Guidance

OPSS Enforcement Policy

Updated 22 April 2024

April 2024

1) Introduction

1.1 The Office for Product Safety and Standards (OPSS) is part of the Department for Business and Trade (DBT) and exercises the powers of the Secretary of State across the UK in relation to a range of regulations:

a) We are the national regulator for product safety and construction products, providing scientific and technical capability, enforcing in relation to cases that are nationally significant, novel or contentious, and working with local authorities, other market surveillance and border control authorities.

b) We are the national regulator for legal metrology, acting as the market surveillance authority for weighing and measuring instruments and supporting the work of local authorities.

c) We enforce in relation to a range of goods-based and standards-based regulations. These include certain requirements relating to:

• energy efficiency, environmental pollution and product security in product design and performance
• standards and measurement in the energy supply infrastructure
• due diligence in the trade and use of designated raw materials

1.2 Our primary purpose, as explained in our Product Regulation Strategy, is to protect people and places from product-related harm, ensuring consumers and businesses can buy and sell products with confidence. Our strategy sets out our core objectives and the outcomes we seek to deliver for citizens, business and the environment.

Read our Product Regulation Strategy 2022 to 2025.

1.3 We are committed to delivering regulation in a manner that is risk-based, proportionate and consistent and we aim to be transparent and accountable about our regulatory approach and activities, in accordance with the principles of good regulation (in the Legislative and Regulatory Reform Act 2006, Part 2). We are guided by the Regulators’ Code and recognise the importance of supporting businesses to comply and grow.

1.4 This policy sets out the approach we take to addressing non-compliance by those that we regulate and to product safety risks. It is intended to:

• set the framework for our decision-making
• help those affected by our activities to understand how and why decisions are made

1.5 In certain areas of regulation, we make available guidance on how we may use specific enforcement powers, for example, in relation to financial penalties. This guidance is referenced in the relevant sections of this policy.

Access our guidance on enforcement actions and associated rights.

1.6 Further information is available on what businesses can expect from us in terms of our regulatory approach.

Read about our approach to delivering regulations.

1.7 If you have a concern about our approach, or the behaviour of our staff, please send us your comments or complaint. Our aim is to resolve any problems or difficulties quickly and fairly. We manage complaints about our service and about the conduct of our officers through our Complaints Procedure.

Read our Complaints Procedure.

1.8 If your concern relates to action that we are taking in relation to your business, your rights to challenge our action or to appeal against it are explained in our Challenges and Appeals Guidance. In certain areas of regulation, further information on rights to appeal is included in the guidance that we make available on how we will use our enforcement powers.

Read our Challenges and Appeals Guidance.

1.9 This policy will be reviewed every two years, or as necessary in the event of relevant changes to the legislative or regulatory environment. Where substantive reviews or revisions are planned, we will engage with interested parties. Enquiries or feedback about this policy should be sent to [email protected] for the attention of the Deputy Chief Executive – Regulation.

Terminology

1.10 References in this policy to ‘businesses’ should be taken to refer to any natural person or legal entity that we regulate.

1.11 References in this policy to legislation should be taken to refer, where applicable, to that legislation as amended. Where legislation is in scope of the Windsor Framework ^{[footnote 1]}, references to the legislation should be taken to refer to that legislation as applicable in Great Britain and/or as applicable in Northern Ireland, depending on where non-compliance arises.

2) Our approach to addressing non-compliance and product safety risk

2.1 We aim to address non-compliance with the legislation that OPSS enforces, and any product safety risk, in a manner that is proportionate to:

• the nature of the legal obligation and the non-compliance or product safety risk
• the seriousness of the non-compliance or product safety risk, including in relation to harm caused or the potential for harm
• the associated circumstances, including the individual business context and the wider context

2.2 Our primary concerns when non-compliance or product safety risk has been identified are to ensure protection for people and the environment; and to ensure adequate steps are taken to address the issue and to minimise the likelihood of recurrence. We have a range of tools and powers available to us to hold businesses to their responsibilities, from discussing the non-compliance and providing guidance, or agreeing corrective actions, to serving enforcement notices, imposing sanctions or prosecuting offences. We will undertake sustained and escalating interventions where necessary, including to deter and disrupt careless and criminal behaviour.

