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Coronavirus: Health Protection (Coronavirus International Travel and Operator Liability) (England) Regulations 2021

updated 21 January 2021|Legal Guidance

Summary of the Regulations and Amendments

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021 (International Travel Regulations 2021) came into force at 4am on 17 May 2021 and apply to England only. They revoked and replaced The Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (International Travel Regulations 2020), although the revoked Regulations continue to apply in relation to persons who arrived in England before 4am on 17 May 2021: see R26(1)(b) and (4) of the 2021 Regulations. They also replace the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021.

The Secretary of State must review the need for the requirements imposed by these Regulations by 14th June 2021 and at least once every 28 days thereafter.

The Regulations expire at the end of 16th May 2022.

For offences committed between 8 June 2020 and 4am on 17 May 2021 prosecutors should refer to the CPS legal guidance on the Coronavirus International Travel Regulations 2020. 

The 2021 Regulations impose requirements on certain categories of person to provide information upon arrival in England, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the spread of infection or contamination from coronavirus. They also impose obligations on operators to ensure that passengers receive information and comply with the requirements.

This guidance is a summary of the main provisions of the Regulations, and will incorporate only key amendments introduced by other Regulations. This guidance does not contain all provisions nor will it reflect all amendments introduced by any Amendment Regulations. It is intended to guide prosecutors through the general structure of the Regulations. However, it should be noted that the structure of these Regulations have been changed a number of times by the various Amendments to the Regulations, which includes the introduction of new Parts and Regulations, moving some of the Parts and Regulations to a different place within the Regulations, and re-titling some of the Parts and Regulations. The Regulations have also introduced, and sometimes later omitted, different categories of traveller, such as “eligible category 2 arrival” and eligible traveller”, and changed the requirements imposed on such travellers, in line with the Government’s response to the changing nature of the pandemic. Prosecutors are therefore reminded to refer to www.legislation.gov.uk, using the timeline on the website to determine which provisions were in force at the time of an alleged breach.

Amendments

Amendment No.2 Regulations – 8 June 2021

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 2) Regulations 2021 amended the International Travel Regulations 2021, and came into force at 4am on 8 June 2021. The amendments include:

  • Changes to Regulations 5 and 6, so that persons arriving in England intending to stay for short periods of time must obtain testing packages in the same manner as those visiting for longer periods.
  • An amendment to Schedule 13, placing a requirement on airport operators to ensure passengers use designated terminals. Contravention of the requirement is an offence punishable on summary conviction by a fine.

Amendment No.6 Regulations – 19 July 2021

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 6) Regulations 2021 amended the International Travel Regulations 2021, and came into force at 4am on 19 July 2021. The amendments are mainly concerned with a new category of “eligible category 2 arrival”. They include:

  • Regulation 4 inserts new R.2A into the principal Regulations (exemptions for vaccinated travellers and others), which introduces the new category of “eligible category 2 arrival”. A person who is in this category is exempt from the requirement to self-isolate that would otherwise apply. In order to benefit from the exemption, the person in question must have proof of their exemption status and must make the appropriate declaration on their Passenger Locator Form.
  • Regulation 5 amends regulation 3 of the principal Regulations so that certain Crown Servants and government contractors working outside the UK and certain officials of, or contractors working for, foreign Governments are not required to complete a Passenger Locator Form if they acquire “eligible category 2 arrival” status.
  • Regulation 6 amends regulation 4 of the principal Regulations to keep an existing exemption from the requirement to have a negative coronavirus test on arrival in England so that it applies to eligible category 2 arrivals.
  • Regulations 7 and 8 amend regulations 5 and 6 of the principal Regulations so that an eligible category 2 arrival is subject to the same requirements relating to testing for Coronavirus as an arrival from a Category 1 country; in particular an eligible category 2 arrival is no longer generally required to have booked or undertake a Day 8 Coronavirus test on arrival in England.
  • Regulation 9 amends regulation 8 of the principal Regulations so as reduce the Coronavirus testing requirements relating to offshore installation workers who are category 1 arrivals and eligible category 2 arrivals.
  • Regulation 10 amends regulation 9 of the principal Regulations so that an eligible category 2 arrival does not need to self-isolate in accordance with that regulation.
  • Regulation 11 inserts new R.17A into the principal Regulations, which imposes obligations on travel operators to check the evidence held by travellers claiming exempt status under regulation 2A, and to implement systems and processes to ensure compliance with this obligation. Regulations 19 and 20 of the principal Regulations are amended to make provision for the penalties applicable in case of breaches of those obligations.
  • Regulation 16 makes amendments to Schedule 4 (exemptions) to the principal Regulations as a consequence of the introduction of the new category of eligible Category 2 arrival.
  • Regulation 17 amends Schedule 6 (passenger information) to the principal Regulations so that a person who wishes to take advantage of the new exemption must make an appropriate declaration on their Passenger Locator Form.
  • Regulations 18 and 19 amend Schedules 8 and 10 (testing) to the principal Regulations as a consequence of the introduction of the new category of eligible Category 2 arrival.
  • Regulation 20 amends Schedule 12 (information for passengers) as a consequence of the fact that eligible category 2 arrivals will be exempt from the requirement to self-isolate.

Amendment No.7 Regulations – 2 & 23 August 2021

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 7) Regulations 2021 amended the International Travel Regulations 2021 and came into force at 4am on 2 August 2021, except for Regulations 9 to 11 and R.12(b), which came into force on 23 August 2021. The amendments include: 

  • Regulation 3 amends regulation 2A of the International Travel Regulations to exclude certain arrivals from category 2 countries (primarily, those who have received a full course of vaccination in, or who are under 18 and ordinarily resident in, a specified country) from testing and self-isolation requirements.
  • Regulation 4 amends regulation 7 of the International Travel Regulations to exclude certain individuals operating transport services from the requirement to undertake workforce tests.
  • Regulation 5 amends regulation 16 of the International Travel Regulations to require operators to ensure that passengers seeking to rely on an exemption in Schedule 4 possess evidence that they are eligible for the exemption.
  • Regulation 9 amends paragraphs 8 and 9 of Schedule 8 to the International Travel Regulations to bring the technical requirements for day 8 tests into line with the more stringent requirements for day 2 tests.

