Climate offences

Fluorinated Greenhouse Gases Regulations 2015

Regulation 29(1)(a)

Breach of any of the following prohibitions in EU Regulation No 517/2014, or to cause or permit another person to breach any of the following:

• Article 3(1) (prohibition on intentional release of fluorinated greenhouse gas
• Article 11(1), read in association with Article 11(2) and (3) (prohibition on placing specified products and equipment on the market)
• Article 14(1) (prohibition on placing equipment not accounted for within the quota system on the market)

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

This provision came into force on 19th March 2015.

Regulation 29(1)(b)

Breach of Article 14(2) of EU Regulation 517/2014 (requirements to document placing on the market and to draw up declaration of conformity), or to cause or permit another person to do so.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

This provision came into force on 19th March 2015

Regulation 29(1)(c)

Breach of the second paragraph of Article 15(1), read in association with Article 15(2) and (3) of EU Regulation 517/2014 (requirement to ensure quantities placed on market do not exceed quota), or to cause or permit another person to do so.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

This provision came into force on 19 March 2015

Regulation 29(1)(d)

Failure to comply with a requirement under Regulation 28(2), (3) or (4) , or to cause or permit another person to do so.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

This provision came into force on 19th March 2015.

Regulation 29(1)(e)

Failure to comply with an enforcement notice, or to cause or permit another person to do so.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

This provision came into force on 19th March 2015

Civil proceedings may be commenced - see Regulation 27

Regulation 29(2)(a)

Intentional obstruction of any person acting in the execution or enforcement of these Regulations.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

This provision came into force on 19th March 2015.

Regulation 29(2)(b)

Failure, without reasonable cause, to give any assistance or information which may reasonably be required by a person acting in the execution or enforcement of these Regulations.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

This provision came into force on 19th March 2015.

Regulation 29(2)(c)

Furnishing information to any person acting in the execution or enforcement of these Regulations, knowing it to be false or misleading.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

This provision came into force on 19th March 2015.

Regulation 29(2)(d)

Failing to produce a document or record when required to do so by any person acting in the execution or enforcement of these Regulations.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

This provision came into force on 19th March 2015.

Regulation 30(1)

Criminal liability of officers of the company in relation to offences that their company (body corporate) is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

This provision came into force on 19th March 2015.

Regulation 30(2)

Criminal liability of members, where the affairs of the body corporate are managed by its members, in relation to offences that their company (body corporate) is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

This provision came into force on 19th March 2015.

Regulation 30(3)

Criminal liability of partners in relation to offences that their partnership is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

This provision came into force on 19th March 2015.

Regulation 30(8)

Criminal liability of officers or members of the governing body in relation to offences that their unincorporated association ( not a partnership) is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

This provision came into force on 19th March 2015.

Ozone-Depleting Substances Regulations 2015

Regulation 8(1)

Person not competent to carry out any relevant work, and Regulation 6(5) does not apply.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 8(1)

Person not competent to carry out work with methyl bromide, and Regulation 6(6) does not apply.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 8(1)

Employer fails to ensure person is competent to carry out any relevant work.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 8(1)

Employer fails to ensure person is competent to carry out work with methyl bromide.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 8(2)

Training employer fails to ensure the course of training will enable an employee who has been trained, to carry out the relevant job satisfactorily.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 8(2)

Training employer fails to keep records for the required period, under Regulation 7(2).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 8(2)

Training employer fails to provide a copy of the record under Regulation 7(2), to the employee when requested to do so by that employee during the required period.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 9(1)

Any person who breaches a provision of the EU Regulation set out in Schedule 4 of The Ozone-Depleting Substances Regulations.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 9(2)(a)

Failure to comply with an enforcement notice.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 9(2)(b)

Failure to comply with a notice issued by the Secretary of State, under regulation 18.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 9(3)(a)

Intentional obstruction of an NRW officer acting in the enforcement of EU Regulation 1005/2009.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 9(3)(b)