2.3 Where a product presents a serious risk, we may ourselves act to address that risk by taking steps that a business could be or has been required to take, where the business is unable or unwilling to take appropriate action within the timescales required to protect public safety, for example by recalling products from consumers. In this circumstance, we may seek to recover any costs or expenses reasonably incurred in taking action, as appropriate, where the legislation makes provision for this.

2.4 We encourage businesses to approach us at an early stage to make us aware of any non-compliance or product safety risk that they have identified, including where there is an obligation for them to notify relevant authorities. We welcome approaches from businesses that seek advice and clarification on compliance related issues with a view to mitigating the impact of the non-compliance or product safety risk, or preventing recurrence, including from a business that is the subject of an investigation by us. When making any subsequent decision on appropriate enforcement action, we will take account of an early, positive and co-operative approach (see 4.3).

Read about requirements to notify relevant authorities of products that a risk to health and safety and/ or are non-compliant with relevant legislation.

2.5 We work closely with other regulators where we share responsibility for delivering regulation or there is an overlap of remit, seeking to coordinate with them to ensure a joined-up, consistent approach, for example with local authorities in relation to consumer product safety and legal metrology; and with border control authorities and other market surveillance authorities acting at the border.

2.6 We share information with other UK regulators where we consider this to be appropriate and we will refer any identified non-compliance that falls beyond our remit to the regulator responsible for that area of legislation. In doing so, we will handle personal information in accordance with applicable data protection laws.

Read details on how we will use personal data and your rights in our Privacy Notice.

2.7 Where we identify non-compliance or a product safety risk that we consider may present a risk beyond the UK, we will share relevant information where we consider this to be appropriate, for example, with product regulators in other jurisdictions and with relevant intergovernmental bodies. In doing so, we will handle personal information in accordance with applicable data protection laws.

2.8 We are committed to treating those we regulate in a fair, unbiased and objective manner. DBT is a public authority for the purposes of the Human Rights Act 1998 and we apply the principles in the Act. We have due regard to the Public Sector Equality Duty in the exercise of our functions.

2.9 We record instances of non-compliance and take account of these in determining future interventions.

Publication

2.10 We publish product safety alerts and product safety reports that identify product types and specific products, and those involved in their supply, to make the public aware of the risks.

Read our Product Safety Alerts and Products Safety Reports.

2.11 We routinely publish summary details of enforcement actions taken, other than cases that have been resolved through the provision of compliance advice and guidance alone (see section 6).

2.12 Summary details of enforcement notices (see section 8), financial penalties (see section 9), simple cautions (see section 10) and criminal convictions are added to our published List of Enforcement Actions.

Read details of our enforcement actions.

2.13 We publish summary details of any undertaking given by a business and accepted by OPSS, including Enforcement Undertakings and Third Party Undertakings that have a statutory basis (see section 7).

Read details of Enforcement Undertakings.

2.14 Additional details of a particular enforcement action may be made public where we consider this to be in the public interest. For example, we may publish a copy of an enforcement notice or Enforcement Undertaking. In such cases, summary details will usually also be published as set out in 2.12 or 2.13.

2.15 Publication of information about an enforcement action may be at the time that the action is taken, where we consider this to be in the public interest. In all other cases, publication is on a periodic basis.

