40 Failure to comply with the registration obligation in regulation 14
(1) The penalties in paragraph (2) apply where—
(a) an undertaking fails to comply with the registration obligation in regulation 14(1);
(b) a group of undertakings fails to comply with the registration obligation in regulation 14(3); or
(c) an undertaking or a group of undertakings fails to notify the administrator under regulation 14(7) of any changes to the information notified to the administrator pursuant to those obligations.
(2) The penalties are—
(a) the financial penalties of—
(i) £5,000; and
(ii) a daily penalty at a rate of £500 for each day that the undertaking or group of undertakings fails to comply with the obligation in regulation 14(1), (3) or (7), as the case may be, beginning with the day after the date on which the obligation should have been complied with, up to a maximum of £45,000; and
(b) publication.
41 Failure to notify information under regulation 15 or 16 (fossil fuel boiler sales)
(1) The penalties in paragraph (2) apply where a scheme participant or a near-threshold supplier fails to make a notification which it is required to make under regulation 15 or 16.
(2) The penalties are—
(a) the financial penalties of—
(i) £50,000;
(ii) a daily penalty at a rate of £500 for each day that the scheme participant or near-threshold supplier fails to make the notification under regulation 15 or 16, as the case may be, beginning with the day after the date on which the notification should have been made, up to a maximum of £45,000; and
(b) publication.
42 Notification of inaccurate information under regulation 16 (annual notification of fossil fuel boiler sales)
(1) The penalties in paragraph (2) apply where a scheme participant makes a notification which it is required to make under regulation 16 and the notification—
(a) includes information which is inaccurate; but
(b) does not fall within the description in regulation 47(1) (provision of false or misleading information).
(2) The penalties are—
(a) the financial penalty of £50,000; and
(b) publication.
43 Failure to maintain records under regulation 18
(1) The penalties in paragraph (2) apply where a scheme participant or a near-threshold supplier fails to maintain records as required by regulation 18.
(2) The penalties are—
(a) the financial penalty of £5,000; and
(b) publication.
44 Failure to make a notification under regulation 21(3) or (4) (change of corporate structure)
(1) The penalties in paragraph (2) apply where a scheme participant or a near-threshold supplier fails to make a notification which it is required to make under regulation 21(3) or (4).
(2) The penalties are—
(a) the financial penalties of—
(i) £5,000; and
(ii) a daily penalty at a rate of £500 for each day that the scheme participant or a near-threshold supplier fails to make the notification under regulation 21(3) or (4), as the case may be, beginning with the day after the date on which the notification should have been made, up to a maximum of £45,000; and
(b) publication.
(1) The penalties in paragraph (2) apply where a scheme participant fails to make a payment which is due in accordance with regulation 28.
(2) The penalties are—
(a) a financial penalty equivalent to £4,000 in respect of each unit of the scheme participant’s low-carbon heat target which was unmet and in respect of which a payment was not made in accordance with regulation 28; and
(b) publication.
(1) The penalties in paragraph (2) apply where a person fails to comply (or to comply on time) with the requirements of a notice (the “information notice”) given under regulation 32.
(2) The penalties are—
(a) the financial penalties of—
(i) £5,000; and
(ii) a daily penalty at a rate of £500 for each day that the person fails to comply with the requirements of the information notice, beginning with the day after the date by which the requirements of the information notice should have been complied with, up to a maximum of £45,000; and
(b) publication.
(1) It is an offence for a scheme participant or a near-threshold supplier to make a notification which it is required to make under regulation 15 or 16 (notification of fossil fuel boiler sales)—
(a) which includes information that the scheme participant or a near-threshold supplier knows to be false or misleading in a material particular; or
(b) recklessly and which includes information which is false or misleading in a material particular.
(2) A scheme participant or a near-threshold supplier guilty of an offence under paragraph (1) is liable—
(a) on summary conviction in England and Wales, to a fine;
(b) on summary conviction in Scotland or in Northern Ireland, to a fine not exceeding the statutory maximum;
(c) on conviction on indictment, to a fine.
