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Penalties Review

List of questions on which the review would like evidence

The review(for all)

  1. What would you like the review to achieve for your organisation?
  2. Considering the issues set out in chapter three, what changes would you like to see arising from the review?
  3. What would be the most positive outcome for you?
  4. What would be the worst outcome for you?

Please provide supporting comments with your reply. It would be helpful to understand your relationship with the private sector/regulators.

Enforcement strategy and enforcement toolkit (for regulators)

  1. Please outline the enforcement approach and strategy your organisation pursues including any safeguards in the process and appeal routes
  2. Please describe what powers you have available in your enforcement toolkit and when you use them.
  3. Of the regulatory breaches that are pursued each year, how many are normally subject to criminal sanctions?
  4. Was the use of criminal sanctions appropriate or would alternative approaches (which may or may not be available) have been a more proportionate response?
  5. Please identify enforcement tools that you would like to have access to but currently do not.
  6. Please discuss the effectiveness of your enforcement strategy and how it is measured, and how you think it could be improved.

Data (for regulators)

  1. Please outline any quantitative data you have relating to your enforcement policy such as:

Data (for business)

  1. Please tell us about your business - industry, number of employees and estimated annual turnover.
  2. Please tell us about your experience with regulators in cases of a regulatory breach and the use of both formal proceedings or informal options.
  3. Have you ever appealed against any such decisions? How easy or difficult did you find the appeal process?
  4. Where competitors have been in breach of regulatory requirements, do you feel that the sanctions applied have been appropriate?

Data (for magistrates)

  1. How often do you see regulatory offences?
  2. How do you decide at what level to set the fine?
  3. Do you feel you have the necessary expertise for cases of regulatory breaches?
  4. What problems do you see in the way regulatory cases are presented?

Criminal prosecutions

  1. Is criminal prosecution an effective tool in dealing with regulatory offences?
  2. Are there benefits in using criminal prosecution?
  3. Please give your views on whether you think regulatory offences should or could be re-categorised with some offences becoming decriminalised.
  4. Please outline your experience with criminal proceedings including the knowledge of magistrates or Crown Court judges of your regulatory area, the level of fines, the duration of cases from initial proceedings to final resolution and whether cases settle before proceeding to court.
  5. In general, do you think the current system is adequate? If not, how would you suggest it be improved?

Intermediate sanctions

  1. Should the review look to the greater use of administrative penalties as an option for intermediate sanctioning?
  2. What type of model would be appropriate? Consider the safeguards, appeals mechanisms and standards of proof that the model should embrace.

Enforcement notices

  1. Do you feel the current use of enforcement notices requiring compliance in the future achieves their goal?
  2. Would coupling such notices with an administrative penalty for non-compliance be more effective in securing compliance than the threat of a criminal prosecution?

Alternative sanctions

  1. Should the review consider the case for introducing alternative sanctions by the courts or by regulators in the case of regulatory offences such as reputational sanctions, probation orders or restorative orders?
  2. Could the effect of alternative sanctions of this type be as effective as economic or criminal sanctions?

Financial penalties

  1. Please tell us if you think the financial penalties handed down in both the magistrates or Crown Courts are appropriate and effective for regulatory offences?
  2. Should the financial penalty in the case of regulatory breaches reflect the economic gain derived from the non-compliance?
  3. Should the financial penalty in the case of regulatory breaches reflect the level or harm or potential harm caused?
  4. Should the financial penalty consider other factors such as previous compliance record, ability to pay, and the seriousness of the offence, annual turnover of the business etc? Which of these factors are the most important?

Other considerations

  1. Please mention any other areas relating to sanctions and penalties that the review should consider.

Provide supporting comments as to why this should be included in the review including any appropriate evidence with your response.