Companies House Penalty Defence after Set-aside

[smooch]

Afternoon All,

Any and all help is appreciated.

 

CH filed for penalties after accounts were not registered on our file (even though accounts were sent)

The company accounts are all up to date and we have filed accounts before and after the year in question on time.

 

BACKGROUND

A company director posted the accounts in question (on time) to CH via recorded post but to date we are unable to find the certificate of posting. The accounts were never registered on the company register and therefore raked up penalties. Unbeknown we received a Judgement in Default - found out after being refused for a charitable non-geographic phone number. We applied to set-aside the judgement and were successful on the grounds 1) that we did not receive the claim and 2) that we have instances where we have sent documents to CH, they have signed for the documents but our company register was not updated. We have receipts, copies of signed recorded mail certificates and emails form CH. Our accountant is also able to provide a witness statement where he has sent CH documents on our behalf again via recorded post and they also have not been updated to the company register.

 

FAST FORWARD

We would like to put our defence forward in a coherent and ligitant manner as far as possible and wondered if there were any standards or rules we could refer to in order to reinforce our defence. Or do we simply state the facts as is?

In essence, we will be presenting the following;

1. Accountant has filed information

- Information had to be resent via recorded delivery. Postage receipt.

2. Accounts in question was sent by Company Director.

- Evidence: Unable to locate postage receipt

3. Other documents sent to CH. Same documents resent 2 further times – due to not being registered on our Company register

- Evidence: Postage receipts, Email acknowledgement

 

The arguement seems to boil down to us stating that we sent the accounts in on time and CH stating that we did not.

 

Though it is 'sods law' that we have the before and after postal receipts, we seem to be at pains in locating the receipt for the accounts in question. What we do have, is other receipts and can get a witness statement from our accountant stating that he has also sent in documents and they have not been registered on the company record.

 

REQUEST

Support to compile a defence given the information we have.

 

Apologies for the long post, but hopefully it makes sense.

 

Many thanks.

[smooch]

...we are also unsure on which form we need to submit our defence!

[citizenB]

I will try and find someone who can help.

[citizenB]

smooch, when do you need to submit your defence by ?

[smooch]

Hi and thanks CitizenB,

 

Ideally for us by Wednesday so we can just move on, but the deadline is this coming Friday if the weekends are counted or the 4 extra days if the weekends are not counted.

[AndyOrch]

Can you type out their particulars of claim smooch...(verbatim)

 

Regards

 

Andy

[smooch]

Hi Andy,

This is the claim info:

 

Claim Details:

 

1. THE DEFENDANT IS REQUIRED PURSUANT TO S441(1) OF THE COMPANIES ACT 2006 (THE ACT) TO DELIVER TO THE CLAIMANT A COPY OF ITS ANNUAL ACCOUNTS FOR EACH FINANCIAL YEAR.

 

2. FURTHER, UNLESS THE DEFENDANT FALLS WITHIN THE EXEMPTIONS LAID DOWN IN SECTION 480(1) A DIRECTOR'S REPORT AND AUDITOR'S REPORT ON THOSE ACCOUNTS IS REQUIRED.

 

3.. THE DEFENDANT FAILED TO DELIVER THE DOCUMENTS SPECIFIED IN PARAGRAPH 1 HEREOF IN ACCORDANCE WITH THE PROVISIONS OF SECTION 442 OF THE ACT AND IS THEREFORE LIABLE TO A CIVIL PENALTY PURSUANT TO SECTION 453 OF THE ACT AS SET OUT IN SI 2008/497.

 

PARTICULARS OF THE PENALTIES LEVIED AGAINST THE DEFENDANT ARE AS FOLLOWS-

 

ACCOUNTS DATE DUE DATE FILING DATE PENALTY

 

£30-SEP-13

 

30-JUN-14 11-OCT-14 £1500.00

4. THERE REMAINS A BALANCE OF £1500.00 DUE AND OWING AND THE CLAIMANT CLAIMS THAT SUM.

 

It is a little jumbled, but this is how I received it exactly. Hopefully you get the just!?

Edited August 3, 2015 by Andyorch
Numbered and paras

[Conniff]

Assuming you know the date they were posted, have you tried Royal Mail customer services to see if they can find the signature 03457 001 200.

[smooch]

No we don't have the exact date it was late December 2013.

[Conniff]

The records are computerised, so it might still be worth giving them a ring and see if they can help at all.

[smooch]

Ok will do. As you say - it's definitely worth a try.

[Conniff]

The DVLA are famous for loosing mail so why not CH.

[AndyOrch]

What is the issue date on the claim form smooch?

 

Andy

[smooch]

I have no claim form. Just details from the set-aside hearing on 24.07.15

 

I've called the court and they were not sure if the time period is 'working days' or total days. This means that the deadline is Thursday? if it is not working days.

 

The PO has said there's nothing much they can do without a certificate number!

Is it best to serve the documents via email or recorded post?

 

Any help? This feels like its a whole lot more urgent now!!

[Conniff]

I have no claim form. Just details from the set-aside hearing on 24.07.15

 

I've called the court and they were not sure if the time period is 'working days' or total days. This means that the deadline is Thursday? if it is not working days.

 

The PO has said there's nothing much they can do without a certificate number!

Is it best to serve the documents via email or recorded post?

 

Any help? This feels like its a whole lot more urgent now!!

 

You can do it by both. Electronic mail is considered a legal document and can be used in courts. You can follow it up with a recorded delivery or special next day guaranteed delivery for piece of mind.

 

The inclusion of an email address or Fax number on a document is binding authority that you may serve documents by electronic means.

Edited August 4, 2015 by Conniff

[smooch]

How do we state our evidence - do we include copies of receipts as part of the form or reference them and then bring them to any later hearing?

[smooch]

Thanks Connif,

 

Didn't see you reply - all we have is a cut & paste from a court clerk of the claim particulars. We don't have a claim form ourselves?

 

No email is attached, just a number and their reference.

[AndyOrch]

Okay apologies didnt see the reference with regards to set a side apart from in your title.

 

So you got this judgment set a side and now the court has instructed you to submit a defence by a date stated.

 

You draft your defence on A4 there are no forms...they were with the initial claim.

 

Head the Defence

 

Claimant xxxxxxxx V Defendant xxxxxxxxxx In the Xxxxxxx County Court.....Date and claim number xxxxxxxxxxxx

 

 

I xxxxxxxxx the Defendant in this claim and make the following statement as my defence.

 

The claimants claim is denied .

 

Paragraph 1 is denied We have filed our accounts for each year as required pursuant to S441(1) OF THE COMPANIES ACT 2006 (THE ACT).and have attached the relevant proof to prove so.

 

Paragraph 2 is accepted but irrelevant as we have filed our accounts for the claim in question.

 

Paragraph 3 is denied.The accounts have been filed for the period 30-JUN-14 11-OCT-14.

 

Therefore the claimants claim is denied and we are not liable for any penalty for this period or any period at all.

 

 

STATEMENT OF TRUTH

 

I believe that the facts stated in this Defence are true.

 

xxxxxxxxx

 

 

Dated this day xxxxxx

 

Refer to any attachments and mark on the defence as ( Exhibit 1a/b etc) and attach them.