Waste offences

Regulation 18

(a) Transport of waste other than in accordance with the notification or movement document.

(b) Transport of waste to which the procedural requirements of Article 18(1) apply other than in accordance with the Annex VII document.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions which can be imposed are:

• Variable Monetary Penalty

Civil sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 19(2)

(a) Transport of waste without notifying the competent authority of dispatch in accordance with Article 4.

(b) Transport of waste without a contract or declaration having been made in accordance with Article 5.

(c) Transport of waste without a financial guarantee or equivalent insurance being in place and approved by the competent authority in accordance with Article 6.

(d) Transport of waste without required consent having been issued by any concerned competent authority.

(e) (i) Transport of waste without the movement document having been completed in accordance with Article 16, first paragraph and Article 16(a) and (ii) Transport of waste without the movement document having been sent to the competent authorities concerned and the consignee in accordance with Article 16(b).

(f) Transport of waste without being accompanied by the movement document and notification document in accordance with Article 16(c).

(g) Transport of waste without the competent authorities and consignee having been notified of a change in details or shipment conditions in accordance with Article 17.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 19(3)

(a) Breach any condition imposed under Article 10.

(b) Failure to comply with Article 19 (prohibition on mixing waste which is subject to notification and consent requirements during shipment).

(c) Transport of waste destined for interim recovery or disposal operation without a notification document completed in accordance with Article 15(a).

(d) Failure to transport waste in compliance with Article 19.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions which can be imposed are:

• Variable Monetary Penalty

Civil sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 20(2)

(a) Transport Article 3(2) or (4) waste without being accompanied by a completed Annex VII document in accordance with Article 18(1)(a) that is signed in accordance with 18(1)(b).

(b) Transport Article 3(2) waste without a contract referred to in Article 18(2) having been entered into.

(c) Transport of waste destined for interim recovery or disposal operation without a notification document completed in accordance with Article 15(a).

(d) Failure to comply with Article 20 (prohibition on mixing Article 3(2) or (4) waste during shipment).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions which can be imposed are:

• Variable Monetary Penalty

Civil sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 21

Transport waste destined for disposal in a non-EU, non EFTA country in breach of Article 34.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 22(2)(a)

(a) Export waste for disposal to EFTA countries without compliance with Article 35(1).

(b) Export waste for disposal to EFTA countries in breach of Article 35(5).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions which can be imposed are:

• Variable Monetary Penalty

Civil sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 23

Transport waste specified in Article 36(1) that is destined for recovery in a non-EU country to which the Organisation for Economic Co-operation and Development (OECD) decision does not apply.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions which can be imposed are:

• Variable Monetary Penalty

Civil sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 23A(2)

Transport waste listed in Annex III or IIIA, destined for recovery in any country listed in Commission Regulation (EC) No. 1418/2007, in breach of that Regulation.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions are not available.

Regulation 23A(3)

Transport waste listed in Annex III or IIIA destined for recovery in any non-EU country to which the OECD decision does not apply without complying with the procedure of prior written notification and consent as described in Article 35, in accordance with the second paragraph of Article 37(2).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions are not available.

Regulation 23A(4)

Transport waste listed in Annex III or IIIA destined for recovery in any country to which the OECD Decision does not apply, in breach of Art 37(4) (requirement for consignment only to facilities authorised to operate under the applicable national law of the country of destination).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions are not available.

Regulation 23B(2)(a)

Transport unlisted waste, or waste classified under more than one entry in Annex III, to any non-EU country to which the OECD decision does not apply, without the procedure of prior written notification and consent having been complied with in accordance with Article 37(5).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions are not available.

Regulation 23B(2)(b)

Transport unlisted waste, or waste classified under more than one entry in Annex III, to any non-EU country to which the OECD decision does not apply, in breach of Article 37(4) (requirement for consignment only to facilities authorised to operate under the applicable national law of the country of destination).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions are not available.

Regulation 24(2)

(a) Export of waste for recovery to non-EU OECD countries, without the provisions of Article 38(1) having been complied with.

