The Waste Regulations (Northern Ireland) 2011

Amendment of regulation 22: Registration of brokers

41.  For Schedule 4 substitute—

Regulation 22(7)

“SCHEDULE 4 REGISTRATION OF BROKERS AND DEALERS OF CONTROLLED WASTE

Interpretation of Schedule 4

1.— (1) In this Schedule—

“applicant” means a person who is applying for registration or for renewal of registration as a registered broker or dealer and “application” shall have like meaning;

“broker” means any undertaking arranging the recovery or disposal of waste on behalf of others, including such brokers who do not take physical possession of the waste;

“carrier” means a person registered as a carrier of controlled waste under Regulation 6 the Controlled Waste (Registration of Carriers and Seizure of Vehicles) Regulations (Northern Ireland) 1999(1);

“date of expiry”, in relation to a broker’s or dealer’s registration—

(a)

in a case to which sub-paragraph (2) or (3) of paragraph 7 applies, has the meaning given by that sub-paragraph; and

(b)

in any other case means the date on which the period of three years mentioned in paragraph 7(1) expires;

“dealer” means any undertaking which acts in the role of principal to purchase and subsequently sell waste, including such dealers who do not take physical possession of the waste;

“notice” means notice in writing;

“register” means the register of registered brokers or dealers to be maintained by the Department under paragraph 2;

“registered broker” means a person registered as a broker under regulation 22 and this Schedule;

“registered dealer” means a person registered as a dealer under regulation 22 and this schedule;

“relevant offence” means an offence under any of the enactments listed in regulation 2;

“relevant period” means two months or, except in the case of an application for the renewal of that registration by a person who is already registered, such longer period as may be agreed between the applicant and the Department;

“relevant person” means—

(a)

any person who has been convicted of a relevant offence committed by that person in the course of that person’s employment by the applicant or registered broker or dealer or in the course of the carrying on of any business by a partnership one of the members of which was the applicant or registered broker or dealer;

(b)

a body corporate which has been convicted of a relevant offence committed at a time when the applicant or registered broker or dealer was a director, manager, secretary or other similar officer of that body corporate; or

(c)

where the applicant or registered broker or dealer is a body corporate, a person who is a director, manager, secretary or other similar officer of that body corporate and who—

(i)

has been convicted of a relevant offence; or

(ii)

was a director, manager, secretary or other similar officer of another body corporate at a time when the relevant offence for which that body corporate has been convicted was committed.

(2) For the purposes of this Schedule, an application for registration or for the renewal of a registration as a broker of or dealer in controlled waste shall be treated as pending—

(a) whilst it is being considered by the Department; or

(b) if it has been refused or the relevant period from the making of the application has expired without the applicant having been registered, whilst either—

(i) the period for appealing in relation to that application has not expired; or

(ii) the application is the subject of an appeal which has not been disposed of.

(3) For the purposes of this Schedule, an appeal is disposed of when any of the following occurs—

(a) the appeal is withdrawn; or

(b) a determination is issued to the Department by the Planning Appeals Commission in respect of the appeal.

Registers

2.— (1) It shall be the duty of the Department to establish and maintain a register of brokers and dealers and—

(a) to secure that the register is open for inspection by members of the public free of charge at all reasonable hours; and

(b) to afford to members of the public reasonable facilities for obtaining copies of entries in the register on payment of reasonable charges.

(2) The register may be kept in any form.

Applications for registration

3.— (1) An application for registration as a broker of or dealer shall be made to the Department.

(2) Subject to sub-paragraphs (3) to (5), a person shall not make an application for registration or for the renewal of a registration whilst—

(a) a previous application made by that person is pending; or

(b) that person is registered.

(3) Sub-paragraph (2) shall not prevent a person from applying for the renewal of a registration where that person’s application is made within the period of six months specified in paragraph 7(5).

(4) An application for registration or for the renewal of a registration in respect of a business which is or is to be carried on by a partnership shall be made by all of the partners or prospective partners.

(5) A prospective partner in a business carried on by a partnership whose members are already registered with the Department may make an application to the Department for registration as a partner in that business.

(6) An application for registration or for the renewal of a registration shall be made to the Department on a form provided by it for that purpose, and shall be accompanied by such information as the Department reasonably requires.

