Processing the application: general information
The processes and pre-authorisation activities detailed in this section must be completed satisfactorily before a CFSP authorisation may be granted. These activities are mandatory for all forms of CFSP whether using EIDR, SDP, Indirect or Direct Representation.
The outcomes of all these activities and pre-authorisation checks should be detailed in the pre-authorisation checklist (see CFSP23000) and the visiting officer’s report (see CFSP24000) and stored within the trader’s folder.
It is also essential that local management checks are carried out to ensure staff have followed the authorisation procedures outlined in this guidance.
This will provide assurance:
- on the equity of treatment of all traders
- that traders have been set up properly to operate CFSP and
- that traders are fully aware of their obligations.
Officers must keep a record of the checks carried out and any action taken, as evidence that the pre-authorisation assurance activities have been completed fully and properly.
Authorising officers are also advised to consult the AEO guidance for the full criteria and conditions concerning compliance, record keeping and financial solvency as these mirror the requirements for CFSP authorisation.
AEO guidance is found in the AEO Public Folder in Outlook (All Public Folders - Local Compliance - AEO).