(b) Transport waste for recovery to any non-EU country to which the OECD decision applies, in breach of Article 38(6) (requirement for consignment only to facilities authorised to operate under the applicable national law of the country of destination).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions which can be imposed are:

• Variable Monetary Penalty

Civil sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 25(a)

Transport of waste to the Antarctic.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions which can be imposed are:

• Variable Monetary Penalty

Civil sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 25(b)

Transports waste destined for disposal in an overseas country/territory in breach of Article 40(1).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 25(c)

Transports waste destined for recovery in an overseas country/territory in breach of Article 40(2).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions which can be imposed are:

• Variable Monetary Penalty

Civil sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 25(d)

Transports waste specified in Article 40(3) destined for recovery in an overseas country/territory without the provisions of that Article having been complied with.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 26

Transport waste destined for disposal in breach of Article 41(1).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 27(2)

Transport of waste for disposal from a non-EU country party to the Basel Convention, without complying with Article 42(1).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 28

Transport of waste destined for recovery that has come from a non-EU country or area in breach of Article 43(1).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 29(2)

Transport of waste from or through a non-EU OECD decision country, without complying with Article 44(1).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 30(2)

Import of waste for recovery from a non-EU non-OECD decision country Party to the Basel Convention, without complying with Article 45.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 31

Import of waste from overseas countries/territories without complying with Article 46(1).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 32(2)

Transport of waste destined for disposal that has originated from and is destined for a non-EU country and is transported through the UK, without complying with Article 47.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 33(2)

Transport of waste destined for recovery that has originated from and is destined for a non-EU country to which the OECD decision does not apply and is transported through the UK, without complying with Article 48(1).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 34(2)

Transport of waste destined for recovery that has originated from and is destined for an EU country to which the OECD decision applies and is transported through the UK, without complying with Article 48(2).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 35(2)

Transport of waste destined for recovery that has originated from a non-EU country where the OECD decision does not apply and is destined for an EU or a country to which the OECD decision applies (or vice versa) and is transported through the UK, without complying with Article 48(3).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 36

Failure of an operator of a facility to notify the competent authority immediately when they know or could reasonably suspect that waste brought to that facility is an illegal shipment of waste.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 37(2)

(a) Failure of an operator of a facility to ensure that the recovery or disposal of notifiable waste is completed in accordance with Article 9(7).

(b) Failure of an operator of a facility to comply with any condition of a consent imposed by the competent authority of destination, in accordance with Article 10(1).

(c) Failure of an operator of a facility to comply with any condition imposed by the competent authority of destination, in accordance with Article 10(5).

(d) Failure of an operator of a facility to retain the movement document in accordance with Article 16(c).

(e) Failure of an operator of a facility to provide confirmation that waste has been received, in accordance with Article 16(d).

(f) Failure of an operator of a facility to certify that non-interim recovery or disposal has been completed, in accordance with Article 16(e).

(g) Failure of an operator of a facility to keep any document sent to or by the competent authorities in accordance with Article 20(1).

(h) Failure of an operator of a facility to inform the competent authority of destination in accordance with Article 22(1) if a shipment of waste is rejected.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 38(2)

(a) Failure of an operator of a facility that carries out interim recovery or disposal to provide confirmation to the notifier or competent authorities, in accordance with Article 15(c).

(b) Failure of an operator of a facility that carries out interim recovery or disposal to certify that interim recovery or disposal has been completed, in accordance with Article 15(d).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 38(3)

(a) Failure of an operator of a facility to obtain from a facility sent notifiable waste for subsequent interim or non-interim recovery or disposal a certificate that such operation has been completed in accordance with Article 15(e).

(b) Failure of an operator of a facility to transmit the certificate received from the completion of a subsequent interim or non-interim recovery or disposal operation in relation to notifiable waste, to the notifier and competent authorities in accordance with Article 15(e) second paragraph.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 38(4)

Failure of an operator of a facility that carries out interim recovery or disposal to comply with the notification requirements of Article 15(f).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 39(2)

(a) Failure of operator to sign the Annex VII document in accordance with Article 18(1)(b).