(7) Where an applicant wishes to apply to be registered both as a carrier and as a broker of or dealer in controlled waste, they may make a combined application on a form provided by the Department for that purpose.

(8) Where an applicant who wishes to apply both for the renewal of their registration as a carrier of controlled waste and for the renewal of their registration as a broker of or dealer in controlled waste, they may make a combined application on a form provided by the Department for that purpose.

(9) The Department shall provide a copy of the appropriate application form free of charge to any person requesting one.

(10) The Department shall charge an applicant in respect of its consideration of his application—

(a) subject to sub-paragraph (c), in the case of either an application for registration as a broker or dealer or a combined application for registration as both a carrier and broker or dealer, £126;

(b) in the case of either an application for the renewal of a registration as a broker or dealer or a combined application for renewal of registration both as a carrier and as a broker or dealer, £63;

(c) in the case of an application by a registered carrier for registration as a broker or dealer, £30,

and the applicant shall pay the charge upon making the application.

(11) The Department shall, on receipt of an application for registration or for the renewal of a registration, ensure that the register contains a copy of the application.

(12) The Department may refuse an application for registration or for the renewal of registration if—

(a) there has, in relation to that application, been a contravention of any of the requirements of the preceding provisions of this paragraph; or

(b) the applicant or another relevant person has been convicted of a relevant offence and, in the opinion of the Department, it is undesirable for the applicant to be authorised to arrange for the disposal or recovery of controlled waste on behalf of other persons, or to purchase and sell controlled waste registered as a broker or dealer; or

(c) in the opinion of the Department it is otherwise undesirable for the applicant to be registered as a broker or dealer.

(13) Where the Department decides to refuse an application for registration or for the renewal of a registration, it shall inform the applicant in writing that the application is refused and shall give the applicant the reasons for its decision.

(14) If an appeal is made under and in accordance with paragraph 6, the Department shall, as soon as reasonably practicable, make appropriate entries in the register indicating when the appeal was made and the result of the appeal.

(15) If no such appeal is made, the Department shall, as soon as reasonably practicable, make an appropriate entry in the register indicating that the application has been refused and that no appeal has been made.

(16) The Department may remove from the register—

(a) a copy of an application entered on the register under sub-paragraph (11); or

(b) an entry made under sub-paragraph (14) or (15),

at any time more than six years after the entry in question was put on the register.

(17) On deciding to register an applicant or on the issue to the Department of a determination by the Planning Appeals Commission under paragraph 6(9) that an appeal should be allowed, the Department shall—

(a) issue to the applicant a certificate of registration free of charge; and

(b) provide the applicant free of charge with a copy of the entry in the register.

Registration as a broker or dealer and amendment of entries

4.— (1) On deciding to register an applicant or on the issue to the Department of a determination by the Planning Appeals Commission under paragraph 6(9) that an appeal should be allowed, the Department shall make an entry in its register—

(a) showing that person as a registered broker of or dealer in controlled waste and allocating that person a registration number (which may include any letter);

(b) specifying the date on which the registration takes effect and its date of expiry;

(c) stating any business name of the applicant and the address of the applicant’s principal place of business (together with any telephone, telex or fax number and email address of the applicant) and, in the case of an individual, the applicant’s date of birth;

(d) in the case of a body corporate, listing the names of each director, manager, secretary or other similar officer of that body and their respective dates of birth;

(e) in the case of a company registered under the Companies Orders, specifying its registered number and, in the case of a company incorporated outside Northern Ireland, the country in which it was incorporated and its registration number there (if any);

(f) in a case where the person who is registered or another relevant person has been convicted of a relevant offence, giving the person’s name, details of the offence, the date of conviction, the penalty imposed, the name of the Court and, in the case of an individual, the person’s date of birth; and

(g) in a case where the person who is registered, or any company in the same group of companies as that person, is the holder of a waste management licence, stating the name of the holder of the licence.

(2) In the case of a business which is being, or is to be carried on by a partnership, all the partners shall be registered under one entry and only one registration number shall be allocated to the partnership.

(3) On making an entry in its register under sub-paragraph (1) the Department shall provide the registered person or partnership free of charge with a copy of the entry in the register.

