Draft Regulations laid before Parliament under section 161(2) of the Environmental Protection 
Act 1990 and section 62(3) of the Regulatory, Enforc ement and Sanctions Act 2008  for approval 
by resolution of each House of Parliament.  
S T A T U T O R Y  I N S T R U M E N T S 
2017 No.  
ENVIRONMENTAL PROTEC TION, ENGLAND  
The Environmental Protection (Microbeads)  (England) 
Regulations 2017  
Made  - - - - *** 
Coming into force in accordance with regulation 1  
The Secretary of State —  
(a) has published a notice in the London Gazette as requir ed by section 140(6)(b) of the 
Environmental Protection Act 1990 (a) (“the 1990 Act”) and has considered  the 
representations made  in accordance with that notice ; 
(b) has consulted in accordance with section 60 of the Regulatory Enforcement and Sanctions 
Act 200 8(b) (“the 2008 Act”) and is satisfied  (in accordance with s ection 66 of that Act) 
that local authorities (who are  the regulator  for the purpose of these Regulations ) will act 
in accordance with the principles referred to in section 5(2) of that Act in exe rcising a 
power conferred by these Regulations;  
(c) considers it appropriate to make these Regulations for the purpose of preventing the 
substance or articles specified in them from causing pollution of the environment and 
harm to the health of animals.  
In acc ordance with section 62(3) of the 2008 Act, a draft of these Regulations has been laid 
before, and approved by resolution of, each House of Parliament.  
The Secretary of State makes these Regulations in exercise of the powers conferred by section 
140(1)(b) and (c),  (3)(c) and (d), and (9) of the 1990 Act (c) and sections 36, 42, 46, 48, 49, 50, 52 
to 55 and 62(2) of the 2008 Act (d). 
                                                                                                                                            
(a) 1990 c.43 . 
(b) 2008 c.13 . For the purposes of these Regulations , “the regulator” has the meaning given by regulation 2, rather than the 
meaning given by section 37 of the 2008 Act.  
(c) Section 140(3)(c) was amended by S.I. 1999/1108.  
(d) Section 36(2) was amended by the Enterprise Act 2016, s ection 21(1), (2)(f); s ection 42(6)  was amended by S.I. 2015/664; 
section 49(1) was amended by S.I. 2015/664.   
 2 PART 1 
Introduction  
Citation, c ommencement, extent and application  
1.—(1) These Regula tions may be cited as the Environmental Protection (Microbeads)  
(England) Regulations 2017.  
(2) Except as  provided in  paragraphs (3),  (4) and (5),  these Regulations come into force on the 
day after the day on which they are made.  
(3) Paragraph (1) of regulation 3,  and, so far as it relates to that paragraph, paragraph (3) of that 
regulation, come  into force on 1st January 2018.  
(4) Paragraph (2) of regulation 3, and, so far as it relates to that paragraph, paragraph (3) of that 
regulation , and regulation 4  come  into fo rce on 30th  June 2018.  
(5) Regulations 5  to 7 come into force — 
(a) in relation to an offence under regulation 3(1), on 1st January 2018; and  
(b) in relation to an offen ce under regulation 3(2), on 30th  June 2018.  
(6) These Regulations extend to England and Wales, but appl y in relation to England only.  
Interpretation  
2. In these Regulations — 
“authorised purpose” means the pu rpose of determining whether an offence under regulation 
3(1) or (2) has been or is being committed, or any requirement of a compliance notice, a stop 
notice or an enforcement undertaking under  these Regulations has been , or is being 
contravened;  
“compliance notice” has the meaning given by paragraph 1(b) of the Schedule;  
“enforcement undertaking” has t he meaning given by paragraph 17  of the Schedule;  
“micr obead” means any water -insoluble solid  plastic particle of less than or equal to 5mm in 
any dimension;  
“plastic” means a synthetic polymeric substance made from polyethylene, polypropylene, 
polyvinyl chloride, polystyrene, polyurethane, polyethylene tereph thalate or other similar 
synthetic  polymer, or any combination of  those or similar synthetic  polymers;   
“the regulator” , for the purposes of the enforcement of an offence under regulation 3(1) or (2)  
means , in relation to any place at which a rinse -off per sonal care product is manufactured or 
supplied , the local authority with responsibility for the area in which the place is situated;  
and for this purpose “local authority” means — 
(a) in relation to the City of London, the Common Council for the City of London ; 
(b) in relation to an area in the rest of London, the London borough council for that area;  
(c) in relation to the Isles of Scilly, the Council of the Isles of Scilly;  
(d) in relation to an area in the rest of England, the county council for that area or , where 
there is no county council for that area, the district council for that area.  
