Climate offences

Options available to climate offences we regulate

Fluorinated Greenhouse Gases Regulations 2015

Regulation 29(1)(a)

Breach of any of the following prohibitions in EU Regulation No 517/2014, or to cause or permit another person to breach any of the following:

  • Article 3(1) (prohibition on intentional release of fluorinated greenhouse gas
  • Article 11(1), read in association with Article 11(2) and (3) (prohibition on placing specified products and equipment on the market)
  • Article 14(1) (prohibition on placing equipment not accounted for within the quota system on the market)

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

This provision came into force on 19th March 2015.

Regulation 29(1)(b)

Breach of Article 14(2) of EU Regulation 517/2014 (requirements to document placing on the market and to draw up declaration of conformity), or to cause or permit another person to do so.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

This provision came into force on 19th March 2015

Regulation 29(1)(c)

Breach of the second paragraph of Article 15(1), read in association with Article 15(2) and (3) of EU Regulation 517/2014 (requirement to ensure quantities placed on market do not exceed quota), or to cause or permit another person to do so.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

This provision came into force on 19 March 2015

Regulation 29(1)(d)

Failure to comply with a requirement under Regulation 28(2), (3) or (4) , or to cause or permit another person to do so.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

This provision came into force on 19th March 2015.

Regulation 29(1)(e)

Failure to comply with an enforcement notice, or to cause or permit another person to do so.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

This provision came into force on 19th March 2015

Civil proceedings may be commenced - see Regulation 27

Regulation 29(2)(a)

Intentional obstruction of any person acting in the execution or enforcement of these Regulations.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

This provision came into force on 19th March 2015.

Regulation 29(2)(b)

Failure, without reasonable cause, to give any assistance or information which may reasonably be required by a person acting in the execution or enforcement of these Regulations.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

This provision came into force on 19th March 2015.

Regulation 29(2)(c)

Furnishing information to any person acting in the execution or enforcement of these Regulations, knowing it to be false or misleading.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

This provision came into force on 19th March 2015.

Regulation 29(2)(d)

Failing to produce a document or record when required to do so by any person acting in the execution or enforcement of these Regulations.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

This provision came into force on 19th March 2015.

Regulation 30(1)

Criminal liability of officers of the company in relation to offences that their company (body corporate) is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

This provision came into force on 19th March 2015.

Regulation 30(2)

Criminal liability of members, where the affairs of the body corporate are managed by its members, in relation to offences that their company (body corporate) is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

This provision came into force on 19th March 2015.

Regulation 30(3)

Criminal liability of partners in relation to offences that their partnership is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

This provision came into force on 19th March 2015.

Regulation 30(8)

Criminal liability of officers or members of the governing body in relation to offences that their unincorporated association ( not a partnership) is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

This provision came into force on 19th March 2015.

Ozone-Depleting Substances Regulations 2015

Regulation 8(1)

Person not competent to carry out any relevant work, and Regulation 6(5) does not apply.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 8(1)

Person not competent to carry out work with methyl bromide, and Regulation 6(6) does not apply.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 8(1)

Employer fails to ensure person is competent to carry out any relevant work.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 8(1)

Employer fails to ensure person is competent to carry out work with methyl bromide.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 8(2)

Training employer fails to ensure the course of training will enable an employee who has been trained, to carry out the relevant job satisfactorily.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 8(2)

Training employer fails to keep records for the required period, under Regulation 7(2).

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 8(2)

Training employer fails to provide a copy of the record under Regulation 7(2), to the employee when requested to do so by that employee during the required period.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 9(1)

Any person who breaches a provision of the EU Regulation set out in Schedule 4 of The Ozone-Depleting Substances Regulations.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 9(2)(a)

Failure to comply with an enforcement notice.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 9(2)(b)

Failure to comply with a notice issued by the Secretary of State, under regulation 18.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 9(3)(a)

Intentional obstruction of an NRW officer acting in the enforcement of EU Regulation 1005/2009.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 9(3)(b)

Failure to provide assistance or information reasonably required by an NRW officer, without reasonable cause.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 9(3)(c)

Furnish information knowing it to be false or misleading.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 9(3)(d)

Failure to produce a document or record when required to do so.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 11(1)

