Registration of Carriers
Guidance Note
Applying for Registration as an Upper Tier Carrier, Broker of, or Dealer in controller waste or Applying for Registration as Lower Tier Carrier in controlled waste.
Please read this information before you apply
These details will help you register as an Upper or Lower Tier Carrier, Broker or Dealer in Controlled Waste in Northern Ireland, or a Lower Tier Carrier of controlled waste in Northern Ireland.
How can you register
The prefered and easiest way to register is online from the Northern Ireland Environment Agency (NIEA) website at:- https://www.daera-ni.gov.uk/articles/registration-carriers-and-brokers
Alternatively you can apply in writing by printing off a copy of the application form from our website or request one by contacting NIEA on 028 90569360.
You must answer all the questions that apply to you or NIEA will not be able to process your application.
Carriers, Brokers and Dealers
Businesses carrying controlled waste as part of their business or for profit are required to register as a carrier. Most businesses arranging to dispose or recover waste for others are required to register as a broker. Most businesses using an agent to buy and then sell waste need to register as a dealer.
Types of Registration
Businesses that only transport, broker or deal in certain types of waste and some organisations are eligible to register as ‘Lower Tier’. All other people must register as ‘Upper Tier’.
Who should register as lower tier?
You can only register as lower tier if you are one of the following:
- A Government Department;
- A District Council (including City or Borough);
- Any wholly owned subsidiary of the Northern Ireland Railways Company Ltd;
- A waste collection authority, a waste disposal authority or a waste regulation authority;
- A charity;
- A voluntary organisation;
- A business which only carries animal by-products;
- A business which only carries waste from premises used for agriculture;
- A business which only carries waste from a mine or quarry.
- A business which only carries its own waste.
If you register as lower tier and then carry, broker or deal in controlled waste outside of the criteria listed above, you will be committing an offence and NIEA will take enforcement action.
Correspondence details
NIEA will send correspondence to the person supplied on your form. It is therefore important to keep these details up to date.
When should I change my details?
You must notify NIEA within 28 days regarding any change to your name, contact details or principal place of business address. In case the Agency needs to contact you and to update the public register. NIEA may remove you from the register if your details are no longer valid. Should the registered legal person change, you are required to make a new application and pay the relevant fee. For example, if you are registered as an individual but then form a company, you will need to apply again as a company.
If a new partner wants to join a registered partnership, s/he may either apply to be added to the existing registration, or all partners, including the proposed new one, may make a new application.
Should your circumstances change and you no longer qualify as lower tier, you should re-register as upper tier.
What happens when you register?
Upper tier applicants will receive a certificate once they are registered with NIEA.
Lower tier applicants will receive confirmation of their registration in writing (or by email if you provide the details). This confirmation can be used as evidence of registration.
NIEA is required to make certain environmental information available to the public using a public register, which anybody can ask to see. This includes your registration details and a copy of your application. NIEA will also place all registrants (upper and lower tier) on a public register. This will include your name and principal (main) place of business address. Anyone may view this on our website.
Application fees
You must pay a fee when you apply to register or renew a registration as an upper tier carrier, broker, carrier/broker or carrier/dealer. You can find the fees on the NIEA website or contact the department if you are unsure on 028 90569360. NIEA will not refund your fee if we refuse your application or, if having been registered, you decide to cancel it early or we revoke it.
There is no fee to register as a lower tier waste carrier, broker or dealer.
How long does registration last?
An upper tier registration lasts for three years unless you decide to cancel it early or NIEA revokes it.
A lower tier registration lasts indefinitely unless you cancel it early or NIEA revokes it.
Renewal applications
NIEA will contact you about six months before your registration is due to run out. However, you can only renew activities for which you are already registered. For example, if you are registered as a carrier you cannot renew your registration as a carrier/broker or carrier/dealer. If you want to add an activity, you will need to reapply.
What happens when we receive your application?
The legislation allows NIEA up to two months to determine your application. However, the Agency is usually quicker than this. You can assist the process by making sure that you complete all questions fully and provide all the relevant documentation.
Once the Agency makes a decision on your application, we will let you know the outcome.
Your application may be refused if you or another relevant person has been convicted of a relevant offence or if you provide incomplete or false information. Your application fee cannot be refunded.
If your application is refused, or the Agency takes longer than two months to make a decision on it without getting your agreement, you can appeal to the Planning Appeals Commission.
If you are applying to register for the first time, or if your registration has run out and you are applying again, you are not authorised to carry, broker or deal in controlled waste until we let you know that you have been registered.
