(1) This section applies in relation to an individual (“P”) who is an officer of a particular regulated club where—
(a) the IFR has determined under section 29, or is treated as having determined under that section, that P is not suitable to be an officer of the club, or
(b) the IFR is treated by virtue of section 35(5)(a) as having determined that P is not suitable to be an officer of the club.
(2) The IFR must give either or both of the following—
(a) a direction to P requiring P to take all reasonable steps to cease to be an officer of the club before the end of the removal period;
(b) a direction to the club requiring the club to take all reasonable steps to secure that P ceases to be an officer of the club before the end of the removal period.
(3) The removal period, in the case of a direction under this section, is—
(a) the period specified in the direction, or
(b) where the period mentioned in paragraph (a) is extended under subsection (4), that period as extended (or further extended) under that subsection.
(4) A direction given under this section in relation to P (“the first direction”) may be varied by a further direction so as to extend (or further extend) the period specified in the first direction.
(5) Before giving a direction under this section, the IFR must consult—
(a) P,
(b) the club, and
(c) the specified competition organiser which organises a specified competition in relation to which a relevant team is operated by the club.
(6) At the same time as giving a direction under this section, the IFR must—
(a) in the case of a direction under subsection (2)(a), give a notice to P and to the club, and
(b) in the case of a direction under subsection (2)(b), give a notice to the club,
including information about the possible consequences under Part 8 of not complying with the direction.
41 Directions relating to unsuitable owners and officers
(1) This section applies where, under any provision of this Part, the IFR determines or is treated as having determined—
(a) that a person who is an owner of a regulated club is not suitable to be an owner of the club, or
(b) that a person who is an officer of a regulated club is not suitable to be an officer of the club.
(2) The IFR may give one or both of the following—
(a) a direction to the person prohibiting the person (wholly or to an extent specified in the direction) from carrying out such of the person’s activities, or exercising such of their rights, as an owner or officer as are specified or described in the direction;
(b) a direction to the club requiring it to secure that the person does not (wholly or to an extent specified in the direction) carry out such of those activities, or exercise such of those rights, as are specified or described in the direction.
(3) A direction under this section may, among other things, contain provision prohibiting or (in the case of a direction under subsection (2)(b)) provision aimed at prohibiting the person to whom it relates from—
(a) exercising any right, whether or not by virtue of the holding of shares, stock or securities, to vote on any matter relating to the carrying on of the club’s activities;
(b) appointing, terminating the appointment of, changing the terms of appointment or the responsibilities of, any officer or employee of the club;
(c) making changes to the corporate structure of the club;
(d) doing anything specified or described in the direction without obtaining the prior approval of the IFR.
(4) A direction under this section—
(a) comes into force at the time specified by or determined in accordance with the direction;
(b) has effect for the period specified in the direction;
(c) may be varied or revoked by a further direction.
(5) At the same time as giving a direction under this section, the IFR must—
(a) in the case of a direction under subsection (2)(a), give a notice to the person and to the club of which the person is an owner or officer including information about the possible consequences under this Part and Part 8 of not complying with the direction;
(b) in the case of a direction under subsection (2)(b), give a notice to the club including information about the possible consequences under Part 8 of not complying with the direction.
42 Orders and directions effecting alternative officer arrangements
(1) This section applies where—
(a) a direction under section 41 has effect in relation to a person or club, and
(b) the IFR considers that the ability of the club to operate effectively, or to comply with conditions attached to its operating licence, is or is likely to be adversely affected by compliance with the direction.
(2) The IFR may do either or both of the following if it considers that doing so would mitigate or avoid the effect mentioned in subsection (1)(b)—
(a) make an order appointing an individual identified in the order as an officer of the club for a period specified in the order;
(b) give the club a direction requiring it to redistribute amongst its existing officers functions specified or described in the direction (whether of the person concerned or otherwise).
(3) An order under subsection (2)(a)—
(a) must specify or describe the functions to be exercised by the individual appointed by the order;
(b) comes into force at the time specified by or determined in accordance with the order;
(c) may be varied or revoked by a further order.
(4) A direction under subsection (2)(b)—
(a) comes into force at the time specified by or determined in accordance with the direction;
(b) has effect for the period specified in the direction;
(c) may be varied or revoked by a further direction.
(5) The IFR may make rules providing for—
(a) costs incurred by it in connection with the appointment of an individual by virtue of an order under subsection (2)(a), and
(b) costs incurred by an individual appointed by virtue of such an order,
to be payable by the club to which the individual is appointed.
(6) Where an individual is appointed by virtue of an order under subsection (2)(a), the club, each owner of the club and each officer of the club must—
(a) co-operate with the individual, and
(b) give the individual such reasonable assistance as the individual requests (including access to business premises, equipment, services, information and individuals),
in connection with the exercise of the individual’s functions under the order.
(7) At the same time as making an order under this section, the IFR must give a notice to the club, and to each owner and officer of the club, including information about the possible consequences under—
(a) this Part (where the direction under section 41 relates to a person who is an owner of the club), and
(b) Part 8,
of not complying with the duty imposed by subsection (6).
(8) At the same time as giving a direction under this section, the IFR must give the club a notice about the possible consequences under Part 8 of not complying with the direction.
(9) References in this Act to an officer of a club do not include references to an individual appointed as an officer of the club by virtue of an order under subsection (2)(a).
(1) The IFR may make an order containing such provision as the IFR considers appropriate to secure that, by the end of the period specified in the order, a person who is an owner of a regulated club (“P”) has ceased to be an owner of the club.
(2) But the power to make an order under subsection (1) is exercisable only where—
(a) the IFR has determined under section 28, or is treated as having determined under that section, that P is not suitable to be an owner of the club,
(b) P fails without reasonable excuse to comply with a direction given to P under section 39,
(c) P fails without reasonable excuse to comply with a direction given to P under section 41, or
(d) a direction under section 41 has effect in relation to P and P—
(i) fails to co-operate with or assist an individual appointed by an order under section 42 in connection with the exercise of the individual’s functions under the order, or
(ii) otherwise obstructs such an individual from carrying out those functions,
and P does not have a reasonable excuse for the failure or obstruction.
(3) An order under this section may, among other things, include provision—
(a) for the appointment of trustees;
(b) conferring functions on trustees appointed by virtue of the order (including functions of taking action on behalf of P or any other person);
(c) requiring P or any other person to take action (including action directed by trustees appointed by virtue of the order).
(4) The provision that may be made by virtue of subsection (3)(b) includes provision authorising trustees appointed by virtue of the order to take any steps they consider appropriate to achieve the purpose for which the order is made.
(5) A trustee appointed by virtue of an order under this section—
(a) must not have a conflict of interest, and
(b) must have the necessary skills to discharge their functions under the order.
(6) Where a trustee is appointed by virtue of an order under this section, the club, each owner of the club and each officer of the club must—
(a) co-operate with the trustee, and
(b) give the trustee such reasonable assistance as the trustee requests (including access to business premises, equipment, services, information and individuals),
in connection with the exercise of the trustee’s functions under the order.
(7) A trustee appointed by virtue of an order under this section must—
(a) provide the IFR with regular reports on the exercise of their functions under the order and on any co-operation or assistance provided by P or the club;
(b) obtain the IFR’s approval before making any contractual or other arrangements that would result in P ceasing to be an owner of the club.
