SCHEDULE 1
Exemptions1
1
The kinds of single use carrier bags to which regulation 6 does not apply are—
F1za
bags used solely to contain one or more items of the following kinds—
i
unpackaged food for human or animal consumption;
ii
unpackaged loose seeds, bulbs, corms or rhizomes;
iii
any unpackaged axe, knife, knife blade or razor blade;
iv
unpackaged goods contaminated by soil;
v
items from the categories specified in sub-paragraph (2);
F2a
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F2b
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F2c
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F2d
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
e
bags used solely to contain packaged—
i
uncooked fish or fish products;
ii
uncooked meat or meat products;
iii
uncooked poultry or poultry products,
and in respect of which the maximum dimensions are 205 millimetres (“mm”) (width) x 125 mm (gusset width) x 458 mm (height inclusive of handles);
F2f
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
g
bags used to contain purchases made on board ships, trains, aircraft, coaches or buses;
h
bags used to contain purchases made in an area designated by the Secretary of State as a security restricted area under section 11A of the Aviation Security Act 1982 M1;
F3i
mail order dispatch and courier bags;
j
bags which—
i
are made wholly from paper;
ii
have maximum dimensions of 175 mm (width) x 260 mm (height);
iii
do not have a gusset; and
iv
do not have a handle;
k
bags which—
i
are made wholly or mainly from plastic;
ii
have maximum dimensions of 125 mm (width) x 125 mm (height);
iii
do not have a gusset; and
iv
do not have a handle;
l
bags which—
i
are made wholly from paper;
ii
have maximum dimensions of 80 mm (width) x 50 mm (gusset width) x 155 mm (height); and
iii
do not have a handle;
m
gusseted liners used to line or cover boxes, crates or other containers of a similar nature;
n
bags used solely to contain live aquatic creatures in water;
F4o
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F16p
subject to sub-paragraph (1A), bags intended to be used solely for the purpose of carrying goods purchased—
i
for delivery as part of a grocery delivery service; or
ii
for collection as part of a service that provides for collection of groceries.
F171A
Bags falling within paragraph (p) of sub-paragraph (1) are exempted from the charge under regulation 6 only until midnight on F1831 December 2020.
2
The specified categories are—
F11a
medicinal products or listed appliances sold in accordance with a prescription issued by a registered medical practitioner, a dentist, a supplementary prescriber, a nurse independent prescriber, an independent nurse prescriber, an optometrist independent prescriber, a pharmacist independent prescriber, a physiotherapist independent prescriber, a podiatrist or a chiropodist independent prescriber F13, a therapeutic radiographer independent prescriberF15, a paramedic independent prescriber or an EEA health professional;
b
where sold F5...otherwise than in accordance with paragraph (a), pharmacy medicine.
3
In this paragraph—
M2“dentist” (“deintydd”) means a person registered in the dentists register kept under section 14 of the Dentists Act 1984 ;
M3“EEA health professional” (“proffesiynolyn iechyd yr AEE”) has the meaning given in regulation F6213(1) of the Human Medicines Regulations 2012;
M4“independent nurse prescriber” (“nyrs sy'n rhagnodi'n annibynnol”) has the meaning given in regulation 2(1) of the F19National Health Service (Pharmaceutical Services) (Wales) Regulations 2020;
“listed appliances” (“cyfarpar rhestredig”) means listed appliances within the meaning of any of the following—
M9“medicinal product” (“cynnyrch meddyginiaethol”) has the meaning given in section 130 of the Medicines Act 1968;
F14“paramedic independent prescriber” (“parafeddyg-ragnodydd annibynnol”) has the meaning given in regulation 2(1) of the F19National Health Service (Pharmaceutical Services) (Wales) Regulations 2020;
“pharmacy medicine” (“meddyginiaeth fferyllol”) F7has the meaning given in regulation 5(5) of the Human Medicines Regulations 2012;
F10“physiotherapist independent prescriber” (“ffisiotherapydd-ragnodydd annibynnol”) has the meaning given in regulation 2(1) of the F19National Health Service (Pharmaceutical Services) (Wales) Regulations 2020;