Criminal liability of directors, managers, secretaries or other similar officer in relation to offences that their company (body corporate) is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 11(3)

Criminal liability of members, where the affairs of the body corporate are manager by its members, in relation to offences that their company (body corporate) is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 11(4)

Criminal liability of partners in relation to offences that their partnership is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 11(10)

Criminal liability of officers or members of the governing body in relation to offences that their unincorporated association (not a partnership) is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 15(a)(i)

Intentionally preventing another person from appearing before an authorised person under regulation 14.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 15(a)(ii)

Intentionally preventing another person from answering any questions to which an authorised person may require an answer by virtue of regulation 14.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 15(b)

Intentionally obstructing an authorised person in the exercise or performance of their powers.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 15(c)

Furnishes information to an authorised person, knowing it to be false or misleading.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 15(d)

Fails to produce a record to an authorised person when required to do so.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Regulation 15(e)

Pretends to be an authorised officer.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Greenhouse Gas Emissions Trading Scheme Regulations 2012

Regulation 52

Operating an installation without a permit.

Civil penalties available:

Civil penalty notice – Regulation 50
Fine of A + (B x C), where:

  • A is the estimated amount of costs avoided by the operator in that year as a result of carrying out a regulated activity without such authorisation
  • B is the estimated amount of reportable emissions from the installation in the period during which a regulated activity was carried out without such authorisation
  • C is the carbon price for that year

The fine may be increased to an amount 5% greater than the economic benefit gained by the operator as the result of operating without a permit.

This penalty is only available for breaches that occurred or continued on or after 1 January 2013.

Regulation 53

Non-compliance with a permit condition.

Civil penalties available:

Civil penalty notice – Regulation 50
In relation to breach of conditions other than those referred to below or relating to the surrender of allowances:

  • Fine of £3,750
  • Further fine of £375 for each day the operator fails to comply following service of a penalty notice up to a maximum of £33,750

In relation to breach of conditions requiring notification relating to significant capacity reduction, partial cessation of regulated activities and reduction of capacity in 2012 by at least 50% from initial activity:
• Fine of £5,000

This penalty is only available for breaches that occurred on or after 1 January 2013.

Regulation 54

Failure to surrender allowances by operators of installations and aircraft operators.

Civil penalties available:

Civil penalty notice – Regulation 50
Unless the exception below applies:

  • Fine of sterling equivalent of 100 Euros for each allowance not surrendered on time.

Where the operator has not already been served with a penalty notice in respect of the breach, has notified us that there are annual reportable emissions that weren’t included in their verified report, we have determined the annual reportable emissions and the operator has surrendered allowances equal to the reportable emissions:

  • Fine of sterling equivalent of 20 Euros for each allowance surrendered late.

Under Regulation 71, where a person is liable to a civil penalty under Regulation 54, we must publish the name of the person the penalty was imposed on as soon as possible after the appeal period has ended or, if an appeal is made, the date that it is determined or withdrawn.

This penalty is only available in respect of emissions arising in 2013 onwards for operators of installations.

Regulation 55

Exceeding an emissions target for an excluded installation.

Civil penalties available:

Civil penalty notice – Regulation 50

  • Fine of (A - B) x C, where

    A is the amount of annual reportable emissions arising in the scheme year;
    B is the emissions target for that year;
    C is the carbon price for that year

This penalty is only relevant for breaches that occurred on or after 1 January 2013, as the concept of emissions targets for excluded installations was newly introduced for Phase III of EU ETS.

Regulation 56

Failure to pay a penalty for exceeding an emissions target for an excluded installation.

Civil penalties available:

Civil penalty notice – Regulation 50

  • Fine of 10% of the penalty imposed under regulation 55.
  • Further fine of £150 for each day the operator fails to pay the penalty following service of a penalty notice up to a maximum of £13,500.

This penalty is only relevant for breaches that occurred on or after 1 January 2013, as the concept of emissions targets for excluded installations was newly introduced for Phase III of EU ETS.

Regulation 57

Under-reporting emissions from an excluded installation.

Civil penalties available:

Civil penalty notice – Regulation 50

  • Fine of A + (B x C), where:
    A is £3,750;
    B is the amount of the unreported emissions;
    C is the carbon price for that year.