(8) The IFR may withhold approval for arrangements described in subsection (7)(b) if—
(a) the IFR considers that the arrangements would result in any person becoming an owner of the club without the IFR having first determined under section 28 that the person is suitable to be an owner of the club, or
(b) where the arrangements would involve the disposal of an interest in the club, the IFR considers that any party to the proposed disposal is acting in bad faith.
44 Orders under section 43: procedure, costs and liabilities
(1) Before making an order under section 43, the IFR must publish a notice—
(a) stating—
(i) that the IFR proposes to make the order, and
(ii) the reasons for doing so,
(b) summarising the provision the IFR proposes to include in the proposed order,
(c) inviting the making of representations about the proposed order, and
(d) specifying the means by which, and the period within which, such representations may be made,
and must have regard to any representations which are duly made.
(2) The period for making representations must be a period of not less than 14 days beginning with the day on which the notice under subsection (1) is published.
(3) As soon as reasonably practicable after the period for making representations has ended, the IFR must—
(a) decide whether to make an order under section 43, and
(b) publish a notice of its decision, giving reasons for it.
(4) At the same time as making an order under section 43, the IFR must—
(a) where the order imposes requirements on P (within the meaning of section 43), give a notice to P and to the club including information about the possible consequences under Part 8 of not complying with those requirements;
(b) where the order imposes requirements on the club, give a notice to the club including information about the possible consequences under Part 8 of not complying with those requirements;
(c) give a notice to the club, and to each owner and officer of the club, including information about the possible consequences under Part 8 of not complying with the duty imposed by subsection (6) of section 43.
(5) An order under section 43—
(a) comes into force at the time specified by or determined in accordance with the order,
(b) has effect for the period specified by or determined in accordance with the order, and
(c) may be varied or revoked by a further order.
(6) The IFR may make rules providing for—
(a) costs incurred by the IFR in exercising functions under section 43 or this section, and
(b) costs incurred by a trustee appointed by virtue of such an order,
to be payable by P (within the meaning of section 43).
45 Duty not to operate a team in relation to a prohibited competition
(1) A club to which subsection (2) applies must not operate a team in relation to a prohibited competition.
(2) This subsection applies to—
(a) a regulated club, or
(b) a club that is not a regulated club but has been a regulated club at any point within the previous 10 years.
(3) In calculating the period of 10 years mentioned in subsection (2)(b), no account is to be taken of any time before the coming into force of this section.
(4) A “prohibited competition” is a competition specified as a prohibited competition for the purposes of this section in rules made by the IFR.
(5) In considering whether to specify a competition as a prohibited competition, the IFR must have regard to—
(a) whether the competition—
(i) is, or would be, merit-based,
(ii) operates, or would operate, on the basis of fair and open competition,
(iii) jeopardises, or would jeopardise, the sustainability of relevant competitions,
(iv) jeopardises, or would jeopardise, the sustainability of clubs operating teams in relation to relevant competitions, and
(v) harms, or would harm, the heritage of English football, and
(b) any other factors that the IFR specifies in rules.
(6) Before specifying a competition as a prohibited competition, the IFR must give the competition organiser a notice—
(a) stating that it proposes to specify the competition as a prohibited competition,
(b) explaining why it proposes to take such action,
(c) inviting the competition organiser to make representations about the proposed action, and
(d) specifying the means by which, and the period within which, such representations may be made,
and must have regard to any representations duly made.
(7) The period specified in the notice for making representations must be a period of not less than 14 days beginning with the day on which the notice is given.
(8) Before specifying a competition as a prohibited competition, the IFR must—
(a) take reasonable steps to determine the views of fans in England and Wales of regulated clubs about the competition being specified as a prohibited competition, and
(b) have regard to those views.
(9) Before specifying a competition as a prohibited competition, the IFR must consult—
(a) the Football Association, and
(b) such other persons as the IFR considers appropriate.
(10) The IFR may specify a competition as a prohibited competition—
(a) whether or not any of the matches included in that competition are played, or are to be played, in England or Wales or in any other part of the United Kingdom;
(b) whether or not the teams that are entered into it, or that are members of it, or that participate in it are, or are to be, exclusively or predominantly English teams.
(11) For the purposes of this section—
“English team” has the meaning given by section 2(4);
“relevant competition” means any competition (other than a prohibited competition) where the teams that are entered into it, or that are members of it, or that participate in it are exclusively or predominantly English teams.
46 Duty not to dispose etc of home ground without approval
(1) A body to which subsection (2) applies must notify the IFR where the body considers that there is a reasonable prospect of the body—
(a) disposing of any freehold or leasehold interest that the body holds in its home ground or any part of the home ground, or
(b) using any interest that the body holds in its home ground, or any part of the home ground, as security in respect of a loan or other liability.
(2) This subsection applies to—
(a) a body that is a regulated club, or
(b) a body that is not a regulated club but has been a regulated club at any point within the previous 5 years (a “formerly regulated club”).
(3) In calculating the period of 5 years mentioned in subsection (2)(b), no account is to be taken of any time before the coming into force of this section.
(4) A notification under subsection (1) must be given as soon as reasonably practicable after the body considers the duty under that subsection to have arisen.
(5) A body to which subsection (2) applies must obtain the approval of the IFR before it takes any step mentioned in subsection (1).
(6) The IFR must grant approval for the taking of any step mentioned in subsection (1) if—
(a) where the body is a regulated club, it is satisfied that the taking of the step would not undermine the financial sustainability of the club;
(b) where the body is a formerly regulated club, it is satisfied that the body has taken all reasonable steps to ensure that a team customarily plays its home matches at the ground.
(7) The IFR may not grant approval in any other circumstances.
(8) The IFR must, as soon as reasonably practicable after the body has sought approval, decide whether to grant approval under subsection (6).
(9) The IFR must notify the body of its decision to grant, or not to grant, that approval and give reasons for its decision.
(10) In this section, “home ground”—
(a) in relation to a body that is a regulated club, means the ground at which a relevant team operated by it customarily plays its home matches;
(b) in relation to a body that is a formerly regulated club, means the ground at which a relevant team operated by it immediately before it ceased to be a regulated club customarily played its home matches.
47 Duty not to appoint administrator without approval
(1) A body to which section 46(2) applies must notify the IFR as soon as reasonably practicable after the body considers that there is a reasonable prospect of an administrator of the body being appointed under paragraph 22 of Schedule B1 to the Insolvency Act 1986 (“the 1986 Act”) (including that paragraph as applied in relation to partnerships by an order under section 420 of that Act).
(2) An administrator of a body to which section 46(2) applies may not be appointed as mentioned in subsection (1) without the approval of the IFR.
(3) Approval under subsection (2)—
(a) must be in writing, and
(b) must accompany the notice of intention to appoint filed under paragraph 27 of Schedule B1 to the 1986 Act.
(4) But in a case where the notice of intention to appoint mentioned in subsection (3)(b) is not required—
(a) subsection (3)(b) does not apply, but
(b) approval under subsection (2) must accompany the notice of appointment filed under paragraph 29 of Schedule B1 to the 1986 Act.
