were read as references to a fee for a group registration;

    (c) the holding company has recovery and recycling 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 regulations 23 and Schedule 6 - 

      (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; and

    (e) regulation 34(1) (offences) shall not apply to the companies in the group and paragraphs 6 and 7 shall apply instead.

     6. Where in accordance with this Schedule 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); or

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

     7. A person guilty of an offence under paragraph 6 shall be liable - 

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

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

     8. This Schedule is subject to the provisions of Schedule 10.



SCHEDULE 10
Regulation 30


Mid-year Changes




PART I

SCHEME MEMBERSHIP

     1. Subject to paragraph 4, where a person who is a producer in respect of a year becomes a member of a registered scheme during that year, the recovery and recycling obligations of the producer for that year, referred to in regulation 4(1)(b), shall be performed through the scheme.

     2. Subject to paragraph 3, where a person who is a producer in respect of a year ceases to be a member of a registered scheme during that year, he shall comply with his recovery and recycling obligations for that year, calculated as provided in regulation 3 and Schedule 2.

     3. Where a person who is a producer in respect of a year ceases to be a member of a registered scheme, because the registration of the scheme has been cancelled in accordance with regulation 17, during that year he shall comply with a proportion of his recovery and recycling obligations for the year, calculated as follows - 

D
E
where
    D is the number of days in the relevant year from the date when such membership ceased, and

    E is the number of days in the relevant year.

     4. Where a person who is a producer in respect of a year ceases to be a member of one registered scheme ("the first scheme") and becomes a member of another registered scheme ("the second scheme") during that year, the first scheme shall not be required to perform any of the producers recovery and recycling obligations, referred to in regulation 4(1)(b), and all such obligations shall be performed through the second scheme.



PART II

GROUP MEMBERSHIP

     5. This Part applies where - 

    (a) a company joins a group of companies and becomes a company to which paragraph 1 of Schedule 9 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.

     6. Where paragraph 5(a) applies the company shall either - 

    (a) be registered separately with the Department as required by regulation 5; or

    (b) be registered with the Department as part of a group registration under Schedule 9 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 on receipt of that notice and paragraphs (2) and (3) of regulation 11 shall apply to that cancellation.

     7. Where - 

    (a) paragraph 5(a) 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.

     8. Where - 

    (a) paragraph 5(a) 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 the recovery and recycling obligations for the year in which it joins the group.

     9. Where - 

    (a) paragraph 5(a) 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 17(1).

     10. Where - 

    (a) paragraph 5(a) 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 17(1).

     11. Where - 

    (a) paragraph 5(b) 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 5 within 28 days of ceasing to be a member of the group and regulations 6 to 11 shall apply as if this were an occurence specified in regulation 6(3).

     12. Where - 

    (a) paragraph 5(b) 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 following shall apply - 

      (i) the holding company shall comply with a proportion, calculated as provided in paragraph 17(1), of the requirements of the company's recovery and recycling obligations for the year in which it ceases to be a member of the group, and

      (ii) the company shall comply with the proportion of its recovery and recycling obligations for that year, such proportion being calculated as provided in paragraph 17(1), except that for this purpose G is the number of days in the relevant year during which the company was not a member of the group.

     13. Where - 

    (a) paragraph 5(b) 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 the recovery and recycling obligations for the year which ceases to be a member of the group.

     14. Where - 

    (a) paragraph 5(b) 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 a proportion of the requirements of the company's recovery and recycling obligations for the year in which it ceases to be a member of the group, such proportion being calculated as provided in paragraph 17(1).

     15. Where - 

    (a) paragraph 5(b) 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 a proportion of the requirements of the company's recovery and recycling obligations for the year in which it ceases to be a member of the group, such proportion being calculated as provided in paragraph 17(1).

     16. Where in a relevant year paragraph 5 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, each holding company shall comply with the requirements of a proportion of the company's recovery and recycling obligations, such proportion being calculated as provided in paragraph 17(2);

    (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 in relation to the first group, and the company, shall each comply with a proportion of the company's recovery and recycling obligations, such proportions being calculated as provided in paragraph 17(2); 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, and the holding company in relation to the second group, shall each comply with a proportion of the company's recovery and recycling obligations, such proportion being calculated as provided in paragraph 17(2).

     17.  - (1) The proportion referred to in paragraphs 9, 10, 12(c)(i) and (ii), 14 and 15 shall be calculated as follows - 

G
H
where - 
    G is the number of days in the relevant year during which the company was a member of the group, and

    H is the number of days in the relevant year.

