2 day fiis listed training day 1 edition d 180110

Find It In Sandwell
Construction Industry
Listed Status Course

Find It In Sandwell & CIAPS

There are two similar schemes running in parallel:

1. Registration at Listed status on Find It In Sandwell’s construction
database

2. Registration at Listed, Accredited or Endorsed status on CIAPS

Listed status on both schemes is the same – but free if you do it via Find
It In Sandwell

Day 1 of this course deals with getting you registered on Find It In
Sandwell at Listed status

However, as you have the choice of moving on to CIAPS and upgrading
this will necessitate giving advice on this at times

On Day 2 of the course we will look at your upgrade options and their
requirements in more detail.

Your Choices After Find It In Sandwell Listing

AUDIT & ACCREDITATION

2 Days 2 Days 2 Days 2 Days 2 Days
1 Day 1 Day
Registration Health & Safety Design Quality
Procurement & Commitment to Sustainability Client
Integration People Leadership
Training Training Training
Training
Training Training Training

?
Training & Development in the
Over
requirements of the
approx 2
weeks 6 Construction Commitments
Over approx 17 weeks

2 Day Course Overview

DAY 2

DAY 1 BETWEEN THE 2 01 Day 2 Objectives
DAYS YOU 02 CIP Registration Workshop
01 Introduction SHOULD HAVE:  Discussion on any difficulties answering
02 CITB Grant Funding questions
03 Day 1 Objectives 1 Added your CIP  Assistance entering any remaining
04 Company Information Profile information to information
05 General Information CIP the FIIS 03 Viewing Another Company’s CIP information
06 Trading CIP database User Levels
07 Finance CIP Giving permission
08 Insurance CIP 2Uploaded your What others see
09 Health & Safety CIP documents to the Interpretation
10 Environmental CIP FIIS database 04 Managing Your CIP
11 Quality Assurance CIP Scope & Timetable
12 Human Resources CIP 3 Obtained a 05 KPIs & Continuous Improvement
13 Equal Opportunities CIP D-U-N-S® 06 Future Choices
14 Training CIP number Remaining Listed
15 Technical CIP Accreditation & It’s Requirements
16 IT CIP 4 Obtained any Endorsement & It’s Requirements
17 Sustainability & Legal CIP missing CIAPS Membership Benefits
18 Documents to be Uploaded documents 07 3rd Party Certification Body
Which ones required to Choosing
Mandatory documents meet FIIS Benefit of using BM Trada
Financial Probity Information expectations Role
Format and 08 Audits
Uploading requirements Discussion of experiences
Review Dos and Don’ts
19 Listing Timeframe Focus
20 Viewing Your CIP on FIIS Process
21 Your Day 1 Action Plan Frequency
09 Accreditation & Endorsement timeframes
10 Day 2 Action Plan

02

CITB – ConstructionSkills
Grants Scheme

ConstructionSkills Contact

Sandwell - Paul Harper

07768 885761

paul.harper@cskills.org

Rest of Black Country - Leise Brown

07768 885764

leise.brown@cskills.org

ConstructionSkills Funding

Training Plan:

Submitting a CSkills Training & Development Plan will get you a grant of
minimum £450

For companies with more than 50 employees, there is another £9 per
capita; so 100 employees on a Training & Development Plan attracts
£900 grant funding

Training Funding:

This course has been allocated Training & Development Plan funding of
£24 per person per 6 hours of training

Make sure you add this training to your plan when you submit your
quarterly update to C Skills so they can ring fence the funding

Attendance certificates for this course will be issued

Day 1 Objectives

Today’s Objectives:

1. To work through the requirements of completing the Find It In
Sandwell Company Information Profile (CIP)

2. To review the scope of multiple option answers

3. To work through the organisational documentation which will
have to be uploaded as part of the process

4. To produce an Action Plan of things to be done to meet Find It In
Sandwell expectations and requirements

5. To demonstrate how an organisation’s data is summarised and
displayed on Find It In Sandwell

6. To review the timeframe for achieving Listed status on Find It In
Sandwell

Day 2 Objectives

Ongoing Objectives – Day 2:

