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The Waste Batteries and Accumulators Regulations 2009

Type Statutory-Instrument

Publication 2009-04-07

Last updated 2025-02-27

State In force

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Made: 7th April 2009

Laid before Parliament: 14th April 2009

Coming into force in accordance with regulation 1(2)

The Secretary of State makes these Regulations under the powers conferred by section 2(2) of, and paragraph 1A of Schedule 2 to, the European Communities Act 1972 .

The Secretary of State is designated for the purposes of that Act in respect of matters relating to batteries and accumulators.

These Regulations make provision for a purpose mentioned in section 2(2) of the European Communities Act 1972 and it appears to the Secretary of State that it is expedient for certain references to Community instruments to be construed as a reference to those instruments as amended from time to time.

PART 1 — GENERAL

Citation, commencement and extent

1

(1) These Regulations may be cited as the Waste Batteries and Accumulators Regulations 2009.

(2) These Regulations come into force on 5th May 2009 except for—

(a) the following provisions, which come into force on 1st January 2010—

(i) regulation 56 (prohibition on disposing of waste automotive and industrial batteries in a landfill or by incineration); and

(ii) regulation 57 (requirement for approval of battery treatment operators and exporters);

(b) Part 4 (portable batteries: obligations and rights of distributors and other economic operators), which comes into force on 1st February 2010.

(3) Regulation 56 does not extend to Scotland.

Interpretation

2

(1) In these Regulations—

“appliance” means any electrical or electronic equipment, as defined by Article 3(1)(a) of Directive 2012/19/EU of the European Parliament and of the Council on waste electrical and electronic equipment (WEEE) as last amended by Directive (EU) 2018/849, which is fully or partly powered by batteries or is capable of being so;

“appropriate authority” has the meaning given in regulation 3;

“appropriate person” has the meaning given in regulation 5;

“approved battery exporter” means an exporter who has been approved under regulation 59;

“approved battery treatment operator” means a battery treatment operator who has been approved under regulation 59;

“automotive battery” means a battery used for automotive starter, lighting or ignition power;

“batteries evidence note” means an evidence note issued by—an approved battery treatment operator, as evidence of the acceptance of the tonnage of waste portable batteries specified in the note for treatment and recycling, oran approved battery exporter, as evidence of the acceptance of the tonnage of waste portable batteries specified in the note for treatment and recycling outside the United Kingdom;

“battery” means any source of electrical energy generated by direct conversion of chemical energy and consisting of one or more primary battery cells (non-rechargeable) or consisting of one or more secondary battery cells (rechargeable; an accumulator);

“battery compliance scheme” means a battery compliance scheme that has been approved under regulation 49;

“battery pack” means a set of batteries that are connected together or encapsulated within an outer casing so as to form a complete unit that the end-user is not intended to split up or open;

“battery producer registration number” means the registration number allocated to a producer by the appropriate authority under regulation 28 or by the Secretary of State under regulation 45;

“battery treatment operator” means a person who, in the ordinary course of a trade, occupation or profession, carries out the treatment or recycling of waste batteries;

best available techniques” has the meaning given in Article 2(2), as read with Article 2(3), of Decision 2012/134/EU establishing the best available techniques (BAT) conclusions under Directive 2010/75/EU of the European Parliament and of the Council on industrial emissions for the manufacture of glass;

“category of battery” means any of the following types of batteries—automotive batteries;industrial batteries;portable batteries;

“chemistry type” means, except in regulation 35 (take back: industrial batteries)—lead-acid,nickel-cadmium, orany other chemistry;

“compliance period” means—the year 2010 (“the first compliance period”); orany year following the first compliance period;

“company registered in the United Kingdom” means a company registered in any part of the United Kingdom under—the Companies Act 2006 ;the provisions of the Companies Act 1985 or the Companies (Northern Ireland) Order 1986 that remain in force; andany former enactment relating to companies;but a company incorporated outside the United Kingdom which has registered particulars under those Acts is not registered in the United Kingdom for the purposes of these Regulations;

“declaration of compliance” means the declaration of compliance referred to in regulation 18 or 25;

“Department of the Environment” means the Department of the Environment in Northern Ireland;

“disposal” means any of the applicable operations provided for in Annex 1 to the Waste Framework Directive;

“disposal” has the meaning given by Article 3(19) of, and Annex I to, the Waste Framework Directive; “distributor” means a person that provides batteries on a professional basis to an end-user;

“economic operator” means a producer, distributor, collector, recycler or other treatment operator;

“EEA” means the area comprised by the EEA States;

“electric vehicle” means a vehicle which uses electricity as a source of power for propulsion and includes a vehicle which in addition uses, or is capable of using, other sources of power for this purpose;

“end-user of industrial batteries” means—the person who last used the battery; ora waste disposal authority or any person acting on behalf of such an authority in connection with its functions under section 51 of the Environmental Protection Act 1990 ;

“enforcement authority” has the meaning given in regulation 86(5);

“enforcement notice” means a notice served under regulation 87(1);

“enforcement officer” has the meaning given in regulation 88(11);

“exporter” means a person who in the ordinary course of a trade, occupation or profession exports waste batteries for treatment or recycling outside the United Kingdom;

“extension of approval charge” means—subject to regulation 65(1), where the appropriate authority is the Environment Agency , the NRBW or SEPA, the extension of approval charge specified in regulation 65(2)(b) or, if superseded by an extension of approval charge specified for the purpose in a charging scheme made under section 41 of the Environment Act 1995 , that charge;where the appropriate authority is the Department of the Environment, the extension of approval charge specified for the purpose in the Waste Batteries and Accumulators (Charges) Regulations (Northern Ireland) 2009 ;

“final holder of automotive batteries” means—a person who, in the ordinary course of a trade, occupation or profession removes automotive batteries from vehicles;a person who carries on the business of a scrap metal dealer within the meaning given by section 9(1) of the Scrap Metal Dealers Act 1964 ;an authorised treatment facility as defined in regulation 2 of the End-of-Life Vehicles (Producer Responsibility) Regulations 2005 ; ora waste disposal authority or any person acting on behalf of such an authority in connection with its functions under section 51 of the Environmental Protection Act 1990;

“industrial battery” means any battery or battery pack which is—designed exclusively for industrial or professional uses;used as a source of power for propulsion in an electric vehicle;unsealed but is not an automotive battery; orsealed but is not a portable battery;

“NRBW” means the Natural Resources Body for Wales;

“partnership” includes an unincorporated partnership and a Scottish partnership;

“Planning Appeals Commission” means the Planning Appeals Commission within the meaning of Article 110 of the Planning (Northern Ireland) Order 1991 ;

“portable battery” means any battery or battery pack which—is sealed,can be hand-carried by an average natural person without difficulty, andis neither an automotive battery nor an industrial battery;

“premises” includes any land or means of transport;

“producer” means any person in the United Kingdom that, irrespective of the selling technique used, including by means of distance communication..., places batteries, including those incorporated into appliances or vehicles, on the market for the first time in the United Kingdom on a professional basis ...;

“proposed scheme” means a proposed battery compliance scheme that is the subject of an application for approval made under regulation 47;

“quarter period” means a period—commencing on 1st January and ending on 31st March;commencing on 1st April and ending on 30th June;commencing on 1st July and ending on 30th September; orcommencing on 1st October and ending on 31st December;

“recycling” means the reprocessing in a production process of waste materials for their original purpose or for other purposes, but excluding energy recovery;

“relevant approval period” has the meaning given in regulation 61(2);

“relevant compliance period” means a compliance period in respect of which a person has any obligation under regulation 7(2), 19(1), 35(2) or 36(2);

“scheme application charge” means—subject to regulation 55(1), where the appropriate authority is the Environment Agency , the NRBW or SEPA, the application charge specified in regulation 55(2)(a) or, if superseded by an application charge specified for the purpose in a charging scheme made under section 41 of the Environment Act 1995, that charge;where the appropriate authority is the Department of the Environment, the application charge specified for the purpose in the Waste Batteries and Accumulators (Charges) Regulations (Northern Ireland) 2009;

