Schedule 4 Relevant offences and fixed penalty amountsI1
Scotland
In the following table—
“FMP” is a fixed monetary penalty;
“VMP” is a variable monetary penalty;
“EU” is an enforcement undertaking; and
“FMP amount” is the level of fixed monetary penalty specified in accordance with paragraph 3 of Schedule 1.
Provision creating offence FMP VMP EU FMP amount The Control of Pollution Act 1974f1 Section 30Z(3) (failure to give notice of proposed abandonment of a mine timeously) YES YES YES LOW The Wildlife and Countryside Act 1981f2 Section 14K(1) (failing to comply with a species control order) YES YES YES MEDIUM Section 14K(2) (obstruction) YES NO NO LOW Section 14K(3) (carrying out an excluded operation) YES YES YES MEDIUM F1... . . . . . . . . . . . . . . . F2... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Environmental Protection Act 1990f3 Section 33(6) (unauthorised or harmful depositing, treatment or disposal etc. of waste; breaching conditions of a waste management licence)f4 YES YES YES MEDIUM Section 34(6) (failure to comply with duty of care requirements)f5 YES YES YES LOW F3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Section 57(5) (failure to comply with ministerial direction relating to waste acceptance etc.) YES YES YES LOW Section 59(5) (failure to comply with notice requiring removal of waste) YES YES YES MEDIUM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Section 78M(1) (failure to comply with a remediation notice)f6 YES YES YES MEDIUM The Radioactive Substances Act 1993f7 F4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Environment Act 1995f8 Section 27(3)(a) (failure to comply with information notices)f9 YES YES YES LOW Section 27(3)(b) (false statements) YES YES YES HIGH Section 110(1) (obstruction) YES NO NO LOW Section 110(2)(a) (failure to comply with a requirement imposed under enforcement powers)f10 YES NO NO LOW Section 110(2)(b) (failure to provide facilities or assistance) YES NO NO LOW Section 110(2)(c) (preventing answers) YES NO NO LOW Section 110(3) (pretending to be an authorised person) YES NO NO LOW The Special Waste Regulations 1996f11 F5Regulation 18(1) (failure to comply with regulations) YES YES YES LOW Regulation 18(3) (false or misleading statements) YES YES YES HIGH Regulation 18(4) (false entries in records) YES YES YES HIGH The Environmental Protection (Disposal of Polychlorinated Biphenyls and other Dangerous Substances) (Scotland) Regulations 2000f12 Regulation 13(1) (holding contaminated equipment without registration) YES YES YES MEDIUM Regulation 13(2) (offences relating to holding, disposing and decontaminating of equipment) YES YES YES MEDIUM Regulation 13(3) (failure to comply with labelling requirements) YES YES YES LOW Regulation 13(4)(a) (false or misleading registration information) YES YES YES HIGH Regulation 13(4)(b) (failure to provide inventories information) YES YES YES LOW Regulation 13(4)(c) (false or misleading information) YES YES YES HIGH The Waste and Emissions Trading Act 2003f13 Section 13(2) (failure to maintain records, gather information, or make returns etc.) YES YES YES LOW Section 13(4)(a) (obstruction) YES NO NO LOW Section 13(4)(b) (failure to comply with investigatory powers conferred under section 13(3))f14 YES NO NO LOW The Water Environment and Water Services (Scotland) Act 2003f15 Section 18(9)(a) (failure to comply with information notice etc.) YES YES YES LOW Section 18(9)(b) (altering, supressing or destroying documents) YES YES YES HIGH F6... . . . . . . . . . . . . . . . F7... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Producer Responsibility Obligations (Packaging Waste) Regulations 2007f16 Regulation 40(1)(a) (breaching the producer registration obligation) YES YES YES MEDIUM Regulation 40(1)(b) (breaching producer recovery and recycling obligations) YES YES YES MEDIUM Regulation 40(1)(c) (breaching the certifying obligation) YES YES YES LOW Regulation 40(3) (breaching operator recovery and recycling obligations) YES YES YES MEDIUM Regulation 40(4) (contravening requirements or conditions of accreditation) YES YES YES MEDIUM Regulation 40(5) (false or misleading information) YES YES YES HIGH Regulation 40(6) (failure to comply with notice requirements) YES YES YES MEDIUM Regulation 40(7) (obstruction) YES NO NO LOW Regulation 40(8)(a) (holding companies; failure to comply with recovery and recycling obligations) YES YES