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Regulation 6(a)

SCHEDULE 1U.K.[F1EU measures] [F1Product-specific measures]

Textual Amendments

1.  In relation to a product identified in column 1 of the following table, the requirements set out in the [F2product-specific measure] in column 2 apply F3....E+W+S

Column 1Column 2F4...
Product[F5Product-specific measure]F4...
[F6Household tumble driers [F7Commission Delegated Regulation (EU) No 392/2012 of 1 March 2012 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to energy labelling of household tumble driers]]F4. . .
[F8Household combined washer-dryers [F7Commission Delegated Regulation (EU) 2019/2014 of 11 March 2019 supplementing Regulation (EU) 2017/1369 of the European Parliament and of the Council with regard to energy labelling of household washing machines and household washer-dryers and repealing Commission Delegated Regulation (EU) No 1061/2010 and Commission Directive 96/60/EC]]F4. . .
F9. . .F9. . .F4. . .
F10. . .F10. . .F4. . .
[F11Air conditioners [F7Commission Delegated Regulation (EU) No 626/2011 of 4 May 2011 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to energy labelling of air conditioners]]F4. . .
Household washing machines [F7Commission Delegated Regulation (EU) 2019/2014 of 11 March 2019 supplementing Regulation (EU) 2017/1369 of the European Parliament and of the Council with regard to energy labelling of household washing machines and household washer-dryers and repealing Commission Delegated Regulation (EU) No 1061/2010 and Commission Directive 96/60/EC]F4. . .
F4. . .
Household dishwashers [F7Commission Delegated Regulation (EU) 2019/2017 of 11 March 2019 supplementing Regulation (EU) 2017/1369 of the European Parliament and of the Council with regard to energy labelling of household dishwashers and repealing Commission Delegated Regulation (EU) No 1059/2010]F4. . .
F4. . .
[F12Refrigerating appliances Commission Delegated Regulation (EU) 2019/2016 of 11 March 2019 supplementing Regulation (EU) 2017/1369 of the European Parliament and of the Council with regard to energy labelling of refrigerating appliances and repealing Commission Delegated Regulation (EU) No 1060/2010]F4. . .
F4. . .
[F13Electronic displays [F7Commission Delegated Regulation (EU) 2019/2013 of 11 March 2019 supplementing Regulation (EU) 2017/1369 of the European Parliament and of the Council with regard to energy labelling of electronic displays and repealing Commission Delegated Regulation (EU) No 1062/2010]]F4. . .
[F14Light sources The Ecodesign for Energy-Related Products and Energy Information (Lighting Products) Regulations 2021]F4. . .
F15. . .F15. . .F15. . .
[F16Water heaters, hot water storage tanks and packages of water heater and solar device [F7Commission Delegated Regulation (EU) No 812/2013 of 18 February 2013 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to the energy labelling of water heaters, hot water storage tanks and packages of water heater and solar device]]F4. . .
[F16Space heaters, combination heaters, packages of space heater, temperature control and solar device and packages of combination heater, temperature control and solar device [F7Commission Delegated Regulation (EU) No 811/2013 of 18 February 2013 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to the energy labelling of space heaters, combination heaters, packages of space heater, temperature control and solar device and packages of combination heater, temperature control and solar device]]F4. . .
[F16Domestic ovens and range hoods [F7Commission Delegated Regulation (EU) No 65/2014 of 1 October 2013 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to the energy labelling of domestic ovens and range hoods]]F4. . .
[F17Residential ventilation units [F7Commission Delegated Regulation (EU) No 1254/2014 of 11 July 2014 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to the energy labelling of residential ventilation units]]F4. . .
[F18Professional refrigerated storage cabinets [F7Commission Delegated Regulation (EU) 2015/1094 of 5 May 2015 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to the energy labelling of professional refrigerated storage cabinets]F4. . .
Solid fuel boilers and packages of a solid fuel boiler, supplementary heaters, temperature controls and solar devices [F7Commission Delegated Regulation (EU) 2015/1187 of 27 April 2015 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to the energy labelling of solid fuel boilers and packages of a solid fuel boiler, supplementary heaters, temperature controls and solar devices]F4. . .
Local space heaters [F7Commission Delegated Regulation (EU) 2015/1186 of 24 April 2015 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to the energy labelling of local space heaters]]F4. . .
[F19Refrigerating appliances with a direct sales function The Ecodesign for Energy-Related Products and Energy Information Regulations 2021]F4. . .

Extent Information

E1This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

F8Words in Sch. 1 para. 1 substituted (23.11.2020) by The Energy Information (Amendment) Regulations 2020 (S.I. 2020/1195), regs. 1, 2(2)

F13Words in Sch. 1 para. 1 substituted (23.11.2020) by The Energy Information (Amendment) Regulations 2020 (S.I. 2020/1195), regs. 1, 2(6)

1.  In relation to a product identified in column 1 of the following table, the requirements set out in the EU measure in column 2 apply F39...N.I.