1. To assist you with answering the CIP questions and uploading
documents if necessary

2. To review your choices for remaining as Find It In Sandwell Listed
status, or upgrading to the CIAPS Accredited or Endorsed status

3. To review auditing and choice of an audit body

4. To review the scope of additional CIP and training for the CIAPS
“Construction Commitments” Endorsed status

5. To ensure you have some of the benefits of upgrading to CIAPS
membership in mind

6. To review the timescales for gaining Accredited or Endorsed
status

Your Action Plan

As we work through the day we will possibly identify:

1. CIP questions where you cannot currently give the right answer

2. CIP questions that highlight actions you need to take, e.g. prepare
a document, a policy, a procedure, obtain a 3rd party reference

3. CIP questions which identify a document that you need to upload
to Find It In Sandwell but you do not currently have

4. Other possible actions

At the end of the day you will be asked to summarise your action plan
– please annotate the handbook with items needing action as we go
through the day – maybe use a simple RAG traffic light highlighter
system?

Need to Do or Get that

Need to check up on that

Got or Do that already or it is Not Applicable

04

Company Information
Profile

The Find It In Sandwell Company Information Profile
(CIP)

What is it?

1. An on-line questionnaire covering nearly 400 pieces of
information

2. Split into themed sections

3. Many questions are simple Yes/No responses

4. Many questions ask for readily available company information

5. Some questions require supporting documentary evidence to be
uploaded to Find It In Sandwell

Company Information Profile Themes

Information is entered in 13 themed sections:

1. General Information
2. Trading
3. Financial
4. Insurance
5. Health & Safety
6. Environmental
7. Quality
8. Human Resources
9. Equal Opportunities
10. Training
11. Technical
12. IT
13. Sustainability & Legal

Company Information Profile Questions

Questions per section are:

1. General Information 8
2. Trading 18
3. Financial 23
4. Insurance 8
5. Health & Safety 19
6. Environmental 21
7. Quality 10
8. Human Resources 12
9. Equal Opportunities 11
10. Training 15
11. Technical 10
12. IT 9
13. Sustainability & Legal 31
TOTAL 195

Company Information Profile Themes

Information is entered in 2 separate lists:

A. Listed Profile

B. Listed Self Certification

Listed Profile is just information about the company whereas Listed Self
Certification collects commitments you make about your operations
which could be subject to 3rd party checking (More on Day 2)

Listed Self Certification questions are shaded green in the following
slides

To give a clear overall picture today’s slides are in question numeric
order and not split into two separate lists

2 Sections of CIP Information

When you complete your online CIP you will have two different lists
presented to you:

Company Information Profile Question Answers

1. A lot of the questions are simply answered by providing the
information your company will already have available to it, e.g.
contact information
2. Some questions ask for things which are mandatory in law, e.g.
Employer’s Liability insurance information
3. Some questions ask for things which are mandatory to obtain Find It
In Sandwell recognition, e.g. advice of the legal trading entity format
for your company
4. Some questions simply ask “do you?” or “don’t you?”, so there’s no
right or wrong answer but Yes would be a best practice target for the
future

 ? 
However, you should be aware that company information profiles lodged
on Find It In Sandwell will be subject to random audits by the Council’s
Contract Assessment Team so it is important that all answers are correct.

Working Through The Questions

Our Objective:

1. Work through all of the questions
2. Briefly summarise the straight forward data and Yes/No questions
3. Look in more depth at the multiple possibility of response questions
4. Overview why some of the questions are asked
5. Identify those that you should easily be able to complete before day 2
of this course
6. Provide references for where you can get more information or advice

Things to note:

A. Where the question reference number is highlighted BLUE that means
the document referred to has to be uploaded onto the Find It In
Sandwell system for others to see
B. If you say “Yes we do” or “Yes we have that” or similar that is a target
for future checking, so be sure of your answers

Completing Your CIP Online

Please note that Find It In Sandwell requires Internet Explorer 7 or
above

Some users with Internet Explorer 6 have experienced difficulties

You can download IE 8 for free on Microsoft’s web site at
http://www.microsoft.com/uk/windows/internet-explorer

Also please note that the online system will time you out after approx
30 minutes of use if you do not save information – please save your
entries as you proceed

Focus of A Pre Qualification Questionnaire

Why do organisations use Pre Qualification Questionnaires (PQQ)?

