CCM4805 - Examinations: Post-award penalty cases: Overview

Potential post-award 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 CCM4410

• if a penalty might be appropriate continue as shown below.
• if a penalty is not appropriate , see CCM4415.

You need to send the claimant a letter, see CCM4815. This formally opens your examination and tells the claimant what information you need. The letter also tells them we will be charging a penalty and asks them to tell us anything they want us to take into account.

You then 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 or not to adjust the award – see CCM4835

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. You will also need to take action to recover the penalty.

If the claimant appeals you will need to consider whether you can revise your decision to settle the appeal by agreement, see CCM4860. If you cannot revise your decision then the case may need to be heard by the Independent Appeals Tribunal. See CCOM21230.