The Producer Responsibility Obligations (Packaging and Packaging Waste) Regulations 2024

SCHEDULE 13 Civil sanctions

Regulation 121 PART 1 Table of civil sanctions 1 (1) The following table sets out requirements and prohibitions for the contravention of which the enforcement agency in relation to the contravention concerned (see the definition of “enforcement agency” in regulation 114) has power to impose civil sanctions. (2) The power of an enforcement agency to impose a civil sanction for contravention of a requirement or prohibition specified in the table is subject to, and exercisable in accordance with, regulations 121 and 122 and Parts 2 to 5 of this Schedule. Table Requirement or prohibition | Fixed Monetary Penalty | Variable Monetary Penalty | Compliance Notice | Enforcement Undertaking Producers Regulations 25(1)(a) and 27(4)(b) (registration obligations) | No | Yes | Yes | Yes Regulation 25(1)(b), (2)(b) and (3)(b) (obligations to keep records and evidence) | Yes | No | No | No Regulation 25(1)(c) and (d) and (3)(c) (reporting obligations) | No | Yes | Yes | Yes Regulation 25(2)(a) (recycling obligation) | No | Yes | Yes | Yes Regulation 25(2)(c) (certification obligation) | Yes | No | No | No Regulation 25(3)(a) (obligation to carry out recyclability assessments) | No | Yes | Yes | Yes Regulation 28(1) to (3) (requirement to apply to the appropriate agency for registration by the date specified in regulation 28(1), (2) , (2A), (2B) or (3) as applicable) | No | Yes | No | No Regulation 31(b) to (e) (requirements to provide information to the appropriate agency) | Yes | No | Yes | No Regulations 35(2) to (4), 36(2) and (3), 37(2) and 38(2) (requirements to make reports to the appropriate agency by the dates specified) | No | Yes | No | No Regulation 68(4) (requirement to pay disposal fees and administration fees no later than 50 days after the due date) | No | Yes | Yes | Yes Schedule 4, paragraph 12(5) (prohibition on reporting closed loop packaging waste without having paid the additional registration charge payable under regulation 29(3)(c)) | No | Yes | Yes | Yes Scheme operators Regulation 43(1)(b) (obligation to register a compliance scheme) | No | Yes | Yes | Yes Regulation 43(3)(a) (obligation to apply for registration of scheme members) | No | Yes | Yes | Yes Regulation 43(3)(b) (obligation to report information relating to scheme members) | No | Yes | No | Yes Regulation 43(3)(c) (compliance scheme recycling obligation) | No | Yes | Yes | Yes Regulation 43(6)(a) (obligation to keep records and submit reports) | No | Yes | Yes | Yes Regulation 43(6)(b) (obligation to submit statement of compliance) | No | Yes | Yes | Yes Regulation 44(1)(a) (requirement to apply for registration of a scheme member by the date specified) | No | Yes | No | No Regulation 44(2) (requirement to make reports under regulations 35 to 38, as applied by regulation 44(2), by the date specified in the regulation in question) | No | Yes | No | No Regulations 49(5) and 54(4) (obligations to provide information to scheme members in connection with withdrawal of approval and cancellation of registration) | No | Yes | Yes | Yes Regulation 53 (obligation to comply with conditions of registration) | No | Yes | Yes | Yes Reprocessors and exporters Regulations 85(1) and 86(1) (obligation to register) | No | Yes | Yes | Yes Regulation 88(1) (duty to comply with conditions of registration) | No | Yes | Yes | Yes Regulation 91 (record-keeping and reporting requirements) | Yes | No | Yes | Yes Regulation 92(1) and (2) (prohibition on issuing PRNs or PERNs other than in accordance with specified conditions) | No | Yes | Yes | Yes Regulation 98 (duty to comply with conditions of an accreditation) | No | Yes | Yes | Yes Regulation 117(3)(c) (prohibition on issuing PRNs or PERNs pursuant to false or misleading information | No | Yes | Yes | Yes Holding companies with a group registration Regulation 31(b) to (e) as applied by Schedule 9, paragraph 4(5) (requirements to provide information to the appropriate agency) | Yes | No | Yes | No Schedule 9, paragraph 5(1)(b) (reporting obligations in relation to relevant group members) | No | Yes | Yes | Yes Schedule 9, paragraph 5(2)(a) (recycling obligations) | No | Yes | Yes | Yes Schedule 9, paragraph 5(2)(b) (certification obligation) | Yes | No | No | No Schedule 9, paragraph 6(1) (requirement to pay disposal fees and administration fees no later than 50 days after the due date) | No | Yes | Yes | Yes Licensors Schedule 10, paragraph 5 (record keeping obligations) | Yes | No | No | No Schedule 10, paragraph 6 (reporting obligations) | No | Yes | Yes | Yes Pub Operating Businesses Schedule 10, paragraph 12 (record keeping obligations) | Yes | No | No | No Schedule 10, paragraph 13 (reporting obligations) | No | Yes | Yes | Yes General Regulation 110(1) (duty to comply with notice to maintain records and provide information to the appropriate agency) | Yes | No | No | Yes Regulation 118(1) (provision of false or misleading information) | No | Yes | Yes | No Regulation 118(2) (failure to comply with reasonable request of the appropriate agency) | Yes | No | Yes | Yes Regulation 118(3) (delaying or obstructing an authorised person) | Yes | No | No | Yes Regulation 118(5) (breach of a compliance notice or enforcement undertaking) | No | Yes | Yes | Yes PART 2 Fixed monetary penalties 2 (1) The amount of a fixed monetary penalty under these Regulations is £1,000. (2) A fixed monetary penalty may not be imposed on a person on more than one occasion in relation to the same act or omission, unless the act or omission is a continuing act or omission. 