|
| |
|
(4) | The Commission shall have regard to the guidance or revised |
| |
guidance published under this paragraph in exercising their |
| |
| |
Information about use of investigatory powers in Commission’s annual report |
| |
15 (1) | Each report by the Commission under paragraph 20 of Schedule 1 |
| 5 |
shall contain information about the use made by the Commission |
| |
of their powers under this Schedule during the year in question. |
| |
(2) | The report shall, in particular, specify— |
| |
(a) | the cases in which a notice was given under paragraph 1 or |
| |
| 10 |
(b) | the cases in which premises were entered under paragraph |
| |
| |
(c) | the cases in which a requirement was imposed under |
| |
| |
(d) | the cases in which a warrant under paragraph 3— |
| 15 |
| |
| |
| |
(e) | in relation to each warrant under paragraph 3 that was |
| |
| 20 |
(i) | what force (if any) was used to enter the premises; |
| |
(ii) | whether documents were seized; |
| |
(iii) | any other noteworthy details. |
| |
(3) | This paragraph does not require the Commission to include in a |
| |
report any information that, in their opinion, it would be |
| 25 |
inappropriate to include on the ground that to do so— |
| |
(a) | would or might be unlawful, or |
| |
(b) | might adversely affect any current investigation or |
| |
| |
| 30 |
| |
Civil sanctions: Schedule to be inserted into the 2000 Act |
| |
| |
| |
| |
| |
| 35 |
Imposition of fixed monetary penalties |
| |
1 (1) | The Commission may by notice impose a fixed monetary penalty |
| |
on a person if satisfied beyond reasonable doubt that the person— |
| |
(a) | has committed a prescribed offence under this Act, or |
| |
|
| |
|
| |
|
(b) | has (otherwise than by committing an offence under this |
| |
Act) contravened a prescribed restriction or requirement |
| |
imposed by or by virtue of this Act. |
| |
(2) | The Commission may by notice impose a fixed monetary penalty |
| |
on a registered party if satisfied beyond reasonable doubt that a |
| 5 |
person holding an office within that party— |
| |
(a) | has committed a prescribed offence under this Act, or |
| |
(b) | has (otherwise than by committing an offence under this |
| |
Act) contravened a prescribed restriction or requirement |
| |
imposed by or by virtue of this Act. |
| 10 |
(3) | The Commission may by notice impose a fixed monetary penalty |
| |
on a recognised third party if satisfied beyond reasonable doubt |
| |
that the responsible person— |
| |
(a) | has committed a prescribed offence under this Act, or |
| |
(b) | has (otherwise than by committing an offence under this |
| 15 |
Act) contravened a prescribed restriction or requirement |
| |
imposed by or by virtue of this Act. |
| |
(4) | The Commission may by notice impose a fixed monetary penalty |
| |
on a permitted participant if satisfied beyond reasonable doubt |
| |
that the responsible person— |
| 20 |
(a) | has committed a prescribed offence under this Act, or |
| |
(b) | has (otherwise than by committing an offence under this |
| |
Act) contravened a prescribed restriction or requirement |
| |
imposed by or by virtue of this Act. |
| |
(5) | For the purposes of this Schedule a “fixed monetary penalty” is a |
| 25 |
requirement to pay to the Commission a penalty of a prescribed |
| |
| |
(6) | In the case of a fixed monetary penalty imposed under sub- |
| |
paragraph (1)(a), (2)(a), (3)(a) or (4)(a), where the offence in |
| |
| 30 |
(a) | triable summarily (whether or not it is also triable on |
| |
| |
(b) | punishable on summary conviction by a fine (whether or |
| |
not it is also punishable by a term of imprisonment), |
| |
| the amount of the penalty may not exceed the maximum amount |
| 35 |
| |
Representations and appeals etc |
| |
2 (1) | Where the Commission propose to impose a fixed monetary |
| |
penalty on a person, they shall serve on the person a notice of what |
| |
| 40 |
(2) | A notice under sub-paragraph (1) must offer the person the |
| |
opportunity to discharge the person’s liability for the fixed |
| |
monetary penalty by payment of a prescribed sum (which must be |
| |
less than or equal to the amount of the penalty). |
| |
| The following provisions of this paragraph apply if the person |
| 45 |
| |
|
| |
|
| |
|
(3) | The person may make written representations and objections to |
| |
the Commission in relation to the proposed imposition of the fixed |
| |
| |
(4) | After the end of the period for making such representations and |
| |
objections (see paragraph 3(2)) the Commission shall decide |
| 5 |
whether to impose the fixed monetary penalty. |
| |
| If they decide to do so they shall serve on the person a notice |
| |
| |
(5) | The Commission may not impose a fixed monetary penalty on a |
| |
| 10 |
(a) | if, taking into account (in particular) any matter raised by |
| |
the person, the Commission are no longer satisfied as |
| |
mentioned in paragraph 1(1), (2), (3) or (4) (as applicable); |
| |
(b) | in such other circumstances as may be prescribed. |
| |
(6) | A person on whom a fixed monetary penalty is imposed may |
| 15 |
appeal against the decision to impose the penalty on the ground |
| |
| |
(a) | it was based on an error of fact, |
| |
