Compliance: Record (Manual) Penalty details
This Action Guide outlines the process involved when a compliance officer wishes to update the compliance history record of either a subcontractor or contractor scheme by recording new, or updating existing manual penalty details. To access this functionality the user will need to hold either the CISR compliance officer or CISR compliance manager roles. The actions described below are identical whether you are recording details on a subcontractor or contractor record.
If you are updating an existing history record the process will be identical to recording information for the first time however the details in those fields may already be pre populated with recorded details which you may wish to overwrite - where appropriate, or add to information already recorded.
It is not necessary to complete the authentication process to access this function. Therefore, from the Identify Customer window enter the UTR or AO reference and ‘Internal Enquiry’ as the ‘Contact’ and select [OK]. From the CIS Main Menu window
- select the required subcontractor or contractor reference number
- select ‘Record Compliance History’ from the menu.
The ‘Record Compliance History’ window will display a history of the existing ‘Compliance Activities’ in the top half and ‘Manual Penalties’ that have been levied, in the bottom half against the selected reference.
- Select the button ‘Record Penalty’ in the lower left of the window, this will take you to the ‘Manual Penalty’ window. If it is a scheme record the contractor’s scheme name and reference number will also be shown at the top of the window.
Beneath this are the following fields
- Penalty type - Select from either ‘Incorrect Return’ or ‘Incorrect Registration Information’.
- Date Raised - Enter the date the penalty was raised in SAFE.
- Penalty Amount - Enter the amount of the penalty (whole pounds only).
- Location of Papers - Record the District record reference of the folder where the enquiry papers are filed.
- SAFE charge reference - Enter the reference number allocated by SAFE to the penalty.
At the bottom of this window are three buttons, they are:
- Accept - The entries made will be saved and you will be returned to the ‘Compliance Activities and Penalties Overview’ window.
- Back - Retains the information entered and returns you to the ‘Compliance Activities and Penalties Overview’ window for you to reconsider before making any changes.
- Cancel - Returns you to the CIS Main Menu, with all data entered being lost.