YES MEDIUM Regulation 40(8)(b) (holding companies; failure to furnish a certificate of compliance) YES YES YES LOW The Environmental Liability (Scotland) Regulations 2009f17 Regulation 10(6) (failure by operator to take preventive measures, etc.) YES YES YES MEDIUM Regulation 11(7) (failure by operator to identify potential remedial measures, etc.) YES YES YES MEDIUM Regulation 12(5) (failure by operator to take remedial action, etc.) YES YES YES MEDIUM Regulation 18(4) (failure to provide required information) YES YES YES LOW The Waste Batteries and Accumulators Regulations 2009f18 Regulation 89(1)(a)(i) to (xx) (producer failing to comply with requirements etc.) YES YES YES MEDIUM Regulation 89(1)(a)(xxi) (failure to declare battery producer registration number) YES YES YES LOW Regulation 89(1)(b) (false or misleading information), insofar as it relates to information furnished under regulation 11 (information provided to operators of battery compliance schemes), 27 (application by a small producer to register) or 29 (notification of changes to registration details) YES YES YES HIGH Regulation 89(1)(c) (false or misleading information) YES YES YES HIGH Regulation 89(1)(d) (false or misleading information) insofar as it relates to reports furnished under regulation 13 (reporting: portable batteries placed on the market by a small producer) or 16(5) or (6) (reporting: portable batteries) YES YES YES HIGH Regulation 89(2)(a)(scheme operator failing to comply with requirements etc.) YES YES YES MEDIUM Regulation 89(2)(b) (false or misleading information) YES YES YES HIGH Regulation 89(2)(c) (false or misleading declaration of compliance by scheme operator) YES YES YES HIGH Regulation 89(4)(a) (approved battery treatment operator failing to comply with requirements etc.) YES YES YES MEDIUM Regulation 89(4)(b) (false or misleading report by approved battery treatment operator) YES YES YES HIGH Regulation 89(6)(a) (disposing of waste automotive and industrial batteries in landfill or by incineration) YES YES YES MEDIUM Regulation 89(6)(b) (failure to comply with requirement for approval of battery treatment operators and exporters) YES YES YES MEDIUM Regulation 89(6)(c) (disclosing information in contravention of regulation 82) insofar as the information disclosed under or by virtue of regulation 82(1) was disclosed by SEPA YES YES YES LOW Regulation 89(6)(d) (failure to comply with an enforcement notice) insofar as enforcement notice was served by SEPA YES YES YES MEDIUM Regulation 89(6)(e) (failure to comply with a requirement; powers of entry and inspection) insofar as the requirement was imposed by an enforcement officer authorised by SEPA YES NO NO LOW Regulation 89(6)(f) (obstruction) insofar as the enforcement officer was authorised by SEPA YES NO NO LOW Regulation 89(6)(g) (failure to provide assistance or information) insofar as the requirement was imposed by an enforcement officer authorised by SEPA YES NO NO LOW Regulation 89(6)(h) (failure to produce records or information) insofar as the requirement to produce a record or information was imposed by an enforcement officer authorised by SEPA YES YES YES LOW Regulation 89(6)(i) (false or misleading information to an enforcement officer) insofar as the information was provided to an enforcement officer authorised by SEPA YES YES YES HIGH The Flood Risk Management (Scotland) Act 2009f19 Section 47(1)(a) (failure to provide information or documents required by notice) YES YES YES LOW Section 47(1)(b) (disposal, altering etc. of documents) YES YES YES HIGH Section 80(5) (obstruction) YES NO NO LOW The Waste Information (Scotland) Regulations 2010f20 Regulation 6(1)(a) (offences related to waste information requests) YES YES YES LOW Regulation 6(1)(b) (false or misleading statements) YES YES YES HIGH The Reservoirs (Scotland) Act 2011f21 Section 5(2) (failure to comply: duty of multiple reservoir managers to co-operate) YES YES YES HIGH Section 17(1) or (2) (failure to comply with registration requirements) YES YES YES HIGH Section 42(1)(a) (failure to give notice of proposed construction or alteration works), in so far as— - (a)
it relates to a controlled reservoir subject to alteration, where—
- (i)
the reservoir is a high-risk reservoirf22;
YES YES YES MEDIUM - (ii)
the reservoir is a not a high-risk reservoir;
YES YES YES LOW - (b)
it relates to a controlled reservoir being constructed.
