Schedule 4: Producer responsibility obligations
- Schedule 4 makes provision for regulations under which producer responsibility obligations can be imposed on specified persons and in relation to specified products or materials. Producer responsibility is a means by which businesses who place in-scope products or materials on the market are obligated to take greater responsibility for those products or materials, including once they have become waste. The Schedule specifies what regulations may make provision about in relation to the imposed obligations and the enforcement of those obligations.
Part 1: Requirements
General power
- Paragraph 1 sets out the power for the relevant national authority to make regulations to impose producer responsibility obligations on specified persons in respect of specified products or materials. Sub-paragraph (2) sets out that regulations may only be made for certain purposes. These purposes are preventing, or reducing the amount of, a product or material that becomes waste, and sustaining a minimum level of, or promoting or securing an increase in, the re-use, redistribution, recovery or recycling of products or materials.
- Paragraph 1(3) defines "producer responsibility obligations" to mean the steps required to be taken to achieve a purpose in sub-paragraph (2).
Examples of provision that may be made
- Paragraph 2 sets out examples of what regulations may make provision about. This includes the persons and products or materials that producer responsibility obligations may apply to, and provisions about the obligations that are to be imposed. Regulations may also make provision about targets to be achieved as part of a producer responsibility obligation.
- Sub-paragraph (3) allows for a producer responsibility obligation to be met in whole or in part by the payment of a sum of money. Such a provision tends to be referred to as a "compliance fee".
Registration of persons subject to producer responsibility obligations
- Paragraph 3 allows for regulations to mandate the registration of persons subject to a producer responsibility obligation. Regulations made under this paragraph may make provision about the details of the registration process and for registers to be published or made available for inspection.
Compliance schemes
- Paragraph 4 sets out the provisions that the regulations may include relating to the approval, withdrawal of approval, or establishment of compliance schemes. A compliance scheme is an organisation that persons who are subject to a producer responsibility obligation join. The compliance scheme operator then discharges those obligations on their behalf. Persons who are subject to a producer responsibility obligation may be required to join a compliance scheme, or it could be optional.
Registration of compliance schemes
- Paragraph 5 allows for regulations to make provisions in relation to the registration process for compliance schemes. This includes the procedures around appeals against the refusal of, imposition of conditions in connection with, or the cancellation of registration. Sub-paragraph (4) allows for regulations to require registers to be published or made available for inspection.
Power to direct compliance scheme operators
- Paragraph 6(1) allows the relevant national authority to direct a compliance scheme not to take an action, if that action would be incompatible with any international agreement to which the United Kingdom is a party. The relevant national authority may also direct a compliance scheme to take any action that is required for the purpose of implementing an international agreement to which the United Kingdom is a party. Sub-paragraph (3)(a) sets out that a direction by a relevant national authority may include consequential, supplementary, incidental, transitional or saving provision. Sub-paragraph (3)(b) sets out the terms by which a direction may be enforceable.
Certificates of compliance
- Paragraph 7 allows for regulations to make provision about certificates of compliance. Sub-paragraph (2) outlines what provisions may be made, and sub-paragraph (3) sets out the definition of a "certificate of compliance". A certificate of compliance is a document that certifies that an obligation has been met by an obligated business. It must be issued by a person who has been approved by an enforcement authority. This may be, for example, a Director of the obligated business. Sub-paragraph (4) allows for an enforcement authority to issue guidance on the issuing of certificates of compliance.
Consultation etc requirements
- Paragraph 8 requires the relevant national authority to consult the relevant stakeholders before making regulations under Part 1 of this Schedule. This consultation requirement may be met by a consultation before paragraph 8 comes into force.
- Paragraph 9(1) specifies conditions that the relevant national authority must be satisfied of before making regulations. The regulations must achieve one or more of the purposes in paragraph 1(2) and produce environmental or economic benefits. Those benefits should be significant compared to the likely costs and burdens. Any burdens imposed are imposed on persons most able to make a contribution to securing those benefits.
- Sub-paragraph (2) makes clear that the relevant national authority can impose obligations on any persons, to the exclusion of any others, even after having been satisfied by sub-paragraph (1)(e)(i). Sub-paragraph (3) specifies that if regulations are being made to implement an international agreement to which the UK is a party, then the relevant national authority does not need to be satisfied by the criteria in sub-paragraph (1).
- Paragraph 10 sets out that regulations made under this schedule must not restrict, distort, or prevent competition. If they do, then the effect must be the minimum possible to secure the environmental or economic benefits referred to in paragraph 9(1).
Interpretation
- Paragraph 11 defines certain terms used throughout Part 1 of the Schedule.
Part 2: Enforcement
General power
- Paragraph 12 introduces a power for the relevant national authority to make regulations about the enforcement of any requirements imposed by regulations made under Part 1 of this Schedule.
Powers to confer functions and Monitoring compliance
- Paragraphs 13 and 14 allow for functions to be conferred on one or more enforcement authorities. These functions may include the exercise of discretion, to monitor compliance with regulations, and to make available guidance about the exercise of its functions. Regulations may also provide for a person to be authorised to exercise functions on behalf of an enforcement authority.
Records and information
- Paragraph 15 makes provision for the keeping of records and to whom records, or information is to be provided to.
Powers of entry etc
- Paragraph 16 allows for regulations to confer on an enforcement authority powers of entry, inspection, examination, search and seizure. Sub-paragraph (2) sets out that regulations may include provision for powers to be exercisable only if a warrant is issued, and about the process of applying for and executing warrants. Warrants are needed to enter premises by force, enter a private dwelling without the consent of the occupier, and to search and seize material.
Sanctions
- Paragraphs 17 and 18 makes provision for penalties for a breach of a requirement in regulations and for the obstruction of or failure to assist an enforcement authority. These can be criminal offences (punishable with a fine) or civil sanctions. Provision for "civil sanction" and criteria around the imposition of sanctions are set out in paragraph 17(3) and paragraph 18, respectively.
Charges
- Paragraph 19 makes provision for:
- the payment of a charge to cover the costs incurred by an enforcement authority in performing its functions under the regulations; and
- a court order to include the payment of the costs incurred by an enforcement authority’s in relation to the matter the court or tribunal has dealt with.
Consultation requirement
- Paragraph 20 requires the relevant national authority to consult relevant stakeholders before making regulations relating to enforcement. This consultation requirement may be met by a consultation before paragraph 20 comes into force.
