CCP02010 - General principles: Warning letters

In most cases we will not issue a Penalty Notice without first sending the trader a Warning Letter. But CCP02015 explains the circumstances when it may be appropriate to go directly to a penalty.

A Warning Letter

• tells recipients that should further broadly similar contraventions occur within a 2 year period, see CCP04050, we may send them a Penalty Notice charging them a penalty without further warning,
• details the specific steps that we expect the trader to take so that they comply with the requirements of the law in future,
• may also, depending on the circumstances, allow the trader a specified period of time during which we will not charge a penalty for broadly similar contraventions. This is to give them time to put steps in place to ensure compliance. Contraventions occurring after this time will be considered for possible penalty action in the normal way.

Note: Traders have a right of appeal and review against a Warning Letter. Further information can be found at ARTG3000+.