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TACKLING PLASTIC POLLUTION: Legislative Guide for the Regulation of Single-Use Plastic Products
First published by the United Nations Environment Programme in 2020
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TACKLING PLASTIC POLLUTION: Legislative Guide for the Regulation of Single-Use Plastic Products
ii
Table of Contents
Abbreviations..........................................................................................................................................v
Acknowledgements................................................................................................................................vi
Executive summary.............................................................................................................................. viii
1. Introduction.......................................................................................................................................1
1.1. About the guide..............................................................................................................................................2
1.2. Caveats and limitations..................................................................................................................................3
1.3. Methodology...................................................................................................................................................4
2. Key considerations in drafting legislation on single-use plastics........................................................6
2.1. Developing legislation on single-use plastic...................................................................................................7
Establish a baseline...............................................................................................................................................7
Consider the objectives and policymaking principles............................................................................................7
Select the appropriate regulatory approach or combination of approaches...........................................................9
Engage in transparent and diverse consultations................................................................................................10
2.2. Legal drafting considerations.......................................................................................................................12
Definitions...........................................................................................................................................................12
Transparency.......................................................................................................................................................12
Roles and responsibilities....................................................................................................................................12
3. Regulatory approaches....................................................................................................................14
3.1. Bans and restrictions....................................................................................................................................15
Single-use plastic products to be targeted ..........................................................................................................15
Material composition...............................................................................................................................................................15
Activities to be targeted................................................................................................................................18
Exemptions...................................................................................................................................................18
Alternatives................................................................................................................................................................................19
Alternative plastics...................................................................................................................................................................19
Alternative (non-plastic) materials...............................................................................................................21
Phase-out periods and effective dates.........................................................................................................21
Enforcement and penalties...........................................................................................................................22
Implementation challenges and unintended impacts...................................................................................23
3.2. Economic instruments..................................................................................................................................24
Taxes............................................................................................................................................................24
Point of charge..........................................................................................................................................................................25
Taxed and exempted products...............................................................................................................................................26
Unit to be taxed.........................................................................................................................................................................26
Tax rate.......................................................................................................................................................................................26
Enforcement and compliance................................................................................................................................................27
Use and management of revenues.......................................................................................................................................28
Implementation considerations and challenges and unintended impacts....................................................................28
Tax breaks, subsidies and other fiscal incentives...............................................................................................................29
3.3. Standards, certification and labelling...........................................................................................................31
Standards relating to consumer safety and environmental protection.................................................................31
Criteria and specifications......................................................................................................................................................31
Certification...............................................................................................................................................................................31
Labelling or marking................................................................................................................................................................33
Enforcement and compliance................................................................................................................................................35
Implementation challenges and unintended impacts...........................................................................................36
3.4. Post-consumer use and product end of life..................................................................................................37
Waste management legislation............................................................................................................................37
Prevention and minimization of single-use plastic waste.................................................................................................37
Collection, separation and recovery of single-use plastic waste.....................................................................................37
Payments and fees...................................................................................................................................................................37
Regulation of the informal sector..........................................................................................................................................37
Extended producer responsibility........................................................................................................................38
EPR upstream: eco-design and material content...............................................................................................................39
EPR downstream: recycling and end-of-life management................................................................................................39
Reuse and recycling of plastics...........................................................................................................................45
Recycling industry operations................................................................................................................................................45
Recycling targets......................................................................................................................................................................45
Incentives...................................................................................................................................................................................46
Enforcement and compliance................................................................................................................................................46
Implementation challenges and unintended impacts........................................................................................................46
Take-back and deposit-refund schemes..............................................................................................................48
Scope of products covered.........................................................................................................................................................
