PART 6Enforcement
Enforcement notices52
1
Where a Regulator considers that a person has contravened, is contravening or is likely to contravene a relevant requirement, the Regulator may give notice (an “enforcement notice”) to the person.
2
In paragraph (1), “relevant requirement” means—
a
a requirement imposed on the person by or under this Order, or
b
a condition of an emissions monitoring plan.
3
An enforcement notice must set out—
a
the relevant requirement that the Regulator considers to have been contravened, is being contravened or is likely to be contravened,
b
details of the contravention or likely contravention,
c
the steps that must be taken to remedy the contravention or to ensure that a contravention does not occur,
d
the period within which the steps must be taken, and
e
information about rights of appeal.
4
The person to whom the enforcement notice is given must comply with the requirements of the notice within the period set out in the notice.
5
The Regulator may withdraw an enforcement notice at any time by giving notice of the withdrawal to the person to whom the enforcement notice is given.
Penalty notices53
1
Where a Regulator considers that a person is liable to a civil penalty under any of articles 55 to 63 the Regulator may impose a civil penalty on the person.
2
A civil penalty is imposed on a person by giving a notice (a “penalty notice”) to the person.
3
Where the civil penalty to which the person is liable consists of a non-escalating penalty only, or where the civil penalty consists of both a non-escalating penalty and a daily penalty but the Regulator decides not to impose a daily penalty, the penalty notice must set out—
a
the grounds for liability,
b
the amount of the non-escalating penalty and, where relevant, how the amount is calculated,
c
the date by which the non-escalating penalty must be paid, which must not be less than 28 days after the day on which the notice is given,
d
the person to whom payment must be made, which must be either the Regulator or the appropriate national authority,
e
how payment may be made, and
f
information about rights of appeal.
4
Where the civil penalty to which the person is liable consists of both a non-escalating penalty and a daily penalty and the Regulator considers that it may wish to impose a daily penalty, the Regulator must, before giving a penalty notice to the person, first give a notice (an “initial notice”) to the person.
5
The initial notice must set out—
a
the grounds for liability,
b
the maximum amount of the non-escalating penalty that may be imposed,
c
that the daily penalty that may be imposed begins to accrue on the day on which the initial notice is given, and
d
the maximum daily rate of the daily penalty and the maximum amount of the daily penalty that may be imposed.
6
Where, after an initial notice is given to a person, the Regulator considers that the total amount of the daily penalty to which the person is liable can be calculated, including where the daily penalty reaches its maximum amount, the Regulator may give a penalty notice to the person.
7
The penalty notice must set out—
a
the grounds for liability,
b
the amount of the civil penalty, including how the amount is calculated, which may include—
i
a non-escalating penalty, and
ii
a daily penalty,
c
the date by which the civil penalty must be paid, which must not be less than 28 days after the day on which the notice is given,
d
the person to whom payment must be made, which must be either the Regulator or the appropriate national authority,
e
how payment may be made, and
f
information about rights of appeal.
8
The person to whom a penalty notice is given must pay the civil penalty set out in the notice to the person set out in the notice on or before the date specified in the notice.
9
A civil penalty imposed by a penalty notice is recoverable by the Regulator as a civil debt.
10
A Regulator must, as soon as reasonably practicable—
a
inform the appropriate national authority of a penalty notice given by the Regulator, and
b
pay all sums received or recovered under a penalty notice to the appropriate national authority.
11
In this article—
“appropriate national authority” means—
- a
in the case of a penalty notice given by the chief inspector, the Department of Agriculture, Environment and Rural Affairs,
- b
in the case of a penalty notice given by SEPA, the Scottish Ministers,
- c
in the case of a penalty notice given by NRW, the Welsh Ministers,
- d
in any other case, the Secretary of State,
- a
“daily penalty” means a daily penalty set out in articles 55(2)(b), 56(2)(b), 57(2)(b), 58(2)(b), 60(2)(b) or 61(2)(b),
“non-escalating penalty” means a civil penalty under articles 55 to 63 that is not a daily penalty.
12
This article is subject to article 54.
Penalty notices: supplementary54
1
A penalty notice imposing a civil penalty under any of articles 55 to 63 (the “relevant provision”) may set out—
a
a non-escalating penalty of an amount lower than the amount referred to in the relevant provision,
b
where the civil penalty consists of both a non-escalating penalty and a daily penalty—
i
a daily penalty based on a daily rate of an amount lower than the amount referred to in the relevant provision, or
ii
no daily penalty.
