ECSH33915 - Post visit action - additional risks to address or records to test

After reviewing your notes of meeting and results from your records testing, and before you decide on an outcome, you may need to establish whether:

  • you require clarification on some answers
  • you were given conflicting answers to questions
  • you require answers to further questions
  • not all the risks have been addressed
  • further risks have been identified but not tested

You will need to consider the most effective way to carry out further checks, for example by desk-based checks, phone call or another visit - see ECSH32600,

To establish what you need to ask, you may want to carry out a ‘gap analysis’, see ECSH32910. 

If you intend to request further information by email, you must consider:

  • the number of questions you need to ask and whether it is appropriate – should you attach a Word document instead of sending them in the body of the email?  Follow ‘How to write emails to customers’ 
  • if the business is likely to understand and respond appropriately to all your queries?
  • a realistic timescale to respond to you, considering the types of information you are requesting
  • whether the business can provide the information requested by email, considering the security of sensitive information - see ECSH33725.  

Whilst it can be beneficial to have responses from the business in writing for evidential purposes, using email allows the business to provide a considered answer rather than an initial response. If there is likely to be any confusion regarding what you need, it may be better to speak to the business, in person or over the phone, to prevent emails going back and forth multiple times which can create delays in finalising your compliance check.

If you intend to carry out a phone call to carry out further checks, you should consider whether you can resolve your queries quickly and efficiently during the call, or whether you should arrange an appointment.

You may consider a multi-method approach is suitable, by setting out further questions in an email and then arranging to call the business to discuss them on the phone.

If the business does not provide information or documents you need to complete your check, see ECSH33920. You may decide to conduct a further visit depending on the risks, 

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

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