National Security Inspectorate Sentinel House, 5 Reform Road Maidenhead SL6 8BY Website: nsi.org.uk NSI reference only Document no. NSI Regs Annex 9 Issue no. 2 Issue date April 2024 Page 1 of 5 Document owner Certification Services Document classification PUBLIC (RESTRICTED) © NSI 2024 Regulations for NSI Approved Companies Annex 9: Additional regulations relating to companies holding NSI ‘Gold’ and NSI ‘Silver’ approval for Evacuation Alert Systems Issue 2 April 2024 Regulations for NSI Approved Companies Annex 9: Additional regulations relating to companies holding NSI ‘Gold’ and NSI ‘Silver’ approval for Evacuation Alert Systems NSI reference only Document no. NSI Regs Annex 9 Issue no. 2 Issue date April 2024 Page 2 of 5 Document owner Certification Services Document classification PUBLIC (RESTRICTED) © NSI 2024 Annex 9 – Regulation A.9 A.9.1 Certificates of Compliance and related matters A.9.1.1 Who can issue NSI certificates? NSI Certificates of Compliance for Evacuation Alert Systems (EAS) can be issued only in the name of an NSI ‘Evacuation Alert Systems Gold’ or ‘Evacuation Alert Systems Silver’ approved company. A.9.1.2 Buying NSI certificates You must buy from us every NSI Certificate of Compliance you issue. NSI Certificates of Compliance are eDirect certificates which are issued via the NSI e-commerce website. A.9.1.3 Issuing NSI Certificates of Compliance NSI Certificates of Compliance must be issued for any Evacuation Alert System installation within a scope for which the approved company holds NSI approval on the date of issue of the certificate and in accordance with these regulations. Before issuing any NSI Certificate of Compliance, you must make sure the EAS installation meets the appropriate manufacturer’s requirements, technical specifications, codes of practice and other NSI requirements. When issuing NSI Certificates of Compliance you must ensure you include the NSI Terms and Conditions for EAS Gold or EAS Silver Certificates of Compliance according to your approval type. These can be found on page 2 of the eDirect certificate. Under these regulations, the obligation to issue NSI Certificates of Compliance applies only for EAS installations in the UK, the Channel Islands and the Isle of Man. You must not issue NSI Certificates of Compliance for installations elsewhere. A.9.1.4 Issuing NSI certificates for new installations If you hold ‘EAS Gold’ approval or ‘EAS Silver’ approval for all of the following: • Module 1 Design • Module 2 Installation • Module 3 Commissioning and Handover you must issue your customer with an NSI Certificate of Compliance for that EAS installation in line with the conditions of the BAFE SP207 scheme document. You can issue an NSI Certificate of Compliance for an EAS installation where more than one contractor is involved for the different modules of the BAFE SP207 scheme, and you issue the certificate in line with the conditions of the BAFE SP207 scheme. Regulations for NSI Approved Companies Annex 9: Additional regulations relating to companies holding NSI ‘Gold’ and NSI ‘Silver’ approval for Evacuation Alert Systems NSI reference only Document no. NSI Regs Annex 9 Issue no. 2 Issue date April 2024 Page 3 of 5 Document owner Certification Services Document classification PUBLIC (RESTRICTED) © NSI 2024 If there are circumstances which mean you have not issued an NSI Certificate of Compliance within 13 weeks of the date the EAS installation was used for the first time, you must tell us, in writing, explaining those circumstances. A.9.1.5 Issuing NSI Modification certificates for new modification work If you hold NSI ‘EAS Gold’ or ‘EAS Silver’ BAFE SP207 approval for modules 2 or 3, you must issue an NSI Modification certificate for each system installation you extend or make changes to, if the work is eligible for a Modification certificate in line with the conditions of the BAFE SP207 scheme document and any current BAFE SP207 technical notes. A.9.1.6 Issuing NSI certificates following a maintenance visit If you hold NSI ‘EAS Gold’ or ‘EAS Silver’ BAFE SP207 approval for module 4 then, following a routine maintenance visit irrespective of whether the system has a current NSI/BAFE Certificate of Compliance, a new NSI Certificate of Compliance shall be issued to confirm the system is performing to the original design specification or, the system has been modified to suit the operational requirements of the establishment and has been amended to meet those requirements. You must issue the NSI Certificate of Compliance within 30 days of completion of the maintenance visit. A.9.1.7 Making changes to NSI certificates You must not make any changes to an NSI Certificate of Compliance without first getting our permission in writing. A.9.1.8 Charges for failing to issue or deliver NSI certificates you