(b) | it was wrong in law, or |
| |
| 20 |
| or on such other grounds as may be prescribed. |
| |
(7) | An appeal under sub-paragraph (6) is to a county court or (in |
| |
| |
Information to be included in notices under paragraph 2 |
| |
3 (1) | A notice under paragraph 2(1) must include information as to— |
| 25 |
(a) | the grounds for the proposal to impose the fixed monetary |
| |
| |
(b) | the effect of payment of the sum referred to in paragraph |
| |
| |
(c) | the right to make representations and objections; |
| 30 |
(d) | the circumstances in which the Commission may not |
| |
impose the fixed monetary penalty. |
| |
(2) | Such a notice must also specify— |
| |
(a) | the period within which liability for the fixed monetary |
| |
penalty may be discharged, and |
| 35 |
(b) | the period within which representations and objections |
| |
| |
| Neither period may be more than 28 days beginning with the day |
| |
on which the notice is received. |
| |
(3) | A notice under paragraph 2(4) must include information as to— |
| 40 |
(a) | the grounds for imposing the fixed monetary penalty; |
| |
(b) | how payment may be made; |
| |
(c) | the period within which payment may be made; |
| |
(d) | any early payment discounts or late payment penalties; |
| |
| 45 |
(f) | the consequences of non-payment. |
| |
|
| |
|
| |
|
Fixed monetary penalties: criminal proceedings and conviction |
| |
4 (1) | Where a notice under paragraph 2(1) is served on a person— |
| |
(a) | no criminal proceedings for an offence under this Act may |
| |
be instituted against the person in respect of the act or |
| |
omission to which the notice relates before the end of the |
| 5 |
period within which the person’s liability may be |
| |
discharged as mentioned in paragraph 2(2) (see paragraph |
| |
| |
(b) | if the liability is so discharged, the person may not at any |
| |
time be convicted of an offence under this Act in relation to |
| 10 |
| |
(2) | A person on whom a fixed monetary penalty is imposed may not |
| |
at any time be convicted of an offence under this Act in respect of |
| |
the act or omission giving rise to the penalty. |
| |
| 15 |
discretionary requirements |
| |
Imposition of discretionary requirements |
| |
5 (1) | The Commission may impose one or more discretionary |
| |
requirements on a person if satisfied beyond reasonable doubt |
| |
| 20 |
(a) | has committed a prescribed offence under this Act, or |
| |
(b) | has (otherwise than by committing an offence under this |
| |
Act) contravened a prescribed restriction or requirement |
| |
imposed by or by virtue of this Act. |
| |
(2) | The Commission may impose one or more discretionary |
| 25 |
requirements on a registered party if satisfied beyond reasonable |
| |
doubt that a person holding an office within that party— |
| |
(a) | has committed a prescribed offence under this Act, or |
| |
(b) | has (otherwise than by committing an offence under this |
| |
Act) contravened a prescribed restriction or requirement |
| 30 |
imposed by or by virtue of this Act. |
| |
(3) | The Commission may impose one or more discretionary |
| |
requirements on a recognised third party if satisfied beyond |
| |
reasonable doubt that the responsible person— |
| |
(a) | has committed a prescribed offence under this Act, or |
| 35 |
(b) | has (otherwise than by committing an offence under this |
| |
Act) contravened a prescribed restriction or requirement |
| |
imposed by or by virtue of this Act. |
| |
(4) | The Commission may impose one or more discretionary |
| |
requirements on a permitted participant if satisfied beyond |
| 40 |
reasonable doubt that the responsible person— |
| |
(a) | has committed a prescribed offence under this Act, or |
| |
(b) | has (otherwise than by committing an offence under this |
| |
Act) contravened a prescribed restriction or requirement |
| |
imposed by or by virtue of this Act. |
| 45 |
|
| |
|
| |
|
(5) | For the purposes of this Schedule a “discretionary requirement” |
| |
| |
(a) | a requirement to pay a monetary penalty to the |
| |
Commission of such amount as the Commission may |
| |
| 5 |
(b) | a requirement to take such steps as the Commission may |
| |
specify, within such period as they may specify, to secure |
| |
that the offence or contravention does not continue or |
| |
| |
(c) | a requirement to take such steps as the Commission may |
| 10 |
specify, within such period as they may specify, to secure |
| |
that the position is, so far as possible, restored to what it |
| |
would have been if the offence or contravention had not |
| |
| |
(6) | Discretionary requirements may not be imposed on the same |
| 15 |
person on more than one occasion in relation to the same act or |
| |
| |
| |
“variable monetary penalty” means such a requirement as is |
| |
referred to in sub-paragraph (5)(a); |
| 20 |
“non-monetary discretionary requirement” means such a |
| |
requirement as is referred to in sub-paragraph (5)(b) or (c). |
| |
(8) | In the case of a variable monetary penalty imposed under sub- |
| |
paragraph (1)(a), (2)(a), (3)(a) or (4)(a), where the offence in |
| |
| 25 |
(a) | triable summarily only, and |
| |
(b) | punishable on summary conviction by a fine (whether or |
| |