(1) A regulated club must notify the IFR where the club considers that there is a reasonable prospect of the club entering into arrangements whereby a relevant team operated by it would play its home matches at a ground other than the club’s home ground.
(2) A notification under subsection (1) must be given as soon as reasonably practicable after the club considers the duty under that subsection to have arisen.
(3) The club must obtain the approval of the IFR before it enters into the arrangements mentioned in subsection (1).
(4) The IFR must grant approval for the club entering into those arrangements if it is satisfied that —
(a) the arrangements would not undermine the financial sustainability of the club,
(b) the arrangements would not cause significant harm to the heritage of the club,
(c) the club has taken reasonable steps to determine the views of its fans about the effect of the arrangements on the relevant matters set out in paragraph 4(2) of Schedule 4, and
(d) the club has had regard to those views in considering whether to enter into the arrangements.
(5) The IFR may not grant approval in any other circumstances.
(6) The IFR must, as soon as reasonably practicable after the club has sought approval, decide whether to grant approval under subsection (4).
(7) The IFR must notify the club of its decision to grant, or not to grant, that approval and give reasons for its decision.
(8) In this section “home ground”, in relation to a regulated club, has the meaning given by section 46(10)(a).
49 Duty not to change crest, home shirt colours or name without approval
(1) A regulated club must not make any material changes to—
(a) any emblem or crest of a relevant team operated by the club, or
(b) the predominant home shirt colours of such a team,
unless the club has taken reasonable steps to establish that the changes are supported by a majority of the club’s fans in England and Wales.
(2) A regulated club must not change the name of a relevant team operated by the club unless the change has been approved by the Football Association.
50 Duty to notify of changes in circumstances relevant to the IFR’s functions
(1) A regulated club must notify the IFR where the club considers that there has been, or may have been, a material change in circumstances affecting the club that is relevant to the exercise of the IFR’s functions under this Act.
(2) A notification under subsection (1) must be given as soon as reasonably practicable after the club considers that there has been, or may have been, such a change of circumstances.
(3) A club is not required to notify the IFR under this section of any material change in circumstances that the club has notified to the IFR under or by virtue of any other provision of this Act.
51 Duty to keep fans informed of insolvency proceedings
(1) A regulated club that is in relevant insolvency proceedings must take reasonable steps to keep its fans informed about the progress of the proceedings.
(2) “Relevant insolvency proceedings” has the meaning given by paragraph 13(3) of Schedule 1.
(1) A licensed club must—
(a) prepare a personnel statement (within the meaning of section 16), and
(b) submit it to the IFR for approval.
(2) A statement submitted to the IFR for approval must be accompanied by a statement explaining why the club considers the statement to be accurate (but this is subject to subsection (8)).
(3) The IFR—
(a) may approve the statement with or without modifications, and
(b) may approve the statement only if satisfied that it is accurate.
(4) Before approving the statement with modifications, the IFR must consult the club.
(5) The club must publish the approved statement online as soon as reasonably practicable after the IFR approves the statement.
(6) The first statement must be submitted to the IFR as soon as reasonably practicable after the club becomes a licensed club, subject to subsection (8).
(7) A new statement must be submitted to the IFR as soon as reasonably practicable after the most recent approved statement becomes inaccurate in a material particular.
(8) Where the first personnel statement submitted by a club to the IFR in accordance with subsection (6) would be the same as the personnel statement submitted by the club to the IFR under section 16, the club may require the IFR to treat the statement submitted under that section as its first personnel statement for the purposes of this section.
(1) The IFR may require a club to pay to the IFR a levy in respect of a chargeable period during which the club is a licensed club.
(2) The amount of the levy is to be calculated in accordance with rules made by the IFR (“levy rules”).
(3) Levy rules must secure that the aggregate amount payable by virtue of this section in respect of a chargeable period does not exceed the sum of—
(a) the costs which the IFR estimates it will incur in exercising its functions under this Act during that period, which may include an amount in respect of contingencies in relation to that period,
(b) the amount of any financial reserves which the IFR considers it appropriate to raise in that period for the purpose of meeting any costs of exercising its functions under this Act in future periods,
(c) where the IFR’s actual costs incurred in exercising its functions under this Act in the previous chargeable period exceed the IFR’s estimate of those costs, the amount by which the IFR’s actual costs in the previous period exceeded the IFR’s estimate,
(d) where the IFR’s estimate of the costs it would incur in exercising its functions in the previous chargeable period exceeds the IFR’s actual costs incurred, the amount (expressed as a negative figure) by which the IFR’s estimated costs in the previous period exceeded the IFR’s actual costs, and
(e) an amount in respect of any of the IFR’s initial costs, and any of the Secretary of State’s establishment costs, that have not been recovered before the beginning of the chargeable period.
(4) “The IFR’s initial costs” are the costs incurred by the IFR before the first chargeable period—
(a) in preparing for the exercise of any of its functions under this Act, and
(b) in exercising any of those functions.
(5) “The Secretary of State’s establishment costs” are such costs as are—
(a) incurred by the Secretary of State in relation to the establishment of the IFR before the coming into force of section 5, and
(b) notified by the Secretary of State to the IFR before the first chargeable period.
(6) Levy rules must make provision about—
(a) how the IFR is to estimate the costs which it expects to incur in exercising its functions under this Act during a chargeable period;
(b) how the IFR is to calculate the costs which it actually incurs in exercising those functions during a chargeable period;
(c) how the IFR is to calculate an appropriate financial reserve to raise in a chargeable period;
(d) how the IFR is to calculate the IFR’s initial costs;
(e) the number of chargeable periods over which the IFR’s initial costs and the Secretary of State’s establishment costs will be recovered (“recovery periods”);
(f) the maximum percentage of the IFR’s initial costs and of the Secretary of State’s establishment costs that may be recovered in each recovery period;
(g) how the aggregate amount payable in respect of a chargeable period is to be divided between clubs that are licensed clubs during that period;
(h) the administration and payment of the levy.
(7) Levy rules may make provision—
(a) for a club that would otherwise be required to pay the levy to not be required to pay it where conditions specified in levy rules are met;
(b) for interest to be charged, at a rate specified in or calculated in accordance with the rules, on any amount of levy not paid by the day on which it is due.
(8) If levy rules make the provision mentioned in subsection (7)(b), they must provide—
(a) for the rate at which interest is charged not to exceed an annual percentage rate of 5% plus the Bank of England base rate,
(b) that the IFR may charge interest at a rate determined by the IFR that is lower than the rate that would otherwise be applicable under the rules, where the IFR considers that appropriate, and
(c) that the IFR may disapply a requirement for interest to be charged, where the IFR considers that appropriate.
(9) In making the provision mentioned in subsection (6)(g) the IFR must (among other things) have regard to—
(a) the financial resources of each licensed club, and
(b) the specified competition in relation to which a relevant team is operated by each licensed club.
(10) An amount payable by a club in accordance with this section and levy rules is recoverable as a civil debt due to the IFR.
(11) For the purposes of this section and section 54 a “chargeable period” means—
(a) the period of 12 months beginning with such day as may be specified by the IFR by notice for the purposes of this subsection (which is the first chargeable period), and
(b) each subsequent period of 12 months.
