CCM4815 - Examinations: Post-award penalty cases: Opening letter where there may be a penalty
Your first step is to decide whether a penalty might be appropriate, see CCM4410
- if a penalty might be appropriate - see below
- if a penalty is not appropriate - see CCM4415
Because you are using the examination powers under S16 TCA 2002 your first contact with the claimant(s) to open the examination must always be in writing. You must use the standard template letter at TCC2a.
The letter 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 must also enclose a copy of the WTC/FS2 fact sheet which explains the examination process to the claimant and also a copy of the WTC7 leaflet which tells them more about penalties.
You need to send separate copies of the letter and the WTC/FS2 and WTC7 to both claimants where there is a joint claim, even if the examination only relates to one of them.
You should always state the date by which the claimant should reply and allow at least 40 days. For example, if you wrote on 06/08/08, you would specify 15/09/08 for a response. If you are aware that postal delays are likely, for example there is a strike or it is close to Christmas, allow a few extra days. Also allow a longer time if you know for example the claimant is abroad or incapacitated and it means they will not be able to reply within 40 days.
Your next action will depend on whether there is any response to the opening letter. If the claimant:-
If the claimant phones you to discuss your letter, make full notes of everything they say and keep a record in your papers. If the claimant has fully answered your queries over the phone they do not need to reply in writing. You can discuss any aspects of the claim that are of concern but if the claimant wants to discuss the penalty you will need to refer the call to be a Band O. A Band O, having reminded the claimant of the HRA position, can enquire as to the reason for the error.
