ECSH32905 - Duties of supervisory authority: how we check compliance: operational guidance: planning the intervention: results from initial review

To plan your compliance check efficiently, you need a clear idea of what you are trying to achieve.

PERCET is often used as an acronym for how to carry out a compliance check. This stands for Plan, Establish, Record, Confirm, Evaluate, Test.

Planning helps you to:

  • establish the areas of risk to be considered and how they will be addressed (see ECSH33205).
  • Conduct your compliance check in an organised and structured way.
  • Make the best use of time and resources and avoid any unnecessary or duplicate requests to the business case.
  • Build up a picture before you contact the business.

Once you’ve gathered your information (see ECSH32825), you can review the material. Consider the below to help you plan your approach:

  • (This content has been withheld because of exemptions in the Freedom of Information Act 2000)

  • What records would you expect to see with this type of business (see ECSH32825)?
  • What are the typical risks and weaknesses associated with this type of business? See ECSH32930.

If you see a charge on the account for the Economic Crime Levy, you do not need to take any action as this is dealt with by another department. For more information see Economic Crime Levy.

Planning is an on-going process throughout the course of the compliance check. It must be evidenced in Caseflow (see ECSH34105). There isn’t a template to complete, so how you record it is up to you, but it must be retained. You may also adapt generic aide memoires to help with planning your interview – see ECSH32940. If new information or new risks are identified or received, you will need to amend your plans accordingly. If, after carrying out your initial review, you consider that an intervention is no longer needed, speak to your manager.