SCHEDULE 1
PART 1Information and declaration to be included in a declaration of compliance by a producer
1
The name and address of the producer.
2
The name and title of the signatory of the declaration.
3
The date of the declaration.
4
The compliance period to which the declaration relates.
5
In relation to the waste portable batteries in respect of which the declaration is being issued—
a
a declaration that the producer’s obligation under regulation 7(2)—
i
has been met; or
ii
has not been met; and
b
the amount in tonnes of waste portable batteries for which the producer has financed the costs of collection, treatment and recycling during the relevant compliance period.
PART 2Information and declaration to be included in a declaration of compliance by a scheme operator
6
The name and address of the scheme operator.
7
The name and title of the signatory of the declaration.
8
The date of the declaration.
9
The compliance period to which the declaration relates.
10
In relation to the waste portable batteries in respect of which the declaration is being issued—
a
a declaration that the scheme operator’s obligations under regulation 19(1)—
i
have been met; or
ii
have not been met; and
b
the amount in tonnes of waste portable batteries for which the scheme operator has financed the costs of collection, treatment and recycling during the relevant compliance period.
SCHEDULE 2Information to be included in an application for registration of producers
1
The date of the application for registration.
2
The name of the producer and any brand name under which the producer operates or intends to operate in the United Kingdom.
3
The following contact details for the producer—
a
the full postal address (including post code) and telephone number of—
i
the producer’s registered office; or
ii
if the producer is not a company registered in the United Kingdom, the producer’s principal place of business in the United Kingdom;
b
a website address; and
c
where available, a fax number and e-mail address.
4
An address for service of notices on the producer if different from the addresses mentioned in paragraph 3.
5
The name and telephone number of a contact person for the producer, and, where available, a fax number and e-mail address, for that person.
6
An indication of which categories of battery the producer is placing or intends to place on the market in the United Kingdom.
7
Information as to—
a
whether the producer is meeting or intends to meet its responsibilities under these Regulations individually or collectively; and
b
if collectively—
i
the name of the battery compliance scheme of which the producer is a member;
ii
the name of the scheme operator; and
iii
the address and telephone number of the registered office of the scheme operator or, if not a company registered in the United Kingdom, the principal place of business and telephone number of the scheme operator in the United Kingdom.
8
If the producer has been registered under these Regulations within the last 5 compliance periods the producer’s battery producer registration number.
9
A signed declaration of the truth of the information provided and the name and title of the signatory of the declaration.
SCHEDULE 3Approval of proposed schemes
PART 1Information to be included in an application for approval
1
The name of the proposed scheme.
2
The name of the operator of the proposed scheme.
3
The address and telephone number of—
a
the registered office of the operator of the proposed scheme; or
b
if the operator is not a company registered in the United Kingdom, the principal place of business and telephone number of that operator in the United Kingdom.
4
Where the operator of the proposed scheme is a partnership or a limited liability partnership, the names of all the partners or members of the partnership, as the case may be.
5
An address for service of notices if different from that referred to in paragraph 3.
6
Confirmation that the rules of the proposed scheme provide—
a
that a scheme member must apply to join the scheme for a minimum period of—
i
one relevant compliance period; or
ii
in the case of a producer who does not become a producer until after the start of a relevant compliance period, the remainder of that relevant compliance period;
b
that where a scheme member’s membership is cancelled, any such cancellation does not take effect until the end of the compliance period.
7
1
A statement as to whether or not the operator of the proposed scheme has been convicted of an offence under—
a
regulation 89(2);
b
regulation 73(3) or (4) of the Waste Electrical and Electronic Equipment Regulations 200634; or
c
the Producer Responsibility Obligations (Packaging Waste) Regulations 200735, committed in the operator’s capacity as an operator of a scheme under those Regulations.
2
If the operator has been convicted of such an offence, an explanation of—
a
how every contravention which resulted in such a conviction occurred;
b
any steps which have been taken to ensure that such a contravention will not recur.