should have issued We may charge you if you fail to keep to the conditions of these regulations. We may also require you to issue certificates which you should have issued. The charge will not be more than five times the total normal cost of the certificates you should have issued. Your approval may be at risk under Regulation 5 if you have failed to issue any certificate you should have issued. A.9.1.9 Shelf life of NSI certificates You are entitled to issue NSI Certificates of Compliance within three years of the date you bought them. A.9.1.10 Refunds You are not entitled to receive a refund from us of the price you paid for a NSI Certificate of Compliance you have not issued. We will not pay refunds for lost, spoiled or missing NSI certificates. A.9.1.11 Status of NSI certificates We reserve the right to change the status of a certificate to ‘withdrawn’ if we consider you have failed to keep any EAS system installation to the standard for which a certificate has been issued. You will be advised of the conditions in relation to this ‘withdrawn’ certificate and you will not be entitled to a refund of any fees you have paid. Regulations for NSI Approved Companies Annex 9: Additional regulations relating to companies holding NSI ‘Gold’ and NSI ‘Silver’ approval for Evacuation Alert Systems NSI reference only Document no. NSI Regs Annex 9 Issue no. 2 Issue date April 2024 Page 4 of 5 Document owner Certification Services Document classification PUBLIC (RESTRICTED) © NSI 2024 A.9.1.12 ‘Verification’ process Before issuing an NSI Certificate of Compliance, a ‘verification’ process must be completed as defined in the BAFE SP207 scheme, to check the EAS installation meets manufacturer’s requirements, any relevant Codes of Practice and BAFE SP207 scheme requirements. A.9.1.13 How to deal with ‘variations’ If, during the ‘verification’ process, you find there are ‘variations’ from the quoted contract and/or system design proposal you must bring these ‘variations’ to the customer’s attention. The customer should then arrange for the ‘variations’ to be corrected, or formally accept the ‘variations’ and allow them to be listed as ‘agreed variations’. (You must add the details of all ‘agreed ‘variations’’ to the final NSI Certificate of Compliance). If the customer does not agree to the ‘variations’ being corrected and does not agree to them being listed as ‘agreed ‘variations’’, you will not be able to issue them with a final NSI Certificate of Compliance. A.9.2 Maintaining Evacuation Alert System (EAS) installations and correcting faults If you are responsible for maintaining, or have the right to claim future income from, any EAS installation for which an NSI Certificate of Compliance has been issued or for which it should have been issued, you must: • maintain the EAS installation and carry out maintenance inspections in line with NSI requirements; • carry out any work on the EAS installation that may be necessary for the installation to keep to all NSI requirements and you must fulfil your responsibilities to maintain the installation; and • make sure that the EAS installations are available for our representatives to inspect and provide any information and undertakings we may require. A.9.3 Customer agreements The conditions of regulation A.9.2 no longer apply once you have properly ended your contract with the customer. If you are prevented from keeping to any part of the NSI and BAFE SP207 requirements relating to an EAS installation because a customer has refused to give you permission, you will be considered to have kept to the requirements if you have either of the following on file: • A written refusal the customer has given you; or • Copies of correspondence between you and your customer to show that you have made every reasonable effort to get the customer’s permission and to keep to the NSI requirements. Regulations for NSI Approved Companies Annex 9: Additional regulations relating to companies holding NSI ‘Gold’ and NSI ‘Silver’ approval for Evacuation Alert Systems NSI reference only Document no. NSI Regs Annex 9 Issue no. 2 Issue date April 2024 Page 5 of 5 Document owner Certification Services Document classification PUBLIC (RESTRICTED) © NSI 2024 You will also need to have the following information on file: • A copy of a notice you have given the customer to end, as soon as possible, the contract for supplying or hiring all or part of the EAS installation, or for supplying services relating to the EAS installation; • If you have had an opportunity to end the contract, evidence that you ended the contract as soon as possible; and • If you have ended the contract, evidence that you made every reasonable effort to tell your client about the potential life-safety risks of not continuing with a maintenance contract for the EAS installation.