2.16 Details that we publish in relation to a notice or undertaking may be updated to indicate where:

• OPSS has subsequently determined that the requirements of the notice or undertaking have been met, including where a Completion Certificate ^{[footnote 2]} has been issued
• OPSS has agreed a programme of corrective action with the business
• the notice or undertaking has been varied, or
• the notice has been withdrawn, revoked or appealed

3) Conduct of investigations

3.1 When deciding whether to investigate non-compliance or product safety risk, we use our discretion, taking account of a range of factors, including:

• the impact or potential impact of the non-compliance or product safety risk on people and/or the environment
• the potential for OPSS interventions to significantly mitigate the risk of harm to the people and/or the environment and maintain public confidence
• the nature and seriousness of any potential non-compliance with legal obligations
• our current enforcement priorities
• whether others are better placed to intervene

3.2 When we decide to investigate, we do so with the aim of:

• gathering information and establishing the facts
• identifying non-compliance and understanding the causes
• determining appropriate interventions, including enforcement action

3.3 We will exercise the powers of the Secretary of State and conduct investigations in accordance with the legislation under which we are acting, and other relevant legislation and related codes of practice. Such legislation includes but is not limited to:

• Police and Criminal Evidence Act 1984
• Criminal Procedure (Scotland) Act 1995
• Criminal Procedure and Investigations Act 1996
• Regulation of Investigatory Powers Act 2000
• Regulation of Investigatory Powers (Scotland) Act 2000
• Criminal Justice and Police Act 2001
• Justice (Northern Ireland) Act 2002
• Criminal Justice and Licensing (Scotland) Act 2010
• Protection of Freedoms Act 2012

3.4 We work across a range of legislation, which establishes our specific investigative powers. While these vary, officers usually have powers to:

• enter business premises, inspect and test products and equipment
• examine documents
• purchase or sample goods, including for testing
• require the production of information
• seize and/ or detain products and documentation
• serve notices for investigative purposes

3.5 The obstruction of an authorised officer exercising statutory powers will usually constitute a breach or criminal offence. OPSS takes obstruction of its activities seriously and will always consider whether enforcement action is appropriate in these circumstances. In this context, ‘obstruction’ usually encompasses:

• intentionally obstructing an officer
• failing to provide information or assistance that may reasonably be expected, or
• knowingly or recklessly giving false or misleading information

3.6 In the event that products or other forms of evidence are seized and/or detained in the course of an investigation, officers will provide the business with written notice listing the seized items, setting out the grounds on which the seizure has taken place and any rights to appeal.

3.7 Investigations are reviewed on a regular basis, or when new information comes to light. Consideration is given, at each review to:

a) whether it is in the public interest to proceed with the investigation (see 11.4)

b) the evidential threshold that needs to be satisfied in respect of a particular enforcement action

3.8 We will endeavour to keep a business informed of the progress of an investigation when it is appropriate to do so.

3.9 Where we consider this to be in the public interest, we may make public the fact that OPSS is undertaking an investigation.

3.10 Where a business that we are investigating has entered into a partnership with a local authority through Primary Authority, we may communicate with that primary authority and, where we consider it appropriate to do so, will seek to co-ordinate with the primary authority.

Read about Primary Authority.

4) Decisions on enforcement action

4.1 In enforcing the legislation, we may use the full range of enforcement tools and powers available to us, which may vary according to the legislation that we are acting under. These enforcement tools and powers may be used in combination, including as an escalating response to continuing or recurrent non-compliance. They include:

• advice, guidance and written warnings (see section 5)
• accepting an undertaking (see section 6)
• serving an enforcement notice (see section 7)
• imposing a financial penalty (see section 8)
• offering a simple caution (see section 9)
• instituting criminal proceedings in England or Wales (see section 10)
• reporting a case to the Procurator Fiscal in Scotland or the Public Prosecution Service in Northern Ireland (see section 10), or
• referring the matter to another enforcement body

4.2 We exercise discretion and professional judgment to respond appropriately in each individual case, holding businesses to account including through the use of punitive actions. Our decisions on enforcement action are taken on the basis of the evidence available and are informed by a consideration of the following principles. We aim to:

• respond in a manner proportionate to the nature, seriousness and circumstances of the particular non-compliance or product safety risk
• tackle associated harm, where appropriate
• change the behaviour of the responsible business or businesses
• tackle any financial gain or benefit from non-compliance
• maintain confidence in the enforcement regime and deter wider non-compliance

4.3 The factors that we may take account of in determining the appropriate enforcement action(s) in an individual case include:

