United Kingdom Statutory Instruments

(i) the address provided by that person in accordance with these Regulations; or

(ii) his proper address; or

(b) by sending it by post to him at either of the addresses mentioned in sub-paragraph (a);

(c) where the person is a partnership, by serving it in accordance with sub-paragraph (a) or (b) on a partner or on a person having control or management of the partnership business;

(d) where the person is a body corporate, by serving it in accordance with sub-paragraph (a) or (b) on the secretary or clerk of that body corporate; or

(e) where the person is an unincorporated body, by serving it in accordance with sub-paragraph (a) or (b) on a person having control or management of that body.

" (l) approval of a scheme under regulation 41 of the Waste Electrical and Electronic Equipment Regulations 2006 ("the WEEE Regulations");

(m) compliance with the condition in regulation 43(e)(i) of the WEEE Regulations in relation to a scheme mentioned in paragraph (l);

(n) approval of an authorised treatment facility or exporter under regulation 47 of the WEEE Regulations; and

(o) extension of approval of an exporter under regulation 48 of the WEEE Regulations."; and

(b) in the definition of "environmental licence" in the application of Part 1 of that Act in relation to the Scottish Environment Protection Agency, after paragraph (k) insert—

" (l) approval of a scheme under regulation 41 of the Waste Electrical and Electronic Equipment Regulations 2006 ("the WEEE Regulations");

(m) compliance with the condition in regulation 43(e)(i) of the WEEE Regulations in relation to a scheme mentioned in paragraph (l);

(n) approval of an authorised treatment facility or exporter under regulation 47 of the WEEE Regulations; and

(o) extension of approval of an exporter under regulation 48 of the WEEE Regulations.".

(i) is intended to replace the relevant WEEE, and

(ii) is of an equivalent type or is fulfilling the same function as that of the relevant WEEE.

(i) one scheme that has been approved under regulation 41 for the purposes of regulations 22 and 23; or

(ii) one scheme that has been approved under regulation 41 for the purposes of regulation 22 and one scheme that has been approved under regulation 41 for the purposes of regulation 23; and

(b) a producer who has obligations under regulation 8 or 9 but not both in respect of any compliance period, or any part of a compliance period, may join—

(i) in the case of a producer who has obligations under regulation 8, one scheme that has been approved under regulation 41 for the purposes of regulation 22; or

(ii) in the case of a producer who has obligations under regulation 9, one scheme that has been approved under regulation 41 for the purposes of regulation 23.

(i) within 28 days of the date of the notification served on him by the appropriate authority under regulation 44(3), notify the appropriate authority of his intention to become a member of a proposed scheme which is the subject of an application for approval made under regulation 41(2); and

(ii) in the case where that proposed scheme is—


(aa) approved by a decision made under regulation 41, become a member of a scheme within 28 days of the date of a notification given to that producer under regulation 41(8); or

(bb) not approved by a decision made under regulation 41, become a member of a scheme within 28 days of the date of a notification given to that producer under regulation 42(3).

(i) where the producer is an individual, that individual,

(ii) where the producer is a partnership, a partner,

(iii) where the producer is a body registered in the United Kingdom, a director or the company secretary of that body, and

(iv) where the producer is a body which is not registered in the United Kingdom, the individual who has control or management of that body; and

(b) inform the operator of the scheme in writing of any material change in the information provided to that operator in accordance with this regulation within 28 days of the occurrence of any such change.

(i) each of the categories listed in Schedule 1 (excluding display equipment, cooling appliances containing refrigerants and gas discharge lamps),

(ii) display equipment,

(iii) cooling appliances containing refrigerants, and

(iv) gas discharge lamps; and

(b) for each category referred to in sub-paragraph (a), the amount in tonnes of EEE intended for use by—

(i) private households; and

(ii) users other than private households.

(i) the categories listed in Schedule 1 (excluding display equipment, cooling appliances containing refrigerants and gas discharge lamps),

(ii) display equipment,

(iii) cooling appliances containing refrigerants, and

(iv) gas discharge lamps; and

(c) for each category referred to in sub-paragraph (b), the amount in tonnes of EEE intended for use by—

(i) private households; and

(ii) users other than private households; and

(d) details of compliance with the requirements of Article 8(4) of the Directive.

(i) treated at an ATF; or

(ii) exported by an approved exporter for treatment outside the United Kingdom.

(i) recovered or recycled by a reprocessor; or

(ii) exported by an approved exporter for recovery or recycling outside the United Kingdom.

