The Producer Responsibility Obligations (Packaging Waste) Regulations 1997

Regulation 3(2) and (3)

SCHEDULE 1PRODUCERS

1.—(1) For the purposes of Column 1 in the above Table—

(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)wholesaler, or

(vi)seller,

either himself or through an agent acting on his behalf, and in the course of business;

(b)“convertor” means a person who uses or modifies packaging materials in the production or formation 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 any 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)“wholesaler” means a person who supplies packaging to a seller but who does not carry out the functions of a packer/filler in relation to that packaging;

(h)“Year 1” means the preceding year; and

(j)“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 application by that person of a relevant function other than that of an importer;

(d)“Class D supply” means a supply to a seller who, at the time of the supply, was not a producer;

(e)“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;

(f)“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; and

(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 (including trading stamps within the meaning of section 10 of the Trading Stamps Act 1964(1)) 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—

(i)where the obligation year is 1997, 1998 or 1999, in the last financial year in respect of which audited accounts are available before the relevant date, was more than £5,000,000, and

(ii)where the obligation year is the year 2000 or any subsequent year, in the last financial year in respect of which audited accounts are available before the relevant date, was more than £1,000,000; and

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

4.—(1) For the purposes of paragraph 3 above—

(a)“financial year” in relation to a person—

(i)where the person is a company is determined as provided in section 223(1) to (3) of the Companies Act 1985(2), and

(ii)in any other case has the meaning given in section 223(4) of the Companies Act 1985, but as if the reference there to an undertaking were a reference to that person;

(b)“obligation year” means a year in respect of which it is being considered whether a person is a producer and “calculation year” means a year immediately before an obligation year;

(c)“relevant date” means—

(i)subject to sub-paragraph (iii) below, where the obligation year is 1997, 31st August 1997,

(ii)subject to sub-paragraph (iii) below, where the obligation year is 1998 or any subsequent year, 1st April in the year, and

(iii)where an application for registration is made in a circumstance set out in regulation 6(3), or as required by paragraph 11 of Schedule 9, the date of the application;

(d)a persons “turnover” means his turnover as defined in section 262(1) of the Companies Act 1985(3) but as if the references to a company were references to that person; and

(e)the references to audited accounts being available are, where the person is a company, the annual accounts delivered to the registrar under section 242 of the Companies Act 1985(4).

(2) For the purposes of paragraph 3 above, and Schedule 2, the amount of packaging or packaging materials handled is the amount in respect of which the producer made a supply referred to in Column 3 of the Table, other than a Class A supply, calculated in tonnes to the nearest tonne by—

(a)including packaging or packaging materials so supplied which were imported into the United Kingdom by the producer, either himself or through an agent acting on his behalf; and

(b)excluding—

(i)any packaging or packaging materials so supplied which were exported from the United Kingdom by the producer, either himself or through an agent acting on his behalf, or which to the producer’s reasonable knowledge were otherwise exported from the United Kingdom,

(ii)production residues, and

(iii)reused packaging.

Regulation 3(5)(b)(i)

SCHEDULE 2RECOVERY AND RECYCLING OBLIGATIONS

1.  A producer’s obligations to recover and recycle packaging waste in a relevant year are, in relation to each class of producer to which he belongs—

(a)to recover an amount of packaging waste as provided in paragraph 2(1) below;

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

(c)as part of the obligation to recover packaging waste as provided in sub-paragraph (a) above, to recover by recycling an amount of packaging materials which is packaging waste, as provided in paragraph 2(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.—(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—

(2) The proportion of the packaging waste referred to in sub-paragraph (1) above which is to be recovered by recycling is, for the year 2001 and subsequent years, in relation to a class of producer to which the producer belongs, not less than 50% of the amount by tonnage of packaging waste represented by “Z” in sub-paragraph (1) above.

(3) The obligations of a producer to recover by recycling an amount of packaging materials which is packaging waste in relation to a class of producer to which he belongs are calculated in relation to each packaging material which he handled in the preceding year, as follows—

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

(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% + 11% = 17%—

(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, and

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

(c)the manufacturer's, the convertor’s and the packer/filler’s percentages aggregated, that is 6% + 11% + 36% = 53%—

(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; and

(d)the manufacturer's, the convertor's, the packer/filler’s and the seller’s percentages aggregated, that is 6% + 11% + 36% + 47% = 100%—

(i)on Class F supplies, and

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

4.  The following is prescribed as the recovery target “X”—

(a)for the years 1998 and 1999, 38%;

(b)for the year 2000, 43%; and

(c)for any subsequent year, 52%.

