19Procedure for imposing monetary penalties(1)

The Care Standards Act 2000 is amended as follows.

(2)

After section 30ZM (inserted by section 18) insert—Monetary penalties: procedure etc

30ZNMonetary penalties: procedure etc

Schedule 1A makes provision about—

(a)

monetary penalties imposed by the CIECSS under section 30ZC, and

(b)

monetary penalties imposed by the Secretary of State under 30ZM.

(3)

After Schedule 1 insert—Schedule 1A

Section 30ZN

Monetary penalties under Part 2Interpretation1(1)

In this Schedule “monetary penalty” means—

(a)

a monetary penalty under section 30ZC;

(b)

a monetary penalty under section 30ZM.

(2)

In this Schedule the “relevant authority” means—

(a)

in relation to a monetary penalty under section 30ZC, the CIECSS;

(b)

in relation to a monetary penalty under section 30ZM, the Secretary of State.

Notice of intention to impose monetary penalty2(1)

Before imposing a monetary penalty on a person, the relevant authority must serve on the person a notice (a “notice of intention”) stating that the relevant authority proposes to impose the penalty.

(2)

A notice of intention must—

(a)

state the reasons for the proposal to impose a penalty;

(b)

state the amount of the proposed penalty;

(c)

inform the person that the person may, before the end of the period of 28 days beginning with the day on which the notice is served on the person, make written representations to the relevant authority about the proposal.

(3)

If at any time after the notice of intention is served the relevant authority decides not to impose a monetary penalty on the person, the relevant authority must serve on the person a notice to that effect.

(4)

The relevant authority may not decide to impose a monetary penalty on the person before—

(a)

the relevant authority has considered any written representations made before the end of the period mentioned in sub-paragraph (2)(c),

(b)

the person has notified the relevant authority in writing that they do not intend to make representations, or

(c)

the period mentioned in sub-paragraph (2)(c) has ended without any written representations having been made.

Imposition of monetary penalty3(1)

If the relevant authority decides to impose a monetary penalty on the person, the relevant authority must (subject to sub-paragraphs (2) and (3)) serve on the person a notice to that effect.

(2)

A notice imposing a penalty under section 30ZC(1) or 30ZM (penalty for failure to comply with requirements) may not be served—

(a)

more than 6 months after the relevant authority first has sufficient evidence to be satisfied on the balance of probabilities that the failure to comply occurred, or

(b)

more than 3 years after the failure to comply occurred,

(whichever is earlier).

(3)

A notice imposing a penalty under section 30ZC(2) (penalty for act or omission constituting an offence) may not be served after the end of the period within which proceedings could be brought for the offence in question (see section 29).

(4)

A notice imposing a penalty (a “penalty notice”) must—

(a)

state the reasons for imposing the penalty;

(b)

state the amount of the penalty;

(c)

state how the penalty may be paid;

(d)

state the period within which the penalty must be paid;

(e)

inform the person of the right to appeal under paragraph 6;

(f)

explain the consequences of non-payment.

(5)

The period specified under sub-paragraph (4)(d) must not be less than 28 days beginning with the day on which the penalty notice is served on the person.

(6)

The person must pay the penalty before the end of—

(a)

the period specified under sub-paragraph (4)(d), or

(b)

if an appeal is brought under paragraph 6, the period of 28 days beginning with the day on which the appeal is withdrawn or finally determined (if the penalty notice then has effect).

(7)

Where a penalty notice has been served on a person, the relevant authority may cancel or vary it by serving on the person a notice to that effect (but may not vary it so as to increase the amount of the penalty or reduce the period within which it may be paid).

Amount of monetary penalty4(1)

Subject to sub-paragraphs (2) to (4), a monetary penalty may be of any amount.

(2)

The Secretary of State may by regulations set the maximum amount of a penalty imposed under section 30ZC(1) or 30ZM (penalty for failure to comply with requirements).

(3)

The amount of a penalty imposed by the CIECSS under section 30ZC(2) (penalty for act or omission constituting an offence) may not exceed the amount of the fine that may be imposed on summary conviction for the offence in question (where that is not an unlimited amount).

(4)

In deciding the amount of a monetary penalty, the relevant authority must consider—

(a)

the nature and seriousness of the failure to comply, or the act or omission, for which the penalty is to be imposed;

(b)

whether there are any mitigating or aggravating factors;

(c)

whether the person has previously failed to comply with, or committed offences under, this Part or regulations made under it;

(d)

the likely impact of the monetary penalty on the person.

Interest and recovery5(1)

This paragraph applies if all or part of a monetary penalty is unpaid by the time when it is required to be paid.

(2)

The unpaid amount of the penalty for the time being carries interest at the rate specified in section 17 of the Judgments Act 1838 (and does not also carry interest as a judgment debt under that section).

(3)

The total amount of interest imposed must not exceed the amount of the penalty.

(4)

The unpaid amount of the penalty and any unpaid interest may be recovered by the relevant authority as a debt.

Right of appeal against imposition of monetary penalty6(1)

A person on whom a penalty notice has been served may appeal to the Tribunal against the decision of the relevant authority—

(a)

to impose the penalty;

(b)

as to the amount of the penalty.

(2)

An appeal under this paragraph may not be brought after the end of the period of 28 days beginning with the day on which the penalty notice was served on the person.

(3)

On an appeal under this paragraph the Tribunal may—

(a)

confirm the penalty notice,

(b)

direct that the penalty notice ceases to have effect, or

(c)

in the case of an appeal against the amount of the penalty, vary the amount.

(4)

In section 118 (orders and regulations), in subsection (2B) (inserted by section 16(3)) after paragraph (b) (inserted by section 17(4)) insert—(c)

paragraph 4(2) of Schedule 1A.