[F40Column 1Column 2
ProductEU measure
Household tumble driersCommission Delegated Regulation (EU) No 392/2012 of 1 March 2012 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to energy labelling of household tumble driers, as amended from time to time
Household combined washer-driersCommission Delegated Regulation (EU) 2019/2014 of 11 March 2019 supplementing Regulation (EU) 2017/1369 of the European Parliament and of the Council with regard to energy labelling of household washing machines and household washer-dryers and repealing Commission Delegated Regulation (EU) No 1061/2010 and Commission Directive 96/60/EC, as amended from time to time
Light sourcesCommission Delegated Regulation (EU) 2019/2015 of 11 March 2019 supplementing Regulation (EU) 2017/1369 of the European Parliament and of the Council with regard to energy labelling of light sources and repealing Commission Delegated Regulation (EU) No 874/2012, as amended from time to time
Air-conditionersCommission Delegated Regulation (EU) No 626/2011 of 4 May 2011 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to energy labelling of air conditioners, as amended from time to time
Household washing machinesCommission Delegated Regulation (EU) 2019/2014 of 11 March 2019 supplementing Regulation (EU) 2017/1369 of the European Parliament and of the Council with regard to energy labelling of household washing machines and household washer-dryers and repealing Commission Delegated Regulation (EU) No 1061/2010 and Commission Directive 96/60/EC, as amended from time to time
Household dishwashersCommission Delegated Regulation (EU) 2019/2017 of 11 March 2019 supplementing Regulation (EU) 2017/1369 of the European Parliament and of the Council with regard to energy labelling of household dishwashers and repealing Commission Delegated Regulation (EU) No 1059/2010, as amended from time to time
Refrigerating appliancesCommission Delegated Regulation (EU) 2019/2016 of 11 March 2019 supplementing Regulation (EU) 2017/1369 of the European Parliament and of the Council with regard to energy labelling of refrigerating appliances and repealing Commission Delegated Regulation (EU) No 1060/2010, as amended from time to time
Electronic displaysCommission Delegated Regulation (EU) 2019/2013 of 11 March 2019 supplementing Regulation (EU) 2017/1369 of the European Parliament and of the Council with regard to energy labelling of electronic displays and repealing Commission Delegated Regulation (EU) No 1062/2010, as amended from time to time
Water heaters, hot water storage tanks and packages of water heater and solar deviceCommission Delegated Regulation (EU) No 812/2013 of 18 February 2013 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to the energy labelling of water heaters, hot water storage tanks and packages of water heater and solar device, as amended from time to time
Space heaters, combination heaters, packages of space heater, temperature control and solar device and packages of combination heater, temperature control and solar deviceCommission Delegated Regulation (EU) No 811/2013 of 18 February 2013 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to the energy labelling of space heaters, combination heaters, packages of space heater, temperature control and solar device and packages of combination heater, temperature control and solar device, as amended from time to time
Domestic ovens and range hoodsCommission Delegated Regulation (EU) No 65/2014 of 1 October 2013 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to the energy labelling of domestic ovens and range hoods, as amended from time to time
Residential ventilation unitsCommission Delegated Regulation (EU) No 1254/2014 of 11 July 2014 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to the energy labelling of residential ventilation units, as amended from time to time
Professional refrigerated storage cabinetsCommission Delegated Regulation (EU) 2015/1094 of 5 May 2015 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to the energy labelling of professional refrigerated storage cabinets, as amended from time to time
Solid fuel boilers and packages of a solid fuel boiler, supplementary heaters, temperature controls and solar devicesCommission Delegated Regulation (EU) 2015/1187 of 27 April 2015 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to the energy labelling of solid fuel boilers and packages of a solid fuel boiler, supplementary heaters, temperature controls and solar devices, as amended from time to time
Local space heatersCommission Delegated Regulation (EU) 2015/1186 of 24 April 2015 supplementing Directive 2010/30/EU of the European Parliament and of the Council with regard to the energy labelling of local space heaters, as amended from time to time
Refrigerating appliances with a direct sales functionCommission Delegated Regulation (EU) 2019/2018 of 11 March 2019 supplementing Regulation (EU) 2017/1369 of the European Parliament and of the Council with regard to energy labelling of refrigerating appliances with a direct sales function, as amended from time to time]

Extent Information

E8This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Textual Amendments

[F202.—(1) In the table in paragraph 1, in Column 2 of the row relating to household combined washer-driers, the reference to Commission Directive 96/60/EC implementing Council Directive 92/75/EEC with regard to energy labelling of household combined washer-driers, is to be read as a reference to that Commission Directive as it had effect immediately before IP completion day, and subject to the modifications in subparagraph (2).E+W+S

(2) The modifications referred to in subparagraph (1) are that the Commission Directive is to be read as if—

(a)in each place in which they occur, references to “harmonized standards” were references to “designated standards within the meaning of the Ecodesign for Energy-Related Products Regulations 2010”;

(b)in Article 1—

(i)for paragraph 2, there were substituted—

“2.  The information required by this Directive must be measured in accordance with designated standards.”;

(ii)paragraph 3 were omitted;

(c)Article 3 were omitted;

(d)Article 4 were omitted;

(e)Article 6 were omitted;

(f)in Annex 1 (the label)—

(i)in paragraph 2, in Note 4—

(aa)the words from “Without prejudice” to “scheme” were omitted; and

(bb)after “Council Regulation (EEC) No 880/92” there were inserted “ of 23 March 1992 on a Community eco-label award scheme, before IP completion day ”;

(ii)in paragraph 2, for Note 12, there were substituted—

“(XII)Where manufacturers so choose, noise during washing, spinning and drying cycles using standard 60°C cotton washing cycle and ‘dry cotton’ drying cycle, determined in accordance with—

(a)EN 60704-3;

(b)EN 60704-2-4 for washing and spinning;

(c)EN 60704-2-6 for drying; or

(d)any relevant measurement standard maintained by a recognised standardisation body”; and

(iii)in paragraph 3, there were omitted the words from “The Secretary of the Committee” to the end; and

(g)in Annex 2 (the fiche)—

(i)in point 4—

(aa)the words from “Without prejudice” to “scheme” were omitted.

