Is the proposed policy change informed by a baseline assessment?
Does the legislative process require public participation?
Have you conducted a review of your legal framework?
Consider undertaking a full legal assessment - see pop-up info box below.
Does the law list the objectives to achieve through regulatory intervention?
Consider adding some or all of the objectives detailed above:
Bear in mind that objectives will vary depending on domestic factors such as local policy priorities, environmental and pollution concerns, consumer habits, industry and business concerns, national and local government goals and the political situation.
Does the legislative process include an evaluation of the potential impacts of a proposed policy?
Consider introducing a mechanism to assess the potential environmental, social and economic impacts of the proposed legislation
Will the legislation provide for bans or restrictions on single-use plastics?
The most common products subject to bans are set out below. Click the icons for further information.
Plastic (carrier) bags based on their thickness, plastic bags based on material composition, plastic bags based on thickness and material composition.
Disposable products used for food packaging or food service, including straws, cutlery, plates, cups, beverage stirrers and fast-food containers; personal items such as cotton buds with plastic stems and wet wipes; and products such as foam packing peanuts and plastic sticks attached to balloons.
A class of products, such as single-use food ware or oxo-degradable plastics.
Will the ban or restriction apply to the range of activities along the value chain to be regulated, from production or importation to retail distribution and use?
Are certain single-use plastic products and types of product use going to be excluded from the ban or restriction?
Are these exemptions for health, hygiene, accessibility, safety and security purposes?
See the main exemption categories and example laws below and then click 'next' to move on:
See the main exemption categories and example laws below and then click 'next' to move on:
Consider the social and economic consequences of a blanket ban or restriction and whether some key areas should be exempted subject to regular review. For more information on the key areas commonly exampted see the YES branch.
Is the legislation going to support the use of alternatives?
I.e other types of plastic polymer and other materials that may be mandated in lieu of conventional plastics or exempted from the ban.Are you considering making any of the following exempt from the ban/restrictions?
Biodegradable plastics
Compostable plastics
Bio-based plastics
Oxo-degradable plastics
See alternative approaches and country examples below and then click 'next' to move on:
1) The promotion of alternative materials to replace the single-use plastic products, such as bags made of paper or cotton or glass bottles for soft drinks and other beverages
2) Approaches that make reusable bags available to consumers, either free of charge or for a fee
3) Exempting reusable bags from bans
4) Requiring or encouraging retailers to give small discounts to consumers who bring their own shopping bags
Will the legislation support the use of alternative (non-plastic) materials?
Consider carrying out a life-cycle assessment of the potential alternatives to look at the range of environmental impacts across the full life cycle of a product, from the acquisition of materials through to the final disposition or treatment. Encourage innovation and the development of materials that can replace plastics
See Step 1 - Preliminary Considerations - Baseline Assessments and the options provided on clicking the YES answer above.
Will the legislation support the use of alternative (non-plastic) materials?
Consider carrying out a life-cycle assessment of the potential alternatives to look at the range of environmental impacts across the full life cycle of a product, from the acquisition of materials through to the final disposition or treatment. Encourage innovation and the development of materials that can replace plastics
Is the ban or restriction on single-use plastic products preceded by a grace period before compliance is required and enforcement begins?
Consider using economic instruments to support businesses during the transition and information and other measures such as awareness campaigns for consumers during the transition period.
Will implementation be phased in, as opposed to taking full effect immediately?
For example, by setting a different timeline for different targets: first plastic bags with a thickness of 50 microns or more, then lightweight plastic bags by and finally very lightweight plastic bags.
Will the legislation identify an authority responsible for enforcement with a clear definition of its mandate?
Consider the following:
Whether these authorities have a sufficient mandate to fulfil those responsibilities
Whether these authorities have sufficient financial and human resources to fulfil their mandate
Whether the responsibilities are clearly allocated among federal and local or state authorities and whether local authorities have the resources to implement federal directives
Consider the following:
Which authorities will be responsible, the mechanisms to be used for enforcement and the penalties for violation. For more information see options for YES.
Consider naming more than one department or agency
Does the law provide clear definitions of terms?
Does the legislation identify the point along the supply chain at which the charge will be administered?
e.g. a tax will be imposed on the manufacturer, or the distributor, or the end-user?Does the legislation identify when the tax will be paid?
Ensure the legislation is clear on precisely when the tax will be paid. See country examples.