8
Confirmation that the rules of the proposed scheme provide—
a
for an arbitration procedure to determine disputes between scheme members and between scheme members and the scheme operator;
b
for dissemination of important information to scheme members in an accurate and timely way;
c
in the case of withdrawal of approval under regulation 54, for the allocation of batteries evidence notes owned by the proposed scheme to each scheme member in proportion to the quantity of batteries placed on the market by the member, relative to the other members, in the compliance period up to the point of such withdrawal.
PART 2Information to be included in the operational plan
9
The operational plan must include the following information in relation to each of the three compliance periods—
a
details of the financial resources and technical expertise that will be available to enable the performance of the obligations of the operator of the proposed scheme under Part 3 of these Regulations;
b
details of how the operator of the proposed scheme will ensure that the scheme will discharge that operator’s obligations under regulation 19(1);
c
details of how the operator of the proposed scheme will ensure that that operator’s obligations under Part 3 of these Regulations will be complied with in a timely manner;
d
details of—
i
how the operator of the proposed scheme will fulfil its duty to arrange for and ensure the collection of waste portable batteries from distributors under regulation 32(2);
ii
the facilities the operator of the proposed scheme will provide to ensure that economic operators and waste collection authorities are able to exercise their right under regulation 33(1);
iii
the scheme information campaign.
10
In paragraph 9(d)(iii), “the scheme information campaign” means a campaign to disseminate information to ensure that end-users of portable batteries are fully informed of—
a
the desirability of not disposing of waste batteries as unsorted municipal waste and of participating in their separate collection so as to facilitate treatment and recycling;
b
the collection and recycling facilities available to them;
c
their role in contributing to the recycling of waste batteries;
d
the meaning of the symbol of the crossed-out wheeled bin shown in Schedule 5 and the chemical symbols “Hg”, “Cd” and “Pb”36.
PART 3Criteria for approval of a proposed scheme
11
That the rules of the proposed scheme provide—
a
that a scheme member must apply to join the scheme for a minimum period of—
i
one relevant compliance period; or
ii
in the case of a producer who does not become a producer until after the start of a relevant compliance period, the remainder of that relevant compliance period;
b
that where a scheme member’s membership is cancelled, any such cancellation does not take effect until the end of the compliance period;
c
for an arbitration procedure to determine disputes between scheme members and between scheme members and the scheme operator;
d
for dissemination of important information to scheme members in an accurate and timely way;
e
in the case of withdrawal of approval under regulation 54, for the allocation of batteries evidence notes owned by the scheme to each scheme member in proportion to the quantity of batteries placed on the market by the member, relative to the other members, in the compliance period up to the point of such withdrawal.
12
That the proposed scheme has the necessary resources and systems in place to—
a
carry out its operational plan;
b
maintain up to date records of its scheme members, including—
i
the information necessary to comply with regulation 29; and
ii
their battery producer registration numbers;
c
comply with the scheme operator’s obligations under regulation 19 in an appropriate and timely manner;
d
keep, update and make available records to the appropriate authority as required by regulation 22;
f
submit declarations of compliance and supporting batteries evidence notes as required by regulation 25;
g
h
check that the information provided to it by its scheme members under regulation 11 is as accurate as reasonably possible and ensure that the scheme operator will meet the same standard when submitting that information to the appropriate authority; and
i
maintain good environmental practices.
13
That the operator of the proposed scheme is likely to be able to meet the expected treatment, recovery and recycling obligations for the three compliance periods covered by the operational plan.
14
That the proposed scheme is likely to—
a
assist in meeting the United Kingdom’s obligation to maximise the separate collection of waste batteries; and
b
in doing so, have regard to the environmental impact of transport.