As part of a Risk Management process in their selection of a supply chain
member – to find out more about how you run your business, how stable it is
and how you manage risk

Disruption to Supply Chains 2009
Insolvency of Partner/Supplier
Labour Disputes
IT Failure
5% 4% 17%
5% Disputes With Partner/Supplier
4% Natural Disaster
6%
6% Energy Supply/Price Problems
Trade Protectionism
11%
Supply Shortages
8% Political Instability
Piracy or Theft
6% Pandemic
13%
9% Other Mechanical/Utility Failures
6% Fire
Success Train Ltd ©

Survey of top companies by Strategic Risk (www.strategicrisk.co.uk)

47% of disruptions due to 4 common issues

Risk Management Focus of A PQQ

Strategic Risk’s survey looking forward

Principal Threats Next 3 Years
Insolvency of Partner/Supplier

2%2%1% Labour Disputes
4%
5% 22% IT Failure
6% Disputes With Partner/Supplier

Natural Disaster
7%
Energy Supply/Price Problems

13% Trade Protectionism

Supply Shortages
8% Political Instability

Piracy or Theft

Pandemic
9% 12%
Other Mechanical/Utility Failures
9%
Fire

Over 55% of threats perceived to be in 4 common issues

05

General Information CIP

CIP General Information Questions

Ref
Question Note
No.
May be different
to registered
Gen01 What is the company or businesses trading name? name
By Day 2
Gen02 Company address (main office) By Day 2
Gen03 General contact details (main office) By Day 2
Designated Find It In Sandwell primary contact See next slide
Gen04
(Name, position, phone no. and e mail address) By Day 2
Designated Find It In Sandwell primary contact
Gen05 By Day 2
address
FIIS may need to
contact you in
the absence of
Is the Company able to nominate a secondary Find the primary
Gen06 It In Sandwell contact ? contact
(Yes – No)
(Not published to
3rd parties)
By Day 2

Your Prime Contact

You may initially consider the day to day contact with Find It In Sandwell as
an administrative task that can be delegated to administrative staff

Please Consider:

1. If this is someone who changes frequently – e.g. an admin role that is
filled by poorly retained staff members - you will be frequently asking
the replacement to update the details of the prime contact

2. When a new prospective Prime Contractor wishes to find out more about
you they will ask to see your detailed information – Find It In Sandwell
will e mail you to advise you to switch on your information to them if
you wish to do so. You may want a decision like this taken at a senior
level

CIP General Information Questions

Ref
Question Note
No.
If so, give the
relationship of
company to the
group, number of
Is the company part of a group? branches in group
Gen07
( Yes / No ) and locations of
branches (City+
Postcode)
By Day 2
What recognised unique business identification
numbers are available to identify the company?
Examples: See next slide re
Gen08 a. D-U-N-S® number D-U-N-S®

b. Registration number on a Local Council traders By Day 2
list, etc.

D-U-N-S® Numbers

A D-U-N-S® number is issued by Dun & Bradstreet, who say that:

1. It will enhance the credibility of your business in the marketplace
2. It enables potential customers, suppliers and lenders to easily identify and
learn about your company
3. It is recognised, recommended and/or required by a growing list of global,
industry and trade associations including the EU Commission

As a leading financial probity information source Dun & Bradstreet use this ID
to make it easier for customers and suppliers to check on your trading status

A D-U-N-S® (Data Universal Numbering System) is a unique 9 digit code
assigned to your business. It is easy and free to apply for - it will take a few
days for your number to be sent to you.

