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PART 1U.K.GENERAL

Citation, commencement and extentU.K.

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.

InterpretationU.K.

2.—(1) In these Regulations—

[F1“appliance” means any electrical or electronic equipment, as defined by [F2Article 3(1)(a) of ] Directive 2012/19/EU of the European Parliament and of the Council on waste electrical and electronic equipment (WEEE) [F3as 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—

(a)

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

(b)

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;

[F4best 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—

(a)

automotive batteries;

(b)

industrial batteries;

(c)

portable batteries;

“chemistry type” means, except in regulation 35 (take back: industrial batteries)—

(a)

lead-acid,

(b)

nickel-cadmium, or

(c)

any other chemistry;

“compliance period” means—

(a)

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

(b)

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—

(a)

the Companies Act 2006 M1;

(b)

the provisions of the Companies Act 1985 M2 or the Companies (Northern Ireland) Order 1986 M3 that remain in force; and

(c)

any former enactment relating to companies;

(d)

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;

[F5“disposal” means any of the applicable operations provided for in [F6Annex 1 to [F7the Waste Framework Directive]];]

[F5“disposal” has the meaning given by [F8Article 3(19)] of, and Annex I to, [F7the 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—

(a)

the person who last used the battery; or

(b)

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 M4;

“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—

(a)

subject to regulation 65(1), where the appropriate authority is the Environment Agency [F9, 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 M5, that charge;

(b)

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 M6;

“final holder of automotive batteries” means—

(a)

a person who, in the ordinary course of a trade, occupation or profession removes automotive batteries from vehicles;

(b)

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 M7;

(c)

an authorised treatment facility as defined in regulation 2 of the End-of-Life Vehicles (Producer Responsibility) Regulations 2005 M8; or

(d)

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—

(a)

designed exclusively for industrial or professional uses;

(b)

used as a source of power for propulsion in an electric vehicle;

(c)

unsealed but is not an automotive battery; or

(d)

sealed but is not a portable battery;

[F10“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 M9;

“portable battery” means any battery or battery pack which—

(a)

is sealed,

(b)

can be hand-carried by an average natural person without difficulty, and

(c)

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 communicationF11..., places batteries, including those incorporated into appliances or vehicles, on the market for the first time in the United Kingdom on a professional basis F12...;

“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—

(a)

commencing on 1st January and ending on 31st March;

(b)

commencing on 1st April and ending on 30th June;

(c)

commencing on 1st July and ending on 30th September; or

(d)

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—

(a)

subject to regulation 55(1), where the appropriate authority is the Environment Agency [F13, 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;

(b)

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—

(a)

subject to regulation 55(1), where the appropriate authority is the Environment Agency [F14, 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;

(b)

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—

(a)

subject to regulation 65(1), where the appropriate authority is the Environment Agency [F15, 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;

(b)

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 [F16Article 3(1) of [F7the Waste Framework Directive]];

“waste collection authority” means—

(a)

in England, Wales and Scotland, an authority mentioned in section 30(3) of the Environmental Protection Act 1990 M10; and

(b)

in Northern Ireland, a district council within the meaning of section 1 of the Local Government Act (Northern Ireland) 1972 M11;

“waste disposal authority” means—

(a)

in England, Wales and Scotland, an authority mentioned in section 30(2) of the Environmental Protection Act 1990 M12; and

(b)

in Northern Ireland, a district council within the meaning of section 1 of the Local Government Act (Northern Ireland) 1972;

[F17“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—

(a)

transmitted by electronic means,

(b)

received in legible form, and

(c)

capable of being used for subsequent reference; and

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

F18(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.

Textual Amendments

F5Words in reg. 2(1) substituted (S.) (27.3.2011) by The Waste (Scotland) Regulations 2011 (S.S.I. 2011/226), reg. 1(1), Sch. para. 24

F11Words in reg. 2 omitted (with application in accordance with reg. 1(2) of the amending S.I.) by virtue of The Consumer Contracts (Information, Cancellation and Additional Charges) Regulations 2013 (S.I. 2013/3134), reg. 1(1), Sch. 4 para. 12(a) (with reg. 6)

Marginal Citations

M41990 c. 43. Section 51 has been amended by section 31 of the Waste and Emissions Trading Act 2003 (c. 33) and Part 4 of Schedule 5 to the Clean Neighbourhoods and Environment Act 2005 (c. 16).

M51995 c. 25. Section 41 is amended by regulation 94 of and Schedule 8 to these Regulations. There are other amendments which are not relevant to these Regulations.

M71964 c. 49. Section 9(1) has been amended by paragraph 2 of the Schedule to the Vehicles (Crime) Act 2001 (c. 3).

M101990 c. 43. Section 30(3) has been amended by the Local Government (Wales) Act 1994, Schedule 9, paragraph 17 and Schedule 18 and the Local Government etc (Scotland) Act 1994, Schedule 13, paragraph 167.

M12Section 30(2) has been amended by the Local Government (Wales) Act 1994, Schedule 9, paragraph 17 and the Local Government etc (Scotland) Act 1994, Schedule 13, paragraph 167.

[F19Modifications to the Waste Framework DirectiveU.K.

2A.—(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 retained direct EU 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—

(a)

in relation to England, the Secretary of State,

(b)

in relation to Wales, the Welsh Ministers,

(c)

in relation to Scotland, the Scottish Ministers,

(d)

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

“appropriate agency” means—

(a)

in relation to England, the Environment Agency,

(b)

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

(c)

in relation to Scotland, the Scottish Environment Protection Agency,

(d)

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

Textual Amendments

Meaning of appropriate authorityU.K.

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 F20... is the Environment Agency;

[F21(aa)Wales is the NRBW;]

(b)Scotland is SEPA;

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

Textual Amendments

Service of documentsU.K.

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 M13 (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.

Marginal Citations

Signature of documents: meaning of appropriate personU.K.

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.

[F22Delegation of document-signing functionU.K.

5A.—(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.]

Textual Amendments

ApplicationU.K.

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 [F23essential security interests], such as arms, munitions and war material, and intended for specifically military purposes; or

(b)equipment designed to be sent into space.

[F24(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.]

Textual Amendments