“scheme member” means, in relation to a battery compliance scheme, a producer who is a member of that scheme;

“scheme operator” means the operator of a battery compliance scheme;

“scheme subsistence charge” means—subject to regulation 55(1), where the appropriate authority is the Environment Agency , the NRBW or SEPA, the subsistence charge specified in regulation 55(2)(b) or if superseded by a subsistence charge specified for the purpose in a charging scheme made under section 41 of the Environment Act 1995, that charge;where the appropriate authority is the Department of the Environment, the subsistence charge specified for the purpose in the Waste Batteries and Accumulators (Charges) Regulations (Northern Ireland) 2009;

“SEPA” means the Scottish Environment Protection Agency;

“small producer” means a producer of portable batteries who places 1 tonne or less of portable batteries on the market in the United Kingdom during a year;

“specified site” means a site specified in a notification of a grant of approval of a battery treatment operator under regulation 60(2)(a);

“treatment” means any activity carried out on waste batteries after they have been handed over to a person for sorting, preparation for recycling or preparation for disposal;

“treatment, recycling and export application charge” means—subject to regulation 65(1), where the appropriate authority is the Environment Agency , the NRBW or SEPA, the application charge specified in regulation 65(2)(a) and (3) or, if superseded by an application charge specified for the purpose in a charging scheme made under section 41 of the Environment Act 1995, that charge;where the appropriate authority is the Department of the Environment, the application charge specified for the purpose in the Waste Batteries and Accumulators (Charges) Regulations (Northern Ireland) 2009;

“waste battery” means any battery which is waste within the meaning of Article 3(1) of the Waste Framework Directive;

“waste collection authority” means—in England, Wales and Scotland, an authority mentioned in section 30(3) of the Environmental Protection Act 1990 ; andin Northern Ireland, a district council within the meaning of section 1 of the Local Government Act (Northern Ireland) 1972 ;

“waste disposal authority” means—in England, Wales and Scotland, an authority mentioned in section 30(2) of the Environmental Protection Act 1990 ; andin Northern Ireland, a district council within the meaning of section 1 of the Local Government Act (Northern Ireland) 1972;

“the Waste Framework Directive” means Directive 2008/98/EC of the European Parliament and of the Council on waste, as last amended by Directive (EU) 2018/851, and as read in accordance with regulation 2A;

“writing” includes text that is—transmitted by electronic means,received in legible form, andcapable of being used for subsequent reference; and

“year” means a calendar year commencing on 1st January.

(1A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) In these Regulations—

(a) any requirement to make, keep or retain a record or to maintain any register may be satisfied in electronic form if the text is capable of being produced in a legible documentary form by the person who is subject to the requirement;

(b) any requirement for a signature may be satisfied by an electronic signature incorporated into the document; and

(c) for the purposes of sub-paragraph (b), “electronic signature” means data in electronic form which are attached to or logically associated with other electronic data and which serve as a method of authentication.

Meaning of appropriate authority

3

(1) In these Regulations, “appropriate authority” means—

(a) in relation to—

(i) a small producer,

(ii) a producer, other than a small producer, who is not and has not been a scheme member,

(iii) the operator of a proposed scheme, or

(iv) an exporter,

the authority responsible for the area where that person's registered office, or if that person is not a company registered in the United Kingdom, its principal place of business in the United Kingdom, is located;

(b) in relation to—

(i) a scheme operator, the authority which granted approval under regulation 49 to that operator;

(ii) a producer, other than a small producer, who is or has been a scheme member, the authority which granted approval under regulation 49 to the operator of the battery compliance scheme of which the producer is or was last a scheme member;

(c) in relation to the site of a battery treatment operator, the authority responsible for the area where that site is located.

(2) For the purposes of this regulation, the authority responsible for the area of—

(a) England ... is the Environment Agency;

(aa) Wales is the NRBW;

(b) Scotland is SEPA;

Service of documents

4

(1) Any document required or authorised by these Regulations to be served on a person may be so served—

(a) by delivering it to that person at or by leaving it at—

(i) an address for service provided by that person in accordance with these Regulations; or

(ii) that person's proper address; or

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

(c) where that 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 that person is a limited liability partnership, by serving it in accordance with sub-paragraph (a) or (b) on a member of the partnership;

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

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

(2) For the purposes of this regulation and for the purposes of section 7 of the Interpretation Act 1978 (which relates to the service of documents by post) in its application to this regulation, the proper address of any person on whom a document is to be served in accordance with these Regulations is—

(a) in the case of service on a partnership or a partner or person having control or management of the partnership business, the principal place of business in the United Kingdom of the partnership;

(b) in the case of service on a limited liability partnership or a member of the partnership, the registered office or principal place of business in the United Kingdom of the partnership;

(c) in the case of service on a body corporate or one of its directors or its secretary, the address of the registered office or principal place of business in the United Kingdom of the body; and

(d) in the case of service on an unincorporated body (other than an unincorporated partnership), the address of the principal place of business in the United Kingdom of the body; and

(e) in any other case, the last known address of the person in question.

(3) A document required or authorised by virtue of these Regulations to be served on a person may also be served by transmitting the document by any means of electronic communication to an electronic address (which includes a fax number and an e-mail address) being an address which the person has provided as an address for service under these Regulations, or otherwise held out as, an address at which the person can be contacted for the purposes of receiving such documents.

(4) A document transmitted by any means of electronic communication in accordance with paragraph (3) is, unless the contrary is proved, deemed to be received on the business day after the notice was transmitted over a public electronic communications network.

(5) In this regulation “body corporate” does not include a limited liability partnership or a Scottish partnership.

Signature of documents: meaning of appropriate person

5

Where a provision of these Regulations requires a document or information to be signed by the appropriate person, the “appropriate person” means—

(a) where the person under the obligation to provide the document or information is an individual, that individual;

(b) where the person under the obligation to provide the document or information is a partnership or a limited liability partnership, a partner or member of the partnership respectively;

(c) where the person under the obligation to provide the document or information is a company registered in the United Kingdom, a director or the secretary of that company; and

(d) where the person under the obligation to provide the document or information is a body other than a company registered in the United Kingdom, partnership or limited liability partnership, a person who has control or management of that body.

Application

6

(1) These Regulations apply to all types of batteries, regardless of—

(a) their shape, volume, weight, material composition or use; and

(b) whether or not they are incorporated into an appliance.

(2) These Regulations do not apply to batteries used in—

(a) equipment connected with the protection of essential security interests, such as arms, munitions and war material, and intended for specifically military purposes; or

(b) equipment designed to be sent into space.

(3) In paragraph (2)(a)—

(a) as it applies in England and Wales and Scotland, “essential security interests” means the essential security interests of the United Kingdom;

(b) as it applies in Northern Ireland, “essential security interests” means the essential security interests of the United Kingdom or EEA states.

PART 2 — PRODUCER OBLIGATIONS: PORTABLE BATTERIES

Financing: portable batteries

7

(1) This regulation applies to each producer of portable batteries in respect of each compliance period during which it places such batteries on the market in the United Kingdom.

(2) A producer of portable batteries, or a third party acting on its behalf, must finance the net costs arising from the collection, treatment and recycling of its share, calculated in accordance with regulation 8, of all waste portable batteries collected in the United Kingdom.

(3) A small producer is not under a duty to finance the costs referred to in paragraph (2).

8

(1) The producer's share referred to in regulation 7(2) is an amount in tonnes of waste batteries.

(2) The producer's share is equal to the specified percentage of the average annual quantity in tonnes of portable batteries placed on the market for the first time in the United Kingdom by the producer during the relevant period excluding any portable batteries and accumulators that have left the United Kingdom before being sold to end users.