“rinse -off personal care product”  means any substance , or mixture  of substances, 
manufactured for the purpose of being applied to any relevant human body part in the course 
of any pe rsonal care treatment, by a n application which entails at its completion the prompt 
and specific removal of the product (or any residue of the product) by washing or rinsing with 
water, rather than leaving it to wear off or wash off, or be absorbed or shed , in the course of 
time;  
and for this purpose —  
 3 (a) a “personal care treatment ” means any process of cleaning, protecting or perfuming a 
relevant human body part, maintaining or restoring its condition or changing its 
appearance; and  
(b) a “relevant human body part ” is—  
(i) any external part of the human body ( including any part of the epidermis, hair 
system, nails  or lips);  
(ii) the teeth; or   
(iii) mucous mem branes of the oral cavity;  
“stop notice” has the meaning given by paragraph 9(2) of the Schedule;  
“supply” , in relation to a rinse -off personal care product, means supply by way of sale or its 
presentation  as a promotional prize or gift in the course of a business ; 
“third party undertaking” has the meaning given by paragraph 3(1) of the Schedule.  
PART 2 
Offences  
Offences  
3.—(1) A person who, in the manufacture of any rinse -off personal care product, uses 
microbeads as an ingredient of that product is guilty of an offence . 
(2) A person who  supplies, or offers to supply, any rinse -off pers onal care product containing 
microbeads is guilty of an offence.  
(3) A person guilty of an offence under paragraph (1) or (2) is liable on summary conviction to a 
fine. 
Defence of due diligence  
4.—(1) Subject  to paragraphs  (2) and  (4), in proceedings  for an offence  under  regulation  3(2) it 
is a defence  for a person  (“P”)  to show  that P took all reasonable  steps  and exercised  all due 
diligence  to avoid  committing  the offence.  
(2) P may not rely on a defence  under  paragraph  (1) which  involves  a third party  allegation  
unless  P has— 
(a) served  a notice  in accordance  with paragraph  (3); or 
(b) obtained  the leave  of the court.  
(3) The notice  must — 
(a) give any information  in P’s possession  which  identifies  or assists  in identifying  the 
person  who— 
(i) committed  the act or default;  or 
(ii) supplied  the information  on which  P relied;  
(b) be served  on the person  bringing  the proceedings  not less than 7 clear  days before the 
hearing  of the proceedings.  
(4) P may not rely on a defence  under  paragraph  (1) which  involves  an allegation  that the 
commission  of the offence  was due to reliance  on information  supplied  by another  person  unless  it 
was reasonable  for P to have relied  upon  the information,  having  regard  in particular — 
(a) to the steps  that P took,  and those  which  might  reasonably  have  been  taken, for the 
purpose  of verifying  the information;  and 
(b) to whether  P had any reason  to disbelieve  the information.   
 4 (5) In this regulation,  “third  party  allegation”  means  an allegation  that the commission  of the 
offence  was due— 
(a) to the act or default  of another  person;  or 
(b) to reliance  on information  supplied  by another  person.  
PART 3 
Enforcement  and Civil  Sanctions  
Enforcement  
5.—(1) The regulator  may authorise any person  to exercise, for an authorised purpose and in 
accordance with the terms of the authorisation, any of the p owers specified in regulation 7, if that 
person appears suitable to exercise them . 
(2) An authorisation under paragraph (1) must be in writing . 
(3) In this Part, “enforcement officer” means a person authorise d under paragraph (1).  
Civil sanctions  
6. The Schedu le (civil sanctions) has effect for the purpose of the enforcement of an offence 
under regulation 3(1) or (2).  
Powers of entry and examination etc.  
