Schedule 9Sanctions
Part 1Sanctions relating to information etc
Introduction
1
(a)
the IFR determines that a person (“P”) has, without reasonable excuse, failed to comply with an information requirement (see section 75(2)), or
(b)
the IFR is satisfied beyond reasonable doubt that P has committed an offence under section 78.
Censure statements
2
(1)
The IFR may prepare and publish a censure statement.
(2)
A censure statement is a statement that—
(a)
states the identity of P,
(b)
states the information requirement that the IFR has determined that P has failed to comply with or the offence that the IFR is satisfied P has committed,
(c)
explains why the IFR determined that P failed to comply with that requirement or is satisfied that P committed the offence (as the case may be), and
(d)
explains why the IFR considers it appropriate to publish a statement under this paragraph in respect of P.
Financial penalties
3
(1)
The IFR may impose a financial penalty on P.
(2)
(3)
Where the IFR imposes a penalty under this paragraph it may provide that the amount of the penalty is reduced to, or by, a specified amount if the penalty is paid before a day specified in a decision notice under section 77.
(4)
The amount of a penalty imposed under this paragraph must be—
(a)
a fixed amount,
(b)
an amount calculated by reference to a daily rate, or
(c)
a combination of a fixed amount and an amount calculated by reference to a daily rate.
(5)
Where P is a club or a competition organiser, the maximum amount of a penalty that may be imposed under this paragraph is—
(a)
in the case of a fixed amount, an amount equal to 10% of the total revenue of the club or organiser (both inside and outside the United Kingdom);
(b)
in the case of an amount calculated by reference to a daily rate, for each day an amount equal to 10% of the daily revenue of the club or organiser (both inside and outside the United Kingdom);
(c)
in the case of a combination of a fixed amount and an amount calculated by reference to a daily rate, the amount specified in—
(i)
paragraph (a), in relation to the fixed amount, and
(ii)
paragraph (b), in relation to the amount calculated by reference to a daily rate.
(6)
Where P is a body that is not a regulated club but has been a regulated club, the maximum amount of a penalty that may be imposed under this paragraph is—
(a)
in the case of a fixed amount, the higher of—
(i)
an amount equal to 10% of the total revenue of the body’s (both within and outside the United Kingdom), and
(ii)
£75,000;
(b)
in the case of an amount calculated by reference to a daily rate, for each day the higher of—
(i)
an amount equal to 10% of the daily revenue of the body (both inside and outside the United Kingdom), and
(ii)
£25,000;
(c)
in the case of a combination of a fixed amount and an amount calculated by reference to a daily rate, the amount specified in—
(i)
paragraph (a), in relation to the fixed amount, and
(ii)
paragraph (b), in relation to the amount calculated by reference to a daily rate.
(7)
Where P is an owner of a club (including where P is also a senior manager or other officer of the club), the maximum amount of a penalty that may be imposed under this paragraph is—
(a)
in the case of a fixed amount, an amount equal to 10% of the total revenue of the club (both inside and outside the United Kingdom);
(b)
in the case of an amount calculated by reference to a daily rate, for each day an amount equal to 10% of the daily revenue of the club (both inside and outside the United Kingdom);
(c)
in the case of a combination of a fixed amount and an amount calculated by reference to a daily rate, the amount specified in—
(i)
paragraph (a), in relation to the fixed amount, and
(ii)
paragraph (b), in relation to the amount calculated by reference to a daily rate.
(8)
Where P is an officer of a club (including where P is a senior manager of the club, but not where P is also an owner of the club), the maximum amount of a penalty that may be imposed under this paragraph is—
(a)
in the case of a fixed amount, the higher of—
(i)
an amount equal to 10% of the officer’s remuneration, and
(ii)
£75,000;
(b)
in the case of an amount calculated by reference to a daily rate, for each day the higher of—
(i)
an amount equal to 10% of the officer’s daily remuneration, and
(ii)
£25,000;
(c)
in the case of a combination of a fixed amount and an amount calculated by reference to a daily rate, the amount specified in—
(i)
paragraph (a), in relation to the fixed amount, and
(ii)
paragraph (b), in relation to the amount calculated by reference to a daily rate.