(4) On deciding to renew any registration or on the issue to the Department by the Planning Appeals Commission of any determination under paragraph 6(9) in respect of such an application, the Department shall amend the relevant entry in the register—

(a) to show the date on which the renewal takes effect and the revised date of expiry of the registration;

(b) to record any other change required as a result of the application or the appeal; and

(c) to note in the register the date on which the amendments are made.

(5) The Department shall, at the same time as amending the register under sub-paragraph (4), provide the registered person or partnership free of charge with a copy of the amended entry in the register.

(6) A person who is registered shall notify the Department of any change of circumstances affecting information in the register relating to that person.

(7) On—

(a) being notified of any chance of circumstances in accordance with sub-paragraph (6);

(b) deciding to register a new partner in a registered partnership on an application by such person for registration in the entry in the register relating to that partnership; or

(c) the issue by the Planning Appeals Commission of a determination under paragraph 6(9) allowing an appeal for the registration of such new partner,

the Department shall—

(i) amend the relevant entry to reflect the change of circumstances or the registration of the new partner;

(ii) note in the register the date on which the amendment is made;

(iii) provide the registered person or partnership free of charge with a copy of the amended entry in the register.

(8) In this paragraph—

“Companies Orders” has the meaning given by Article 2 of the Companies (Northern Ireland) Order 1986(2);

“business name” means a name under which a person carries on business and by virtue of which Article 2(3) of the Business Names (Northern Ireland) Order 1986(3) applies; and

“group” has the meaning given by Article 55(1) of the Companies (Northern Ireland) Order 1990(4).

Revocation of registration

5.— (1) The Department may revoke a person’s registration as a broker of or dealer in controlled waste if,—

(a) that person or another relevant person has been convicted of a relevant offence; and

(b) in the opinion of the Department, it is otherwise undesirable for the registered broker or dealer to continue to be a registered broker or dealer; or

(c) in the opinion of the Department it is otherwise undesirable for the registered broker or dealer to continue to be a registered broker or dealer.

(2) Where the Department decides to revoke a person’s registration as a broker of or dealer in controlled waste, it shall give written notice to the broker or dealer informing that person of the revocation and the reasons for its decision.

Appeals

6.— (1) Where a person has applied to the Department to be registered as a broker of or dealer in controlled waste in accordance with paragraph 3, that person may appeal to the Planning Appeals Commission if—

(a) the application is refused; or

(b) the relevant period from the making of the application has expired without the applicant having been registered.

(2) A person whose registration as a broker of or dealer in controlled waste has been revoked may appeal against the revocation to the Planning Appeals Commission.

(3) Notice of an appeal to the Planning Appeals Commission under sub-paragraph (1) or (2) shall be given by the appellant to the Planning Appeals Commission within the period specified in sub-paragraph (7).

(4) If either party to the appeal so requests, the Planning Appeals Commission shall afford to each of them an opportunity of appearing before and being heard by the Commission.

(5) The notice of appeal shall be accompanied by the following—

(a) a statement of the grounds of appeal;

(b) in the case of an appeal under sub-paragraph (1), a copy of the relevant application;

(c) in the case of an appeal under sub-paragraph (2), a copy of the appellant’s entry in the register;

(d) a copy of any relevant correspondence between the appellant and the Department;

(e) a copy of any notice given to the appellant under paragraph 3(14) or 5(2);

(f) a statement indicating whether the appellant requests the opportunity of appearing before and being heard by the Planning Appeals Commission.

(6) The appellant shall at the same time as giving notice of appeal to the Planning Appeals Commission serve on the Department a copy of the notice and a copy of the documents referred to in sub-paragraph (5)(a) to(f).

(7) Notice of appeal shall be given before the expiry of the period of 28 days beginning with—

(a) in the case of an appeal under sub-paragraph (1)(a), the date on which the Department serves written notice on the applicant that their application has been refused;

(b) in the case of an appeal under sub-paragraph (1)(b), the date on which the relevant period from the making of the application expired without the applicant having been registered; or

(c) in the case of an appeal under sub-paragraph (2), the date on which the Department serves written notice on the registered broker of or dealer in controlled waste that the registration as a broker of or dealer in has been revoked,

or before such later date as the Planning Appeals Commission may at any time allow.