(1) Before making, amending or replacing levy rules the IFR must consult—
(a) the Secretary of State,
(b) the Treasury,
(c) all regulated clubs, and
(d) such other persons as the IFR considers appropriate.
(2) Subsection (1) does not apply in relation to amendments to or replacements of levy rules if the IFR considers the changes to be minor.
(3) The consultation must include a draft of the proposed levy rules.
(4) As soon as reasonably practicable before the start of a chargeable period (“period A”) the IFR must publish—
(a) an estimate of the costs which it expects to incur in exercising its functions under this Act during period A;
(b) the actual costs of exercising those functions during the chargeable period immediately before period A (unless period A is the first chargeable period);
(c) the amount of financial reserves which it considers it appropriate to raise in period A (if any);
(d) the amount to be recovered in period A in respect of the IFR’s initial costs and the Secretary of State’s establishment costs (if any);
(e) the amount of the IFR’s initial costs and the Secretary of State’s establishment costs that it has not recovered before the start of period A (if any);
(f) the amount payable by each licensed club in respect of period A;
(g) such information as it considers appropriate to explain how those costs and amounts are determined.
(5) Where the IFR by notice specifies a day for the purposes of section 53(11) the IFR must, as soon as reasonably practicable after specifying the day, publish that notice.
(6) In this section “the IFR’s initial costs” and “the Secretary of State’s establishment costs” have the same meanings as in section 53.
(1) A specified competition organiser must notify the IFR where—
(a) the organiser considers that there is a risk of the IFR’s ability to advance its club financial soundness objective or its systemic financial resilience objective being jeopardised,
(b) the organiser has failed to comply with a commitment accepted by the IFR under section 24 or the organiser considers that there is an immediate risk of it failing to so comply, or
(c) the organiser considers or suspects that a club has breached a relevant rule of a specified competition.
(2) A notice under subsection (1) must—
(a) explain why the specified competition organiser considers the duty under that subsection to have arisen, and
(b) be given as soon as reasonably practicable after the specified competition organiser considers the duty under that subsection to have arisen.
(3) A specified competition organiser must also notify the IFR before a penalty, sanction or other requirement (whether financial or otherwise) is imposed, whether by the organiser or another person, on a club that breaches or is suspected to have breached a relevant rule of a specified competition.
(4) Where a notice under subsection (3) is not given before a penalty, sanction or other requirement is imposed, the specified competition organiser must notify the IFR of the fact that a penalty, sanction or other requirement has been imposed as soon as reasonably practicable after becoming aware of that fact.
(5) A notice under subsection (3) or (4) must explain why the penalty, sanction or other requirement is being or has been imposed.
(6) A specified competition organiser must consult the IFR before—
(a) adding or removing a relevant rule of a specified competition, or
(b) varying a relevant rule of a specified competition, unless the variation is not material.
(7) A consultation under subsection (6) must—
(a) explain why the specified competition organiser is proposing to add, remove or vary the relevant rule of a specified competition;
(b) include a draft of the additional or varied rule.
(8) In this section, “relevant rule of a specified competition” means a rule of the specified competition organised by the specified competition organiser that is relevant to the exercise of any of the IFR’s functions under this Act.
(1) This Part makes provision for a specified competition organiser to apply to the IFR for the triggering of a process under which—
(a) specified competition organisers are required to enter into mediation in connection with the distribution of relevant revenue received by one of the organisers, and
(b) if those organisers do not reach agreement during that process, the IFR may make an order as to the distribution of that revenue.
(2) In this Part, “relevant revenue” means revenue received by a specified competition organiser—
(a) as a result of the sale or acquisition of rights to exploit the broadcasting of football matches included in a competition organised by the specified competition organiser, or
(b) from any other source specified, or of a description specified, in regulations made by the Secretary of State.
(3) Before making regulations under subsection (2)(b), the Secretary of State must consult—
(a) the IFR,
(b) the Football Association, and
(c) each specified competition organiser.
(4) The Secretary of State may not make regulations under subsection (2)(b) unless there has been a material change in circumstances relating to the sources of relevant revenue received by a specified competition organiser since—
(a) the day on which this section came into force, or
(b) where regulations under subsection (2)(b) have been made, the day on which such regulations were last made.
(5) For the purposes of this Part—
“distribution agreement” means an agreement between two specified competition organisers that provides for the distribution of relevant revenue received by one or both of those organisers (and includes an agreement entered into before the coming into force of any provision of this Part);
“distribution order” has the meaning given by section 62(6);
“qualifying football season”, in relation to an application under section 57, means—
either—
the football season during which the application is made, or
where the application is not made during a football season, the next football season after the application is made, and
any subsequent football season up to and including the fifth subsequent season;
“the resolution process” means the process set out in sections 60 to 62.
(6) For the purposes of this Part, a distribution agreement or a distribution order relates to a qualifying football season if the agreement or order provides for the distribution of relevant revenue in or in respect of that season.
57 Applications for resolution process to be triggered
(1) A specified competition organiser may apply to the IFR for the resolution process to be triggered where—
(a) one or more questions have arisen between that organiser and another specified competition organiser, and
(b) the question or questions relate to the distribution, in or in respect of one or more qualifying football seasons, of relevant revenue received by one of those organisers.
(2) But a specified competition organiser may apply to the IFR under subsection (1) only if one or more of the following conditions are met in relation to the qualifying football season or seasons to which the question or questions for resolution mentioned in subsection (1) relate.
(3) Condition 1 is met in relation to a qualifying football season if—
(a) no distribution agreement is in force between the two specified competition organisers in relation to the season, and
(b) no distribution order has effect in respect of the two specified competition organisers in relation to the season.
(4) Condition 2 is met in relation to a qualifying football season if there has been, or will be, a material reduction in the relevant revenue received by one specified competition organiser in or in respect of that season compared to the relevant revenue received by that specified competition organiser in or in respect of any preceding season in relation to which (as the case may be)—
(a) the last distribution agreement entered into between the two specified competition organisers had effect, or
(b) the last distribution order made in relation to those organisers had effect.
(5) Condition 3 is met in relation to a qualifying football season if, in relation to the relevant revenue received or to be received by either or both of the specified competition organisers in or in respect of that season, there has been or will be a material change in circumstances since (as the case may be)—
(a) the day on which the last distribution agreement was entered into between those organisers, or
(b) the day on which the last distribution order was made in relation to those organisers.
(6) Condition 4 is met in relation to a qualifying football season if—
(a) a distribution agreement is in force between the two specified competition organisers in relation to the season,
(b) the distribution agreement has been in force for at least five years, and
(c) no distribution order has effect in respect of the specified competition organisers in relation to the season.
58 Applications under section 57: procedural and other requirements
(1) Before making an application under section 57, a specified competition organiser (“the notifier”) must—
(a) notify the other specified competition organiser (“the respondent”) that the notifier intends to make the application, and
(b) send a copy of the notification to the IFR.
(2) A notification under subsection (1)(a) must—
(a) set out details of the question or questions for resolution mentioned in section 57(1) to which it is intended the application will relate,
(b) specify the qualifying football season or seasons to which that question relates or those questions relate,
(c) explain why the notifier considers that at least one of the conditions in section 57 is met in relation to that season or those seasons,
(d) invite the respondent to make representations about the content of the notification, and
(e) specify the means by which, and the period within which, such representations must be made.