YES YES YES MEDIUM Section 42(1)(b) (failure to appoint a construction engineer), in so far as— - (a)
it relates to a controlled reservoir subject to alteration, where—
- (i)
the reservoir is a high-risk reservoir;
YES YES YES MEDIUM - (ii)
the reservoir is a not a high-risk reservoir.
YES YES YES LOW - (b)
it relates to a controlled reservoir being constructed.
YES YES YES HIGH Section 42(1)(c) (failure to notify SEPA of the appointment of construction engineer), in so far as— - (a)
it relates to a controlled reservoir subject to alteration, where—
- (i)
the reservoir is a high-risk reservoir;
YES YES YES MEDIUM - (ii)
the reservoir is a not a high-risk reservoir.
YES YES YES LOW - (b)
it relates to a controlled reservoir being constructed.
YES YES YES MEDIUM Section 42(1)(d) (failure to comply with direction as to the taking of safety measures in safety report) YES YES YES HIGH Section 42(1)(e) (failure to comply with preliminary certificate or final certificate), where— - (a)
the reservoir is a high-risk reservoir;
YES YES YES HIGH - (b)
the reservoir is a not a high-risk reservoir.
YES YES YES MEDIUM Section 52(1)(a) (failure to appoint inspecting engineer and carry out required inspections) YES YES YES HIGH Section 52(1)(b) (failure to notify SEPA of appointment of inspecting engineer) YES YES YES MEDIUM Section 52(1)(c) (failure to comply with direction as to the taking of measures in inspection report) YES YES YES HIGH Section 52(1)(d) (failure to appoint supervising engineer) YES YES YES HIGH Section 52(1)(e) (failure to notify SEPA of appointment of supervising engineer) YES YES YES MEDIUM Section 52(1)(f) (failure to comply with direction of supervising engineer as to carrying out of visual inspection), where— - (a)
the reservoir is a high-risk reservoir;
YES YES YES HIGH - (b)
the reservoir is a not a high-risk reservoir.
YES YES YES MEDIUM Section 52(1)(g) (failure to comply with notice of identification of something which might affect the safety of the reservoir) YES YES YES HIGH Section 52(1)(h) (failure to keep record of water levels etc.), where— - (a)
the reservoir is a high-risk reservoir;
YES YES YES MEDIUM - (b)
the reservoir is a not a high-risk reservoir.
YES YES YES LOW Section 52(2) (failure to give inspection engineer copy of final certificate and latest inspection report), where— - (a)
the reservoir is a high-risk reservoir;
YES YES YES MEDIUM - (b)
the reservoir is a not a high-risk reservoir.
YES YES YES LOW Section 58(1)(a) (failure to maintain records etc.), where— - (a)
the reservoir is a high-risk reservoir;
YES YES YES MEDIUM - (b)
the reservoir is a not a high-risk reservoir.
YES YES YES LOW Section 58(1)(b) (failure to display emergency response information), where— - (a)
the reservoir is a high-risk reservoir;
YES YES YES MEDIUM - (b)
the reservoir is a not a high-risk reservoir.
YES YES YES LOW Section 66(1) (failure to comply with a notice regarding appointment of engineer or to notify appointment) YES YES YES HIGH Section 70(1) (failure to comply with enforcement notice) YES YES YES HIGH Section 94(1) (obstruction or preventing access to land) YES NO NO LOW Section 99(1) (failure to provide reasonable facilities to engineers or information or assistance to SEPA) YES YES NO MEDIUM Section 99(2) (altering, suppressing or destroying documents) YES YES YES HIGH Section 103(4) (failure to provide notice of revocation of appointment or resignation of engineer), where— - (a)
the reservoir is a high-risk reservoir;
YES YES YES HIGH - (b)
the reservoir is a not a high-risk reservoir.
