Application for approval of a scheme
13.—(1) An application for approval of a scheme by the Department shall be made in writing by the operator of the scheme and shall—
(a)contain the following information—
(i)the name and address of the person who proposes to operate the scheme; and
(ii)information which demonstrates that—
(aa)the scheme is likely to subsist for a period of at least 5 years; and
(bb)the operator of the scheme is likely to be able to meet its expected recovery and recycling obligations for that period; and
(b)be accompanied by the following documentation—
(i)a copy of the constitution of the scheme;
(ii)a copy of the rules with which a member of the scheme is obliged to comply; and
(iii)a copy of the procedures under which the operator of the scheme would enforce the rules against a member of the scheme.
(2) Subject to paragraphs (3) and (4), an application for approval of a scheme shall within 28 days of receipt of the application be granted unconditionally where the Department is satisfied that—
(a)the scheme is likely to subsist for a period of at least 5 years;
(b)the operator of the scheme is likely to be able to meet its expected recovery and recycling obligations for that period,
and otherwise be refused.
(3) A further application for approval in accordance with paragraph (1) shall be made on the occurrence of—
(a)a change in the person who is the operator of the scheme;
(b)a conviction of the operator of the scheme for an offence under these Regulations;
(c)the receipt by the operator of the scheme of a notification under regulation 36(2); or
(d)a failure by the operator of the scheme to comply, where applicable, with the additional conditions set out at paragraph (5) below,
within 28 days of the occurrence of an event mentioned in sub-paragraph (a), (b) or (d) above or within 14 days of the occurrence of the event mentioned in sub-paragraph (c) above.
(4) Where the Department receives an application for approval from the operator of a scheme to whom paragraph (3)(c) above applies it may, whether or not it is satisfied as to the matters set out in paragraph (2) above, grant approval subject to the additional conditions set out in paragraph (5).
(5) The conditions are that—
(a)the operator of the scheme shall comply with 50% of the total recovery and recycling obligations of the scheme before 30th June;
(b)the operator of the scheme shall comply with a further 50% of the remaining recovery and recycling obligations before 30th September;
(c)the operator of the scheme shall make returns to the Department of information demonstrating compliance with the conditions set out at sub-paragraphs (a) and (b) above on or before 15th July and 15th October respectively, together with copies of the PRNs or PERNs or both;
(d)the operator pays the fee under regulation 16(3) to the Department; and
(e)the operator of the scheme shall not accept any new members into the scheme.
(6) Where an application which is required by paragraph (3)(a) or (3)(b) is not received by the due date, the Department may decide to withdraw approval of the scheme and, if such a decision is taken, shall serve written notice on the operator of the scheme of—
(a)the decision to withdraw approval of the scheme;
(b)the reasons for the decision; and
(c)the date when the withdrawal will take effect, not being earlier than 28 days for the date of the notice.
(7) Where an application which is required by paragraph (3)(c) or (3)(d) above is not received by the due date, the Department shall serve written notice on the operator of the withdrawal of approval of the scheme, which shall take effect from the date of the notice.
(8) The Department shall consider any representations made by the operator of a scheme before the notice under paragraph (6) takes effect, and may withdraw the notice under paragraph (6) at any time.
(9) In the case of a scheme that has been granted conditional approval pursuant to paragraph (4) above, where the Department is satisfied that the operator of the scheme met its recovery and recycling obligations in the preceding year, it shall serve a notice in writing on the operator of the scheme stating that the scheme has unconditional approval for the remainder of the year (and is no longer required to meet the additional conditions set out in paragraph (5) above and send a copy of the notice to the Department.
(10) In the case of a scheme that has been granted conditional approval pursuant to paragraph (4) above, where the Department is satisfied by 31st January in the year following the year for which a scheme is granted conditional approval under paragraph (4) above (for the purposes of this paragraph, “the conditional approval year”) that the operator of the scheme met its recovery and recycling obligations and the conditions in paragraph (5) above in the conditional approval year, it shall serve a notice in writing on the operator of the scheme stating that the scheme has unconditional approval for the year following the conditional approval year (and is no longer required to meet the conditions set out in paragraph (5) above).