This penalty is only relevant for breaches that occurred on or after 1 January 2013, as the concept of reporting emissions for an excluded installation was newly introduced for Phase III of EU ETS.

Regulation 58

Failure to notify when an excluded installation ceases to meet the criteria for being excluded.

Civil penalties available:

Civil penalty notice – Regulation 50

For the first scheme year in which the operator fails to comply with the requirement to notify by 31 March in that year:

  • Fine of £2,500.

For the first and each subsequent year in which the operator fails to comply with the notification requirement by 31 October in that year, at the end of the following scheme year

  • Fine of 2 x (A + B), where:A is £2,500;
    B is the avoided compliance costs.

This penalty is only relevant for breaches that occurred on or after 1 January 2013, as the concept of reporting emissions for an excluded installation was newly introduced for Phase III of EU ETS.

Regulation 58A

Failure to notify when an excluded installation has had a significant capacity reduction or partial cessation of regulated activities.

Civil penalties available:

Civil penalty notice – Regulation 50

An operator is liable to a civil penalty of £5,000 where the operator fails to comply with a notification requirement under paragraph 7(2) or 9(2) of Schedule 6A

Date of commencement: 4 December 2015

Regulation 58B

Failure to notify when the operator of an excluded installation has suspended the carrying out of regulated activities at the installation.

Civil penalties available:

Civil penalty notice – Regulation 50

An operator is liable to a civil penalty of £3,750 where the operator fails to comply with a notification requirement under paragraph 8(10) or Schedule 6A

Date of commencement: 4 December 2015

Regulation 59

Failure to surrender a permit.

Civil penalties available:

Civil penalty notice – Regulation 50

  • Fine of £5,000

This penalty is only available for breaches that occurred on or after 1 January 2013

Regulation 60

Failure to submit or resubmit an application for an emissions plan.

Civil penalties available:

Civil penalty notice – Regulation 50

  • Fine of £1,500.
  • Further fine of £150 for each day the application or resubmission of application is not provided following service of a penalty notice up to a maximum of £13,500

This penalty is only available for breaches that occurred on or after 1 January 2013

Regulation 61

Failure to notify the regulator if an emissions plan is not applied for

Civil penalties available:

Civil penalty notice – Regulation 43

  • Fine of £5,000

This penalty is only relevant for breaches that occurred on or after 1 January 2013, as prior to this date aircraft operators did not have the option of notifying the regulator that they have not applied for an emissions plan due to the fact that they do not expect to commute an aviation activity within four months

Regulation 62

Failure to comply with a condition of an emissions plan

Civil penalties available:

Civil penalty notice – Regulation 43

  • Fine of £1,500
  • Further fine of £150 for each day the aircraft operator fails to comply with the condition following service of a penalty notice up to a maximum of £13,500

This penalty is only available for breaches that occurred on or after 1 January 2013

Regulation 63

Failure to monitor aviation emissions

Civil penalties available:

Civil penalty notice – regulation 50

  • Fine of £1,500
  • Further fine of £150 for each day the aircraft operator fails to monitor aviation emissions following service of a penalty notice up to a maximum of £13,500

This penalty is only available for breaches that occurred on or after 1 January 2013

Regulation 64

Failure to report aviation emissions

Civil penalties available:

Civil penalty notice – Regulation 50

  • Fine of £3,750
  • Further fine of £375 for each day the report is not submitted following service of a penalty notice up to a maximum of £33,750

This penalty is only available for breaches that occurred in on or after 1 January 2013

Regulation 65

Failure by an aerodrome operator to provide assistance and advice in relation to detention and sale of aircraft

Civil penalties available:

Civil penalty notice – Regulation 50

  • Fine of £50,000

This penalty is only available for breaches that occurred on or after 1 January 2013

Regulation 66

Failure to comply with a direction relating to an operating ban

Civil penalties available:

Civil penalty notice – Regulation 50

  • Fine of £50,000

This penalty is only available for breaches that occurred on or after 1 January 2013

Regulation 67

Failure to return allowances

Civil penalties available:

Civil penalty notice – Regulation 50

  • Fine of £20,000
  • Further fine of £1,000 for each day the operator or aircraft operator fails to return the allowances following service of a penalty notice

