The Waste Batteries and Accumulators Regulations 2009

• Citation: S.I. 2009/890
• Sections: 175

Section 1 Citation, commencement and extent

(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.

Section 2 Interpretation

(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, or

an 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, or

any other chemistry;

“ compliance period ” means—

the year 2010 (“the first compliance period”); or

any 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; and

any 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; or

a 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 ; or

a 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; or

sealed 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, and

is 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; or

commencing 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 ; and

in 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 ; and

in 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, and

capable 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.

Section 2A Modifications to the Waste Framework Directive

(1) For the purposes of these Regulations, the Waste Framework Directive is to be read as follows.

(3) Article 5 is to be read as if—

(a) in paragraph 1, “Member States shall take appropriate measures to ensure that” were omitted;

(b) after paragraph 1 there were inserted—

(1A) Any decision as to whether a substance or object is a by-product must be made—

(a) in accordance with any regulations setting out detailed criteria on the application of the conditions in paragraph 1 to specific substances or objects; and

(b) having regard to any guidance published by the appropriate authority or the appropriate agency for the purposes of this Article.

(c) paragraphs 2 and 3 were omitted.

(4) Article 6 is to be read as if—

(a) in paragraph 1, “Member States shall take appropriate measures to ensure that” were omitted;

(b) after paragraph 1 there were inserted—

(1A) Any decision as to whether a substance or object has ceased to be waste must be made—

(a) in accordance with any regulations or assimilated direct legislation setting out detailed criteria on the application of the conditions in paragraph 1 to specific types of waste; and

(b) having regard to any guidance published by the appropriate authority or the appropriate agency for the purposes of this Article.

(c) in paragraph 2—

(i) the first subparagraph were omitted;

(ii) in the second subparagraph, for “Those detailed criteria” there were substituted “Any detailed criteria set out in guidance as referred to in paragraph 1A”;

(iii) the third and fourth subparagraphs were omitted;

(d) paragraph 3 were omitted;

(e) in paragraph 4—

(i) in the first subparagraph—

(aa) in the first sentence, for the words from the beginning to “Member State”, there were substituted “Where criteria have not been set out as referred to in paragraph 1A(a), the appropriate agency”;

(bb) the second sentence were omitted;

(ii) in the second subparagraph—

(aa) for “Member States” there were substituted “The appropriate agency”;

(bb) “by competent authorities” were omitted.

(7) In paragraphs (2) and (3)—

“ appropriate authority ” means—

in relation to England, the Secretary of State,

in relation to Wales, the Welsh Ministers,

in relation to Scotland, the Scottish Ministers,

in relation to Northern Ireland, the Department of Agriculture, Environment and Rural Affairs;

“ appropriate agency ” means—

in relation to England, the Environment Agency,

in relation to Wales, the Natural Resources Body for Wales,

in relation to Scotland, the Scottish Environment Protection Agency,

in relation to Northern Ireland, the Department of Agriculture, Environment and Rural Affairs;

Section 3 Meaning of appropriate authority

(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;

(c) Northern Ireland is the Department of the Environment.

Section 4 Service of documents

(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.

Section 5 Signature of documents: meaning of appropriate person

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.

Section 5A Delegation of document-signing function

(1) The appropriate authority may approve the delegation by an appropriate person of the function of signing documents or information under these Regulations to any other person.

(2) A person who proposes to delegate under paragraph (1) must apply for approval to the appropriate authority on a form supplied for that purpose by the authority and signed by the person.

(3) An application for approval under paragraph (2) must, within 28 days of receipt of the application—

(a) be granted where the appropriate authority is satisfied that the proposed delegate, taking into account the factors specified in paragraph (4), is capable of carrying out the function; or

(b) otherwise be refused.

(4) The factors mentioned in paragraph (3)(a) are—

(a) if the proposed delegate is an employee of the producer or the operator of the scheme, the proposed delegate’s level of seniority;

(b) if the proposed delegate is not an employee of the producer or the operator of the scheme, the nature of the proposed delegate’s relationship with the appropriate person;

(c) the degree of the proposed delegate’s knowledge of, or access to, information necessary for the purposes of carrying out the function; and

(d) any other factor which the appropriate authority reasonably thinks relevant.

(5) An approval granted in accordance with paragraph (3)(a) may be for such period, or subject to such other conditions, as the appropriate authority may specify.