Centralized versus decentralized systems..........................................................................................................................49
Fees and refunds......................................................................................................................................................................49
Labelling.....................................................................................................................................................................................51
Enforcement and compliance................................................................................................................................................51
Implementation challenges and unintended impacts........................................................................................................51
3.5. Other important measures
Consumer education................................................................................................................................................................52
Alternative products/materials..............................................................................................................................................53
Public procurement..................................................................................................................................................................53
4. Conclusion......................................................................................................................................55
Annexes................................................................................................................................................57
1. Additional resources...........................................................................................................................................58
2. List of laws and bills...........................................................................................................................................59
3. References..........................................................................................................................................................62
iv INTRODUCTION
Abbreviations
CEN European Committee for Standardization
EPR extended producer responsibility
EUROPEN European Organization for Packaging and the Environment
ISO International Organization for Standardization
OECD Organization for Economic Cooperation and Development
PE polyethylene (polythene)
PET polyethylene terephthalate
PP polypropylene
UK United Kingdom of Great Britain and Northern Ireland
UNEP United Nations Environment Programme
US United States of America
WRI World Resources Institute
v
Acknowledgements This publication was developed by the United Nations Environment Programme (UNEP) in partnership with the World Resources Institute (WRI). It was drafted by Carole Excell, Celine Salcedo-La Viña and Laura Notes of WRI. Experts from government, civil society, the private sector and academia provided inspiration and extremely valuable advice and input, all of which significantly helped shape the guide. In this regard, Adena Leibman, Andrea A. Jacobs, Carl Bruch, Christopher Chin, Clare Romanik, Collins Odote, Eduardo Murat, Giulia Carlini, Hugo Schally, Isabelle Verderbeck, Jill Raval, John Hocevar, Justine Maillot, Marcelo Cousillas, Ryan MacFarlane, Sirine Rached and Summer Coish, who participated in the experts consultations on the guide, deserve a special mention for their contributions. Clayton Adams, Fatou Ndoye, Isabelle Verderbeck, Jill Raval and Sunday Leonard of UNEP provided significant input during the experts’ consultations. Allan Meso, Heidi Savelli-Soderberg and Llorenc Mila I Canals of UNEP provided extensive guidance and reviewed the guide at various stages. Thanks are also due to the external reviewers, including the focal points for the Montevideo Programme for the Development and Periodic Review of Environmental Law from Burkina Faso, Canada, Chile, Costa Rica, Finland, Germany, Jamaica, Saint Lucia, the United Arab Emirates and the United States of America and the secretariat of the Basel, Rotterdam and Stockholm conventions. Special thanks go to Andrew Raine (UNEP) and Kevin Moss (WRI) for their invaluable support throughout the process, and to Susannah Keys (WRI), who provided administrative support for the development of the guide and the annexes. The Government of Norway provided invaluable funding for this project through UNEP. vi
Executive Summary
Overview use plastic products. It provides guidance on how to develop
legislation on single-use plastic products, outlines the main
• Plastic products designed to be used only once before they regulatory alternatives, and suggests the key elements that each
are disposed of, termed “single-use plastic products”, are should include. It also provides guidance on the writing of clear
increasingly regulated by Governments concerned about and comprehensive laws and suggests key policy and drafting
the environmental, social, health or other impacts of plastic considerations. The guide gives examples of provisions from
waste and pollution. existing laws regulating single-use plastic products and more
detailed information in the form of national case studies.
• This guide is a tool to help legislators and policymakers
explore options for reducing the harmful impacts of single- The guide draws upon a comprehensive global review of existing
use plastic products by regulating their production and plastics legislation, Legal Limits on Single-Use Plastics and
consumption, promoting alternatives and/or improving the Microplastics: A Global Review of National Laws and Regulations,
management, recycling and final disposal of single-use conducted by UNEP and WRI in 2018 (UNEP 2018c). The review
plastic waste. mapped the status of legislation in 193 countries and classified
the various forms of legislation. In addition, the guide relies
• The guide outlines the most used regulatory approaches on a review of literature on the impacts of these regulatory
and explains the main elements that legislators will need to interventions, to the extent that such literature exists, conducted
consider when drafting legislation. in the first half of 2019.
• Each type of regulatory approach is illustrated by examples In writing the guide, existing regulatory approaches were
of actions taken by governments around the world, including mapped relying on the global review. Under each of the identified
sample legal provisions. regulatory approaches, key elements were identified and then
defined as the minimum components that legislators should
incorporate or consider when crafting legislation or regulations
Context using that particular approach. The elements were taken
from a combination of better practices identified during the
Concerns about the environmental and social harm caused literature review, approaches used in existing laws and legal
by plastic waste and pollution have led to a surge in laws and drafting principles. In each category of regulatory approach,
policies designed to control the production and use of single- representative legal provisions were selected, ensuring that the
use plastic products. The legislation is not, however, always examples reflected a diversity of policy goals and geographical
comprehensive or effective, and there is a lack of clear guidance locations.
on what should be included – guidance that governments will
increasingly need. Developing legislation on single-use plastic products
This guide was developed to support the implementation of Establish a baseline, consider the objectives and policymaking
resolutions 1/6, 2/11, 3/7, 4/6 and 4/9 of the United Nations principles, select the right regulatory approach and engage in
Environment Assembly, adopted at its first, second, third and transparent and diverse consultations.
fourth sessions in 2014, 2016, 2017 and 2019 respectively, which Baseline assessments can provide information on the
call on States to address the environmental impacts of marine environmental harm caused by single-use plastics, the realities of
plastic litter and pollution from single-use plastic products. the market, consumer attitudes and the potential social impacts
Furthermore, in 2019 the European Union issued a new directive, of a policy. They can also address the availability of sustainable
2019/904, on the reduction of the impact of certain plastic alternatives and assess the comparative environmental impact
products on the environment, that will require member States of those alternatives throughout the product life cycle. Careful
to adopt national legislation banning certain single-use plastic selection of the policy priorities and the regulatory approach can
products. The guide aims to aid legislators and policymakers result in a law that is tailored to concerns identified in the baseline
around the globe, including those without expertise in the assessment. Rigorous, expansive consultations will limit later
subject, in understanding possible regulatory approaches and implementation challenges and ensure that stakeholders’
the elements that should be included when they draft legislation. concerns are incorporated into the legislation.
