Failure to comply with conditions relating to supply etc of certain documentsU.K.
7.—(1) A person is guilty of an offence—
(a)if the person fails to comply with any of the provisions specified in sub-paragraph (2), or
(b)if the person is an appropriate supervisor of a person (“P”) who fails to comply with such a provision and the supervisor failed to take appropriate steps.
(2) The specified provisions are paragraphs 2(7), (9) and (11), 3(6) and (8), 4(2) and 5(2).
(3) P is not guilty of an offence under sub-paragraph (1) if—
(a)P had an appropriate supervisor, and
(b)P has complied with all the requirements imposed on P by P's appropriate supervisor.
(4) A person who is not P or an appropriate supervisor is not guilty of an offence under sub-paragraph (1) if the person takes all reasonable steps to ensure that he or she complies with the provisions specified in sub-paragraph (2).
(5) In sub-paragraphs (1)(b), (3) and (4)—
(a)an appropriate supervisor is a person who is a director of a company or concerned in the management of an organisation in which P is employed or under whose direction or control P is;
(b)appropriate steps are such steps as it was reasonable for the appropriate supervisor to take to secure the operation of procedures designed to prevent, so far as reasonably practicable, the occurrence of a failure to comply with the provisions specified in sub-paragraph (2).
(6) A person guilty of an offence as mentioned in sub-paragraph (1) is liable on summary conviction to a fine not exceeding level 5 on the standard scale.