Amendment No.8 Regulations – 8 & 23 August 2021

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 8) Regulations 2021 amended the International Travel Regulations 2021 and came into force at 4am on 8 August 2021, except for Regulation 10, which came into force on 23 August 2021. The amendments include:

  • Regulation 3 amends regulation 2A of the International Travel Regulations to exempt certain arrivals from category 2 countries who have received a complete course of a vaccine which is not an authorised vaccine from certain testing and self-isolation requirements. It also removes the exclusion for travellers from Metropolitan France, so that such travellers are treated in the same manner as other category 2 arrivals.
  • Regulation 4 makes consequential amendments to regulation 17A of the International Travel Regulations to take account of the lifting of restrictions on travellers from Metropolitan France.

Amendment No.9 Regulations – 8 & 23 August 2021

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 9) Regulations 2021 amended the International Travel Regulations 2021. The dates the amendments came into force vary and prosecutors should check the date against the relevant amendment. The main changes to note are:

  • Regulations 3(2), 4, 5(3)(a), 5(4), 13(2), 14 and 18(2) amend the International Travel Regulations to extend the definition of “relevant international event” to include both the United Nations Climate Change Conference 2021 (known as “COP26”) and the World Leaders summit organised by the government in connection with the COP26; and to set out how the International Travel Regulations are to apply to those people attending or facilitating the COP26 and the World Leaders summit. The events were hosted in Glasgow, but attendees and facilitators could travel via England. Note that subsequent Regulations made further amendments in respect of COP26.
  • Regulation 7 imposes direct obligations on those providing testing services to comply with obligations contained in the International Travel Regulations and regulations 8 to 10, 16 and 17 make provision for enforcement of those obligations.

Amendment No.13 Regulations – 4 & 25 October 2021

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 13) Regulations 2021 amended the International Travel Regulations 2021 and came into force at 4am on 4 October 2021, except for Regulation 25(3), which came into force at 4am on 25 October 2021. The amendments include:

  • Regulation 6 inserts a new Part 1B into the Regulations, to create a new category of traveller known as an “eligible traveller” who, if fully vaccinated and arriving in England from a list of specified countries, is exempted from the need to comply with the obligation to have proof of a negative test on arrival, to take a “day 8 test” or to self-isolate.
  • Regulation 4 omits R.2A from the Regulations – ending the category of persons referred to as an “eligible category 2 arrival” (who were exempt from the requirement to self-isolate).
  • Regulations 8 to 12 make amendments to the existing categories of exemption from the on-going obligations of the International Travel Regulations to travellers other than eligible travellers.
  • Regulation 13 relieves operators of the obligation to check evidence of vaccination where a traveller’s Passenger Locator Form has had appropriate evidence uploaded to it, and which states that the evidence has been verified.
  • Regulation 20 has the effect that all countries and territories that are not specified for the purposes of Part 1B in relation to eligible travellers are category 2 countries and territories (known as “amber-list countries and territories”) and no country or territory is listed in category 1 (“green-list”).
  • Regulation 25 changes the nature of the medical evidence that travellers from category 3 countries and territories (known as “red-list countries and territories”) must provide if they seek exemption from the obligation to quarantine in designated accommodation.
  • Regulation 26 changes the information that operators must give to passengers to reflect the changes made by these Regulations.

Amendment No.23 Regulations –7 December 2021

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 23) Regulations 2021 amended the International Travel Regulations 2021 and came into force at 4am on 7 December 2021. The amendments:

  • Rename Part 1A of the Regulations.
  • Move R.4 (Requirement to possess notification of negative test result) of the Regulations out of Part 2 (additional requirements on persons arriving in England who are not eligible travellers) to Part 1A (Requirements on persons arriving in England), and renumber it as regulation 3ZA.
  • Increase the age at which passengers are required to comply with the requirement to possess notification of a negative result from a qualifying test for the detection of coronavirus (“the pre-departure testing requirement”) from 11 to 12.
  • Bring eligible travellers into scope of the pre-departure testing requirement.
  • Correct an error in the Regulations so as to ensure that operators, in discharging the requirement under R.17A of the Regulations to ensure that passengers claiming to be “eligible travellers” have the “required evidence”, are able to accept evidence of having a clinical reason not to be vaccinated.

Summary of the main provisions of the Regulations

Part 1 - Introductory

Regulation 2 – Interpretation & Introduction of Schedules 1 to 4

The interpretation section includes:

  • Category 1, 2 and 3 countries and territories, which are specified in Schedules 1, 2 and 3 respectively. These are more commonly known as green, amber and red list countries respectively.
  • Schedule 4 (exemptions) describes categories of person who are exempt from certain requirements in accordance with these Regulations.
  • “Schedule 11 passenger” means a passenger to whom Schedule 11 (additional measures applicable to arrivals from category 3 countries or territories) applies.

Regulation 2A – Exemptions for vaccinated travellers and others

Note: Regulation 2A was omitted from 4am on 4 October 2021: see R4 of The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 13) Regulations 2021.

Regulation 2A was inserted into the Regulations by R.4 of The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 6) Regulations 2021, and came into force at 4am on 19 July 2021.

R.2A introduces a new category of “eligible category 2 arrival”. A person who is in this category is exempt from the requirement to self-isolate that would otherwise apply.