YES YES YES MEDIUM F8... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F9... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F10... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The CRC Energy Efficiency Scheme Order 2013f23 Article 82(1) (false or misleading statements) insofar as the statement is made in purported compliance with article 45, or Parts 9 to 12 of that Order YES YES YES HIGH Article 82(2) (failure to comply with enforcement notice) insofar as the enforcement notice was served by SEPA or the Scottish Ministers YES YES YES MEDIUM Article 82(4) (pretending to be an unauthorised person) insofar as pretending to be a person authorised by SEPA. YES NO NO LOW Article 82(5) (refusing access to premises) insofar as the administrator is SEPAf24. YES YES YES LOW The Waste Electrical and Electronic Equipment Regulations 2013f25 Regulation 90(1)(a) (failure to comply with producer obligations etc. under regulations 11 to 20) YES YES YES MEDIUM Regulation 90(1)(b) or (c) (false or misleading information) YES YES YES HIGH Regulation 90(2) (failure to comply with producer obligations etc. under regulations 21 to 24) YES YES YES LOW Regulation 90(3)(b) or (c) (false or misleading information) YES YES YES HIGH Regulation 90(4) (failure of an operator to ensure that systems are set up to prioritise the reuse of whole appliances) YES YES YES MEDIUM Regulation 90(6) (record keeping: distribution) YES YES YES LOW Regulation 90(7)(a) (failure of an operator of an approved treatment facility or approved exporter to comply with requirements) insofar as it relates to regulation 54(2), 66 or 67 YES YES YES LOW Regulation 90(7)(a) (failure of an operator of an approved treatment facility or approved exporter to comply with requirements) insofar as it relates to regulation 54(1) or 63 YES YES YES MEDIUM Regulation 90(7)(b) (false or misleading information: report by operator of authorised treatment facility or approved exporter) YES YES YES HIGH Regulation 90(8)(a) (miscellaneous offences) insofar as it relates to regulations 47 and 51 YES YES YES LOW Regulation 90(8)(a) (miscellaneous offences) insofar as it relates to regulation 60 YES YES YES MEDIUM Regulation 90(8)(b) (failure to comply with an enforcement notice) YES YES YES MEDIUM Regulation 90(8)(c) (entry and inspection powers; failure to comply) YES NO NO LOW Regulation 90(8)(d) (obstruction) YES NO NO LOW Regulation 90(8)(e) (failure to give assistance or information) YES NO NO LOW Regulation 90(8)(f) (failure to produce information when required) YES YES YES LOW Regulation 90(8)(g) (false or misleading information) YES YES YES HIGH Regulation 90(9) (failure to collect or transport waste electrical and electronic equipment in a way that optimises reuse and recycling) YES YES YES MEDIUM The Ozone-Depleting Substances Regulations 2015f26 Regulation 8(1) (qualifications and supervision) YES YES YES MEDIUM Regulation 8(2) (offences related to training) YES YES YES MEDIUM Regulation 15(a) (preventing a person from appearing or answering questions) YES NO NO LOW Regulation 15(b) (obstruction) YES NO NO LOW Regulation 15(c) (false or misleading information) YES YES YES HIGH Regulation 15(d) (failure to produce records) YES YES YES LOW F11The Reservoirs (Enforcement etc.) (Scotland) Order 2016 Paragraph 6 of Schedule 1 (failure to comply with stop notice) YES YES YES HIGH F12The Control of Mercury (Enforcement) Regulations 2017 Regulation 41(1) (non-compliance with a relevant provision) YES YES YES MEDIUM Regulation 41(2) (non-compliance with an enforcement notice) YES YES YES MEDIUM Regulation 41(3) (non-compliance with an information notice) YES YES YES LOW Regulation 41(4) (giving information which is false or misleading) YES NO NO HIGH Regulation 41(5) (failing to produce a document or record) YES NO NO LOW F13Environmental Authorisations (Scotland) Regulations 2018 Regulation 69(1)(a) (contravention of regulation 7 (carrying on an activity otherwise than in accordance with an authorisation)) YES YES YES MEDIUM Regulation 69(1)(b) (contravention of regulation 8) YES YES YES MEDIUM Regulation 69(1)(c) (failure to comply with or contravention of