ECSH32750 | Creating a timeline

It can be beneficial to create a timeline summarising all the information in one place to help establish a timeline of events or evidence why a breach occurred, such as a change in personnel. It can also help you to identify any gaps in the information held, so you can find these things out by checking systems or speaking to the business. For a gap analysis template, see ECSH32910.

How you set out the timeline depends on the situation; you may wish to use a table with the dates in one column and details in another column.

An example timeline could be:

1 April 2018 the business submitted its application for registration trading as an accountancy service provider

15 March 2019the business received a compliance check

30 June 2019 the business received a warning letter for failure to comply and were given two months to correct the breaches

20 September 2019 the business submitted a variation to its registration to add trust or company service provider activities

28 September 2019 the business changed its registered address at Companies House

6 November 2019 Fit and Propertest was determined (noting the change of address)

3 July 2020 a follow up compliance casewas opened

17 July 2020 Compliance caseworker makes initial contact with the business

Whilst you can create a timeline to summarise the information prior to your compliance check, you can also update it and add any relevant information, such as changes to the information held at Companies House whilst working the case.

The timeline you create should be recorded in your Decision and Evidence Log (DEL) .