F10“podiatrist or chiropodist independent prescriber” (“podiatrydd-ragnodydd neu giropodydd-ragnodydd annibynnol”) has the meaning given in regulation 2(1) of the F19National Health Service (Pharmaceutical Services) (Wales) Regulations 2020;
“prescription only medicine” (“meddyginiaeth drwy bresgripsiwn yn unig”) F8has the meaning given in regulation 5(3) of the Human Medicines Regulations 2012;
M10“supplementary prescriber” (“rhagnodydd atodol”), “nurse independent prescriber” (“nyrs-ragnodydd annibynnol”), “optometrist independent prescriber” (“optometrydd-ragnodydd annibynnol”) and “pharmacist independent prescriber” (“fferyllydd-ragnodydd annibynnol”) each have the meanings respectively ascribed to them in F9regulation 8(1) of the Human Medicines Regulations 2012;
F12“therapeutic radiographer independent prescriber” (“radiograffydd therapiwtig-ragnodydd annibynnol”) has the meaning given in regulation 2(1) of the F19National Health Service (Pharmaceutical Services) (Wales) Regulations 2020;
“unpackaged” (“heb ei becynnu”) means wholly or partly unwrapped.
SCHEDULE 2Fixed monetary penalties
PART 1 Imposition of fixed monetary penalties and procedure
Power to impose fixed monetary penalty1
1
An administrator may by notice impose a fixed monetary penalty on a seller who breaches these Regulations in the circumstances specified in regulation 11(1).
2
An administrator may exercise the power conferred by sub-paragraph (1) in relation to a case if it is satisfied on the balance of probabilities that the breach has occurred.
Fixed monetary penalties2
The amount of penalty which can be imposed by an administrator as a fixed monetary penalty in any case is the amount specified in the second column of the table in Part 2 by reference to the kind of breach concerned.
Notice of Intent3
1
Where an administrator proposes to impose a fixed monetary penalty on a seller, the administrator must serve a notice of intent on that seller M11.
2
A notice of intent must—
a
state the amount of the penalty;
b
offer the seller the opportunity to discharge its liability to the penalty by paying the specified sum within 28 days beginning with the day on which the notice is received;
c
include information as to—
i
the grounds for the proposal to impose the fixed monetary penalty;
ii
the effect of payment of the specified sum;
iii
the right to make representations and objections conferred by paragraph 5;
iv
the circumstances in which the administrator may not impose the fixed monetary penalty;
v
the 28 day period within which liability to the fixed monetary penalty may be discharged by virtue of paragraph 4;
vi
the 28 day period within which representations and objections may be made;
vii
how payment may be made.
Discharge of liability following notice of intent4
1
A seller's liability to a fixed monetary penalty is discharged if the seller pays the specified sum within 28 days beginning with the day on which the notice of intent to which it relates was received.
2
The specified sum is the amount specified in the third column of the table in Part 2 by reference to the kind of breach concerned.
Making representations and objections5
1
This paragraph applies if a seller does not discharge its liability to a fixed monetary penalty by payment of the specified sum.
2
Within 28 days of the day on which the notice of intent was received by the seller, the seller may make written representations and objections to the administrator in relation to the proposed imposition of the fixed monetary penalty.
Decision whether to impose a fixed monetary penalty6
1
At the end of the 28 day period for making representations and objections under paragraph 5, the administrator must decide whether to impose the fixed monetary penalty.
2
In making a decision under this paragraph an administrator must take into consideration any representations or objections made by the seller in accordance with that paragraph.
3
An administrator may not decide to impose a fixed monetary penalty in any of the following circumstances—
a
if liability to a fixed monetary penalty in respect of the same breach has been discharged by payment of the specified sum;
b
if a fixed monetary penalty has previously been imposed in respect of the same breach;
c
if a discretionary requirement has been imposed in respect of the same act or omission;
4
Without restricting the power under sub-paragraph (1), an administrator may decide not to impose a fixed penalty if the administrator considers that in all the circumstances of the case it would be inexpedient to do so.
