CCM4610 - Examinations: Pre-award penalty cases: Overview

Potential examinations will be sent to the manager who then allocates them to a Compliance Officer. The details are entered on the TCW or CCMIS.

Your first step is to decide whether a penalty might be appropriate, see CCM4310

• if a penalty might be appropriate you will continue as shown below.
• if a penalty is not appropriate – see CCM4315

You need to send the claimant a letter, see CCM4620. This formally opens your examination and explains to the claimant what aspect of their claim you are checking and what information you need – see CCM4220.

You will need to consider any response:

• if the claimant provides the information you asked for, you will make a decision to either

• If the claimant doesn’t respond within the time you gave them, you will make a decision as to whether you can accept any part of the claim – see CCM4690

Once you have made your decision:

• you should write to the claimant explaining your decision and issue any notice setting out your decision and telling them your examination is now closed. The claimant has a right to appeal against your decision.

Once you have made the decision you will write to the claimant explaining the decision and will explain how we will ask them to pay the penalty.

If the claimant appeals against the decision you will need to consider whether you can revise your decision to settle the appeal by agreement, see CCM4710. If you cannot revise your decision then the case may need to be heard by the Independent Appeals Tribunal. See CCOM21520.