Use clear definitions, incorporate transparency and
About the guide accountability mechanisms and articulate precise institutional
roles and responsibilities
The guide is intended to be a practical tool for those working Single-use plastic regulation can involve technical terms that
to develop laws and regulations to limit or manage single- must be clearly explained to avoid confusion. Clear definitions will
vii
aid subsequent implementation and interpretation. Transparency How the tax revenues will be managed and by which agency and
and accountability mechanisms must be considered where for what purpose the revenues will be used.
taxes or fees are collected, funds are created, and licences are
allocated. Accountability mechanisms should ensure that there Fiscal incentives can take a wide variety of forms, depending
are opportunities for appealing enforcement of the law and on the behaviour that they are intended to incentivize. Laws can
making complaints. Institutional roles must be clearly defined, create tax incentives or subsidies for the production or sale of
appropriate resources allocated and sufficient mandates for alternatives to single-use plastic products.
implementation granted to the appropriate authorities.
Product standards, certification and labelling requirements
Principal regulatory approaches can be designed to target sustainable alternatives to single-
use plastics or to mitigate the harm caused by single-use
Bans and restrictions directly prohibit the production, plastics.
importation or exportation, distribution, sale or use of one or In the preparation of legislation that includes standards, the
more single-use plastic products. When preparing legislation to guide recommends consideration of the following:
ban single-use plastics, this guide recommends consideration
of the following: • What criteria and specifications will be imposed on single-
use plastics, such as requirements related to the specific
• Which single-use products the ban will target, along with material composition or to features such as recyclability,
precise definitions of each product. reusability, compostability and biodegradability.
• Which activities the legislation will target. It can cover any • How compliance with legislated standards will be verified
part of a product’s life cycle from production through to and by which authorities or entities.
use, or target one specific behaviour, such as the sale of the
product. • What labels or marking on products will be required to show
compliance with environmental standards.
• What exemptions will be established in the legislation.
Certain types of plastic or certain uses of single-use plastics • What enforcement mechanisms will ensure compliance
may be exempted from the ban for a variety of reasons, such with any legislated standards.
as health and safety concerns or the lack of sustainable
Extended producer responsibility (EPR) schemes use a
alternatives.
combination of regulatory approaches to extend manufactur-
ers’ responsibility for single-use plastic products throughout
• Which alternatives to the banned products should be
their life cycle, including to the end-of-life stage.
exempted from the scope of or promoted by the legislation,
based on their environmental and other impacts. An EPR scheme will include an “upstream” component, which
focuses on the design and material content of products, with
• What the effective period of implementation should be, the goal of promoting more sustainable products (eco-design),
possibly involving a grace period for the implementation of and a “downstream” component, which requires that producers
a ban or a phased approach to the introduction of the new directly or indirectly take responsibility for the plastic waste from
requirements. their products. In the preparation of legislation that includes
EPR upstream, the guide recommends consideration of the
• Which authorities should be responsible for enforcement, following:
what enforcement mechanisms are needed and what • Which producers and products will be targeted with the
penalties should be imposed for violation of the ban. policy.
Economic instruments impose taxes to deter production or
• Which types of product will be exempt from eco-design
use of single-use plastics or offer tax breaks, subsidies or
requirements.
other fiscal incentives to encourage the production and use of
alternatives to single-use plastic products.
• Which eco-design standards will be chosen, such as those
In the preparation of legislation to impose taxes on single-use that prioritize human health and safety (e.g., permitted
plastic products, the guide recommends consideration of the levels of harmful substances) or technical performance
following: (e.g., the degree of recyclability or permitted levels of
recycled content).
• The point of charge, meaning when the tax is imposed, the
level at which it is set and who will pay it. • Whether economic instruments can contribute to the
scheme by creating incentives for eco-design.
• Which products are covered by the tax and what exceptions
are allowed. • How labelling requirements can help consumers understand
which products meet eco-design standards.
