IHTM29111 - Enquiry Reporting System (ERS): recording penalty enquiries

The following examples show the most common ways in which a penalty enquiry should be recorded on ERS

Case referred from PC&S to Compliance and the only issue to consider in Compliance is a potential penalty

If the case is already logged as an enquiry on ERS, the PC&S caseworker should close any open ERS yield record before referring the case to Compliance. If the Compliance caseworker decides to raise questions, they will log a new enquiry on ERS.

If record has not already been logged on ERS by PC&S and the Compliance investigator decides to raise penalty enquiries, they must log the new enquiry on ERS.

Ongoing ‘enquiry’ case where a penalty issue arises

If a case is being worked as an enquiry and there is a penalty issue the penalty is treated as an aspect of the enquiry. You should not close the enquiry record on ERS until the penalty aspect is settled, even if all the other aspects have been dealt with.

Penalty enquiry settled and a penalty collected

Penalties are recorded in a separate table on Compass. You can find more guidance on penalties and how to record them at IHTM36000