Visit http://www.dnb.co.uk/duns-number.asp to apply for your free D-U-N-S®
number

You can actively update and manage the credit rating information made public
about your company once you have a D-U-N-S® number – there are 3 routes to
managing your profile at http://smallbusiness.dnb.com/manage/12134641-
1.html?cm_mmc=dnb*home*sas*gateway

D-U-N-S® Numbers

You can actively update and manage the credit rating information made public about
your company once you have a D-U-N-S® number – there are 3 routes to managing
your profile at
http://smallbusiness.dnb.com/manage/12134641-
1.html?cm_mmc=dnb*home*sas*gateway

Build My
Business Credit

Monitor My
Business Credit

Manage my
D&B D-U-N-S
Profile

CIP Trading Questions

Ref No. Question Note
Contact details for the commercial
Trd01 person / department responsible for By Day 2
trading, contracts, etc.
There is a drop down menu of
main trade types – however,
you can add others more
What are the main types of specific to your own activities
Trd02 work/trades that the company as well
undertakes?
See next slide

Review on Day 2 if unsure
Refer to on-line reference
If known, what are the NACE and/or sources for this information
CPV codes for the company‟s main
Trd03
types of work undertaken, services See following slides
or products?
By Day 2

Types of Work or Trades

Architectural Services
Asbestos
Asphalt A long list but always room for more
Brick and Block Work
Cladding
Civil Engineering
Concrete
Demolition
Design Consultancy
Drainage
Electrical
Fencing
Framing
Glazing
Ground Working
Heavy Equipment Operations
Heating
Iron Working
Insulation
Joinery
Landscape Services
Masonry
Mechanical
Painting and Decorating
Paving
Piling
Planning Services
Plastering Use “Other” at the end of the list to add
Plumbing more services or products which you
Project Management
Quantity Surveying supply
Reinforcement
Roofing
Scaffolding However, note that the next question in
Shuttering
Steel Fixing
the CIP allows you to enter an extensive
Wall and Floor Tiling list of information regarding the full scope
Window Installation
Ventilation and Air Conditioning of your operations
Other

NACE Codes

NACE stands for "Nomenclature Generale des Activites Economiques dans
I`Union Europeenne" (General Name for Economic Activities in the European
Union). The current version set in September 2008 is based on "International
Standard Industrial Classification of all economic activities" (ISIC) of the
United Nations

You can find the current (2008) listing of NACE codes online at Find It In
Sandwell a web link alongside the online question

Those sections which are most likely to contain your activities are:
 E – Water supply; sewerage; waste management and remediation
activities (some civil engineering and waste collection/processing)
 F – Construction (most types)
 M – Professional, scientific and technical activities (e.g. architecture or
engineering design)
 N – Rental and leasing activities (e.g. plant hire)

This is a helpful way for purchasers to determine your range of activities

However, CPV codes are more relevant for EU and UK

CPV Codes

The Common Procurement Vocabulary (CPV) is the EU-wide classification
system for public procurement contracts. It was last updated in September
2008.

You can find the current (2008) listing of CPV codes online at Find It In
Sandwell in an excel spreadsheet via a link alongside the online question

Those sections which are most likely to contain your work are activity codes
starting with these numbers:
 43 – Construction Equipment & Manufactured Items
 44 – Construction Materials
 45 – Construction Work
 50 – Repair & Maintenance Work
 70 – Property Development & Landlord Services
 71 – Architectural, Construction, Engineering and Inspection Services

Beware; the CPV coding system has over 9000 codes. The version linked by
Find It In Sandwell only has the main lists applicable to construction.

If you are already on Construction Line your CPV codes should have been
declared there

Getting these right is important as Clients may search for companies by CPV
code – you can list as many as you wish to and thereby give yourselves a
greater chance of being selected

Short Cut to CPV Codes

Another way to select your CPV codes, which may also bring you benefit of
some new leads, is to register for the Supply2.gov.uk services at
http://www.supply2.gov.uk

If you register for Supply2.gov.uk it will alert you to public sector
procurement opportunities happening in your region – the free service limits
the alerts to a local region

You can upgrade you membership to a paying subscription level if you want
to receive notifications of opportunities in a wider area or of higher values

When setting up your profile you enter key words associated with your
services and it searches all possible associated CPV codes for you to select
from