• the impact or potential impact of the non-compliance or product safety risk on people and/or the environment
• the ability and willingness of the business to address the non-compliance or product safety risk in an effective manner
• the steps taken by the responsible business to prevent the non-compliance and any clear reasons for the failure
• the willingness of the business to be open about the compliance failure or product safety risk, including its compliance with any notification requirements (see 2.4)
• the business’s approach to co-operating with OPSS, both in its investigative activities and in ensuring that adequate steps are taken to address the issue and to minimise the likelihood of future non-compliance
• the willingness and ability of the business to meet relevant requirements, taking account of compliance history
• the maturity of the legal obligations and levels of awareness and understanding of technical requirements
• the likely impact of the proposed action in improving protections for people and/or the environment
• the likely impact of the proposed action on the responsible business
• the likely impact of the proposed action on the wider business community

4.4 We ensure our decisions as to the appropriate response to non-compliance or a product safety risk are taken in a manner that is objective, impartial and fair, without discrimination or bias.

4.5 Where we take action against a business, we will explain the appropriate rights to make representations and rights to appeal or challenge the decision.

5) Compliance advice and guidance

5.1 We use compliance advice and guidance, where appropriate, in addressing non-compliance or a product safety risk. Compliance advice and guidance may be provided alongside other enforcement actions or may be used as the sole response to non-compliance or a product safety risk where we consider this to be an effective and proportionate response.

5.2 Advice and guidance are provided to assist businesses in addressing actual, suspected or potential non-compliance in a timely and effective manner in order to prevent further non-compliance and to deal with any risks relating to products that they have already made available on the market.

5.3 Where we consider it appropriate, our advice and guidance may be accompanied by a warning about future conduct.

5.4 We are more likely to consider advice or guidance alone to be the appropriate response (whether or not accompanied by a written warning) where one or more of the factors below is judged to be significant:

a) The risk associated with the non-compliance is relatively low.

b) The business has a good record of compliance.

c) The business has acted in good faith, demonstrating a commitment to compliance.

d) The non-compliance can be attributed to the act or default of a third party.

e) The business has demonstrated a commitment to appropriate corrective, restorative and/ or remedial actions.

5.5 Advice and guidance provided in response to actual, suspected or potential non-compliance or product safety risk will be confirmed in writing (including where it is included in a warning letter) and will usually set out:

• the nature of the non-compliance or product safety risk
• what should be done to address the issue
• a timescale for the completion of any actions required
• in the case of a warning letter, the possible consequences of failing to act

5.6 If there is a recurrence of non-compliance in the future, relevant written advice and warnings will be taken into account in considering the appropriate enforcement action. A business can expect to face escalating enforcement action.

6) Undertakings

6.1 We may, where we consider this to be an effective and proportionate response to non-compliance, accept an undertaking from a business to take specified actions, within a defined timeframe, including to address the non-compliance and ensure it does not recur.

6.2 Where we have accepted actions proposed by a business and all of the actions are completed satisfactorily within the specified timeframe, we will not take further enforcement action in respect of the specific non-compliance(s) to which the undertaking relates. However, we will take any failure to complete the specified actions within the specified timeframe seriously and will consider further enforcement action.

6.3 Certain regulations provide a statutory basis for the business to propose a written undertaking, which is referred to as an ‘Enforcement Undertaking’. In these cases, provisions are set out in the regulations in relation to: the process for the giving and acceptance of an Enforcement Undertaking; the requirements for the Enforcement Undertaking; the consequences for the business of complying with the Enforcement Undertaking or failing to comply with it; and the requirement for publication of details of the Enforcement Undertaking.

6.4 Guidance on Enforcement Undertakings and the criteria that we will consider when deciding whether to accept an Enforcement Undertaking is available for the following regulations:

• Ecodesign for Energy Related Products Regulations 2010
• Electric Vehicles (Smart Charge Points) Regulations 2021
• Energy Bill Relief Scheme Pass-through Requirement (Heat Suppliers) (England and Wales and Scotland) Regulations 2022
• Energy Bill Relief Scheme Pass-through Requirement (Heat Suppliers) (Northern Ireland) Regulations 2022
• Energy Information Regulations 2011
• Heat Network (Metering and Billing) Regulations 2014
• Nagoya Protocol (Compliance) Regulations 2015 ^{[footnote 3]}
• Public Charge Points Regulations 2023

Access our guidance on enforcement actions and associated rights.