(9)
In any other case, the maximum amount of a penalty that may be imposed under this paragraph is—
(a)
in the case of a fixed amount, £75,000;
(b)
in the case of an amount calculated by reference to a daily rate, £25,000 per day;
(c)
in the case of a combination of a fixed amount and an amount calculated by reference to a daily rate, the amount specified in—
(i)
paragraph (a), in relation to the fixed amount, and
(ii)
paragraph (b), in relation to the amount calculated by reference to a daily rate.
(10)
Part 2Sanctions relating to relevant infringements
Censure statements
4
(1)
This paragraph applies where the IFR determines (whether as a result of an investigation or otherwise) that a person (“P”) has, without reasonable excuse, committed a relevant infringement.
(2)
The IFR may prepare and publish a censure statement.
(3)
A censure statement is a statement that—
(a)
states the identity of P,
(b)
states the relevant infringement that the IFR has determined that P has committed,
(c)
explains why the IFR determined that P has committed the relevant infringement, and
(d)
explains why the IFR considers it appropriate to publish a statement under this paragraph in respect of P.
Appointment of a skilled person
5
(1)
This paragraph applies where—
(a)
the IFR determines (whether as a result of an investigation or otherwise) that a club has, without reasonable excuse, committed a relevant infringement, and
(b)
the infringement is continuing.
(2)
The IFR may require the club to appoint a person nominated by the IFR (“a skilled person”) to assist the club in bringing the relevant infringement to an end.
(3)
The IFR may only nominate a person if the IFR is satisfied that the person—
(a)
has the skills necessary to assist the club in bringing the relevant infringement to an end, and
(b)
does not have a conflict of interest.
(4)
Where a skilled person is appointed by virtue of this paragraph, the club must—
(a)
co-operate with the skilled person, and
(b)
give the skilled person such reasonable assistance as the skilled person requests (including access to business premises, equipment, services, information and individuals),
in connection with bringing the relevant infringement to an end.
Financial penalties
6
(1)
This paragraph applies where the IFR determines (whether as a result of an investigation or otherwise) that a person (“P”) has, without reasonable excuse, committed a relevant infringement.
(2)
The IFR may impose a financial penalty on P.
(3)
The amount of a penalty imposed under this paragraph may be such amount as the IFR considers appropriate, provided it does not exceed the amount set out in whichever of sub-paragraphs (6) to (10) applies.
(4)
Where the IFR imposes a penalty under this paragraph it may provide that the amount of the penalty is reduced to, or by, a specified amount if the penalty is paid before a day specified in a decision notice under section 77.
(5)
The amount of a penalty imposed under this paragraph must be—
(a)
a fixed amount,
(b)
an amount calculated by reference to a daily rate, or
(c)
a combination of a fixed amount and an amount calculated by reference to a daily rate.
(6)
Where P is a club or a competition organiser, the maximum amount of a penalty that may be imposed under this paragraph is—
(a)
in the case of a fixed amount, an amount equal to 10% of the total revenue of the club or organiser (both inside and outside the United Kingdom);
(b)
in the case of an amount calculated by reference to a daily rate, for each day an amount equal to 10% of the daily revenue of the club or organiser (both inside and outside the United Kingdom);
(c)
in the case of a combination of a fixed amount and an amount calculated by reference to a daily rate, the amount specified in—
(i)
paragraph (a), in relation to the fixed amount, and
(ii)
paragraph (b), in relation to the amount calculated by reference to a daily rate.