Failure to provide assistance or information reasonably required by an NRW officer, without reasonable cause.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 9(3)(c)

Furnish information knowing it to be false or misleading.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 9(3)(d)

Failure to produce a document or record when required to do so.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 11(1)

Criminal liability of directors, managers, secretaries or other similar officer in relation to offences that their company (body corporate) is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 11(3)

Criminal liability of members, where the affairs of the body corporate are manager by its members, in relation to offences that their company (body corporate) is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 11(4)

Criminal liability of partners in relation to offences that their partnership is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 11(10)

Criminal liability of officers or members of the governing body in relation to offences that their unincorporated association (not a partnership) is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 15(a)(i)

Intentionally preventing another person from appearing before an authorised person under regulation 14.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 15(a)(ii)

Intentionally preventing another person from answering any questions to which an authorised person may require an answer by virtue of regulation 14.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 15(b)

Intentionally obstructing an authorised person in the exercise or performance of their powers.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 15(c)

Furnishes information to an authorised person, knowing it to be false or misleading.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 15(d)

Fails to produce a record to an authorised person when required to do so.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Regulation 15(e)

Pretends to be an authorised officer.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Greenhouse Gas Emissions Trading Scheme 2020

Regulation 50

Carrying out regulated activity without permit.

Civil penalties available:

Civil penalty notice – Regulation 47

Fine of CA + (RE x CP), where:

• CA is an estimate of the costs avoided by the operator in the scheme year as a result of carrying out the regulated activity without the authorisation of a permit
• RE is an estimate of the installation’s reportable emissions in the part of the scheme year during which a regulated activity that was not authorised by a permit was carried out
• CP is the carbon price for the scheme year

The fine may be increased to an amount greater than the economic benefit gained by the operator as the result of operating without a permit.

Regulation 51

Non-compliance with a permit condition, surrender notice or revocation notice.

Civil penalties available:

Civil penalty notice – Regulation 47

In relation to breach of conditions other than those relating to the surrender of allowances or under-reporting of emissions:

• Fine of £20,000; and
• a daily penalty at a daily rate of £500 for each day that the operator fails to comply with the condition or requirement, beginning with the day on which the initial notice is given, up to a maximum of £45,000

Regulation 52

Failure to surrender allowances by operators of installations and aircraft operators.

Civil penalties available:

Civil penalty notice – Regulation 47

Subject to the below exceptions:

• Fine is £100 multiplied by the inflation factor for each allowance not surrendered

Exceptions:

Where the regulator becomes aware that an installation’s emissions exceed the installation’s verified emissions for that year and the operator fails to surrender allowances equal to the difference.

Where the regulator becomes aware that an aircraft operator’s emissions exceed the aircraft operator’s verified emissions for that year and the operator fails to surrender allowances equal to the difference.

• Fine is £20 multiplied by the inflation factor for each allowance not surrendered

Under Regulation 49, where a person is liable to a civil penalty under Regulation 52, we must publish the name of the person the penalty was imposed on as soon as possible after the appeal period has ended or, if an appeal is made, the date that it is determined or withdrawn.

Regulation 53

Failure to transfer or surrender allowances where underreporting discovered after transfer.

Civil penalties available:

Civil penalty notice – Regulation 47

• Fine is £20 multiplied by the inflation factor for each allowance not surrendered

Regulation 54

Exceeding the emissions target where the installation is a hospital or small emitter.

Civil penalties available:

Civil penalty notice – Regulation 47

Fine of (RE-ET) x CP, where:

• RE is the installation’s reportable emissions in the scheme year
• ET is the installation’s emissions target for the scheme year
• CP is the carbon price for the scheme year

Regulation 55

Failure to pay a penalty for exceeding an emissions target under Regulation 54.

Civil penalties available:

Civil penalty notice – Regulation 47

Further fine of:

• 10% of the first penalty; and
• a daily penalty at a daily rate of £150 for each day that the operator fails to pay the first penalty beginning with the day on which the initial notice is given, up to a maximum of £13,500

Regulation 56

Under-reporting of emissions where the installation is a hospital or small emitter.