6.5 Certain regulations also provide a statutory basis for a business, in response to enforcement action proposed by OPSS, to commit to actions (including payment of a sum of money) to benefit any third party affected by a breach, referred to as a ‘Third Party Undertaking’. Guidance on Third Party Undertakings is available for the following regulations:

• Ecodesign for Energy Related Products Regulations 2010
• Energy Information Regulations 2011
• Nagoya Protocol (Compliance) Regulations 2015

6.6 Where the legislation does not provide a statutory basis for undertakings, we may nevertheless decide to accept an undertaking given by a business where we are satisfied that:

• the business has provided sufficient detail – in relation to both the non-compliance(s) and any proposed action(s) – to enable us to make an informed decision
• the time period proposed for completing the proposed actions is achievable and appropriate, having regard to the nature, seriousness and circumstances of the relevant non-compliance
• there is evidence of a positive commitment to the proposed actions and that the business is likely to meet that commitment
• there is evidence of a commitment to transparency to those who may be materially impacted by the non-compliance, where applicable
• any actions that are proposed in order to address continuing non-compliance appear adequate to secure that the non-compliance does not continue
• any corrective, restorative or remedial action proposed appears adequate to address the harm
• any actions that are proposed in order to prevent future non-compliance appear adequate to secure that the non-compliance does not recur

7) Enforcement Notices

7.1 We use enforcement notices as the response to non-compliance or a product safety risk, where we consider this to be an effective and proportionate response. These notices vary in their nature and are named differently under different legislation. They may, for example:

• require that any non-compliance is rectified
• require that action is taken to prevent future non-compliance
• prohibit specified activities until the non-compliance has been rectified and/or safeguards have been put in place to prevent future non-compliance
• prohibit non-compliant goods from being made available on the market, or
• require that any harm arising from non-compliance is addressed, for example through corrective action or by providing information about the harm

7.2 Enforcement notices may be used in combination with other enforcement tools and powers available to OPSS where we consider this appropriate.

7.3 An enforcement notice will set out:

• the relevant legislation
• the summary grounds for taking the enforcement action
• contact details for the investigating officer
• the action(s) that must be taken and any applicable timescales
• the relevant appeals process

Read our Challenges and Appeals Guidance.

7.4 In respect of certain enforcement notices, the legislation requires us to first give notice of our intention to serve an enforcement notice. In these cases, the notice or letter of intent will set out the period within which the business may make representations. Any representations made to OPSS within this period will be taken into account in making the decision as to whether to serve the enforcement notice.

7.5 Certain regulations set out specific provisions in relation to the process for issuing enforcement notices. Guidance on Compliance Notices and Stop Notices is available for the following regulations:

• Alternative Fuels Infrastructure Regulations 2017 (Compliance Notices)
• Alternative Fuel Labelling and Greenhouse Gas Emissions (Miscellaneous Amendments) Regulations 2019 (Compliance Notices)
• Ecodesign for Energy Related Products Regulations 2010 (Compliance Notices and Stop Notices)
• Electric Vehicles (Smart Charge Points) Regulations 2021 (Compliance Notices)
• Energy Bill Relief Scheme Pass-through Requirement (Heat Suppliers) (England and Wales and Scotland) Regulations 2022 (Compliance Notices)
• Energy Bill Relief Scheme Pass-through Requirement (Heat Suppliers) (Northern Ireland) Regulations 2022 (Compliance Notices)
• Energy Bills Discount Scheme Pass-through Requirement (Heat Suppliers) Regulations 2023 (Compliance Notices)
• Energy Information Regulations 2011 (Compliance Notices and Stop Notices)
• Heat Network (Metering and Billing) Regulations 2014 (Compliance Notices)
• Nagoya Protocol (Compliance) Regulations 2015 ^{[footnote 3]} (Compliance Notices and Stop Notices)
• Public Charge Points Regulations 2023 (Compliance Notices)

Access our guidance on enforcement actions and associated rights.