(i) at least 80% recovery by the average weight in tonnes of the equipment,

(ii) at least 75% reuse and recycling of components, materials and substances by the average weight in tonnes of the equipment;

(b) for WEEE that falls within categories 3 and 4 of Schedule 1,

(i) at least 75% recovery by the average weight in tonnes of the equipment;

(ii) at least 65% reuse and recycling of components, materials and substances by the average weight in tonnes of the equipment;

(c) for WEEE that falls within categories 2, 5, 6, 7 and 9 of Schedule 1,

(i) at least 70% recovery by the average weight in tonnes of the equipment;

(ii) excluding gas discharge lamps, at least 50% reuse and recycling of components, materials and substances by the average weight in tonnes of the equipment;

(d) for gas discharge lamps, at least 80% reuse and recycling of components, materials and substances by the average weight in tonnes of the lamps.

(i) collecting from a designated collection facility; and

(ii) delivering to an AATF for treatment or an approved exporter for treatment outside the United Kingdom; and

(b) the total amount in units of WEEE that he has been responsible for making available for reuse as a whole appliance,

(i) on or before 1st May in a relevant compliance period in respect of the first quarter period in that compliance period;

(ii) on or before 1st August in a relevant compliance period in respect of the second quarter period in that compliance period;

(iii) on or before 1st November in a relevant compliance period in respect of the third quarter period in that compliance period; and

(iv) on or before 1st February in the year immediately following the end of a relevant compliance period in respect of the fourth quarter period in that compliance period.

(i) the categories listed in Schedule 1 (excluding display equipment, cooling appliances containing refrigerants and gas discharge lamps),

(ii) display equipment,

(iii) cooling appliances containing refrigerants, and

(iv) gas discharge lamps; and

(b) for each category referred to in sub-paragraph (a), specify the amount in tonnes of WEEE intended for use—

(i) by private households; and

(ii) by users other than private households.

(i) each of the categories listed in Schedule 1 (excluding display equipment, cooling appliances containing refrigerants and gas discharge lamps),

(ii) display equipment,

(iii) cooling appliances containing refrigerants, and

(iv) gas discharge lamps;

(c) for each category referred to in sub-paragraph (b), specify the amount in tonnes of EEE intended for use—

(i) by private households; and

(ii) by users other than private households;

(d) be provided for each quarter period of a relevant compliance period on or before the last day of the month that immediately follows the end of that quarter period; and

(e) be submitted in the format published by the appropriate authority under regulation 60.

(i) a designated collection facility,

(ii) an AATF, or

(iii) an approved exporter,

during that compliance period, or that part of a compliance period;

(b) the categories of the WEEE referred to in sub-paragraph (a) by reference to—

(i) each of the categories listed in Schedule 1 (excluding display equipment, cooling appliances containing refrigerants and gas discharge lamps),

(ii) display equipment,

(iii) cooling appliances containing refrigeration, and

(iv) gas discharge lamps,

(c) for each category referred to in sub-paragraph (b), the amount in tonnes of WEEE intended for use by—

(i) private households, and

(ii) users other than private households; and

(d) the amount in units of WEEE reused as a whole appliance.

(i) the information set out in Part 1 of Schedule 7, which shall be submitted in the format published by the appropriate authority under regulation 62;

(ii) a copy of the constitution of the proposed scheme which must contain the information set out in Part 2 of Schedule 7;

(iii) a copy of the operational plan which must contain the information set out in Part 3 of Schedule 7; and

(c) be accompanied by—

(a) be in writing;

(b) contain the information set out in Part 1 of Schedule 8, which shall be submitted in the format published by the appropriate authority under regulation 64; and

(c) be accompanied by—


(i) where the appropriate authority is the Environment Agency or SEPA,


(aa) in the case of an applicant who undertakes to issue evidence notes for not more than 400 tonnes of WEEE in the approval period to which the application relates, the application charge specified in regulation 51(1)(a); and

(bb) in any other case, the application charge specified in regulation 51(1)(b); or



(ii) where the appropriate authority is the Department of the Environment,



(aa) in the case of an applicant who undertakes to issue evidence notes for not more than 400 tonnes of WEEE in the approval period to which the application relates; and

(bb) in any other case,



the application charge specified in the Waste Electrical and Electronic Equipment (Charges) Regulations (Northern Ireland) 2006.

    (2) An application for approval made by—

(a) an operator of an ATF, to issue an evidence note in relation to—


(i) the treatment of WEEE at an ATF, and

(ii) the recovery or recycling of WEEE at a reprocessor; or



(b) an exporter, to issue an evidence note in relation to the treatment, recovery or recycling of WEEE for the export of WEEE for treatment, recovery and recycling in one or more specified treatment, recovery or recycling operations at a specified site outside the United Kingdom, or a combination of such operations,

shall be granted where the appropriate authority is satisfied as to the matters set out in paragraph (3) and shall otherwise be refused.