(7)
Where P is a body that is not a regulated club but has been a regulated club, the maximum amount of a penalty that may be imposed under this paragraph is—
(a)
in the case of a fixed amount, the higher of—
(i)
an amount equal to 10% of the total revenue of the body’s (both within and outside the United Kingdom), and
(ii)
£75,000;
(b)
in the case of an amount calculated by reference to a daily rate, for each day the higher of—
(i)
an amount equal to 10% of the daily revenue of the body (both inside and outside the United Kingdom), and
(ii)
£25,000;
(c)
in the case of a combination of a fixed amount and an amount calculated by reference to a daily rate, the amount specified in—
(i)
paragraph (a), in relation to the fixed amount, and
(ii)
paragraph (b), in relation to the amount calculated by reference to a daily rate.
(8)
Where P is an owner of a club (including where P is also a senior manager or other officer of the club), the maximum amount of a penalty that may be imposed under this paragraph is—
(a)
in the case of a fixed amount, an amount equal to 10% of the total revenue of the club (both inside and outside the United Kingdom);
(b)
in the case of an amount calculated by reference to a daily rate, for each day an amount equal to 10% of the daily revenue of the club (both inside and outside the United Kingdom);
(c)
in the case of a combination of a fixed amount and an amount calculated by reference to a daily rate, the amount specified in—
(i)
paragraph (a), in relation to the fixed amount, and
(ii)
paragraph (b), in relation to the amount calculated by reference to a daily rate.
(9)
Where P is an officer of a club (including where P is a senior manager of the club but not where P is also an owner of the club), the maximum amount of a penalty that may be imposed under this paragraph is—
(a)
in the case of a fixed amount, the higher of—
(i)
an amount equal to 10% of the officer’s remuneration, and
(ii)
£75,000;
(b)
in the case of an amount calculated by reference to a daily rate, for each day the higher of—
(i)
an amount equal to 10% of the officer’s daily remuneration, and
(ii)
£25,000;
(c)
in the case of a combination of a fixed amount and an amount calculated by reference to a daily rate, the amount specified in—
(i)
paragraph (a), in relation to the fixed amount, and
(ii)
paragraph (b), in relation to the amount calculated by reference to a daily rate.
(10)
In any other case, the maximum amount of a penalty that may be imposed under this paragraph is—
(a)
in the case of a fixed amount, £75,000;
(b)
in the case of an amount calculated by reference to a daily rate, £25,000 per day;
(c)
in the case of a combination of a fixed amount and an amount calculated by reference to a daily rate, the amount specified in—
(i)
paragraph (a), in relation to the fixed amount, and
(ii)
paragraph (b), in relation to the amount calculated by reference to a daily rate.
(11)
Where a club or body is an undertaking that is part of a group, references in sub-paragraphs (6), (7) and (8) to the revenue of the club or body are to the revenue of that group.
Injunctive relief
7
(1)
This paragraph 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 to which sub-paragraph (2) applies, and
(b)
the relevant infringement is continuing.
(2)
This sub-paragraph applies to relevant infringements that are relevant infringements by virtue of any of the following provisions of Schedule 7—
(a)
paragraph 2(1);
(b)
paragraph 2(2)(c), (d) or (g);
(c)
paragraph 2(3)(a) or (b);
(d)
paragraph 3(b), (c) or (e);
(e)
paragraph 4(b), (c) or (e);
(f)
paragraph 6(c) or (e);
(g)
paragraph 7(d).
(3)
The IFR may apply to the Tribunal for an injunction to bring the relevant infringement to an end.
(4)
Tribunal Procedure Rules may make provision about the transfer from the Tribunal to the High Court of all or any part of an application under sub-paragraph (3).
Suspension or revocation of operating licence
8
(1)
Paragraph 9 applies where—
(a)
the IFR determines (whether as a result of an investigation or otherwise) that a club has, without reasonable excuse, committed a relevant infringement, and
(b)
one or more of the aggravating conditions are met in relation to the relevant infringement.
(2)
The first aggravating condition is that—
(a)
the relevant infringement is intentional and persistent, and
(b)
the IFR has already taken action in accordance with this Part of this Schedule and considers that there is no further action it could take under this Part of this Schedule (other than action under paragraph 9) that would bring the relevant infringement to an end.