• The unit on which the tax is imposed, such as a single plastic
bag or plastic amounting to a certain weight. Considerations for EPR downstream include the following:
• How the tax will be documented, reported and collected, and • How to define the parties responsible, including which
which people or entities will be responsible for collecting it. entities will be considered a producer.
viii• Which single-use plastic products will be covered by the Legislators may consider setting recycling targets, for example,
EPR scheme. a certain percentage of products to be recycled or of recycled
content in new plastics. Targets may be paired with economic
• The type of EPR system, meaning the form of responsibility instruments, such as incentives and sanctions. Deposit-refund
that will be imposed on producers. schemes, which require a deposit when plastic packaging is
purchased, to be refunded if the packaging is returned, also seek
• The roles and responsibilities of those responsible for to improve collection rates for higher-quality recycling. In the
implementing the EPR scheme, including whether producer preparation of legislation that includes deposit-refund schemes,
responsibility organizations will be established. the guide recommends consideration of the following:
• How to regulate the costs of the scheme and any fee • What types of product the deposit will be imposed on and
structures. which products will be eligible for return.
Waste management legislation can be amended so that it • Whether the scheme will be centralized, with a deposit
better fosters opportunities for single-use plastics to be company that arranges and collects the fee, or use of a
recovered, recycled or reused. decentralized system with multiple different schemes for
Waste management policies can take numerous forms, but different products.
involve support for the separate collection of different waste
streams, either through the mandating of separate collection at • How much the fee will be, how it will be collected and
the household and/or commercial level or waste separation at refunded, how uncollected deposits will be used and how
a later stage. Economic instruments such as landfill fees can the funds will be managed.
target waste management practices. Legislation can support
the waste management work of the informal sector or “waste • What labelling requirements can signal that an item is
pickers” by, for example, increasing compensation for their subject to the scheme and inform customers that the item
work or supporting formal recognition of their collectives. is returnable for a refund.
Legislators and policymakers may also need to address rules
relating to exports or imports of plastic waste, including how This guide also highlights the potential for governments to
new rules under the 1989 Basel Convention on the Control of be creative in combining approaches or generating other
Transboundary Movements of Hazardous Wastes and their solutions.
Disposal (Basel Convention) impact national practices. Similarly, Other regulatory approaches that have been legislated to effect a
national-level waste management legislation can support change in consumer and producer behaviour include consumer
efforts to recycle single-use plastics. This support can take education programmes, funds or prizes; public procurement
myriad forms, including funding for research and development, requirements; reuse incentives; and public-private partnerships.
funding for acquisition of technologies for the recycling of
single-use plastics, the harmonization of recycling standards at
the local level or support for the design of recyclable products.
ix1. Introduction
1Single-use plastic products, also referred to as disposable single-use plastic products. After China introduced a ban on
plastics, are common plastic items intended to be used the importation of 24 kinds of solid waste, including plastics,
only once by the consumer before they are disposed of. The in 2017, top waste-producing countries have scrambled to deal
definition of such plastics is discussed in box 1. Concerns with accumulating plastic waste. Much of that waste has been
about the environmental and social harm caused by plastic diverted to poorer countries, which object to being treated as a
waste and pollution have led, in recent years, to a surge in dumping ground (Freytas-Tamura, 2018; Holden, 2019).
laws and policies designed to control the production and use
of single-use plastics. This trend dates from the early 2000s, In May 2019, at its fourteenth meeting, the Conference of
when efforts to target the use of plastic bags first began. Since the Parties to the Basel Convention, which comprises 186
that time, there has been a steady increase in such legislation countries and one regional economic integration organization,
globally; by July 2018, at least 127 countries had adopted some amended Annexes II, VIII and IX to the Convention with a view to
form of legislation regulating plastics (UNEP, 2018d). Much enhancing control of the transboundary movements of plastic
of this legislation, however, is not comprehensive, addressing waste and clarifying the scope of the Convention as it applies to
only certain single-use plastic products or only specific such waste. These changes will require adjustments to national
circumstances, and overall global consumption and circulation policies and regulations regarding plastic waste management
of single-use plastic products remains high. worldwide.
Accordingly, policymakers are increasingly calling for more
encompassing limitations on the production and consumption 1.1 About the guide
of single-use plastics and for improved post-use management.
