CCPG30140 | International Trade officer operational process: warning letter: who an authorising officer might be and what actions they should take

THIS GUIDANCE IS FOR INTERNATIONAL TRADE OFFICERS ONLY

The authorising officer for an International Trade officer is their manager.

A Civil Penalty Warning Letter (CPWL) is authorised by completing the Customs Penalty Action Checklist (CPAC).

Before authorising a warning letter, the authorising officer should:

• if the trader has a CCM ensure they have approved the CPWL action

  • check that they have received all of the relevant paperwork

  • completed draft CPWL

  • CPAC

  • 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 CPAC 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.