(bb)after “Regulation (EEC) No 880/92” there were inserted “ of 23 March 1992 on a Community eco-label award scheme, before IP completion day ”; and

(ii)for point 18, there were substituted—

“18.  Where manufacturers so choose, noise during washing, spinning and drying cycles using standard 60°C cotton washing cycle and ‘dry cotton’ drying cycle, determined in accordance with—

(a)EN 60704-3;

(b)EN 60704-2-4 for washing and spinning;

(c)EN 60704-2-6 for drying; or

(d)any relevant measurement standard maintained by a recognised standardisation body.”.]

Textual Amendments

Regulation 6(b)

SCHEDULE 2U.K.Powers of entry and warrants

Power to enter premisesE+W+S

1.—(1) An authorised person may enter premises, except any premises used wholly or mainly as a private dwelling house, at any reasonable hour for the purpose of enforcing [F21these Regulations, the EU Energy Labelling Regulation and RAMS].

(2) An authorised person must, if requested to do so, produce a duly authenticated authorisation document.

(3) An authorised person may—

[F22(a)be accompanied by such other persons as the authorised person considers necessary; and]

(b)bring on to the premises such equipment as the authorised person considers necessary.

Extent Information

E2This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

F21Words in Sch. 2 para. 1 substituted (29.3.2018) by The Energy Information (Amendment) Regulations 2018 (S.I. 2018/255), regs. 1, 11(a)

Power to enter premisesN.I.

1.—(1) An authorised person may enter premises, except any premises used wholly or mainly as a private dwelling house, at any reasonable hour for the purpose of enforcing [F41these Regulations, the EU Energy Labelling Regulation and RAMS].

(2) An authorised person must, if requested to do so, produce a duly authenticated authorisation document.

(3) An authorised person may—

(a)be accompanied by—

(i)such other persons as the authorised person considers necessary,

(ii)any representative of the European Commission; and

(b)bring on to the premises such equipment as the authorised person considers necessary.

Extent Information

E9This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Textual Amendments

F41Words in Sch. 2 para. 1 substituted (29.3.2018) by The Energy Information (Amendment) Regulations 2018 (S.I. 2018/255), regs. 1, 11(a)

Power to inspect, seize and detain products etc.U.K.

2.—(1) An authorised person may—

(a)in order to ascertain if there has been a breach of [F23these Regulations, of the EU Energy Labelling Regulation or of RAMS], inspect any products, goods, records, documents or information;

(b)in order to ascertain if there has been a breach of [F23these Regulations, of the EU Energy Labelling Regulation or of RAMS], require any person carrying on or employed in connection with a business to produce any products, goods, records, documents or information and take copies of—

(i)any document or record; or

(ii)any entry in any document or record;

(c)in order to ascertain by testing or otherwise if there has been a breach of [F23these Regulations, of the EU Energy Labelling Regulation or of RAMS], and reasonably suspecting such breach, seize and detain any products, goods, records, documents or information;

(d)seize and detain any products, goods, records, documents or information which may be required as evidence in any proceedings under [F24these Regulations, the EU Energy Labelling Regulation or RAMS];

(e)for the purposes of exercising any powers or duties under [F24these Regulations, the EU Energy Labelling Regulation or RAMS], but only if and to the extent reasonably necessary in order to secure that the provisions of [F24these Regulations, the EU Energy Labelling Regulation or RAMS] are observed, require any person having authority to do so to break open any container and, if that person does not comply or if there is no person present having authority to open it, break it open using reasonable force.

(2) An authorised person may require information stored electronically to be made available in printed form.

(3) An authorised person entering any premises whether under a power of entry under paragraph 1 or under a warrant under paragraph 3 must, if the occupier is present, give to the occupier or, if the occupier is absent, leave in a prominent place a notice—

(a)summarising the authorised person’s powers of seizure and detention of products, goods, records, documents and information;

(b)disclosing at which office of the market surveillance authority and within which hours a copy of these Regulations [F25and the EU Energy Labelling Regulation] is available to be consulted.

(4) An authorised person entering any premises which are unoccupied or from which the occupier is temporarily absent must leave them as effectively secured against unauthorised entry as they were before entry.

(5) An authorised person exercising any power of seizure and detention must—

(a)give to the person against whom the power has been exercised a written notice stating what has been seized and detained;

(b)detain those things only for as long as is necessary for the market surveillance authority to ascertain whether a breach of [F26these Regulations, of the EU Energy Labelling Regulation or of RAMS] has occurred and if required present the evidence at court.