a general binding rule YES YES YES MEDIUM Regulation 69(1)(d) (failure to comply with or contravention of a condition of a registration) YES YES YES MEDIUM Regulation 69(1)(e) (failure to comply with or contravention of a condition of a permit) YES YES YES MEDIUM Regulation 69(1)(f) (failure to comply with the requirements of a regulatory notice) YES YES YES MEDIUM Regulation 69(1)(g) (failure to comply with the requirements of a revocation notice) YES YES YES MEDIUM Regulation 69(1)(h) (failure to comply with an information notice) YES YES YES LOW Regulation 69(1)(i) (failure to comply with an order of a court) NO NO NO Regulation 69(1)(j) (making of a false, misleading or reckless statement) YES YES YES HIGH Regulation 69(1)(k) (making a false entry) YES YES YES HIGH Regulation 69(1)(l) (forging a document) YES YES YES HIGH Regulation 69(1)(m) (causing or permitting any other person to commit an offence), where the person caused or permitted a person to commit an offence— (a) regulation 69(1)(a), (b), (c), (d), (e), (f) or (g) YES YES YES MEDIUM (b) regulation 69(1)(h) YES YES YES LOW (c) regulation 69(1)(j), (k), or (l). YES YES YES HIGH F14The Deposit and Return Scheme for Scotland Regulations 2020 Regulation 31(1)(a) (contravention of regulation 4(1) (requirement to fulfil certain conditions in order to market, offer for sale or sell a scheme article)) YES YES YES MEDIUM Regulation 31(1)(b) (contravention of regulation 4(2) (requirement to fulfil certain conditions in order to market, offer for sale or sell a scheme article)) YES YES YES MEDIUM Regulation 31(1)(c) (contravention of regulation 5(2)(a) (requirement to charge a deposit when marketing, offering for sale or selling a scheme article in Scotland)) YES YES YES MEDIUM Regulation 31(1)(d) (contravention of regulation 5(2)(b) (requirement to display certain information when marketing, offering for sale or selling a scheme article)) YES YES YES LOW Regulation 31(1)(e) (contravention of regulation 5(3) (requirement to communicate certain information when marketing, offering for sale or selling a scheme article)) YES YES YES LOW F15Regulation 31(1)(f) (contravention of regulation 5(3A) (requirement to communicate certain information when marketing, offering for sale, or selling a non-scheme article to a purchaser other than a consumer)) YES YES YES MEDIUM Regulation 31(2) (offences in relation to knowingly or recklessly supplying of false information) YES YES YES HIGH Regulation 31(3)(a) (contravention of regulation 9(7)(a) (failure to comply with certain obligations of a producer whose registration has been cancelled)) YES YES YES LOW Regulation 31(3)(b) (contravention of regulation 9(7)(b) (failure to comply with certain obligations of a producer whose registration has been cancelled)) YES YES YES MEDIUM Regulation 31(4) (contravention of regulation 10(1)(b) and (c) (failure to provide certain information to SEPA)) YES YES YES LOW Regulation 31(5)(a) (failure to comply with certain obligations of a directly registered producer under regulation 11(1)(a) and (b)) YES YES YES LOW Regulation 31(5)(b) (failure to comply with certain obligations of a directly registered producer under regulation 11(1)(c) to (h)) YES YES YES MEDIUM Regulation 31(6) (failure to comply with certain obligations of a producer registered through a scheme administrator) YES YES YES LOW Regulation 31(7)(a) (failure by a scheme administrator to comply with the obligations in regulation 16(1)(a)(i)) YES YES YES LOW Regulation 31(7)(b) (failure by a scheme administrator to comply with the obligation in regulation 16(1)(a)(ii)) YES YES YES MEDIUM Regulation 31(7)(c) (failure by a scheme administrator to comply with the obligations in regulation 16(1)(b)) YES YES YES LOW Regulation 31(7)(d) (failure by a scheme administrator to comply with the obligation in regulation 16(1)(c)) YES YES YES MEDIUM Regulation 31(8)(a)(i) (failure by a retailer to comply with regulation 19(1)(b)) YES YES YES MEDIUM Regulation 31(8)(a)(ii) (failure by a retailer to comply with regulation 21(2)) YES YES YES MEDIUM Regulation 31(8)(a)(iii) (failure by a retailer to comply with regulation 22(4)(b)) YES