5.  The following is prescribed as the recycling target “Y”—

(a)for the years 1998 and 1999, 7%;

(b)for the year 2000, 11%; and

(c)for any subsequent year, 16%.

6.—(1) In this Schedule—

(a)for the purposes of paragraph 2(1) above and for the years 1998 and 1999 “packaging materials” means any of the following—

(i)glass,

(ii)aluminium,

(iii)steel,

(iv)paper/fibreboard, or

(v)plastic;

(b)for the purposes of paragraph 2(1) above, and for the year 2000 and subsequent years, “packaging materials” means any of the materials referred to in sub-paragraph (a) above together with wood and other packaging materials; and

(c)for the purposes of paragraph 2(3) above “packaging materials” means any of the materials referred to in sub-paragraph (a) above.

(2) For the purposes of sub-paragraph (1) above, packaging materials composed of a combination of the materials there referred to are to be treated as made of the material which is predominant by weight.

SCHEDULE 3

Regulation 2

PART IDEFINITION OF WASTE—ARTICLE 1 OF AND ANNEX 1 TO THE WASTE DIRECTIVE

Article 1

1.  “Waste” shall mean any substance or object in the categories set out in Annex 1 which the holder discards or intends or is required to discard.

Annex 1

Regulation 2

PART IIDEFINITION OF RECOVERY—ANNEX IIB TO THE WASTE DIRECTIVE

2.  This Part is intended to list recovery operations as they are carried out in practice; in accordance with article 4 of the Waste Directive, waste must be recovered without endangering human health and without the use of processes or methods likely to harm the environment—

Regulation 4(4)

PART IIIDEFINITION OF SPECIAL PRODUCERS

3.  A special producer is a producer who in the preceding year handled—

(a)primary packaging, that is to say packaging within part (a) of the definition of packaging in regulation 2, any of which, in his reasonable opinion, when discarded was—

(i)likely to be special waste as defined in regulation 2 of the Special Waste Regulations 1996(5); or

(ii)likely to have been used to contain or used in connection with the containment of such waste; or

(b)packaging which is a package within the meaning given in regulation 2 of the Carriage of Dangerous Goods (Classification, Packaging and Labelling) and Use of Transportable Pressure Receptacles Regulations 1996(6) and which in his reasonable opinion was likely to be subject to the requirements of regulations 8 to 10 of those Regulations (particulars to be shown on packages containing dangerous goods) other than any package referred to in regulation 8(5) of those Regulations.

Regulation 4(4)

PART IVSPECIAL PRODUCERS—OBLIGATIONS

4.  For the purposes of the provision of further information by a special producer under regulations 6(4), or (8), if applicable, and 8, such information shall only be in respect of packaging or packaging materials other than packaging referred to in Part III of this Schedule.

5.  For the purposes of the calculation of the recovery and recycling obligations of a special producer, Schedule 2 to these Regulations shall apply and item “P” in that Schedule shall be the amount by tonnage of packaging and packaging materials handled by the producer in the preceding year other than packaging referred to in Part III of this Schedule.

Regulation 4(4)

PART VSPECIAL PRODUCERS—RECORDS AND RETURNS

6.  A special producer shall, in relation to any relevant year—

(a)make records and returns as required under regulation 22 in relation to the packaging and packaging materials referred to in paragraph 4 above, and in relation to such packaging and packaging materials when it becomes waste; and

(b)in addition to any records and returns he is required to make under regulation 22 maintain, and retain for at least 4 years after the record is made, records of the information referred to in paragraph 7 below in respect of each relevant year, and shall make a return to the appropriate Agency of that information on or before 31st January in the year immediately following the relevant year.

7.  The information is—

(a)the amount in tonnes to the nearest tonne of packaging handled by the producer in the preceding year;

(b)the amount in tonnes to the nearest tonne of the packaging referred to in sub-paragraph (a) above which was packaging referred to in Part III of this Schedule; and

(c)any steps taken by the producer to promote or increase the recovery of the packaging referred to in sub-paragraph (b) above when it becomes waste.

8.  In relation to a special producer the reference in regulation 7(c) to regulation 22 shall be read as a reference to regulation 22 and this Part of this Schedule.

