At the stage where it is clear that penalties are likely to be
considered, attention should be drawn to any clear errors
established from the examination of the papers and the facts
obtained at a meeting or in correspondence, and outline any more
general areas of concern.
This could be at the stage of a meeting where the facts have
been established, or at the beginning of a meeting when a
compliance caseworker has serious concerns arising from the record
examination.
The purchaser should be advised about the possibility of
penalties and that they do not have to co-operate with the enquiry.
The compliance caseworker should ensure that they cover the
same points as in the draft letter at
SDLTM80730 but should do so in their
own words.
If the customer says that they will not answer any questions
it may be advisable to tell them about the use of formal powers to
obtain information required to establish any liability.
The appropriate penalty leaflet and the public funding
leaflet should then be offered. See
SDLTM80740.
The compliance caseworker should check that the purchaser
understands and should explain again if they do not. At that stage
the purchaser should be invited to explain the errors and make any
further clarification or disclosures.
The notes of the meeting should record what was said, and a
copy should be sent to the purchaser.