The United Nations Environment Assembly, at its first, second, This legislative guide is intended to help policymakers and
third and fourth sessions, in 2014, 2016, 2017 and 2019 legislators who are seeking to develop legislation that addresses
respectively, adopted resolutions 1/6, 2/11, 3/7, 4/6 and 4/9 the continuing reliance on single-use plastic products to avert
to address the environmental impacts of marine plastic litter the longer-term environmental, social and economic harm
and pollution from single-use plastic products. Stressing the caused by plastic litter and plastic pollution. It complements
importance of the long-term elimination of the discharge of existing documents available to policymakers and legislators,
litter and microplastics to the oceans, the resolutions call on providing guidance on the development of legislation on plastic
States Members to develop national actions to address the pollution, outlining the main regulatory options and making
environmental impacts of single-use plastics. Resolution 4/9 recommendations on the elements to be included in each option.
also encourages States Members to develop and implement It provides guidance on the writing of clear and comprehensive
national or regional actions, as appropriate, in order to address laws and suggests key policy and drafting considerations. It
the environmental impact of single-use plastic products, to take also gives examples of provisions from existing laws regulating
comprehensive action with regard to single-use plastic products single-use plastic products.
in addressing related waste through, where appropriate,
legislation and to take other actions to promote alternatives to The main audiences of the guide are policymakers, lawyers
single-use plastics, improve waste management and develop and legislators. Civil society and the broader community
sustainable consumption patterns. Policymakers are also working to develop better regulations on plastic pollution may
urging all actors to step up actions to achieve Sustainable also find it useful. The guide is designed in such a way that
Development Goal 14, which is, by 2025, to prevent and policymakers themselves can determine which sections are
significantly reduce marine pollution of all kinds, in particular relevant to their policy approach and the legislation that they
from land-based activities, including marine debris and nutrient are crafting. Nevertheless, it is hoped that this guide will be
pollution (United Nations, 2015). This guide therefore aims to used in a holistic manner. Some of the most effective plastic
help States that are developing national legislation on plastic, pollution policies are those that combine a variety of legislative
including single-use plastics, in response to these resolutions. approaches. Furthermore, a holistic reading of the guide will help
policymakers understand the range of approaches available to
Regionally, in 2019, the European Union issued a new directive, them. While comprehensive research on the environmental and
2019/904, on the reduction of the impact of certain plastic other impacts of each of these approaches is lacking, some
products on the environment, which will require States Members preliminary comments on the potential challenges relating to
to adopt national legislation banning certain single-use plastic each of them is offered. Policymakers will need to consider these
products and improving the management of others to reduce carefully, preferably in the light of environmental studies and
their impact on the marine environment. Some of the measures, consultations that explore further the potential environmental,
including a ban on specified products, must be in place by 3 social, economic and other impacts of each given approach.
July 2021. Although less authoritative than the European Union,
other regions, such the Caribbean and the Pacific, have seen There is no one-size-fits-all approach to regulating single-use
some momentum in the coordination of legislation on single-use plastic products. This guide gives examples of existing legislation
plastic products (Chappell, 2018). The East African Community and identifies common elements of such legislation based on
has for several years been considering a polythene materials a global comparative study. Nevertheless, economic, political,
control bill, which would create a common commitment to social and other contexts will always require the tailoring of
banning plastic bags. policies to the local context. For this reason, the present guide
emphasizes the importance of baseline studies and extensive
Recent developments relating to global waste management consultations with key stakeholders.
may provide further incentive for countries to amend laws on
2 INTRODUCTIONBox 1: What is a single-use plastic product?
The guide considers single-use plastic products to be plastic bags and plastics commonly used for the packaging, wrapping
or handling of goods, cutlery, plates, straws, drink stirrers, drink and food containers, plastic cotton buds, balloons, tobacco
products with filters, wet wipes and sanitary towels. It does not include in the definition microbeads, plastic toys, fishing gear
or pellets.
Different jurisdictions, however, should determine the scope of any such definition based on the materials to be regulated. Laws
may therefore differ in terms of the types of plastic that they cover. For example, the 2019 European Union directive, 2019/904,
on the reduction of the impact of certain plastic products on the environment provides the following guidance to member
States in defining single-use plastics:
“(12) … the term ‘single-use plastic product’ should be defined. The definition should exclude plastic products that are
conceived, designed and placed on the market to accomplish within their life span multiple trips or rotations by being refilled
or reused for the same purpose for which they are conceived. Single-use plastic products are typically intended to be used
just once or for a short period of time before being disposed of. Wet wipes for personal care and domestic use should also
be within the scope of this Directive, whereas industrial wet wipes should be excluded. To further clarify whether a product
is to be considered a single-use plastic product for the purposes of this Directive, the Commission should develop guidelines
on single-use plastic products. In view of the criteria set out in this Directive, examples of food containers to be considered
as single-use plastic products for the purposes of this Directive are fast-food containers or meal, sandwich, wrap and salad
boxes with cold or hot food, or food containers of fresh or processed food that does not need further preparation, such as
fruits, vegetables or desserts. Examples of food containers that are not to be considered as single-use plastic products for the
purposes of this Directive are food containers with dried food or food that is sold cold requiring further preparation, containers
containing food in more than single-serve portions or single-serve portion-sized food containers sold in more than one unit.