The next slide shows a Supply2Gov notice

Use of CPV Codes - Supply2Gov Notice

1. UK-Birmingham: secondary school construction work
Entry Date: 18/12/2009
Reference: Not provided
Type of document: Contract Notice
Country:United Kingdom
OJEU Ref::(09/S 244-348472/EN)
Nature of contract::Public works contract
Procedure::Restricted procedure
Regulation of procurement::EU
Award criteria::Most economic bid
Type of bid required::Global bid
Bordesly Green Girls School, Bordesley Green Road, Helena Mikula, attn: Helena Mikula, UK-B9
4TR Birmingham. Tel. +44 1214641881. Email:hmikula@bordgrng.bham.sch.uk. Fax +44 1214643296.
(Supplement to the Official Journal of the European Union, 25.9.2009, 2009/S 185-266301)
RE: CPV: 45214220, 71700000, 71312000, 71220000, 45220000

Secondary school construction work. = CPV code 45214220
Monitoring and control services. = CPV code 71700000
Structural engineering consultancy services. = CPV code 71312000
Architectural design services = CPV code 71220000
Engineering works and construction works = CPV code 45220000


How many staff does the company
directly employ?
Include working owners/director
Trd04
a. Operatives (On Site)
By Day 2
b. Administration (Office based)

The answer is to be given as a
band of project values from
minimum value to maximum
value, e.g. “From 1000 To
What is the range of project sizes 500000”
Trd05
undertaken?
Enter values in full without £,
commas or decimals

By Day 2


There is a drop down menu of types of
contracts - select all that apply
What types of contracts are
Trd06
undertaken? See next slide

By Day 2
There is a drop down menu of types of
tendering arrangement - select all that
apply
On what basis does the
Trd07
company tender? See next slide

By Day 2

There is a drop down list of the 12
normal regions for the UK which match
the Regional Development Agency
In which regions does the regions shown at
Trd08
company operate? http://www.statistics.gov.uk/geography
/downloads/uk_gor_cty1.pdf

By Day 2

Type of Contracts Undertaken & Types of Tender

Drop Down Menu for Types of Drop Down Menu for Types of
Contracts Undertaken (Trd.06) Tender Undertaken (Trd.07)

 Commercial  Design & Build
 Design & Build  Labour Only
 Domestic  Lump Sum
 Housing  Open Book
 Industrial  Partnering
 Refurbishment  % of Construction Cost
 Minor Works  PFI / PPP
 Repair & Maintenance  Prime Contracting
 Term Contract  Staged Tendering
 New Build  Sub-Contracting
 Infrastructure  Target Cost
 Facilities Management  Time & Materials
 Design & Consultancy
 Public Sector


The answer should be split
between those that you
lead (i.e. your own supply
How many established supply chains is
Trd09 chain[s]) and those you
the company involved in?
are part of

Has the company ever had a contract Also see question Trd12 –
terminated or had its employment this question has no time
Trd10 terminated under the terms of a contract boundary
within the public or private sector?
(Yes / No ) Review on Day 2 if unsure
Does the company only undertake work
using construction industry recognised
forms of contract and/or, in addition,
forms of contract that clearly indicate the
See Next Slide
scope of the work to be undertaken, the
Trd11
time scale, payment details, responsibility
By Day 2
for approvals, insurances, warranty details
and product guaranties where applicable?
(Yes / No)

Question Trd.11

There are many types of industry standard contract forms, as well as a
multitude of hybrids. Some examples are:

Professional Construction Others:
Appointments: Appointments:

 RIBA  JCT  HVCA
 ACE  JCT/DOM  MF/1
 CIC  ICE  FMB
 RICS  NEC
 ICE  PACE
 NEC  GC Works
 ACA  PPC 2000
 FIDIC  TPC 2005
 MF/1
 CIAT

Some overview guidance can be obtained at:
http://www.constructingexcellence.org.uk/download.jsp?url=%2Fpdf%2Fd
ocument%2Fstandard_forms.pdf

A good idea of the vast range can be obtained at:
https://www.bcbookshop.co.uk/category.php?c=9


There is a drop down menu of
5 occurrences from which to
Have any of the following occurred on
chose any that apply.
any contract involving the company in
Trd12 the last 3 years?
See next slide
(Yes – select which / No )