3 (1) Where an enforcement agency proposes to impose a fixed monetary penalty on a person, the enforcement agency must serve on that person a notice of its intention to do so (a “notice of intent”). (2) The notice of intent must include— (a) the grounds for imposing the fixed monetary penalty; (b) the amount of the penalty; (c) information as to— (i) the right to make representations and objections within a period of 28 days beginning with the day on which the notice of intent is received (“the 28 day period”); (ii) the circumstances in which the enforcement agency may not impose the penalty. 4 A person on whom a notice of intent is served may within the 28 day period make written representations and objections to the enforcement agency in relation to the proposed imposition of the fixed monetary penalty. 5 (1) If the person who has received a notice of intent does not discharge liability within the 28 day period by paying the amount specified in paragraph 2(1) to the enforcement agency, the enforcement agency may, after considering any representations or objections made during that period, serve a final notice imposing a fixed monetary penalty. (2) Where the contravention to which the notice of intent relates is a criminal offence, the enforcement agency may not serve a final notice on the person if the enforcement agency is satisfied on the balance of probabilities that the person would not, by reason of any defence, be liable to be convicted of that offence. 6 A final notice must include information as to— (a) the amount of the penalty; (b) the grounds for imposing the penalty; (c) how payment may be made; (d) the period of 56 days within which payment must be made; (e) details of the increase in the amount of the penalty for late payment; (f) the right of appeal and the effect of regulation 107(2) (suspension of penalty where an appeal is made); and (g) the consequences of non-payment. 7 (1) The person receiving the final notice may appeal against it. (2) The grounds for appeal are— (a) that the decision is based on an error of fact; (b) that the decision is wrong in law; (c) that the decision is unreasonable. 8 (1) The penalty must be paid within a period of 56 days beginning with the day of receipt of the final notice, unless an appeal is made within that period. (2) If the penalty is not paid and an appeal is not made within that 56 day period, the amount of the penalty is increased by 50%. (3) In the case of an appeal— (a) the penalty must be paid within a period of 28 days beginning with the date of the determination of the appeal if the appeal is unsuccessful, or the date on which the appeal is withdrawn; and (b) if the penalty is not paid within that 28 day period, the amount of the penalty is increased by 50%. 9 (1) If a notice of intent to impose a fixed monetary penalty is served on any person in relation to a contravention which is an offence (“the related offence”), no criminal proceedings may be instituted against that person for the related offence before the expiry of a period of 28 days beginning with the day on which the notice of intent is served. (2) If, in relation to a contravention which is an offence, a person has paid a fixed monetary penalty, or has discharged liability for a fixed monetary penalty within the 28 day period referred to in sub-paragraph (1), that person may not by reason of the contravention be convicted at any time of the related offence, unless the contravention is a continuing act or omission. PART 3 Variable monetary penalties 10 (1) A variable monetary penalty may not be imposed on a person on more than one occasion in relation to the same act or omission, unless the act or omission is a continuing act or omission. (2) Where a variable monetary penalty is imposed in relation to the contravention of a requirement, and that contravention is an offence under regulation 115 that is punishable on summary conviction by a fine, the amount of the variable monetary penalty may not exceed the maximum amount (if any) of that fine. (3) Where a variable monetary penalty is imposed on a producer for contravening regulation 68(4) (failure to make a payment due under regulation 68(1) by 50 days after the due date), the amount of the variable monetary penalty is to be calculated as an amount equal to the higher of— (a) 20% of the disposal fees and administration fees owed by that producer which are