To qualify as an eligible category 2 arrival a person must meet the requirements of:

Amendments to Regulation 2A – 8 August 2021

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 8) Regulations 2021 amended R.2A from 4am on 8 August 2021 to exempt certain arrivals from category 2 countries who have received a complete course of a vaccine which is not an authorised vaccine from certain testing and self-isolation requirements. It also removes the exclusion for travellers from Metropolitan France, so that such travellers are treated in the same manner as other category 2 arrivals.

Part 1A - Requirement to complete a passenger locator form / Requirements on persons arriving in England

From 4 October 2021 Part 1A was inserted before R.3.

From 4am on 7 December 2021 Part 1A was retitled “Requirements on persons arriving in England”.

Part 2 - Requirements on persons arriving in England

Note that from 4 October 2021 Part 2 was moved to appear before Regulation 4, and re-titled: see below.

Regulation 3 - requirement to provide passenger information

This Regulation sets out requirements in relation to information that must be provided by passengers on a Passenger Locator Form (PLF). In particular:

  • A person who arrives in England from a country or territory outside the common travel area must, subject to paragraph (2), provide on the PLF the information set out in Schedule 6 (“passenger information”) on their arrival (paragraph 1).
  • A person who presents at immigration control at the Channel Tunnel shuttle terminal area in France, with the intention of boarding a shuttle service destined for the UK, must provide on the PLF their passenger information (paragraph 2).
  • Subject to paragraph (4) exceptions for arrivals from Scotland, Wales and Northern Ireland, a person who arrives in England from within the common travel area who has been in a country or territory outside the common travel area at any time in the period beginning with the 10th day before the date of their arrival in England must provide on the PLF their passenger information on their arrival (paragraph 3).
  • Passengers must provide on the PLF passenger information for any child for whom they have responsibility (paragraph 5).

Regulation 3 also explains:

  • The circumstances in which an individual is deemed to have complied with these requirements (paragraph 6).
  • The Regulations do not require individuals to provide information which is not within their possession or control (paragraph 9).
  • Exceptions apply in relation to specified individuals (paragraphs 10 & 11).

Regulation 3ZA - requirement to possess notification of negative test result (from 7 December 2021)

Regulation 3ZA was introduced at 4am on 7 December 2021. In effect, R.4 was (which was omitted on the same date) was moved out of Part 2, and placed in Part 1A, and re-numbered as R.3ZA.

R.3ZA covers testing before arrival in England. It requires the following persons to possess on arrival valid notification of a negative result from a qualifying test taken by that person:

  • A person who arrives in England having begun their journey outside the common travel area (paragraph 1).
  • A person who presents at immigration control at the Channel Tunnel shuttle terminal area in France, with the intention of boarding a shuttle service destined for the UK (paragraph 2).
  • A person who is travelling with a child aged 12 or over (prior to 7 December 2021 the relevant age was 11 or over, under R.4) and for whom they have responsibility must in these circumstances possess valid notification of a negative result from a qualifying test taken by that child (paragraph 3). Note that paragraph 3 was omitted from 4am on 7 January 2022, ending this requirement.

Note that a test is a qualifying test if it complies with paragraph 1 of Schedule 7; and a notification of a negative result is valid if it is provided through the EU Digital COVID Certificate, or it includes the information specified in paragraph 2 of Schedule 7 (paragraph 7).

R.3ZA also has provisions in relation to:

  • Requirement to produce the notification of the negative test result to an immigration officer (paragraph 4).
  • Other circumstances in which a person is required to take a test (for example, a person requiring leave to enter or remain in the UK), which must be in compliance with Schedule 7 (paragraph 5).
  • Persons not required to comply with R3ZA, which includes children under the age of 12 (omitted from 4am on 7 January 2022), and Schedule 4 and Schedule 7 exemptions (paragraph 6).

Part 1B – Additional requirements for eligible travellers

From 4 October 2021 Part 1B was inserted after R.3.

Regulations 3A to 3K

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 13) Regulations 2021 inserted Regulations 3A to 3K from 4am on 4 October 2021.

These create a new category of traveller known as an “eligible traveller” who, if fully vaccinated and arriving in England from a specified country, is exempted from the need to comply with the obligation to have proof of a negative test on arrival, to take a “day 8 test” or to self-isolate.

  • 3A is an interpretation section and includes a definition for “authorised vaccine”, whether doses are received in the UK or in other countries or territories, including “relevant countries”, which are listed in paragraphs 3 and 4.
  • 3B defines an eligible traveller, which includes any of the qualifying conditions under Regulations 3C to 3 H.
  • The conditions under Regulations 3C to 3H include, for instance, vaccination conditions, clinical trial conditions, and age conditions.
  • 3I sets out the testing requirements for eligible travellers who are workers.
  • 3J sets out the testing requirements for non-worker eligible travellers.
  • 3K sets out the circumstances in which self-isolation requirements will apply to eligible travellers.

R.3L: Between 4am 15 December 2021 and 4am 7 January 2022 R.3L applied to a person (“relevant passenger”) who was required to be in isolation in accordance with Schedule 11 immediately before 4.00 pm on 15th December 2021 and who met the conditions in any of regulations 3C to 3H. Such relevant passengers were allowed to complete their period of self-isolation at a place other than the place specified in their managed isolation package, unless they had tested positive for coronavirus.

Part 2 - Additional requirements on persons arriving in England who are not eligible travellers

Note that Part 2 was retitled and moved to appear before R.4 on 4 October 2021. This amendment reflects the introduction on this date of a new category of traveller known as an “eligible traveller” (see above in Part 1B), who is exempt from the requirement in R.4.

Regulation 4 – Requirement to possess notification of negative test result

Note that at 4am on 7 December 2021 R.4 was omitted from the Regulations. In effect, R.4 was moved out of Part 2, and placed in Part 1A, and re-numbered as R.3ZA.