Convictions for relevant offences
You must inform the Agency in your (lower or upper tier) application if you or any other relevant person has been convicted of any offence under the legislation listed below.
A relevant person may be anyone connected to the person applying for registration.
-
For companies and other corporate organisations this includes;
- The company itself;
- Employees convicted while employed by the company;
- The officers of the company (director, manager, secretary or similar officer); and
- Other companies, if an officer of the company now applying was an officer of the other company at the time it was convicted.
-
For partnerships this includes:;
- The individual partners;
- Employees convicted while employed by the partnership; and
- Business partners, if the offence was committed in the course of their business.
-
For companies and other corporate organisations this includes;
- The individual;/li>
- Employees convicted while employed by the individual; and
- Companies for which the individual is an officer (director, manager, secretary or similar officer).
Relevent offences
Offences that are relevant to your registration are shown below. You are not required to tell us about any ‘spent convictions’ covered by the Rehabilitation of Offenders (Northern Ireland) Order 1978, which applies to individuals. If the NIEA discovers a relevant conviction which you have not told us about in your application, the Agency will contact you. This will delay our processing of your application.
Relevant offences are offences under any of the following provisions:
| Number | Offence(s) |
|---|---|
| 1 | Articles 33(4) and 36(1) of and paragraph 9 of Schedule 5, paragraph 5 and paragraph 9(2) of Schedule 6 and Part 1, paragraph 14 of Schedule 7 to the Drainage (Northern Ireland) Order 1973 |
| 2 | Articles 29 and 72(3) of the Pollution Control and Local Government (Northern Ireland) Order 1978 |
| 3 | Articles 4, 5(8), 5E(7), 5E(9), 6(7), 12(12), 12(13), 15(5A), 16(4), 18, 21(6), 22(6), 27(5), 28(5), 29(3), 31(2), 38(1), 42, 44(2) and 74 of theWaste and Contaminated Land (Northern Ireland) Order 1997 |
| 4 | Articles 7(1), 7(5), 12(3), 19(1), 28(3) and 29(1) of theWater (Northern Ireland) Order 1999 |
| 5 | Regulations 12(1), 12(2), 12(3) and 12(4) of the Environmental Protection (Disposal of Polychlorinated Biphenyls and Other Dangerous Substances) Regulations (Northern Ireland) 2000 |
| 6 | Article 20 of the Environment (Northern Ireland) Order 2002 |
| 7 | Regulation 12 of the Control of Pollution (Silage, Slurry and Agricultural Fuel Oil) Regulations (Northern Ireland) 2003 |
| 8 | Regulations 31, 42(1) and 42(2) of the End of Life Vehicles Regulations 2003 |
| 9 | Regulations 18(1) and 22(1) of and paragraphs 12(1), 12(2), 14(5), 14(7) and 14(8) of Part1 of Schedule 3 to the Waste Management Licensing Regulations (Northern Ireland) 2003 |
| 10 | Regulation 17(1) of the Landfill Regulations (Northern Ireland) 2003 |
| 11 | Regulations 13(1) and 16(3) of theWater Resources (Environmental Impact Assessment) Regulations (Northern Ireland) |
| 12 | Regulations 43(1), 43(3) and 43(5) of the HazardousWaste Regulations (Northern Ireland) 2005 |
| 13 | Regulation 6(1) of the Radioactive Contaminated Land Regulations (Northern Ireland) 2006 |
| 14 | Regulations 18(10), 24(1) and 24(2) of the Environmental Impact Assessment (Forestry) Regulations (Northern Ireland) 2006 |
| 15 | Regulation 40 of the Producer Responsibility Obligations (PackagingWaste) Regulations (Northern Ireland) 2007 |
| 16 | Regulations 17, 18, 19, 21, 22, 23, 24, 25, 26, 31, 32, 36, 37, 38, 39, 40, 41, 42, 43, 44, 45, 52, 53, 54, 55 and 57 of and paragraphs 4 and 5 of Schedule 1 and paragraph 6(3) of Part 1 of Schedule 5 to the Transfrontier Shipment ofWaste Regulations 2007 |
| 17 | Regulation 42 of the Merchant Shipping (Prevention of Pollution by Sewage and Garbage from Ships) Regulations 2008 |
| 18 | Regulations 89(1), 89(2), 89(3), 89(4), 89(5) and 89(6) of theWaste Batteries and Accumulators Regulations 2009 |