SCHEDULE 4INFORMATION

Regulation 6(4)

PART IInformation to be contained in application for producer registration

1.  The address and telephone number of the registered office of the producer or, if not a company, the principal place of business of the producer.

2.  The business name of the producer if different from that referred to in paragraph 1 above.

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

Regulations 6, 8, 12 and 14

PART IIProducer and Scheme RegistrationFurther Information

Regulations 12(3)(b) and 31(2)

PART IIIInformation to be included in application for registration of a scheme or competition scrutiny

4.  The name of the scheme.

5.  The name of the operator, and where the operator is a partnership whose principal place of business is in Scotland, the names of all the partners.

6.  The address and telephone number of the registered office of the operator or, if not a company, the principal place of business of the operator, and, if more than one, all the operators.

7.  The address for service of notices if different from that referred to in paragraph 6 above.

8.  The names and addresses of the registered offices, or, if not companies, the principal places of business, of the scheme’s members.

9.  Full particulars of the agreement for the constitution of the scheme including any rules or regulations to be observed by its members.

Regulation 12(3)(d) and (e)

PART IVStatement of the scheme’s policies and scheme’s operational plan

10.  The matters to be contained in the statement with regard to the scheme’s policies referred to in regulation 12(3)(d) are—

(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 and recycled through the scheme, together with information about the steps the user or consumer may take to assist the scheme in applying these methods.

11.  The matters to be contained in the scheme’s operational plan referred to in regulation 12(3)(e) are matters which demonstrate—

(a)that sufficient financial resources and technical expertise will be available to enable the recovery and recycling obligations of the scheme’s members referred to in regulation 4(1)(b) to be discharged through the scheme;

(b)that the arrangements for recovery and recycling through a scheme take account of any statement which, where the scheme is to be registered with the Agency, contains the Secretary of State’s policies in relation to the recovery and disposal of waste in England and Wales, and which is made under section 44A(7) of the 1990 Act, and, where the scheme is to be registered with SEPA, contains that Agency’s policies in relation to the recovery and disposal of waste in Scotland, and which is made under section 44B of the 1990 Act;

(c)that there are arrangements in place to enable the operator to supply further information as required under regulation 14;

(d)how the recovery and recycling obligations of its members referred to in regulation 4(1)(b) will be performed as regards each of the packaging materials relevant to those obligations including—

(i)the names and addresses of the reprocessors it is intended to use,

(ii)the names of any waste collection or disposal authorities from whom packaging waste is intended to be obtained,

(iii)the proportions in which the packaging waste which is to be recovered and recycled is to be obtained from the waste of a producer who is a member of the scheme, other industrial or commercial waste, household waste or other waste,

(iv)the amounts to the nearest tonne of packaging waste it is proposed to recover in the three years immediately following registration, and

(v)the amounts to the nearest tonne of each such packaging material which it is proposed to recycle in the three years immediately following registration; and

(e)the steps it is proposed to take to recover and recycle any of the packaging materials relevant to the recovery and recycling obligations of the scheme’s members in order not to adversely affect the interests of any member of the scheme, or any other producer, whose recovery and recycling obligations are predominantly in relation to another such packaging material.

12.—(1) For the purposes of paragraph 11(d)(ii) above “waste collection authority” and “waste disposal authority” shall have the meanings given in section 30 of the 1990 Act.

(2) For the purposes of paragraph 11(d)(iii) above “household waste”, “industrial waste” and “commercial waste” shall have the same meanings as in section 75 of the 1990 Act.

Regulation 19

SCHEDULE 5PROCEDURE ON APPEALS

1.—(1) An operator of a scheme who wishes to appeal to the Secretary of State under regulation 18 shall do so by notice in writing given or sent to the Secretary of State.

(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 appropriate Agency together with copies of the documents mentioned in sub-paragraph (2) above.

2.—(1) Subject to sub-paragraph (2) below, notice of appeal shall be given before the expiry of the period of 6 months beginning with the date of the decision which is the subject of the appeal.

(2) The Secretary of State may at any time allow notice of an appeal to be given after the expiry of the period mentioned in sub-paragraph (1) above.

3.  Where under regulation 19(2) the appeal is by way of a hearing, the person hearing the appeal shall, unless he has been appointed to determine an appeal under regulation 19(1)(a), make a written report to the Secretary of State which shall include his conclusions and recommendations or his reasons for not making any recommendations.

4.—(1) The Secretary of State or other person determining an appeal shall notify the appellant in writing of his decision and of his reasons.

