Chemicals offences

Options available to chemicals offences we regulate

Environmental Protection (Disposal of Polychlorinated Biphenyls and other Dangerous Substances) (England and Wales) Regulations 2000

Regulation 13(1)

Holding contaminated equipment without registration, unless decontaminating or disposing of the equipment.

Standard criminal and offence specific responses

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions which can be imposed are:

  • Compliance Notice
  • Fixed Monetary Penalty
  • Variable Monetary Penalty

Civil Sanctions which can be offered are:

  • Enforcement Undertaking

Civil sanctions from 15 July 2010

Regulation 13(2)(a)

Holding PCB’s in breach of regulation 4(1).

Standard criminal and offence specific responses

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions which can be imposed are:

  • Compliance Notice
  • Fixed Monetary Penalty
  • Variable Monetary Penalty

Civil Sanctions which can be offered are:

  • Enforcement Undertaking

Civil sanctions from 15 July 2010

Regulation 13(2)(b)

Failure to dispose of PCB’s or equipment used for research or analysis, as soon as possible after they are no longer required for analysis or research, in accordance with Regulation 4(2)(b).

Standard criminal and offence specific responses

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions which can be imposed are:

  • Fixed Monetary Penalty
  • Variable Monetary Penalty

Civil Sanctions which can be offered are:

  • Enforcement Undertaking

Civil sanctions from 15 July 2010

Regulation 13(2)(c)

Failure to decontaminate or dispose of equipment which may be held pursuant to regulation 4 until the end of its useful life, as soon as possible after the end of its useful life.

Standard criminal and offence specific responses

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions which can be imposed are:

  • Fixed Monetary Penalty
  • Variable Monetary Penalty

Civil Sanctions which can be offered are:

  • Enforcement Undertaking

Civil sanctions from 15 July 2010

Regulation 13(3)

Failure of a holder of a decontaminated transformer or of contaminated equipment to label the equipment as detailed in regulation 4(4d) and 5.

Standard criminal and offence specific responses

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions which can be imposed are:

  • Fixed Monetary Penalty
  • Variable Monetary Penalty

Civil Sanctions which can be offered are:

  • Enforcement Undertaking

Civil sanctions from 15 July 2010

Regulation 13(4)(a)

Provision of false or misleading information in relation to registration of PCBs and PCB contaminated equipment as required by Regulation 6.

Standard criminal and offence specific responses

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions which can be imposed are:

  • Variable Monetary Penalty

Civil sanctions from 15 July 2010

Regulation 13(4)(b)

Failure to supply information required by regulation 10(2) when annually re-registering contaminated equipment. Failure to supply information as requested by a notice served under Regulation 10(4).

Standard criminal and offence specific responses

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions which can be imposed are:

  • Variable Monetary Penalty

Civil sanctions from 15 July 2010

Regulation 13(4)(c)

Knowingly or recklessly supplying false or misleading information in relation to regulation 6(1), 10(2) or 10(4).

Standard criminal and offence specific responses

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions which can be imposed are:

  • Variable Monetary Penalty

Civil sanctions from 15 July 2010

Regulation 10

Where a person is entitled to hold PCB contaminated equipment and has been registered in accordance with Regulation 6, the registration should be renewed annually (Regulation 10).

Standard criminal and offence specific responses

  • Warning
  • Formal Caution
  • Prosecution

Further information: Failure to renew is not an offence under the regulations. However:

  1. the holder should be advised to apply for renewal of the registration as soon as possible and given a reasonable deadline;
  2. he holder should be warned in writing, that failure to re-register will result in the cancellation of the registration and possible enforcement action.

If no such application is made by the deadline, the original registration should be cancelled in accordance with regulation 7 and, if the holding continues, a prosecution pursued under Regulation 13(1) for holding PCB contaminated equipment without being a registered holder.

Persistent Organic Pollutants Regulations 2007

Regulation 5

Producing, placing on the market or using a substance in contravention of Article 3 of Regulation (EC) No 850/2004.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 6(1)

Failing, where a stockpile contains any substance listed in Annex I or II of Regulation (EC) No 850/2004, for which no use is permitted, to manage that stockpile as waste and in accordance with Article 7 of Regulation (EC) No 850/2004.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 6(2)

Failing, to provide information concerning the nature and size of a stockpile of Annex I or II substances, the use of which is permitted, greater than 50kg, by the due date.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 6(3)

Failing, where the stockpile is greater than 50kg and contains any substance listed in Annex I or II of Regulation (EC) No 850/2004 the use of which is permitted, to manage that stockpile in a safe, efficient and environmentally sound manner.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 7(1)

Failing (producers and holders of waste) to undertake all reasonable efforts to avoid contamination of the waste with substances listed in Annex IV of Regulation (EC) No 850/2004.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 7(2)

Failing (any producer or holder of waste) to dispose of or recover any waste, consisting of, containing or contaminated by any substance listed in Annex IV in accordance with Article 7(2) of Regulation (EC) No 850/2004.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 7(3)

Operating a disposal or recovery operation that may lead to recovery, recycling, reclamation or re-use of substances listed in Annex IV of Regulation (EC) No 850/2004.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 7(3)

Operating a disposal or recovery operation that may lead to recovery, recycling, reclamation or re-use of substances listed in Annex IV of Regulation (EC) No 850/2004.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

REACH Enforcement Regulations 2008

Regulation 11(1)

Contravention of a listed REACH provision or causing or permitting another person to do so.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 11(2)