(3)
The second aggravating condition is that—
(a)
the club has intentionally and persistently failed to co-operate with the IFR in relation to any investigation into the relevant infringement, and
(b)
the IFR has already taken action in accordance with this Part of this Schedule and considers that there is no further action it could take under this Part of this Schedule (other than action under paragraph 9) that would bring the relevant infringement to an end.
(4)
The third aggravating condition is that the relevant infringement jeopardises the IFR’s ability to advance one or more of its objectives.
(5)
For the purposes of this paragraph, behaviour is persistent if the behaviour has occurred on a sufficient number of occasions for it to be clear that it represents a pattern of behaviour or practice.
9
(1)
The IFR may—
(a)
suspend the club’s operating licence, or
(b)
revoke the club’s operating licence from a day specified by the IFR.
(2)
Where the IFR suspends an operating licence—
(a)
it must specify in a decision notice under section 77 the day on which the suspension takes effect, and
(b)
it must specify in that notice either—
(i)
the period for which the operating licence will be suspended, or
(ii)
that the operating licence is to be suspended until some event specified in the notice occurs (which may be the giving of a further notice by the IFR).
(3)
Where a decision notice under section 77 is given during a football season, the date specified in that notice for the purposes of sub-paragraph (2)(a) may not be a date before the end of that season.
(4)
Nothing in this paragraph prevents the IFR from—
(a)
re-exercising the power in this paragraph to suspend an operating licence after a previous suspension of the licence has come to an end, or
(b)
revoking an operating licence after a suspension of the licence has come to an end.
Part 3Further provision about financial penalties
Interpretation
10
(a)
an undertaking (with the meaning of Part 1 of the Competition Act 1998) is part of a group if one or more bodies corporate which are comprised in the undertaking are members of the same group as one or more other bodies corporate;
(b)
two or more bodies corporate are members of the same group if—
(i)
one is the subsidiary of another, or
(ii)
both are subsidiaries of the same body corporate;
(c)
“subsidiary” has the meaning given by section 1159 of the Companies Act 2006.
Penalties imposed by reference to a daily rate
11
(1)
(a)
no account is to be taken of any days before the IFR gives the person concerned a warning notice under section 76, and
(b)
unless (whether before or after the penalty is imposed) the IFR determines an earlier day, the amount payable ceases to accumulate at the beginning of the day on which the conduct giving rise to the penalty ceases.
(2)
Where the IFR imposes a penalty under paragraph 3 or 6 by reference to a daily rate, the decision notice under section 77 must state the day on which the amount first starts to accumulate and the day or days on which it might cease to accumulate.
Revenue and remuneration
12
(1)
For the purposes of paragraphs 3 and 6, the IFR may by rules (“revenue rules”) make provision for determining—
(a)
a person’s total and daily revenue;
(b)
an officer’s remuneration and daily remuneration.
(2)
Revenue rules may, among other things, make provision about—
(a)
amounts which are, or are not, to be included in a person’s revenue;
(b)
amounts which are, or are not, to be included in an officer’s remuneration;
(c)
the period or periods by reference to which a person’s revenue is to be determined;
(d)
the period or periods by reference to which an officer’s remuneration is to be determined.
(3)
Before making, amending or replacing revenue rules the IFR must consult the Secretary of State.
(4)
Sub-paragraph (3) does not apply in relation to amendments to or replacements of revenue rules if the IFR considers the changes to be minor.
(5)
The consultation must include a draft of the proposed revenue rules.
Interest
13
(1)
(2)
But the IFR may, by notice to the person on whom the penalty is imposed, provide that this paragraph does not apply in relation to the penalty.
Recovery as a civil debt
14
(1)
(2)
Such an amount may be recovered as a civil debt due to the IFR.
Power to amend figures
15
The Secretary of State may by regulations amend the amounts for the time being specified in—
(c)
paragraphs (a) and (b) of paragraph 3(9);
(f)
paragraphs (a) and (b) of paragraph 6(10).