ECSH82850 | Sanctions for non-compliance: financial penalties: financial penalties framework: relevant period

Relevant period is the period during which the contravention(s) has/have taken place. The decision maker must consider the full facts and history of the case in order to determine the relevant period.

Some examples include:

• If a previous warning letter has been issued, and the same contraventions are found still to be occurring, this will be from the date of the previous warning letter, (see ECSH82000), sent to the business, (advising them of the action they need to take to address the contravention) to the date of the following compliance intervention (when they find no action has been taken).

• If a warning letter has not previously been issued, the ‘relevant period’ will be the period from when the contraventions took place.

• Where a business has been trading whilst unregistered, the relevant period will be the date they started undertaking the relevant activity to the date the application was submitted (approval sectors) or date the application was approved (fit & proper sectors).

The period of transaction testing or record review undertaken during the course of the compliance intervention would not necessarily be the relevant period as the contraventions may extend beyond that period.