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Compliance Case Study: Trading Authorisation Certificates

Tuesday, 21 March 2017

Compliance Case Study: Trading Authorisation Certificates

Smartek - Contractor & Compliance Management Software

In accordance with one of our valued clients risk tolerance all sub-contractors of suppliers of this client were requested to register on Smartek.

These sub-contractors were required to demonstrate an equivalent level of compliance to their main supplier who sub contracted their services based on the type of services provided.

A sub-contractor from one of their suppliers was unable to produce a trading authorisation certificate for the services provided under a sub contract arrangement for this client.

Discussions with this sub-contractor revealed that he was under the assumption that he was working under the contracting company’s certificate and therefore did not require a trading authorisation certificate. Although he could provide qualifications he had never been asked for this certificate from the main contractor.

A review of the licensing regulation website in consultation with the sub-contractor revealed that this contractor would require a trading authorisation certificate for the type of works/services described under his sub contractual arrangement with the main supplier.

Furthermore, this sub-contractor had been working for some time under a sub-contract arrangement on our client’s site without the trading authorisation certificate in place. This was placing the sub-contractor, main supplier and our mutual client site at increased risk exposure to litigation and other risks in the event of an incident.

The sub-contractor advised that he was going to call the main contractor immediately to discuss this requirement and intended to apply for a trading authorisation certificate. The Smartek team provided the sub-contractor with a link to the licensing regulation website which is the first point of information and provides options for applying for the certificate.

The sub-contractor has been left non-compliant with our client’s site until he can provide the correct trading authorisation certificate.

Learn more about what Smartek Contractor and Compliance Software can do for your organisation here.

Blayne Webb, Director, Barringtons



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