    (3) The matters referred to—

(a) in paragraph (2)(a) are—


(i) that the applicant is an operator of an ATF;

(ii) that the applicant will comply with the conditions referred to in regulation 49(1); and

(iii) that the application has been made in accordance with paragraph (1); and



(b) in paragraph (2)(b) are—



(i) that the applicant is an exporter;

(ii) where the application for approval relates to one or more treatment, recovery or recycling sites outside the EEA, that the requirements of Article 6(4) of the Directive shall be met in respect of each such site;

(iii) that the applicant will comply with the conditions referred to in regulation 49(2); and

(iv) that the application has been made in accordance with paragraph (1).

    (4) The appropriate authority shall notify the applicant in writing of its decision under paragraph (2) no later than 12 weeks after the application was made and, if the decision is a decision to refuse approval, such a notification shall state—

(a) the reasons for the decision; and

(b) the right of appeal under Part 12.

    (5) Subject to regulation 50, where approval is granted under paragraph (2), it shall take effect—

(a) where the application is made in the preceding year to that in which the person has applied to be approved—


(i) from 1st January where the decision to grant approval was made before that date; and

(ii) in all other cases, from the date of the decision,



and shall remain in force until 31st December in the year for which the person has applied to be approved;

(b) where the application is made during the year in which the person has applied to be approved, from the date of the decision, and shall remain in force until 31st December in that year.

    (6) Where an operator of an ATF or an exporter who has—

(a) given the undertaking referred to in paragraph (1)(c)(i)(aa); and

(b) paid the application charge specified in regulation 51(1)(a),

(a) providing a system that shall ensure the availability and accessibility free of charge of designated collection facilities in the United Kingdom for the purpose of achieving a high level of collection of WEEE from private households at such facilities; and

(b) providing distributors with an alternative means of discharging the obligation under regulation 31.

(a) ensure that the register is open for inspection at its principal office by members of the public free of charge at all reasonable hours; and

(b) permit members of the public to obtain copies of entries in the register on payment of a reasonable charge.

(a) the Secretary of State;

(b) an appropriate authority; or

(c) an enforcement authority,

to any person for the purpose of facilitating the carrying out by the Secretary of State, that appropriate authority or that enforcement authority of any of his or its functions under these Regulations.

    (2) Nothing in paragraph (1) authorises a disclosure of information—

(a) to a person other than the Secretary of State, an appropriate authority or an enforcement authority where disclosure of that information would, in the opinion of the Secretary of State, be contrary to the interests of national security; or

(b) which contravenes any other legislation made in the United Kingdom, or in any part of the United Kingdom.

    (3) No information disclosed to any person under or by virtue of paragraph (1) shall be disclosed by that person to any other person otherwise than in accordance with the provisions of this paragraph or any provision of any other legislation made in the United Kingdom, or in any part of the United Kingdom, which authorises or requires disclosure, where that information is information—

(a) which relates to a trade secret of any person or which otherwise is or might be commercially confidential in relation to any person; or

(b) whose disclosure otherwise than under or by virtue of paragraph (1) would, in the opinion of the Secretary of State, be contrary to the interests of national security.

    (4) Any authorisation under or by virtue of paragraph (1) of the disclosure of information by or to any person shall also be taken to authorise the disclosure of that information by or to any officer of his who is authorised by him to make the disclosure or to receive the information.

    (5) No person shall be subject to any civil or criminal liability in consequence of any disclosure made under or by virtue of paragraph (1).

(a) to the Secretary of State against a decision of the Environment Agency;

(b) to the Scottish Ministers against a decision of SEPA; and

(c) to the Planning Appeals Commission against a decision of the Department of the Environment.

    (2) For the purposes of paragraph (1), a decision means a decision—

(a) to refuse to grant approval of that operator's proposed scheme under regulation 41; or

(b) to withdraw approval of that operator's scheme under regulation 44.

    (3) An operator of an ATF or an exporter may appeal—

(a) to the Secretary of State against a decision of the Environment Agency;

(b) to the Scottish Ministers against a decision of SEPA; and

(c) to the Planning Appeals Commission against a decision of the Department of the Environment.

    (4) For the purposes of paragraph (3), a decision means a decision—

(a) to refuse to grant an application for approval made by that operator of an ATF or that exporter under regulation 47;

(b) to refuse to grant an extension of a grant of approval made to that exporter under regulation 48; or

(c) to suspend or cancel a grant of approval made in relation to that ATF or that exporter under regulation 50.

    (5) For the purposes of this Part and Schedule 11, "appeal body" means one of the following—

(a) the Secretary of State,

(b) the Scottish Ministers, or

(c) the Planning Appeals Commission.

(a) in England and Wales, the Environment Agency;

(b) in Scotland, SEPA; and

(c) in Northern Ireland, the Department of the Environment.