Textual Amendments

F23Words in Sch. 2 para. 2(1) substituted (29.3.2018) by The Energy Information (Amendment) Regulations 2018 (S.I. 2018/255), regs. 1, 11(b)(i)

F24Words in Sch. 2 para. 2(1) substituted (29.3.2018) by The Energy Information (Amendment) Regulations 2018 (S.I. 2018/255), regs. 1, 11(b)(ii)

F25Words in Sch. 2 para. 2(3)(b) inserted (29.3.2018) by The Energy Information (Amendment) Regulations 2018 (S.I. 2018/255), regs. 1, 11(c)

F26Words in Sch. 2 para. 2(5)(b) substituted (29.3.2018) by The Energy Information (Amendment) Regulations 2018 (S.I. 2018/255), regs. 1, 11(d)

WarrantsU.K.

3.—(1) A justice of the peace may by signed warrant permit an authorised person or any other person to enter any premises in the exercise of the powers and duties under [F27these Regulations, the EU Energy Labelling Regulation or Article 19 of RAMS], if necessary by reasonable force, if the justice in England and Wales on sworn information in writing, in Northern Ireland on a complaint on oath, or in Scotland by evidence on oath is satisfied—

(a)that there are reasonable grounds to enter those premises for the purposes of enforcing [F28these Regulations, the EU Energy Labelling Regulation and RAMS]; and

(b)that any of the conditions in paragraph 4 is met.

(2) Reference to a justice of the peace—

(a)in Scotland includes a sheriff;

(b)in Northern Ireland is a reference to a lay magistrate.

Textual Amendments

F27Words in Sch. 2 para. 3(1) substituted (29.3.2018) by The Energy Information (Amendment) Regulations 2018 (S.I. 2018/255), regs. 1, 11(e)(i)

F28Words in Sch. 2 para. 3(1)(a) substituted (29.3.2018) by The Energy Information (Amendment) Regulations 2018 (S.I. 2018/255), regs. 1, 11(e)(ii)

Conditions for warrantsU.K.

4.  The conditions are—

(a)entry to the premises has been, or is likely to be, refused and notice of the intention to apply for a warrant has been given to the occupier;

(b)asking for admission to the premises, or giving such a notice, would defeat the object of the entry;

(c)entry is required urgently;

(d)the premises are unoccupied or the occupier is temporarily absent.

Duration of warrantU.K.

5.  A warrant under paragraph 3 is valid for one month.

Regulation 6(c)

SCHEDULE 3U.K.Testing

Test purchasesU.K.

1.  A market surveillance authority may, for the purpose of testing any product to ascertain whether any provision of [F29these Regulations, the EU Energy Labelling Regulation or RAMS] has been breached, purchase, or authorise an officer of the market surveillance authority to purchase, any product.

Textual Amendments

F29Words in Sch. 3 para. 1 substituted (29.3.2018) by The Energy Information (Amendment) Regulations 2018 (S.I. 2018/255), regs. 1, 12

2.—(1) If a product so tested fails to comply with [F30a product-specific measure], the market surveillance authority may recover its testing costs from the person who placed it on the market for the first time.

(2) Costs include in particular—

(a)all the costs of purchasing and disposing of the product;

(b)all the administration and labour costs including third party testing costs throughout the testing period.

(3) The market surveillance authority is not entitled to recover any costs proven to have been incurred unnecessarily.

Extent Information

E3This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

2.—(1) If a product so tested fails to comply with an EU measure, the market surveillance authority may recover its testing costs from the person who placed it on the market for the first time.

(2) Costs include in particular—

(a)all the costs of purchasing and disposing of the product;

(b)all the administration and labour costs including third party testing costs throughout the testing period.

(3) The market surveillance authority is not entitled to recover any costs proven to have been incurred unnecessarily.

Extent Information

E10This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Notice of intentE+W+S

3.—(1) If the market surveillance authority proposes to recover its testing costs it must serve a notice of what is proposed (a “notice of intent”) within 20 days of obtaining proof that the product has failed to comply with [F31a product-specific measure].

(2) The notice of intent must include—

(a)a statement that the product has been tested and has failed to comply with [F32a product-specific measure];

(b)details of the tests carried out;

(c)the amount to be paid;

(d)a detailed breakdown of the testing costs incurred; and

(e)information as to—

(i)the right to make representations and objections within 28 days beginning on the day on which the notice of intent was received;

(ii)the circumstances in which the market surveillance authority may not recover its costs.

Extent Information

E4This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

Notice of intentN.I.

3.—(1) If the market surveillance authority proposes to recover its testing costs it must serve a notice of what is proposed (a “notice of intent”) within 20 days of obtaining proof that the product has failed to comply with an EU measure.

(2) The notice of intent must include—

(a)a statement that the product has been tested and has failed to comply with an EU measure;

(b)details of the tests carried out;

(c)the amount to be paid;

(d)a detailed breakdown of the testing costs incurred; and

(e)information as to—

(i)the right to make representations and objections within 28 days beginning on the day on which the notice of intent was received;

(ii)the circumstances in which the market surveillance authority may not recover its costs.

Extent Information

E11This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Making representations and objectionsU.K.

4.  A person upon whom a notice of intent has been served may, within 28 days beginning on the day on which the notice was received, make written representations and objections to the market surveillance authority in relation to the proposed recovery of costs.

Final noticeU.K.

5.—(1) Within 20 days following the end of the period for making representations and objections the market surveillance authority must decide whether to impose the requirements of the notice of intent with or without modifications.

(2) Where the market surveillance authority decides to impose a requirement, the notice imposing it (the “final notice”) must comply with paragraph 6.