Civil penalties available:

Civil penalty notice – Regulation 47

Fine of £5,000 + (UE x CP), where:

• UE is the unreported emissions in the scheme year
• CP is the carbon price for the scheme year

Regulation 57

Failure to notify when ceasing to meet the criteria.

Civil penalties available:

Civil penalty notice – Regulation 47

Failure to give notice by 31 March in the default year, but notice given by 31 October:

• Fine of £2,500

Failure to give notice by 31 October in the default year:

• If no penalty year exists:
  • Fine of £5,000

• If penalty year exists:
  • Fine of £5,000; and
  • Fine of 2 x (RE x CP) - PP where:

• RE is the installation’s reportable emissions in the penalty year
• CP is the carbon price for the penalty year
• PP is the amount of the civil penalty, if any, previously imposed under Article 54 in respect of the penalty year

Regulation 58

Failure to surrender to a permit

Civil penalties available:

Civil penalty notice – Regulation 47

• Fine of £5,000 

Regulation 59

Exceeding the emissions maximum amount where the installation is an ultra-small emitter.

Civil penalties available:

Civil penalty notice – Regulation 47

Fine of (RE - maximum amount) x CP, where:

• RE is the installation’s reportable emissions in the scheme year
• Maximum amount means 2,499 tonnes of carbon dioxide equivalent
• CP is the carbon price for the scheme year

A fine may only be imposed in respect of the first scheme year in an allocation period in which the emissions exceed the maximum amount and, where the following scheme year is in the same allocation period, that scheme year.

Regulation 60

Failure to notify where the emissions exceed the maximum amount where the installation is an ultra-small emitter.

Civil penalties available:

Civil penalty notice – Regulation 47

Fine of £2,500 and CA + (RE x CP) for each scheme year falling within the penalty period where:

• CA is an estimate of the costs avoided by the operator in the scheme year as a result of carrying out a regulated activity without the authorisation of the relevant permit;
• RE is an estimate of the installation’s reportable emissions in the scheme year during which a regulated activity that was not authorised by a permit was carried out;
• CP is the carbon price for the scheme year.

The fine may be increased to an amount greater than the economic benefit gained by the operator as the result of carrying out a regulated activity not authorised by a permit.

Regulation 61

Failure to apply or make a revised application for an emissions monitoring plan.

Civil penalties available:

Civil penalty notice – Regulation 47

• Fine of £20,000;
• A daily penalty of £500 for each day the application or resubmission of application is not provided beginning with the day on which initial notice is given up to a maximum of £45,000

Regulation 62

Failure to comply with a condition of an emissions monitoring plan.

Civil penalties available:

Civil penalty notice – Regulation 47

• Fine of £20,000;
• A daily penalty of £500 for each day the person fails to comply with the condition, beginning with the day on which initial notice is given up to a maximum of £45,000

Regulation 63

Failure to monitor aviation emissions.

Civil penalties available:

Civil penalty notice – Regulation 47

• Fine of £20,000;
• A daily penalty of £500 for each day the person fails to monitor the aviation emissions beginning with the day on which initial notice is given up to a maximum of £45,000 

Regulation 64

Failure to report aviation emissions.

Civil penalties available:

Civil penalty notice – Regulation 47

• Fine of £20,000;
• A daily penalty of £500 for each day the report is not submitted beginning with the day on which initial notice is given up to a maximum of £45,000

Regulation 65

Failure to comply with an enforcement notice

Civil penalties available:

Civil penalty notice – Regulation 47

• Fine of £20,000;
• A daily penalty of £1,000 for each day the person fails to comply with the requirements of the notice beginning with the day on which initial notice is given up to a maximum of £45,000

Regulation 66

Failure to comply with an information notice

Civil penalties available:

Civil penalty notice – Regulation 47

• Fine of £5,000;
• A daily penalty of £500 for each day the person fails to comply with the requirements of the notice beginning with the day on which initial notice is given up to a maximum of £45,000

Regulation 67

Providing false or misleading information or making a statement that is misleading in a material respect.