5
Where the administrator decides to impose the fixed monetary penalty it must do so by serving the final notice on the seller M12.
6
The final notice must comply with paragraph 7.
Contents of final notice7
The final notice must include information as to—
a
the grounds for imposing the fixed monetary penalty;
b
the administrator's response to any representation and objections made by the seller;
c
the amount of the penalty;
d
how payment may be made;
e
the period of 56 days within which payment must be made;
f
the effect of paragraph 9 (early payment discount);
g
the effect of paragraph 10 (late payment penalty);
h
rights of appeal; and
i
the consequences of non-payment.
Payment8
1
A fixed monetary penalty must be paid by a seller within 56 days beginning with the day on which the final notice imposing it was received.
But this is subject to regulation 21(4) (suspension of requirements and notices pending appeal).
2
If a decision to impose a fixed monetary penalty is the subject of an appeal then if that decision is upheld, the penalty must be paid by the seller within 28 days beginning with the day on which the appeal is determined.
Early payment discount9
A seller may discharge its liability to a fixed monetary penalty by paying 50% of the amount of the penalty within 28 days beginning with the day on which the final notice imposing it was received.
Late payment penalty10
If a fixed monetary penalty is not paid within the period allowed in accordance with paragraph 8 the amount of the penalty is increased by 50%.
Grounds of appeal11
1
A seller may appeal against an administrator's decision to impose a fixed monetary penalty.
2
The grounds of 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 for any other reason;
d
any other reason.
PART 2 Fixed monetary penalty amounts and specified sums
Breach | Amount of penalty which can be imposed as a fixed monetary penalty | Specified sums |
|---|---|---|
Failure to comply with the requirement to charge in accordance with regulation 6 (regulation 11(1) and (2)) | £200 | £100 |
Failure to keep records in accordance with regulation 8 (regulation 11(1) and (2)) | £100 | £50 |
Failure to retain records in accordance with regulation 8 (regulation 11(1) and (2)) | £100 | £50 |
Failure to supply records in accordance with regulation 9 (regulation 11(1) and (2)) | £100 | £50 |
Failure to publish records in accordance with regulation 10 (regulation 11(1) and (2)) | £100 | £50 |
SCHEDULE 3Discretionary requirements
PART 1 Imposition of discretionary requirements and procedure
Power to impose discretionary requirements1
1
An administrator may by notice impose one or more discretionary requirements on a seller who breaches these Regulations M13.
2
An administrator may exercise the power conferred by sub-paragraph (1) in relation to a case if it is satisfied on the balance of probabilities that the breach has occurred.
Variable monetary penalties: maximum amounts2
The maximum penalty which may be imposed by an administrator as a variable monetary penalty in respect of any particular kind of breach is the amount specified in the second column of the table in Part 2 by reference to the kind of breach concerned M14.
Notice of intent3
1
Where an administrator proposes to impose one or more discretionary requirements on a seller, the administrator must serve a notice of intent on that seller M15.
2
The notice of intent must—
a
if the administrator proposes to impose a non-monetary discretionary requirement M16—
i
specify the steps that the administrator proposes the seller be required to take;
ii
specify the time period within which the administrator proposes that those steps are to be completed;
b
if the administrator proposes to impose a variable monetary penalty, specify the amount of penalty proposed;
c
include information as to—
i
the grounds for the proposal to impose the one or more discretionary requirements;
ii
the right to make representations and objections conferred by paragraph 4;
iii
the circumstances in which the administrator may not impose the one or more discretionary requirements;
iv
the 28 day period within which representations and objections may be made;
v
in the case of a variable monetary penalty, how payment may be made.
Making representations and objections4
Within 28 days beginning with the day on which the notice of intent is received by the seller, the seller may make written representations and objections to the administrator in relation to the proposed imposition of the one or more discretionary requirements.
Decision whether to impose discretionary requirements5
1
After the end of the 28 day period for making representations and objections under paragraph 4, the administrator must decide whether to—
a
impose the one or more discretionary requirements with or without modifications; or
b
impose any other discretionary requirement that the administrator has the power to impose under this Schedule.