(a) contravenes or fails to comply with any requirements of regulation 8, 9, 10, 11, 12 or 13;

(b) furnishes information under regulation 11 and either—


(i) knows the information provided to be false in a material particular, or

(ii) furnishes such information recklessly and it is false and misleading in a material particular; or



(c) furnishes a declaration of compliance under regulation 12 and either—



(i) knows the information provided in, or in connection with, the declaration to be false in a material particular, or

(ii) furnishes such information recklessly and it is false and misleading in a material particular.

    (2) A producer shall be guilty of an offence if he contravenes or fails to comply with any requirements of regulation 14, 15, 16, 17, 18 or 40(3).

    (3) An operator of a scheme shall be guilty of an offence if he—

(a) contravenes or fails to comply with any requirements of regulation 20, 21, 22, 23, 25, 26, 27, 28, 29 or 30;

(b) furnishes a report under regulation 27 or 28 and either—


(i) knows the information provided in, or in connection with, the report to be false in a material particular, or

(ii) furnishes such information recklessly and it is false and misleading in a material particular; or



(c) furnishes a declaration of compliance under regulation 29 and either—



(i) knows the information provided in, or in connection with, the declaration to be false in a material particular, or

(ii) furnishes such information recklessly and it is false and misleading in a material particular.

    (4) An operator of a scheme shall be guilty of an offence if he contravenes or fails to comply with any requirements of regulation 24.

    (5) A distributor shall be guilty of an offence if he contravenes or fails to comply with any requirements of regulation 31.

    (6) A distributor shall be guilty of an offence if he contravenes or fails to comply with any requirements of regulation 33 or 34.

    (7) An operator of an AATF or an approved exporter is guilty of an offence if he—

(a) contravenes or fails to comply with any requirements of regulation 49, 52 or 53; or

(b) furnishes a report under regulation 52 and either—


(i) knows the information provided in, or in connection with, the report to be false in a material particular, or

(ii) furnishes such information recklessly and it is false and misleading in a material particular.

    (8) A person shall be guilty of an offence if he—

(a) contravenes or fails to comply with any requirements of regulation 36, 40(1) or 46;

(b) without reasonable cause, fails to comply with an enforcement notice served under regulation 71;

(c) without reasonable cause, fails to comply with a requirement imposed under regulation 72;

(d) intentionally obstructs any person acting in the execution of these Regulations;

(e) without reasonable cause, fails to give to any person acting in the execution of these Regulations any assistance or information which that person may reasonably require of him for the performance of his functions under these Regulations;

(f) without reasonable cause, fails to produce information when required to do so to any person acting in the execution of these Regulations;

(g) furnishes to any person acting in the execution of these Regulations any information which he—


(i) knows the information to be false or misleading in a material particular, or

(ii) furnishes such information recklessly and it is false or misleading in a material particular.

     Large cooling appliances

     Refrigerators

     Freezers

     Other large appliances used for refrigeration, conservation and storage of food

     Washing machines

     Clothes dryers

     Dish washing machines

     Cooking

     Electric stoves

     Electric hot plates

     Microwaves

     Other large appliances used for cooking and other processing of food

     Electric heating appliances

     Electric radiators

     Other large appliances for heating rooms, beds, seating furniture

     Electric fans

     Air conditioner appliances

     Other fanning, exhaust ventilation and conditioning equipment

     2. Small household appliances

     Vacuum cleaners

     Carpet sweepers

     Other appliances for cleaning

     Appliances used for sewing, knitting, weaving and other processing for textiles

     Irons and other appliances for ironing, mangling and other care of clothing

     Toasters

     Fryers

     Grinders, coffee machines and equipment for opening or sealing containers or packages

     Electric knives

     Appliances for hair-cutting, hair drying, tooth brushing, shaving, massage and other body care appliances

     Clocks, watches and equipment for the purpose of measuring, indicating or registering time

     Scales

     3. IT and telecommunications equipment

     Centralised data processing:

     Mainframes

     Minicomputers

     Printer units

     Personal computing:

     Personal computers (CPU, mouse, screen and keyboard included)

     Laptop computers (CPU, mouse, screen and keyboard included)

     Notebook computers

     Notepad computers

     Printers

     Copying equipment

     Electrical and electronic typewriters

     Pocket and desk calculators

     Other products and equipment for the collection, storage, processing, presentation or communication of information by electronic means

     User terminals and systems

     Facsimile

     Telex

     Telephones

     Pay telephones

     Cordless telephones

     Cellular telephones

     Answering systems

     Other products or equipment of transmitting sound, images or other information by telecommunications

     4. Consumer equipment

     Radio sets

     Television sets

     Videocameras

     Video recorders

     Hi-fi recorders

     Audio amplifiers

     Musical instruments

     Other products or equipment for the purpose of recording or reproducing sound or images, including signals or other technologies for the distribution of sound and image than by telecommunications

     5. Lighting equipment

     Luminaires for fluorescent lamps with the exception of luminaires in households

     Straight fluorescent lamps

     Compact fluorescent lamps

     High intensity discharge lamps, including pressure sodium lamps and metal halide lamps