This Regulation covers testing before arrival in England. It requires the following persons to possess on arrival valid notification of a negative result from a qualifying test taken by that person:

  • A person who arrives in England having begun their journey outside the common travel area (paragraph 1).
  • A person who presents at immigration control at the Channel Tunnel shuttle terminal area in France, with the intention of boarding a shuttle service destined for the UK (paragraph 2).
  • A person who is travelling with a child aged 11 or over and for whom they have responsibility must in these circumstances possess valid notification of a negative result from a qualifying test taken by that child (paragraph 3).

Note that a test is a qualifying test if it complies with paragraph 1 of Schedule 7; and a notification of a negative result is valid if it includes the information specified in paragraph 2 of Schedule 7 (paragraph 7).

Regulation 4 also has provisions in relation to:

  • Requirement to produce the notification of the negative test result to an immigration officer (paragraph 4).
  • Other circumstances in which a person is required to take a test (for example, a person requiring leave to enter or remain in the UK), which must be in compliance with Schedule 7 (paragraph 5).
  • Persons not required to comply with R4, which includes children under the age of 11, and Schedule 4 and Schedule 7 exemptions (paragraph 6). From 4am on 4 October 2021 an eligible traveller was added to the list of exempt persons.

Regulation 5 – Requirements relating to Tests

Note that Schedule 8 sets out the detail of the mandatory day 2 and day 8 testing regime after arrival in England.

Regulation 5 sets out the persons arriving in England who are required to book and take tests under Regulation 6 (subject to the provisions on length of stay in paragraph 1 of regulation 6 – see below: revoked on 8 June 2021). These are listed in paragraph 1 and include:

  • Category 1 arrivals (see Schedule 1), other than those stated exemptions.
  • Persons required to self-isolate under Regulation 9 (arrivals from category 2 countries – see Schedule 2) or Schedule 11 (arrivals from category 3 countries – see Schedule 3).
  • Persons not required to self-isolate under regulation 9 only by virtue of specified paragraphs of Schedule 4 (exemptions).
  • Elite sportspersons.
  • Persons who may temporarily cease to self-isolate by virtue of specified paragraphs of Regulation 9 and Schedule 4.

Paragraphs 6 and 7 lists persons who are exempted from the Regulation 6 requirements. From 4am on 4 October 2021 this includes an “eligible traveller” (introduced on this date) – for testing requirements for an eligible traveller see Regulations 3I and 3J.

This Regulation also explains:

  • Who is required to take a workforce test under Regulation 7 (paragraphs 3 & 4).
  • Which persons Regulation 8 test requirements apply to (offshore installation workers) (paragraph 5).

Amendments to Regulation 5 – 8 June 2021

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 2) Regulations 2021 amended the International Travel Regulations 2021, and came into force at 4am on 8 June 2021:

  • Regulations 5 and 6 are amended so that persons arriving in England intending to stay for short periods of time must obtain testing packages in the same manner as those visiting for longer periods i.e. the persons listed in paragraph 1 of R5 are no longer subject to the provisions on length of stay in paragraph 1 of regulation 6, which have been deleted.
  • R5(1)(a) is amended so that persons of the description in paragraph 12 of Schedule 4 (transit passengers) are exempted from the requirements in R6.

Amendments to Regulation 5 – 19 July 2021

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 6) Regulations 2021, which came into force at 4am on 19 July 2021, amends R.5 so that an “eligible category 2 arrival” is subject to the same requirements relating to testing for Coronavirus as an arrival from a Category 1 country; in particular an eligible category 2 arrival is no longer generally required to have booked or undertake a Day 8 Coronavirus test on arrival in England. Note that from 4am on 4 October 2021 “eligible category 2 arrivals” are omitted from the Regulations.  

Regulation 6 – Requirement to book and undertake tests

This Regulation needs to be read in conjunction with Regulation 5 and Schedule 8.

It further defines the persons arriving in England who are required to book and take tests, by reference to their length of stay. The requirement applies to a person who (paragraph 1):

  • Intends to remain in England for two days or more after the day of their arrival; or
  • Intended to remain in England for less than two days after the day of their arrival but in fact remains in England for two days or more.

Those who intend to remain in England for two days or more must on their arrival possess a testing package for themselves and for any child aged 5 or older with whom they are travelling and for whom they have responsibility (paragraph 3). From 4am on 22 November 2021, the requirement in relation to children applies only if P arrives in England from a category 3 country or territory.

If such a person arrives without a testing package, they must obtain one as soon as practicable (paragraph 4).

Tests must be undertaken in accordance with the testing package, save that if a day 2 test generates a positive result, there is no requirement to take the day 8 test (paragraphs 6&7).

Paragraphs 8 and 9 make provisions for where a person has a reasonable excuse not to take a test (see regulation 19), and the requirement to take the test once the reasonable excuse no longer applies.

A person who possesses a testing package must provide evidence of it if requested by an immigration officer or a constable (paragraph 11).

Regulation 6, paragraph 12 provides the definition of a testing package (ie whether it is a booking for a day 2 test only, or a day 2 and a day 8 test).  

Definitions of a day 2 test and a day 8 test are contained in Schedule 8, paragraphs   6 and 8.

Amendments to Regulation 6 – 8 June 2021

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 2) Regulations 2021 amended the International Travel Regulations 2021, and came into force at 4am on 8 June 2021:

  • Regulations 5 and 6 are amended so that persons arriving in England intending to stay for short periods of time must obtain testing packages in the same manner as those visiting for longer periods i.e. the persons listed in paragraph 1 of R5 are no longer subject to the provisions on length of stay in paragraph 1 of regulation 6, which have been deleted.
  • R5(1)(a) is amended so that persons of the description in paragraph 12 of Schedule 4 (transit passengers) are exempted from the requirements in R6.

Regulation 7 – Requirement to undertake workforce tests

This Regulation sets out the requirements for those persons required to take a workforce test under R5(3) or (4).

Separate requirements apply to a “recurring work traveller”, who enters and leaves England regularly (paragraphs 7-9).

Schedule 9 makes further provision about workforce tests.