Does the legislation identify the specific product(s) to be taxed?
e.g. plastic carrier bags or lightweight plastic carrier bags or PET bottles or straws
Does the legislation identify the specific unit to be taxed?
e.g. a single plastic bagConsider revising the legislation to make this clear
Does the legislation identify the specific product(s) to be exempted from taxation, or the specific purposes for which an exemption will be granted?
Does the legislation stipulate the period for the exemption?
Does the law specify how the tax will be collected?
Does the law specify how to document the tax collected?
Does the law designate an entity responsible for collecting the tax, documenting the collection, and reporting on the taxes reported?
Does the law specify who will manage the revenues collected?
Does the law provide clear definitions of terms?
Does the law specify which product(s) is/are to be subsidised?
Does the law specify the unit to be subsidised?
Does the law designate an entity to manage the subsidy programme, including allocation and disbursement of subsidies?
Does the law specify which product(s) is/are to benefit from a tax break?
Does the law specify the unit that will benefit from a tax break?
Consider revising the law to identify specific products exempt from tax
Does the law designate an entity to manage, document and report on the tax break programme?
See the relevant criteria below
Material Composition
Reusability
Recoverability
Compostability / Biodegradability
Does the legislation identify criteria relating to a product/material and its technical performance that must be met for single-use plastic products to be allowed onto the market?
See below the treaties of potential relevance in this area
Does the legislation link to relevant international treaties?
For further information on these Treaties take one of the free e-learning courses available in this toolkit (see here).
For further details see the 'Yes' branch.
Consider revising the legislation to include these elements as necessary. For further details see the 'Yes' branch.
Does the law specify how compliance will be measured/verified?
Does the law identify an entity to monitor product compliance?
Does the law specify the repercussions for products found to be in non-compliance?
Does the law specify how to label the relevant products, particularly to indicate the product material components, recyclability or compostability?
Does the law specify how compliance will be enforced?
Does the legislation include the following parameters?
1) Prevention and Minimization (including tax breaks and other fiscal incentives to encourage the development and use of plastic alternatives, as well as waste recovery at the source)
2) Collection, Separation, and Recovery of single-use plastic products (beginning with source separation at the household level)
3) Payments and Fees (to encourage plastic waste sorting at source, and incentivize recovery of reusable plastic waste). Governments can also impose fines to encourage compliance.
4) Regulation of the Informal Sector (where there is no source separation at the household level)
5) Export and Import management measures for plastic waste (as set out under the Basel Convention)
For further details see the 'Yes' branch.
Consider revising the legislation to include these parameters. For further details see the 'YES' branch and also the Basel Convention ESM Toolkit for additional guidance.
Consider revising the legislation to include these parameters. For further details see the 'YES' branch and also the Basel Convention ESM Toolkit for additional guidance.
Does the law provide clear definitions of terms?
Does the legislation clearly define and identify the producers and the products to be targeted by the EPR scheme?
Does the legislation identify producers and products exempt from the EPR scheme?
Does the legislation define and identify eco-design standards to ensure product innovation, particularly sustainable product design, reduced resource use and enhanced recycling and pollution prevention?
Does the legislation stipulate the amount of time producers have to phase in/begin to implement the eco-design standards?
Have you considering using economic instruments in addition to the mandatory requirements set out above.
No further action needed but see the following.
Consider a hybrid approach combining standards and incentives with economic signals. For further details see the 'Yes' branch.
Consider revising the legislation to include a clear definition and identification of eco-design standards. For further details see the 'Yes' branch.
Does the law provide clear definitions of these terms?
Does the legislation provide a clear scope of the products to be liable under the EPR scheme i.e. the products to be considered for recycling?
Consider the following forms of responsibility prescribed to the producer and the example laws and then click 'next' to continue.
Economic/financial responsibility: producers, manufacturers and/or retailers can be required to cover all or part of the costs of collection, recycling or final disposal of products.
Physical responsibility and liability: producers and/or manufacturers can be required to manage collection of their products and may be held responsible for environmental damage caused by those products.
Informative responsibility: producers can be required to supply information on the environmental properties of the products that they are manufacturing and their progress in recycling the product.
Does the legislation provide a clear designation of roles and responsibilities of stakeholders along the plastic product supply chain, including producers, munufacturers, retailers and consumers?
Does the legislated EPR scheme include a fee structure that allows the charging of different fees to different producers of plastic packaging material (also known as fee modulation) based on criteria such as weight, layers of plastic and types of plastic?
Use the examples provided in this guide to ensure this is done. For further details see the 'Yes' branch.
Does the legislation provide for monitoring of the EPR scheme, including particularly monitoring of collection rates, appropriate return of products and recycling rates?
