Departure of key personnel
AALS Inspector Guidance Note - IGN 1.12
- Version No & date: 2 - 04/02/2010
- Review date: 11/2013
Issue: A key member of staff leaves the employ of a licensed provider (e.g. the centre manager).
- In such cases it is the responsibility of the licence holder under the terms of their licence (standard condition 1) to “maintain such arrangements as are necessary for the effective implementation, control, monitoring and review of the measures necessary to ensure safety…” This can be satisfied by putting in place appropriate temporary arrangements.
- It may be appropriate that these temporary arrangements are circulated in writing to relevant people within their organisation. This would not normally include the Licensing Service.
- However if this or a similar situation comes to the attention of a Licensing Service Inspector they may decide to explore further based, not least, on the Licensing Service’s experience of the provider, and in particular their past record of managing the replacement of senior personnel. They may, for example, decide to:
- Ensure that the provider has adequate temporary arrangements and that those who need to know the details do know. This could be by phone or in person;
- If no adequate temporary arrangements are in place, the Inspector should advise the licence holder that they believe they are in breach of a principle condition of the licence. The Inspector may advise the licence holder to suspend activities until the necessary arrangements are in place. Inspectors do not have the power to stop activities but may opt to contact the enforcing authority if they believe it appropriate to do so.
- If the Inspector has confidence that the provider will take the appropriate action before activities recommence then the report to the Licensing Service may recommend continuation of the licence. If the licence holder cannot, or the Inspector believes will not, take appropriate action, then a report must be promptly submitted to the Head of Inspection recommending the revocation of the licence.
- There are several implications for sole traders or other situations where the licence is in the name of an individual (albeit trading as something else). In particular these licences are generally not transferable if the business is sold.
- Some licences are issued with the licence document itself saying that a condition of the licence is that a named individual remains in a named post. These licences are therefore void if the person is no longer in post. The provider is advised to discuss with the Licensing Service if this situation is likely to arise.