     Low pressure sodium lamps

     Other lighting or equipment for the purpose of spreading or controlling light with the exception of filament bulbs

     6. Electrical and electronic tools (with the exception of large-scale stationary industrial tools)

     Drills

     Saws

     Sewing machines

     Equipment for turning, milling, sanding, grinding, sawing, cutting, shearing, drilling, making holes, punching, folding, bending or similar processing of wood, metal and other materials

     Tools for riveting, nailing or screwing or removing rivets, nails, screws or similar uses

     Tools for welding, soldering or similar use

     Equipment for spraying, spreading, dispersing or other treatment of liquid or gaseous substances by other means

     Tools for mowing or other gardening activities

     7. Toys, leisure and sports equipment

     Electric trains or car racing sets

     Hand-held video game consoles

     Video games

     Computers for biking, diving, running and rowing

     Sports equipment with electric or electronic components

     Coin slot machines

     8. Medical devices (with the exception of all implanted and infected products)

     Radiotherapy equipment

     Cardiology

     Dialysis

     Pulmonary ventilators

     Nuclear medicine

     Laboratory equipment for in-vitro diagnosis

     Analysers

     Freezers

     Fertilization tests

     Other appliances for detecting, preventing, monitoring, treating, alleviating illness, injury or disability

     9. Monitoring and control instruments

     Smoke detector

     Heating regulators

     Thermostats

     Measuring, weighing or adjusting appliances for household or laboratory equipment

     Other monitoring and control instruments used in industrial installations (for example, in control panels)

     10. Automatic dispensers

     Automatic dispensers for hot drinks

     Automatic dispensers for hot or cold bottles or cans

     Automatic dispensers for solid products

     Automatic dispensers for money

     All appliances which deliver automatically all kind of products

" 13.—(1) A producer to whom the obligation in regulation 10 applies in relation to the first compliance period shall keep records in writing of the following information—
(a) the amount in tonnes of all EEE which he has put on the market in the United Kingdom in 2006 and during the first compliance period which falls within—


(i) the categories listed in Schedule 1 (excluding display equipment, cooling appliances containing refrigerants and gas discharge lamps),

(ii) display equipment,

(iii) cooling appliances containing refrigerants, and

(iv) gas discharge lamps; and



(b) for each category referred to in sub-paragraph (a), the amount in tonnes of EEE that was or is intended for use by—



(i) private households; and

(ii) users other than private households.



    (2) The records referred to in this regulation shall be kept for a period of at least four years commencing on the date on which any such record is made and shall be made available to the appropriate authority on demand.

    (3) The obligation to keep records in paragraph (2) shall only apply to records that are in existence on 2nd January 2007 and to records that are made after that date.".

Scheme obligations
     4. In regulation 20—

(a) in paragraph (1), for the words "any compliance period, or any part of a compliance period, make an application to the appropriate authority on or before 31st October in the year immediately preceding the commencement of that compliance period" substitute "the first compliance period, or any part of the first compliance period, make an application to the appropriate authority on or before 31st March 2007";

(b) in paragraph (2), for the words "15th October in the year immediately preceding the commencement of the relevant compliance period" substitute "15th March 2007";

(c) in paragraph (6), for the words commencing with "1st December of the year immediately preceding the commencement of that compliance period" substitute the following "1st June 2007"; and

(d) after paragraph (8) insert the following new paragraphs (8A), (8B) and (8C)—

    " (8A) The appropriate authority shall notify in writing each operator of a scheme of a preliminary assessment of the market share of his scheme members in 2006 on or before 17th April 2007.

    (8B) The market share referred to in paragraph (8A) shall be calculated as follows in relation to each of the categories of EEE using the information provided to the appropriate authority in compliance with paragraph 13A of Schedule 4––

A ÷ B

where—
"A" is the total amount in tonnes of EEE intended for use by private households and falling within one of the categories of EEE ("the relevant category") that has been put on the market in the United Kingdom in 2006 by all of the members of a particular scheme; and
"B" is the total amount in tonnes of EEE intended for use by private households and falling within the relevant category that has been put on the market in the United Kingdom in 2006.

    (8C) A notification given under paragraph (8A) shall include the following information—



(a) the preliminary assessment of the market share in 2006 of the scheme members referred to in that paragraph by reference to the categories of EEE;

(b) an explanation of how the market share referred to in sub-paragraph (a) has been determined using the calculation set out in paragraph (8B).".

     5. In paragraph (1) of regulation 28, for the words "each compliance period, or part of a compliance period" substitute "2006 and in the first compliance period, or in any part of that compliance period".

