Is the proposed policy change informed by a baseline assessment?
No further action needed
Consider undertaking a baseline assessment to identify the sources of those plastics and their social, economic and environmental impacts
Key term: Baseline assessments

Does the legislative process require public participation?
No further action needed
Consider drafting legislation to ensure that stakeholders are able to contribute meaningfully to the legislative process.
Key term: Stakeholder engagement

Have you conducted a review of your legal framework?
No further action needed (but see 'No' option for more information on what this review entails.)

Consider undertaking a full legal assessment - see pop-up info box below.


Does the law list the objectives to achieve through regulatory intervention?
No further action needed

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?
No further action needed

Consider introducing a mechanism to assess the potential environmental, social and economic impacts of the proposed legislation

Key term: Regulatory impact assessments, Life-cycle assessments

We recommend that you read through the following interactive lesson from the course on 'Marine Litter and Plastic Pollution - Legal Frameworks', or download and read the PDF of that lesson HERE to assist you to complete this step.

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 bags

Plastic (carrier) bags based on their thickness, plastic bags based on material composition, plastic bags based on thickness and material composition.

Disposable products

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.

Key term: plastic packaging, plastic straws, single-use plastics, polystyrene (PS)
A class of products

A class of products, such as single-use food ware or oxo-degradable plastics.

Consider the other legislative options detailed in this toolkit to address the gap.
Key term: Single use plastics, plastic waste, bio-based plastics, bioplastics, biodegradable plastics, compostable plastics, oxo-degradable plastics, polymer degradation, domestic waste, medical waste, microbeads, microplastics, marine litter, plastic packaging
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?
No further action needed.
Consider carrying out a baseline assessment to identify the costs and benefits of extending the ban or restriction across all activities
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:

Consider reviewing these exemptions to determine whether they are still justified or if plastics alternatives should be encouraged.
No, they are for commercial purposes.

See the main exemption categories and example laws below and then click 'next' to move on:

Consider reviewing these exemptions to determine whether they are still justified or if plastics alternatives should be encouraged.

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.

Key term: exempted products, product ban
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?
See options and challenges below
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?
LIFE-CYCLE ASSESSMENT
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
There are many challenges associated with biodegradable, compostable, bio-based and oxo-degradable plastics. Consider alternatives to that product are available and consider the environmental and economic impacts of the alternatives through the whole life cycle.
Carry out a baseline assessment to determine what alternatives are environmentally acceptable and readily available and affordable.
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?
LIFE-CYCLE ASSESSMENT
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
There are many challenges associated with biodegradable, compostable, bio-based and oxo-degradable plastics. Consider alternatives to that product are available and consider the environmental and economic impacts of the alternatives through the whole life cycle.
Key term: Plastic alternatives, Life-cycle assessments, biodegradable plastics, compostable plastics, bio-based plastics, bioplastics, oxo-degradable plastics, exempted products, product bans
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.

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.
Consider introducing a phased implementation or grace period to the ban or restriction. Such measures give businesses and consumers time to adjust their behaviour.
Consider introducing a phased implementation (see the YES option for more information) or grace period to the ban or restriction. Such measures give businesses and consumers time to adjust their behaviour.
Key term: single-use plastics
Key term: economic instruments, enforcement
Will the legislation identify an authority responsible for enforcement with a clear definition of its mandate?
Consider the following:
Mandate

Whether these authorities have a sufficient mandate to fulfil those responsibilities

Resources

Whether these authorities have sufficient financial and human resources to fulfil their mandate

Allocation

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

Key term: Enforcement, verification of compliance, fines

Does the law provide clear definitions of terms?
See the Plastics Glossary available on this Toolkit here.
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.

Consider revising the legislation to make this clear.
Key term: Taxes
Consider revising the legislation to identify the point of charge.
Key term: Taxes
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 bag

Consider revising the legislation to make this clear

Consider revising the legislation to identify the specific product(s) to be taxed. See example from Senegal.
Key term: Key terms: Plastic carrier bags, Lightweight plastic carrier bags, Plastic packaging, Plastic straws, Polyethylene terephthalate (PET)
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?
Consider revising the legislation to make this clear.
Consider revising the legislation to identify the specific product(s) to be exempted.
Key term: Key terms: Plastic carrier bags, Lightweight plastic carrier bags, Plastic packaging, Plastic straws, Polyethylene terephthalate (PET)
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?
No further action needed.
Consider revising the law to take into account this provision.
Consider revising the law to make this clear.
Consider revising the legislation to specify how the tax will be collected.
Key term: Key terms: Plastic carrier bags, Lightweight plastic carrier bags, Plastic packaging, Plastic straws, Polyethylene terephthalate (PET)
Key term: Enforcement
Does the law specify who will manage the revenues collected?
No further action needed but be aware that unwise use of revenues may undermine public policy goals and impact public support.
Consider revising the law to include this provision.
Key term: Key terms: Plastic carrier bags, Lightweight plastic carrier bags, Plastic packaging, Plastic straws, Polyethylene terephthalate (PET)
Key term: Taxes, Levies, Single-use plastics, Plastic carrier bags, Lightweight plastic carrier bags, Plastic packaging, Plastic straws, Polyethylene terephthalate (PET)
Does the law provide clear definitions of terms?
No further action needed
See the Plastic Glossary available on this Toolkit here
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?
No further action needed
Consider revising the law to clarify this.
Consider revising the law to specify the units to be subsidised
Key term: Taxes
Consider revising the law to identify specific products to be subsidised.
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?
No further action needed
Consider revising the law to set out the entity managing the tax-break programme/regime to enhance accountability.
Key term: Taxes, Tax breaks, Subsidies, plastic alternatives; plastic carrier bags; bio-based plastics; bioplastics; biodegradable plastics; compostable plastics
Key term: Economic instruments