(3) In this regulation—

“the relevant period” means—in relation to the first compliance period, the year 2009;in relation to the compliance period 2011, the years 2009 and 2010;in relation to each subsequent compliance period, the compliance period and the two preceding years; and

“the specified percentage” means, in respect of a compliance period, the percentage specified in the table.

(4) The table is—

Compliance period	Specified percentage
2010	10%
2011	18%
2012	25%
2013	30%
2014	35%
2015	40%
2016	45%
Any year after 2016	45%

Duty to be a member of a battery compliance scheme

9

(1) A person must be a member of a battery compliance scheme in respect of any compliance period during which that person is a producer of portable batteries.

(2) The duty in paragraph (1) does not apply to a small producer.

(3) A producer who is required by paragraph (1) to be a member of a battery compliance scheme must join a scheme—

(a) on or before 15th October in the year before the relevant compliance period; or

(b) if the producer does not place portable batteries on the market for the first time in the United Kingdom until after that date, within 28 days of the date of such placing on the market.

(4) A producer may not be a member of more than one battery compliance scheme in respect of a compliance period unless the producer was a member of a scheme whose approval was withdrawn under regulation 54 during that compliance period.

Effect of membership of a battery compliance scheme

10

A producer who is a member of a battery compliance scheme is exempt from complying with any obligation under regulation 7(2) or 18.

Information provided to operators of battery compliance schemes

11

(1) A scheme member must provide to the scheme operator on request and in writing the information which that operator will need to rely on for the purposes of—

(a) complying with a demand to produce records under regulation 22(2) (record keeping);

(b) complying with the requirement to provide information under regulation 23 (reporting: batteries placed on the market by scheme members);

(d) making a notification under regulation 29 (notification of changes to registration details).

(2) After providing such information, a producer must inform the scheme operator in writing of any material change to it within 14 days of the change.

(3) A producer providing information under this regulation must ensure that it is signed by the appropriate person.

Record keeping

12

(1) A producer of portable batteries must keep records in writing of—

(a) the total amount in tonnes; and

(b) the amount in tonnes by reference to the chemistry type,

of portable batteries which that producer has placed on the market for the first time in the United Kingdom during 2009 and during any compliance period excluding any portable batteries and accumulators that have left the United Kingdom before being sold to end users.

(2) A record kept under this regulation must be kept for four years from the date it is made and must be made available to the appropriate authority on demand.

(3) The duties in this regulation apply only to records that were in existence on the coming into force of these Regulations and to records made after that date.

Reporting: portable batteries placed on the market by a small producer

13

(1) A small producer must provide to the appropriate authority information on the total amount in tonnes of portable batteries which that producer has placed on the market for the first time in the United Kingdom in—

(a) 2009; and

(b) each compliance period.

(1A) For the purposes of paragraph (1), the total amount of portable batteries placed on the market for the first time in the United Kingdom does not include any portable batteries and accumulators that have left the United Kingdom before being sold to end users.

(2) The information referred to in paragraph (1) must—

(a) be in writing and signed by the appropriate person;

(b) specify the total amount in tonnes and the amount in tonnes by reference to the chemistry type; and

(d) be accompanied by—

(i) subject to regulation 14(1), where the appropriate authority is the Environment Agency , the NRBW or SEPA, the charge specified in regulation 14(2) or, if superseded by a charge specified for the purpose in a charging scheme made under section 41 of the Environment Act 1995 , that charge;

(ii) where the appropriate authority is the Department of the Environment, the charge specified for the purpose in the Waste Batteries and Accumulators (Charges) Regulations (Northern Ireland) 2009 .

(3) The duty in paragraph (1)(a) does not require a small producer to provide information relating to portable batteries placed on the market for the first time in the United Kingdom during 2009 but before the coming into force of these Regulations.

(4) The information referred to in paragraph (1)(a) must be provided on or before 31st January 2010.

(5) The information referred to in paragraph (1)(b) must be provided for each compliance period on or before 31st January of the next year.

Charges in relation to small producers

14

(1) Notwithstanding the power to make a charging scheme under section 41 of the Environment Act 1995, the Environment Agency and SEPA may impose a charge in accordance with paragraph (2) until—

(a) that charge is superseded by such a charging scheme; or

(b) 1st April 2013,

whichever is the earlier.

(2) The charge referred to in paragraph (1) is, annually £30 in respect of any administrative costs incurred in the exercise of functions connected with—

(a) registration of small producers (including amending the register maintained under regulation 76);

(b) monitoring the compliance of small producers with their obligations under this Part;

(d) publishing information in relation to small producers under regulation 81.

Duty to join another scheme on withdrawal of approval

15

(1) This regulation applies to a producer who is notified under regulation 54(4) that approval of the battery compliance scheme of which the producer is a member (“the old scheme”) has been withdrawn.

(2) The producer is no longer a member of the old scheme from the date when the withdrawal takes effect and must, within 42 days of that date—

(a) become a member of another battery compliance scheme; or

(b) notify the appropriate authority of its intention to become a member of a proposed scheme.

(3) If the producer notifies its intention to become a member of a proposed scheme, the producer must become a member of a battery compliance scheme within 28 days of the date of the notification given to that producer under regulation 51(4).

Treatment, recycling, record keeping and reporting after withdrawal of scheme approval

16

(1) This regulation applies to a producer—

(a) to whom regulation 15 applies; and

(b) who has not yet become a member of another battery compliance scheme as required by regulation 15(2) or (3).

(2) The producer must ensure that all identifiable waste portable batteries collected by that producer are delivered to and accepted by—

(a) an approved battery treatment operator for treatment and recycling; or

(b) an approved battery exporter for export for treatment and recycling outside the United Kingdom.

(3) The producer must keep records in writing of—

(a) the total amount in tonnes; and

(b) the amount in tonnes by reference to the chemistry type,

of waste portable batteries that the producer has collected and delivered to an approved battery treatment operator for treatment and recycling or to an approved exporter for treatment and recycling outside the United Kingdom.

(4) A record kept under paragraph (3) must be kept for four years from the date it is made and must be made available to the appropriate authority on demand.

(5) The producer must provide to the appropriate authority information on the total amount in tonnes of portable batteries which that producer has placed on the market for the first time in the United Kingdom in a compliance period excluding any portable batteries and accumulators that have left the United Kingdom before being sold to end users.

(6) The producer must provide to the appropriate authority information on the total amount in tonnes of waste portable batteries that the producer has—

(a) collected; and

(b) delivered to an approved battery treatment operator for treatment and recycling or to an approved battery exporter for treatment and recycling outside the United Kingdom.

(7) The information referred to in paragraphs (5) and (6) must—

(a) be in writing and signed by the appropriate person;

(b) specify the total amount in tonnes and the amount in tonnes by reference to the chemistry type;

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

17

(1) This regulation applies in respect of a producer—

(a) to whom regulation 15 applies; and

(b) who has not yet become a member of another battery compliance scheme as required by regulation 15(2) or (3).

(2) The appropriate authority must—

(a) determine the producer's share in accordance with the method set out in regulation 8; and

(b) notify the producer of that share on or before 31st March in the year following the relevant compliance period.

(3) In making its determination, the appropriate authority must—

(a) take account of any information provided to it under regulation 23; and

(b) make a reasonable estimate of—

(i) the quantity in tonnes of portable batteries placed on the market for the first time in the United Kingdom by the producer during 2009 but before the coming into force of these Regulations; and

(ii) any information which should have been provided under that regulation but was not.

(4) A notification must include the following information—

(a) the compliance period to which it relates;

(b) the producer's share determined by the authority;

(c) details of how that share has been determined in accordance with the method set out in regulation 8, including details of any information which was estimated;

(d) a statement that the producer may make representations in writing to the appropriate authority in respect of the determination within 14 days of the notification.

(5) The appropriate authority must—

(a) consider any representation made under paragraph (4)(d);

(b) confirm or amend the share determined by it;

(c) notify its decision and the reasons for it in writing to the operator of the scheme within 14 days of receiving the representations.