Does the legislation contain performance plans outlining performance measures, proof of stakeholder consultation, provision for the producer to collect and pay the costs of collecting and managing products, consumer awareness efforts and information on the management of costs and the environmental impacts of the programme?
Does the legislation compel companies to keep records of the type and quantity of products included in the EPR scheme?
Consider including this in the legislation – see further information below.
Does the legislation include penalties for non-compliance for missing recycling targets, including penalty fees?
Other enforcement measures could include:
• Removal of the accreditation of a producer responsibility organization;
• The requirement that a contingency fund be established from which money is deducted if targets are not met;
• Civil costs or the naming and shaming of non-compliant members (OECD, 2016)
Does the legislation take into account the need to ensure the continuing viability of the recycling industry?
• Funding for the acquisition of equipment appropriate for recycling at scale or for the conversion of single-use plastics into other, reusable forms
• Subsidies to ensure a market for the use of the recycled products, and regulation of that market
• Design requirements to ensure product recyclability
• The setting targets for the use of recycled materials in new products;
• Waste export restrictions
Does the legislation provide recycling targets?
No further action needed. See examples of mandatory collection and recycling targets from the EU, the Netherlands and Estonia.
Consider one or more of the following forms of mandatory recycling targets.
Does the legislation include incentives?
Does the legislation outline how facilities need to comply with recycling targets and set penalties for the loss of recyclable material in the solid waste stream for disposal?
Have you allowed/provided for these challenges and unintended impacts?
Does the waste management legislation outline which specific products can be returned, including product type (bottles containers) and/or material quality (colour and thickness)?
Does the legislation describe a centralized or decentralized take-back/deposit-refund system?
Centralized
Decentralized
Does the legislation stipulate the amount to be refunded in a deposit-refund scheme?
Does the legislation define and describe the refund regime, including who administers the refunds and at which point?
Does the legislation prescribe labelling requirements for products participating in the take-back or deposit-refund scheme?
Does the legislation stipulate the need for companies to institute an internal compliance mechanism to curb fraud within the deposit-refund system?
This could easily be done through instituting reporting requirements.Does the legislation include provisions for criminal or civil penalties for failure to report on the funds collected in the scheme and their use?
Does the legislation support consumer education schemes?
Does the legislation authorise relevant authorities, producers or retailers to engage in consumer education activities?
No further action needed.
Are there measures in place to support research and development in relation to alternatives to plastics?
Do guidelines on public procurement encourage a shift away from single-use plastic products?
Have you identified some common terms used in plastic pollution control legislation?
See the glossary of terms available in this toolkit here.
Consider the following questions
Does the legislation provide adequate safeguards to tensure transparency in the levy, use and allocation of funds?
Does the legislationcover all of the following aspects?
• How and when any taxes, levies, fees or penalties will be collected
• Who will collect them
• Where these funds will be held and managed
• What accounting system will be used
• What the funds will be used for
• How and when updates will be provided to the relevant stakeholder groups
No further action needed
Consider strengthening the legislation to include appropriate safeguards
Consider the following safeguards:
- How and when any taxes, levies, fees or penalties will be collected
- Who will collect them
- Where these funds will be held and managed
- What accounting system will be used
- What the funds will be used for
- How and when updates will be provided to the relevant stakeholder groups
Does the legislation establish a complaints mechanism?
No further action needed
Consider amending the legislation to establish suitable mechanisms for redress
Does the legislation provide grounds for appeal?
No further action needed
Consider providing opportunities to stakeholders to the contest mistakes and to guard against the corrupt or otherwise improper imposition of penalties.
Does the legislation clarify institutional roles and responsibilities?
Does the legislation establish which authorities are responsible for carrying out the tasks created by the new policy/legislation?
Have you considered whether:
- these authorities have a sufficient mandate to fulfil those responsibilities
- these authorities have sufficient financial and human resources to fulfil their mandate
- the responsibilities are clearly allocated among federal and local or state authorities and whether local authorities have the resources to implement federal directives
No further action needed
Consider drafting appropriate legislation to strengthen institutional capacities
Consider drafting appropriate legislation to clarify institutional roles and responsibilities
Are there are mechanisms in place to ensure institutional cooperation?
No further action needed
Consider drafting appropriate legislation to strengthen institutional coordination
Consider drafting appropriate legislation to clarify which institutions are responsible for accountability measures and which are empowered to receive complaints or provide redress to aggrieved stakeholders. Consider introducing provision to facilitate institutional coordination on the policy.