2
Subject to paragraph (3), the Regulator may, by giving notice to the person to whom a penalty notice is given—
a
extend the date for which a payment set out in the penalty notice is due,
b
amend the penalty notice by substituting a lower non-escalating penalty or a daily penalty based on a lower daily rate, or
c
withdraw the penalty notice.
3
The Regulator may withdraw a penalty notice referred to in paragraph (3) if there is an error in the notice, including an error in the basis on which the civil penalty imposed by the notice is calculated.
Failure to apply or make revised application for approval of Emissions Monitoring Plan55
1
An aeroplane operator is liable to a civil penalty where the aeroplane operator fails—
a
to apply, or to apply on time, to a Regulator for the approval of an Emissions Monitoring Plan, contrary to article 23; or
b
to make a revised application, or to make a revised application on time, for the approval of an Emissions Monitoring Plan, where required to do so under article 26(2).
2
The civil penalty is—
a
£20,000; and
b
a daily penalty at a daily rate of £500 for each day that the application is not submitted or, as the case may be, the revised application is not resubmitted, beginning with the day on which the initial notice set out in article 53(4) is given, up to a maximum of £45,000.
Failure to comply with condition of Emissions Monitoring Plan56
1
An aircraft operator is liable to a civil penalty where the aircraft operator fails to comply, or to comply on time, with a condition of an Emissions Monitoring Plan, contrary to article 24(4).
2
The civil penalty is—
a
£20,000, and
b
a daily penalty at a daily rate of £500 for each day that the person fails to comply with the condition, beginning with the day on which the initial notice under article 53(4) is given, up to a maximum of £45,000.
Failure to monitor emissions57
1
An aeroplane operator is liable to a civil penalty where the aeroplane operator fails to monitor emissions in accordance with its Emissions Monitoring Plan.
2
The civil penalty is—
a
£20,000; and
b
a daily penalty at a daily rate of £500 for each day that the person fails to monitor aviation emissions in accordance with article 22(1), beginning with the day on which the initial notice under article 53(4) is given, up to a maximum of £45,000.
Failure to report emissions58
1
An aeroplane operator is liable to a civil penalty where the aeroplane operator fails to submit, or to submit on time, a verified Emissions Report to a Regulator, contrary to article 31(1).
2
The civil penalty is—
a
£20,000; and
b
a daily penalty at a daily rate of £500 for each day that the report is not submitted, beginning with the day on which the initial notice under article 53(4) is given, up to a maximum of £45,000.
Failure to keep records59
A person is liable to a civil penalty of £50,000 where the person fails to keep the appropriate records in accordance with article 12(1).
Failure to comply with enforcement notice given by a Regulator60
1
A person is liable to a civil penalty where the person fails to comply, or to comply on time, with the requirements of an enforcement notice given by a Regulator under article 52(1).
2
The civil penalty is—
a
£20,000; and
b
a daily penalty at a daily rate of £1,000 for each day that the person fails to comply with the requirements of the notice, beginning with the day on which the initial notice under article 53(4) is given, up to a maximum of £45,000.
Failure to comply with information notice61
1
A person is liable to a civil penalty where the person fails to comply, or to comply on time, with the requirements of an information notice given by a Regulator under article 50(1).
2
The civil penalty is—
a
£5,000; and
b
a daily penalty at a daily rate of £500 for each day that the person fails to comply with the requirements of the information notice, beginning with the day on which the initial notice under article 53(4) is given, up to a maximum of £45,000.
Providing false or misleading information, etc.62
A person is liable to a civil penalty of £50,000 where the person provides false or misleading information, or makes a statement that is false or misleading in a material respect, where the information is provided, or the statement is made—
a
in an application under this Order;
b
in compliance with a notice given to the person under this Order;
c
in a notice that the person is required to give under this Order;
d
in compliance with a condition of an approved Emissions Monitoring Plan;
e
in an Emissions Report.
Inspection: refusal to allow access to premises63
A person in control of premises is liable to a civil penalty of £50,000 where the person does not allow a Regulator or authorised person, within the meaning of article 45, access to the premises contrary to article 46(3).