15
That the operator of a proposed scheme—
a
will co-operate with the other scheme operators to ensure the collection of waste portable batteries from distributors in accordance with regulation 32(2);
b
will provide reasonably situated and accessible facilities to ensure that economic operators and waste collection authorities are able to exercise their right under regulation 33(1);
c
will operate a scheme information campaign which will ensure that end-users of portable batteries are fully informed of the points listed in paragraph 10(a) to (d);
d
has viable plans to collect a quantity of waste portable batteries which is neither significantly higher or significantly lower than the quantity required to satisfy the scheme operator’s obligation under regulation 19(1)(a) to finance the net costs for which each scheme member is responsible.
SCHEDULE 4Approval of battery treatment operators and exporters
PART 1Information to be included in an application for approval
1
The name of the battery treatment operator or exporter.
2
The registered office address and telephone number of the battery treatment operator or exporter or, if the battery treatment operator or exporter is not a company registered in the United Kingdom, its principal place of business and telephone number in the United Kingdom.
3
Where the battery treatment operator or exporter is a partnership or a limited liability partnership, the names of all the partners or members of the partnership, as the case may be.
4
Where the battery treatment operator or exporter is a body other than a company registered in the United Kingdom, partnership or limited liability partnership, the name of a person having control or management of that body.
5
An address for service of notices if different from that referred to in paragraph 2.
6
The year for which approval is applied for.
7
In the case of an application made by a battery treatment operator for approval to—
a
issue batteries evidence notes in respect of waste portable batteries accepted for treatment and recycling; or
b
treat and recycle waste industrial or automotive batteries accepted for treatment and recycling,
the name and address of each site in relation to which the battery treatment operator is applying for that approval.
8
In the case of an application made by an exporter—
a
the name and address of each site to which it is proposed to export batteries for treatment or recycling;
b
in respect of each site named in accordance with sub-paragraph (a)—
i
the amount in tonnes of waste batteries that it is proposed to export to that site for treatment or recycling by reference to each category of battery; and
ii
the applicable treatment or recycling operations carried out by that site.
c
whether approval is sought to issue batteries evidence notes.
9
Confirmation of whether or not the battery treatment operator or exporter has been convicted of an offence under these Regulations; and where a positive confirmation is given an explanation of how the contravention of these Regulations which resulted in the conviction occurred and what steps have been taken to ensure such a contravention will not occur in the future.
PART 2General conditions of approval
10
1
An approved battery treatment operator must ensure that the requirements of sub-paragraph (3) are met in relation to waste batteries accepted at a specified site by that approved battery treatment operator for treatment and recycling by, or on behalf of, that approved battery treatment operator.
2
An approved battery exporter must ensure that—
a
waste batteries are exported for treatment or recycling at a site in relation to which the exporter is approved; and
b
the requirements of sub-paragraph (3) are met by each establishment or undertaking to which it exports waste batteries for treatment or recycling.
3
The requirements of this sub-paragraph are that—
a
treatment and recycling of waste batteries—
i
uses best available techniques, in terms of the protection of health and the environment;
ii
complies, as a minimum, with Community legislation, in particular as regards health and safety and waste management;
b
treatment of waste batteries meets the following minimum requirements—
i
treatment must, as a minimum, include removal of all fluids and acids; and
ii
treatment and any storage, including temporary storage, at treatment facilities must take place in sites with impermeable surfaces and suitable weatherproof covering or in suitable containers;
c
subject to sub-paragraph (4), recycling of waste batteries meets the following minimum recycling efficiencies and associated requirements—
i
recycling of 65% by average weight of lead-acid batteries, including recycling of the lead content to the highest degree that is technically feasible while avoiding excessive costs;
ii
recycling of 75% by average weight of nickel-cadmium batteries, including recycling of the cadmium content to the highest degree that is technically feasible while avoiding excessive costs; and
iii
recycling of 50% by average weight of other waste batteries.
4
The requirements of sub-paragraph (3)(c) are not required to be met at any time before 26th September 2011.
