Understanding “emergency cover” under the Certification Regime

The “emergency cover” exemption under the Certification Regime is easy to understand and really useful in practice.?It’s good to know how it works.

If a firm appoints an individual to provide cover for a certification employee and that appointment lasts for less than 4 weeks, then the individual providing the cover will not be regarded as performing a Certification Function.?As such, the Certification Regime – and everything associated with it (of most relevant being fit and proper testing) – will not apply to the person providing emergency cover.[1]

However, there is one important exception to this rule.?If the replacement is performing a function which requires a qualification (in other words, Certification Function (4)) then the individual will be regarded as performing a Certification Function and so will be subject to the Certification Regime.[2]?

The exemption can easily be understood by breaking it out into a flow diagram – such as the one below.

But remember – where there is an unforeseen absence of an employee performing a function for which there is a qualification requirement then the firm should take reasonable care to ensure that no employee of the firm performs the function without a valid ‘fit and proper’ (“F&P”) certificate.?Moreover, the certificate should be issued before the person starts to perform the function requiring qualification(s).[3]

Emergency appointments under the Certification Regime

[1] SYSC 27.5.1R

[2] SYSC 27.5.1R

[3] SYSC 27.5.2G