2
In making a decision under this paragraph an administrator must take into consideration any representations or objections made by the seller in accordance with paragraph 4.
3
An administrator may not decide to impose a discretionary requirement in any of the following circumstances—
a
if a discretionary requirement has previously been imposed in relation to the same act or omission;
b
if liability to a fixed monetary penalty in respect of the same breach has been discharged by payment of a specified sum;
c
if a fixed monetary penalty has been imposed in respect of the same breach.
4
An administrator may not decide under this paragraph to impose a fixed monetary penalty in place of a discretionary requirement.
5
Without restricting the power under sub-paragraph (1), an administrator may decide not to impose a discretionary requirement if the administrator considers that in all the circumstances of the case it would be inexpedient to do so.
6
Where an administrator decides to impose a discretionary requirement it must do so by serving the final notice on the seller M17.
7
The final notice must comply with paragraph 6.
Contents of a final notice6
The final notice must include information as to—
a
the grounds for imposing the one or more discretionary requirements;
b
the administrator's response to any representation and objections made by the seller, including the effect (if any) on the amount of any variable monetary penalty imposed;
c
where the discretionary requirement is a non-monetary discretionary requirement—
i
the steps the seller is required to take;
ii
the period within which those steps must be completed;
d
where the discretionary requirement is a variable monetary penalty—
i
the amount of the penalty;
ii
how payment may be made;
iii
the period within which payment must be made;
iv
the effect of paragraph 8 (early payment discount)
v
the effect of paragraph 9 (late payment penalty);
e
rights of appeal; and
f
the consequences of failing to comply with the notice.
Payment7
1
A variable monetary penalty must be paid by a seller within 56 days beginning with the day on which the final notice imposing it was received.
But this is subject to regulation 21(4) (suspension of requirements and notices pending appeal).
2
If the decision to impose a variable monetary penalty is the subject of an appeal then to the extent that that decision is upheld, the penalty must be paid by the seller within 28 days beginning with the day on which the appeal is determined.
Early payment discount8
A seller may discharge its liability to a variable monetary penalty by paying 50% of the amount of the penalty within 28 days beginning with the day on which the final notice imposing it is received.
Late payment penalty9
If a variable monetary penalty is not paid within the period allowed in accordance with paragraph 7 the amount payable is increased by 50%.
Grounds of appeal10
1
A seller may appeal against an administrator's decision to impose a discretionary requirement.
2
The grounds of appeal are—
a
that the decision was based on an error of fact;
b
that the decision was wrong in law;
c
in case of a variable monetary penalty, that the amount of the penalty is unreasonable;
d
in the case of a non-monetary discretionary requirement, that the nature of the requirement is unreasonable;
e
that the decision was unreasonable for any other reason;
f
any other reason.
PART 2 Variable monetary penalties: maximum amounts
Breach | Maximum amount which may be imposed as a variable monetary penalty |
|---|---|
Failure to comply with the requirement to charge in accordance with regulation 6 (regulation 11(1) and (2)) | £5,000 |
Failure to keep records in accordance with regulation 8 (regulation 11(1) and (2)) | £5,000 |
Failure to retain records in accordance with regulation 8 (regulation 11(1) and (2)) | £5,000 |
Failure to supply records in accordance with regulation 9 (regulation 11(1) and (2)) | £5,000 |
Failure to publish records in accordance with regulation 10 (regulation 11(1) and (2)) | £5,000 |
Without reasonable cause, giving false or misleading information to an administrator (regulation 11(3)) | £20,000 |
Without reasonable cause, otherwise obstructing or failing to assist an administrator in the conduct of its functions under these Regulations (regulation 11(3)) | £20,000 |
SCHEDULE 4Non-monetary Discretionary requirements: enforcement
1
1
In this Schedule—
“specified steps” (“camau penodedig”) means the steps specified in a final notice under paragraph 6(c)(i) of Schedule 3;
“specified period” (“cyfnod penodedig”) means the period specified in a final notice under paragraph 6(c)(ii) of Schedule 3.