7.—(1) The p owers which a n enforcement officer may be  authorised  to exercise are — 
(a) to enter at any reasonable time any premises (other than premises used wholly or mainly 
as a dwelling) which the enforcement officer  has reason to believe it is necessary to enter 
for an authorised purpose;  
(b) when e ntering any premises  under sub -paragraph (a) — 
(i) to be accompanied by another  enforcement officer ; and 
(ii) to bring any equipment or mat erials required f or the  authorised purpose  in question ;  
(c) on entering any premises under sub -paragraph (a) — 
(i) to make such examina tion and investigation as may be necessary;  
(ii) to take such  measurements and photographs and make such recordings as the 
enforcement officer  considers necessary for the purpose of any such examination or 
investigation; and 
(iii) to require the production of, or whe re the information is recorded in computerised 
form, the furnishing or extracts from, any documents which i t is necessary for the 
enforcement officer  to see for the purposes of an y such  examination or investigation;  
(d) as regards any p remises which an enforce ment officer  has power to enter  under sub -
paragraph (a) , to direct that those premises or any part of them, or anything in them, be 
left undisturbed (whether generally or in particular respects) for so long as is reasonably 
necessary for the purpose of exa mination or investigation under sub -paragraph (c);  
(e) to take any samples, or cause samples to be taken, of any articles or substances found in 
or on any premises which an enforcement officer  has power to enter  under sub -paragraph 
(a), and to cause any such a rticles or substance to be analysed or tested;  
(f) in the case of any such sample, to take possession of it and to retain it for so long as is 
necessary for all or any of the following purposes — 
(i) to examine it, and subject it to any process or test, or cause it  to be examined;  
(ii) to ensure that it is not tampered with before the examination is completed;   
 5 (iii) to ensure that it is available for use as evidence in any proceedings for an offence 
under these Regulations.  
(2) Except in  an emergency, where a n enforcement officer  proposes to enter any premises and — 
(a) entry h as been refused or the enforcement officer apprehends  on reasonable grounds that 
entry is likely to be refused, and  
(b) the enforcement officer  apprehends on reasonable grounds that the use of reasonable 
force may be necessary to effect entry,  
any entry onto those premises by virtue of paragraph (1)(a) may only be effected under the 
authority of a warrant.  
(3) Nothing in paragraph (1)(c)(iii) compels the production by a person of any documents of 
which that person would on  grounds of legal professional privilege be entitled to withhold 
production on an order for disclosure in an action in the County Court or High Court.  
(4) An enforcement officer  may only exercise the powers in paragraph (1) in the reasonable 
belief that an off ence under regulation 3 has been  or is being  committed.  
(5) An enforcement officer  seeking to exercise a power under paragraph (1) must produce 
evidence of identity and authority if requested by a person who is, or appears to be — 
(a) a supplier of a rinse -off pers onal care product;  
(b) a manufacturer of a rinse -off personal care product or an employee of such a 
manufacturer; or 
(c) the owner or occupier of any  premises in which the enforcement officer  seeks to exercise 
the power concerned.  
Publication of enforcement action  
8.—(1) Where  power is confer red on the  regulator to impose a civil sanction under these 
Regula tions in relation to an offence under regulation 3 , the regulator must from time to time 
publish — 
(a) the cases in which the civil sanction has bee n imposed;  
(b) where the civil sanction is a variable monetary penalty or compliance notice, the cases in 
which a third party undertaking has been accepted; and  
(c) the cases in which an enforcement undertaking has been entered into.  
(2) In paragraph (1)(a) , the refer ence to cases in which the civil sanction has been imposed does 
not include cases where the sanction has been imposed but overturned on appeal.  
(3) This regulation does not apply in cases where the regulator considers that publication would 
be inappropriate.  
PART 4 
Guidance  
Guidance  
9.—(1) Where a power is conferr ed on the  regulator to impose a civil sanction  under these 
Regulations  in relation to an offence  under regulation 3 — 
(a) the regulator must publish guidance about its use of the sanction;  
(b) in the case of guidance relating to a variable monetary penalty, compliance notice or stop 
notice, the guidance must contain the relevant information  set out in paragraph (2) or (3) ; 
(c) the regulator must revise the guidance where app ropriate; and  
(d) the regulator must have regard to the guidance or revised guidance in exercising its 
functions.   
 6 (2) In the case of guidance relating to a variable monetary penalty or  compliance notice, the 
relevant information referred to in paragraph (1)(b) is information as to — 
(a) the circumstances in which the requirement is likely to be imposed;  
(b) the circumstances in which it may not be imposed;  
(c) in the case of a variable monetary penalty, the matters likely to be taken into account by 
the regulator in determining  the amount of the penalty (including any discounts for 
voluntary reporting by any person of  that person’s  non-compliance); and  
(d) rights to make representations and objections and rights of appeal.  