This penalty is only available for breaches that occurred on or after 1 January 2013

Regulation 68

Failure to comply with an enforcement notice

Civil penalties available:

Civil penalty notice – Regulation 50

  • Fine of £20,000
  • Further fine of £1,000 for each day the enforcement notice is not complied with following service of a penalty notice up to a maximum of £30,000

This penalty is only available for breaches that occurred on or after 1 January 2013

Regulation 69

Failure to comply with an information notice

Civil penalties available:

Civil penalty notice – Regulation 50

  • Fine of £1,500
  • Further fine of £150 for each day the information notice is not complied with following service of a penalty notice up to a maximum of £13,500

This penalty is only available for breaches that occurred on or after 1 January 2013

Regulation 70

Providing false or misleading information

Civil penalties available:

Civil penalty notice – Regulation 50

  • Fine of £1,000

This penalty is only available for breaches that occurred on or after 1 January 2013

Energy Savings Opportunity Scheme (ESOS) Regulations 2014

Regulation 43

Failure to notify the scheme administrator of compliance with ESOS, contrary to Regulation 29.

Civil penalties available:

Civil penalty notice – Regulation 39 – imposing a financial penalty:

  • Initial penalty of up to £5,000, and
  • A daily penalty of up to £500 for each working day the responsible undertaking remains in breach, starting on the day after service of the penalty notice, up until the notification is completed, subject to a maximum of 80 working days, and
  • Publication penalty - Regulation 41 (publication of the breach on the website of the scheme administrator/a compliance body)

Regulation 44

Failure to maintain records, contrary to Regulation 28.

Civil penalties imposed:

Civil penalty notice – Regulation 39 – imposing a financial penalty:

  • Initial penalty of up to £5,000, and
  • A sum representing the cost to Natural Resources Wales to confirm that a responsible undertaking has complied with ESOS, and

Publication penalty – Regulation 41

  • The penalty notice may specify steps to remedy the breach

Regulation 45

Failure to undertake an energy audit, where the alternative routes to compliance in Part 6 do not apply.

Civil penalties available:

Civil penalty notice – Regulation 39 – imposing a financial penalty:

  • Initial penalty of up to £50,000, or such lesser amount as NRW may determine, and
    A daily penalty of up to £500 for each working day the responsible undertaking remains in breach, starting on the day after service of the compliance notice, and up until the audit is completed, subject to a maximum of 80 working days, and

Publication penalty – Regulation 41

  • The penalty notice may specify a requirement to undertake an ESOS assessment

Regulation 46

Failure to comply with a compliance notice, an enforcement notice or a penalty notice.

Civil penalties available:

Civil penalty notice – Regulation 39 – imposing a financial penalty:

  • Initial penalty of up to £5,000, and
  • A daily penalty of up to £500 for each working day the responsible undertaking remains in breach, starting on the day after service of the penalty notice, subject to a maximum of 80 working days, and

Publication penalty – Regulation 41

Regulation 47

Making a false or misleading statement when notifying information to the scheme administrator or a compliance body, or when providing information required by a compliance, enforcement or penalty notice.

Civil penalties available:

Civil penalty notice – Regulation 39 – imposing a financial penalty:

  • Up to £50,000, and

Publication penalty – Regulation 41.

CRC Energy Efficiency Scheme Order 2013

Relevant commencement dates for all civil penalties: 1 April 2014.

Article 5, Parts 1, 2 and 3 of Schedule 5

Article 75(1)(c)

Failure to provide notification to the administrator as required under Part 1, 2 or 3 of Schedule 5.

Civil penalties available:

Civil penalty notice – Article 70:

  • Fine of £5,000
  • Publication of non-compliance

Articles 11 and 12

Article 73(1) and (2)

Failure to apply for registration or late application for registration.

Civil penalties available: 

Civil penalty notice – Article 70:

  • Fine of £5,000
  • Further fine of £500 per working day for each day of delay after the due date up to a maximum of 80 working days
  • Publication of non-compliance

Article 11 and Schedule 5

Article 73(3) and (4)

Failure to provide details of each settled half hourly meter at registration.