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?
Consider revising the legislation to ensure effective implementation of any relevant Treaty obligations.
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?
Consider revising the law to specify the repercussions for non-compliance. For further details see the 'Yes' branch.
Consider revising the law to include an entity responsible for monitoring and reporting on compliance. For further details see the 'Yes' branch.
Consider revising the law to include a compliance verification element. For further details see the 'Yes' branch.
Does the law specify how to label the relevant products, particularly to indicate the product material components, recyclability or compostability?
Consider revising the law to specify how to correctly label the products. For further details see the 'Yes' branch.
Does the law specify how compliance will be enforced?
No further action needed
Consider revising the law to include a compliance enforcement element, such as inspections, prosecutions and/or audits. For further details see the 'Yes' branch.
Key terms: Enforcement
Key terms: Certification, Labelling, Standardization, Eco-labelling, Product design, Eco-design standards, Enforcement, Compostable plastics, Biodegradable plastics

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)

No further action needed but see the Basel Convention ESM toolkit for additional guidance in this area
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.

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.

Key terms: waste management hierarchy; fines; waste pickers; tax breaks; plastic waste
Does the law provide clear definitions of terms?
See glossary available in the Plastics Toolkit here.
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?
Consider revising the legislation to ensure exemptions are clearly defined.
Consider revising the legislation to define and identify the producers and products to be targeted by the EPR scheme. Consult the Glossary here
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 amending the legislation to ensure producers have a fair amount of time to implement eco-design standards on their products. 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.

Key terms: extended producer responsibility (EPR), eco-design standards, Product design standards
Does the law provide clear definitions of these terms?
No further action needed
See glossary available in the Plastics Toolkit here.
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 defining the scope, including whether the scheme will apply to a single product or a product line; and /or whether it will apply to all types of single-use plastic or packaging, or only commercial or industrial packaging only.
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?
No further action needed
Consider revising the legislation to include a schedule in the law outlining the costs and the responsibility for payment. Producer responsibility organizations or government entities may be designated to collect the fees.

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.

Consider revising the legislation to include these factors. For further details see the 'Yes' branch.
Consider revising the legislation to ensure monitoring of collection rates, appropriate return of products and recycling rates. For further details see the 'Yes' branch.
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)

Consider revising the legislation to include penalties for non-compliance.
Key terms: Extended producer responsibility (EPR), Deposit-refund schemes, Recycling ,Life-cycle approach, Plastic packaging
Does the legislation take into account the need to ensure the continuing viability of the recycling industry?
Consider supporting the viability of the recycling industry with one or more of the following methods:
• Government research and development funding for the private sector
• 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?
No further action needed.
Consider the following options.
Economic instruments such as taxes on the use of virgin plastics, differentiated value added taxes for recycled plastics or plastic products and landfill or incineration taxes.
Other options include incentives to establish and run sorting and recycling facilities, such as sales tax exemptions, low-interest loans or coupon schemes for customers who separate their recyclable waste.
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?
Consider the following challenges and unintended impacts and then click next to move on.
Have you allowed/provided for these challenges and unintended impacts?
These factors have been considered as well as the potential challenges and unintended consequences and the legislation has allowed for these accordingly.
No further action needed.
No, these challenges and unintended consequences have not been considered.
Take some time to review the information above and adjust the proposed legislation accordingly.
Key terms: Recycling, Plastic packaging, Waste export, Waste management
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
Consider revising the legislation to clarify the product type and quality that could benefit from the take-back/deposit-refund scheme.
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?
Consider revising the legislation to clearly describe the deposit-refund regime, including who is responsible for disbursing refunds.
Consider revising the legislation to include a description of the refund amount in a deposit-refund scheme.
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?
No further action needed.
Consider revising the legislation to ensure that reporting requirements are adhered to. For further details see the 'Yes' branch.
Consider revising the legislation to include a provision calling on all companies participating in the deposit-refund scheme to institute internal compliance mechanisms to prevent fraud within the system. For further details see the 'Yes' branch.
Consider revising the legislation to prescribe labelling requirements for products included in the deposit-refund or take-back schemes. For further details see the 'Yes' branch.
Key terms: Enforcement, Deposit-refund schemes, Labelling, Polyethylene terephthalate (PET); plastic packaging

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.

Consider establishing clear funding pathways, mandate certain authorities to engage in such activities and require reporting on such programmes.
Consider establishing clear funding pathways, mandate certain authorities to engage in such activities and require reporting on such programmes.
Are there measures in place to support research and development in relation to alternatives to plastics?
Consider introducing programmes that encourage the private sector, research institutions, industry groups or social enterprises to invest in research and development in relation to such alternatives.
Do guidelines on public procurement encourage a shift away from single-use plastic products?
Consider restricting single-use plastic production, and supporting alternatives to plastic in public procurement.

Have you identified some common terms used in plastic pollution control legislation?
No further action needed

See the glossary of terms available in this toolkit here.


Consider the following questions
Select from below Completed 0/3
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?
Consider both the questions below Completed 0/2
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?
Have you considered which agencies are responsible for data collection, and whether monitoring and evaluation or assessment of compliance have been considered and how institutions will work together?

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.

Key term: Enforcement, Stakeholder engagement