Declaration of compliance by producer

18

(1) This regulation applies to a producer—

(a) to whom regulation 15 applies; and

(b) who has not yet become a member of another battery compliance scheme as required by regulation 15(2) or (3).

(2) The producer must provide—

(a) a declaration of compliance; and

(b) copies of all batteries evidence notes acquired by the producer,

in respect of the relevant compliance period to the appropriate authority on or before 31st May of the next year.

(3) A declaration of compliance must—

(a) include the information and the declaration set out in Part 1 of Schedule 1; and

(b) be in writing and signed by the appropriate person.

PART 3 — OBLIGATIONS OF BATTERY COMPLIANCE SCHEMES AND REGISTRATION OF PRODUCERS OF PORTABLE BATTERIES

Financing: portable batteries

19

(1) A scheme operator must finance—

(a) the net costs for which each scheme member is responsible under regulation 7(2);

(b) the net costs of the collection, treatment and recycling of any waste portable batteries collected by the battery compliance scheme in excess of those required to satisfy sub-paragraph (a);

(2) In this regulation, “scheme information campaign” has the meaning given in paragraph 15(2) of Schedule 3.

20

(1) This regulation applies in respect of each battery compliance scheme.

(2) The appropriate authority must—

(a) determine the aggregate share for which each scheme operator is responsible, being the sum of the shares of all scheme members calculated in accordance with regulation 8;

(b) notify each scheme operator of that share on or before 31st March in the year following the relevant compliance period.

(3) In making its determination, the appropriate authority must—

(a) take account of any information provided to it under regulation 23; and

(b) make a reasonable estimate of—

(i) the quantity in tonnes of portable batteries placed on the market in the United Kingdom by scheme members during 2009 but before the coming into force of these Regulations; and

(ii) any information which should have been provided under that regulation but was not.

(4) A notification must include the following information—

(a) the compliance period to which it relates;

(b) the aggregate share determined by the authority;

(c) details of how that share has been determined in accordance with the method set out in regulation 8 and paragraph (2)(a) of this regulation, including details of any information which was estimated;

(d) a statement that the scheme operator may make representations in writing to the appropriate authority in respect of the determination within 14 days of the notification.

(5) The appropriate authority must—

(a) consider any representation made under paragraph (4)(d);

(b) confirm or amend the aggregate share determined by it;

(c) notify its decision and the reasons for it in writing to the scheme operator within 14 days of receiving the representations.

Treatment and recycling

21

A scheme operator must ensure that all identifiable waste batteries collected by the battery compliance scheme are delivered to and accepted by—

(a) an approved battery treatment operator for treatment and recycling; or

(b) an approved battery exporter for export for treatment and recycling outside the United Kingdom.

Record keeping

22

(1) A scheme operator must keep records in writing of—

(a) the total amount in tonnes; and

(b) the amount in tonnes by reference to the chemistry type,

of waste portable batteries which that scheme has been responsible for collecting and delivering to an approved battery treatment operator for treatment or recycling or to an approved battery exporter for treatment or recycling outside the United Kingdom during a relevant compliance period.

(2) A record kept under this regulation must be kept for four years from the date it is made and must be made available to the appropriate authority on demand.

Reporting: batteries placed on the market by scheme members

23

(1) A scheme operator must provide to the appropriate authority information on the total amount in tonnes of portable batteries that each scheme member has placed on the market for the first time in the United Kingdom in—

(a) 2009; and

(b) each relevant compliance period.

(1A) For the purposes of paragraph (1), the total amount of portable batteries placed on the market for the first time in the United Kingdom does not include any portable batteries and accumulators that have left the United Kingdom before being sold to end users.

(2) The information must—

(a) be in writing and signed by the appropriate person;

(b) specify the total amount in tonnes and the amount in tonnes by reference to the chemistry type; and

(3) The duty in paragraph (1)(a) does not require a scheme operator to provide information relating to portable batteries placed on the market for the first time in the United Kingdom during 2009 but before the coming into force of these Regulations.

(4) The information referred to in paragraph (1)(a) must be provided on or before 31st January 2010.

(5) The information referred to in paragraph (1)(b) must be provided for each quarter period of a relevant compliance period on or before the last day of the month following the end of that quarter period.

Reporting: waste batteries

24

(1) A scheme operator must provide to the appropriate authority information on the total amount in tonnes of waste portable batteries that the operator has been responsible for—

(a) collecting; and

(b) delivering to an approved battery treatment operator for treatment and recycling or to an approved battery exporter for treatment and recycling outside the United Kingdom,

during a relevant compliance period.

(2) The information must—

(a) be in writing and signed by the appropriate person;

(b) specify the total amount in tonnes and the amount in tonnes by reference to the chemistry type; and

(3) The information must be provided for each quarter period of a relevant compliance period on or before the last day of the month following the end of that quarter period.

Declaration of compliance by battery compliance scheme

25

(1) A scheme operator must provide—

(a) a declaration of compliance; and

(b) copies of all batteries evidence notes acquired by it

in respect of the relevant compliance period to the appropriate authority on or before 31st May of the next year.

(2) A declaration of compliance must—

(a) include the information and the declaration set out in Part 2 of Schedule 1; and

(b) be in writing and signed by the appropriate person.

Registration of producers of portable batteries

26

(1) A scheme operator must ensure that each scheme member is registered with the appropriate authority.

(2) Paragraph (1) does not apply to a scheme member who is or was also a producer of industrial or automotive batteries and is registered with the Secretary of State under regulation 45.

(3) A scheme operator must make an application for registration of scheme members to the appropriate authority—

(a) in respect of any producer who is a scheme member on 15th October 2009 on or before 31st October 2009; or

(b) in respect of any producer who—

(i) becomes a scheme member after 15th October 2009; and

(ii) whose details do not appear on a register kept under regulation 76,

within 28 days of the date when that producer becomes a scheme member.

(4) A small producer must make an application to register with the appropriate authority within 28 days of the date that producer first places portable batteries on the market for the first time in the United Kingdom after 15th October 2009.

(5) Paragraph (4) does not apply to a small producer who is or was also a producer of industrial or automotive batteries and is registered with the Secretary of State under regulation 45.

Form of an application to register scheme members or a small producer

27

A person making an application to register scheme members or a small producer under regulation 26 must ensure that it—

(a) is in writing, is signed by the appropriate person and is in the format published by the appropriate authority under regulation 76;

(b) contains in relation to each producer who is a subject of the application the information set out in Schedule 2;

(c) in the case of an application to register scheme members, is accompanied by evidence that the battery compliance scheme has been approved under regulation 49.

Duties of the appropriate authority in relation to applications to register producers of portable batteries

28

(1) The appropriate authority must grant an application for registration where—

(a) the applicant has complied with regulation 27;

(b) in the case of an application to register a scheme member, the scheme is approved under regulation 49; and

(2) Otherwise the appropriate authority must refuse the application.

(3) Where an application for registration is granted the appropriate authority must, by the date mentioned in paragraph (5) confirm to the applicant in writing—

(a) either (as the case may be)—

(i) that scheme members specified in the confirmation are registered with it; or

(ii) that the small producer is registered with it; and

(b) subject to paragraph (4), the new battery producer registration number it has allocated to each of those scheme members or to the small producer (as the case may be).

(4) If a producer who is the subject of the confirmation appeared on a register maintained under regulation 76 during any of the five compliance periods preceding the compliance period during which the application for registration is made, the appropriate authority must, instead of allocating a new battery producer registration number, allocate that producer's most recently allocated battery producer registration number.

(5) The date referred to in paragraph (3) is—

(a) in respect of an application made on or before 31st October 2009, on or before 30th November 2009;

(b) otherwise, within 28 days of receipt of the application.