Regulation 8 – Test requirements – offshore installation workers

This Regulation sets out the test requirements for offshore installation workers.

Regulation 9 – Further requirements on arrivals from category 2 countries

This Regulation sets out self-isolation requirements for persons who arrive in England from:

  • A category 2 country or territory.
  • Within the common travel area or from a category 1 country or territory, and has at any time in the period beginning with the 10th day before the date of their arrival in England, departed from or transited through a category 2 country or territory, or
  • A category 3 country or territory or has at any time in the period beginning with the 10th day before the date of their arrival in England departed from or transited through a category 3 country or territory;

and

is not one of the exempted persons listed in R9(1)(b). This list of persons has changed over time and has included, for instance, a Schedule 11 passenger, an “eligible category 2 arrival”, and an “eligible traveller”. Prosecutors should ensure they refer to the relevant Regulations in force at the date of any alleged offence.  

The requirements include:

  • To self-isolate at a specified place, save for those listed persons who are exempted (paragraph 3).
  • The address stated in the Passenger Locator Form (see Schedule 6(2)(a)) must be one of those listed at paragraph 4.
  • To travel directly to the place of self-isolation on arrival in England, and to self-isolate for the stated period (paragraph 7).
  • Exemptions at paragraphs 9 and 10 explain that there is no requirement to self-isolate from specified persons / in certain circumstances.
  • Not to leave or to be outside the place of self-isolation except where a stated exemption applies (paragraph 11). Note that the exemptions include participation in legal proceedings and “exceptional circumstances”, such as obtaining basic necessities.

There are a number of exemptions to the requirement to self-isolate – see paragraph 14 and, in particular, paragraph 15 and Schedule 4.

Paragraph 16 explains that a person may cease to self-isolate when they are notified of a negative test result: see also Schedule 10(5)(2).

Paragraph 17 states that the exemptions or partial exemptions under paragraphs 15 and 16 do not apply to the persons specified in paragraph 17.

Amendments to Regulation 9 – 19 July 2021

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 6) Regulations 2021, which came into force at 4am on 19 July 2021, amends R.9 so that an “eligible category 2 arrival” does not need to self-isolate in accordance with that regulation. Note that this category of persons was omitted from the Regulations on 4 October 2021.

Amendments to Regulation 9 – 4 October 2021

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 13) Regulations 2021, in force at 4am on 4 October 2021, amends R9 so that an eligible traveller (a category of persons introduced on this date) does not need to self-isolate in accordance with that regulation.

Regulation 9A

Between 4am 15 December 2021 and 4am 7 January 2022 R.9A applied to a person (“non-Part 1B passenger”) who was required to be in isolation in accordance with Schedule 11 immediately before 4.00 pm on 15th December 2021 and to whom regulation 3L did not apply. Such non-Part 1B passengers were allowed to complete their period of self-isolation at a place other than the place specified in their managed isolation package, unless they or a close contact of theirs (a person of a description in paragraph 11(a) or (b) of Schedule 11) had tested positive for coronavirus.

Regulation 10 – Further requirements on arrivals from category 3 countries or territories

This Regulation applies to Schedule 11 passengers. Schedule 11 defines these as:

  • A person who arrives in England from a category 3 country or territory; or
  • Has at any time in the period beginning with the 10th day before the date of their arrival in England departed from or transited through a category 3 country or territory.

Schedule 11(2) lists a number of persons who are exempted from the Schedule 11 requirements. 

Schedule 11 passengers must remain in isolation from others in accordance with, and otherwise comply with the requirements in, Schedule 11 (paragraph 2).

The address specified in the Passenger Locator Form pursuant to paragraph 2(a) of Schedule 6 must be the designated accommodation which is part of the managed self-isolation package booked by or on behalf of the passenger (paragraph 3).

Part 3 – Enforcement

Regulation 11 – Enforcement of requirement to self-isolate

Where an authorised person (see paragraph 11) has reasonable grounds to believe that a person (“P”) has left, or is outside of, the place where P is self-isolating in contravention of regulation 9, Schedule 8 or Schedule 11, the authorised person may (paragraph 1):

  1. direct P to return to the place where P is self-isolating;
  2. where the authorised person is a constable, remove P to the place where P is self-isolating;
  3. where the authorised person is a constable and it is not practicable or appropriate in the circumstances to take the action in sub-paragraph (a) or (b), remove P to accommodation facilitated by the Secretary of State for the purposes of P’s self-isolation.

Paragraphs 2 and 3 provide authorised persons with further specific powers where they have reasonable grounds to believe that a person is a Schedule 11 passenger.

Paragraphs 8 and 9 provide powers in relation to persons responsible for children.

An authorised person exercising powers in specified paragraphs of R11 may use reasonable force, if necessary, in the exercise of the power (paragraph 7).

Regulation 12 – Power of entry

This Regulation provides a constable with a power to enter premises to search for, and to remove to other accommodation, a person suspected of committing an offence of contravening the requirement in paragraph 10 of Schedule 11 (duty to self-isolate) (paragraph 1).

The constable may use reasonable force if necessary (paragraph 3).

Part 4 – Requirements on operators

Regulation 13 – Passenger information requirement

R13(1) places an obligation on operators to ensure that passengers who arrive in England on a relevant service are provided with the information required by R14 (“the passenger information requirement”) and in the manner required by that regulation at each of the times specified in paragraph 2.

Regulation 14 – Required information and manner

This Regulation sets out:

  • The information that operators must provide to passengers (see information specified in Part 1 of Schedule 12);
  • How the information is to be provided, which depends on the type of bookings.

Regulation 15 – Records and information

This Regulation places an obligation on operators to keep records of the steps they have taken to comply with the requirements under regulation 13(1) – provision of information to passengers.

Under paragraph 2, an authorised person (defined in paragraph 4) may request copies of the records and such other information from an operator as is necessary for the authorised person to determine whether the requirements under regulation 13(1) have been complied with.

