Notice

Where we require information, we will give an AO reasonable notice and, where possible, details of the information required.

The method of delivery of the notice will be determined by the urgency of visit.  The notice will set out the reasons for entry. If entry is required specifically in order to access computer systems, we will endeavour to give notice of the need to provide suitably trained personnel to enable us to access records.

Authorised persons

Entry to an AO’s premises must be by an authorised person. An ‘authorised person’ is defined as being a member of our staff who is authorised (generally or specifically) for this purpose.

We will maintain a record of all staff who are authorised to enter AO’s premises. Authorisation will normally be restricted to staff who are routinely engaged in regulatory or complaint investigation activities. All staff visiting an AO will have information on the purpose of the visit. The AO can contact us for confirmation that the member of staff is authorised by us to enter premises under an entry and inspection condition.

Reasonable notice

The amount of notice given to an AO of our intention to seek entry to inspect depends on the reasons why we wish to enter and inspect.

When giving an AO reasonable notice that we wish to enter its premises, we have to balance the interests of the AO against the need to preserve the integrity of the information/evidence being sought and the urgency of any subsequent action that may need to be taken.

This will be particularly important in cases where we may have grounds to believe that there is a significant risk that an AO will remove, amend or destroy the information/documentation which we may wish to inspect and copy.

We would normally ensure the AO is given a minimum of two working days’ notice of the arrangements for the visit, but this may need to be reduced if there is an urgent need to access information in order to ensure the maintenance of standards or public confidence in the qualification arrangements.

In instances where we need to enter premises urgently, for example in response to allegations of serious malpractice, it may be appropriate to give a minimum of one hours’ notice.

Reasonable hours

We would normally expect to be permitted to have access whenever an AO is conducting its business. We would expect to have access during office hours, but would also expect access to be permissible when an AO is holding meetings or undertaking other activities later in the day or at the weekend.

Access to other premises

Where an entry and inspection condition exists, we will expect to have access to any premises where an AO conducts its business, but not to a private dwelling. In the event that we are unable to access premises because the AO is operating out of a private dwelling we will consider whether we should use other regulatory actions available to us.

Where the information/documents which we require are held by a centre or a third party contracted by the AO to support the delivery of qualifications, we would expect the AO to cooperate and obtain the necessary information/documents from these parties.

To enable us to carry out our normal monitoring and enforcement functions, an AO will need to ensure that each centre agrees to provide both it and us with access to premises, people and records, and to cooperate with the AO’s own review and quality assurance activities and ours. This is covered by a general recognition condition.