(8) The Planning Appeals Commission shall determine the appeal and Article 111 of the Planning (Northern Ireland) Order 1991(5) shall apply in relation to the determination of the appeal as it applies in relation to the determination of an appeal under that Order.

(9) The Planning Appeals Commission shall notify the appellant of its determination of the appeal and reasons for it, and shall at the same time send a copy of its determination to the Department.

Duration of registration

7.— (1) Subject to the following provisions of this paragraph, a person’s registration as a broker of or dealer in controlled waste shall cease to have effect on the expiry of the period of three years beginning with the date of the registration or the date of any renewal.

(2) Where—

(a) a registered carrier of controlled waste is registered as a broker of or dealer in controlled waste otherwise than by way of renewal of an existing registration as a broker or dealer; and

(b) that person’s registration as a carrier will expire within three years of the date of their registration as a broker or dealer,

if at the time of making the application for registration as a broker or dealer that person so requests, their registration as a broker or dealer shall expire on the same date as the date of expiry of their registration as a carrier.

(3) Where—

(a) a registered broker of or dealer in controlled waste is registered as a carrier of controlled waste otherwise than by way of renewal of an existing registration as a carrier; and

(b) that person’s registration as a broker or dealer will expire within three years of the date of their registration as a carrier,

if on the next application for renewal of their registration as a broker or dealer that person so requests, their renewed registration as a broker or dealer shall expire on the same date as the date of expiry of their registration as a carrier.

(4) Registration as a registered broker or dealer shall cease to have effect if the registered broker or dealer gives written notice to the Department requiring the removal of their name from the register.

(5) The Department shall, no later than six months before the date of expiry of a broker’s or dealer’s registration, serve on a registered broker or dealer—

(a) a notice informing that person of the date of expiry and of the effect of sub-paragraph (6); and

(b) an application form for the renewal of that person’s registration and a copy of that person’s current entry in the register.

(6) Where an application for the renewal of a registration is made within the last six months prior to its date of expiry, the registration shall, notwithstanding the passing of the expiry date, continue in force—

(a) until the application is withdrawn or accepted; or

(b) if the Department refuses the application or the relevant period from the making of the application has expired without the applicant having been registered, until—

(i) the expiry of the period for appealing; or

(ii) where the applicant gives to the Department written notice within that period that they do not intend to make or continue with an appeal, the date on which such notice is served on the Department.

(7) Where the Department revokes a broker’s or dealer’s registration, the registration shall, notwithstanding the revocation, continue in force until—

(a) the expiry of the period for appealing against the revocation; or

(b) where that person gives to the Department written notice within that period that that person does not intend to make or continue with an appeal, the date on which such notice is served on the Department.

(8) Where an appeal is made under and in accordance with the provisions of paragraph 6—

(a) by a person whose appeal is in respect of such an application for the renewal of their registration as was made, in accordance with paragraph 3, at a time when that person was already registered; or

(b) by a person whose registration has been revoked,

that registration shall continue in force after its date of expiry or, as the case may be, notwithstanding the revocation, until the appeal is disposed of.

(9) A registration in respect of a business which is carried on by a partnership shall cease to have effect if any of the partners ceases to be registered or if any person who is not registered becomes a partner.

(10) The duration of a registration in respect of a business which is carried on by a partnership shall not be affected if a person ceases to be a partner or if a new partner is registered under paragraph 4(7) in relation to the partnership.

(11) Where an application for renewal is made in advance of the expiry date and the Department decides to renew such registration, the renewal shall for the purposes of this Schedule take effect from the expiry date.

Cessation of registration

8.   Where a registration ceases to have effect by virtue of paragraph 7, the Department—

(a) shall record this fact in the appropriate entry in its register and the date on which it occurred; and

(b) may remove the appropriate entry from its register at any time more than six years after the registration ceases to have effect.”.

(1)

S.R. 1999 No.362

(2)

S.I. 1986/1032 (N.I. 6)

(3)

S.I. 1986/1033 (N.I. 7)

(4)

S.I. 1990/593 (N.I. 5)

(5)

S.I.1991/1220 (N.I. 11)