Regulation 16 – Requirement to ensure passengers have completed a Passenger Locator Form

This Regulation places an obligation on operators to ensure that the following passengers have completed a Passenger Locator Form, subject to the exceptions listed in paragraph 2:

  • Those who present at immigration control at the Channel Tunnel shuttle terminal area in France, with the intention of boarding a shuttle service destined for the UK; and
  • Those who arrive at a port in England on a relevant service (see R2 Interpretation section for the meaning of “relevant service”).

Amendments to Regulation 16 – 2 August 2021

Regulation 5 of The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 7) Regulations 2021, which came into force at 4am on 2 August 2021, amends R.16 to require operators to ensure that passengers seeking to rely on an exemption in Schedule 4 possess evidence that they are eligible for the exemption.

Regulation 17 – Requirement to ensure passengers possess notification of negative test result

Paragraph 1 places an obligation on operators to ensure that the following passengers are in possession of the required notification of a negative test result:

  • Those who present at immigration control at the Channel Tunnel shuttle terminal area in France, with the intention of boarding a shuttle service destined for the UK; and
  • Those who arrive at a port in England on a relevant service (see R2 Interpretation section for the meaning of “relevant service”).

Paragraph 2 contains a list of passengers in respect of whom the obligation on the operator does not apply. 

Regulation 17A – Requirement to ensure passengers possess evidence of vaccination

Regulation 17A was inserted into the Regulations by R.11 of The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 6) Regulations 2021, and came into force at 4am on 19 July 2021.

R.17A imposes obligations on travel operators to:

  • Check the evidence of vaccination held by travellers (paragraph 1). Note that those passengers whose evidence of vaccination is or is not required to be checked has changed over time. Prosecutors should ensure they refer to the relevant Regulations in force at the date of any alleged offence.
  • Implement and maintain systems and processes to ensure compliance with this obligation (paragraph 3)
  • Retain records and information of the steps taken to comply with the obligation in paragraph 3 (paragraph 4).

Under paragraph 5, an authorised person (definition in paragraph 7) may request copies of the records and other information from the operator to determine whether the requirements under paragraph 3 have been complied with.

Note that Regulations 19 and 20 are amended, to make provision for the penalties applicable in case of breaches of these obligations.

Amendments to Regulation 17A – 8 August 2021

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 8) Regulations 2021 amended R.17A from 4am on 8 August 2021 to take account of the lifting of restrictions on travellers from Metropolitan France.

Regulation 18 – Requirement to ensure that certain passengers arrive only at designated ports

Paragraph 1 places an obligation on operators to take all reasonable steps to ensure that no Schedule 11 passenger arrives on a relevant transport service at a port in England which is not a designated port, subject to the exceptions listed in paragraph 2.

See Schedule 13 for further provision regarding the arrival of aircraft and vessels into England.

Introduction of Part 4A – Requirements on private test providers and diagnostic laboratories

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 9) Regulations 2021 introduced a new Part 4A from 21 September 2021, which inserts Regulations 18A (Requirements on test providers) and 18B (Requirements on other persons carrying out testing services).

Part 5 – Offences, proceedings and information

Regulation 19 – Offences and penalties

Paragraph 1 sets out the circumstances in which a person commits an offence, by contravening the various requirements under the Regulations.

A number of these offences require the person to have acted without a reasonable excuse.

Paragraph 2 sets out circumstances in which a person does not commit an offence.

Paragraphs 3, 4 and 5 (and 5A from 24 September 2021) set out non-exhaustive examples of a reasonable excuse, in relation to particular breaches of the Regulations.  

Under paragraph 6 it is an offence to intentionally or recklessly provide false or misleading passenger information, except for reasons of national security.

Under paragraph 6A, from 4am on 18 December 2021, it is an offence to

knowingly give false information pursuant to any relevant provision of the Self-Isolation Regulations (see paragraph 6B) as it applies to that person by virtue of paragraph 3(2A) of Schedule 8.

Under paragraph 14 it is an offence for a person to, without reasonable excuse, wilfully obstruct any person carrying out a function under the Regulations.

Paragraphs 7 and 13 sets out the circumstances in which an operator commits an offence, for failing to comply with specific requirements under the Regulations.

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 6) Regulations 2021, which came into force at 4am on 19 July 2021, added further offences under paragraph 13A, relating to new requirements in R.17A (to ensure passengers possess evidence of vaccination etc), imposed on operators from this date.

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 9) Regulations 2021 inserted paragraph 13B, which added further offences from 21 September 2021, which relate to R.18A and R.18B – requirements on test providers and other persons carrying out testing services. On 24 October 2021, the No. 16 amendment Regulations added a further offence, relating to the requirement under R.18A(1A) – note that this offence was subsequently omitted on 30 November 2021 and then reinstated on 7 January 2022.

Paragraphs 8-12 set out specific defences to the offences under paragraph 7. Note that these defences have been amended or added to by subsequent Amendment Regulations – prosecutors should ensure that they refer to the version of the Regulations applicable to the date of alleged offending.

An offence under paragraph 13 (operator keeping and provision of records) is punishable on summary conviction by a fine not exceeding level 4 on the standard scale (paragraph 15).

All other offences are punishable on summary conviction by a fine (paragraph 16).

Paragraph 17 confirms that a power of arrest applies to an offence under the Regulations as if the reasons in subsection (5) of section 24 of PACE included:

  • to maintain public health;
  • to maintain public order.

Regulation 20 – Fixed penalty notices

An authorised person can issue a fixed penalty notice (FPN) to anyone the authorised person has reasonable grounds to believe has:

  • committed an offence specified in R19; and
  • is aged 18 or over.

If the FPN is paid within 28 days, no proceedings may be taken.

The levels of fines are set out in Schedule 14.