Contents of final noticeE+W+S

6.  A final notice must include—

(a)a statement that the product has been tested and has failed to comply with [F33a product-specific measure];

(b)details of the tests carried out;

(c)the amount to be paid and the period within which the payment must be made which must not be less than 28 days;

(d)a detailed breakdown of the testing costs incurred;

(e)information as to—

(i)how payment must be made;

(ii)the consequences of failing to comply with the notice within the specified period;

(iii)rights of appeal.

Extent Information

E5This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

Contents of final noticeN.I.

6.  A final notice must include—

(a)a statement that the product has been tested and has failed to comply with an EU measure;

(b)details of the tests carried out;

(c)the amount to be paid and the period within which the payment must be made which must not be less than 28 days;

(d)a detailed breakdown of the testing costs incurred;

(e)information as to—

(i)how payment must be made;

(ii)the consequences of failing to comply with the notice within the specified period;

(iii)rights of appeal.

Extent Information

E12This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

AppealU.K.

7.—(1) Any appeal under this Schedule must be made to the First-tier Tribunal.

(2) The Tribunal must determine the standard of proof.

(3) A notice under this Schedule is suspended pending appeal.

(4) The Tribunal may, in relation to the imposition of a requirement or service of a notice—

(a)withdraw the notice;

(b)confirm the notice;

(c)vary the notice; or

(d)remit the decision whether to confirm the notice, or any matter relating to that decision, to the market surveillance authority.

Mode of recoveryU.K.

8.  The market surveillance authority may recover the amount due under a final notice as if payable under a court order.

GuidanceU.K.

9.—(1) The Secretary of State must publish guidance about the recovery of costs.

(2) The guidance must contain relevant information and the Secretary of State must update and revise the guidance where appropriate.

(3) The market surveillance authority must have regard to the guidance in exercising its functions.

(4) In this paragraph, relevant information is information about—

(a)the circumstances in which a final notice under this Schedule is likely to be imposed and when it is not likely to be imposed;

(b)how the costs of the test will be calculated;

(c)the matters likely to be taken into account by the market surveillance authority in determining the amount to be recovered; and

(d)the rights to make representations and objections and the rights of appeal.

Regulation 6(d)

SCHEDULE 4U.K.Civil sanctions

PART 1U.K.Power to impose civil sanctions

Market surveillance authorityU.K.

1.  The market surveillance authority may impose a requirement upon a person to comply with a compliance notice, a stop notice, an enforcement undertaking or to pay a variable monetary penalty or non-compliance penalty (a “civil sanction”) as set out in this Schedule.

Non-compliant productsU.K.

F342.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Compliance noticeU.K.

3.—(1) This paragraph applies where the market surveillance authority is satisfied beyond reasonable doubt that a person has committed an offence under regulation 11(1).

(2) The market surveillance authority may by notice (“a compliance notice”) impose on that person a requirement to take such steps as the market surveillance authority may specify, within such period as it may specify, to secure that the offence does not continue or recur.

(3) A compliance notice may not be imposed on more than one occasion in relation to the same offence.

Imposition of a variable monetary penaltyU.K.

4.—(1) The market surveillance authority may by notice impose on any person in relation to an offence committed under regulation 11(1) a requirement to pay a monetary penalty to the market surveillance authority in such amount as it may determine (“a variable monetary penalty”).

(2) Before doing so the market surveillance authority must be satisfied beyond reasonable doubt that the person has committed the offence.

(3) A variable monetary penalty may not be imposed on more than one occasion in relation to the same act or omission.

(4) There is no limit to the amount of a variable monetary penalty.

(5) Before serving a notice relating to a variable monetary penalty the market surveillance authority may require the person on whom it is to be served to provide such information as is reasonable to establish the amount of any financial benefit arising as a result of the offence.

(6) The market surveillance authority may recover any variable monetary penalty imposed under this Schedule as if payable under order of the court.

Notice of intentU.K.

5.—(1) If the market surveillance authority proposes to serve a compliance notice or a variable monetary penalty under this Part, it 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 notice or penalty;

(b)the requirements of the notice and in the case of a penalty the amount to be paid;

(c)information as to—

(i)the right to make representations and objections within 28 days beginning with the day on which the notice of intent was received;

(ii)the circumstances in which the market surveillance authority may not impose the notice.

Making representations and objectionsU.K.

6.  A person on whom a notice of intent is served may within 28 days beginning with the day on which the notice was received make written representations and objections to the market surveillance authority in relation to the proposed imposition of a compliance notice or variable monetary penalty.

Third party undertakingsE+W+S

7.—(1) A person on whom a notice of intent is served may offer an undertaking as to action to be taken by that person (including the payment of a sum of money) to benefit any third party affected by the offence or non-compliance with [F35a product-specific measure] (“a third party undertaking”).

(2) The market surveillance authority may accept or reject such a third party undertaking.

(3) The market surveillance authority must take into account any third party undertaking that it accepts in its decision whether or not to serve a final notice and, if it serves a notice imposing a variable monetary penalty, the amount of the penalty.

Extent Information

E6This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

Third party undertakingsN.I.

7.—(1) A person on whom a notice of intent is served may offer an undertaking as to action to be taken by that person (including the payment of a sum of money) to benefit any third party affected by the offence or non-compliance with an EU measure (“a third party undertaking”).