(2) If the Secretary of State determines an appeal after a hearing under regulation 19(2) he shall provide the appellant with a copy of any report made to him under paragraph 3 above.

(3) The Secretary of State or other person determining an appeal shall, at the same time as notifying the appellant of his decision, send the appropriate Agency a copy of any document sent to the appellant under this paragraph.

Regulation 23

SCHEDULE 6INFORMATION 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 appropriate Agency 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 appropriate Agency 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 appropriate Agency under section 94(4) of the Act; and

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

Regulation 26

SCHEDULE 7PUBLIC REGISTER

Information regarding producer registration

1.  The information to be contained in the register shall be—

(a)for the years 1997 and 1998, the name and address of the registered office or principal place of business of the producer registered; and

(b)for the year 1999 and subsequent years, the information referred to in sub-paragraph (a) above 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 1997 and 1998—

(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; and

(b)for the year and subsequent years, the information referred to in sub-paragraph (a) above 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 its members referred to in regulation 4(1)(b).

Regulation 29

SCHEDULE 8GROUPS 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 9 as “a group of companies”) each satisfies the provisions of Columns 1 to 3 of the 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 above 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 purposes of this Schedule and Schedule 9 “subsidiary” and “holding company” have the same meanings as they have in section 736(1) of the Companies Act 1985(8).

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 appropriate Agency 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 appropriate Agency, (in this Schedule and Schedule 9 referred to as a “group registration”) in which case paragraphs 5 and 6 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 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 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 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 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 below 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) above; or

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

7.  A person guilty of an offence under paragraph 6 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.

8.  This Schedule is subject to the provisions of Schedule 9.

Regulation 30

SCHEDULE 9MID-YEAR CHANGES

PART ISCHEME MEMBERSHIP

1.  Subject to paragraph 4 below, 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 below, 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—

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 producer’s recovery and recycling obligations, referred to in regulation 4(1)(b), and all such obligations shall be performed through the second scheme.

PART IIGROUP MEMBERSHIP

5.  This Part applies where—

(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 8 applies ceases to belong to a group of companies.

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

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

(b)be registered with the appropriate Agency 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 appropriate Agency of the change in the group registration, and

(ii)where prior to joining the group of companies the company was registered with an appropriate Agency, the Agency shall cancel the company’s registration on receipt of that notice and regulations 11(2) and (3) shall apply to that cancellation.

7.  Where—

(a)paragraph 5(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 be required to 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) 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 appropriate Agency;

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

9.  Where—

(a)paragraph 5(a) above applies;

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

(c)the company is 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) below.

10.  Where—

(a)paragraph 5(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 appropriate Agency;

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) below.

11.  Where—

(a)paragraph 5(b) above applies; and

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

it shall register with the appropriate Agency as required by regulation 5 within 28 days of ceasing to be a member of a group and regulations 6 to 11 shall apply as if this were an occurrence specified in regulation 6(3).

12.  Where—

(a)paragraph 5(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 following shall apply—

(i)the holding company shall comply with a proportion, calculated as provided in paragraph 17(1) below, 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 a proportion of its recovery and recycling obligations for that year, such proportion being calculated as provided in paragraph 17(1) below, 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) 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 appropriate Agency;

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

14.  Where—

(a)paragraph 5(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 be required to 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) below.

15.  Where—

(a)paragraph 5(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 appropriate Agency;

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) below.

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) below;

(b)where in relation to each group the company is registered separately with the appropriate Agency, 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 appropriate Agency, 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 proportion being calculated as provided in paragraph 17(2) below; or

(d)where in relation to the first group the company was registered separately with the appropriate Agency 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) below.

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

(2) The proportion referred to in paragraph 16(a), (c) and (d) above shall be calculated as provided in sub-paragraph (1) above 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 of this Schedule—

(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 IIIINCAPACITY

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 above shall within 28 days of commencing to do so—

(a)inform the appropriate Agency 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 above shall be construed as references to it going into liquidation or receivership or to an administration order being made in relation to it.

Regulation 3(6)

SCHEDULE 10UNITED KINGDOM'S RECOVERY AND RECYCLING TARGETS

The United Kingdom’s recovery and recycling targets are—

(a)no later than the year 2001 between 50 per cent as a minimum and 65 per cent 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 per cent as a minimum and 45 per cent as a maximum by weight of the totality of packaging materials contained in packaging waste are to be recycled with a minimum of 15 per cent by weight for each packaging material.