Civil penalties available:

Civil penalty notice – Regulation 47

• Fine of £50,000

Regulation 68

Failure to allow the regulator access to the premises.

Civil penalties available:

Civil penalty notice – Regulation 47

• Fine of £50,000

Emissions Performance Standard (Enforcement)(Wales) Regulations 2015

Regulation 9

Breach of the emissions limit duty in section 57(2) of the Energy Act 2013 will give rise to the following civil sanctions:

• Enforcement notice
• Civil penalty notice

Energy Savings Opportunity Scheme (ESOS) Regulations 2014

Regulation 43

Failure to notify the scheme administrator of compliance with ESOS, contrary to Regulation 29.

Civil penalties available:

Civil penalty notice – Regulation 39 – imposing a financial penalty:

• Initial penalty of up to £5,000, and
• A daily penalty of up to £500 for each working day the responsible undertaking remains in breach, starting on the day after service of the penalty notice, up until the notification is completed, subject to a maximum of 80 working days, and
• Publication penalty - Regulation 41 (publication of the breach on the website of the scheme administrator/a compliance body)

Regulation 44

Failure to maintain records, contrary to Regulation 28.

Civil penalties imposed:

Civil penalty notice – Regulation 39 – imposing a financial penalty:

• Initial penalty of up to £5,000, and
• A sum representing the cost to Natural Resources Wales to confirm that a responsible undertaking has complied with ESOS, and

Publication penalty – Regulation 41

• The penalty notice may specify steps to remedy the breach

Regulation 45

Failure to undertake an energy audit, where the alternative routes to compliance in Part 6 do not apply.

Civil penalties available:

Civil penalty notice – Regulation 39 – imposing a financial penalty:

• Initial penalty of up to £50,000, or such lesser amount as NRW may determine, and
  A daily penalty of up to £500 for each working day the responsible undertaking remains in breach, starting on the day after service of the compliance notice, and up until the audit is completed, subject to a maximum of 80 working days, and

Publication penalty – Regulation 41

• The penalty notice may specify a requirement to undertake an ESOS assessment

Regulation 46

Failure to comply with a compliance notice, an enforcement notice or a penalty notice.

Civil penalties available:

Civil penalty notice – Regulation 39 – imposing a financial penalty:

• Initial penalty of up to £5,000, and
• A daily penalty of up to £500 for each working day the responsible undertaking remains in breach, starting on the day after service of the penalty notice, subject to a maximum of 80 working days, and

Publication penalty – Regulation 41

Regulation 47

Making a false or misleading statement when notifying information to the scheme administrator or a compliance body, or when providing information required by a compliance, enforcement or penalty notice.

Civil penalties available:

Civil penalty notice – Regulation 39 – imposing a financial penalty:

• Up to £50,000, and

Publication penalty – Regulation 41.

CRC Energy Efficiency Scheme Order 2013

Relevant commencement dates for all civil penalties: 1 April 2014.

Article 5, Parts 1, 2 and 3 of Schedule 5

Article 75(1)(c)

Failure to provide notification to the administrator as required under Part 1, 2 or 3 of Schedule 5.

Civil penalties available:

Civil penalty notice – Article 70:

• Fine of £5,000
• Publication of non-compliance

Articles 11 and 12

Article 73(1) and (2)

Failure to apply for registration or late application for registration.

Civil penalties available: 

Civil penalty notice – Article 70:

• Fine of £5,000
• Further fine of £500 per working day for each day of delay after the due date up to a maximum of 80 working days
• Publication of non-compliance

Article 11 and Schedule 5

Article 73(3) and (4)

Failure to provide details of each settled half hourly meter at registration.