Contravention of Article 67 of REACH or causing or permitting another person to do so.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 11(3)(a)

Providing a false defence exemption certificate or false copy, or causing or permitting another person to do so.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 11(3)(b)

Failing to provide a defence exemption certificate, copy of certificate made by the Secretary of State or a copy of an extract of the certificate made by the Secretary of State, when requested, or causing or permitting another person to do so.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 11(4)

Supplying or using leaded paint in contravention of paragraph 5(b) or 6 of Part 1 of Schedule 5 or causing or permitting another person to do so.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 13(1)(a)

Intentionally obstructing an NRW officer.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 13(1)(b)

Intentionally or recklessly making a false or misleading statement.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 13(2)(a)(i)

Failure to comply with any requirements of an NRW officer exercising their powers under Schedule 6 (powers of enforcement) without reasonable excuse.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 13(2)(a)(ii)

Failure to comply with a notice described under Schedule 6.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 13(2)(b)(i)

Failure or refusal to provide facilities or assistance to an NRW officer when reasonably requested.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 13(2)(b)(ii)

Failure or refusal to permit an inspection by an NRW officer when reasonably requested.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 13(2)(c)

Prevent any other person from appearing before an NRW officer or answering any question to which an NRW officer may require an answer.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 13(4)

Impersonating an NRW officer

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Regulation 13(5)

Disclosure of information received from the Commissioners for Revenue and Customs, which relates to a person whose identity is specified or may be deduced in/from the disclosure without prior consent of the Commissioners or pursuant to a legal obligation.

  • Warning
  • Formal Caution
  • Prosecution

Civil Sanctions are not available

Control of Mercury (Enforcement) Regulations 2017

Overview These Regulations allow for civil penalties from 1 April 2018. The amount of civil penalty must not exceed £200,000.

Regulation 41(1)

Failure to comply with a provision listed in Schedule 1.

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Proceedings against a person for an offence under Regulation 41(1) must not be started if:

  1. a civil penalty notice has been given under Regulation 10(3) for the failure, and the civil penalty notice has not been withdrawn;
  2. civil proceedings have been started against the person under Regulation 18 in respect of the failure.

Civil sanctions are not available for this offence.

Regulation 41(2)

Failure to comply with an enforcement notice.

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Proceedings against a person for an offence under Regulation 41(2) must not be started if:

  1. a civil penalty notice has been given to the person under Regulation 10(4) for the failure, and the civil penalty notice has not been withdrawn;
  2. civil proceedings have been started against the person under Regulation 18 in respect of the failure.

Civil sanctions are not available for this offence.

Regulation 41(3)

Failure to comply with an information notice.

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Proceedings against a person for an offence under Regulation 41(3) must not be started if a civil penalty notice has been given to the person under Regulation 10(4) for the failure, and the civil penalty notice has not been withdrawn. Civil sanctions are not available for this offence.

Regulation 41(4)

Providing information to NRW, in connection with NRW’s functions under, or by virtue of, these Regulations, which the person knows is false or misleading.

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Civil sanctions are not available for this offence

Regulation 41(5)

Failure to produce a document or record to NRW pursuant to Regulation 6.

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Civil sanctions are not available for this offence

Regulation 43(1)

Intentional obstruction of a customs official performing a function under Regulation 33(1).

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Civil sanctions are not available for this offence

Regulation 43(2)

Failure, without reasonable excuse, to give a customs official (performing a function under Regulation 33(1)) information which the customs official requires.

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Civil sanctions are not available for this offence

Regulation 43(3)

Providing information to a customs official performing a function under Regulation 33(1) knowing it to be false or misleading.

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Civil sanctions are not available for this offence

Regulation 43(4)

Failure to produce a document or record for a customs official performing a function under Regulation 33(1) when required to do so.

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Civil sanctions are not available for this offence

Regulation 44(1)

Intentionally obstructing an appointed person performing a function under Regulation 39 (offshore installations).

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Civil sanctions are not available for this offence

Regulation 44(2)

Failure, without reasonable excuse, to provide information to an appointed person performing a function under Regulation 39 (offshore installations) which the appointed person requires.

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Civil sanctions are not available for this offence

Regulation 44(3)

Providing information to an appointed person performing a function under Regulation 39 (offshore installations) knowing it to be false or misleading.

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Civil sanctions are not available for this offence

Regulation 44(4)

Failure to produce a document or record for an appointed person performing a function under Regulation 39 (offshore installations) when required to do so.

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Civil sanctions are not available for this offence

Regulation 46(1)

If an offence committed by a body corporate is shown to have been committed with the consent or the connivance of an officer of the body corporate, and/or attributable to any neglect on the part of an officer, the officer (as well as the body corporate) is liable to be proceeded against and punished accordingly.

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Civil sanctions are not available for this offence

Regulation 46(3)

If an offence committed by a partnership is shown to have been committed with the consent or the connivance of an officer of the partnership and/or attributable to any neglect on the part of an officer, the officer (as well as the partnership) is liable to be proceeded against and punished accordingly.

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Civil sanctions are not available for this offence

Regulation 46(4)

If an offence committed by an unincorporated association is shown to have been committed with the consent or the connivance of an officer of the unincorporated association, and/or attributable to any neglect on the part of an officer, the officer (as well as the unincorporated association) is liable to be proceeded against and punished accordingly.

  • Warning
  • Formal Caution
  • Prosecution

This provision comes into force on 1 January 2018. Civil sanctions are not available for this offence