PART 5The Authority
Proposal to take disciplinary measures36
1
Where the Authority proposes to publish a statement under regulation 33 or regulation 35(4)(b), or to impose a penalty under regulation 34 or regulation 35(4)(a), it must without delay give the person concerned a warning notice.
2
If, having considered any representations made in response to the warning notice, the Authority decides to publish a statement under regulation 33 or regulation 35(4)(b), or impose a penalty under regulation 34 or regulation 35(4)(a), it must without delay give the person concerned a decision notice.
3
Any warning notice or decision notice given pursuant to this regulation must comply with the requirements of Part 26 (notices) of the Act as modified by paragraph 4 of Schedule 7.
4
If the Authority decides to publish the statement under regulation 33 or regulation 35(4)(b) or impose a penalty on a person under regulation 34 or regulation 35(4)(a), the person concerned may refer the matter to the Tribunal.
5
After a statement under regulation 33 or regulation 35(4)(b) is published, the Authority must send a copy of it to—
a
the person concerned; and
b
any person to whom a copy of the decision notice has been given under section 393(4)35 (third party rights) of the Act (as applied by paragraph 4 of Schedule 7 to these Regulations).
6
Subject to paragraph (7), sections 21036 (statements of policy) and 21137 (statements of policy: procedure) of the Act apply in respect of the imposition of penalties by the Authority under regulation 34 and regulation 35(4)(a) and the amount of such penalties as they apply in respect of the imposition of penalties under section 20638 of the Act (financial penalties) and the amount of penalties under that section.
7
Section 210(1A) of the Act does not apply in respect of the imposition of penalties by the Authority under regulation 34 or regulation 35(4)(a).