Background
Firms who are Approved Bodies under the SER Scheme will from time to time be commissioned to certify a project for which the Client will require confidentiality as a result of security considerations.
As a member of the SER scheme, an Approved Body commits to all certification activities carried out under their jurisdiction being audited. There are therefore no circumstances in which it would be reasonable or acceptable to raise a Certificate of Design under the SER Scheme and then refuse to have that project audited.
The Approved Body is responsible for facilitating and meeting any fees for any security clearance procedures which will be required by the Audit Team.
Advice to Clients
Approved Bodies and Certifiers should advise Clients that if a confidential project is to be certified under the SER Scheme, the certification of the project may be subject to audit. The Approved Body can reassure the Client that if required the SER Audit Team can be subject to the same security clearance systems as their own staff.
The Approved Body should obtain the Client’s acknowledgement and consent to the project being audited prior to commencing certification and should retain clear records of any such dialogue and correspondence.
If SER auditing of the project is not acceptable to the client, it can not be certified under the scheme and the alternative route to warrant applications of submitting calculations to Building Control for checking must be adopted.
Certification
Certification of these projects should be carried out in the normal way, methodically and within the Scheme requirements. Certifiers should maintain records of how compliance of all aspects of the structural design with Standards 1.1 and 1.2 of the Regulations was established, and Approved Bodies should assist their Certifiers in meeting this obligation.
Auditing
In order to ensure that Auditors have the necessary security clearances to audit any confidential projects, Approved Body/Approved Certifiers should make SER aware if, since their previous audit outcome, they have certified any projects considered confidential for security reasons immediately following notification of selection for audit.
However, if it only comes to light when the long list of projects selected for audit is received 10 working days prior to the agreed audit date that a project considered confidential for security reasons has been selected, SER must be informed immediately.
In either instance, please inform SER via the [email protected] email address, and include details of any disclosure protocols which the Audit Team will need to follow.
If SER is only made aware that a project is to be audited is confidential after the long-list of projects has been issued, in order to prevent an extension of the notification period the following process will be followed:
- The Approved Certifier audit covering projects which are not confidential will be conducted on the date originally agreed.
- Following satisfactory conclusion of the disclosure protocols, a subsequent date for audit of the confidential project(s) will be agreed, usually within 10 working days of conclusion of the protocols.
- The Approved Body audit will be conducted on the same revised date, on conclusion of the Certifier audit.
Following conclusion of the audit, the reporting process will be concluded in the normal way with any confidential aspects relating to the project omitted from the Auditor’s report.