not it is also punishable by a term of imprisonment), |
| |
| the amount of the penalty may not exceed the maximum amount |
| |
| 30 |
Representations and appeals etc |
| |
6 (1) | Where the Commission propose to impose a discretionary |
| |
requirement on a person, they shall serve on the person a notice of |
| |
| |
(2) | A person served with a notice under sub-paragraph (1) may make |
| 35 |
written representations and objections to the Commission in |
| |
relation to the proposed imposition of the discretionary |
| |
| |
(3) | After the end of the period for making such representations and |
| |
objections (see paragraph 7(2)) the Commission shall decide |
| 40 |
| |
(a) | to impose the discretionary requirement, with or without |
| |
| |
(b) | to impose any other discretionary requirement that the |
| |
Commission have power to impose under paragraph 5. |
| 45 |
(4) | The Commission may not impose a discretionary requirement on |
| |
| |
|
| |
|
| |
|
(a) | if, taking into account (in particular) any matter raised by |
| |
the person, the Commission are no longer satisfied as |
| |
mentioned in paragraph 5(1), (2), (3) or (4) (as applicable); |
| |
(b) | in such other circumstances as may be prescribed. |
| |
(5) | Where the Commission decide to impose a discretionary |
| 5 |
requirement on a person, they shall serve on the person a notice |
| |
specifying what the requirement is. |
| |
(6) | A person on whom a discretionary requirement is imposed may |
| |
appeal against the decision to impose the requirement on the |
| |
| 10 |
(a) | that the decision was based on an error of fact, |
| |
(b) | that the decision was wrong in law, |
| |
(c) | in the case of a variable monetary penalty, that the amount |
| |
of the penalty is unreasonable, |
| |
(d) | in the case of a non-monetary discretionary requirement, |
| 15 |
that the nature of the requirement is unreasonable, or |
| |
(e) | that the decision is unreasonable for any other reason, |
| |
| or on such other grounds as may be prescribed. |
| |
(7) | An appeal under sub-paragraph (6) is to a county court or (in |
| |
| 20 |
Information to be included in notices under paragraph 6 |
| |
7 (1) | A notice under paragraph 6(1) must include information as to— |
| |
(a) | the grounds for the proposal to impose the discretionary |
| |
| |
(b) | the right to make representations and objections; |
| 25 |
(c) | the circumstances in which the Commission may not |
| |
impose the discretionary requirement. |
| |
(2) | Such a notice must also specify the period within which |
| |
representations and objections may be made. |
| |
| That period may not be less than 28 days beginning with the day |
| 30 |
on which the notice is received. |
| |
(3) | A notice under paragraph 6(5) must include information as to— |
| |
(a) | the grounds for imposing the discretionary requirement; |
| |
(b) | where the discretionary requirement is a variable |
| |
| 35 |
(i) | how payment may be made, |
| |
(ii) | the period within which payment must be made, |
| |
| |
(iii) | any early payment discounts or late payment |
| |
| 40 |
| |
(d) | the consequences of non-compliance. |
| |
|
| |
|
| |
|
Discretionary requirements: criminal conviction |
| |
8 (1) | A person on whom a discretionary requirement is imposed may |
| |
not at any time be convicted of an offence under this Act in respect |
| |
of the act or omission giving rise to the requirement. |
| |
(2) | Sub-paragraph (1) does not apply where— |
| 5 |
(a) | a non-monetary discretionary requirement is imposed on |
| |
| |
(b) | no variable monetary penalty is imposed on the person, |
| |
| |
(c) | the person fails to comply with the non-monetary |
| 10 |
discretionary requirement. |
| |
Failure to comply with discretionary requirements |
| |
9 (1) | The Commission may by notice impose a monetary penalty (a |
| |
“non-compliance penalty”) on a person for failing to comply with |
| |
a non-monetary discretionary requirement imposed on the |
| 15 |
| |
(2) | Subject to any prescribed criteria, or any prescribed maximum or |
| |
minimum amounts, the amount of a non-compliance penalty is to |
| |
be such as the Commission may determine. |
| |
(3) | A person served with a notice imposing a non-compliance penalty |
| 20 |
may appeal against the notice on the ground that the decision to |
| |
| |
(a) | was based on an error of fact, |
| |
| |
(c) | was unfair or unreasonable for any reason (for example |
| 25 |
because the amount is unreasonable), |
| |
| or on such other grounds as may be prescribed. |
| |
(4) | An appeal under sub-paragraph (3) is to a county court or (in |
| |
| |
| 30 |
| |
Imposition of stop notices |
| |
10 (1) | Where sub-paragraph (2) or (3) applies, the Commission may |
| |
serve on a person a notice (a “stop notice”) prohibiting the person |
| |
from carrying on an activity specified in the notice until the person |
| 35 |
has taken the steps specified in the notice. |
| |
(2) | This sub-paragraph applies where— |
| |
(a) | the person is carrying on the activity, |
| |
(b) | the Commission reasonably believe that the activity as |
| |
carried on by the person involves or is likely to involve the |
| 40 |
| |
(i) | committing a prescribed offence under this Act, or |
| |
|
| |
|