The Waste Batteries and Accumulators Regulations 2009

Explanatory Note

(This note is not part of the Regulations)

These Regulations partially implement Directive 2006/66/EC of the European Parliament and of the Council on batteries and accumulators and waste batteries and accumulators and repealing Directive 91/157/EEC (OJ No L 266, 26.9.2006, p 1). There is a relevant corrigendum which affects the date mentioned in Article 12(4) (OJ No L 311, 10.11.2006, p 58).

Other implementing measures are the Batteries and Accumulators (Placing on the Market) Regulations 2008 (S.I. 2008/2164), which implement Articles 4, 6(2), 11 and 21(1), (3), (4), (5) and (6) and the Waste Batteries and Accumulators (Charges) Regulations (Northern Ireland) 2009 (S.R. 2009/157), which make provision in Northern Ireland for appropriate authorities to charge battery compliance schemes, treatment facilities and exporters of waste batteries.

Part 1 of the Regulations contains general provision.

The Regulations apply to all batteries other than those used in certain equipment connected with the essential security interests of EEA states and equipment designed to be sent into space (regulation 6). In the Regulations, references to batteries include references to accumulators.

The Regulations divide batteries into three categories: automotive batteries, industrial batteries and portable batteries. Those terms are defined in regulation 2(1).

Portable batteries U.K.

Parts 2, 3, 4 and 6 of the Regulations make provision specifically in relation to portable batteries.

Part 2 imposes obligations on producers of portable batteries (the term “producer” is defined in regulation 2(1)).

Regulations 7 and 8 require that producers of portable batteries other than small producers (defined in regulation 2(1)) each finance the costs of collection, treatment and recycling of a share of all the portable batteries placed on the market for the first time in the United Kingdom.

Regulation 9 requires producers of portable batteries other than small producers to join a battery compliance scheme and regulation 10 provides that such membership exempts a producer from its financing obligation and the need to demonstrate individual compliance with that obligation.

Regulation 11 requires scheme members to provide information to battery compliance schemes, regulation 12 requires them to keep records and regulation 13 requires small producers to provide information to the appropriate authority.

Regulation 14 sets the charge which an appropriate authority in England, Wales or Scotland may make in relation to small producers. This applies until 1st April 2013, or until the appropriate authority makes a charging scheme, whichever is earlier. Equivalent provision is made in respect of Northern Ireland by the Waste Batteries and Accumulators (Charges) Regulations (Northern Ireland) 2009 (S.R. 2009/157).

Regulations 15 to 18 apply to a producer of portable batteries after withdrawal of approval of the battery compliance scheme to which it belongs, until it has joined a new scheme. The producer must join another scheme within a specified time and in the meantime must fulfil its financing obligation itself, ensure that the batteries it collects are delivered for treatment and recycling, keep records, and make quarterly reports and an annual declaration of compliance to the appropriate authority. Part 1 of Schedule 1 contains the details which must be included in such a declaration.

Part 3 makes provision in relation to battery compliance schemes and registration of producers of portable batteries.

Regulation 19 requires a scheme operator to finance the sum of its members' collection, treatment and recycling obligations, as well as the costs of collection, treatment and recycling of any waste batteries it collects in excess of those obligations and the costs of a scheme information campaign.

Scheme operators must ensure that all waste batteries they collect are delivered for treatment and recycling to an approved battery treatment operator or an approved exporter (regulation 21).

Regulations 22 to 24 provide that scheme operators must report on the amounts of batteries placed on the market for the first time in the UK by their members, the amounts of waste batteries collected by them and delivered for treatment and recycling, and must make an annual declaration of compliance with their financing obligations. Part 2 of Schedule 1 contains the details which must be included in such a declaration.

Regulations 26 to 29 require producers of portable batteries to be registered with the appropriate authority and changes to the registration information to be notified. Schedule 2 sets out the information which must be supplied with an application for registration.

Part 4 makes provision in relation to the obligations and rights of distributors of portable batteries and of other economic operators. Regulation 31 requires distributors of portable batteries to take back waste portable batteries free of charge. The requirement does not apply to small distributors (defined in regulation 31). Regulation 32 requires scheme operators to arrange on request for the pick up from distributors of the waste batteries taken back. Regulation 33 requires scheme operators to accept waste portable batteries from economic operators at facilities provided by the scheme operators.

Part 6 provides for the approval of battery compliance schemes. Applications are made under regulation 47 to the appropriate authority and must include the information set out in Part 1 of Schedule 3 and an operational plan containing the information set out in Part 2 of Schedule 3. Further information may be requested under regulation 48. Regulation 49 requires the approval decision to be made using the criteria for approval of a proposed scheme set out in Part 3 of Schedule 3.