(b) Failure of operator to keep the Article 18(1) information in accordance with Article 20(2).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 40(2)

Failure of consignee to keep any document sent to or by the competent authorities in relation to a notified shipment, in accordance with Article 20(1).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 41(2)

(a) Failure of consignee to sign the Annex VII document in accordance with Article 18(1)(b
(b) Failure of consignee to provide a copy of the contract referred to in Article 18(2) on request
(c) Failure of consignee to keep the Article 18(1) information, in accordance with Article 20(2)

Standard criminal and offence specific responses:

• Warning
• Formal Caution
• Prosecution

Civil sanctions can be imposed:

• Variable monetary penalty

Offered:

• Enforcement undertaking

Civil sanctions were available from 1 May 2014.

Regulation 42(2)

(a) Failure of laboratory operator to sign the Annex VII document in accordance with Article 18(1)(b).

(b) Failure of laboratory operator to keep the Annex VII document for three years from the shipment date.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 43

(a) Failure of a notifier to keep a copy of the movement document, in accordance with Article 16(c).

(b) Failure of a notifier to keep any document sent to or by the competent authorities in accordance with Article 20(1).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 44(2)

(a) Failure of a person who arranges the shipment of waste to provide the competent authority with a copy of the Article 18(2) contract upon request.

(b) Failure of a person who arranges the shipment of waste to keep the Article 18(1) information, in accordance with Article 20(2).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil Sanctions which can be offered are:

• Enforcement Undertaking

Civil sanctions from 1st of May 2014.

Regulation 52(1)

Fail to comply with a notice served under the TFS regulations.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil sanctions from 1st of May 2014.

Regulation 53

(a) Obstruction.

(b) Give false or misleading information.

(c) (i) Failing to provide assistance or information or (ii) Failing to produce any record when required.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil sanctions from 1st of May 2014.

Regulation 54

(a) Make a statement or declaration known to be false or misleading to obtain consent to a shipment or approval of financial guarantee or equivalent insurance.

(b) Endeavours to obtain consent to a shipment or approval of financial guarantee or equivalent insurance by deception.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions which can be imposed are:

• Variable Monetary Penalty

Civil sanctions from 1st of May 2014.

Regulation 55(1)(a) and (b)

Liability of officers to an offence committed by a body corporate.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions are only available where they are available for the offence for which the body corporate is guilty.

Regulation 57

Liability of third parties.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions are only available where they are available for the offence for which the body corporate is guilty.

Regulation 4(1)(a)

Ship radioactive waste or spent fuel from the UK to any other country, except in accordance with a relevant authorisation.

The standard criminal and offence specific responses are:

• Warning
• Formal caution
• Prosecution 

Regulation 4(1)(b)

Ship radioactive waste or spent fuel from any other country into the UK, except in accordance with a relevant authorisation.

The standard criminal and offence specific responses are:

• Warning
• Formal caution
• Prosecution

Regulation 7(1) and 7(2)

Failure of any person to notify within 15 days for receiving a shipment of radioactive waste or spent fuel from outside the UK pursuant to these regulations.

The standard criminal and offence specific responses are:

• Warning
• Formal caution
• Prosecution 

Regulation 8(1) and 8(3)

Failure to notify within 15 days of arrival of radioactive waste or spent fuel from the UK to another country pursuant to these regulations.

The standard criminal and offence specific responses are:

• Warning
• Formal caution
• Prosecution

Regulation 8(2) and 8(3)

Failure to take all reasonable steps to obtain and include a declaration or certification in the notification by the consignee that the radioactive waste or spent fuel has reached its proper destination, indicating the customs post of entry into the country of destination.

The standard criminal and offence specific responses are:

• Warning
• Formal caution
• Prosecution 

Regulation 9(1)

Failure to ensure shipped radioactive waste or spent fuel is accompanied at all times with the form prescribed in 9(2).

The standard criminal and offence specific responses are:

• Warning
• Formal caution
• Prosecution 

Regulation 10(1) and 10(2)

Make a false or misleading statement in an application.

The standard criminal and offence specific responses are:

• Warning
• Formal caution
• Prosecution 

Regulation 13(3)

Failure to comply with an instruction where radioactive waste or spent fuel has been brought into the UK other than in accordance with the regulations or an authorisation granted under the regulations.

The standard criminal and offence specific responses are:

• Warning
• Formal caution
• Prosecution 

Regulation 13(4)(a) and 13(4)(b)

Failure to comply with a regulation 13(4)(a) notice.

The standard criminal and offence specific responses are:

• Warning
• Formal caution
• Prosecution 

Regulation 14(1) and 14(2)

Failure to comply with a Schedule 2, Paragraph 1 information notice.

The standard criminal and offence specific responses are:

• Warning
• Formal caution
• Prosecution 

Regulation 14(1) and 14(2)

Failure to comply with a Schedule 2, Paragraph 2 enforcement or prohibition notice.

The standard criminal and offence specific responses are:

• Warning
• Formal caution
• Prosecution

Producer fails to finance the net costs arising from the collection, treatment and recycling of its share of all waste portable batteries collected in the United Kingdom, excepting small producers. Note: A producer who is a member of a battery compliance scheme is exempt from complying with this obligation (Regulation 10).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 9 & 89(1)(a)(ii)

Producer* fails to be registered as a member of a battery compliance scheme for any compliance period during which that person is a producer of portable batteries. * Does not apply to small producers

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 11 & 89(1)(a)(iii)

Scheme member fails to provide on request and in writing, to the battery compliance scheme operator, information which the scheme operator needs to rely on for the purposes of:

• Complying with a demand to produce records under Reg 22(2);
• Complying with the requirement to provide information under Reg 23;
• Making an application to register a producer under Reg 26(3);
• Making a notification under Reg 29.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 12 & 89(1)(a)(iv)

Producer fails to keep required records in writing for four years and make them available to the appropriate authority on demand.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 13 & 89(1)(a)(v)

Small producer fails to provide information, or fails to provide information in the correct format, about the amount of portable batteries they have placed on the market in 2009 and each compliance period, by 31st January of the next year e.g. 2009 data by 31/1/2010.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 15 & 89(1)(a)(vi)

After notification of current scheme approval being withdrawn, producer fails to:

• become a member of another battery compliance scheme; or
• notify its intention to the appropriate authority to become a member of a proposed scheme and then become a member of a scheme;

within the timescales specified in Regulation 15(2) and (3).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 16 & 89(1)(a)(vii)

Producer who is notified that approval of current scheme has been withdrawn, fails to:

• Ensure all identifiable waste portable batteries collected by that producer are delivered to and accepted by an approved battery treatment operator or approved battery exporter.
• Keep records of amounts in total tonnes and tonnes by chemistry type, in writing for four years.
• Provide information on the total amount of portable batteries placed on the market in the UK in a compliance period.

Provide written and signed information in the format required, for each quarter period on the amount of waste portable batteries collected and delivered (by total tonnes and tonnes by chemical type).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 26(4) & 89(1)(a)(ix)

Small producer* fails to register within 28 days from the date producer first places portable batteries on the market for the first time in the UK after 15 October 2009. * Does not apply to a small producer who is or was also a producer of industrial or automotive batteries and is registered with the Secretary of State under Regulation 45.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 29(1), 29(3) & 89(1)(a)(x)

Small producer fails to notify of change of details held on register within one month of the change.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 29(2), 29(3) and 89(1)(a)(x)

Small producer fails to notify within one month of small producer ceasing to be a producer.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 30 & 89(1)(a)(xi)

Producer fails to declare its battery producer registration number to any person to whom the producer intends to sell, sells or otherwise supplies batteries in the United Kingdom.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 32(2) & 89(2)(a)(ix)

Scheme operator fails to make arrangements with distributor within 21 days of receiving a request for the collection of waste portable batteries from the distributor, and/or fails to ensure collection of those batteries without charge and within a reasonable time.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 33(2) & 89(2)(a)(x)

Scheme operator fails to accept waste portable batteries at a facility it provides for economic operators and waste collection authorities without charge.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 63 & 89(4)(a)(i)

Approved battery treatment operator contravenes or fails to comply with the conditions set out in Part 2 of Schedule 4 and if approved to issue evidence notes for waste portable batteries, Part 3 of Schedule 4.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 63 & 89(4)(a)(i)

Approved battery exporter contravenes or fails to comply with the conditions set out in Part 2 of Schedule 4 and if approved to issue evidence note for waste portable batteries, Part 4 of Schedule 4.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 66 & 89(4)(a)(ii)

Approved battery treatment operator or approved battery exporter contravenes or fails to comply with reporting requirements under Regulation 66.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 66 & 89(4)(b)(i)

Approved battery operator or approved battery exporter furnishes a report and knows the information provided in or in connection with it to be false in a material particular.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 66 & 89(4)(b)(ii)

Approved battery operator or approved battery exporter furnishes information in or in connection with a report recklessly, and it is false and misleading in a material particular.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 67 & 89(4)(a)(iii)

Approved battery treatment operator or approved battery exporter fails to maintain records that enable the completion of regulation 66 reports, or to keep the records for 4 years, or to make the records available to the appropriate authority on demand.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 87 & 89(6)(d)

A person, without reasonable cause, fails to comply with an enforcement notice served under Regulation 87.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 88 & 89(6)(e)

A person, without reasonable cause, fails to comply with a requirement imposed under Regulation 88 (powers of entry and inspection).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 89(6)(f)

A person, intentionally obstructs an officer, or any person accompanying the officer in accordance with Regulation 88(2)(b)(i), in the execution of these Regulations.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 89(6)(g)

A person, without reasonable cause, fails to give an officer, or any person accompanying the officer in accordance with Regulation 89(6)(f)(ii), any assistance or information which may reasonably be required by them for the performance of the enforcement officer’s functions under the Regulations.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 89(6)(h)

A person, without reasonable cause, fails to give an officer, or any person accompanying the officer in accordance with Regulation 89(6)(f)(ii), any assistance or information which may reasonably be required by them for the performance of the enforcement officer’s functions under the Regulations.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 89(6)(i)(i)

A person furnishes any information knowing it to be false or misleading in a material particular to an officer or any person accompanying the officer in accordance with Regulation 89(6)(f)(ii)

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 89(6)(i)(ii)

A person furnishes any information recklessly, and it is false or misleading in a material particular, to an officer or any person accompanying the officer in accordance with 89(6)(f)(ii).

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil Sanctions not available.

Regulation 42(1)(a)

Failure to register as a waste broker or dealer under Regulation 25.

Summary only offence.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions which can be imposed are:

• Compliance Notice
• Stop Notice

The power to issue a stop notice or compliance notice came into force on 29 March 2011 (regulations 38,39, Waste (England and Wales) Regulations 2011).

Regulation 42(1)(b)

Failure to comply with a notice requiring compliance, notice requiring restoration or notice prohibiting an activity.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions are not available.

Regulation 44(1)

Offence where a director, manager, other similar person or person purporting to act in that capacity in relation to an offence under Regulation 42(1) offence that their company (body corporate) is guilty of and which is proved to have been committed with their consent, connivance or attributable to their neglect

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions are not available.

Regulation 44(3)

Offence where a partner in relation to an offence under Regulation 42(1) offence that the partnership is guilty of and which is proved to have been committed with their consent, connivance or attributable to their neglect

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions are not available.

Regulation 44(5)

Offence where an officer of an unincorporated association, in relation to an offence under Regulation 42(1) that the unincorporated association is guilty of and which is proved to have been committed with their consent, connivance or attributable to their neglect.

Standard criminal and offence specific responses are:

• Warning
• Formal Caution
• Prosecution

Civil sanctions are not available.

Waste Electrical and Electronic Equipment Regulations 2013 (WEEE)

Regulation 11 & 90

Failing properly to finance the costs of the collection, treatment, recovery and environmentally sound disposal of an amount of the relevant WEEE.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 12 & 90

Failing properly to finance the costs of the collection, treatment, recovery and environmentally sound disposal of an amount of the relevant WEEE. from users other than private households.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 14 & 90

Failing to join a scheme.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 15 & 90

Failure of small producers to register.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 16 & 90

Failure to apply to register as small producer.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 17 & 90

Failure to comply with Regulation 17 conditions of registration.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 18 & 90

Failure to provide information to operators of schemes

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 19 & 90

Failure to provide a declaration of compliance.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

​Regulation 20 & 90

Failure to keep records as prescribed by Regulation 20

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.​

Regulation 21 & 90(2)

Failure to declare EEE producer registration number.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 22 & 90(2)

Failing to mark EEE with proper symbol

Regulation 22 & 90(2)

Failing to mark EEE with date

Regulation 24 & 90(2)

Failing to provide information on new types of EEE

Regulation 26 & 90(3)(a)

Failure to register a producer or authorised representative.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 27 & 90(3)(a)

Failure to notify appropriate authority of membership of scheme.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 28 & 90(3)(a)

Failure to comply with Regulation 28 on financing WEEE from private

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 29 & 90(3)(a)

Failure to comply with Regulation 28 on financing WEEE from users other than private households

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 30 & 90(4)

Failure to prioritise the reuse of whole appliances.

Summary offence only. Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 31 & 90(3)(a)

Failing to provide proper treatment systems.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 32 & 90(3)(a)

Failing to provide proper recovery systems.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 35 & 90(3)(a)

Failing to report to NRW in accordance with Regulation 35.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 37 & 90(3)(a)

Failing to provide information on the total amount in tonnes of EEE in accordance with Regulation 37.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 39 & 90(3)(a)

Failure to provide a declaration of compliance.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 40 & 90(3)(a)

Failure to keep records as required by regulation 40.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.​

Regulation 42 and 90(5)

Failing to provide take-back of WEEE

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 44 and 90(5)

Failing to make information available to users of EEE in private households

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 45 and 90(6)

Failing to keep records

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 47 and 90(8)

Failure to comply with financing obligations under regulation 47

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 51 and 90(8)

Showing the costs of financing the collection, treatment and environmentally sound disposal of WEEE from private households

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Civil sanctions are not available for this offence.

Regulation 54 and 90(7)

Failing to comply with requirements of Schedule 9

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 57 & 90(3)(a)

Failure to comply with conditions of approval set out at regulation 57.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 60 and 90(8)

Issuing evidence notes without approval

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 61 and 90(7)

Failing to apply for approval in accordance with Regulation 61

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 63 and 90(7)

Failing to comply with conditions in Schedule 11

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 66 and 90(7)

Failure to report in accordance with Regulation 66

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 67 and 90(7)

Failure to keep records

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 88 and 90(8)

Failure to comply with enforcement notice

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 89 and 90(8)

Failure to comply with a requirement imposed under Regulation 89

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Regulation 90(1)(b)(i)

Producer furnishes information to the operator of a Scheme which he knows to be false in a material particular.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 90(1)(b)(ii)

Producer furnishes information to the operator of a scheme recklessly, which is false or misleading in a material particular.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 90(1)(c)(i)

Producer furnishes information for, or in connection with, a declaration of compliance which he knows to be false in a material particular.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 90(1)(c)(ii)

Producer furnishes a declaration of compliance recklessly, which is false or misleading in a material particular.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 90(3)(b)

Furnishing a false or misleading report under regulations 35 or 37.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 90(3)(c)

Furnishing a false or misleading report under regulation 39.

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 90(7)(b)

Furnishing a false or misleading report under Regulation 66

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.​

Regulation 90(8)

Obstructing person acting in execution of Regulations

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 90(8)

Failing to assist

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 90(8)

Failing to produce information

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.

Regulation 90(8)

Providing false or misleading information

Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence. ​

Regulation 90(9)

Failing to collect and transport WEEE in accordance with Regulation 48

Summary only offence. Standard criminal and offence specific responses:

• Warning
• Formal caution
• Prosecution

Civil sanctions are not available for this offence.