CITEX officer operational process: warning letter: who an authorising officer might be and what actions they should take
THIS GUIDANCE IS FOR CITEX OFFICERS ONLY
The authorising officer for a CITEX officer is their manager.
A Civil Penalty Warning Letter (CPWL) is authorised by completing the lower section of the CITEX Penalty Action Checklist (CPAC).
Before authorising a warning letter, the authorising officer should:
- if the trader has a CRM ensure they have approved the CPWL action
- check that they have received all of the relevant paperwork
- completed draft CPWL
- any other supporting documents
- check that the warning letter is accurate in all respects
- have the correct trader particulars been included
- has the correct legislation been applied
- does the information recorded on the CPA confirm that a warning letter is the best course of action to improve compliance
- has the compliance officer established whether a reasonable excuse should have been considered
- have they identified if the trader has taken or is in the process of taking remedial action to improve compliance
- have they incorporated Right To Be Heard (RTBH) into their decision to issue a warning letter if the contravention is under reason code 230 Failure to Produce
All of these factors must be considered to ensure we have a consistent approach to issuing warning letters.