SCHEDULE 4

Civil penalties
Regulation 31A(8)

Imposition of a civil penalty
1
1
A relevant enforcing authority may by notice impose on any person, in relation to a failure to comply with any provision referred to in regulation 31A, a requirement to pay a civil penalty to the relevant enforcing authority of such an amount as the notice may specify or determine, subject to sub-paragraph (4).
2
The standard of proof to be applied by a relevant enforcing authority imposing a civil penalty under these Regulations is on a balance of probabilities.
3
A civil penalty may not be imposed—
a
on more than one occasion in relation to the same act or omission;
b
in relation to an act or omission that resulted in a criminal conviction.
4
The maximum civil penalty is £200,000, except as provided in the following table—
Column 1 | Column 2
Maximum civil penalty | Provision subject to civil penalty
£100,000 in relation to the entries in column 2 | Regulation 18
| Article 3(2), (3) (except in relation to the failure of operators of equipment to ensure that equipment is repaired without undue delay where a leakage of fluorinated greenhouse gases is detected) and (4) of the 2014 Regulation
| Article 4(1) of the 2014 Regulation
| Article 5(1), (2), (3) and (4) of the 2014 Regulation
| Article 7(1) of the 2014 Regulation
| Article 8(1), (2) and (3) of the 2014 Regulation
| Article 13(1), (2) and (3) of the 2014 Regulation
| Article 17(1) of the 2014 Regulation
| Article 19(5) and (6) of the 2014 Regulation
| Article 3 of Commission Regulation 1497/2007
| Article 4(1), (2) and (4) of Commission Regulation 1497/2007
| Article 5 of Commission Regulation 1497/2007
| Article 6 of Commission Regulation 1497/2007
| Article 7 of Commission Regulation 1497/2007
| Article 2(1), (2), (3) and (4) of Commission Regulation 1516/2007
| Article 3 of Commission Regulation 1516/2007
| Article 4 of Commission Regulation 1516/2007
| Article 5 of Commission Regulation 1516/2007
| Article 6 of Commission Regulation 1516/2007
| Article 7(1) and (2) of Commission Regulation 1516/2007
| Article 8 of Commission Regulation 1516/2007
| Article 9 of Commission Regulation 1516/2007
| Article 10 of Commission Regulation 1516/2007
| Article 4(1) of Commission Regulation 304/2008
| Article 7(1) of Commission Regulation 304/2008
| Article 2(1) of Commission Regulation 307/2008
| Article 2(1) of Commission Regulation 2015/2066
| Article 3(1) of Commission Regulation 2015/2067
| Article 5 of Commission Regulation 2015/2067
£50,000 in relation to the entries in column 2 | Regulation 19
| Article 6(1), (2) and (3) of the 2014 Regulation
| Article 12(1) of the 2014 Regulation
| Article 12(5) of the 2014 Regulation
| Article 14(2) of the 2014 Regulation
| Article 2 of Commission Regulation 2015/2068
£10,000 in relation to the entries in column 2 | Regulation 31A(2)(c)
| Article 19(1), (2), (3) and (4) of the 2014 Regulation
| Article 1(2) of Commission Regulation 2016/879
| Article 4 of Commission Regulation 2016/879
5
The Secretary of State or the Environment Agency may recover any civil penalty imposed by them under this Schedule as if payable under order of the court.
6
The Scottish Ministers or
SEPA
may recover any civil penalty imposed by them under this Schedule as if it were payable under an extract registered decree arbitral bearing a warrant for execution by a sheriff of any sheriffdom.
7
A relevant enforcing authority must, as soon as is reasonably practicable, pay the amount of any civil penalty that has been paid to it—
a
to the Secretary of State, in the case of the Environment Agency;
b
to the Scottish Ministers, in the case of SEPA.

Notice of intent
2
1
If a relevant enforcing authority proposes to impose a civil penalty on a person under this Schedule, the relevant enforcing authority must serve on that person a notice of what is proposed (“a notice of intent”).
2
The notice of intent must include—
a
the grounds for the proposed penalty,
b
the maximum amount of the penalty, and
c
information as to the right to make written representations and objections within 28 days beginning with the day on which the notice of intent was received.

Making representations and objections
3
A person on whom a notice of intent is served by a relevant enforcing authority may, within 28 days beginning with the day on which the notice was received, make written representations and objections to the relevant enforcing authority in relation to the proposed imposition of a civil penalty.

Civil penalty notice
4
1
After the end of the period for making representations and objections under paragraph 3, the relevant enforcing authority which served the notice of intent must decide whether to impose the civil penalty set out in the notice of intent, with or without modifications.
2
Where the relevant enforcing authority decides to impose a civil penalty, the notice imposing it must include information as to—
a
the grounds for imposing the penalty,
b
the amount to be paid,
c
how payment may be made,
d
the period within which payment must be made, which must be not less than 28 days,
e
rights of appeal, and
f
the consequences of failing to comply with the notice.

Withdrawing or amending a notice
5
The relevant enforcing authority may in writing, at any time before payment is made to it in accordance with a civil penalty notice, withdraw the notice or amend the amount specified in the notice.

Enforcement cost recovery notice
6
1
A relevant enforcing authority may by notice require a person on whom it has served a civil penalty notice to pay the costs incurred by the relevant enforcing authority in relation to the service of that civil penalty notice up to the time of its service.
2
Examples of costs include—
a
costs of detaining goods;
b
investigation costs;
c
administration costs;
d
costs of obtaining expert advice (including legal advice).
3
The enforcement cost recovery notice must specify—
a
the grounds for serving the notice,
b
the amount to be paid,
c
how payment may be made,
d
the period within which payment must be made, which must not be less than 28 days, and
e
the right of appeal.

Publication of enforcement action
7
1
Each relevant enforcing authority must from time to time publish the following information about cases in which civil penalties have been imposed—
a
the name of the person on whom the penalty was imposed;
b
the nature of the breach to which the penalty relates;
c
the amount of the penalty.
2
Information must not be published until after the expiry of the period for making an appeal or, where an appeal has been made, until after the appeal has been determined.
3
The requirement to publish information does not include cases where a civil penalty notice has been served but is subsequently withdrawn or quashed.
Schs. 4, 5 inserted (E.S.) (1.4.2018) by The Fluorinated Greenhouse Gases (Amendment) Regulations 2018 (S.I. 2018/98), regs. 1(2), 31