YES YES MEDIUM Regulation 31(8)(b) (failure by a retailer to comply with regulation 19(1)(c)) YES YES YES LOW Regulation 31(8)(c) (failure by a retailer to comply with regulation 21(4)) YES YES YES MEDIUM Regulation 31(8)(d) (failure by a retailer to comply with regulation 22(4)(a)) YES YES YES LOW Regulation 31(9)(a) (failure by a return point operator to comply with regulation 20(2)) YES YES YES MEDIUM Regulation 31(9)(b) (failure by a return point operator to comply with regulation 20(3)) YES YES YES LOW Regulation 31(10) (failure by a voluntary return point operator to comply with regulation 25(8)(b)) YES YES YES MEDIUM Regulation 31(11) (obstruction of, or failure to assist an authorised person exercising enforcement powers under regulation 30(4)) YES NO NO LOW Regulation 31(12) (failure to comply with a notice under regulation 30(4)(l)) YES YES YES LOW Regulation 31(13) (purporting to act as a scheme administrator without approval under regulation 15) YES NO NO LOW F16The Packaging Waste (Data Reporting) (Scotland) Regulations 2023 Regulation 28(1) (contravention of regulation 14(3) (incapacity reporting obligation)) YES YES YES LOW Regulation 28(2)(a) (contravention of regulation 16 (data collection obligations)) YES YES YES MEDIUM Regulation 28(2)(b) (contravention of regulation 17 (data reporting obligations)) YES YES YES MEDIUM Regulation 28(2)(c) (contravention of regulation 18 (notification of winding-up, receivership, administration etc.) YES YES YES LOW Regulation 28(3)(a) (contravention of regulation 20(1) (data reporting obligations)) YES YES YES MEDIUM Regulation 28(3)(b) (contravention of regulation 20(2) (data collection obligation)) YES YES YES MEDIUM Regulation 28(4)(a) (knowingly furnishing false or misleading information to SEPA) YES YES YES HIGH Regulation 28(4)(b) (recklessly furnishing false or misleading information to SEPA) YES YES YES HIGH Regulation 28(5) (failing to comply with any requirement imposed in a notice under regulation 23(3)) YES YES YES MEDIUM Regulation 28(6) (intentionally delaying or obstructing a person authorised by SEPA in the exercise of powers referred to in regulation 26) YES NO NO LOW F17The Producer Responsibility Obligations (Packaging and Packaging Waste) Regulations 2024 Regulation 115(1)(a) (carrying on business as a producer without being registered as required by regulation 25(1)(a)) YES YES YES MEDIUM Regulation 115(1)(b) (failure to apply for registration by the date specified in regulation 28(1), (2) or (3)) YES YES YES MEDIUM Regulation 115(1)(c) (failure to keep records as required by regulation 25(1)(b)) YES YES YES MEDIUM Regulation 115(1)(d) (failure to report information as required by regulation 25(1)(c) or (d), or (3)(c)) YES YES YES MEDIUM Regulation 115(1)(e) (failure to report information as required by regulation 25(1)(c) or (d), or (3)(c) by the required date under regulation 35, 36, 37 or 38) YES YES YES MEDIUM Regulation 115(3)(a) (failure to comply with producer’s recycling obligation under regulation 25(2)(a)) NO YES YES NOT APPLICABLE Regulation 115(3)(b) (failure to keep evidence as required by regulation 25(2)(b)) YES YES YES MEDIUM Regulation 115(3)(c) (failure to furnish a certificate of compliance as required by regulation 25(2)(c)) YES YES YES LOW Regulation 115(4) (failure of a registered producer to comply with a condition of registration in regulation 31(b) or (c)) YES YES YES MEDIUM Regulation 116(a) (operating a compliance scheme without registering under regulation 43(1)(b) and 51(1)) YES YES YES MEDIUM Regulation 116(b) (breach of a condition of a compliance scheme’s registration in regulation 53) YES YES YES MEDIUM Regulation 116(c) (failure to carry out the obligation to apply for the registration of a compliance scheme member under regulation 43(3)(a)) YES YES YES MEDIUM Regulation 116(d) (failure to make an application for registration of a compliance scheme member by the required date under regulation 44(1)(a)) YES YES YES MEDIUM Regulation 116(e) (failure to report information as required in relation to a compliance scheme member under regulations 43(3)(b) and 44(2)) YES YES YES MEDIUM Regulation 