     6. After regulation 28, insert the following new regulation 28A—

" Reporting: financing of WEEE from private households
     28A. —(1) Each operator of a scheme that is approved under regulation 41 for the first compliance period shall provide a report to the appropriate authority on or before 31st December 2007.

    (2) The report referred to in paragraph (1) shall—


(a) be in writing; and

(b) explain how his scheme members could most effectively—


(i) assume responsibility for financing the costs of the collection, treatment, recovery and environmentally sound disposal of WEEE from private households deposited at designated collection facilities relating to the waste from any product that they have put on the market in the United Kingdom after 13th August 2005; and

(ii) provide a guarantee when placing a product on the market in the United Kingdom that ensures that the operations mentioned in sub-paragraph (b)(i) in relation to the waste from that product will be financed.".

     7. In Schedule 6, after paragraph 14 insert the following new paragraph 14A—

     " 14A. In the case of an application made under regulation 20(1), the following information in respect of each scheme member—


(a) the amount in tonnes of all EEE which each scheme member has placed on the market in the United Kingdom during 2006 which falls within—


(i) each of the categories listed in Schedule 1 (excluding display equipment, cooling appliances containing refrigerants and gas discharge lamps),

(ii) display equipment,

(iii) cooling appliances containing refrigerants, and

(iv) gas discharge lamps; and



(b) for each category referred to in sub-paragraph (a), the amount in tonnes of WEEE intended for use by—



(i) private households; and

(ii) users other than private households.".

Scheme approval
     8. In regulation 41—

(a) in paragraph (1), for the words commencing "any compliance period" and ending with "in the year immediately preceding the commencement of that compliance period" substitute "the first compliance period, on or before 31st January 2007"; and

(b) in paragraph (6)(a), for every reference to "1st October of the year immediately preceding the relevant compliance period" substitute "on or before 28th February 2007".

     9. In Schedule 7—

(a) in paragraph (f) of Part 3; and

(b) in paragraph 2(f) of Part 4,

for the words “regulations 27 and 28“ substitute "regulations 27, 28 and 28A".

Duties of the appropriate authorities
     10. In paragraph (f) of regulation 61, for the words “regulations 27, 28“ substitute "regulations 27, 28, 28A".

Offences and penalties
     11. In regulation 73—

(a) in paragraph (3)(a), after the word "28," insert "28A,"; and

(b) in paragraph (3)(b), for the words “27 or 28“ substitute "27, 28 or 28A".

(a) the reference number of the appropriate authority's notification under regulation 8(4)(c); and

(b) a declaration that the obligations under regulation 8(1) that have been notified to the relevant producer by the appropriate authority under that regulation—


(i) have been met; or

(ii) have not been met.

     6. In relation to the WEEE from users other than private households in respect of which the declaration is being issued, a declaration that—

(a) the obligations under regulation 9(1)—


(i) have been met; or

(ii) have not been met;



(b) the amount in tonnes of WEEE for which the producer has been responsible for financing the costs of the collection, treatment, recovery and environmentally sound disposal during the relevant compliance period which fall within—



(i) each of the categories listed in Schedule 1 (excluding display equipment, cooling appliances containing refrigerants and gas discharge lamps),

(ii) display equipment,

(iii) cooling appliances containing refrigerants, and

(iv) gas discharge lamps.

(a) the reference number of the appropriate authority's notification under regulation 22(4)(b); and

(b) a declaration that the obligations under regulation 22 that have been notified to the relevant operator of the scheme by the appropriate authority under that regulation—


(i) have been met; or

(ii) have not been met.

     6. In relation to the WEEE from users other than private households in respect of which the declaration is being issued, a declaration that—

(a) the obligations under regulation 23—


(i) have been met; or

(ii) have not been met;



(b) the amount in tonnes of WEEE for which the operator of the scheme has been responsible for financing the costs of the collection, treatment, recovery and environmentally sound disposal during the relevant compliance period which fall within—



(i) each of the categories listed in Schedule 1 (excluding display equipment, cooling appliances containing refrigerants and gas discharge lamps),

(ii) display equipment,

(iii) cooling appliances containing refrigerants, and

(iv) gas discharge lamps.

(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 regulations 22 and 23;

(b) details of the proposed arrangements for collection, treatment, recovery and recycling that will be or are in place to ensure that the operator of the proposed scheme will be able to comply with his obligations under Part 4 in relation to—


(i) WEEE from private households in accordance with regulation 22;

(ii) WEEE from users other than private households in accordance with regulation 23; or

(iii) both (i) and (ii);



(c) where it is available to the operator of the proposed scheme, the information referred to in paragraph (b) must include—



(i) the names and addresses of the designated collection facilities from whom the proposed scheme intends to obtain WEEE from private households and the estimated amounts in tonnes of WEEE to be collected from each;

(ii) the names and addresses of the AATFs that the operator of the proposed scheme intends to use to treat WEEE and the estimated amounts in tonnes of WEEE to be treated by each such AATF;