Notification of changes to registration details

29

(1) If there is a change to the details entered in respect of a producer on a register maintained under regulation 76—

(a) the operator of the battery compliance scheme of which the producer is a scheme member at the time of that change; or

(b) the small producer,

as the case may be, must notify the appropriate authority of it within one month of the change of circumstance.

(2) If a scheme member or small producer ceases to be a producer—

(a) the scheme operator at the time of that change of circumstance; or

(b) the small producer,

as the case may be, must notify the appropriate authority of it within one month of the change.

(3) A notification under this regulation must—

(a) be made in writing and signed by the appropriate person;

(b) contain, in addition to notification of the change of details or circumstance, the producer's name and battery producer registration number;

(d) where the notification is made by a scheme operator, be accompanied by evidence that the battery compliance scheme has been approved under regulation 49.

Declaration of battery producer registration number

30

A producer who is registered with an appropriate authority under regulation 26 must declare its battery producer registration number to any person to whom that producer intends to sell, sells or otherwise supplies batteries in the United Kingdom.

PART 4 — PORTABLE BATTERIES: OBLIGATIONS AND RIGHTS OF DISTRIBUTORS AND OTHER ECONOMIC OPERATORS

Take back

31

(1) A distributor of portable batteries must, at any place it supplies such batteries to end-users,—

(a) take back waste portable batteries at no charge; and

(b) inform end-users about the possibility of such take back at the distributor's sales points.

(2) A distributor may not—

(a) make any charge to end-users; or

(b) oblige end-users to buy a new battery,

when accepting waste portable batteries under paragraph (1)(a).

(3) The duty in paragraph (1) does not apply where portable batteries are supplied by a small distributor.

(4) A distributor must not dispose of, or arrange for the disposal of, waste portable batteries accepted under paragraph (1)(a).

(5) In this regulation “small distributor” means a distributor who supplies less than 32 kg of portable batteries to end-users in a year.

Distributor's right to request collection of waste batteries

32

(1) A distributor may request any battery compliance scheme to collect from it waste portable batteries it has taken back under regulation 31.

(2) A scheme operator who receives a request under paragraph (1) must—

(a) arrange with the distributor within 21 days of the request for the collection of the waste portable batteries;

(b) ensure the collection of those batteries without charge to the distributor and within a reasonable time.

(3) A distributor who has requested collection of waste portable batteries under paragraph (1) may not make a charge for the collection of those waste batteries under paragraph (2).

Right of economic operators to participate in collection, treatment and recycling schemes

33

(1) Economic operators and waste collection authorities may take waste portable batteries to any facility provided by a battery compliance scheme for the purpose of receiving such batteries from such persons.

(2) The scheme operator must accept waste portable batteries at such a facility without charge.

Prohibition on showing the costs of collection, treatment and recycling of portable batteries

34

A distributor must not show separately the costs of the collection, treatment and recycling of waste portable batteries to an end-user at the time of sale of new portable batteries.

PART 5 — PRODUCER OBLIGATIONS: INDUSTRIAL AND AUTOMOTIVE BATTERIES

Take back: industrial batteries

35

(1) This regulation applies to a producer of industrial batteries in respect of each compliance period during which it places such batteries on the market for the first time in the United Kingdom.

(2) The producer must take back waste industrial batteries free of charge and within a reasonable time from an end-user of industrial batteries when requested by that end-user during the compliance period—

(a) if the end-user is supplied by the producer with new industrial batteries during the compliance period;

(b) if—

(i) the end-user is not able for any reason to return waste industrial batteries to another producer under sub-paragraph (a); and

(ii) the waste industrial batteries which are the subject of the request are of the same chemistry type as the new industrial batteries that the producer placed on the market for the first time in the United Kingdom in the compliance period or any of the three preceding years;

(c) if the end-user is not able for any reason to return waste industrial batteries to another producer under sub-paragraphs (a) and (b).

(3) The producer must publish details of how an end-user of industrial batteries should request the take back of waste industrial batteries by that producer under paragraph (2)(b) and (c)—

(a) on or before 1st December in the year preceding the compliance period; or

(b) if the producer does not place industrial batteries on the market for the first time in the United Kingdom until after that date, within 28 days of the date of such placing on the market.

(4) The details required to be published under paragraph (3) must—

(a) be published in such a manner as is reasonably likely to bring them to the notice of end-users of industrial batteries; and

(b) give details of the chemistry type of the industrial batteries placed or intended to be placed on the market by the producer during the compliance period and the three preceding years.

(5) Where the compliance period in respect of which the producer has obligations under paragraph (2) is a year prior to 2012, the period of four years referred to in paragraphs (2)(b)(ii) and (4)(b) is replaced by the following—

(a) where the relevant compliance period is the year 2010, that compliance period and the year 2009; and

(b) where the relevant compliance period is the year 2011, that compliance period and the years 2009 and 2010.

(6) In this regulation “chemistry type” in relation to a battery, means the type of the battery by reference to its main chemical constituents, for example, lead, nickel-cadmium, nickel-metal hydride or lithium.

Collection: automotive batteries

36

(1) This regulation applies to a producer of automotive batteries in respect of each compliance period during which the producer places such batteries on the market for the first time in the United Kingdom.

(2) The producer must collect waste automotive batteries free of charge and within a reasonable time from a final holder of automotive batteries when requested by that final holder during the compliance period.

(3) The producer must publish details of how final holders of automotive batteries should request the collection of waste automotive batteries from that producer under paragraph (2)—

(a) on or before 1st December in the year preceding the compliance period; or

(b) if the producer does not place automotive batteries on the market for the first time in the United Kingdom until after that date, within 28 days of the date of such placing on the market.

(4) The details required to be published under paragraph (3) must be published in such a manner as is reasonably likely to bring them to the notice of final holders of automotive batteries.

Alternative financing agreements

37

(1) Nothing in these Regulations prevents a producer of industrial or automotive batteries from concluding an agreement under which the parties to the agreement make arrangements between themselves to finance the net costs of the collection, treatment and recycling of waste industrial or automotive batteries which differ from the arrangements provided for under these Regulations.

(2) Any such agreement entered into by a producer of industrial or automotive batteries is without prejudice to the obligations of that producer under these Regulations.

Treatment and recycling

38

A producer of industrial or automotive batteries must ensure that all identifiable waste batteries taken back or collected by that producer under this Part are delivered to and accepted by—

(a) an approved battery treatment operator for treatment and recycling; or

(b) an approved battery exporter for export for treatment and recycling outside the United Kingdom.

Record keeping

39

(1) A producer of industrial or automotive batteries must keep records in writing of—

(a) the amount in tonnes of—

(i) industrial batteries; and

(ii) automotive batteries,

which that producer has placed on the market for the first time in the United Kingdom during 2009 and any relevant compliance period; and

(b) the amount in tonnes of—

(i) waste industrial batteries; and

(ii) waste automotive batteries,

which that producer has been responsible for taking back or collecting and delivering to an approved battery treatment operator for treatment or recycling or to an approved battery exporter for treatment or recycling outside the United Kingdom during a relevant compliance period.

(2) A record kept under this regulation must specify the amount in tonnes of batteries by reference to—

(a) each category of battery; and

(b) the chemistry type for each category of battery.

(3) A record kept under this regulation must be kept for four years from the date on which it is made and must be made available to the Secretary of State on demand.

(4) The duties in this regulation apply only to records that were in existence on the coming into force of these Regulations and to records made after that date.

Reporting: industrial and automotive batteries placed on the market

40

(1) A producer of industrial or automotive batteries must provide to the Secretary of State information on the total amount in tonnes of industrial or automotive batteries which that producer has placed on the market for the first time in the United Kingdom in—

(a) 2009; and

(b) each relevant compliance period.

(2) The information referred to in paragraph (1) must—

(a) be in writing and signed by the appropriate person;

(b) specify the amount in tonnes of the industrial and automotive batteries by reference to—

(i) each category of battery; and

(ii) the chemistry type for each category of battery; and

(3) The duty in paragraph (1)(a) does not require a producer to provide information relating to batteries placed on the market for the first time on the United Kingdom during 2009 but before the coming into force of these Regulations.