unpaid 50 days after the due date; or (b) 5% of the turnover of the producer reported under paragraph 10 of Schedule 3. (4) Where a variable monetary penalty is imposed on a holding company of a corporate group which has a group registration for contravening regulation 68(4) as applied by paragraph 6(1) of Schedule 9, the amount of the variable monetary penalty is to be calculated as an amount equal to the higher of— (a) 20% of the disposal fees and administration fees owed by that holding company which are unpaid 50 days after the due date; or (b) 2% of the collective turnover of the members of the corporate group that are included in the group registration. (5) Before imposing a variable monetary penalty or serving a notice of intent in relation to any contravention other than that referred to in sub-paragraph (3) or (4), the enforcement agency may require the person to provide such information as is reasonable to establish the amount of any financial benefit arising as a result of the contravention. 11 (1) Where an enforcement agency proposes to impose a variable monetary penalty on a person, the enforcement agency must serve on that person a notice of its intention to do so (a “notice of intent”). (2) The notice of intent must include— (a) the grounds for imposing the variable monetary penalty; (b) the amount of the penalty; (c) information as to— (i) the right to make representations and objections within a period of 28 days beginning with the day on which the notice of intent is received (“the 28 day period”); (ii) the circumstances in which the enforcement agency may not impose the penalty. 12 A person on whom a notice of intent is served may within the 28 day period make written representations and objections to the enforcement agency in relation to the proposed imposition of the variable monetary penalty. 13 (1) After the end of the period for making representations and objections, the enforcement agency must, after considering any representations or objections made within the 28 day period, decide whether to impose the variable monetary penalty in the notice of intent, with or without modifications. (2) Where the contravention to which the notice of intent relates is a criminal offence, the enforcement agency may not serve a final notice on a person if the enforcement agency is satisfied on the balance of probabilities that the person would not, by reason of any defence, be liable to be convicted of that offence. 14 A final notice for a variable monetary penalty must include information as to— (a) the amount of the penalty; (b) the grounds for imposing the penalty; (c) how payment may be made; (d) the period within which payment must be made which must be not less than 28 days; (e) the right of appeal and the effect of regulation 107(2) (suspension of penalty where an appeal is made); and (f) the consequences of non-payment. 15 (1) The person receiving the final notice may appeal against it. (2) The grounds for appeal are— (a) that the decision is based on an error of fact; (b) that the decision is wrong in law; (c) that the amount of the penalty is unreasonable; (d) that the decision is unreasonable for any other reason. (3) Where an appeal is made against the issue of a final notice, the penalty must be paid within a period of 28 days beginning with the date of the determination of the appeal if the appeal is unsuccessful, or the date on which the appeal is withdrawn. 16 (1) If a notice of intent for a variable monetary penalty is served on any person in relation to a contravention which is an offence (“the related offence”), no criminal proceedings may be instituted against that person for the related offence before the expiry of a period of 28 days beginning with the day on which the notice of intent is served. (2) If, in relation to a contravention which is an offence, a person has paid a variable monetary penalty, or has discharged liability for a variable monetary penalty within the 28 day period referred to in paragraph (1), that person may not by reason of the contravention be convicted at any time of the related offence, unless the contravention is a continuing act or omission. PART 4 Compliance notices 17 (1) Subject to sub-paragraph (2), a compliance notice may not be imposed on a person on more than one occasion in relation to the same contravention of these Regulations, unless the contravention is a continuing act or omission. (2) Sub-paragraph (1) does not prevent another compliance notice being imposed on a person under this paragraph if any earlier compliance notice imposed on that person in relation to the same act or omission has first been withdrawn. (3) Where contravention of a requirement is a criminal offence under these Regulations, the enforcement agency may not impose a compliance notice on a person for contravention of that requirement if the enforcement agency is satisfied on the balance of probabilities that the person would not, by reason of any defence, be liable to be convicted of that offence. 