(2) The market surveillance authority may accept or reject such a third party undertaking.

(3) The market surveillance authority must take into account any third party undertaking that it accepts in its decision whether or not to serve a final notice and, if it serves a notice imposing a variable monetary penalty, the amount of the penalty.

Extent Information

E13This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Final noticeU.K.

8.—(1) After the end of the period for making representations and objections, the market surveillance authority must decide whether to impose the requirements in the notice of intent, with or without modifications.

(2) Where the market surveillance authority decides to impose a requirement, the notice imposing it (the “final notice”) must comply with paragraph 9 or 10.

(3) The market surveillance authority may not impose a final notice on a person where the market surveillance authority is satisfied that the person would not, by reason of any defence, be liable to be convicted of the offence to which the notice relates.

Contents of final notice – compliance noticeU.K.

9.  A final notice relating to a compliance notice must include information as to—

(a)the grounds for imposing the notice;

(b)what compliance is required and the period within which it must be completed;

(c)rights of appeal; and

(d)the consequences of failing to comply with the notice.

Contents of final notice - variable monetary penaltyU.K.

10.  A final notice relating to a variable monetary penalty 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.

Appeals against a final noticeU.K.

11.—(1) The person receiving the final notice may appeal against it.

(2) The grounds for appeal are—

(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 variable monetary penalty, that the amount of the penalty is unreasonable;

(d)in the case of a non-monetary requirement, that the nature of the requirement is unreasonable;

(e)that the decision was unreasonable for any other reason;

(f)that the decision was wrong for any other reason.

Criminal proceedingsU.K.

12.—(1) If—

(a)a compliance notice or variable monetary penalty is imposed on any person, or

(b)a third party undertaking is accepted from any person,

that person may not at any time be convicted of the offence under regulation 11(1) in respect of the act or omission giving rise to the compliance notice, variable monetary penalty or third party undertaking except in a case to which sub-paragraph (2) applies.

(2) This sub-paragraph applies to a case where in relation to an offence under regulation 11(1)—

(a)a compliance notice is imposed on a person or a third party undertaking is accepted from a person;

(b)no variable monetary penalty is imposed upon that person, and

(c)the person fails to comply with the compliance notice or third party undertaking.

(3) Criminal proceedings for offences triable summarily to which a compliance notice or third party undertaking in sub-paragraph (2) relate may be instituted at any time up to 6 months from the date when the market surveillance authority notifies the person that they have failed to comply with that compliance notice or third party undertaking.

PART 2U.K.Stop notices

Stop noticesE+W+S

13.—(1) The market surveillance authority may serve a notice (a “stop notice”) on any person—

(a)in relation to an offence committed under regulation 11(1), prohibiting a person from carrying on an activity specified in the notice until the person has taken the steps specified in the notice;

(b)where the market surveillance authority is of the opinion that a person is likely to make available on the market a product which does not comply with [F36a product-specific measure], a requirement to take such steps as the market surveillance authority may specify within such period as it may specify, to secure that its being made available on the market is prohibited or restricted.

(2) A stop notice may only be served where the person is—

(a)carrying on the activity, and

(b)the market surveillance authority reasonably believes that—

(i)the activity as carried on by that person involves or is likely to involve the commission of an offence under regulation 11(1); or

(ii)that person is likely to make available on the market a product which does not comply with [F37a product-specific measure].

(3) The steps referred to in sub-paragraph (1)(a) and (b) must be steps to eliminate the risk of the offence being committed, or of products which do not comply with [F38a product-specific measure] being made available on the market.

Extent Information

E7This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

Stop noticesN.I.

13.—(1) The market surveillance authority may serve a notice (a “stop notice”) on any person—

(a)in relation to an offence committed under regulation 11(1), prohibiting a person from carrying on an activity specified in the notice until the person has taken the steps specified in the notice;

(b)where the market surveillance authority is of the opinion that a person is likely to make available on the market a product which does not comply with an EU measure, a requirement to take such steps as the market surveillance authority may specify within such period as it may specify, to secure that its being made available on the market is prohibited or restricted.

(2) A stop notice may only be served where the person is—

(a)carrying on the activity, and

(b)the market surveillance authority reasonably believes that—

(i)the activity as carried on by that person involves or is likely to involve the commission of an offence under regulation 11(1); or

(ii)that person is likely to make available on the market a product which does not comply with an EU measure.

(3) The steps referred to in sub-paragraph (1)(a) and (b) must be steps to eliminate the risk of the offence being committed, or of products which do not comply with an EU measure being made available on the market.

Extent Information

E14This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Contents of a stop noticeU.K.

14.  A stop notice must include information as to—

(a)the grounds for serving the stop notice and the activity which is prohibited;

(b)the steps the person must take to comply with the stop notice;

(c)the consequences of non-compliance;

(d)the period within which the activity must stop.

AppealsU.K.

15.—(1) The person on whom a stop notice is served may appeal against the decision to serve it.

(2) The grounds for appeal are—

(a)that the decision was based on an error of fact;

(b)that the decision was wrong in law;

(c)that the decision was unreasonable;

(d)that any step specified in the notice is unreasonable;

(e)that the person has not committed the offence and would not have committed it had the stop notice not been served;

(f)that the person was not likely to make a product available on the market and would not have made it available on the market if the stop notice had not been served;

(g)that the person would not, by reason of any defence, have been liable to be convicted of the offence had the stop notice not been served;

(h)that the decision was wrong for any other reason.