(4) The information referred to in paragraph (1)(a) must be provided on or before 31st March 2010.

(5) The information referred to in paragraph (1)(b) must be provided for each compliance period on or before 31st March of the next year.

Reporting: waste batteries

41

(1) A producer of industrial or automotive batteries must provide to the Secretary of State information on the total amount in tonnes of waste industrial and automotive batteries which that producer has been responsible for—

(a) taking back or collecting; and

(b) delivering to an approved battery treatment operator for treatment and recycling or an approved battery exporter for treatment and recycling outside the United Kingdom,

during each relevant compliance period.

(2) The information referred to in paragraph (1) must—

(a) be in writing and signed by the appropriate person;

(b) specify the amount in tonnes of waste industrial and automotive batteries—

(i) taken back or collected, and

(ii) delivered to an approved battery treatment operator or an approved exporter; and

(3) The amount in tonnes of waste batteries referred to paragraph (2)(b) must be given by reference to—

(a) each category of battery; and

(b) the chemistry type for each category of battery.

(4) The information referred to in paragraph (1) must be provided for each compliance period on or before 31st March of the next year.

Registration of producers: industrial batteries or automotive batteries

42

With effect from 16th October 2009 a producer who places industrial or automotive batteries on the market for the first time in the United Kingdom must be registered with the Secretary of State unless—

(a) the producer's details already appear on a register kept under regulation 76;

(b) the producer is a member of a battery compliance scheme in relation to portable batteries and the scheme operator is under an obligation to ensure the producer is registered with an appropriate authority; or

(c) the producer is also a small producer and is under an obligation to register with an appropriate authority under regulation 26(4).

Application to register

43

(1) A producer who is required by regulation 42 to be registered must make an application for registration within 28 days of the first date on which that producer places industrial or automotive batteries on the market for the first time in the United Kingdom after 15th October 2009.

(2) The application to the Secretary of State to register must—

(a) be in writing and signed by the appropriate person;

(b) be in the format published by the Secretary of State under regulation 74; and

Notification of changes to registration details

44

(1) If there is a change to the details entered in respect of a producer of industrial or automotive batteries on a register maintained under regulation 76, the producer must notify the Secretary of State of it within one month of the change.

(2) If a producer of industrial or automotive batteries ceases to be a producer, the former producer must notify the Secretary of State of that change of circumstance within one month of the change.

(3) A notification under this regulation must—

(a) be made in writing and signed by the appropriate person;

(b) contain, in addition to notification of the change of details or circumstance, the name and battery producer registration number of the producer or former producer;

(4) This regulation does not apply to a producer of industrial or automotive batteries who is also a producer of portable batteries.

Duties of the Secretary of State in relation to registration of producers

45

(1) The Secretary of State must grant an application for registration where the applicant—

(a) has complied with the requirements of regulation 43;

(b) does not appear on a register maintained under regulation 76; and

(c) has not stated in the information submitted under regulation 43(2)(c) that the applicant is a member of a battery compliance scheme.

(2) Otherwise the Secretary of State must refuse the application.

(3) Where an application for registration is granted, the Secretary of State must, within 28 days of receipt of the application—

(a) confirm to the applicant in writing that the applicant is registered with the Secretary of State; and

(b) subject to paragraph (4), allocate a new battery producer registration number to the applicant and confirm it in writing.

(4) If the applicant appeared on a register maintained under regulation 76 during any of the five compliance periods preceding the compliance period during which the application for registration is made, the Secretary of State must, instead of allocating a new battery producer registration number, allocate the applicant's most recently allocated battery producer registration number.

Declaration of battery producer registration number

46

A producer who is registered with the Secretary of State under regulation 45 must declare its battery producer registration number to any person to whom that producer intends to sell, sells or otherwise supplies batteries in the United Kingdom.

PART 6 — APPROVAL OF BATTERY COMPLIANCE SCHEMES

Application for approval of a proposed battery compliance scheme

47

(1) Subject to paragraph (3), an application for approval of a proposed battery compliance scheme must be made to the appropriate authority by the operator of the proposed scheme during the period specified in paragraph (2).

(2) The period referred to in paragraph (1) is, where the application is for approval in relation to—

(a) the first compliance period, the period ending on or before 31st May 2009;

(b) any other compliance period, the period commencing on 15th April and ending with 15th May in the year before the compliance period.

(3) An applicant may make an application for approval outside the period mentioned in paragraph (2) if a producer has notified the appropriate authority under regulation 15(2)(b) of its intention to join that proposed scheme.

(4) An applicant who makes an application for approval in reliance on paragraph (3) must do so within 28 days of the date of the notice served on the producer in question under regulation 54(4).

(5) An application for approval of a proposed scheme must—

(a) be in writing and signed by the appropriate person;

(b) include the information set out in Part 1 of Schedule 3, which must be submitted in the format published by the appropriate authority under regulation 79;

Further information in respect of an application

48

(1) The appropriate authority may, if it considers that it requires further information to determine an application, serve a notice on the applicant specifying—

(a) the information required; and

(b) the date by which it is required (being the date mentioned in paragraph (3)).

(2) The appropriate authority must serve any notice under paragraph (1)—

(a) in respect of an application made under regulation 47(1)—

(i) in respect of the first compliance period, on or before 30th June 2009;

(ii) in respect of any other compliance period, on or before 15th June of the year before that compliance period;

(b) in the case of an application made in reliance on regulation 47(3), within 28 days of the date of receipt of the application.

(3) The applicant must provide the information not later than—

(a) 31st August in the year before the compliance period in respect of which the approval is to take effect; or

(b) in the case of an application made in reliance on regulation 47(3), within 42 days of the date of the notice.

Approval of proposed schemes

49

(1) The appropriate authority must grant approval of a proposed scheme if—

(a) the applicant has complied with regulation 47(5);

(b) where the appropriate authority has served a notice under regulation 48(1) requiring further information, the applicant has complied with regulation 48(3); and

(c) the authority is satisfied that the information provided in accordance with regulation 47 demonstrates that the criteria for approval of a proposed scheme set out in Part 3 of Schedule 3 are met.

(2) Otherwise the appropriate authority must refuse approval of the proposed scheme.

(3) Where approval of a proposed scheme is refused under this regulation the appropriate authority is not under a duty to refund the whole or any part of the scheme application charge.

Notification of determination

50

(1) The appropriate authority must notify an applicant in writing of its determination to grant or refuse approval of a proposed scheme under regulation 49—

(a) in the case of an application made under regulation 47(1), on or before 30th September of the year before the compliance period in respect of which approval is to take effect;

(b) in the case of an application made in reliance on regulation 47(3) within 4 months of the date of receipt of the application.

(2) A notification that the appropriate authority has made a determination to refuse approval must—

(a) state the reason for the decision; and

(b) inform the applicant of the right of appeal under Part 11.

(3) If—

(a) an applicant appeals against a refusal of approval under regulation 49; and

(b) the outcome of that appeal requires the appropriate authority to grant approval,

the authority must within 28 days of the date of the determination of the appeal notify the applicant of its determination to grant approval.

Effect and consequences of approval

51

(1) Approval of a proposed scheme—

(a) takes effect on the date of the determination to grant it; and

(b) remains in force unless that approval is withdrawn under regulation 54.

(2) The appropriate authority must publish the following details of a battery compliance scheme—

(a) the name of the scheme; and

(b) the name and address of the scheme operator.

(3) Paragraph (4) applies if an appropriate authority grants or refuses approval of a proposed scheme further to an application made in reliance on regulation 47(3).

(4) If this paragraph applies, the appropriate authority must notify each producer who served a notice under regulation 15(2)(b) in respect of the proposed scheme in writing of that determination within 14 days making it.