18 A compliance notice must include information as to— (a) the grounds for imposing the notice; (b) what steps the person receiving the notice must take and the period within which those steps must be completed; (c) the right of appeal; and (d) the consequences of failing to comply with the notice. 19 (1) The person receiving the notice may appeal against it. (2) The grounds for appeal are— (a) that the decision to impose the notice is based on an error of fact; (b) that the decision is wrong in law; (c) that the nature of the requirement is unreasonable; (d) that the decision is unreasonable for any other reason. PART 5 Enforcement undertakings 20 (1) An enforcement undertaking must specify— (a) action to secure that the contravention in relation to which the enforcement undertaking is given does not continue or recur; (b) action to secure that the position is, so far as possible, restored to what it would have been if the contravention had not occurred; (c) action (which may include the payment of a sum of money) to secure a benefit or improvement to the environment, such as the prevention of littering, or an increase in the reuse and recycling of packaging; (d) the period within which each of the actions specified must be completed. (2) It must include— (a) a statement that the enforcement undertaking is made in accordance with this Part; (b) the terms of the enforcement undertaking; and (c) a statement of how and when the person giving the enforcement undertaking is considered to have discharged it. (3) The enforcement undertaking may be varied, or the period within which an action specified in the enforcement undertaking must be completed may be extended, if both parties agree in writing. 21 If an enforcement agency has accepted an enforcement undertaking then, unless the person from whom the undertaking is accepted fails to comply with the undertaking or any part of it— (a) where the contravention in relation to which the enforcement undertaking was given is an offence, that person may not by reason of that contravention be convicted at any time of that offence; (b) the enforcement agency may not impose on that person any fixed monetary penalty, variable monetary penalty, or compliance notice in respect of that contravention. 22 (1) Each enforcement agency must establish and publish the procedure for entering into an enforcement undertaking with it. (2) The enforcement agency must consult such persons as it considers appropriate before doing so. (3) When an enforcement agency accepts an undertaking the enforcement agency may publish it in whatever manner it sees fit. 23 (1) An enforcement agency which is satisfied that an enforcement undertaking has been complied with must issue a certificate to that effect to the person who gave the undertaking. (2) An enforcement agency may require the person who gave the undertaking to provide sufficient information to determine whether the undertaking has been complied with. (3) The person who gave the undertaking may at any time apply for such a certificate. (4) The enforcement agency must make a decision as to whether to issue such a certificate, and give written notice of the decision to the applicant, within 14 days of such an application. (5) The person to whom the notice is given may appeal against a decision not to issue a certificate on the grounds that the decision— (a) was based on an error of fact; (b) was wrong in law; (c) was unreasonable; (d) was wrong for any other reason. 24 (1) A person who has given inaccurate, misleading or incomplete information in relation to an enforcement undertaking is regarded as not having complied with it. (2) An enforcement agency may by notice in writing revoke a certificate issued under paragraph 23 if it was issued on the basis of inaccurate, incomplete or misleading information. 25 (1) This paragraph applies where an enforcement undertaking is not complied with. (2) The enforcement agency may, in relation to the contravention for which the enforcement undertaking was given, either— (a) impose any other type of civil sanction specified in the Table in Part 1 as being available for the contravention in question; or (b) if the contravention for which the enforcement undertaking was given is a criminal offence (a “related offence”), bring proceedings for the related offence. (3) The action referred to in sub-paragraph (2)(a) or (b) may be taken in addition to bringing proceedings for the offence under regulation 118(5) of failing to comply with the enforcement undertaking. (4) If a person has complied partly but not fully with an enforcement undertaking, that part-compliance must be taken into account in the imposition of any criminal or other sanction on the person. (5) Criminal proceedings for a related offence which is triable summarily may be instituted at any time within a period of 6 months beginning with the day after the last day of the period within which the action specified in the enforcement undertaking was required under paragraph 20(1)(d) to be completed.