(3) The period specified in the notice for making representations must be a period of not less than 14 days beginning with the day on which the notice is given.
(4) An application under section 57 must not be made before the end of the period of five days beginning with the last day on which representations may be made.
(5) An application under section 57 must—
(a) set out details of the question or questions for resolution mentioned in section 57(1) to which the application relates,
(b) specify the qualifying football season or seasons to which that question relates or those questions relate,
(c) explain why the notifier considers that at least one of the conditions in section 57 is met in relation to that season or those seasons, and
(d) be accompanied by copies of any representations made by the respondent about the content of the notification under subsection (1)(a).
59 Decisions by the IFR on applications under section 57
(1) Where an application is made under section 57, the IFR must decide whether the resolution process should be triggered in relation to one or more of the questions for resolution to which the application relates (or a modified version of one or more of those questions).
(2) The IFR may decide that the resolution process should be triggered in relation to the question or questions for resolution only if the IFR—
(a) is satisfied that at least one of the conditions in section 57 is met in relation to each season to which the question relates or the questions relate,
(b) has reasonable grounds to suspect that its ability to advance at least one of its objectives would be jeopardised if the resolution process were not triggered in relation to the question or questions for resolution, and
(c) considers that the question or questions for resolution could not be resolved within a reasonable period of time by the IFR exercising any of its other functions under this Act.
(3) In deciding whether the resolution process should be triggered in relation to one or more of the questions for resolution, the IFR may have regard to the purposes for which the distributed revenue would be used.
(4) In deciding whether the resolution process should be triggered in reliance on the condition in section 57(3), the IFR may have regard to whether the situation described in section 57(3)(a) (no distribution agreement in force) has arisen as a result of bad faith on the part of either of the specified competition organisers.
(5) Where the IFR is minded that the resolution process should be triggered, the IFR must consult the Football Association on the question or questions for resolution in relation to which it is minded to trigger the process.
(6) If the IFR decides that the resolution process should be triggered, the IFR must—
(a) notify the two specified competition organisers and give reasons for its decision, and
(b) set out in the notice—
(i) the question or questions for resolution in relation to which the IFR is triggering the resolution process,
(ii) the qualifying football season or seasons to which that question relates or those questions relate,
(iii) how the IFR has taken account of any representations, copies of which accompanied the application under section 57 by virtue of section 58(5)(d), in setting out that question or those questions, and
(iv) any findings in the IFR’s most recent state of the game report that the IFR considers relevant to that question or those questions.
(7) Where any of the questions for resolution set out in the notice differ from those to which the application made under section 57 relates, the notice must set out the extent of, and reasons for, those differences.
(8) If the IFR decides that the resolution process should not be triggered, the IFR must notify the two specified competition organisers and give reasons for its decision.
(9) The IFR must make the decision under subsection (1) within the period of 28 days beginning with the day on which the application is made.
(10) The IFR may extend the period in subsection (9) by up to a further 28 days if it considers there are special reasons for doing so.
(1) This section applies where the IFR gives a notice under section 59(6).
(2) The two specified competition organisers to which the notice was given must appoint a mediator before the end of the period of 14 days beginning with the day on which the notice was given.
(3) If the period mentioned in subsection (2) ends without an appointment having been made by the specified competition organisers, the IFR must appoint a mediator as soon as reasonably practicable after that period has ended.
(4) The IFR may extend the period in subsection (2) by up to a further 28 days if it considers there are special reasons for doing so.
(5) A person appointed as a mediator under subsection (3) must be a person who the IFR considers to have appropriate skills and experience.
(6) A mediator appointed under this section must mediate negotiations between the specified competition organisers on the question or questions for resolution set out in a notice under section 59(6)(b)(i) until whichever of the following events occurs first—
(a) the specified competition organisers resolve that question or those questions (whether by entering into a distribution agreement or otherwise);
(b) the end of the period of 28 days beginning with the day on which the mediator is appointed;
(c) the specified competition organisers agree to terminate the mediation;
(d) the mediator notifies the specified competition organisers that the mediator considers—
(i) that there is no reasonable prospect of the specified competition organisers resolving the question or questions for resolution set out in a notice under section 59(6)(b)(i) (whether by entering into a distribution agreement or otherwise) within the period mentioned in paragraph (b), or
(ii) either of the specified competition organisers is acting in bad faith.
(7) The IFR must extend the period in subsection (6)(b)—
(a) if requested in writing to do so by the mediator, and
(b) by such period as is set out in the request, which may be up to a further 28 days.
(8) The period in subsection (6)(b) may only be extended once.
(9) A notification under subsection (6)(d) must include reasons for the decision.
(1) This section applies where mediation under section 60 comes to an end by virtue of the occurrence of an event within section 60(6)(b), (c) or (d).
(2) As soon as reasonably practicable after the occurrence of the event, the IFR must give notice to the two specified competition organisers.
(3) A notice under subsection (2) must—
(a) set out the question or questions for resolution,
(b) specify the qualifying football season or seasons to which that question relates or those questions relate,
(c) set out any findings in the IFR’s most recent state of the game report that the IFR considers relevant to that question or those questions,
(d) invite each of the two specified competition organisers to submit to the IFR and to each other a proposal as to how that question or those questions should be resolved,
(e) require any proposal to be accompanied by supporting evidence (including evidence as to how the proposal addresses the findings set out under paragraph (c)),
(f) specify the day on or before which proposals are to be submitted.
(4) A question for resolution may be set out in a notice under subsection (2) only if it is the question, or one of the questions, for resolution remaining unresolved when the mediation mentioned in subsection (1) came to an end.
(5) Where a notice under subsection (2) sets out a question for resolution that relates to relegation revenue (within the meaning given by section 62(9)), the notice must require the specified competition organisers to explain in a proposal how the proposal will promote the financial sustainability of clubs which operate teams relegated from a competition organised by the specified competition organiser distributing the relegation revenue.
(6) Subsection (7) applies if, on or before the day specified by virtue of subsection (3)(f), a specified competition organiser submits to the IFR a proposal which the IFR considers is not a qualifying proposal.
(7) The IFR may give both specified competition organisers a notice specifying a later day (falling not more than seven days after the end of the day specified by virtue of subsection (3)(f)) on or before which proposals are to be submitted.
(8) As soon as reasonably practicable after—
(a) the initial proposal deadline, or
(b) (if earlier) the day on which the IFR considers that both specified competition organisers have submitted qualifying proposals,
the IFR must give a notice under subsection (9) to the two specified competition organisers.
(9) A notice under this subsection must—
(a) state which of the two specified competition organisers (if any) has submitted a qualifying proposal before the initial proposal deadline,
(b) invite each such specified competition organiser to—
(i) confirm their proposal, or
(ii) make any permitted modifications to their proposal,
and submit the confirmed or modified proposal to the IFR and the other specified competition organiser, and
(c) specify the day on or before which the confirmed or modified proposal is to be submitted.
(10) The IFR may specify in a notice under subsection (2) or (9) the form and manner in which proposals and supporting evidence must be submitted.