Conditions of approval

52

(1) Approval of a battery compliance scheme is subject to the following conditions.

(2) The scheme operator must—

(a) comply with its obligations under Part 3;

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d) provide any information in relation to its obligations under Part 3 reasonably requested by the appropriate authority;

(e) inform the appropriate authority in writing of—

(i) any change in the person who is the scheme operator and, in the case where the scheme operator is a partnership or limited liability partnership, any change of partners;

(ii) any material change in—

(aa) the information provided under regulation 47(5)(b)(i);

(bb) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iii) a conviction of the scheme operator for an offence under—

(aa) regulation 89(2);

(bb) regulation 73(3) or (4) of the Waste Electrical and Electronic Equipment Regulations 2006 ; or

(cc) the Producer Responsibility Obligations (Packaging Waste) Regulations 2007 or the Producer Responsibility Obligations (Packaging and Packaging Waste) Regulations 2024, committed in the scheme operator's capacity as the operator of a scheme under those Regulations,

within 28 days of any such change or conviction;

(f) in respect of each compliance period other than the first compliance period, after 15th October and on or before 31st October in the year before the compliance period, inform the appropriate authority of the names of its scheme members and their battery producer registration numbers;

(g) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(h) pay the scheme subsistence charge to the appropriate authority on receipt of an invoice issued under regulation 79(2);

(i) make records available and provide information to the appropriate authority in compliance with regulations 22(2), 23 and 24.

(3) The scheme operator and the battery compliance scheme must continue to meet the criteria for approval of a proposed scheme set out in Part 3 of Schedule 3 (reading that Part as if references to the operator of a proposed scheme were to the scheme operator and references to a proposed scheme were to the battery compliance scheme).

Annual confirmation of approval of a battery compliance scheme

53

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Withdrawal of approval of a battery compliance scheme

54

(1) The appropriate authority may withdraw approval of a battery compliance scheme where it is satisfied that—

(a) there is a breach of any condition in regulation 52; or

(b) the scheme operator knowingly or recklessly supplied false information in connection with—

(i) an application for registration made under regulation 26(3);

(ii) a notification made under regulation 29;

(iii) the application for approval of the battery compliance scheme made under regulation 47; or

(iv) compliance with any condition in regulation 52.

(2) Before the withdrawal of approval of a battery compliance scheme under paragraph (1) the appropriate authority must serve a notification in writing on the scheme operator which must state—

(a) that approval of the scheme is to be withdrawn;

(b) the reasons for the decision;

(d) the date when the withdrawal of approval will take effect, which must not be earlier than the expiration of the time limit for an appeal against the notification.

(3) If an appeal against the decision to withdraw approval of the scheme is made and refused, the decision does not take effect on the date stated in the notification under paragraph (2) but instead takes effect at the end of the day on which the appeal is refused.

(4) If—

(a) a notification has been served in accordance with paragraph (2); and

(b) either—

(i) the time limit for an appeal has expired and no appeal against that notification has been made; or

(ii) an appeal has been made and refused,

the appropriate authority must within 14 days of the date of expiry or refusal (as the case may be) serve a notification in writing on each scheme member containing the information specified in paragraph (5).

(5) The information referred to in paragraph (4) is—

(a) a statement that approval of the scheme has been withdrawn and the date when the withdrawal takes effect;

(b) the reasons for the withdrawal;

(6) Where approval is withdrawn under this regulation the appropriate authority is not under a duty to refund the whole or any part of the scheme application charge or the scheme subsistence charge.

Charges

55

(1) Notwithstanding the power to make a charging scheme under section 41 of the Environment Act 1995 , the Environment Agency and SEPA may impose charges in accordance with paragraph (2) until—

(a) those charges are superseded by such a charging scheme; or

(b) 1st April 2013,

whichever is the earlier.

(2) The charges referred to in paragraph (1) are—

(a) an application charge (which is required to be paid under regulation 47(5)(c)) of £17,000 for each battery compliance scheme;

(b) annually, a subsistence charge (which is required to be paid under regulation 52(2)(h)) for each battery compliance scheme of—

(i) £118,000; and

(ii) £680 for each scheme member.

PART 7 — DISPOSAL, TREATMENT AND RECYCLING

Prohibition on disposing of waste automotive and industrial batteries in a landfill or by incineration

56

(1) No person may dispose of waste industrial or automotive batteries in a landfill or by incineration.

(2) Paragraph (1) does not affect the disposal of residues of any batteries that have undergone both treatment and recycling in accordance with these Regulations.

(3) In this regulation, “landfill” has the meaning given in Article 2(g) of the Landfill Directive but does not include any operation excluded from the scope of that Directive by Article 3(2).

(4) In paragraph (3), “the Landfill Directive” means Council Directive 1999/31/EC on the landfill of waste, as last amended by Directive (EU) 2018/850 , and as read in accordance with regulation 56A.

Requirement for approval of battery treatment operators and exporters

57

(1) No person may issue a batteries evidence note in relation to the treatment and recycling of waste portable batteries unless—

(a) that person is at the time of issue an approved battery treatment operator;

(b) the waste portable batteries have been accepted at a specified site by that operator for treatment and recycling; and

(c) the operator is approved to issue such evidence notes in respect of waste portable batteries accepted at that site for treatment and recycling.

(2) No person may issue a batteries evidence note in relation to waste portable batteries exported for treatment or recycling unless that person is at the time of issue an approved battery exporter who is approved to issue such evidence notes.

(3) No person may treat or recycle waste industrial or automotive batteries unless—

(a) that person is at the time of the treatment or recycling an approved battery treatment operator;

(b) the waste industrial or automotive batteries have been accepted at a specified site by that operator for treatment and recycling; and

(c) the operator is approved to treat and recycle waste industrial or automotive batteries accepted at that site for treatment and recycling.

(4) Paragraph (3) does not apply where the waste industrial or automotive batteries have previously been accepted by an approved battery treatment operator for treatment and recycling at a specified site approved for those purposes and the person carrying out the treatment or recycling is doing so for or on behalf of that operator.

(5) No person may export waste industrial or automotive batteries for treatment or recycling unless that person is at the time of export an approved battery exporter.

Application for approval

58

An application for approval of a battery treatment operator in respect of a site or for approval of an exporter under this Part must be made to the appropriate authority and must—

(a) be in writing and signed by the appropriate person;

(b) contain the information set out in Part 1 of Schedule 4, which must be submitted in the format published by the appropriate authority under regulation 80; and

Decision in relation to application

59

(1) An application for approval made—

(a) by a battery treatment operator to—

(i) issue batteries evidence notes in respect of waste portable batteries accepted at a site for treatment and recycling; or

(ii) treat or recycle waste industrial or automotive batteries accepted at a site for treatment and recycling; or

(b) by an exporter to—

(i) issue batteries evidence notes in respect of waste portable batteries that are exported for treatment or recycling in one or more specified treatment or recycling operations at a named site outside the United Kingdom, or a combination of such operations, or

(ii) to export waste industrial or automotive batteries for such purposes,

must be granted where the appropriate authority is satisfied as to the matters set out in paragraph (2) and must otherwise be refused.

(2) The matters referred to in paragraph (1) are—

(a) for the purposes of paragraph (1)(a)—

(i) that the applicant is a battery treatment operator;

(ii) that the applicant will comply with the conditions referred to in regulation 63(1); and

(iii) that the application has been made in accordance with regulation 58; and

(b) for the purposes of paragraph (1)(b)—

(i) that the applicant is an exporter;

(ii) where the application for approval relates to one or more treatment or recycling sites outside the EEA, that the minimum treatment requirements set out in paragraph 10(3)(b) of Schedule 4 and the requirements as to minimum recycling efficiencies set out in paragraph 10(3)(c) of that Schedule will be met;

(iii) that the applicant will comply with the conditions referred to in regulation 63(2); and

(iv) that the application has been made in accordance with regulation 58.