Has the company been fined or If the answer is Yes, enter
prosecuted for any civil or criminal details of date, fine, cause,
Trd13 act relating to its trading activities? etc.
( Yes / No )
By Day 2
How many companies are in your
current supply chain?

a.How many in total; and
Trd14 Review on Day 2 if unsure
b.How many of those have been in it
for more than 5 years

Question Trd.12

The 5 possible occurrences are:

1. A financial deduction or liquidated damages

2. Withdrawal from a contract, prematurely

3. A contract terminated or your employment terminated

4. Outstanding claims or litigation against you

5. A contract not renewed for failure to perform to the terms of the contract

6. None of the above


Does the company assess sub- If answer is Yes state the
contractors before they participate in its key criteria assessed
Trd15
supply chain?
(Yes / No ) By Day 2
Does the company use, or plan to use,
If yes, state scheme to be
formal accreditation as an integral part
applied
Trd16 of the selection process of its supply
chain members?
(Yes / No )
Does the company monitor the If answer is Yes state the
performance of existing members of its key criteria assessed
Trd17
supply chain?
(Yes / No ) By day 2


How many projects did the company
complete in 2008 & 2009?

a.Overall number completed
Trd18 Review on Day 2 if unsure
b.How many were completed within
Budget

c.How many were completed on time

CIP Financial Questions

There are 6 options in a drop
What is the company / business‟s down menu to chose from. If
trading style? you select “Other” then enter
details of the alternative
Fin01 NB All businesses registered with Find business entity format of your
It In Sandwell must operate in a legal company.
structure. See next slide

By Day 2
This should be a list of the
names of all Directors or
Partners of the company,
identifying their name and role.
Give the names of the principal
Fin02 Shareholders who are not
officers of the company or business
participative in the daily
operations of the company do
not need to be listed

By Day 2

Business Entity Type

The 6 possible types are:

1. Sole Trader

2. Partnership

3. Limited Liability Partnership

4. Public Company

5. Private Company

6. Other (in which case explain what the form is)


Ref
Question Note
No.
Add the Registered Name and the
Is the company / business Company Registration Number if
Fin03 registered with Companies House? Yes
(Yes / No)
By Day 2
If you have a date predating
Companies House registration
enter that date – otherwise this is
In what year was the
Fin04 usually the date of registration
company/business established?
with Companies House

By Day 2
Are the company's accounts Keeping valid accounts is a FIIS
formally audited or can evidence of requirement
Fin05 systematic book-keeping be
provided? Review on Day 2 if unsure
(Yes / No)
If the answer is yes, state where,
Are the accounts published (other
e.g. annual report.
Fin06 than at Companies House)?
(Yes / No )
By Day 2


Who is the person routinely
Fin07 responsible for financial matters within By Day 2
the company?
Who is the person within the company
Fin08 responsible for authorising the By Day 2
payment of invoices?
Have any of the Directors / Partners /
Proprietors been declared bankrupt or
been involved in any business that was
Fin09 liquidated, went into receivership or By Day 2
administration whilst they were
involved with that company?
( Yes / No )
Has any Director / Partner / Proprietor,
who has been declared bankrupt or If the answer to Fin09 is No
been involved in any business which enter Not Applicable
Fin10
has been liquidated or gone into
receivership, been discharged? By Day 2
( Yes / No / Not Applicable )


Has any Director / Partner / Proprietor
been convicted of a criminal offence
Fin11 that relates to the conduct of any other By Day 2
company?
( Yes / No )
See next slide
Can the company offer a performance
Fin12
bond? ( Yes / No )
Enter Not Applicable if there
is no holding/parent
Is the holding/parent company
company
prepared to offer a parent company
Fin13
guarantee?
See next slide
( Yes / No / Not Applicable)
See next slide
Is a "Supplier's" reference obtainable?
Fin14
( Yes / No )