11
An approved battery treatment operator or approved battery exporter must comply with the requirements of regulation 66.
12
1
An approved battery treatment operator must hold a relevant authorisation in respect of any treatment of waste batteries accepted at a specified site to be carried out by it.
2
In sub-paragraph (1), “relevant authorisation” means one of the following—
a
an environmental permit granted under regulation 13 of the Environmental Permitting (England and Wales) Regulations 200737;
b
an exempt waste operation under the Environmental Permitting (England and Wales) Regulations 2007 or any other operation exempt from the requirements of section 33(1)(a) and (b) of the Environmental Protection Act 199038 under those Regulations.
c
a permit granted under regulation 7 of the Pollution Prevention and Control (Scotland) Regulations 200039;
d
an authorisation granted under section 6 of the Environmental Protection Act 199040 (“the 1990 Act”);
e
a waste management licence granted under section 36 of the 1990 Act41;
f
an exemption registered or otherwise permitted under regulation 18 of the Waste Management Licensing Regulations 199442;
g
a permit granted under regulation 10 of the Pollution Prevention and Control Regulations (Northern Ireland) 200343;
h
an exemption registered under regulation 18 of the Waste Management Licensing Regulations (Northern Ireland) 200344;
i
a waste management licence granted under article 8 of the Waste and Contaminated Land (Northern Ireland) Order 199745.
PART 3Conditions of approval relating to portable batteries: approved battery treatment operators
13
An approved battery treatment operator must not issue a batteries evidence note unless—
a
it relates to waste portable batteries accepted at a specified site for treatment and recycling by, or on behalf of, that approved battery treatment operator in a relevant approval period;
b
it is issued with respect to waste portable batteries that have arisen as waste in the United Kingdom;
c
it specifies the quantity in tonnes of waste portable batteries that have been accepted for treatment and recycling.
14
An approved battery treatment operator must record a quantity of waste portable batteries on a batteries evidence note in tonnes.
15
An approved battery treatment operator must retain a duplicate copy of any batteries evidence note issued by it and make that duplicate available for inspection by the appropriate authority at all reasonable times.
16
An approved battery treatment operator must not issue a batteries evidence note for more than the total amount of waste portable batteries—
a
accepted at a specified site for treatment and recycling by, or on behalf of, the approved battery treatment operator in the relevant approval period; and
b
which is capable of being recycled no later than the end of the year following the relevant approval period.
17
An approved battery treatment operator must not issue a batteries evidence note in respect of any waste portable battery that has previously been accepted by another approved battery treatment operator.
18
An approved battery treatment operator must issue batteries evidence notes in the format approved by the Secretary of State under regulation 69.
19
An approved battery treatment operator must issue a batteries evidence note only to—
a
a scheme operator;
b
a producer of portable batteries who is not a scheme member or a small producer.
20
An approved battery treatment operator must not issue a batteries evidence note which relates to waste portable batteries accepted for treatment and recycling in any relevant approval period after 30th April in the year following the relevant approval period.
21
An approved battery treatment operator must not arrange for the export of waste portable batteries which it has accepted other than by an approved battery exporter.
PART 4Conditions of approval relating to portable batteries: approved battery exporters
22
An approved batteries exporter must not issue a batteries evidence note unless—
a
it relates to waste portable batteries accepted by that exporter in a relevant approval period for treatment and recycling at a site in relation to which the exporter is approved;
b
it is issued in respect of waste batteries that are exported in accordance with Regulation (EC) No 1013/2006 of the European Parliament and of the Council on shipments of waste46 with respect to waste portable batteries that have arisen as waste in the United Kingdom and that have been exported for treatment and recycling at an establishment or undertaking outside the United Kingdom;
c
it is issued with respect to waste portable batteries that have arisen as waste in the United Kingdom;
d
it specifies the quantity in tonnes of waste portable batteries that have been accepted for export for treatment and recycling.