Completion certificatesU.K.

16.—(1) The market surveillance authority must issue a certificate (a “completion certificate”) if, after service of a stop notice, the market surveillance authority is satisfied that the person has taken the steps specified in the notice.

(2) A stop notice ceases to have effect on the issue of a completion certificate.

(3) A person on whom a stop notice is served may at any time apply for a completion certificate.

(4) The market surveillance authority must decide whether to issue a completion certificate within 14 days of the application.

(5) A person on whom the stop notice was served may appeal against a decision not to issue a completion certificate on the grounds that—

(a)the decision was based on an error of fact;

(b)the decision was wrong in law;

(c)the decision was unfair or unreasonable;

(d)the decision was wrong for any other reason.

CompensationU.K.

17.—(1) The market surveillance authority must compensate a person for loss suffered as the result of the service of the stop notice or the refusal of a completion certificate if a person has suffered loss as a result of the notice or refusal and—

(a)a stop notice is subsequently withdrawn or amended by the market surveillance authority because the decision to serve it was unreasonable or any step specified in the notice was unreasonable;

(b)a person successfully appeals against the stop notice and the First-tier Tribunal finds that the service of the notice was unreasonable; or

(c)a person successfully appeals against the refusal of a completion certificate and the Tribunal finds that the refusal was unreasonable.

(2) A person may appeal against a decision not to award compensation or the amount of compensation on the grounds that—

(a)the market surveillance authority’s decision was unreasonable;

(b)the amount offered was based on incorrect facts;

(c)the decision was wrong for any other reason.

OffencesU.K.

18.  If a person on whom a stop notice is served does not comply with it within the time limit specified in the notice, the person is guilty of an offence and liable on summary conviction to a fine not exceeding level 5 on the standard scale.

PART 3U.K.Enforcement undertakings

Enforcement undertakingsU.K.

19.  The market surveillance authority may accept a written undertaking (an “enforcement undertaking”) given by a person to the market surveillance authority to take such action as may be specified in the undertaking within such period as may be specified where the market surveillance authority has reasonable grounds to suspect that the person has committed an offence under regulation 11(1).

Contents of an enforcement undertakingU.K.

20.—(1) An enforcement undertaking must specify—

(a)action to be taken by the person to secure that the offence 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 offence had not been committed; or

(c)action (including the payment of a sum of money) to be taken by the person to benefit any person affected by the offence.

(2) It must specify the period within which the action must be completed.

(3) It must include—

(a)a statement that the undertaking is made in accordance with this Schedule;

(b)the terms of the undertaking;

(c)information as to how and when a person is considered to have discharged the undertaking.

(4) The enforcement undertaking may be varied, or the period within which the action must be completed may be extended, if both parties agree in writing.

Acceptance of an enforcement undertakingU.K.

21.  If the market surveillance authority has accepted an enforcement undertaking then, unless the person from whom the undertaking is accepted has failed to comply with the undertaking or any part of it—

(a)that person may not at any time be convicted of the offence in respect of the act or omission to which the undertaking relates; and

(b)the market surveillance authority may not impose on that person a compliance notice, stop notice or variable monetary penalty in respect of that act or omission.

Discharge of an enforcement undertakingU.K.

22.—(1) If the market surveillance authority is satisfied that an enforcement undertaking has been complied with it must issue a certificate to that effect.

(2) The market surveillance authority may require the person who has given the undertaking to provide sufficient information to determine that the undertaking has been complied with.

(3) The person who gave the undertaking may at any time apply for such a certificate.

(4) The market surveillance authority must decide 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 unfair or unreasonable;

(d)was wrong for any other reason.

Inaccurate, incomplete or misleading informationU.K.

23.—(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) The market surveillance authority may by notice in writing revoke a certificate issued under paragraph 22 if it was issued on the basis of inaccurate, incomplete or misleading information.

Non-compliance with an enforcement undertakingU.K.

24.—(1) If a person does not comply with an enforcement undertaking the market surveillance authority may in the case of an offence committed under regulation 11(1)—

(a)serve a compliance notice, non-compliance penalty, stop notice or variable monetary penalty; or

(b)bring criminal proceedings.

(2) If a person has complied partly but not fully with an undertaking, that partial compliance must be taken into account in the imposition of any criminal or other sanction on the person.

(3) Criminal proceedings for offences to which an enforcement undertaking relates may be instituted at any time up to 6 months from the date when the market surveillance authority notifies the person that they have failed to comply with that undertaking.

PART 4U.K.Non-compliance penalties

Non-compliance penaltiesU.K.

25.—(1) If a person fails to comply with a compliance notice, stop notice, third party undertaking or enforcement undertaking, irrespective of whether a variable monetary penalty was also imposed, the market surveillance authority may serve a notice on that person imposing a monetary penalty (“a non-compliance penalty”).

(2) The amount of the non-compliance penalty must be determined by the market surveillance authority, and must be a percentage of the costs of fulfilling the remaining requirements of the notice, third party undertaking or enforcement undertaking.

(3) The percentage must be determined by the market surveillance authority having regard to all the circumstances of the case and may, if appropriate, be 100%.

