Investigations

Investigations

If we are satisfied that there are reasonable grounds to suspect an offence or contravention has occurred, we will consider whether to investigate. We will only open an investigation where we consider that investigating the suspected offence or contravention is in the public interest and justifies the use of our resources in this way.

Whether or not a matter is in the public interest and justifies the use of our resources will depend on a number of factors. These factors may be different and/or differently weighted depending on the circumstances. We will consider the relevant factors before deciding whether to open an investigation, and may review the continued relevance of the factors during an investigation. A non-exhaustive list is below:

  • Our regulatory aims and objectives , and whether an investigation is the most appropriate way to achieve them in the particular case
  • Effective and efficient prioritisation in the use of our resources 
  • The seriousness of the suspected offence or contravention including the magnitude and potential harm caused by it
  • The strength of the evidence
  • The frequency or duration of the suspected offence or contravention
  • The impact, including the deterrence effect, of an investigation and/or any sanction that might be imposed
  • The compliance history of the person(s) who may have committed the suspected offence or contravention
  • Any steps already taken to rectify the breach
  • Any relevant circumstances of the individuals involved

The time taken to complete an investigation varies on a case by case basis. Where there is a great deal of evidence to collect and assess, or where the issue relates to a particularly complex area of the law, the investigation may take longer.

We manage investigations differently depending on the complexity of the case, volume of evidence involved, or number of potential offences under consideration. We will always gather all relevant evidence we can obtain and record this in a way that ensures it can be disclosed effectively.

We recognise that it is important to conclude investigations as quickly as possible. This is both in the public interest and in the interest of justice for those involved. We will therefore ensure a review of any case approaching 12 months in duration, by someone independent of the investigation, to determine whether it remains in the public interest to continue the investigation. However, our first priority is always to conduct a fair and thorough investigation, and this will take priority over speed or duration where the two conflict.

We will normally inform the subject of an investigation as soon as possible after the investigation is opened, unless doing so would frustrate the investigation. We will provide details of the matters under investigation and ensure that the subject has the opportunity to respond to them.

In order to determine if an offence or contravention under PPERA has occurred, we may need to make enquiries of persons that we believe can provide relevant information. We will ask for documents, information and explanations on a voluntary basis or by using our investigatory powers, as appropriate. We may do this in writing or by phone, or by arranging statutory or voluntary interviews, depending on the circumstances.

We understand that being involved in an investigation, whether as a subject or a witness, can be a stressful and even upsetting experience. We will always treat everyone involved in an investigation with respect, and be mindful of the impact the investigation may have. We will make all reasonable efforts to conduct the investigation in a way that minimises the impact on those involved.

We will provide the subject of an investigation on an expected timescale in any situation where there has not been any other communication to the subject for a period of 8 weeks.

We will conduct our investigations in a way that recognises diversity and is compliant with equalities and human rights legislation.

Where we develop concerns, or are made aware of any concerns over a person’s ability to take part for any reason, we will review the position and consider alternative ways to progress.

There are three possible investigations outcomes:

  • there is no or insufficient evidence to determine an offence or contravention has been committed
  • we are satisfied beyond reasonable doubt that an offence or contravention has been committed
  • we decide, having revisited the factors in paragraph 6.9 above, that it is no longer in the public interest to continue to investigate a suspected offence or contravention.

Where we are satisfied beyond reasonable doubt that an offence or contravention has been committed, we will consider what further action to take. In most cases this will involve deciding whether to impose a sanction. If appropriate we may decide to refer the matter to the police or relevant prosecuting authority at this stage.

A number of offences in PPERA include a reference to ‘reasonable excuse’: where we are satisfied that a reasonable excuse exists for the failure to comply with the requirements no offence is committed. ‘Reasonable excuse’ is not defined in PPERA but it does not mean any excuse. Whether ‘reasonable excuse’ is made out in any case depends on the facts and context of each case. It may be made out where the failure to comply occurred due to circumstances beyond the control of the person that may have committed the offence, and which could not reasonably have been anticipated and mitigated by them.

Variable monetary penalties

A variable monetary penalty is a variable fine that is calculated according to the nature of the offence. It may be used on its own or in combination with a compliance notice and/or a restoration notice.

When determining the level of a variable monetary penalty we will take into account the factors set out in paragraph 7.4.The Political Parties, Elections and Referendums (Civil Sanctions) Order 2010 makes the maximum variable monetary penalty we can impose in any circumstances £20,000, but this is subject to other limitations that may apply in different parts of the UK.