Regulation 21 – Prosecutions

Under R.21 the CPS may bring proceedings for offences under these Regulations, except for an operator offence or a test provision offence.

Regulation 22 – Power to use and disclose information

R22 makes provisions for the use and disclosure of information relating to passengers.

Under paragraphs 3 and 4 use and disclosure is permitted where it is necessary for the purposes stated in these paragraphs.

Schedules

Schedule 1 – Category 1 countries and territories

This schedule lists all countries and territories in category 1 (green list countries).

Prosecutors are reminded to refer to the Regulations in force at the time of an alleged breach to determine which category a particular country or territory was in at this date.

Schedule 2 – Category 2 countries and territories

This schedule lists all countries and territories in category 2 (amber list countries).

Prosecutors are reminded to refer to the Regulations in force at the time of an alleged breach to determine which category a particular country or territory was in at this date.

Schedule 3 – Category 3 countries and territories

This schedule lists all countries and territories in category 3 (red list countries).

Prosecutors are reminded to refer to the Regulations in force at the time of an alleged breach to determine which category a particular country or territory was in at this date.

Schedule 4 - Exemptions

Schedule 4 lists categories of person who are exempt from specific requirements in accordance with these Regulations.

The Schedule 4 exemptions need to be cross referenced with the relevant requirements in the Regulations, to ascertain which requirement each exemption applies to.

Prosecutors are reminded to use the timeline in the Regulations to identify which persons are exempt from specific requirements at the time of an alleged breach.

Schedule 4A

Schedule 4A was inserted on 30 August 2021 and makes provision for the manner in which the International Travel Regulations apply in relation to participants at the Climate Change Conference in Glasgow from 31 October to 12 November (COP26), including the World Leaders Summit event in November 2021.

Schedule 5 – List of sporting events

Schedule 5 contains a list of sporting events that are a “specified competition” for the purposes of paragraph 44(2) of Schedule 4 (exemptions for elite sportspersons etc.).

Schedule 6 – Passenger information

Schedule 6 sets out the passenger information that must be provided on a Passenger Locator Form, as required by R3(1).

Schedule 7 – Testing before arrival in England

Schedule 7 relates to the R4 requirement to possess on arrival in England a valid notification of a negative result from a qualifying test taken by that person.

The Schedule sets out:

  • The requirements for tests to be compliant with Schedule 7.
  • Details that must be contained in a notification of a negative test result.
  • The persons not required to comply with R4, in accordance with R4(6)(c).

From 4am on 7 December 2021, the references to R.4 in Schedule 7 should be read as references to R.3ZA, which replaced R.4 on that date.

Schedule 8 – Mandatory testing after arrival in England

Schedule 8 relates to the R6 requirement for mandatory testing after arrival in England.

The Schedule includes:

  • An interpretation section.
  • Details of the requirement to self-isolate on failure to undertake a mandatory test.
  • The consequences of the test results.
  • Optional tests.
  • Tests other than in accordance with these Regulations.
  • Day 2 tests – general requirements.
  • Day 2 tests – private provider requirements.
  • Day 2 tests - general requirements for lateral flow device tests, introduced 9 January 2022.
  • Day 2 tests - private provider requirements for lateral flow device tests, introduced 9 January 2022.
  • Day 8 tests – general requirements.
  • Day 8 tests – private provider requirements.
  • Required circumstances for undertaking a day 2 test or a day 8 test.
  • Notification of test results.
  • Notification of test results - lateral flow device tests, introduced 9 January 2022.
  • Charge for day 2 tests and day 8 tests.

Schedule 9 – Workforce tests

This Schedule sets out the requirements for workforce tests under R7, including: requirements after failure to take a test; the consequences of test results; and duties on employers. 

Schedule 10 – Optional testing after arrival in England

This Schedule applies to persons who are required by regulation 9(2) to self-isolate. They may undertake an optional test in the circumstances described in paragraph 4 for the purposes of determining whether they may cease self-isolating (as provided for in regulation 9(16)).

Schedule 11 – Additional measures applicable to arrivals from category 3 countries and territories

Schedule 11 passengers must remain in isolation from others in accordance with, and otherwise comply with the requirements in this Schedule, in accordance with R10(2).

Schedule 11 passengers are defined in paragraph 1 as, subject to paragraph 2:

  • A person who arrives in England from a category 3 country or territory; or
  • Has at any time in the period beginning with the 10th day before the date of their arrival in England departed from or transited through a category 3 country or territory.

Paragraph 2 lists those persons who are exempted from the Schedule 11 requirements. 

Paragraph 2A was inserted on 30 August 2021 and disapplies paragraph 2 exemptions to certain persons attending COP26 (the Climate Change Conference in Glasgow from 31 October to 12 November). However, some of the Schedule 11 measures are modified for these persons.

The Schedule 11 requirements include the following:

  • To only enter England at designated ports, listed in paragraph 4.
  • Duties on arrival, such as being in possession of a managed self-isolation package, and travelling directly to designated accommodation.
  • Charge for managed self-isolation package.
  • Duty to self-isolate and period of self-isolation.
  • Exceptions from duty to self-isolate.
  • Permitted reasons to leave or be outside place of self-isolation.
  • Duties where P is a child.
  • Modification of application Schedule 11 where P is a relevant person – relevant person is defined in paragraph 18.
  • Modification of application Schedule 11 where P is taking up employment as an NHS nurse.

Schedule 12 – Information for passengers

Schedule 12 sets out the information that operators must provide to passengers, in accordance with R14. 

The information is dependent on whether the person is a red list, amber list or green list passenger.

From 4am on 4th October 2021 the Schedule was amended so that the information is dependent on whether the person is a red list passenger, fully vaccinated, unvaccinated, or vaccinated with unauthorised vaccines: see The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 13) Regulations 2021, R.26.

From 4am on 7 January 2022 the Schedule was further amended, so that the information is dependent on whether the person is a red list passenger and whether they qualify as fully vaccinated.