| 19 | Regulations 9, 10, 17, 26 and 27 of the Environmental Liability (Prevention and Remediation) Regulations(Northern Ireland) 2009 |
| 20 | Regulations 19(1), 24(3) and 25(3) of the Groundwater Regulations (Northern Ireland) 2009 |
| 21 | Section 85 of the Marine and Coastal Access Act 2009 |
| 22 | Regulation 25 of the Nitrates Action Programme Regulations (Northern Ireland) 2010 |
| 23 | Regulation 24 of theWaste Regulations (Northern Ireland) 2011 |
| 24 | Articles 42(6), 43(5), 76(9), 85(1), 85(5), 103(1), 109(3), 117(1), 126(1), 126(3), 127(1), 134(1), 134(5), 137(1), 146(9), 147(2), 149(5), 150(12), 152(9), 168(1), 168(6), 172(1), 175(2), 178(2), 178(5), 237(2), 237(3) and 240(3) of the Planning Act (Northern Ireland) 2011 |
| 25 | Regulations 82(6), 89(10) and 90 of theWaste Electrical and Electronic Equipment Regulations 2013 |
| 26 | Sections 32(1) and 33(1) of the Marine Act (Northern Ireland) 2013 |
| 27 | Regulation 36 of the Pollution, Prevention and Control (Industrial Emissions) Regulations (Northern Ireland) 2013 |
Table 2 Relevant Financial Offences
| Number | Offence(s) |
|---|---|
| 1 | Sections 24, 50, 64, 67, 68, 68A, 100, 129, 136, 159, 167, 168, 170, 170A and 170B of the Customs and Excise Management Act 1979 |
| 2 | Sections 1, 2, 3, 4, 5, 14, 15, 16, 17, 18 and 19 of the Forgery and Counterfeiting Act 1981 |
| 3 | Paragraphs 15(1), 15(3), 15(4), 15(5), 15(6) and 15(7) of Part IV of Schedule 5 to the Finance Act 1996 |
| 4 | Sections 1, 6, 7, 9, 11 and 12 of the Fraud Act 2006 |
Table 3 Other Relevant Offences
| Number | Offence(s) |
|---|---|
| 1 | Section 114 of the Public Health Act 1878 |
| 2 | Sections 1, 8, 9, 10, 11, 17, 18, 21 and 23A of the Theft Act (Northern Ireland) 1969 |
| 3 | Sections 4, 6, 8, 9, 11, 19, 20, 21 and 23 of the Misuse of Drugs Act 1971 |
| 4 | Sections 24, 24A, 25, 25A, 25B, 26, 26A, 26B and 27 of the Immigration Act 1971 |
| 5 | Articles 98(3) and 98(4) of the Local Government Act (Northern Ireland) 1972 |
| 6 | Articles 31(1), 34(1) and 34(2) of the Health and Safety atWork Order 1978 |
| 7 | Articles 3, 9(13), 11A(1), 15B(11), 19G(4), 31E, 72(1), 72(2), 73A(4), 81(1), 82, 86(1), 90(4), 91A, 95(2), 96(2), 97(3), 168A(1), 172, 172B, 174(2), 175(2), 180(1), 180(4) and 180(6) of the Road Traffic (Northern Ireland) Order 1981 |
| 8 | Articles 30(4), 31(1), 39(3), 40(1), 40(3), 47(1), 47(2), 53 and 54(1) of the Criminal Justice (Northern Ireland) Order 1996 |
| 9 | Sections 49, 50, 51, 52, 53 and 58 of the Drug Trafficking Act 1994 |
| 10 | Sections 11, 12, 13, 15, 16, 17, 18, 19, 21A, 21D, 54, 56, 57, 58, 58A, 59, 60, 61, 62, 63, 63A, 63B, 63C, 63D, 87, 89, 93, 94, 95, 96, 103 and 116 of and paragraphs 3(7), 14(1), 15(4), 16(3), 19(7), 20(6) and 32(3) of Schedule 5, paragraphs 1(3) and 8(2) of Schedule 6, paragraph 18 of Schedule 7 and paragraphs 2, 3, 4, 6(3), 15(1) and 16(3) of Schedule 13 to the Terrorism Act 2000 |
| 11 | Sections 327, 328, 329, 330, 331 and 332 of the Proceeds of Crime Act 2002 |
| 12 | Articles 3, 6(6), 10(3), 13(2), 15(10), 16(2), 21(4), 24, 27(6), 30(1), 35(9), 36(3), 37(4), 38(7), 39(3), 40(4), 41(5), 42(4), 43(5), 44(6), 45(1), 45(2), 45(5), 49(5)(b), 51(2), 52(4), 53(5), 54(2), 55(5), 56(3), 58(2), 59(2), 60(1), 61, 62, 63, 64, 65, 66, 67, 72, 72(2)(c) and 73 of the Firearms (Northern Ireland) Order 2004 |
| 13 | Articles 10(8), 15, 16(10), 21, 26, 31 and 32 of and paragraphs 8(1) and 8(2) of Schedule 1 and paragraphs 4, 5, 6 and 8(3) of Schedule 6 to the Justice and Security (Northern Ireland) Act 2007 |
| 14 | Sections 25, 44, 45 and 46 of the Serious Crime Act 2007 |
| 15 | Articles 1(7), 5(2), 9(3), 9(4), 11(2)(a), 16(1), 17(1), 28 and 45(6) of the Transport Act (Northern Ireland) 2011 |
| 16 | Regulations 17(1) and 18(1) of the Animal By-Products (Enforcement) Regulations (Northern Ireland) 201 |
| 17 | Articles 1, 10 and 11 of the Scrap Metal Dealers Act 2013 |
| 18 | Sections 1, 2 and 4 of the Human Trafficking and Exploitation (Criminal Justice and Support for Victims) Act (Northern Ireland) 2015” |
What NIEA does with information about convictions?