The notice proposing the penalty will include:

  • The grounds for the proposal to impose the discretionary requirement
  • The right to make representations and objections
  • The circumstances in which the Commission may not impose the discretionary requirement
  • The period within which representations and objections may be made.

The notice imposing the penalty will contain the following information:

  • The grounds for imposing the penalty
  • How to make payment
  • How to appeal the decision to issue the notice
  • The deadline for any appeal 
  • The deadline for making payment (28 days from the date of the notice imposing the penalty, after which the penalty will increase) The circumstances when we may instigate civil debt recovery proceedings or other action if the penalty is not paid

If a variable monetary penalty has not been paid within 28 days of service of the notice imposing it, a late payment charge of 25% of the penalty will be added. If the penalty and late payment charge has not been paid within 56 days of the date of the notice, the late payment charge will increase to 50% of the original penalty.

The recipient may appeal to a county court or, in Scotland, the sheriff against the decision to impose the variable monetary penalty. Any appeal must be made within 28 days from the date of service of the notice imposing the penalty.

Once we have issued a notice imposing a variable monetary penalty, the recipient cannot at any time be convicted of the offence that gave rise to the penalty.

Compliance notices

A compliance notice sets out action that must be taken by a regulated organisation or individual who has breached the law, so that the breach does not continue or recur. A compliance notice may be used on its own, or in combination with a variable monetary penalty.

Where we propose to issue a compliance notice we will send the person concerned a notice of proposal. This will explain the grounds for imposing the compliance notice, and set out the action we propose to require the person to take. It will also set out how the recipient may make written representations about the decision.

Once the deadline for making representations has passed and any representations have been considered, we will decide whether to issue a compliance notice.

The notice will contain the following information:

  • The actions and timeframe for their completion
  • The consequences of non-compliance
  • How to appeal the decision to issue the notice
  • The deadline for any appeal

The recipient may appeal to a county court or, in Scotland, the sheriff against the decision to impose a compliance notice. Any appeal must be made within 28 days of the date of service of the notice.

We will impose any penalty for non-compliance by issuing a non-compliance penalty notice. This will set out the grounds for imposing the penalty, the amount, the deadline for payment and the consequences of non-payment. It will also explain how to appeal the decision and the deadline for any appeal (28 days from the date the notice is received).

Once the recipient considers they have complied with the terms of the compliance notice, they should notify us in writing and apply for a completion certificate. They will need to provide information demonstrating compliance with the terms of the notice.

We will consider an application for a completion certificate within 28 days, provided we have all the information we need to assess whether the terms of the notice have been met. We will confirm our decision in writing and, if appropriate, issue a completion certificate.

We may revoke a completion certificate if it was granted on the basis of inaccurate, incomplete or misleading information. If this happens, the compliance notice continues to have effect as if the completion certificate had not been issued.

Where a compliance notice is imposed and a person fails to comply with it, they could be convicted of an offence in respect of the act or omission that led to the notice. Once we have issued a final notice imposing a variable monetary penalty, the person cannot at any time be convicted of the offence that gave rise to the penalty.

Restoration notices

A restoration notice sets out action that must be taken by a regulated organisation or individual who has breached the law to restore the position, as far as possible, to what it would have been had no breach occurred. A restoration notice may be used on its own, in combination with a variable monetary penalty.

Where we propose to issue a restoration notice we will send the person concerned a notice of proposal. This will explain the grounds for imposing the restoration notice, and set out the action we propose to require the person to take. It will also set out how the recipient may make written representations about the decision to impose the sanction.

Once the deadline for making representations has passed and any representations have been considered, we will decide whether to issue a restoration notice.

The notice will contain the following information:

  • The actions and timeframe for their completion
  • The consequences of non-compliance
  • How to appeal the decision to issue the notice
  • The deadline for any appeal

The recipient may appeal to a county court or, in Scotland, the sheriff against the decision to impose a compliance and/or restoration notice. Any appeal must be made within 28 days of the date of service of the notice.

We will impose any penalty for non-compliance by issuing a non-compliance penalty notice. This will set out the grounds for imposing the penalty, the amount, the deadline for payment and the consequences of non-payment. It will also explain how to appeal the decision and the deadline for any appeal (28 days from the date the notice is received).

Once the recipient considers they have complied with the terms of the restoration notice, they should notify us in writing and apply for a completion certificate. They will need to provide information demonstrating compliance with the terms of the notice.

