Regulation 19 Civil sanctions

(1)

Where Natural Resources Wales is satisfied on the balance of probabilities that a person has contravened a requirement specified in paragraph (2) (“a relevant requirement”), Natural Resources Wales may by notice, in relation to that contravention, impose on that person—

(a)

a fixed monetary penalty under Part 1 of Schedule 2,

(b)

a variable monetary penalty under Part 2 of Schedule 2, or

(c)

a compliance notice under Part 3 of Schedule 2.

(2)

The requirements are—

(a)

regulation 4(4) (take specified steps by the specified deadline);

(b)

regulation 6(2)(a) (notify Natural Resources Wales of outage);

(c)

regulation 6(2)(b) (written record of specified information during outage);

(d)

regulation 6(2)(c) (enter specified information during outage);

(e)

regulation 6(3)(b) (retain and make available outage written record);

(f)

regulation 7(2) (corrections);

(g)

regulation 8(3)(b)(i) (written record by digitally excluded operator);

(h)

regulation 8(3)(b)(ii) (record digitally excluded operator number in written record);

(i)

regulation 9(1) (application for digitally excluded operator number);

(j)

regulation 10(1) (notice of ceasing to be digitally excluded person);

(k)

regulation 10(2) (deadline for providing notice after ceasing to be a digitally excluded person);

(l)

regulation 12 (retain and make available written record).

(3)

Where Natural Resources Wales is satisfied on the balance of probabilities that—

(a)

a relevant requirement has been contravened by a body corporate, partnership or unincorporated association, and

(b)

the contravention occurred with the consent or connivance of, or was attributable to any neglect on the part of—

(i)

a relevant individual, or

(ii)

an individual purporting to act in the capacity of a relevant individual,

Natural Resources Wales may by notice impose a civil sanction specified in paragraph (1) on that individual as well as the body corporate, partnership or unincorporated association.

(4)

If Natural Resources Wales is satisfied, on the balance of probabilities, that the contravention of a relevant requirement or prohibition by a person is due to the act or default of some other person, Natural Resources Wales may by notice impose a civil sanction on that other person, whether or not a sanction is imposed on the first-mentioned person.

(5)

A person on whom a civil sanction has been imposed under this regulation may appeal to the First-tier Tribunal in accordance with the procedure in regulation 25.

(6)

Natural Resources Wales may recover a fixed monetary penalty or a variable monetary penalty—

(a)

as a civil debt, or

(b)

on the order of a court, as if payable under a court order.

(7)

In this regulation, “relevant individual” means—

(a)

in relation to a body corporate—

(i)

a director, member of the committee of management, chief executive, manager, secretary or other similar officer of the body, or a person purporting to act in any such capacity;

(ii)

where the affairs of the body are managed by its members, a member;

(b)

in relation to a partnership, a partner;

(c)

in relation to an unincorporated association, a person who is concerned in the management or control of the association.