Guidance as to use of civil sanctionsU.K.
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11.—(1) Where power is conferred on a regulator in this Order to impose a civil sanction in relation to an offence—
(a)the regulator must publish guidance about its use of the sanction;
(b)in the case of guidance relating to a fixed monetary penalty, variable monetary penalty, compliance notice, restoration notice or stop notice, the guidance must contain the relevant information;
(c)the regulator must revise the guidance where appropriate;
(d)the regulator must have regard to the guidance or revised guidance in exercising its functions.
(2) In the case of guidance relating to a fixed monetary penalty, the relevant information referred to in paragraph (1)(b) is information as to—
(a)the circumstances in which the penalty is likely to be imposed;
(b)the circumstances in which it may not be imposed;
(c)the amount of the penalty;
(d)how liability for the penalty may be discharged and the effect of discharge; and
(e)rights to make representations and objections and rights of appeal.
(3) In the case of guidance relating to a variable monetary penalty, a compliance notice or a restoration notice, the relevant information referred to in paragraph (1)(b) is information as to—
(a)the circumstances in which the requirement is likely to be imposed;
(b)the circumstances in which it may not be imposed;
(c)in the case of a variable monetary penalty, the matters likely to be taken into account by the regulator in determining the amount of the penalty (including voluntary reporting by any person of their own non-compliance); and
(d)rights to make representations and objections and rights of appeal.
(4) In the case of guidance relating to a stop notice, the relevant information referred to in paragraph (1)(b) is information as to—
(a)the circumstances in which the regulator is likely to serve the notice;
(b)the circumstances in which it may not be imposed; and
(c)rights of appeal.