Approvals remain in force unless they are withdrawn (regulation 50). Regulation 51 contains conditions of approval. They include annual submission of an updated operational plan covering the next 3 compliance periods. Breach of these conditions are a ground for withdrawal of scheme approval; withdrawal of approval is dealt with by regulation 54.

Regulation 55 sets the charges which an appropriate authority in England, Wales or Scotland may make in relation to the approval and subsistence of a battery compliance scheme. These apply until 1st April 2013, or until the appropriate authority makes a charging scheme, whichever is earlier. Equivalent provision is made in respect of Northern Ireland by the Waste Batteries and Accumulators (Charges) Regulations (Northern Ireland) 2009 (S.R. 2009/157).

Automotive and industrial batteries U.K.

Part 5 of the Regulations makes provision specifically in relation to industrial and automotive batteries.

Regulation 35 imposes obligations on producers of industrial batteries to take back waste industrial batteries free of charge from end-users of such batteries on request. Regulation 36 imposes obligations on producers of automotive batteries to collect waste automotive batteries free of charge from final holders of such batteries on request (see regulation 2 for the definition of a final holder of automotive batteries). However, producers of industrial and automotive batteries may enter into contracts making alternative arrangements for financing the costs of the collection, treatment and recycling of waste batteries (regulation 37).

Producers of industrial and automotive batteries must ensure that all waste batteries they take back or collect are delivered for treatment and recycling to an approved battery treatment operator or an approved exporter (regulation 38).

Regulations 39 to 41 provide that producers must report on and keep records of the amount of batteries placed by them on the market for the first time in the UK and the amount of waste batteries collected by them and delivered for treatment and recycling.

Regulations 42 to 46 require producers to be registered with the Secretary of State and to notify any changes in the registration information. Schedule 2 sets out the information which must be supplied with an application for registration.

Provision common to all categories of battery U.K.

Part 7 makes provision in relation to disposal, treatment and recycling of waste batteries.

Regulation 56 prohibits the disposal in England, Wales and Northern Ireland of waste industrial or automotive batteries in landfill or by incineration.

Regulation 57 restricts the issue of batteries evidence notes (evidencing the delivery of waste portable batteries for treatment and recycling) to approved battery treatment operators and approved exporters. The evidence notes must relate to waste portable batteries accepted by them at sites to which their approval relates. Regulation 57 also prohibits the treatment and recycling of waste industrial or automotive batteries by anyone other than an approved battery treatment operator or an approved battery exporter who has accepted those waste batteries at a site to which their approval relates.

Regulations 58 to 61, read with Part 1 of Schedule 4, set out the procedure for approval of a battery treatment operator or exporter. Regulation 62 provides for extension of an exporter's approval to cover sites not covered by the original approval.

Regulation 63 and Parts 2, 3 and 4 of Schedule 4 set out the conditions of approval of a battery treatment operator or battery exporter. In particular, Part 2 of that Schedule includes requirements relating to treatment standards and recycling efficiencies, and Parts 3 and 4 make provision relating to the issue of batteries evidence notes. Breach of these conditions is grounds for suspension or cancellation of approval (regulation 64).

Regulation 65 sets the charges which an appropriate authority in England, Wales or Scotland may make in relation to the approval of battery treatment operators and exporters. These apply until 1st April 2013, or until the appropriate authority makes a charging scheme, whichever is earlier. Equivalent provision is made in respect of Northern Ireland by the Waste Batteries and Accumulators (Charges) Regulations (Northern Ireland) 2009 (S.R. 2009/157).

Regulations 66 and 67 impose on approved battery treatment operators and approved exporters, respectively, requirements to report to the appropriate authority and to keep records.

Part 8 makes provision in relation to the powers and duties of the Secretary of State. Part 9 and Schedule 6 impose duties on the appropriate authorities. Part 10 makes provision in relation to disclosure of information. Part 11 and Schedule 7 makes provision for appeals. Part 12 makes provisions for enforcement. Part 13 provides for offences and penalties. Part 14 (regulation 92) and Schedule 8 make amendments to other enactments.

An Impact Assessment of the effect that this instrument will have on the costs of compliance to businesses and the environmental benefits is available from the Business Group, Department for Business, Enterprise and Regulatory Reform (BERR), 1 Victoria Street, London SW1H 0ET and at www.berr.gov.uk/sectors/sustainability. As these Regulations partially transpose a Directive, a transposition note setting out how the Government has transposed the Directive in the United Kingdom has been prepared. Copies of the Impact Assessment and transposition note are available from BERR as above. Copies of these documents have been placed in the libraries of both Houses of Parliament and are also annexed to the Explanatory Memorandum which is available alongside the instrument on the OPSI website.