(11) In this section—
(a) “the initial proposal deadline” means—
(i) the day referred to in subsection (3)(f), or
(ii) where the IFR gives a notice under subsection (7), the day specified in the notice;
(b) a “qualifying proposal” means a proposal which—
(i) explains how the question or questions for resolution should be resolved, and
(ii) complies with the requirements imposed by virtue of subsection (3)(e) and (5) (if applicable);
(c) a modification to a proposal is “permitted” unless it results in the proposal no longer being a qualifying proposal.
(1) This section applies where the IFR has given a notice under section 61(9).
(2) Before the end of the period of 60 days beginning with the day on which the notice under section 61(9) was given, the IFR must give the two specified competition organisers a notice of the distribution order it proposes to make.
(3) The IFR may extend the period in subsection (2) by up to a further 14 days if it considers it appropriate to do so.
(4) A notice under subsection (2) must—
(a) give reasons for the proposed distribution order,
(b) explain how the proposed order applies the principles mentioned in subsection (8),
(c) explain how the proposed order addresses the findings set out under section 61(3)(c),
(d) invite each of the two specified competition organisers to make representations about the proposed distribution order,
(e) specify the period within which such representations may be made, and
(f) specify the means by which they may be made,
and the IFR must have regard to any representations which are duly made.
(5) The period specified under subsection (4)(d) must be a period of not less than 14 days beginning with the day on which the notice is given.
(6) As soon as reasonably practicable after the end of the period specified under subsection (4)(d), the IFR must make an order requiring relevant revenue to be distributed in a way that the IFR considers appropriate for the purpose of resolving the question or questions for resolution set out under section 61(3)(a) (a “distribution order”).
(7) In making a distribution order the IFR must—
(a) apply the principles mentioned in subsection (8), and
(b) have regard to any proposal submitted under section 61(9)(b).
See also section 7 (in particular the IFR’s general duty to exercise its functions in a way that advances one or more of its objectives and to have regard to various matters).
(8) The principles referred to in subsection (7)(a) are that—
(a) the distribution order should not place an undue burden on the commercial interests of either specified competition organiser, and
(b) the distribution order should not result in a lower amount of relegation revenue being distributed to a club during the relevant period than would have been distributed to the club during that period had the order not been made.
(9) For the purposes of subsection (8)—
“relegation revenue” means revenue distributed by a specified competition organiser to a club in consequence of a team operated by the club being relegated from a specified competition organised by the specified competition organiser;
“relevant period”, in relation to a distribution order, means the period of one year beginning with the final day of the first football season in respect of which relegation revenue would be distributed in pursuance of the order.
(10) A distribution order—
(a) must impose on the specified competition organisers such obligations as the IFR considers appropriate for the purpose of securing compliance with the requirements set out in the order, and
(b) may, where a distribution agreement is in force between the specified competition organisers in relation to the same qualifying football season or seasons to which the order relates, provide for that agreement to have effect subject to provision contained in the order.
(11) At the same time as making a distribution order, the IFR must give the two specified competition organisers a notice—
(a) including a copy of the order,
(b) giving reasons for the order,
(c) explaining how the order applies the principles mentioned in subsection (8),
(d) explaining how the order addresses the findings set out under section 61(3)(c), and
(e) including information about the possible consequences under Part 8 of not complying with the order.
(12) The IFR must, as soon as reasonably practicable after making a distribution order, publish the order or a summary of the order.
(1) A distribution order comes into force at such time as the order may specify.
(2) A distribution order ceases to have effect—
(a) on such day as may be specified in the order, or
(b) if revoked under subsection (3) or (4).
(3) The IFR may revoke a distribution order if it considers that there are exceptional circumstances that make it appropriate to do so.
(4) The IFR must revoke a distribution order where it is satisfied that the two specified competition organisers have, after the making of the order, entered into a distribution agreement relating to the same qualifying football season or seasons to which the distribution order relates.
(5) Where the IFR revokes a distribution order, it must give a notice to that effect to the specified competition organisers.
(6) The notice must include the reasons for the IFR’s decision.
(7) The notice may include transitional, transitory or saving provision in relation to the revocation of the distribution order.
64 Review of distribution orders, payment of costs, etc
(1) The IFR must keep under review—
(a) the extent to which specified competition organisers are complying with a distribution order which has effect in respect of them,
(b) whether to take enforcement action under Part 8 in respect of a specified competition organiser which does not comply with a distribution order, and
(c) whether to revoke a distribution order.
(2) The IFR may by rules make provision about the payment of costs incurred by it or any other person under or by virtue of this Part.
(3) Nothing in this Part—
(a) affects the capacity of one or more specified competition organisers to agree, at any time, how relevant revenue received by a specified competition organiser is to be distributed (whether by entering into a distribution agreement or otherwise), or
(b) prevents such an agreement from having effect or being enforced (subject to section 62(10)(b)).
(1) The IFR may give a person a notice (an “information notice”) requiring the person to give specified information to the IFR where the IFR considers that the information is necessary for the purpose of exercising the IFR’s functions under this Act.
(2) An information notice must—
(a) explain why the IFR requires the information;
(b) state the time by which, or the frequency with which, the information must be given to the IFR;
(c) state the place at which, or the manner (which may be remote) in which, the information must be given to the IFR;
(d) state the form in which the information must be given to the IFR;
(e) include information about the possible consequences under Part 8 of not complying with the notice.
(3) The power under this section to require a person to give information to the IFR includes the power to—
(a) take copies of or extracts from the information given to the IFR;
(b) require the person to obtain or generate information for the purpose of giving that information to the IFR;
(c) require the person to collect or retain information that they would not otherwise collect or retain for the purpose of giving that information to the IFR;
(d) if any specified information is not given to the IFR, require the person to state, to the best of their knowledge and belief, both where that information is and why it has not been given to the IFR.
(4) In this section, “specified” means—
(a) specified, or described, in the information notice, or
(b) falling within a category which is specified, or described, in the information notice.
Appointment of an expert reporter
(1) The IFR may appoint a person (“an expert reporter”) to prepare, and provide the IFR with, a report in relation to a regulated club on any matter where the IFR considers that a report on the matter is necessary for the purpose of exercising the IFR’s functions under this Act.
(2) Where the IFR appoints an expert reporter the IFR must give the club concerned a notice—
(a) stating the name of the expert reporter;
(b) giving details of the matter on which the report is to be prepared;
(c) including information about the possible consequences under Part 8 of failing to co-operate with or assist, or otherwise obstructing, the expert reporter in the preparation of the report.
(3) An expert reporter must be a person appearing to the IFR—
(a) to have the skills necessary to provide a report on the matter concerned, and
(b) not to have a conflict of interest.
Exercise of powers by an expert reporter
(4) An expert reporter may by notice require a person to give specified information to the expert reporter where the expert reporter considers that the information is necessary for the purpose of preparing a report under this section.
(5) A notice under subsection (4) must—
(a) explain why the expert reporter requires the information;
(b) state the time by which, or the frequency with which, the specified information must be given to the expert reporter;
(c) state the place at which, or the manner (which may be remote) in which, the information must be given to the expert reporter;
(d) state the form in which the information must be given to the expert reporter;
(e) include information about the possible consequences under Part 8 of—
(i) not complying with the notice, or
(ii) failing to co-operate with or assist, or otherwise obstructing, the expert reporter in the preparation of the report.