Civil penalties available:

Civil penalty notice – Article 70:

  • Fine of £500 for each settled half hourly meter not reported
  • Publication of non-compliance

Article 11 and Schedule 4

Article 75(1)(a) and (b)

Failure to provide information at registration and providing inaccurate information at registration.

Civil penalties available:

Civil penalty notice – Article 70:

  • Fine of £5,000
  • Publication of non-compliance

Article 31

Article 74

Failure to provide annual report or late provision of annual report.

Civil penalties available:

Civil penalty notice – Article 70:

  • Fine of £5,000
  • Further fine of £500 per working day for each day of delay after the due date up to a maximum of 40 working days, or £40,000 if the Report is provided more than 40 days after the due date
  • Publication of non-compliance
  • Where the annual report is over 40 days late or not provided at all additional penalties as follows:
    • CRC emissions are calculated as double the CRC emissions reported for the previous year or, where no such report exists, double the emissions that the administrator calculates the participant emitted.
    • Where the ‘doubled emissions’ have been calculated, the participant must immediately acquire allowances for these emissions and surrender them (allowances already surrendered can be deducted from the allowances to be surrendered).
    • Where the participant fails to surrender the allowances referred to directly above by 31st March after the annual report was due and continues in the scheme, the shortfall allowances are added to the allowances to be surrendered in the following year.
    • Fine of £40 per tCO2 of CRC emissions (deducting emissions represented by allowances surrendered on time and before doubling is applied).
    • Blocking of all allowances out of the Participant’s registry account until the failure is remedied and any associated fine(s) paid.

Article 31

Article 76

Providing an inaccurate annual report.

Civil penalties available:

Civil penalty notice – Article 70:

  • Fine of £40 for each tCO2 of emissions inaccurately reported
  • Publication of non-compliance

Article 36

Article 77

Failure to surrender allowances.

Civil penalties available:

Penalty notice – Article 70:

  • Participant must immediately acquire allowances equal to the amount that should have been surrendered and surrender them
  • Fine of £40 per tCO2 of emissions represented by the shortfall allowances
  • Publication of non-compliance
  • Blocking of all allowances out of the Participant’s registry account until the failure is remedied and any associated fines paid
  • Where a participant fails to surrender shortfall allowances by 31st March after surrender should have been made and continues in the scheme, the shortfall allowances are added to the allowances to be surrendered in the following year

Article 36

Article 78

Late discovered failure to surrender allowances (if discovered within 5 years of the requirement to surrender those allowances).

Civil penalties available:

Civil penalty notice – Article 70:

  • Where the participant is still a participant when the shortfall is discovered, the shortfall allowances are added to the allowances required to be surrendered in the next annual reporting year
  • Where the participant is still a participant when the shortfall is discovered, publication of non-compliance
  • Where the participant is not a participant when the shortfall is discovered, a fine representing the value of the shortfall allowances

Articles 40 and 41

Article 79(3)

Failure to keep records of the information used to compile its annual report and relevant to any changes described in Schedule 5 and public disclosure information.

Civil penalties available:

Civil penalty notice – Article 70:

  • Fine of £5,000
  • Publication of non-compliance

Articles 45 and 104

Failure of electricity supplier to provide information when required to by notice and at least one previous notice has not been complied with.

Civil penalties available:

Penalty notice – Article 70:

  • Fine of £500,000 or 0.5% of the supplier’s turnover if lower
  • Publication of non-compliance

Article 68

Article 79(1) and (2)

Failure to comply with a notice requesting information about records required to be maintained.

Civil penalties available:

Civil penalty notice – Article 70:

  • Fine of £40 for each tCO2 of CRC emissions reported in the preceding year by the participant
  • Publication of non-compliance

Article 82(1)(a)

Knowingly or recklessly make a statement which is false or misleading in a material particular.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Civil sanctions are not available for this offence.

Article 82(2) 

Failure to comply with an enforcement notice.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Civil sanctions are not available for this offence.

Article 82(4)

Impersonation of an authorised person.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Civil sanctions are not available for this offence.

Article 82(5)

Refuse to allow access to an NRW Officer or other administrator where access is required in order to monitor compliance.

Standard criminal and offence specific responses are:

  • Warning
  • Formal Caution
  • Prosecution

Civil sanctions are not available for this offence.