116(f) (failure to report information in relation to a member of a compliance scheme under regulations 43(3)(b) and 44(2) by the required date under regulations 35, 36, 37 or 38) YES YES YES MEDIUM Regulation 116(g) (failure to carry out the recycling obligations under regulation 43(3)(c) and 44(3)) YES YES YES MEDIUM Regulation 116(h) (failure to keep records and make returns to SEPA as required by regulations 43(6)(a) and 55) YES YES YES MEDIUM Regulation 116(i) (failure to submit a statement of compliance to SEPA as required by regulation 56) YES YES YES LOW Regulation 116(j) (failure to give notice as required under regulations 49(5) or 54(4)) YES YES YES MEDIUM Regulation 117(1)(a) (operating a reprocessing site for a category of packaging waste without being registered with SEPA in accordance with regulation 85) YES YES YES MEDIUM Regulation 117(1)(b) (exporting a category of packaging waste without being registered with SEPA in accordance with regulation 86) YES YES YES MEDIUM Regulation 117(2)(a) (failure to comply with a condition of registration in regulation 88) YES YES YES MEDIUM Regulation 117(2)(b) (contravention of a requirement in regulation 91 or in Part 2 of schedule 8) YES YES YES MEDIUM Regulation 117(3)(a) (issuing a PRN otherwise in accordance with regulation 92(1)) YES YES YES MEDIUM Regulation 117(3)(b) (issuing a PERN otherwise than in accordance with regulation 92(2)) YES YES YES MEDIUM Regulation 117(3)(c) (knowingly or recklessly issuing a PRN or PERN pursuant to false or misleading information) YES YES YES HIGH Regulation 117(4) (failure to comply with a condition of accreditation to issue PRNs or PERNs in regulation 98 or Part 3 of schedule 8) YES YES YES MEDIUM Regulation 118(1) (knowingly or recklessly providing false or misleading information to SEPA in connection with its functions under the Regulations, or to a scheme operator in respect of any information referred to in regulation 45(1)) YES YES YES HIGH Regulation 118(2) (failing without reasonable excuse, to comply with any requirement imposed in a notice under regulation 110(1) or to give an officer any assistance or information reasonably required in connection with the exercise of their powers under regulation 112) YES YES YES MEDIUM Regulation 118(3) (intentionally delaying or obstructing an authorised person carrying out monitoring under regulation 109, or in the exercise of their powers under regulation 112) YES NO NO LOW Regulation 118(4) (failure of a holding company to comply with reporting, record-keeping or recycling obligations under paragraph 5(1)(b) or (c) or (2)(a) of schedule 9) YES YES YES MEDIUM Regulation 118(4) (failure of a holding company to comply with the certification obligation in paragraph 5(2)(b) of schedule 9) YES YES YES LOW Regulation 118(5) (failure to comply with a compliance notice imposed under regulation 121) YES YES YES MEDIUM - (a)
Annotations
Textual amendments
- F1
Words in sch. 4 Table omitted (1.11.2025) by virtue of The Environmental Authorisations (Scotland) Amendment Regulations 2025 (S.S.I. 2025/165), reg. 1(2), sch. 22 para. 28(2)(a)(i) (with sch. 23)
- F2
Words in sch. 4 Table omitted (1.11.2025) by virtue of The Environmental Authorisations (Scotland) Amendment Regulations 2025 (S.S.I. 2025/165), reg. 1(2), sch. 22 para. 28(2)(a)(ii) (with sch. 23)
- F3
Words in sch. 4 Table omitted (1.11.2025) by virtue of The Environmental Authorisations (Scotland) Amendment Regulations 2025 (S.S.I. 2025/165), reg. 1(2), sch. 22 para. 28(2)(a)(iii) (with sch. 23)
- F4
Words in sch. 4 table omitted (1.9.2018) by virtue of The Environmental Authorisations (Scotland) Regulations 2018 (S.S.I. 2018/219), reg. 1, sch. 6 para. 16(2) (with reg. 78, sch. 5 para. 2)
- F5
Words in sch. 4 Table substituted (1.11.2025) by The Environmental Authorisations (Scotland) Amendment Regulations 2025 (S.S.I. 2025/165), reg. 1(2), sch. 22 para. 28(2)(b) (with sch. 23)
- F6
Words in sch. 4 Table omitted (1.11.2025) by virtue of The Environmental Authorisations (Scotland) Amendment Regulations 2025 (S.S.I. 2025/165), reg. 1(2), sch. 22 para. 28(2)(a)(iv) (with sch. 23)
- F7