(iii) the names and addresses of the approved exporters that the operator of the proposed scheme intends to use to treat, recover and recycle WEEE and the estimated amounts in tonnes of WEEE to be treated, recovered and recycled by each such approved exporter; and

(iv) in the case of the collection of WEEE from designated collection facilities, details of any contingency plans;



(d) a statement indicating the nature of the anticipated relationship of the operator of the proposed scheme with—



(i) designated collection facilities;

(ii) AATFs; and

(iii) approved exporters,



in the three compliance periods in respect of which an application for approval is made;

(e) how the operator of the proposed scheme will meet the conditions of approval set out in regulation 43;

(f) how the operator of the proposed scheme will comply with the reporting requirements under regulations 27 and 28;

(g) how the operator of the proposed scheme will comply with the obligation to submit a declaration of compliance under regulation 29;

(h) where an operator of a proposed scheme is intending to collect WEEE from private households in accordance with regulation 22, details of the proposed arrangements to accept return of WEEE from private households from distributors free of charge in accordance with regulation 32;

(i) how the operator of the proposed scheme will prioritise, where appropriate, the reuse of whole appliances in a manner consistent with the objectives of the Directive and in accordance with regulation 24; and the relationships it intends to develop with those persons carrying out reuse activities, including making use of the existing voluntary and community sector infrastructure; and

(j) how the operator of the proposed scheme will adopt and comply with the code of practice issued by the Secretary of State under regulation 57.

(a) that a scheme member must apply to join the scheme for a minimum period of one relevant compliance period; except in the case of a producer who does not become a producer until after the start of a relevant compliance period and who will be expected to join that scheme for the remainder of the relevant compliance period during which he has commenced putting EEE on the market in the United Kingdom; and

(b) that where a scheme member's membership of the scheme is cancelled, any such cancellation cannot take effect until the end of the current compliance period.

     2. That the proposed scheme or scheme has the necessary resources and systems in place to—

(a) maintain up to date records of its scheme members, including—


(i) their names and addresses;

(ii) their EEE producer registration numbers; and

(iii) the producer identification marks used by each member in compliance with regulation 16;



(b) handle WEEE from private households, if it proposes to do so, (including collection and transportation to ATFs and funding of treatment, recovery and recycling) in order to discharge the operator of the scheme's notified obligation under regulation 22 in an appropriate and timely manner;

(c) handle WEEE from users other than private households, if it proposes to do so, (including collection and transportation to ATFs and funding of treatment, recovery and recycling) in order to discharge the operator of the scheme's obligations under regulation 23 in an appropriate and timely manner;

(d) where a proposed scheme is the subject of an application for approval made under regulation 41, or where a scheme is approved under that regulation for the purposes of regulation 22, accept return of WEEE from private households from distributors free of charge in accordance with regulation 32;

(e) keep, update and supply records to the appropriate authority as required under regulation 30;

(f) supply information to the appropriate authority as required under regulations 27 and 28;

(g) submit declarations of compliance and supporting evidence notes as required under regulation 29;

(h) check that the information supplied to it by its scheme members under regulation 11 is as accurate as reasonably possible and that the operator of the scheme's submission of that information to the appropriate authority will meet a similar standard of accuracy; and

(i) maintain good environmental practices.

     3. That the operator of the proposed scheme or scheme will co-operate with other operators of schemes in relation to developing working relationships with operators of designated collection facilities.

     4. That the operator of the proposed scheme or scheme has viable plans to collect an amount of WEEE that is equivalent to the amount of WEEE for which it will be responsible for financing under these Regulations.

     5. That the operator of the proposed scheme or scheme is likely to be able to meet his expected treatment, recovery and recycling obligations for the three compliance periods in respect of which an application for approval is being made or has been granted under regulation 41.

     6. That the proposed scheme or scheme is likely to assist in meeting the United Kingdom's obligations in relation to the recovery of WEEE in respect of which an application for approval is being made or has been granted under regulation 41.

     7. In the event that the operator of the proposed scheme or scheme contravenes any of the obligations placed on him under these Regulations, that it is likely that enforcement proceedings could be taken against the operator of the proposed scheme under these Regulations without a disproportionate cost to the enforcement authority.

(a) the name and address of each site to which he proposes to export WEEE for treatment, recovery or recycling;

(b) in respect of each site specified in accordance with sub-paragraph (a)—


(i) specify the amount in tonnes of WEEE that he proposes to export to that site for treatment, recovery or recycling by reference to each of the following categories—


(aa) each of the categories listed in Schedule 1 (excluding display equipment, cooling appliances containing refrigerants and gas discharge lamps),

(bb) display equipment,

(cc) cooling appliances containing refrigerants, and

(dd) gas discharge lamps; and



(ii) the applicable treatment, recovery and recycling operations carried out by that site.

