Paragraph 1
(1)
The following table sets out requirements and prohibitions for the contravention of which the enforcement agency in relation to the contravention concerned (see the definition of “enforcement agency” in regulation 114) has power to impose civil sanctions.
(2)
The power of an enforcement agency to impose a civil sanction for contravention of a requirement or prohibition specified in the table is subject to, and exercisable in accordance with, regulations 121 and 122 and Parts 2 to 5 of this Schedule.
Table
| Requirement or prohibition | Fixed Monetary Penalty | Variable Monetary Penalty | Compliance Notice | Enforcement Undertaking |
|---|---|---|---|---|
| Producers | ||||
| Regulations 25(1)(a) and 27(4)(b) (registration obligations) | No | Yes | Yes | Yes |
| Regulation 25(1)(b), (2)(b) and (3)(b) (obligations to keep records and evidence) | Yes | No | No | No |
| Regulation 25(1)(c) and (d) and (3)(c) (reporting obligations) | No | Yes | Yes | Yes |
| Regulation 25(2)(a) (recycling obligation) | No | Yes | Yes | Yes |
| Regulation 25(2)(c) (certification obligation) | Yes | No | No | No |
| Regulation 25(3)(a) (obligation to carry out recyclability assessments) | No | Yes | Yes | Yes |
| Regulation 28(1) to (3) (requirement to apply to the appropriate agency for registration by the date specified in regulation 28(1), (2) or (3) as applicable) | No | Yes | No | No |
| Regulation 31(b) to (e) (requirements to provide information to the appropriate agency) | Yes | No | No | No |
| Regulations 35(2) to (4), 36(2) and (3), 37(2) and 38(2) (requirements to make reports to the appropriate agency by the dates specified) | No | Yes | No | No |
| Regulation 68(4) (requirement to pay disposal fees and administration fees no later than 50 days after the due date) | No | Yes | Yes | Yes |
| Scheme operators | ||||
| Regulation 43(1)(b) (obligation to register a compliance scheme) | No | Yes | Yes | Yes |
| Regulation 43(3)(a) (obligation to apply for registration of scheme members) | No | Yes | Yes | Yes |
| Regulation 43(3)(b) (obligation to report information relating to scheme members) | No | Yes | No | Yes |
| Regulation 43(3)(c) (compliance scheme recycling obligation) | No | Yes | Yes | Yes |
| Regulation 43(6)(a) (obligation to keep records and submit reports) | No | Yes | Yes | Yes |
| Regulation 43(6)(b) (obligation to submit statement of compliance) | No | Yes | Yes | Yes |
| Regulation 44(1)(a) (requirement to apply for registration of a scheme member by the date specified) | No | Yes | No | No |
| Regulation 44(2) (requirement to make reports under regulations 35 to 38, as applied by regulation 44(2), by the date specified in the regulation in question) | No | Yes | No | No |
| Regulations 49(5) and 54(4) (obligations to provide information to scheme members in connection with withdrawal of approval and cancellation of registration) | No | Yes | Yes | Yes |
| Regulation 53 (obligation to comply with conditions of registration) | No | Yes | Yes | Yes |
| Reprocessors and exporters | ||||
| Regulations 85(1) and 86(1) (obligation to register) | No | Yes | Yes | Yes |
| Regulation 88(1) (duty to comply with conditions of registration) | No | Yes | Yes | Yes |
| Regulation 91 (record-keeping and reporting requirements) | Yes | No | Yes | Yes |
| Regulation 92(1) and (2) (prohibition on issuing PRNs or PERNs other than in accordance with specified conditions) | No | Yes | Yes | Yes |
| Regulation 98 (duty to comply with conditions of an accreditation) | No | Yes | Yes | Yes |
| Regulation 117(3)(c) (prohibition on issuing PRNs or PERNs pursuant to false or misleading information | No | Yes | Yes | Yes |
| Holding companies with a group registration | ||||
| Regulation 31(b) to (e) as applied by Schedule 9, paragraph 4(5) (requirements to provide information to the appropriate agency) | Yes | No | No | No |
| Schedule 9, paragraph 5(1)(b) (reporting obligations in relation to relevant group members) | No | Yes | Yes | Yes |
| Schedule 9, paragraph 5(2)(a) (recycling obligations) | No | Yes | Yes | Yes |
| Schedule 9, paragraph 5(2)(b) (certification obligation) | Yes | No | No | No |
| Schedule 9, paragraph 6(1) (requirement to pay disposal fees and administration fees no later than 50 days after the due date) | No | Yes | Yes | Yes |
| Licensors | ||||
| Schedule 10, paragraph 5 (record keeping obligations) | Yes | No | No | No |
| Schedule 10, paragraph 6 (reporting obligations) | No | Yes | Yes | Yes |
| Pub Operating Businesses | ||||
| Schedule 10, paragraph 12 (record keeping obligations) | Yes | No | No | No |
| Schedule 10, paragraph 13 (reporting obligations) | No | Yes | Yes | Yes |
| General | ||||
| Regulation 110(1) (duty to comply with notice to maintain records and provide information to the appropriate agency) | Yes | No | No | Yes |
| Regulation 118(1) (provision of false or misleading information) | No | Yes | Yes | No |
| Regulation 118(2) (failure to comply with reasonable request of the appropriate agency) | Yes | No | Yes | Yes |
| Regulation 118(3) (delaying or obstructing an authorised person) | Yes | No | No | Yes |
| Regulation 118(5) (breach of a compliance notice or enforcement undertaking) | No | Yes | Yes | Yes |