Words in sch. 4 table revoked (1.1.2022) by The Water Environment (Controlled Activities) (Scotland) Amendment Regulations 2021 (S.S.I. 2021/412), reg. 1(2), sch. para. 1
- F8
Words in sch. 4 Table omitted (1.11.2025) by virtue of The Environmental Authorisations (Scotland) Amendment Regulations 2025 (S.S.I. 2025/165), reg. 1(2), sch. 22 para. 28(2)(a)(v) (with sch. 23)
- F9
Words in sch. 4 Table omitted (1.11.2025) by virtue of The Environmental Authorisations (Scotland) Amendment Regulations 2025 (S.S.I. 2025/165), reg. 1(2), sch. 22 para. 28(2)(a)(vi) (with sch. 23)
- F10
Words in sch. 4 Table omitted (1.11.2025) by virtue of The Environmental Authorisations (Scotland) Amendment Regulations 2025 (S.S.I. 2025/165), reg. 1(2), sch. 22 para. 28(2)(a)(vii) (with sch. 23)
- F11
Words in sch. 4 table inserted (1.4.2016) by The Reservoirs (Enforcement etc.) (Scotland) Order 2016 (S.S.I. 2016/161), art. 1, sch. 4
- F12
Words in sch. 4 table inserted (1.1.2018) by The Control of Mercury (Enforcement) Regulations 2017 (S.I. 2017/1200), regs. 2(1), 32(2) (with reg. 1(2))
- F13
Words in sch. 4 table inserted (1.9.2018) by The Environmental Authorisations (Scotland) Regulations 2018 (S.S.I. 2018/219), reg. 1, sch. 6 para. 16(3) (with reg. 78, sch. 5 para. 2)
- F14
Words in sch. 4 table inserted (20.5.2020) by The Environmental Regulation (Enforcement Measures) (Scotland) Amendment Order 2020 (S.S.I. 2020/155), arts. 1, 2(2)
- F15
Words in sch. 4 table inserted (3.3.2023) by The Environmental Regulation (Enforcement Measures) (Scotland) Amendment Order 2023 (S.S.I. 2023/69), arts. 1, 2(2)
- F16
Words in sch. 4 table inserted (3.3.2023) by The Environmental Regulation (Enforcement Measures) (Scotland) Amendment Order 2023 (S.S.I. 2023/69), arts. 1, 2(3)
- F17
Words in sch. 4 table inserted (26.6.2025) by The Environmental Regulation (Enforcement Measures) (Scotland) Amendment Order 2025 (S.S.I. 2025/199), arts. 1, 2(2)
Commencement
- I1
Sch. 4 in force at 12.11.2015, see art. 1
Footnotes
- f1
-
1974 c.40; section 30Z was inserted by the Environment Act 1995 (c.25), section 59.
- f2
-
1981 c.69; section 14K was inserted by the Wildlife and Natural Environment (Scotland) Act 2011 (asp 6), section 16.
- f3
- f4
-
Section 33 was relevantly amended by S.S.I. 2009/247 and S.S.I. 2011/226.
- f5
-
Section 34 was relevantly amended by S.S.I. 2000/323, S.S.I. 2011/226, S.S.I. 2012/148, S.S.I. 2012/360 and S.S.I. 2005/22.
- f6
-
Section 78M was inserted by section 57 of the Environment Act 1995 (c.25) and extended by regulation 2 of S.S.I. 2007/179 so that it has effect in relation to harm or, subject to an exception in regulation 2(2), pollution of the water environment, so far as attributable to radioactivity possessed by any substance.
- f7
- f8
- f9
-
Section 27 was amended by paragraph 43(2) of schedule 3 to the Regulatory Reform (Scotland) Act 2014 (asp 3) (“the 2014 Act”).
- f10
-
Section 110 was amended by paragraph 29(6) of schedule 3 to the 2014 Act.
- f11
-
S.I. 1996/972, to which there are amendments not relevant to this Order.
- f12
-
S.S.I. 2000/95. Regulation 17A was added by S.S.I. 2005/112.
- f13
- f14
-
The power to make regulations under section 13(1) of the Waste and Emissions Trading Act 2003 was exercised in S.S.I. 2005/157.
- f15
-
2003 asp 3. Section 18 is applied with modifications to as much of the Northumbria River Basin District as lies within Scotland by S.I. 2003/3245, and to as much as the Solway Tweed River Basin District as lies within Scotland by S.I. 2004/99.
- f16
-
S.I. 2007/871, to which there are amendments not relevant to this Order.
- f17
-
S.S.I. 2009/266, to which there are amendments not relevant to this Order.
- f18
-
S.I. 2009/890, to which there are amendments not relevant to this Order.
- f19
- f20
- f21
- f22
-
Reservoirs may be designated as “high-risk reservoirs” under section 19, 21, 23 or, as the case may be, 24 of the Reservoirs (Scotland) Act 2011 (asp 9).
- f23
-
S.I. 2013/1119, to which there are amendments not relevant to this Order.
- f24
-
Regulation 9 of S.I. 2013/1119 provides for the meaning of “administrator”.
- f25
-
S.I. 2013/3113, to which there are amendments not relevant to this Order.
- f26