(4) The notice must include information as to—

(a)the grounds for imposing the non-compliance penalty;

(b)the amount to be paid;

(c)how payment must be made;

(d)the period in which payment must be made, which must not be less than 28 days;

(e)rights of appeal;

(f)the consequences of failure to make payment in the specified period;

(g)any circumstances in which the market surveillance authority may reduce the amount of the penalty.

(5) If the requirements of the compliance notice, stop notice, third party undertaking or enforcement undertaking are fulfilled before the time set for payment of the non-compliance penalty, the penalty is not payable.

(6) The person on whom the notice imposing the non-compliance penalty is served may appeal against it.

(7) The grounds of appeal are—

(a)that the decision to serve the notice was based on an error of fact;

(b)that the decision was wrong in law;

(c)that the decision was unfair or unreasonable for any reason;

(d)that the amount of the penalty was unreasonable;

(e)that the decision was wrong for any other reason.

PART 5U.K.Withdrawal and amendment

Withdrawing or amending a noticeU.K.

26.  The market surveillance authority may at any time in writing—

(a)withdraw a notice imposing a variable monetary penalty or a notice imposing a non-compliance penalty notice or reduce the amount specified in the notice;

(b)withdraw a compliance notice or stop notice or amend the steps in order to reduce the amount of work necessary to comply with the notice.

PART 6U.K.Appeals

AppealsU.K.

27.—(1) Any appeal under this Schedule must be made to the First-tier Tribunal.

(2) An appeal must be brought within 28 days of the date on which the notice or decision is received.

(3) In any appeal (except in relation to a stop notice) where the commission of an offence is an issue requiring determination, the market surveillance authority must prove that offence according to the same burden and standard of proof as in a criminal prosecution.

(4) In any other case the Tribunal must determine the standard of proof.

(5) All notices (other than stop notices) are suspended pending appeal.

(6) The Tribunal may, in relation to the imposition of a requirement or service of a notice—

(a)withdraw the requirement or notice;

(b)confirm the requirement or notice;

(c)vary the requirement or notice;

(d)take such steps as the market surveillance authority could take in relation to the act or omission giving rise to the requirement or notice;

(e)remit the decision whether to confirm the requirement or notice, or any matter relating to that decision, to the market surveillance authority.

PART 7U.K.Guidance and publicity

Guidance as to use of civil sanctionsU.K.

28.—(1) The market surveillance authority must publish guidance about its use of civil sanctions.

(2) The market surveillance authority must revise and update the guidance where appropriate.

(3) The market surveillance authority must have regard to the guidance or revised and updated guidance in exercising its functions.

(4) In the case of guidance about compliance notices, stop notices, variable monetary penalties and non-compliance penalties the guidance must contain information as to—

(a)the circumstances in which the civil sanction is likely to be imposed; and

(b)the circumstances in which it is not likely to be imposed.

(5) In the case of guidance about variable monetary penalties and non-compliance penalties, the guidance must contain information about—

(a)the matters likely to be taken into account by the market surveillance authority in determining the amount of the penalty (including voluntary reporting by a person of their own non-compliance); and

(b)rights to make representations and objections and rights of appeal.

(6) In the case of guidance about enforcement undertakings the guidance must contain information as to—

(a)the circumstances in which the market surveillance authority is likely to accept an enforcement undertaking; and

(b)the circumstances in which the market surveillance authority is not likely to accept an enforcement undertaking.

Consultation on guidanceU.K.

29.  The market surveillance authority must consult such persons as it considers appropriate before publishing any guidance or revised guidance.

Publication of enforcement actionU.K.

30.—(1) The market surveillance authority must from time to time publish—

(a)the cases in which civil sanctions have been imposed;

(b)where the civil sanction is a compliance notice, stop notice or variable monetary penalty, the cases in which a third party undertaking has been accepted;

(c)cases in which an enforcement undertaking has been entered into.

(2) In sub-paragraph (1)(a) the reference to cases in which civil sanctions have been imposed does not include cases where the sanction has been imposed but overturned on appeal.

(3) This paragraph does not apply in cases where the market surveillance authority considers that publication would be inappropriate.

Regulation 16

SCHEDULE 5U.K.Revocations

Column 1Column 2Column 3
Regulations revokedReferencesDate of revocation
1Energy Information (Tumble Driers) Regulations1996S.I. 1996/60120th July 2011
2Energy Information (Combined Washer-driers) Regulations 1997S.I. 1997/162420th July 2011
3Energy Information (Lamps) Regulations 1999S.I. 1999/151720th July 2011
4Energy Information (Household Electric Ovens) Regulations 2003S.I. 2003/75120th July 2011
5Energy Information (Household Air Conditioners) (No 2) Regulations 2005S.I. 2005/172620th July 2011
6Energy Information (Washing Machines) Regulations 1996S.I. 1996/60020th December 2011
7Energy Information (Washing Machines) (Amendment) Regulations 1997S.I. 1997/80320th December 2011
8Energy Information (Dishwashers) Regulations 1999S.I. 1999/167620th December 2011
9Energy Information (Household Refrigerators and Freezers) Regulations 2004S.I. 2004/146830th November 2011
10Energy Information (Miscellaneous Amendment) Regulations 2001S.I. 2001/314220th December 2011
11Energy Information (Miscellaneous Amendment) Regulations 2009S.I. 2009/255920th December 2011

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