7.6 We will take any failure to comply with the requirements of an enforcement notice seriously and further enforcement action is likely to result. This may, depending on the provisions of the legislation, involve the imposition of a financial penalty or prosecution.

8) Financial penalties

8.1 Certain regulations provide for us to impose a financial penalty in response to:

• non-compliance with obligations established in the regulations
• a failure to meet commitments given in an Enforcement Undertaking or Third Party Undertaking
• a failure to comply with the requirements of an enforcement notice, or
• obstruction (see 4.3)

These penalties are referred to in the regulations in different terms, including ‘civil penalties’, ‘non-compliance penalties’ and ‘monetary penalties’. OPSS has powers to impose financial penalties without recourse to the criminal courts.

8.2 Financial penalties are available to OPSS under the following legislation and guidance is available on the process for imposing these penalties:

• Alternative Fuels Infrastructure Regulations 2017
• Alternative Fuel Labelling and Greenhouse Gas Emissions (Miscellaneous Amendments) Regulations 2019
• Ecodesign for Energy Related Products Regulations 2010
• Electric Vehicles (Smart Charge Points) Regulations 2021
• Energy Bill Relief Scheme Pass-through Requirement (Heat Suppliers) (England and Wales and Scotland) Regulations 2022
• Energy Bill Relief Scheme Pass-through Requirement (Heat Suppliers) (Northern Ireland) Regulations 2022
• Energy Bills Discount Scheme Pass-through Requirement (Heat Suppliers) Regulations 2023
• Energy Information Regulations 2011
• Heat Network (Metering and Billing) Regulations 2014
• Measuring Instruments Regulations 2016 ^{[footnote 4]}
• Nagoya Protocol (Compliance) Regulations 2015
• Non-Automatic Weighing Instruments Regulations 2016 ^{[footnote 4]}
• Public Charge Points Regulations 2023

Access our guidance on enforcement actions and associated rights.

8.3 We will take any failure to pay a financial penalty seriously and further action is likely to result. This may, depending on the provisions of the legislation, involve pursuing the penalty as a debt in the relevant civil court or prosecution.

8.4 Financial penalties are payable to the Consolidated Fund ^{[footnote 5]} and are not retained by OPSS.

Penalty amount

8.5 OPSS will use any information available to it to determine what level of penalty is appropriate. The process for determining the level of a financial penalty will usually involve setting a starting point appropriate to the type of financial penalty and the facts of the individual case, and then taking account of any relevant aggravating and mitigating factors.

8.6 For most financial penalty types, a starting point will usually be set that takes account of the potential or actual harm associated with the case; culpability factors; and, in the case of a business, its position in the market. For certain Non-Compliance Penalties ^{[footnote 6]}, the starting point will usually be set at the statutory maximum.

8.7 OPSS will consider any relevant aggravating and mitigating factors that it is aware of, or that are brought to its attention, including in relation to the following matters:

a) prompt and full disclosure in relation to the non-compliance

b) any known practical or technical reasons for continuing non-compliance

c) any early action to address the non-compliance or its effects

d) any restorative or restitutional action taken

e) the compliance history of the person

f) the period of the non-compliance

g) a co-operative approach in dealing with OPSS

h) any evidence of general commitment to compliance and to acceptance of responsibility for non-compliance and its effects

i) any financial gain attributable to the non-compliance

9) Simple Caution

9.1 We may use simple cautions as an alternative to prosecution, other than in Scotland and Northern Ireland.

9.2 A simple caution will only be considered:

• where we are satisfied that there is sufficient evidence to provide a realistic prospect of conviction against the offender
• the offender admits the offence
• the offender consents to being cautioned
• it is in the public interest to offer a simple caution in respect of the offence rather than to prosecute

Access the Code for Crown Prosecutors – Crown Prosecution Service website.

