Regulation 19 Civil sanctions

(1)

Where the Agency is satisfied on the balance of probabilities that a person has contravened a requirement specified in paragraph (2) (“a relevant requirement”), the Agency may, in relation to that contravention, impose on that person—

(a)

a fixed monetary penalty in accordance with Part 1 of Schedule 2;

(b)

a variable monetary penalty in accordance with Part 2 of Schedule 2; or

(c)

a compliance notice in accordance with Part 3 of Schedule 2.

(2)

The requirements are—

(a)

regulation 4(4) (comply with specified steps within specified deadline);

(b)

regulation 6(1) (written record in event of outage within specified deadline);

(c)

regulation 6(3)(b) (retain and make available outage written record);

(d)

regulation 7(2) (corrections);

(e)

regulation 8(3)(b)(i) (written record);

(f)

regulation 8(3)(b)(ii) (record digitally excluded number in written record);

(g)

regulation 8(3)(b)(iii) (retain and make available written record);

(h)

regulation 9(1) (application for digitally excluded number);

(i)

regulation 10(1) (notice of ceasing to be digitally excluded person);

(j)

regulation 10(2) (deadline for giving notice).

(3)

Where the Agency is satisfied on the balance of probabilities that—

(a)

a relevant requirement has been contravened by a body corporate, partnership or unincorporated association; and

(b)

the contravention occurred with the consent or connivance of, or was attributable to any neglect on the part of—

(i)

a relevant individual; or

(ii)

an individual purporting to act in the capacity of a relevant individual,

the Agency may impose a civil sanction specified in paragraph (1) on that individual as well as the body corporate, partnership or unincorporated association.

(4)

If the Agency is satisfied, on the balance of probabilities, that the contravention of a relevant requirement or prohibition by a person is due to the act or default of some other person, the Agency may also impose a civil sanction specified in paragraph (1) on that other person, whether or not such a sanction is imposed on the first-mentioned person^f1.

(5)

A person on whom a civil sanction has been imposed under this regulation may appeal to the First-tier Tribunal against the imposition of that sanction in accordance with the procedure in regulation 25.

(6)

The Agency may recover a fixed monetary penalty or a variable monetary penalty—

(a)

as a civil debt; or

(b)

on the order of a court, as if payable under a court order.

(7)

In this regulation, “relevant individual” means—

(a)

in relation to a body corporate—

(i)

a director, member of the committee of management, chief executive, manager, secretary or other similar officer of the body, or a person purporting to act in any such capacity;

(ii)

where the affairs of the body are managed by its members, a member;

(b)

in relation to an LLP, a member;

(c)

in relation to a partnership, a partner;

(d)

in relation to an unincorporated association, a person who is concerned in the management or control of the association.

Annotations

Footnotes

f1: See also section 158 of the 1990 Act.