23
An approved batteries exporter must record a quantity of waste portable batteries on a batteries evidence note in tonnes.
24
An approved batteries exporter must retain a duplicate copy of a batteries evidence note issued under these Regulations and make it available for inspection by the appropriate authority at all reasonable times.
25
An approved batteries exporter must not issue a batteries evidence note—
a
for more than the total amount of waste portable batteries exported by that exporter; or
b
for waste batteries that are partially treated or recycled in the United Kingdom before being exported by that exporter.
26
An approved batteries exporter must issue batteries evidence notes only in the format approved by the Secretary of State under regulation 69.
27
An approved batteries exporter must issue a batteries evidence note only to—
a
an scheme operator;
b
a producer who is not a scheme member or a small producer.
28
An approved batteries exporter must not issue a batteries evidence note which relates to waste batteries accepted for treatment or recycling in any relevant approval period after 30th April in the year following the relevant approval period.
SCHEDULE 5Crossed out wheeled bin symbol
SCHEDULE 6Register of producers
1
The name of the producer and any brand name under which the producer operates in the United Kingdom.
2
The following contact details for the producer—
a
the full postal address (including post code) and telephone number of—
i
the producer’s registered office; or
ii
if the producer is not a company registered in the United Kingdom, the producer’s principal place of business in the United Kingdom;
b
a website address; and
c
where available, a fax number and e-mail address.
3
An address for service of notices on the producer if different from the addresses mentioned in paragraph 2.
4
An indication of the categories of battery placed on the market by the producer.
5
Information as to—
a
whether the producer meets its responsibilities under these Regulations individually or collectively; and
b
if collectively—
i
the name of the battery compliance scheme;
ii
the name of the scheme operator; and
iii
the address and telephone number of the registered office of the scheme operator or, if not a company registered in the United Kingdom, the principal place of business and telephone number of the scheme operator in the United Kingdom.
6
The producer’s battery producer registration number.
7
The date of the application for registration.
SCHEDULE 7Appeals
PART 1Procedure of appeals (other than those to the Planning Appeals Commission)
1
1
Where a person wishes to appeal to an appeal body under regulation 83, that person must do so by notice in writing served on that appeal body.
2
The notice mentioned in sub-paragraph (1) must be accompanied by—
a
a statement of the grounds of appeal;
b
c
where the appeal relates to refusal to grant an extension of approval under regulation 62, a copy of the appellant’s application and any supporting documents;
d
where the appeal relates to withdrawal of approval under regulation 54, a copy of the notification of the decision and any supporting documents;
e
where the appeal relates to suspension or cancellation of approval under regulation 64, a copy of the notification of the decision and any supporting documents;
f
a copy of any correspondence relevant to the appeal;
g
a copy of any other document relevant to the appeal; and
h
a statement indicating whether the appellant wishes the appeal to include a hearing or to be determined on the basis of written representations.
3
The appellant must serve a copy of the notice of appeal on the appropriate authority whose decision is being appealed together with copies of the documents mentioned in sub-paragraph (2).
2
1
Subject to sub-paragraph (2), notice of appeal must be given before the expiry of the period of two months beginning with the date of the decision that is the subject of the appeal.
2
The appeal body may for good reason at any time allow notice of an appeal to be given after the expiry of the period mentioned in sub-paragraph (1).
3
Where under regulation 84(2) the appeal includes a hearing, the person hearing the appeal must, unless appointed to determine an appeal under regulation 84(1)(a), make a written report to the appeal body that appointed the person under regulation 84(1)(b) which must include conclusions and recommendations or reasons for not making any recommendations.
4
1
The appeal body or other person determining an appeal must notify the appellant in writing of the decision and of the reasons for that decision.
2
3
The appeal body or other person determining an appeal must, at the same time as notifying the appellant of the decision, send the appropriate authority a copy of any document sent to the appellant under this paragraph.