    (2) The proportion referred to in paragraph 16(a), (c) and (d) shall be calculated as provided in sub-paragraph (1) except that for this purpose G is the number of days in the relevant year during which the company was a member of the group in relation to which the calculation is being made.

     18. For the purposes of this Part - 

    (a) the "threshold tests" means the threshold tests provided in paragraph 3 of Schedule 1; and

    (b) "obligation year" has the meaning given in that Schedule for the purposes of the definition of the threshold tests.



PART III

INCAPACITY

     19. Where in a relevant year a producer dies or becomes bankrupt or incapacitated ("the first producer") that person shall cease to have any producer responsibility obligations for that year and any person who carries on the activities of the first producer following that event shall be treated as a producer and shall have the producer responsibility obligations of the producer for that year.

     20. Any person carrying on the activities of the first producer referred to in paragraph 19 shall within 28 days of commencing to do so - 

    (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 5 and for this purpose the requirement in regulation 6(4)(d) (payment of a fee) shall not apply.

     21. In relation to a producer which is a company, the references to a person becoming bankrupt or incapacitated in paragraph 19 shall be construed as references to it going into liquidation or receivership or to an administration order being made in relation to it.



SCHEDULE 11
Regulation 3(6)


United Kingdom's Recovery and Recycling Targets


The United Kingdom's recovery and recycling targets are - 

    (a) no later than the year 2001 between 50% as a minimum and 65% as a maximum by weight of the packaging waste is to be recovered; and

    (b) within this general target and with the same time limit between 25% as a minimum and 45% as a maximum by weight of the totality of packaging materials contained in packaging waste are to be recycled with a minimum of 15% by weight for each packaging material.



EXPLANATORY NOTE

(This note is not part of the Regulations.)


These Regulations impose on producers obligations to recover and recycle packaging waste, and related obligations, in order to attain the targets in Article 6(1) of Directive 94/62/EC.

A producer (defined in regulation 3) who in a year ("a relevant year") has a specified level of turnover (set out in Schedule 1) and handles (as defined in Schedule 1) packaging or packaging materials (defined in regulation 2) weighing more than 50 tonnes has an obligation in the following year to recover and to recycle packaging waste, as set out in Schedule 2, ("the individual route"). These obligations will apply from the year 1999, except in relation to wholesalers to whom they will only apply from the year 2000.

Certain categories of producer are excluded by regulation 4. In particular, a producer who joins a scheme which undertakes to meet the recovery and recycling targets of all its members is not required to comply with its obligations. In such cases the obligations are performed through the scheme.

There are special provisions for groups of companies (regulation 29 and Schedule 9) and special producers (regulation 4 and Schedule 3 Parts III to V). "Packaging", "packaging waste", "recovery", "recycling" and "reuse" are defined as in Directive 94/62/EC.

Under regulation 5 producers who are not members of registered schemes need to be registered with the Department. The producer applies in accordance with regulation 6 and must supply, in particular, the information set out in Parts I and II of Schedule 4. The Department will normally require the applicant to undertake to inform the Department of material changes and to give the other undertakings mentioned in regulation 7. An applicant who complies with the relevant requirements (regulation 6(5)) will be registered. Registration will continue unless and until cancelled, but is subject to an updating of information before 1st April each year (regulation 8). There is provision for cancellation of registration where, for example, a producer fails to provide information (regulation 11(1)) or joins a registered scheme (regulation 11(2)).

There are similar registration requirements for schemes in regulations 12 to 17. To be registered a scheme must satisfy the requirements of competition scrutiny in regulation 31 (regulation 12(4)).

Registered producers, and operators of schemes, are required to maintain records and furnish returns to the Department (regulations 22 and 24). Registered producers are also to provide certificates of compliance with their recovery and recycling obligations (regulation 23).

Regulations 25 and 26 set out the duties of the Department to monitor compliance and in relation to a public register. Regulations 27 and 28 and Schedule 8 concern the powers of the Department to approve persons to issue certificates of compliance and of entry and inspection. Regulations 32 and 33 exclude and modify the Restrictive Trade Practices Act 1976 respectively.

Under regulation 34 it is an offence to contravene the producer responsibility obligations to register, recover and recycle packaging waste, and furnish a certificate of compliance to the Department, or to provide false or misleading information, or to prevent the Department from exercising its powers of entry and inspection, or to fail to furnish information in connection with competition scrutiny.


Notes:

[12] S.I. 1982/712 (N.I. 9)back

[13] S.I. 1986/1032 (N.I. 6); Article 4 was substituted by Article 62 of S.I. 1990/1504 (N.I. 10)back



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Prepared 14 May 1999