(1) It is an offence for a person—
(a) to fail to comply with a requirement imposed pursuant to regulation 33(1);
(b) to prevent any other person from—
(i) appearing before the administrator or an authorised person; or
(ii) answering a question to which the administrator or authorised person requires an answer;
when the person has been required to do so under regulation 33(1)(c); or
(c) intentionally to obstruct the administrator, or an authorised person, in the exercise of a power referred to in regulation 33(1).
(2) A person guilty of an offence under paragraph (1) is liable—
(a) on summary conviction in England and Wales, to a fine;
(b) on summary conviction in Scotland or in Northern Ireland, to a fine not exceeding the statutory maximum;
(c) on conviction on indictment, to a fine.
(1) Where an offence under this Part is committed by a body corporate and—
(a) it is committed with the consent or connivance of an officer; or
(b) it is attributable to any neglect on the officer's part,
the officer as well as the body corporate is guilty of the offence and is liable to be proceeded against and punished accordingly.
(2) An “officer”, in relation to a body corporate, means a director, manager, secretary or other similar officer of the body, or a person purporting to act in any such capacity.
(3) If the affairs of a body corporate are managed by its members, paragraph (1) applies in relation to the acts or defaults of a member in connection with that member's functions of management as if the member were a director of the body corporate.
(1) Where an offence under this Part is committed by a Scottish partnership and—
(a) it is committed with the consent or connivance of a partner; or
(b) it is attributable to any neglect on the partner's part,
the partner as well as the partnership is guilty of the offence and is liable to be proceeded against and punished accordingly.
(2) In paragraph (1) “partner” includes a person purporting to act as a partner.
This Part applies to the following decisions of the administrator—
(a) a determination that a member of a group of undertakings is the responsible undertaking under regulation 11(2)(b);
(b) a determination of fossil fuel boiler sales under regulation 20(2)(a) or (7)(a);
(c) a decision under regulation 28(2) to record in the registry the liability of a scheme participant to make a payment under regulation 28(1);
(d) a decision to correct, or not to correct, the registry under regulation 29;
(e) a decision to give a penalty notice under Part 8.
A person who is aggrieved by a decision to which this Part applies may make an appeal to the First-tier Tribunal on the grounds—
(a) that the decision was based on an error of fact;
(b) that the decision was wrong in law;
(c) in the case of a financial penalty, that the amount of the penalty is unreasonable;
(d) in the case of publication, that the nature of the penalty is unreasonable; or
(e) that the decision was wrong or unreasonable for any other reason.
(1) Subject to paragraphs (2) and (3), the bringing of an appeal under regulation 52 suspends the effect of the decision pending the final determination or withdrawal of the appeal.
(2) Where the appeal is against a decision of the administrator that a member of a group of undertakings is the responsible undertaking under regulation 11(2)(b), that decision remains in effect until the final determination or withdrawal of the appeal.
(3) Where the appeal is against a decision of the administrator not to correct the registry under regulation 29, that decision remains in effect until the final determination or withdrawal of the appeal.
(1) In determining an appeal under regulation 52, the First-tier Tribunal may—
(a) affirm the decision;
(b) quash the decision or vary any of its terms;
(c) give directions as to the exercise of the administrator’s functions under these Regulations.
(2) The First-tier Tribunal may not make a determination that would result in a decision which could not otherwise have been made under these Regulations.
(1) The Secretary of State must from time to time—
(a) carry out a review of the regulatory provision contained in these Regulations; and
(b) publish a report setting out the conclusions of the review.
(2) Section 30(4) of the Small Business, Enterprise and Employment Act 2015 requires that a report published under this regulation must, in particular—
(a) set out the objectives intended to be achieved by the regulatory provision contained in these Regulations;
(b) assess the extent to which those objectives are achieved;
(c) assess whether those objectives remain appropriate; and
(d) if those objectives remain appropriate, assess the extent to which they could be achieved in another way which involves less onerous regulatory provision.
(3) The report must be published before the end of the period of five years beginning with the date on which these Regulations come into force.
(4) In this regulation, “regulatory provision” has the same meaning as in sections 28 to 32 of the Small Business, Enterprise and Employment Act 2015 (see section 32 of that Act).