Part 8

Enforcement

Sanctions and offences etc

Sanctions
75
1
Part 1 of Schedule 9 sets out the action the IFR may take in relation to a person where—
a
the IFR determines that the person has, without reasonable excuse, failed to comply with an information requirement, or
b
the IFR is satisfied beyond reasonable doubt that the person has committed an offence under section 78.
2
In subsection (1) and in Part 1 of Schedule 9, “information requirement” means a requirement imposed by or under section 65, 66 or 72 or Schedule 8.
3
Part 2 of Schedule 9 sets out the action the IFR may take where (whether as a result of an investigation or otherwise) the IFR determines that a person has, without reasonable excuse, committed a relevant infringement (but this is subject to subsection (6)).
4
Part 3 of Schedule 9 makes provision in connection with financial penalties under paragraphs 3 and 6 of that Schedule.
5
The IFR may not take action in relation to a person under Schedule 9 in respect of an act or omission which constitutes an offence under section 78 if the person has, in relation to that act or omission, been found guilty of that offence.
6
The IFR may not take action in relation to a club where it determines that the club has, without reasonable excuse, committed a relevant infringement by virtue of paragraph 2(4)(a)(ii) of Schedule 7 (but it may, in respect of such an infringement, take action in relation to a senior manager by virtue of paragraph 5 of that Schedule).

Warning notices
76
1
Where the IFR is minded to take action in relation to a person in accordance with section 75 and Schedule 9, the IFR must first give the person a warning notice.
2
A warning notice is a notice that—
a
gives details of the action the IFR is minded to take,
b
explains why the IFR is minded to take the action,
c
invites the person concerned to make representations about the proposed action,
d
specifies the means by which, and the period within which, such representations must be made, and
e
states whether the decision whether to take action is to be taken by the Board or delegated under paragraph 18 of Schedule 2, and if it is to be delegated, to which person or committee listed in that paragraph it is to be delegated.
3
The period for making representations must be a period of not less than 14 days beginning with the day on which the warning notice is given.
4
The IFR must have regard to any representations received in accordance with a warning notice before giving a decision notice under section 77 (and, accordingly, may not take action in accordance with section 75 and Schedule 9 until the period allowed for representations has expired).

Decision notices
77
1
As soon as reasonably practicable after the period allowed for representations under section 76 has expired, the IFR must—
a
determine whether to take action in relation to the person in accordance with section 75 and Schedule 9, and
b
give the person a decision notice.
2
A decision notice is a notice that—
a
states—
i
the action that the IFR is taking (which, subject to subsection (3), does not need to be the same action detailed in the warning notice), or
ii
that the IFR is not taking action,
b
explains why the IFR is taking that action or is not taking action,
c
where the IFR is taking action, states—
i
what action (if any) the person is required to take as a result, and
ii
the day or days by which the person is required to take that action, and
d
states whether the decision to take action, or not to take action, was made by the Board or delegated under paragraph 18 of Schedule 2, and if it was delegated, to which person or committee listed in that paragraph it was delegated.
3
The IFR may not take action under paragraph 9 of Schedule 9 (suspension or revocation of operating licence) unless action under that paragraph was detailed in the warning notice.
4
Subsection (5) applies where the IFR—
a
has given a person a decision notice and has taken the action stated in it, but
b
considers that the action has been ineffective.
5
The IFR may take further action in accordance with section 75 and Schedule 9 (and section 76 and this section apply in relation to any such further action).

Offences
78

Destroying or falsifying information
1
A person commits an offence if the person—
a
intentionally or recklessly destroys or otherwise disposes of relevant information,
b
falsifies or conceals relevant information, or
c
causes or permits the destruction, disposal, falsification or concealment of relevant information.
2
In subsection (1), “relevant information” means information the person is required, under or by virtue of this Act, to give to—
a
the IFR, or
b
an expert reporter appointed under section 66.

False or misleading information
3
A person commits an offence if—
a
the person gives information to—
i
the IFR in connection with any of its functions under this Act, or
ii
an expert reporter appointed under section 66 in connection with the preparation of a report under that section,
b
the information is false or misleading in a material particular, and
c
the person knows or is reckless as to whether that is the case.
4
A person commits an offence if the person gives information to another person which is false or misleading in a material particular and the person—
a
knows that the information is false or misleading in a material particular or is reckless as to whether that is the case, and
b
knows that the information will be given to—
i
the IFR in connection with any of its functions under this Act, or
ii
an expert reporter appointed under section 66 in connection with the preparation of a report under that section.

Obstruction
5
A person commits an offence if the person intentionally obstructs an officer of the IFR acting in the exercise of the officer’s powers under a warrant issued under paragraph 3 of Schedule 8.

Penalties
6
A person guilty of an offence under this section is liable—
a
on summary conviction, to imprisonment for a term not exceeding the general limit in a magistrates’ court, to a fine or to both;
b
on conviction on indictment, to imprisonment for a term not exceeding 2 years, to a fine, or to both.

Interaction with sanctions under section 75
7
A person may not be found guilty of an offence under this section by virtue of an act or omission if the IFR has taken action under Schedule 9 in relation to the person in relation to that act or omission.

Urgent directions

Urgent directions
79
1
This section applies where—
a
the IFR determines (whether as a result of an investigation or otherwise) that a person has, without reasonable excuse, committed a relevant infringement,
b
the relevant infringement is continuing, and
c
the relevant infringement jeopardises, or immediately risks jeopardising, the IFR’s ability to advance one or more of its objectives.
2
The IFR may give the person such direction as the IFR considers appropriate to bring the relevant infringement to an end (an “urgent direction”).
3
An urgent direction must—
a
explain why the IFR is giving a direction;
b
state the action the direction requires the person to take or the action the direction prohibits the person from taking;
c
state the period during which the action must be taken or the prohibited action must not be taken (as the case may be);
d
include information about the possible consequences under Part 8 of not complying with the direction;
e
if the IFR did not give the person concerned an opportunity to make representations before giving the direction, explain why;
f
include any other information the IFR considers relevant.
4
A period specified in an urgent direction may be indefinite.
5
An urgent direction may be varied or revoked by a further urgent direction.
6
Where the IFR is minded to vary an urgent direction so as to extend a time period, the IFR must invite the person concerned to make representations before giving a further urgent direction.
7
Before giving a further urgent direction the IFR must have regard to any representations received (whether in response to an invitation under subsection (6) or otherwise).

Publication

Requirement to publish certain notices etc
80
Where the IFR gives a person—
a
a warning notice under section 76,
b
a decision notice under section 77, or
c
an urgent direction under section 79,
it must, as soon as reasonably practicable after giving the notice or direction, publish that notice or direction.