The information that operators must provide to passengers is likely to be subject to further changes. Prosecutors are therefore reminded to refer to www.legislation.gov.uk, using the timeline on the website to determine which provisions were in force at the time of an alleged breach.

Schedule 13 – Prohibition on the arrival of aircraft and vessels into England

The Schedule places obligations on controllers of aircraft and vessels (as defined in the Schedule), not to permit aircraft or vessels that have departed from a specified  country or territory to land / moor at a port in England, unless specified conditions apply.

A controller who contravenes the requirements in this Schedule commits an offence punishable on summary conviction by a fine.

Amendments to Schedule 13 – 8 June 2021

The Health Protection (Coronavirus, International Travel and Operator Liability) (England) (Amendment) (No. 2) Regulations 2021 amended Schedule 13, placing a requirement on airport operators to ensure passengers use designated terminals. Contravention of the requirement is an offence punishable on summary conviction by a fine.

Schedule 14 – Amounts of fixed penalties

The level of the fine for each offence under R19 is set out in this Schedule.

The level of fine varies according to whether it is a first or subsequent breach and the nature of the breach.

Schedule 16 – Transitional provision

The Schedule sets out the transitional provisions that apply with regard to the International Travel Regulations 2020.

Charging Practice

These offences are summary only and, in line with the Directors Guidance on Charging, can be charged by the Police. Prosecutors are reminded that the issuing of criminal proceedings is likely to have been a matter of last resort.

Statutory time limit

Offences under the Coronavirus Regulations are not governed by the 6 month time limit (from the offence date) set out in section 127(1) of the Magistrates' Courts. The Regulations are made under the Public Health (Control of Disease) Act 1984 and section 64A of this Act states that the time limit for proceedings is: 

  • before the end of the period of 6 months beginning with the date on which evidence which the prosecutor thinks is sufficient to justify the proceedings comes to the prosecutor's knowledge; and
  • within 3 years of the date of the commission of the offence.

Since offences under the Coronavirus Regulations are usually charged by the police, in most cases the police officer will be “the prosecutor” for the purposes of this statutory time limit provision. It should be noted that:

  • Where an offence is charged 6 months or more after the date of the breach, the police officer who makes the charging decision should produce a certificate to state the date on which evidence which they think is sufficient to justify the proceedings came to their knowledge.
  • The relevant date will depend on the review process operated by the particular police force. For instance, in cases where a FPN is issued, the relevant date could be any of the following: the date of breach; the date when the FPN was issued; the date after the expiry of the 28 day period for payment of a FPN; or later, when an evidential review for charging purposes is completed.
  • In cases where the CPS charges an offence under the Coronavirus Regulations, such as where it is linked to other offences referred to the CPS for a charging decision (and it is considered appropriate to charge the Coronavirus offence), if the case is charged 6 months or more after the date of the breach, the CPS prosecutor should produce the certificate. The court in the case of DPP v Woodward [2017] EWHC 1008 (Admin); 181 J.P. 405 reviewed the main authorities on this point and summarised the key propositions. It stated that the relevant date is the date upon which the prosecutor considers that, upon the available evidence it is in the public interest to prosecute the particular individual, and not merely whether there is a prima facie case. However, the decision could not be avoided or delayed by sitting on information.

Public interest

When deciding whether a prosecution is under the regulations in the public interest, prosecutors should consider Paragraphs 4.9 – 4.14 of the Code for Crown Prosecutors, when assessing the relevant public interest factors tending for and against prosecution.

Given that the offences in the Regulations are related to measures imposed to prevent the spread of infection throughout the UK, and potentially high incidences of serious illness and death, they should be considered serious. A prosecution will therefore likely be required in the public interest in the majority of cases.

Totality of offending

When breaches of The International Travel Regulations are committed at the same time as other offences prosecutors should consider the totality of the offending. In circumstances where the breach of the Regulations is not likely to attract a separate penalty then no additional offence should be charged. The fact that the circumstances of the offence also involved behaviour which was in breach of the Regulations should be referred to in the case summary so that it is treated as part of the overall circumstances of the offending for sentencing purposes. Prosecutors are reminded that offences under the Regulations cannot be dealt with in the Crown Court.

Forged notification of negative test

Where a person purports to present valid notification of a negative coronavirus test, to comply with R4(4), but they are in possession of a forged notification, prosecutors should consider the following offences:

  • R19(1)(b) - without reasonable excuse P contravenes a requirement in regulation 4 (requirement to possess notification of negative test result).
  • However, prosecutors should note R19(2)(a) - P does not commit an offence where P contravenes a requirement in paragraph (1), (2), (3) or (4) of regulation 4, if P reasonably believed at the time of the contravention that the notification of a negative result was valid and from a qualifying test.
  • Prosecutors are also reminded that R19(6) creates an offence where a person intentionally or recklessly provides false or misleading passenger information, except for reasons of national security.
  • Using a false instrument under s3 of the Forgery and Counterfeiting Act 1981. This offence may be appropriate where culpability extends beyond the Regulation offences, and the available sentencing powers are insufficient.
  • Fraud by false representation under s2 of the Fraud Act 2006.

In selecting the most appropriate charge, prosecutors are reminded to select the offence which provides the court with appropriate sentencing powers, taking into account the circumstances of the case; the offender and any aggravating features.

Government Guidelines and the Regulations

Where Government guidelines or advice suggest that the public should or should not act in specific ways, failure to comply with such guidelines or advice is not an offence unless it is specifically covered by the Regulations.

 

The Code for Crown Prosecutors

The Code for Crown Prosecutors is a public document, issued by the Director of Public Prosecutions that sets out the general principles Crown Prosecutors should follow when they make decisions on cases.

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Prosecution guidance

This guidance assists our prosecutors when they are making decisions about cases. It is regularly updated to reflect changes in law and practice.

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