(6) The power under subsection (4) to require a person to give information to an expert reporter includes the power to—
(a) take copies of or extracts from the information given to the expert reporter;
(b) require the person to obtain or generate information for the purpose of giving that information to the expert reporter;
(c) require the person to collect or retain information that they would not otherwise collect or retain for the purpose of giving that information to the expert reporter;
(d) if any specified information is not given to the expert reporter, require the other person to state, to the best of their knowledge and belief, both where that information is and why it has not been given to the expert reporter.
Supplementary
(7) A person to whom an expert reporter gives a notice under subsection (4) and the club to which a report under this section relates—
(a) must co-operate with the expert reporter in connection with the preparation of the report, and
(b) must give the expert reporter such reasonable assistance as the expert reporter requests (including access to business premises, equipment, services, information and individuals) in connection with the preparation of the report.
(8) In this section “specified” means—
(a) specified or described in the notice under subsection (4), or
(b) falling within a category which is specified or described in the notice.
(9) The IFR may by rules make provision for—
(a) costs incurred by it in relation to the appointment of a person under this section, or
(b) expenses incurred by a person appointed under this section in connection with the preparation of a report under this section,
to be payable by the club concerned.
(1) The IFR may conduct an investigation where it has reasonable grounds for suspecting that a person has committed a relevant infringement.
(2) Schedule 8 sets out the powers available to the IFR where it decides to conduct an investigation.
(3) Where the IFR decides to conduct an investigation it must, as soon as reasonably practicable after making the decision, give a notice (an “investigation notice”) to the person it has reasonable grounds for suspecting to have committed a relevant infringement.
(4) An investigation notice is a notice—
(a) stating that the IFR has decided to conduct an investigation;
(b) indicating the relevant infringement the IFR has reasonable grounds for suspecting to have been committed;
(c) explaining the matter being investigated.
(5) The IFR may delay giving an investigation notice if it considers that giving the notice would prejudice the investigation.
(6) Where the IFR delays giving an investigation notice in accordance with subsection (5), it must give the investigation notice to the person concerned as soon as reasonably practicable after the IFR no longer considers that giving the notice would prejudice the investigation.
(1) When the IFR conducts an investigation under section 68 into whether a person has committed a relevant infringement, the IFR must determine—
(a) whether the person committed the infringement, and
(b) if so, whether the person had a reasonable excuse for committing the infringement.
(2) The IFR must give a person a closure notice where—
(a) the IFR determines that the person has not committed the infringement, or
(b) the IFR determines that the person has committed the infringement but is not minded to take any action as a result of that determination (whether because the person had a reasonable excuse for committing the infringement, or otherwise).
(3) A closure notice is a notice—
(a) stating the IFR’s determination, and
(b) explaining the IFR’s determination.
(4) Where the IFR has accepted a commitment from the person to whom an investigation relates (see section 70), this section does not apply in relation to the behaviour to which the commitment relates.
(5) Part 8 contains provision about cases where the IFR determines that a person has committed a relevant infringement and is minded to take action as a result of that determination.
(1) Where an investigation under section 68 relates to a relevant infringement to which this section applies, the IFR may accept an appropriate commitment from the person to whom the investigation relates as to their behaviour in respect of the relevant infringement.
(2) A commitment is “appropriate” if the IFR considers that the person’s compliance with the commitment would mean that it would not be necessary to carry out an investigation so far as relating to the behaviour to which the commitment relates.
(3) Where the IFR accepts a commitment under this section—
(a) subject to subsection (4), the IFR may not take action under Part 8 in respect of the relevant infringement, so far as relating to the behaviour, and
(b) the person that gave the commitment must comply with it while it has effect.
(4) But the acceptance of a commitment—
(a) does not prevent an investigation from continuing so far as it relates to other behaviour in relation to the same or a different relevant infringement;
(b) does not prevent the IFR beginning a new investigation in relation to the behaviour to which the commitment relates where the IFR has reasonable grounds to suspect that—
(i) there has been a material change of circumstances since the commitment was accepted,
(ii) the person has not complied with the commitment in any respect, or
(iii) information which led it to accept the commitment was incomplete, false or misleading in a material particular.
(5) This section applies to relevant infringements that are relevant infringements by virtue of any of the following provisions of Schedule 7—
(a) paragraph 2(2)(a), (b), (e) or (h);
(b) paragraph 2(3)(c) or (d);
(c) paragraph 3(a) or (f);
(d) paragraph 4(a) or (f);
(e) paragraph 5, but only so far as the relevant infringement mentioned in sub-paragraph (1)(a) of that paragraph is a relevant infringement mentioned in paragraph (a) or (b) of this subsection;
(f) paragraph 6(b), (c) or (f).
(6) This section is without prejudice to the power of the IFR to attach or vary a discretionary licence condition to an operating licence that relates to behaviour in respect of a relevant infringement.
(1) Where the IFR decides to accept, or not to accept, a commitment from a person under section 70 the IFR must, as soon as reasonably practicable after so deciding, give the person a notice—
(a) including the commitment,
(b) stating the relevant infringement to which the commitment relates,
(c) stating that the IFR has accepted, or not accepted, the commitment, and
(d) explaining why the IFR has accepted, or not accepted, the commitment.
(2) A commitment accepted under section 70—
(a) comes into force when notice of the IFR’s acceptance of it is given under subsection (1), and
(b) ceases to have effect if under subsection (4) the person is released from the commitment.
(3) The IFR may, from time to time, accept a variation to a commitment accepted under section 70 provided the commitment as varied would still be appropriate (and for that purpose subsections (1) and (2) apply in relation to a variation to a commitment as they apply in relation to the acceptance of a commitment).
(4) The IFR may release a person from a commitment accepted under section 70 where it considers that it would be appropriate to do so.
(5) Where the IFR decides to release a person from a commitment accepted under section 70 the IFR must, as soon as reasonably practicable after so deciding, give the person a notice—
(a) stating that the IFR has released the person from the commitment, and
(b) explaining why the IFR is releasing the person from the commitment.
(6) The fact that a commitment under accepted section 70 ceases to have effect does not affect the exercise of any functions in relation to a failure, or possible failure, to comply with that commitment.
(7) The IFR must keep under review—
(a) the extent to which a person which gave a commitment accepted under section 70 is complying with it,
(b) the appropriateness of such a commitment,
(c) whether a person should be released from such a commitment (and whether a discretionary licence condition should be attached to an operating licence, or varied, instead), and
(d) the appropriateness of taking action in accordance with Part 8 in respect of a person who fails to comply with such a commitment.
(8) Where the IFR gives a person a notice under this section it may also publish that notice.
(1) A person who knows or suspects that an investigation under section 68 is being, or is likely to be, conducted must not, without reasonable excuse—
(a) destroy or otherwise dispose of relevant information,
(b) falsify or conceal relevant information, or
(c) cause or permit the destruction, disposal, falsification or concealment of relevant information.
(2) In subsection (1), “relevant information” means any information which the person knows or suspects is or would be relevant to the investigation.
(1) Nothing in this Part authorises the IFR, an officer of the IFR or an expert reporter to require a person to produce, generate or give to the IFR, an officer of the IFR or an expert reporter a privileged communication.