(3) In the case of guidance relating to a stop notice, the relev ant information referred to in 
paragraph (1)(b) is information as to — 
(a) the circumstances in which the regulator is likely to serve the notice;  
(b) the circumstances in which it may not be imposed;  and 
(c) rights to make representations and objections and rights of appeal.  
(4) The regulator must consult such persons as it considers appropriate before publishing any 
guidance  or revised guidance under this regulation . 
Additional guidance  
10.—(1) Guidance under section 64 of the Regulatory Enforcement a nd S anctions Act 2008( a) 
relating to the use of non -compliance penalties and enforcement recovery costs must (in addition 
to the matters specified in section 64(2)) specify — 
(a) the circumstances in which they  may not be imposed ; 
(b) matters to be taken into account i n determining  the amount involved;  and 
(c) rights of appeal.  
(2) In this regulation, “non -compliance penalty” has the meaning given by paragraph 2 4(1) of 
the Schedule.  
PART 5 
Review  
Review  
11.—(1) The Secretary  of State mus t— 
(a) as soon as reasonably practi cable  after the end of the period of three years  from the date 
on which these Regulations come into force carry out a review of the o peration of the 
provisions in  Part 3 (Enf orcement and Civil Sanctions) and  the Schedule ;  
(b) from time to time carry out a review of the regulatory provision contained in the se 
Regulations (including Part 3 and t he Schedule ); and  
(c) publish a report  setting out the conclusions of any review . 
(2) In the case of a review  under paragraph (1)(a)— 
(a) section 67 of  the Regulatory Enforcement and Sanctions Act 2008 requires that the 
review must in particular consider whether the provision has implemented its objectives 
efficiently and effectively;  
(b) the Secretary of State, in conducting the review, must consult such pe rsons as the 
Secretary of State considers appropriate; and  
                                                                                                                                            
(a) 2008 c. 13.   
 7 (c) the Secretary of State must lay a copy of the report under paragraph (1)(c) before 
Parliament . 
(3) In the case of a review under paragraph (1)(b)— 
(a) the first report must be published before the expiry o f the period ending five  years from 
the date  on which  these Regulations come into force;  
(b) subsequent reports must be publis hed at intervals not exceeding five  years;  
(c) section 30(4) of the Small Business, Enterprise and Employment Act 2015 (a) requires 
that a report published under this regulation must, in particular — 
(i) set out the objectives intended to be achieved by the regulatory provision referred t o 
in paragraph (1)(b ); 
(ii) assess the extent to whic h those objectives are achieved;  
(iii) assess whether those objective s remain appropriate ; and  
(iv) if those objectives remain appropriate, assess the extent to which they could be 
achieved in another way which achieves less onerous regulatory provision . 
(4) In this regulation “regulatory provision” has the same meaning  as in sectio ns 28 to 32 of the 
Small Business, Enterprise and Employment Act 2015  (see section 32 of that Act).  
 
 [Secretary of State ] 
[Date ] Department for  Environment, Food and Rural Affairs  
 THE SCHEDULE  Regulation s 2, 6, 10(2) and 11(1)  
Civil Sanctions  
PART 1 
Variable Monetary Penalties and Compliance Notices  
Imposition of a variable monetary penalty or compliance notice  
1.—(1) In relation to an offence under  regulation 3(1) or (2) , the  regulator may by notice 
impose — 
(a) a requirement to pay a m onetary penalty to the regulator  of such amount as the regulator  
may determine (“a variable monetary penalty”);  or 
(b) a requirement to take such steps as the regulator may specify, within such period as it 
may specify, to secure that th e offence does not continue or recur (“a compliance 
notice”).  
(2) Before doing so the regulator must be satisfied beyond reasonable doubt that the person has 
committed the offence.  
(3) A requirement under sub -paragraph (1)(a) or (b) may not be imposed on a person on more 
than one occasion in relation to the same act or omission.  
(4) A variable monetary penalty must not exceed 10% of the annual turnover in England of the 
person on whom it is imposed.  
(5) Before serving a notice relating to a variabl e monetary penalty  on a p erson  the regulator  may 
require the person to provide such information as is reasonable for the purpose of establishing the 
amount of any financial benefit arising as a result of that offence.  
                                                                                                                                            
(a) 2015 c. 26.   