9.3 Simple cautions will be used in accordance with Ministry of Justice guidance ‘Simple Cautions for Adult Offenders’ and other relevant guidance.

Read Simple Cautions for Adult Offenders.

9.4 Where a simple caution is offered and declined, we are likely to consider prosecution.

9.5 When offering a simple caution, we will notify the offender of the consequences. A simple caution is likely to influence how we and others deal with any similar non-compliance in the future. It will form part of the offender’s criminal record and may be cited in court if the offender is subsequently prosecuted for a similar offence. In certain circumstances, a simple caution may be revealed as part of a criminal record check. Where a simple caution is issued to an individual (rather than a corporation) it may have consequences if that individual seeks certain types of employment.

10) Prosecution

10.1 We may decide to prosecute, or to report a case to the Procurator Fiscal in Scotland or the Public Prosecution Service in Northern Ireland, where we consider it proportionate in all of the circumstances and in the public interest to do so. In particular, this is more likely to be the case in the following circumstances:

• in respect of more serious offences
• in respect of continuing or recurrent non-compliance
• where other enforcement actions, such as agreed undertakings or enforcement notices, have failed to secure compliance

10.2 We may also consider whether prosecution is appropriate where a director or other relevant individual is culpable.

10.3 When deciding whether to report a case to the Procurator Fiscal in Scotland we have regard to the provisions of the Prosecution Code and associated guidance.

Access the Prosecution Code – Crown Office and Procurator Fiscal Service website

10.4 When deciding whether to report a case to the Public Prosecution Service in Northern Ireland we have regard to the provisions of the Code for Prosecutors.

Access the Code for Prosecutors – Public Prosecution Service for Northern Ireland website

10.5 When deciding whether to prosecute in England or Wales we have regard to the provisions of the Code for Crown Prosecutors. This sets out the general principles to follow when decisions are made in respect of prosecuting cases.

Access the Code for Crown Prosecutors – Crown Prosecution Service website

10.6 A conviction at prosecution will result in a criminal record. The court may impose a fine and in respect of serious offences a prison sentence. We will also consider applying for any appropriate post-conviction orders including (but not confined to):

• Compensation orders under section 130-134 of the Powers of Criminal Courts (Sentencing) Act 2000
• Confiscation orders under the Proceeds of Crime Act 2002
• Forfeiture orders
• Criminal Behaviour Orders under section 330 of the Anti-Social Behaviour, Crime and Policing Act 2014
• Deprivation orders under section 143 of the Powers of Criminal Courts (Sentencing) Act 2000
• Director Disqualification under the Company Directors Disqualification Act 1986.
• Prosecution costs

10.7 In some circumstances we may apply to the court for the forfeiture and disposal of a non-compliant or dangerous product.

Dated: 22 04 2024

Name: Sarah Smith

Job title: Deputy Chief Executive – Regulation

Review Due: March 2026

Footnotes:

1. Legislation that is described as being in scope of Windsor Framework is the EU legislation listed in Annex 2 to The Protocol of Ireland and Northern Ireland. ↩

2. Certain legislation enforced by OPSS makes provision for a Completion Certificate to be issued by OPSS when it is satisfied that the requirements of an enforcement notice, or commitments made in an enforcement undertaking, have been met. These provisions are explained in our guidance on enforcement actions and associated rights. ↩

3. The Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from their Utilization (ABS) to the Convention on Biological Diversity is also referred to as ‘Access and Benefit Sharing’. ↩ ↩²

4. Guidance is not currently available on the process for imposing financial penalties under the Measuring Instruments Regulations 2016 or the Non-Automatic Weighing Instruments Regulations 2016. ↩ ↩²

5. The Consolidated Fund is the government’s general bank account at the Bank of England. ↩

6. The Non-Compliance Penalties referred to here are those financial penalties referred to in the applicable legislation as ‘non-compliance penalties’. These penalty powers are explained in our guidance on enforcement actions and associated rights. ↩