If you declare (or NIEA becomes aware of) any convictions for relevant offences, the Agency can refuse to register you if it deems that it is not desirable for you to carry out that activity. Refusal is not automatic. As part of your application, you will need to submit a post-conviction plan. This is your opportunity to explain what steps you have taken to make sure you will not re-offend. NIEA will consider the severity of the offences, along with your post-conviction plan, before deciding whether to register you or not. If the Agency refuses your application, we will let you know formally and supply you with details of how to appeal should you wish to.
How to complete a post –conviction plan
If you or any other relevant person has been convicted of any offence under the legislation listed above, you should submit a post-conviction plan to support your application. You can obtain the form by contacting NIEA on 028 90569360. Our Policy and Guidance Notes regarding convictions are also available from the following links:-
What happens if I don’t submit a post-conviction plan?
If you don’t submit a post-conviction plan, it increases the risk of the Agency refusing to register you. It also means that we have to contact you to request a Plan, which will delay the processing of your application.
What if I am convicted after I have registered?
If you are already registered when you or another relevant person is convicted of a relevant offence, NIEA will follow the same process to decide whether or not to revoke your registration. If the Agency refuses your application, we will let you know formally and supply you with details of how to appeal if you wish to.
What is ‘duty of care’
Duty of care is about making sure waste does not harm the environment or human health. You and other people handling controlled waste must make sure it is handled safely and only passed on to others who are permitted to receive it. There are some simple rules to follow, including:
- Check the person you transfer the waste to is properly authorised to accept it; for example, that they hold the necessary authorisation or registration;
- Make sure each transfer of waste is covered by a waste transfer note, or a consignment note if the waste is hazardous and that this adequately describes the waste; and
- Make sure the waste is safely contained and that it is not able to escape control.
These rules apply to catering waste but not to other types of animal by-products.
You may be asked to prove you are an authorised person when collecting or transferring waste to someone else. You can use your registration certificate if you are upper tier or your registration confirmation letter if you are lower tier.
You can find more advice on duty of care on the NIEA website at https://www.daera-ni.gov.uk/articles/duty-care and the Netregs website at www.netregs.gov.uk
Hazardous waste
If your activities involve hazardous waste, you will need to comply with the Hazardous Waste Regulations. To find out what you are legally required to do please visit the NIEA website at https://www.daera-ni.gov.uk/articles/hazardous-waste and the Netregs website at www.netregs.gov.uk
What is waste from agricultural premises?
This is waste produced at agricultural premises as a result of an agricultural activity. Agricultural premises are defined in the Agriculture (Northern Ireland) Act 1949 as land used for:
Horticulture, fruit growing, seed growing, dairy farming, livestock breeding and keeping, grazing land, meadow land, market gardens and nursery grounds. It also includes woodlands where that use is ancillary to (supports) the use of land for other agricultural purposes. This definition includes all arable farming.
Not all activities where animals are kept are classed as agricultural. So, for example, riding stables, equine centres, kennels, animal parks and ornamental fish producers are not classed as agricultural premises. Waste from these premises would not qualify the carrier, broker or dealer to register as lower tier.
You will be prompted to login / register with the DAERA Central Authentication Service.