 8 Notice of intent  
2.—(1) Where the regulator  proposes to serve a variable monetary penalty or a compliance 
notice on a person, the regulator  must serve on that person a notice of what is proposed (a “notice 
of intent”).  
(2) The notice of intent must include — 
(a) the grounds for the proposed compliance notice  or variable monetary penalty ; 
(b) the requirement s of the  proposed compliance notice and, in the case of a penalty, the 
amount to be paid;  and 
(c) information as to — 
(i) the right to make representations and objections within 28 days beginning with the 
day on which th e notice of intent was received;  
(ii) the circumstances in which the regulator  may not impose the  variable  monetary 
penalty  or compliance notice . 
(3) A person on whom a notice of intent is served may, within 28 days beginning with the day 
on which the notice was re ceived, make representations an d objections to the regulator  in relation 
to the proposed imposition of a variable monetary penalty or compliance notice.  
Third party undertakings  
3.—(1) A person on whom a notice of intent is served may off er an undertaking as to action to 
be taken by that person (including the payment of a sum of money) to benefit any third party 
affected by the offence ( a “third party undertaking”).  
(2) The regulator  may accept or reject any such third party undertaking.  
Final  notice  
4.—(1) After  the end of the period for making representations and objections, the regulator  must 
decide whether — 
(a) to impose the requirements in the notice of intent , with or without modifications;  or 
(b) to impose any other requirement  that the regulator  has power to impose under this Part.  
(2) Where the regulator decides to impose a requirement, the notice imposing it (the “final 
notic e”) must comply with paragraph 5 , in the case of a variable monetary penalty, or paragraph 6, 
in the case of a compliance notice.  
(3) The regulator may not impose a fin al notice on a person where the regulator  is satisfied that 
the person would not, by reason of any defence, be liable to be convicted of the offence to which 
the notice relates.  
(4) The regulator must t ake into account any third party undertaking that it accepts in deciding — 
(a) whether or not to serve a final notice; and  
(b) the amount of any variable monetary penalty it imposes.  
Contents of final notice:  variable monetary penalty  
5. A final notice for a variable  monetary penalty must include information as to — 
(a) the grounds for imposing the penalty;  
(b) the amount to be paid;  
(c) how payment may be made;  
(d) the period within which payment must be made, which must be not less than 28 days;  
(e) rights of appeal; and  
(f) the consequence s of failing to comply with the notice.   
 9 Contents of final notice:  compliance notice  
6. A final notice relating to a compliance notice must include information as to — 
(a) the grounds for imposing the notice;  
(b) what compliance is required and the period within which  it must be completed;  
(c) rights of appeal; and  
(d) the consequences of failing to comply with the notice.  
Appeals against final notice  
7.—(1) The person receiving the final notice may appeal against it.  
(2) The grounds for appeal are — 
(a) that the deci sion was based on an error of fact;  
(b) that the decision was wrong in law;  
(c) in the case of a variable monetary penalty, that the amount is unreasonable;  
(d) in the case of a compliance notice, that the nature of the requirement is unreasonable;  
(e) that the decision i s unreasonable for any other reason;  
(f) any other reason.  
Criminal proceedings  
8.—(1) If— 
(a) a variable monetary penalty or compliance notice is served on any person, or  
(b) a third party undertaking is accepted from any person,  
that person may no t at any time be convicted of the offence in respect of the act or omission giving 
rise to the variable monetary penalty, compliance notice or third party undertaking except in a case 
referred to in sub -paragraph (2).  
(2) The case referred to in sub -paragraph (1) is a case where — 
(a) a compliance notice is imposed on a person or a third party undert aking is accepted from 
a person;  
(b) no variable monetary pe nalty is imposed on that person;  and 
(c) that person fails to comply with the compliance notice or third party undert aking.  
PART 2 
Stop Notices  
Stop notices  
9.—(1) The regulator  may serve a stop notice on any person in a case falling within sub -
paragraph (3) or (4) . 
(2) A “stop notice” is a notice prohibiting a person from carrying o n an activity specified in the 
notice until the person has taken the steps specified in the notice.  
(3) A case falling within this sub -paragraph is a case where  the regulator reasonably believes 
that— 
(a) the person is carrying o n the activity;  
(b) the activity as car ried on by that person is causing, or presents a significant risk of 
causing , harm to  the environment (including the health of animals ); and  
 10 (c) the activity as carried on by that person  involves or is likely to involve the com mission of 
an offence under  regul ation 3(1) or (2).  
