PART 4Enforcement undertakings
Enforcement undertakings
17. The management authority may accept a written undertaking (“an enforcement undertaking”) given by a person to the management authority to take such action as may be specified in the undertaking within such period as may be specified where the management authority has reasonable grounds to suspect that the person has failed to comply with a relevant regulation.
Contents of an enforcement undertaking
18.—(1) An enforcement undertaking must specify—
(a)action to be taken by the person to secure that the failure to comply with a relevant regulation does not continue or recur;
(b)action to secure that the position is, so far as possible, restored to what it would have been if the failure to comply had not occurred;
(c)action (including the payment of a sum of money) to be taken by the person giving the undertaking to benefit any person affected by the failure to comply.
(2) It must specify the period within which the action must be completed.
(3) It must include—
(a)a statement that the undertaking is made in accordance with this Schedule;
(b)the terms of the undertaking;
(c)information as to how and when a person is considered to have discharged the undertaking.
(4) An enforcement undertaking may be varied, or the period within which the action must be completed may be extended, if the management authority and the person who gave the undertaking agree in writing.
Acceptance of an enforcement undertaking
19.—(1) If the management authority has accepted an enforcement undertaking from a person, it may not serve on that person a compliance notice or stop notice, or impose a non-compliance penalty or a variable monetary penalty, in respect of the act or omission that is the subject of the undertaking.
(2) Paragraph (1) does not apply if the person who gave the undertaking has failed to comply with it or any part of it.
Discharge of an enforcement undertaking
20.—(1) The management authority must issue a certificate (“a discharge certificate”) if it is satisfied on the balance of probabilities that an enforcement undertaking has been complied with.
(2) An enforcement undertaking ceases to have effect on the issue of a discharge certificate.
(3) The management authority may require the person who gave the undertaking to provide sufficient information to determine that the undertaking has been complied with.
(4) The person who gave the undertaking may at any time apply for a discharge certificate.
(5) The management authority must decide whether to issue a discharge certificate and give written notice of the decision to the applicant (including information as to the rights of appeal) within 14 days of the application.
(6) The applicant may appeal against a decision not to issue a discharge certificate on the grounds that the decision—
(a)was based on an error of fact;
(b)was wrong in law;
(c)was unreasonable;
(d)was wrong for any other reason.
Inaccurate, incomplete or misleading information
21.—(1) A person who gives inaccurate, misleading or incomplete information in relation to an enforcement undertaking is regarded as not having complied with it.
(2) The management authority may by notice in writing revoke a discharge certificate if it was issued on the basis of inaccurate, incomplete or misleading information.
Non-compliance with an enforcement undertaking
22.—(1) If a person does not comply with an enforcement undertaking, the management authority may serve a compliance notice or stop notice, or impose a non-compliance penalty or variable monetary penalty, in respect of the act or omission that was the subject of the undertaking.
(2) If a person has only complied partly with an undertaking, that partial compliance must be taken into account in the imposition of any sanction.