2
A reference in this Schedule to a complete failure is a reference to a seller having taken none of the specified steps within the specified period.
3
A reference in this Schedule to a partial failure is a reference to a seller having taken at least one, but not all, of the specified steps within the specified period.
Power to impose non-compliance penalties2
1
If a seller fails to comply with a non-monetary discretionary requirement an administrator may by notice impose a non-compliance penalty on the seller.
2
A non-compliance penalty may be imposed in respect of a complete or partial failure to comply with a non-monetary discretionary requirement.
3
A non-compliance penalty may be imposed irrespective of whether a variable monetary penalty was imposed in addition to the non-discretionary requirement to which the non-compliance penalty relates.
4
The amount of a non-compliance penalty is to be determined by the administrator.
5
But the maximum penalty which may be imposed by an administrator as a non-compliance penalty is the amount specified in sub-paragraph (6) by reference to the kind of failure concerned.
6
The maximum penalties are—
a
£5,000 in relation to a partial failure;
b
£5,000 in relation to a complete failure.
Notice of intent3
1
Where an administrator proposes to impose a non-compliance penalty on a seller, the administrator must serve on that seller a notice of what is proposed (a “notice of intent”).
2
A notice of intent must include information as to—
a
the kind of failure in relation to which the administrator proposes to impose the non-compliance penalty;
b
the specified steps which remain to be taken by the seller concerned;
c
the amount of the penalty proposed;
d
how payment may be made;
e
the date by which payment would be due;
f
the consequences of failure to make payment by the date it is due;
g
the right to make representations and objections conferred by paragraph 4;
h
the 28 day period within which representations and objections may be made;
i
the circumstances (if any) in which the administrator may be inclined to reduce the amount of the penalty proposed.
Making representations and objections4
Within 28 days beginning with the date on which the notice of intent is received by the seller, the seller may make written representations and objections to the administrator in relation to the proposed imposition of a non-compliance penalty.
Decision whether to impose a non-compliance penalty5
1
After the end of the 28 day period for making representations and objections under paragraph 4, the administrator must decide whether to impose the non-compliance penalty with or without modifications.
2
Without restricting the power under sub-paragraph (1), an administrator may decide not to impose a non-compliance penalty if the administrator considers that in all the circumstances of the case it would be inexpedient to do so.
3
In making a decision under this paragraph an administrator must take into consideration any representations or objections made by the seller in accordance with paragraph 4.
4
Where an administrator decides to impose a non-compliance penalty it must do so by serving a notice (“a non-compliance penalty notice”) on the seller.
5
A non-compliance penalty notice must comply with paragraph 6.
Contents of a non-compliance penalty notice6
1
A non-compliance penalty notice must include information as to—
a
the grounds for imposing the non-compliance penalty;
b
the administrator's response to any representations and objections made by the seller, including the effect (if any) on the amount of the penalty imposed;
c
the amount of the penalty;
d
how payment may be made;
e
the date by which payment must be made;
f
the right of appeal; and
g
the consequences of failure to make payment by the date it is due.
2
A non-compliance penalty must be paid by a seller within 56 days beginning with the date on which the notice imposing it was received.
3
But this is subject to sub-paragraph (4) and regulation 21(4) (suspension of requirements and notices pending determination of an appeal).
4
If the requirements of the non-monetary discretionary requirement are complied with before the 56 days expire, the non-compliance penalty is not payable.
5
A seller on whom a non-compliance penalty notice is served may appeal against it.
6
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 amount of the penalty was unreasonable;
d
that the decision was unfair or unreasonable for any other reason;
e
any other reason.
Payment of non-compliance penalties following appeal7
If a non-compliance penalty notice is the subject of an appeal, then to the extent that the notice is upheld, the penalty must be paid by the seller within 28 days beginning with the day on which the appeal is determined.
Non-compliance penalties: late payment penalty8
If a non-compliance penalty is not paid within the period allowed by paragraph 6(2) or (as the case may be) by paragraph 7, the amount payable is increased by 50%.