(6) Where an application for approval is granted in accordance with paragraph (3)(a), the appropriate authority must, within 28 days of its decision, notify the appropriate person in writing of this and of any conditions it has imposed pursuant to paragraph (5).

(7) A person whose function has been delegated in accordance with paragraph (3)(a) may continue to perform the function.

(8) The appropriate authority may withdraw an approval granted under paragraph (3)(a) and, if so, must notify the appropriate person in writing of this and of—

(a) the reasons for withdrawal of the approval; and

(b) the date when the withdrawal takes effect, not being earlier than 28 days from the date of the notice.

(9) If an appropriate person proposes to revoke a delegation approved under paragraph (3)(a), the person must serve written notice on the appropriate authority of this and of the date when the revocation takes effect, not being earlier than 28 days from the date of the notice.

(10) For the purposes of these Regulations, an act of a delegate acting in accordance with an approval granted under paragraph (3)(a) is treated as an act of the appropriate person.

Section 6 Application

(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.

Section 7 Financing: portable batteries

(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).

Section 8 Calculation of a producer's share

(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—

Section 9 Duty to be a member of a battery compliance scheme

(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.

Section 10 Effect of membership of a battery compliance scheme

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

Section 11 Information provided to operators of battery compliance schemes

(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);

(c) making an application to register a producer under regulation 26(3) (registration of 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.

Section 12 Record keeping

(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.

Section 13 Reporting: portable batteries placed on the market by a small producer

(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

(c) be submitted in the format published by the appropriate authority under regulation 79

(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.

Section 14 Charges in relation to small producers

(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;

(c) monitoring the accuracy of information provided by small producers under regulation 13;

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

Section 15 Duty to join another scheme on withdrawal of approval

(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).

Section 16 Treatment, recycling, record keeping and reporting after withdrawal of scheme approval

(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;

(c) be submitted in the format published by the appropriate authority under regulation 79 and

(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.

Section 17 Duty of the appropriate authority to determine and notify producer's share

(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.

Section 18 Declaration of compliance by producer

(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.

Section 19 Financing: portable batteries

(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);

(c) the net costs of a scheme information campaign.

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

Section 20 Duty of the appropriate authority to determine and notify scheme operator's aggregate share of costs

(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.

Section 21 Treatment and recycling

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.

Section 22 Record keeping

(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.

Section 23 Reporting: batteries placed on the market by scheme members

(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

(c) be submitted in the format published by the appropriate authority under regulation 79.

(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.

Section 24 Reporting: waste batteries

(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

(c) be submitted in the format published by the appropriate authority under regulation 79.

(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.

Section 25 Declaration of compliance by battery compliance scheme

(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.

Section 26 Registration of producers of portable batteries

(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.

Section 27 Form of an application to register scheme members or a small producer

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.

Section 28 Duties of the appropriate authority in relation to applications to register producers of portable batteries

(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

(c) the producer who is the subject of the application does not appear on a register maintained under regulation 76.

(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.

Section 29 Notification of changes to registration details

(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;

(c) be submitted in the format published by the appropriate authority under regulation 76;

(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.

Section 30 Declaration of battery producer registration number

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.

Section 31 Take back

(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.

Section 32 Distributor's right to request collection of waste batteries

(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).

Section 33 Right of economic operators to participate in collection, treatment and recycling schemes

(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.

Section 34 Prohibition on showing the costs of collection, treatment and recycling of portable batteries

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.

Section 35 Take back: industrial batteries

(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.

Section 36 Collection: automotive batteries

(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.

Section 37 Alternative financing agreements

(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.

Section 38 Treatment and recycling

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.

Section 39 Record keeping

(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.

Section 40 Reporting: industrial and automotive batteries placed on the market

(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

(c) be submitted in the format published by the Secretary of State under regulation 74.

(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.

Section 41 Reporting: waste batteries

(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

(c) be submitted in the format published by the Secretary of State under regulation 74.

(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.

Section 42 Registration of producers: industrial batteries or automotive batteries

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).

Section 43 Application to register

(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

(c) contain the information set out in Schedule 2.

Section 44 Notification of changes to registration details

(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;

(c) be submitted in the format published by the Secretary of State under regulation 74.

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

Section 45 Duties of the Secretary of State in relation to registration of producers

(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.

Section 46 Declaration of battery producer registration number

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.

Section 47 Application for approval of a proposed battery compliance scheme

(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;

(c) be accompanied by the scheme application charge.

Section 48 Further information in respect of an application

(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.