…“Article 3
Definitions
…
(2) ‘single-use plastic product’ means a product that is made wholly or partly from plastic and that is not conceived, designed
or placed on the market to accomplish, within its life span, multiple trips or rotations by being returned to a producer for refill
or re-used for the same purpose for which it was conceived;”
Single-use plastic products may be composed of a variety of types of plastic but differentiating between these various types
may be important for recycling or waste management purposes. The Plastics Industry Association provides a categorization
that is commonly used by manufacturers and consumers. These are:
1. Polyethylene terephthalate (PETE or PET)
2. High-density polyethylene (HPDE)
3. Polyvinyl chloride (PVC or V)
4. Low-density polyethylene (LPDE)
5. Polypropylene (PP)
6. Polystyrene (PS)
7. Other plastics (OTHER)
The guide comprises four sections. This first section introduces 1.2 Caveats and limitations
the challenges posed by single-use plastics and describes the
purpose of the guide, its intended audiences and the limitations Comprehensive research on the social, environmental and
of its use. It also sets out the methodology employed in economic consequences of the various policy interventions
preparing the guide. The second section outlines the preliminary used to regulate single-use plastics products is lacking. There is,
assessments that policymakers should undertake before however, a pool of relatively robust literature evaluating whether
developing a new law or regulation. The third and main section plastic bag bans and levies have resulted in reduced plastic bag
of the guide examines the regulatory approaches currently consumption. Nevertheless, even in that area, research into the
being used to manage the impact of single-use plastic products. broader impacts of the policies and their effectiveness remains
For each approach, the guide examines the key elements that limited and the literature inadequately addresses the impacts
should be included in potential interventions, offers sample of such policies in lower-income countries. The literature on
legal provisions from existing legislation and provides at least other policies that target single-use plastic products remains
one case study. The fourth section examines some of the sparse, partly because many of the policies are relatively new.
alternative approaches that countries have developed to address The lack of a strong evidence base limits the ability of this guide
single-use plastics.
3to make recommendations regarding good practices; in some • Information indicating successes, failures or unintended
instances, the authors were able only to map existing examples consequences in implementation, enforcement or
of legislation and not their ensuing success or failure. It is compliance
therefore particularly important that Governments conduct their
own assessments of and research into the potential impact of • Legal regulations using a circular economy approach
the policies proposed.
• The reasons for adoption of the chosen method of regulation
Some preliminary consideration has been given to the potential
effects of the various policy approaches, informed by a review of Initially, the literature review focused on identifying any studies
the literature. This guide does not, however, engage in a broader or reports that provided overall commentary on regulatory
debate about the best policy approaches for regulating single- approaches, followed by review of those that focused on specific
use plastic products. For example, concerns exist about the wider approaches. The findings of the 2018 global review were then
environmental impact of banning certain single-use plastics if used to delve deeper into certain issues. For example, using the
consumers replace them with other environmentally harmful countries identified in the global review as having specific types
choices. Some of these policy issues are briefly discussed, such of policies, specific searches were conducted to try to identify
as those relating to the use of alternatives to plastics, but more any subsequent information on the implementation or impacts
comprehensive discussion is beyond the scope of this guide. of that particular regulatory approach in those countries.
Finally, while a wide variety of laws are examined to show potential The legislative guidance covers four categories of regulatory
regulatory options, the fact that this is an English-language guide approach that can be adopted for single-use plastic products:
means that the selection of legal provisions is skewed towards bans and restrictions; economic instruments; standards,
English-speaking countries or countries where good translations certification and labelling; and post-consumer use and product
are available. Where possible, we have summarized non-English end of life. In each of these categories, threefold analysis
laws in a narrative form, including some French- and Spanish- was conducted, informed by (i) the legislation review; (ii) the
language laws. literature review and basic principles of legislative drafting;
and (iii) applicable provisions in relevant international soft law
documents.
1.3 Methodology
First, under each of the four categories, the range of existing
This legislative guide draws upon two streams of research. national regulatory approaches were mapped, using the global
The first is a comprehensive global review of existing plastics review of legislation to identify the main types and the extent to
legislation carried out by UNEP and WRI, Legal Limits on Single- which had been adopted by countries. Key elements under each
Use Plastics and Microplastics: A Global Review of National Laws regulatory approach were then identified, which were defined
and Regulations (UNEP, 2018c). The review examined legislation as the minimum components that need to be incorporated or
in 193 countries, using one set of indicators relating to plastic bag considered during the design of that type of legislation. The
regulations and a similar set of indicators relating to single-use elements were chosen based on a review of existing laws and
plastics regulations more generally. The indicators, which can legal drafting principles.