     8. Confirmation of whether or not the operator of the ATF or the 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.

(i) each of the categories listed in Schedule 1 (excluding display equipment, cooling appliances containing refrigerants and gas discharge lamps),

(ii) display equipment,

(iii) cooling appliances containing refrigerants,

(iv) gas discharge lamps; and



in the case of each category shall specify the amount in tonnes of WEEE from private households and of WEEE from users other than private households.

     4. The amount of WEEE in tonnes recorded on an evidence note shall be—

(a) rounded up to the nearest whole tonne where the part tonne is 0.5 or more; and

(b) rounded down to the nearest whole tonne where the part tonne is less than 0.5.

     5. Duplicate copies of any evidence note issued by the operator of the AATF shall be retained by that operator of the AATF and made available for inspection by the appropriate authority at all reasonable times.

     6. One or more substitute evidence note shall be issued by an operator of an AATF, on request, to the holder of the original evidence note in exchange for the original, provided that—

(a) the aggregate tonnage of any substitute evidence note so issued remains equal to that exchanged;

(b) the substitute evidence note relates to the same year as the original; and

(c) no substitute evidence note which relates to WEEE received for recovery or recycling in any relevant approval period may be issued after 31st January in the year immediately following the end of that relevant approval period.

     7. An evidence note for treatment, recovery or recycling shall not be issued by an operator of an AATF for more than the total amount of WEEE—

(a) received for treatment, recovery or recycling at the AATF in the relevant approval period; and

(b) which is capable of being recovered or recycled no later than the end of the year immediately following the end of the relevant approval period.

     8. An evidence note for treatment, recovery or recycling shall not be issued by an operator of an AATF in respect of any WEEE that has previously been treated by another AATF.

     9. An evidence note shall only be issued by an operator of an AATF to—

(a) an operator of a scheme;

(b) a producer to whom regulation 10(8) applies;

(c) the Secretary of State;

(d) the operator of a designated collection facility; or

(e) an appropriate authority where paragraph 10 applies.

     10. Where an evidence note has not been issued by an operator of an AATF on or before 31st January in any relevant approval period in respect of an amount of WEEE received for treatment, recovery or recycling in the relevant approval period that ended on 31st December in the previous year, an evidence note for that amount shall not be issued by an operator of an AATF to any other person than to the appropriate authority on or before 15th February in that year.

     11. Where WEEE is treated at an AATF and is subsequently exported, it must be exported by an approved exporter.

(a) the operator of the collection facility agrees to comply with the code of practice; and

(b) the collection facility has the capacity and arrangements in place to collect WEEE in compliance with the code of practice.

     3. The operator of the collection facility is willing to work with one or more operator of a scheme to secure the collection and removal of WEEE from a private household that is deposited at the facility during each compliance period.

     4. The operator of the collection facility holds a relevant authorisation.

     5. —(1) Where an operator of a collection facility—

(a) finances the costs of collecting and delivering WEEE from private households to—


(i) an AATF for treatment; or

(ii) an approved exporter for treatment outside the United Kingdom,



during a compliance period; and

(b) possesses an evidence note issued in relation to the activities mentioned in sub-paragraph (a),

he agrees to provide to the appropriate authority information on the total amount of WEEE from private households that he has been responsible for collecting from a designated collection facility and delivering to an AATF for treatment or an approved exporter for treatment outside the United Kingdom during a compliance period.

     6. The information referred to in paragraph 5 shall—

(a) be in writing;

(b) specify the amount in tonnes of WEEE from private households by reference to each of the following categories—


(i) each of the categories listed in Schedule 1 (excluding display equipment, cooling appliances containing refrigerants and gas discharge lamps),

(ii) display equipment,

(iii) cooling appliances containing refrigerants, and

(iv) gas discharge lamps; and



(c) be provided for each quarter period of a relevant compliance period on or before the last day of the month that immediately follows the end of that quarter period.

(a) a statement of the grounds of appeal;

(b) where the appeal relates to refusal to grant approval under regulation 41 or 47, a copy of the appellant's application and any supporting documents;

(c) where the appeal relates to refusal to grant an extension of approval under regulation 48, a copy of the appellant's application and any supporting documents;

(d) where the appeal relates to withdrawal of approval under regulation 44, 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 50, 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 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 authority together with copies of the documents mentioned in sub-paragraph (2).

     2. —(1) Subject to sub-paragraph (2), notice of appeal shall 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 67(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 67(1)(a), make a written report to the appeal body that appointed him under regulation 67(1)(b) which shall include his conclusions and recommendations or his reasons for not making any recommendations.

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

    (2) If the appeal body determines an appeal after a hearing under regulation 67(2), he or they shall provide the appellant with a copy of any report made to it under paragraph 3.

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