(3) Where approval is refused under this regulation, the appropriate authority is not under a duty to refund the whole or any part of the treatment, recycling and export application charge.

Notification of decision

60

(1) The appropriate authority must notify the applicant in writing of its decision under regulation 59 no later than 12 weeks after the application was made.

(2) A notification that the appropriate authority has decided to grant approval must state—

(a) in the case of the approval of a battery treatment operator—

(i) whether the operator is approved to issue batteries evidence notes in respect of waste portable batteries accepted by that operator for treatment and recycling and, if so, must specify the site to which the approval relates; and

(ii) whether the operator is approved to treat and recycle waste industrial and automotive batteries accepted by that operator for treatment and recycling and, if so, must specify the site to which the approval relates; and

(b) in the case of the approval of a battery exporter—

(i) whether the exporter is approved to issue batteries evidence notes in respect of waste portable batteries that are exported for treatment or recycling outside the United Kingdom, and, if so, must specify the site to which the approval relates; and

(ii) whether the exporter is approved to export waste industrial or automotive batteries for such purposes, and, if so, must specify the site to which the approval relates.

(3) A notification that the appropriate authority has decided to refuse approval must state—

(a) the reason for the decision; and

(b) the right of appeal under Part 11.

(4) If—

(a) an applicant appeals against a decision to refuse approval; and

(b) that appeal is successful,

the appropriate authority must within 28 days of the date of the determination of the appeal notify the applicant of its decision to grant approval under regulation 59.

Effect and consequences of a grant of approval

61

(1) Where approval is granted under regulation 59 it will take effect—

(a) where the application is made in the year before that for which the applicant has applied to be approved—

(i) from 1st January in the year for which the applicant has applied to be approved where the decision to grant approval was made before that date; and

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

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

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

(2) In these Regulations, “relevant approval period” means the period for which a grant of approval that has been made under this regulation remains in force.

Application for extension of approval of an exporter to an additional site

62

(1) An application made by a battery exporter to extend an approval granted under regulation 59 to include an additional site to which that exporter wants to export waste batteries for treatment or recycling must be made to the appropriate authority and must—

(a) be in writing and signed by the appropriate person;

(b) contain the information set out in paragraph 8 of Schedule 4, which must be submitted in the format published by the appropriate authority under regulation 80; and

(2) An application to extend an exporter's approval to include an additional site located within the EEA must be granted by the appropriate authority where it is satisfied that the application has been made in accordance with paragraph (1), and must otherwise be refused.

(3) An application to extend an exporter's approval to include an additional site located outside the EEA must be granted by the appropriate authority where it is satisfied that—

(a) that site will meet the minimum treatment requirements set out in paragraph 10(3)(b) of Schedule 4 and the requirements as to minimum recycling efficiencies set out in paragraph 10(3)(c) of that Schedule; and

(b) the application was made in accordance with paragraph (1),

and must otherwise be refused.

(4) The appropriate authority must notify the applicant in writing of a decision made under paragraph (2) or (3) no later than 12 weeks after the application was made and, if the decision is a decision to refuse approval, such a notification must state—

(a) the reasons for the decision; and

(b) the right of appeal under Part 11.

(5) Subject to regulation 64, where an application is granted under paragraph (2) or (3), it takes effect from the date of that decision or the date that the applicant's grant of approval under regulation 59 took effect, whichever is the later date, and remains in force until the date that the applicant's approval granted under regulation 59 expires.

(6) Where extension of approval is refused under this regulation the appropriate authority is not under a duty to refund the whole or any part of the extension of approval charge.

Conditions of approval

63

(1) An approved battery treatment operator must comply with the conditions set out in—

(a) Part 2 of Schedule 4; and

(b) if approved to issue batteries evidence notes in respect of waste portable batteries accepted at a specified site, Part 3 of Schedule 4.

(2) An approved battery exporter must comply with the conditions set out in—

(a) Part 2 of Schedule 4; and

(b) if approved to issue batteries evidence notes in respect of the treatment and recycling of portable batteries outside the United Kingdom, Part 4 of Schedule 4.

Suspension and cancellation of approval

64

(1) The appropriate authority may suspend or cancel the approval of a battery treatment operator or exporter where it appears to it that the person who is approved has failed, or is likely to fail, to comply with any of the conditions specified in Part 2 of Schedule 4.

(2) The appropriate authority may suspend or cancel the approval of a battery treatment operator or exporter to the extent that it relates to the issuing of batteries evidence notes where it appears to it that the person who is approved has failed, or is likely to fail to comply with any of the conditions in—

(a) in the case of an approved battery treatment operator, Part 3 of Schedule 4;

(b) in the case of an approved battery exporter, Part 4 of Schedule 4.

(3) Where—

(a) an approved battery treatment operator is approved in relation to two or more specified sites; or

(b) an approved battery exporter is approved in relation to two or more sites outside the United Kingdom,

the appropriate authority may limit a suspension or cancellation under paragraph (1) or (2) to one or more of those sites.

(4) Where the appropriate authority is no longer satisfied that the minimum treatment requirements set out in paragraph 10(3)(b) of Schedule 4 or that the requirements as to minimum recycling efficiencies set out in paragraph 10(3)(c) of that Schedule are met in relation to waste batteries exported to a site outside the EEA, the appropriate authority must cancel the approval of an exporter to the extent that it relates to that site.

(5) Where the appropriate authority suspends or cancels a grant of approval under paragraph (1) or (2) or cancels the approval of an exporter to the extent that it relates to a site under paragraph (4) it must serve on the battery treatment operator or exporter concerned a notification in writing stating—

(a) its decision to suspend or cancel (as the case may be) the grant of approval;

(b) the extent of the suspension or cancellation (as the case may be);

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The Waste Batteries and Accumulators Regulations 2009

PART 1 — GENERAL

Citation, commencement and extent

1

Interpretation

2

Meaning of appropriate authority

3

Service of documents

4

Signature of documents: meaning of appropriate person

5

Application

6

PART 2 — PRODUCER OBLIGATIONS: PORTABLE BATTERIES

Financing: portable batteries

7

Calculation of a producer's share

8

Duty to be a member of a battery compliance scheme

9

Effect of membership of a battery compliance scheme

10

Information provided to operators of battery compliance schemes

11

Record keeping

12

Reporting: portable batteries placed on the market by a small producer

13

Charges in relation to small producers

14

Duty to join another scheme on withdrawal of approval

15

Treatment, recycling, record keeping and reporting after withdrawal of scheme approval

16

Duty of the appropriate authority to determine and notify producer's share

17

Declaration of compliance by producer

18

PART 3 — OBLIGATIONS OF BATTERY COMPLIANCE SCHEMES AND REGISTRATION OF PRODUCERS OF PORTABLE BATTERIES

Financing: portable batteries

19

Duty of the appropriate authority to determine and notify scheme operator's aggregate share of costs

20

Treatment and recycling

21

Record keeping

22

Reporting: batteries placed on the market by scheme members

23

Reporting: waste batteries

24

Declaration of compliance by battery compliance scheme

25

Registration of producers of portable batteries

26

Form of an application to register scheme members or a small producer

27

Duties of the appropriate authority in relation to applications to register producers of portable batteries

28

Notification of changes to registration details

29

Declaration of battery producer registration number

30

PART 4 — PORTABLE BATTERIES: OBLIGATIONS AND RIGHTS OF DISTRIBUTORS AND OTHER ECONOMIC OPERATORS

Take back

31

Distributor's right to request collection of waste batteries

32

Right of economic operators to participate in collection, treatment and recycling schemes

33

Prohibition on showing the costs of collection, treatment and recycling of portable batteries

34

PART 5 — PRODUCER OBLIGATIONS: INDUSTRIAL AND AUTOMOTIVE BATTERIES

Take back: industrial batteries

35

Collection: automotive batteries

36

Alternative financing agreements

37