be examined in full in tables 42 and 43 of the review, provide a
detailed classification of the scope and nature of the regulations Second, representative legal provisions were selected to highlight
examined with respect to manufacture and production, use, various features of the regulatory approach examined in each
disposal and trade for plastic bags and for single-use plastic section. In selecting these provisions, the following factors were
products. For each of the four categories there were indicators considered:
relating to the overall regulatory approach, the materials being
regulated, responsibility for the payment of fees and taxes, and • Whether the examples were representative of the major
the extent of the prohibition or ban. This information was used regulatory approaches
to comprehensively map the existing landscape of single-use
plastic regulations. • Whether the examples reflected diverse policy approaches
to regulating single-use plastic products and diverse legal
The second research stream is a literature review that was avenues for achieving those goals
conducted in the first half of 2019 to examine the impact of
existing laws and policies and related successes and challenges. • Whether there was geographic diversity among the countries
The literature review focused on reports from authoritative that had enacted the selected provisions
sources, published academic studies and policy documents.
Owing, however, to the limited existence of literature evaluating Although the provisions were selected to highlight a diversity
the impact of specific regulatory approaches, news articles, of approaches rather than good practices, consideration was
websites and other less formal sources were also considered. made on whether they reflected principles of international
The literature review sought to identify the following: environmental law, such as the “polluter pays” principle, and
other standards in other international instruments; whether the
• Legislative approaches with some positive impact on single- choice of approach was rooted in a baseline assessment of the
use plastic reduction, reuse or recycling particular country’s reliance on single-use plastic products; and
whether the policy had had an actual impact on the management
• Evidence of gaps in legislative or regulatory approaches of single-use plastic products, where evidence was available.
4 INTRODUCTIONThird, although this guide does not attempt to map in a of various approaches, implementation and enforcement
comprehensive manner the impact or policy consequences of issues and possible secondary consequences, such as social
the various interventions, each section includes a short summary or economic impacts. Given the limited existing literature on
of policy concerns and possible unintended impacts that these issues, however, the sections should be considered
drafters may want to consider. Case studies are also featured as preliminary. They are included to offer guidance on what
throughout the guide, which may offer insight into the impacts, kinds of questions policymakers should ask as they conduct
lessons learned and challenges resulting from a particular impact assessments or engage in consultations in relation to a
regulatory intervention. These sections of the guide are informed proposed single-use plastic regulation.
by the literature review and deal with the environmental impacts
52. Key considerations in drafting legislation on single-use plastics 6 KEY CONSIDERATIONS IN DRAFTING LEGISLATION ON SINGLE-USE PLASTICS
The first part of this section looks at the main choices examine the potential economic, social and environmental
policymakers must make when developing legislation on single- consequences of the proposed regulatory change, including who
use plastic legislation. These include: will likely benefit and who will bear the costs. They also identify
what mix of policies would be needed to achieve the identified
• establishing a baseline public policy goals (Organization for Economic Cooperation and
Development (OECD), 2012).
• considering objectives and policymaking principles
Regulatory impact assessments are helpful for planning
• selecting the appropriate regulatory approach specific regulations. For example, a recent study prepared for
the Government of the United Kingdom of Great Britain and
• engaging in transparent and diverse consultations. Northern Ireland evaluated a proposed ban on plastic straws,
plastic-stem cotton buds and plastic drink stirrers. The study
The second part makes some recommendations to guide the examined two different scenarios – a ban or no ban – to aid
legal drafting process, focusing on how drafters can plan ahead legislators in choosing the approach. Under each scenario,
to avoid common difficulties in implementing legislation on it assessed the current market for each product, evaluated
single-use plastics, including the monitoring and evaluation of stakeholder perceptions of a ban, examined social and economic
enforcement. impacts and identified implementation risks. It also looked at the
environmental impacts of each approach and conducted a life-
cycle assessment (United Kingdom, 2019).
2.1 Developing legislation on
single-use plastic A life-cycle assessment is a key tool at this stage. It entails
a “cradle-to-grave” evaluation of the resource use and
environmental risks associated with a product (Curran, 2016).