(2) Nothing in this Part authorises the IFR, an officer of the IFR or an expert reporter to produce or take possession of, or take copies of or extracts from, a privileged communication (but see Part 2 of the Criminal Justice and Police Act 2001 for additional powers of seizure).
(3) For the purposes of this section—
(a) “privileged communication” means a communication—
(i) between a professional legal adviser and their client, or
(ii) made in connection with, or in contemplation of, legal proceedings and for the purposes of those proceedings,
which in proceedings in the High Court would be protected from disclosure on grounds of legal professional privilege;
(b) “expert reporter” means a person appointed under section 66.
Where the IFR gives a person—
(a) an investigation notice under section 68, or
(b) a closure notice under section 69,
it must, as soon as reasonably practicable after giving the notice, publish the notice.
(1) Part 1 of Schedule 9 sets out the action the IFR may take in relation to a person where—
(a) the IFR determines that the person has, without reasonable excuse, failed to comply with an information requirement, or
(b) the IFR is satisfied beyond reasonable doubt that the person has committed an offence under section 78.
(2) In subsection (1) and in Part 1 of Schedule 9, “information requirement” means a requirement imposed by or under section 65, 66 or 72 or Schedule 8.
(3) Part 2 of Schedule 9 sets out the action the IFR may take where (whether as a result of an investigation or otherwise) the IFR determines that a person has, without reasonable excuse, committed a relevant infringement (but this is subject to subsection (6)).
(4) Part 3 of Schedule 9 makes provision in connection with financial penalties under paragraphs 3 and 6 of that Schedule.
(5) The IFR may not take action in relation to a person under Schedule 9 in respect of an act or omission which constitutes an offence under section 78 if the person has, in relation to that act or omission, been found guilty of that offence.
(6) The IFR may not take action in relation to a club where it determines that the club has, without reasonable excuse, committed a relevant infringement by virtue of paragraph 2(4)(a)(ii) of Schedule 7 (but it may, in respect of such an infringement, take action in relation to a senior manager by virtue of paragraph 5 of that Schedule).
(1) Where the IFR is minded to take action in relation to a person in accordance with section 75 and Schedule 9, the IFR must first give the person a warning notice.
(2) A warning notice is a notice that—
(a) gives details of the action the IFR is minded to take,
(b) explains why the IFR is minded to take the action,
(c) invites the person concerned to make representations about the proposed action,
(d) specifies the means by which, and the period within which, such representations must be made, and
(e) states whether the decision whether to take action is to be taken by the Board or delegated under paragraph 18 of Schedule 2, and if it is to be delegated, to which person or committee listed in that paragraph it is to be delegated.
(3) The period for making representations must be a period of not less than 14 days beginning with the day on which the warning notice is given.
(4) The IFR must have regard to any representations received in accordance with a warning notice before giving a decision notice under section 77 (and, accordingly, may not take action in accordance with section 75 and Schedule 9 until the period allowed for representations has expired).
(1) As soon as reasonably practicable after the period allowed for representations under section 76 has expired, the IFR must—
(a) determine whether to take action in relation to the person in accordance with section 75 and Schedule 9, and
(b) give the person a decision notice.
(2) A decision notice is a notice that—
(a) states—
(i) the action that the IFR is taking (which, subject to subsection (3), does not need to be the same action detailed in the warning notice), or
(ii) that the IFR is not taking action,
(b) explains why the IFR is taking that action or is not taking action,
(c) where the IFR is taking action, states—
(i) what action (if any) the person is required to take as a result, and
(ii) the day or days by which the person is required to take that action, and
(d) states whether the decision to take action, or not to take action, was made by the Board or delegated under paragraph 18 of Schedule 2, and if it was delegated, to which person or committee listed in that paragraph it was delegated.
(3) The IFR may not take action under paragraph 9 of Schedule 9 (suspension or revocation of operating licence) unless action under that paragraph was detailed in the warning notice.
(4) Subsection (5) applies where the IFR—
(a) has given a person a decision notice and has taken the action stated in it, but
(b) considers that the action has been ineffective.
(5) The IFR may take further action in accordance with section 75 and Schedule 9 (and section 76 and this section apply in relation to any such further action).
Destroying or falsifying information
(1) A person commits an offence if the person—
(a) intentionally or recklessly destroys or otherwise disposes of relevant information,
(b) falsifies or conceals relevant information, or
(c) causes or permits the destruction, disposal, falsification or concealment of relevant information.
(2) In subsection (1), “relevant information” means information the person is required, under or by virtue of this Act, to give to—
(a) the IFR, or
(b) an expert reporter appointed under section 66.
False or misleading information
(3) A person commits an offence if—
(a) the person gives information to—
(i) the IFR in connection with any of its functions under this Act, or
(ii) an expert reporter appointed under section 66 in connection with the preparation of a report under that section,
(b) the information is false or misleading in a material particular, and
(c) the person knows or is reckless as to whether that is the case.
(4) A person commits an offence if the person gives information to another person which is false or misleading in a material particular and the person—
(a) knows that the information is false or misleading in a material particular or is reckless as to whether that is the case, and
(b) knows that the information will be given to—
(i) the IFR in connection with any of its functions under this Act, or
(ii) an expert reporter appointed under section 66 in connection with the preparation of a report under that section.
Obstruction
(5) A person commits an offence if the person intentionally obstructs an officer of the IFR acting in the exercise of the officer’s powers under a warrant issued under paragraph 3 of Schedule 8.
Penalties
(6) A person guilty of an offence under this section is liable—
(a) on summary conviction, to imprisonment for a term not exceeding the general limit in a magistrates’ court, to a fine or to both;
(b) on conviction on indictment, to imprisonment for a term not exceeding 2 years, to a fine, or to both.
Interaction with sanctions under section 75
(7) A person may not be found guilty of an offence under this section by virtue of an act or omission if the IFR has taken action under Schedule 9 in relation to the person in relation to that act or omission.
(1) This section applies where—
(a) the IFR determines (whether as a result of an investigation or otherwise) that a person has, without reasonable excuse, committed a relevant infringement,
(b) the relevant infringement is continuing, and
(c) the relevant infringement jeopardises, or immediately risks jeopardising, the IFR’s ability to advance one or more of its objectives.
(2) The IFR may give the person such direction as the IFR considers appropriate to bring the relevant infringement to an end (an “urgent direction”).
(3) An urgent direction must—
(a) explain why the IFR is giving a direction;
(b) state the action the direction requires the person to take or the action the direction prohibits the person from taking;
(c) state the period during which the action must be taken or the prohibited action must not be taken (as the case may be);
(d) include information about the possible consequences under Part 8 of not complying with the direction;
(e) if the IFR did not give the person concerned an opportunity to make representations before giving the direction, explain why;
(f) include any other information the IFR considers relevant.
(4) A period specified in an urgent direction may be indefinite.
(5) An urgent direction may be varied or revoked by a further urgent direction.
(6) Where the IFR is minded to vary an urgent direction so as to extend a time period, the IFR must invite the person concerned to make representations before giving a further urgent direction.
(7) Before giving a further urgent direction the IFR must have regard to any representations received (whether in response to an invitation under subsection (6) or otherwise).