(4) A case falling within this sub -paragraph is a case where  the regulator  reasonably believes 
that— 
(a) the person is likely to carry  on the activity ; 
(b) the activity as likely to be carried on by that person will cause , or will present a 
signific ant risk of causing , harm to the environment (including th e health of animals ); and 
(c) the activity as likely to be carried on by that person will  involve or will be likely to 
involve the commission of an offence under  regulation 3(1) or (2) . 
(5) The steps referr ed to in sub -paragraph (2) must be steps to remove or reduce the harm or risk 
of harm to the environment  (including the health of animals ). 
Contents of a stop notice  
10. A stop notice must include information as to — 
(a) the grounds for serving the notice;  
(b) the ste ps the person must take to comply with the stop notice;  
(c) rights of appeal; and  
(d) the consequences of non -compliance.  
Appeals  against stop notices  
11.—(1) The person on whom a stop notice is served may appeal against the decision to serve it.  
(2) The grounds for appeal are — 
(a) that the decision was based on an error of fact;  
(b) that the decision was wrong in law;  
(c) that the decision was unreasonable;  
(d) that any step specified in the notice is unreasonable;  
(e) that the person has not committed the offence and wo uld not have committed it had the 
stop notice not been served;  
(f) that the person would not, by reason of any defence, have been liable to be convicted of 
the offence had the stop notice not been served;  
(g) any other reason.  
Completion certificates  
12.—(1) Where, after service of a stop notice, the regulator is satisfied that the person has taken 
the steps specified in the notice, the regulator  must issue a certificate to that effect (“a completion 
certificate”).  
(2) The stop notice ceases to have ef fect on the issue of a completion certificate.  
(3) The person on whom the stop notice is served may at any time apply for a completion 
certificate.  
(4) The regulator  must make a decision as to whether to issue a completion certificate , and give 
written notice of t he decision to the applicant , within 14 days of such an application.  
Appeals against decision not to issue  a completion certificate  
13. The person on whom the stop notice was served may appeal against a decision not to issue a 
completion certification on the grounds that — 
(a) the decision was based on an error of fact;   
 11 (b) the decision was wrong in law;  
(c) the decision was unfair or unreasonable;  
(d) the decision was wrong for any other reason.  
Compensation  
14. The regulator  must compensate a person for loss suffered as the res ult of the service of a  
stop notice or the refusal of a completion certificate if — 
(a) a stop notice is subsequently withdrawn or amended by the regulator because the decision 
to serve it was unreasonable or any step specified in the notice was unreasonable;  
(b) the person  successfully appeals against the stop notice and the First -tier Tribunal finds 
that the service of the notice was unreasonable; or  
(c) the person  successfully appeals against the refusal of a completion certificate and the  
First-tier Tribunal finds that the refusal  was unreasonable . 
Appeal against compensation decision  
15. A person may appeal against a decision not to award compensation or the amount of 
compensation — 
(a) on the grounds that the regulator’s decision was unreasonable;  
(b) on the grounds that the amount offered was based on incorrect facts;  
(c) for any other reason.  
Offence  
16. Where a person on whom a stop notice is served does not comply with it within the time 
limit specified in the notice, the person is guilty of an offence and liable — 
(a) on summary conv iction, to a fine, or imprisonment for a term not e xceeding twelve 
months, or both;  or 
(b) on conviction on indictment, to imprisonment for a term not exceeding two years, or a 
fine, or both.  
PART 3 
Enforcement Undertakings  
Enforcement undertakings  
17.—(1) The regulator may accept a written undertaking (an “enforcement undertaking”) given 
by a person in a case where the regulator  has reasonable grounds to suspect that the person has 
committed an offence under regulation 3(1) or (2).  
(2) For the purposes of this Part an “enforcement undertaking” is a written undertaking to take 
such action as may be specified in the undertaking within such period as may be so specified.  
Contents of an enforcement undertaking  
18.—(1) An enforcement undertaking must specify — 
(a) action to secure the offence does not occur or recur;  
(b) action (including the payment of a sum of money) to benefit any person a ffected by the 
offence;  or 
(c) action that will secure benefit to the environment equi valent to restoration of what has 
been, or is likely to have been, damaged or destroyed by the commission of the offence .  
 12 (2) It must specify the period within which the action must be completed.  