Establish a baseline This tool can guide legislators in considering how to regulate a
product throughout its life cycle, thereby minimizing the harm
Before enacting legislation regulating single-use plastics, caused by the product at various stages, and in considering
Governments should consider conducting their own baseline what alternatives to promote over others.
assessments to obtain an understanding of which single-
use plastic products are most prevalent and problematic
in their nation. In the assessment, Governments should Consider the objectives and policymaking
identify the sources of those plastics and the reasons that principles
they are problematic and identify their social, economic and
environmental impacts (UNEP 2018d). Assessments should Generally, Governments should bear in mind the relevant
also seek to determine the perceptions of consumers, industry international treaty obligations by which they are bound, such
and other stakeholders regarding single-use plastics and their as those of the Stockholm Convention on Persistent Organic
willingness to accept regulatory interventions. This is important Pollutants (Stockholm Convention) and the Basel Convention.
for anticipating potential implementation challenges or public States may have responsibilities under such treaties to take
backlash. Establishment of a baseline will also facilitate the steps to minimize the generation of plastic waste, ensure the
monitoring of results, which is essential for measuring the environmentally sound management of plastic waste and
effectiveness of a policy intervention in combating plastic waste control transboundary movements of hazardous plastic waste.
and pollution. Members of the European Union also have obligations under
the 2019 directive 2019/904 on the reduction of the impact of
Baseline assessments can ensure that the legislation targets certain plastic products on the environment.
the most problematic plastic products and determine what
alternatives are already known and available. For example, the Beyond their international commitments, policymakers should
2019 European Union directive, 2019/904, on the reduction decide what they wish to accomplish through the legislation. The
of the impact of certain plastic products on the environment main objectives will vary depending on domestic factors such
identifies a list of single-use plastic products that will no longer as local policy priorities, environmental and pollution concerns,
be marketed in the region based on the most common sources consumer habits, industry and business concerns, national and
of plastic litter in the Union. It is estimated that the plastics on local government goals and the political situation.
the list account for 86 per cent of plastic litter on European
beaches. For some other plastics, a ban was not considered a Possible objectives include:
feasible option because sustainable alternatives were not yet
available. For these, the directive adopted alternative regulatory • Reducing plastic pollution
approaches. In this way, it combined consideration of which
products were harmful with consideration of the extent of • Reducing the amount of plastic in landfills
change that consumers could realistically handle.
• Easing waste management burdens or reducing costs for
Another key tool for policymakers is a regulatory impact the Government
assessment, which maps the potential impacts of a proposed
policy approach. Good practice is for such assessments to • Addressing the specific public health impacts of plastic as
opposed to other materials
7• Complying with regional regulations and standards • Circular economy: In a traditional linear economy model,
resources are extracted, made into products and disposed
• Reducing marine ocean debris and harm to wildlife of. A circular economy model may emphasize eliminating
waste; increasing reuse, recycling and recovery of materials;
• Encouraging a shift in consumer behaviour towards the use reducing use of finite resources and shifting to renewable
of more sustainable alternatives alternatives; and decreasing negative elements such as
pollution (Ellen MacArthur Foundation, 2015; Kirchherr,
• Improving overall environmental regulatory standards Reike and Hekkert, 2017; World Economic Forum, 2014).
Box 2 gives an example of how this policy approach might
• Reducing the volume of single-use plastic products entering influence legislation.
the market or increasing recycling
• “Polluter pays” principle: Under the “polluter pays” principle,
Table 1 gives examples of how different types of legislation can environmental policies seek to place the cost of pollution
support different policy aims. on the person or entity responsible for generating it. Such
Table 1: Examples of policy approaches and possible legislative responses
Type of policy Ban EPR up- EPR down- Tax Procurement Fees Standards/
stream stream rules labelling
Supporting alternatives ü ü ü ü ü ü
to single-use plastic
products
Promoting reuse ü ü ü ü ü
Developing recycling ü ü ü ü ü
markets
Shifting economies away ü ü ü ü ü
from the production
of single-use plastic
products
Increasing the provision ü ü ü
of funding to improve
waste collection
Reducing problematic ü ü ü ü ü
single-use plastic
products
Governments should also consider the environmental approaches may suggest the use of economic instruments
policymaking approaches that they wish to govern the to internalize the costs of health, environmental or other
legislation. The following are particularly important in the harm caused by producers.
context of legislation on single-use plastic products and are
well developed in international discourse: • Just transition: The concept of “just transition” involves
ensuring that the move to a sustainable economy integrates
• Waste management hierarchy: At the global level, the the “goals of decent work for all, social inclusion and the
waste management hierarchy concept encompasses eradication of poverty” (International Labour Organization,
prevention, minimization, reuse, recycling, other types of 2015). This principle can help legislators consider the
recovery, including energy recovery, and final disposal. impacts of single-use plastic policies on groups that may
Waste prevention should be the preferred option in any not have a voice in high-level environmental policy debates
waste management policy. This policy approach may or people that may lose their jobs because of legislative
inspire a regulatory choice focused on the production of changes. It may mean developing creative policies that
and consumer demand for single-use plastic products promote economic and employment opportunities relating
instead of on recycling and waste recovery efforts. to alternatives to single-use plastic products; supporting
those whose livelihood is highly dependent on single-use
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