We will consider an application for a completion certificate within 28 days, provided we have all the information we need to assess whether the terms of the notice have been met. We will confirm our decision in writing and, if appropriate, issue a completion certificate.

We may revoke a completion certificate if it was granted on the basis of inaccurate, incomplete or misleading information. If this happens, the compliance or restoration notice continues to have effect as if the completion certificate had not been issued.

Where a restoration notice is imposed and a person fails to comply with it, they could be convicted of an offence in respect of the act or omission that led to the notice. Once we have issued a final notice imposing a variable monetary penalty, the person cannot at any time be convicted of the offence that gave rise to the penalty.

Enforcement undertakings

Where the Commission has reasonable grounds to suspect an offence may have occurred, a regulated organisation or individual may offer to enter into an enforcement undertaking. An enforcement undertaking involves the organisation or individual offering to take action to ensure that any non-compliance does not continue or recur, or that a position is restored as far is possible to what it would have been had the non-compliance not occurred.

We will consider carefully all reasonable offers. But we are not obliged to accept an enforcement undertaking, and we will not agree to any until we have a full understanding of the nature and severity of the non-compliance.

When considering whether to accept an enforcement undertaking we will take into account the following, non-exhaustive, list of factors:

  • The seriousness of the offence or contravention
  • Whether the matter was voluntarily reported
  • Whether there was any dishonesty, deception or misrepresentation in the offence or contravention
  • The cost of a full investigation
  • The need to deter non-compliance
  • Any advice given to the regulated organisation or individual on the relevant statutory requirements
  • The compliance history of the regulated organisation or individual, including whether enforcement undertakings have been given in the past
  • The likelihood of the proposed enforcement undertakings to prevent further offences or contraventions 
  • The likelihood of the proposed enforcement undertakings to restore the position of those involved to what it would have been had the offence or contravention not taken place
  • The level of insight shown by the regulated organisation or individual as to why the offence or contravention occurred
  • Whether any apology or contrition has been expressed for the offence or contravention

Where enforcement undertakings are agreed but not carried out, we may impose a penalty or consider prosecution in respect of the original offence and/or contravention. Depending on the reasons for the failure to carry out the enforcement undertakings, this may be an aggravating factor in any decision as to the level of a penalty.

Public disclosure of assessments

We will not routinely publicise that any assessment has begun or is ongoing, or when it is concluded.

If we are satisfied that it is in the public interest to do so, we may correct or confirm information about an assessment to ensure accurate information is in the public domain. This may include confirming the name of the individual or organisation and the potential offence or contravention being assessed. It may also include confirming the outcome of an assessment.

We will notify the subject of the assessment before confirming their identity to anyone else.

In some circumstances, we may publicly disclose the opening of an investigation, including the subject and its expected scope. This includes, but is not limited to, when the matter has been the subject of public interest or reporting in the press, and by publishing we can advance the accuracy of information.

We will not generally comment further while the investigation is ongoing, or provide public updates as to do so may hinder the conduct of the investigation.

Once a month, the Commission publishes information on concluded investigations. This includes the subject and offences under investigation, whether an offence or contravention was established, and whether a sanction was issued. We will update the information to show when monetary penalties are paid.

In certain instances, we will publish a more detailed investigation report, and/or media statement when a case concludes. When deciding whether to do so, we will take into account relevant factors, including:

  • whether there is significant public interest in the case
  • whether it is a particularly complex case that requires further explanation to the public
  • whether publishing the details would help those we regulate to better understand PPERA requirements
  • if a media statement was issued at the commencement of the investigation

We will notify the subject of the investigation prior to publication. Where appropriate and more commonly with detailed reports, the subject will have the opportunity to check the factual accuracy of the information to be published.

Where a sanction imposed by the Commission is subject to an appeal, we will update the information on our website to include the outcome of the appeal.

All of the above is subject to any legal restrictions which may affect disclosure. For example, we are prohibited from the disclosure of any information related to a donation received by a Northern Ireland recipient before 1 July 2017, except for the purposes of any criminal or civil proceedings.

As a UK public body, we are subject to the Freedom of Information Act 2000 (FOIA). We will consider requests for information about assessments, investigations and sanctions made under the FOIA in accordance with that legislation.

For further information see our Freedom of Information page.

Under Schedules 19B and 19C of PPERA we are required to report annually on the use of our supervisory and investigatory powers, and civil sanctions. We include this information in our Annual Report.

Page history

First published: 5 January 2023

Last updated: