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Assessment findings

Key concerns or good practice will be highlighted by our staff during the assessment. We aim to communicate the key findings of the assessment in a letter, within 14 days of the completion of the assessment. The letter will notify the outcome of the assessment and what happens next.

There are 3 outcomes from an assessment:

  • no follow up required
  • improvement notice
  • consideration of regulatory action.

No follow up required

You will receive this letter following an assessment where there are no issues, or very minor issues identified.

Improvement notice

You will receive this letter following an assessment where we have identified serious failings, but we are assured that there is no risk of consumer harm or significant risks to the licensing objectives. We must have confidence that you are able to put these things right at pace. You will be given a maximum of 3 months, although depending on the issue we may give you significantly less than 3 months, to become compliant. We will reassess these areas after 3 months.

Consideration of regulatory action

Where we have identified breaches of our LCCP and there is evidence of consumer harm or risk of consumer harm, or there are risks to the licensing objectives, you will receive this letter. This letter means that we are considering whether the issues identified are sufficiently serious to open a regulatory investigation.

The outcome of that investigation may include suspension of your personal or operating licence, a review of your licence or a financial settlement. Other less formal action such as placing you in ‘special measures’ or issuing a warning may also be appropriate.

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Thematic assessments
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Special measures
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