(3) It must include — 
(a) a statement that the undertaking is made in acc ordance with this Schedule;  
(b) the terms of the undertaking;  and 
(c) information as to how and when the  person  giving that undertaking  is considered to have 
discharged the undertaking.  
(4) The enforcement undertaking may be varied, or the period within which the acti on must be 
completed may be extended, if both parties agree in writing.  
Acceptance of an enforcement undertaking  
19. If the regulator  has accepted an enforcement undertaking, then, unless the person from 
whom the undertaking is accepted has failed to comply w ith the undertaking or any part of it — 
(a) that person may not at any time be convicted of the offence in respect of the act or 
omission to which the undertaking relates; and  
(b) the regulator  may not impose on that person a variable monetary penalty, a compliance  
notice or a stop notice in respect of that act or omission.  
Discharge of an enforcement undertaking  
20.—(1) If the regulator  is satisfied that an enforcement undertaking has been complied with, it 
must issue a certificate to that effect.  
(2) The regulator  may require the person who has given the undertaking to provide sufficient 
information to determine that the undertaking has been complied with.  
(3) The person who gave the undertaking may at any time apply for such a certificate.  
(4) The regulator  must decide whether to issue such a certificate, and give written notice of the 
decision to the applicant, within 14 days of such an application.  
Appeals against  decision not to issue a certificate  
21.—(1) The person to whom the notice is g iven may appeal against a decision not to issue a 
certificate on the grounds that the decision — 
(a) was based on an error of fact;  
(b) was wrong in law;  
(c) was unfair or unreasonable;  
(d) was wrong for any other reason.  
Inaccurate, misleading or incomplete information  
22.—(1) A person who has given inaccurate, misleading or incomplete information in relation to 
an enforcement undertaking is to be taken not to have complied with it.  
(2) The regulator  may by notice in writing revoke a certi ficate issued under p aragraph 20  if it 
was issued on the basis of inaccurate, misleading  or incomplete information.  
Non-compliance with an enforcement undertaking  
23.—(1) If an enforcement undertaking is not complied with, the regulator  may either — 
(a) serve a var iable monetary penalty notice, compliance notice, non -compliance penalty or 
stop notice; or  
(b) bring criminal proceedings.   
 13 (2) If a person has complied partly but not fully with an enforcement undertaking, that partial 
compliance must be taken into account in the  imposition of any criminal or other sanction on the 
person.  
(3) Criminal proceedings for an offence triable summarily to which an enforcement undertaking 
relates may be instituted at any time up to six months from  the date on which the regulator  notifies 
the person  required to comply with that undertaking  of that person’s failure to do so . 
PART 4 
Non-compliance penalties  
Non-compliance penalties  
24.—(1) If a person fails to comply with a compliance notice or a third party undertaking, the 
regulator may serve a notice on that perso n imposing a monetary penalty ( a “non-compliance 
penalty”) in respect of the same offence, irrespective of whether a variable monetary penalty was 
also imposed in respect of that offence.  
(2) The am ount of the penalty must be determined by the regulator , and must be a percentage of 
the costs of fulfilling the remaining requirements of the compliance notice or third part y 
undertaking.  
(3) The percentage must be determined by the regulator  having regard to  all the circumstances 
of the case and may, if appropriate, be 100%.  
(4) The notice must also include information as to — 
(a) the grounds for imposing the non -compliance penalty;  
(b) the amount to be paid;  
(c) how payment must be made;  
(d) the period in which payment must be m ade, which must not be less than 28 days;  
(e) the right of appeal;  
(f) the consequences of failure to make payment in the specified period;  and 
(g) any circumstances in which the regulator  may reduce the amount of the penalty.  
(5) If the requirements of the compliance not ice are complied with or a third party undertaking 
is fulfilled before the time set for payment of the non -compliance penalty, the penalty is not 
payable.  
Appeals against non -compliance penalties  
25.—(1) The person on whom the notice impos ing the non -compliance penalty is served may 
appeal against it.  
(2) The grounds of appeal are — 
(a) that the decision to serve the notice was based on an error of fact;  
(b) that the decision was wrong in law;  
(c) that the decision was unfair or unreasonable for any reason;  
(d) that the amount of the penalty was unreasonable;  
(e) any other reason.   
 14 PART 5 
Administration  and Appeals  
Withdrawing or amending a notice  
26. The regulator  may at any time in writing — 
(a) withdraw a notice imposing a variable monetary penalty  or a notice imposing a no n-
compliance penalty , or reduce the amount specified in the notice;  or 
(b) withdraw a compliance notice or stop notice, or amend the steps specified, in order to 
reduce the amount of  work necessary to comply with the notice.  
Enforceme nt cost recovery notices  
27.—(1) The regulator  may serve a notice ( an “enforcement cost recovery notice”) on a person 
on whom  a relevant notice  has been served requiring that person to pay the costs incurred by the 
regulator  in relation to  the imposition of  the requirement imposed by the relevant  notice up to the 
time of its imposition.  
(2) In sub -paragraph (1), a “relevant notice” means a variable monetary penalty notice, 
compliance notice or stop notice.  
(3) “Costs ” include in particular — 
(a) investi gation costs;  
(b) administration costs;  
(c) costs of obtaining expert advice (including legal advice).  
(4) The enforcement cost recovery notice must specify — 
(a) how payment must be made;  
(b) the amount required to be paid and the period in which payment must be made, which 
must not be less than 28 days;  
(c) the grounds for imposing the notice;  
(d) the right of appeal; and  
(e) the consequences of a failure to comply with the notice in the specified period.  
(5) The person on whom the notice is served may require the regulator  to provide a deta iled 
breakdown of the amount.  
(6) The person required to pay costs is not liable to pay any costs shown by that person to have 
been unnecessarily incurred.  
Appeals against enforcement cost recovery notices  
28. The person required to pay costs may appeal — 
(a) against the decision of the regulator to impose the requirement to pay costs;  
(b) against the decision of the regulator  as to the amount of those costs;  
(c) for any other reason.  
Power to recover payments  
29. The regulator  may recover any variable monetary penalty  or non -compliance penalty  
imposed under this Schedule as if payable under a court order.   
 15 Appeals : general provisions  
30.—(1) An appeal under  paragraph 7,  11, 13,  15, 21, 25 or 28  of this Schedule is to the First -
tier Tribunal.  
(2) All notices (other tha n stop notices) are suspended pending the determination or withdrawal 
of the appeal.  
(3) The First -tier Tribunal may, in relation to the imposition of a requirement or service of a 
notice under this Schedule — 
(a) withdraw the requirement or notice;  
(b) confirm the req uirement or notice;  
(c) vary the requirement or  notice;  
(d) take such steps as the regulator  could have taken in relation to the act or omission giving 
rise to the requirement or notice;  
(e) remit the decision whether to confirm the requirement or notice, or any matte r relating to 
that decision, to the regulator . 
 
EXPLANATORY NOTE  
(This note is not part of the Regulations)  
These Regulations prohibit  the use of microbeads as an ingredient in the manufacture of rinse -off 
personal care products and the sale of any such pr oducts containing microbeads (regulation 3).  
Breach of this prohibition is an offence (regulation 3). (Definitions of “microbead” and “rinse -off 
personal care product” are contained in regulation 2.) The prohibition on the manufacture of such 
products will  come into force on 1 st January 2018 and the prohibition on the sale of any such 
products will come into force on 30th  June 2018.  
A civil sanctions regime is also introduced to enable the regulator to impose a range of civil 
sanctions (regulation 6 and the  Schedule). These are variable monetary penalties, compliance 
notices, stop notices and enforcement undertakings. The Regulations make provision for the 
procedure relating to these sanctions and the available appeal mechanisms.  Failure to comply with 
a sto p notice is an offence (paragraph 16  of the Schedule). All appeals relating to a civil sanction 
are to the First -tier Tribunal . 
Regulation 7 gives enforcement officers  powers of entry to carry out the necessary investigations 
in order to determine whether an offence under regulation 3 has been committed .  
Regulation 8 provides for publication of information on enforcement action taken by the regulat or, 
and regulations 9 and 10 provide that guidance must be prepared and consulted on relating to the 
use of ci vil sanctions.  
Regulation 1 1 contains provision for review of the Regulations.  
Regulators are able to recover the costs  of enforcement (paragraph 2 7 of the Schedule ) in the case 
of variable monetar y penalties, compliance notices and  stop notices .  
A full impact  assessment  of the effect  that this instrument  will have  on the costs  of business  and 
the voluntary  sectors  is available  at www.gov.uk/defra  and is annexed  to the Explanatory  
Memorandum  which  is available  together with  the instrument  at [www.legislation.gov.uk ].