PART 2Appeals to the Planning Appeals Commission
5
A person who wishes to appeal to the Planning Appeals Commission (“the appeals commission”) under regulation 83 shall give to the appeals commission notice in writing of the appeal together with a statement of the grounds of appeal and the appeals commission shall as soon as is reasonably practicable send to the appropriate authority whose decision is being appealed a copy of that notice together with the statement of the grounds of appeal.
6
An appellant may withdraw an appeal by notifying the appeals commission and the appeals commission shall as soon as is reasonably practicable notify the appropriate authority whose decision is being appealed.
7
Notice of appeal in accordance with paragraph 5 is to be given before the expiry of the period of two months beginning with the date of the decision that is the subject of the appeal.
8
The appeals commission shall determine the appeal and paragraphs (1), (3), (4) and (5) of Article 111 of the Planning (Northern Ireland) Order 199147 shall apply in relation to the determination of the appeal as they apply in relation to the determination of an appeal under that Order.
9
The appeals commission shall determine the process for determining appeals taking into account any requests of either party to the appeal.
SCHEDULE 8Amendments to other enactments
Amendment to the Environment Act 19951
1
Section 41(1) of the Environment Act 199548 (power to make schemes imposing charges) is amended as follows.
2
After paragraph (f), insert—
g
as a means of recovering costs incurred by it in performing functions conferred by regulations made for the purpose of implementing Directive 2006/66/EC of the European Parliament and of the Council on batteries and accumulators and waste batteries and accumulators, as amended from time to time, each of the new Agencies may require the payment to it of such charges as may from time to time be prescribed.
Amendments to the Environmental Permitting (England and Wales) Regulations 20072
1
The Environmental Permitting (England and Wales) Regulations 200749 are amended as follows.
2
In regulation 2(1)—
a
after the definition of “appropriate authority”, insert—
“the Batteries Directive” means Directive 2006/66/EC of the European Parliament and of the Council on batteries and accumulators and waste batteries and accumulators and repealing Directive 91/157/EEC;
b
after the definition of “waste”, insert—
“waste battery or accumulator” has the meaning given by Article 3(7) of the Batteries Directive, but does not include any waste which is excluded from the scope of that Directive by Article 2(2);
3
In regulation 35, after paragraph (l), insert—
m
Schedule 18A (provision in relation to waste batteries and accumulators).
4
After regulation 68, insert—
Further provision in relation to waste batteries and accumulators68A
1
Paragraph (2) applies to any environmental permit which—
a
immediately before the coming into force of the Waste Batteries and Accumulators Regulations 2009, authorised a waste operation which involves treatment of waste batteries or accumulators; and
b
does not require compliance with Article 12(2) of the Batteries Directive.
2
If this paragraph applies, the environmental permit must be read as if it contained the following condition—
Treatment of waste batteries and accumulators must meet the minimum requirements set out in Annex III, Part A of Directive 2006/66/EC of the European Parliament and of the Council on batteries and accumulators and waste batteries and accumulators and repealing Directive 91/157/EEC.
3
In this regulation, “treatment” has the meaning given in Article 3(10) of the Batteries Directive.
5
After paragraph 52 of Schedule 3, insert—
Storage of waste portable batteries at a collection point53
1
Storage of waste portable batteries, including hazardous waste, at a collection point.
2
In this paragraph—
“collection point” means a place where end-users are able to deposit waste portable batteries at the premises of a distributor fulfilling its duty to take back such batteries under regulation 31(1) of the Waste Batteries and Accumulators Regulations 2009;
“distributor” and “portable battery” have the meaning given in regulation 2(1) of those Regulations.
6
The following Schedule is inserted in the appropriate place—
SCHEDULE 18AProvision in relation to waste batteries and accumulators
1Application
This Schedule applies in relation to waste batteries and accumulators.
2Exercise of relevant functions
The regulator must exercise its relevant functions so as to ensure compliance with Article 12(2) of the Batteries Directive.