SCHEDULE 4FACTORS TO BE TAKEN INTO ACCOUNT IN DETERMINING THE AMOUNT OF A PENALTY
PART 1Aggravating factors
1
Seriousness of the non-compliance.
2
Harm or potential harm to human health.
3
Financial harm to consumers.
4
Financial harm to competitors.
5
Duration of non-compliance.
6
Evidence of intention behind the non-compliance.
7
History of non-compliance of the person (“P”) to whom the penalty notice is to be given.
8
Financial gain made by P as a result of non-compliance.
9
Financial resources of P.
10
Size of P’s business.
11
Availability of non-compliant product, including the number of retail shops in which it has been marketed.
12
Where P is a retailer with a number of retail outlets, the number of retail outlets operated by them (whether or not there is evidence that the non-compliant product has been, or may have been, marketed in all of those outlets).
13
The conduct of P after the non-compliance had come to the attention of the enforcement authority.
14
Previous action taken by the enforcement authority to help P comply with the Regulations.
PART 2Mitigating factors
1
Action taken to eliminate or reduce the risk of damage resulting from the non-compliance.
2
Action taken by P to repair the harm done by the non-compliance.
3
Any co-operation given to the enforcement authority by P in responding to the non-compliance.
4
Whether P reported the non-compliance to the enforcement authority.
5
Financial resources of P.
6
Size of P’s business.
7
Availability of non-compliant product, including the number of retail shops in which it has been marketed.
8
The conduct of P after the non-compliance was drawn their attention by an enforcement authority.
9
Where the non-compliance was committed by an employee of P, the extent to which the employee was acting outside of their authority.