Civil penalties available:

Civil penalty notice – Article 70:

• Fine of £500 for each settled half hourly meter not reported
• Publication of non-compliance

Article 11 and Schedule 4

Article 75(1)(a) and (b)

Failure to provide information at registration and providing inaccurate information at registration.

Civil penalties available:

Civil penalty notice – Article 70:

• Fine of £5,000
• Publication of non-compliance

Article 31

Article 74

Failure to provide annual report or late provision of annual report.

Civil penalties available:

Civil penalty notice – Article 70:

• Fine of £5,000
• Further fine of £500 per working day for each day of delay after the due date up to a maximum of 40 working days, or £40,000 if the Report is provided more than 40 days after the due date
• Publication of non-compliance
• Where the annual report is over 40 days late or not provided at all additional penalties as follows:

• • CRC emissions are calculated as double the CRC emissions reported for the previous year or, where no such report exists, double the emissions that the administrator calculates the participant emitted.
  • Where the ‘doubled emissions’ have been calculated, the participant must immediately acquire allowances for these emissions and surrender them (allowances already surrendered can be deducted from the allowances to be surrendered).
  • Where the participant fails to surrender the allowances referred to directly above by 31st March after the annual report was due and continues in the scheme, the shortfall allowances are added to the allowances to be surrendered in the following year.
  • Fine of £40 per tCO2 of CRC emissions (deducting emissions represented by allowances surrendered on time and before doubling is applied).
  • Blocking of all allowances out of the Participant’s registry account until the failure is remedied and any associated fine(s) paid.

Article 31

Article 76

Providing an inaccurate annual report.

Civil penalties available:

Civil penalty notice – Article 70:

• Fine of £40 for each tCO2 of emissions inaccurately reported
• Publication of non-compliance

Article 36

Article 77

Failure to surrender allowances.

Civil penalties available:

Penalty notice – Article 70:

• Participant must immediately acquire allowances equal to the amount that should have been surrendered and surrender them
• Fine of £40 per tCO2 of emissions represented by the shortfall allowances
• Publication of non-compliance
• Blocking of all allowances out of the Participant’s registry account until the failure is remedied and any associated fines paid
• Where a participant fails to surrender shortfall allowances by 31st March after surrender should have been made and continues in the scheme, the shortfall allowances are added to the allowances to be surrendered in the following year

Article 36

Article 78

Late discovered failure to surrender allowances (if discovered within 5 years of the requirement to surrender those allowances).

Civil penalties available:

Civil penalty notice – Article 70:

• Where the participant is still a participant when the shortfall is discovered, the shortfall allowances are added to the allowances required to be surrendered in the next annual reporting year
• Where the participant is still a participant when the shortfall is discovered, publication of non-compliance
• Where the participant is not a participant when the shortfall is discovered, a fine representing the value of the shortfall allowances

Articles 40 and 41

Article 79(3)

Failure to keep records of the information used to compile its annual report and relevant to any changes described in Schedule 5 and public disclosure information.

Civil penalties available:

Civil penalty notice – Article 70:

• Fine of £5,000
• Publication of non-compliance

Articles 45 and 104

Failure of electricity supplier to provide information when required to by notice and at least one previous notice has not been complied with.

Civil penalties available:

Penalty notice – Article 70:

• Fine of £500,000 or 0.5% of the supplier’s turnover if lower
• Publication of non-compliance

Article 68

Article 79(1) and (2)

Failure to comply with a notice requesting information about records required to be maintained.

Civil penalties available:

Civil penalty notice – Article 70:

• Fine of £40 for each tCO2 of CRC emissions reported in the preceding year by the participant
• Publication of non-compliance

Article 82(1)(a)

Knowingly or recklessly make a statement which is false or misleading in a material particular.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions are not available for this offence.

Article 82(2) 

Failure to comply with an enforcement notice.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions are not available for this offence.

Article 82(4)

Impersonation of an authorised person.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions are not available for this offence.

Article 82(5)

Refuse to allow access to an NRW Officer or other administrator where access is required in order to monitor compliance.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions are not available for this offence.