See next slide
Is a "Banker's" reference obtainable?
Fin15
( Yes / No )
See next slide
Is a "Client's" reference obtainable?
Fin16
(Yes / No )
The current HMRC
Is the company VAT registered?
registration threshold is
( Yes / No )
Fin17 £68,000 pa turnover
State VAT number if applicable
By Day 2
If you use any online filing
service with HMRC for
taxation purposes you will
Does the company have a UTR (Unique have received a UTR. Your
Tax Reference) number? accountant may have it.
Fin18
( Yes / No ) You will also have it for the
State UTR if applicable Construction Industry
Scheme if you use this

Review on day 2 if unsure

Bonds, Parent Company Guarantees & References

Performance Bond = A surety bond issued by an insurance company, bank or
other recognised 3rd party provider and given to the Client to guarantee
satisfactory completion of a project in the event of failure to fully perform by
a contractor. The maximum sum will be limited. If paid out to the Client, the
amount paid is recovered from the contractor by the issuing 3rd party. The
contractor pays the premium for the bond.

Parent Company Guarantee = A financial guarantee provided to the Client by
the holding company or parent company to underwrite financial liabilities on
a contract if the subsidiary party defaults on the contract or its performance.
The maximum sum will be limited.

Supplier, Bank and Client references = You may hold a previously obtained
open reference from any of these, e.g. “To Whom It Concerns”, or you may
have an agreement that they will provide a written reference in response to
specific request to do so. Your Bank may charge you for providing a Banker’s
reference.


Enter details for the past 4
years for which figures are
available
What is the company‟s annual turnover
Fin19 and pre-tax profit? Enter values in full without
£, commas or decimals

If so, state which one(s)

Does the company participate in a An example would be the
financial best practice benchmarking Financial Winning Measures
Fin20 group or club? scheme
http://www.winningmeasures.c
( Yes / No ) om/finance/

By Day 2


If so, state your normal payment
period in days

For more information on the OGC
guidelines see
http://www.ogc.gov.uk/documen
ts/CP0159FairPaymentPractices.p
Do you issue a Fair Payment Charter
df
in line with OGC guidance and/or
inform suppliers in your Contracts /
You will, in any case, often be
Terms & Conditions of any changes
Fin21 bound by The Scheme for
from the industry‟s default legislative
Construction Contracts (England
payment period of 30 days?
and Wales) Regulations 1998 Part
II
( Yes / No )
http://www.opsi.gov.uk/si/si1998/
19980649.htm
& it‟s recently updated provisions
http://www.opsi.gov.uk/acts/acts
2009/ukpga_20090020_en_1

By Day 2


More information on the CIS
scheme can be found at
http://www.hmrc.gov.uk/cis
Is the company/business appropriately
and at
registered with HMRC‟s Construction
http://www.businesslink.gov.uk
Fin22 Industry Scheme?
/bdotg/action/layer?topicId=10
81129016
(Yes / No)

Does the company adhere to the
Government‟s Fair Payment guidance
Also see question Fin21
for construction procurement
Fin23
By Day 2
( Yes / No )

CIP Insurance Questions

This is not required by law,
however FIIS require
companies to have it as best
Does the business / company hold practice.
Ins01 Public Liability insurance? State Insurer‟s name, policy
( Yes / No ) number, expiry date and the
value of the policy‟s limit

By Day 2
This is required by law
Does the business / company hold State Insurer‟s name, policy
Employer‟s Liability insurance? number, expiry date and the
Ins02
( Yes / No ) value of the policy‟s limit

By Day 2


This is not required by law,
however FIIS require
companies providing feasibility
studies, design and related
professional advisory services
to hold PI Insurance.
Does the company hold Professional
If applicable state Insurer‟s
Indemnity insurance and if so, what
Ins03 name, policy number, expiry
are the details?
date and the value of the
( Yes / No )
policy‟s limit

Note that any contractor offering
Design & Build should have
this

By Day 2


Different types of Insurances:

1. Public Liability – public liability insurance covers your legal liability to
pay damages to members of the public for death, bodily injury or
damage to their property which occurs as a result of your business
activities. It also covers legal fees, costs and expenses, such as
representation at a Court.
Public sector clients will normally insist that at least £5m of PL cover is
available and in addition, having PL cover is business risk management
best practice.
2. Employer’s Liability – by law, all employers must insure against their
legal liability for injury, disease or death to employees sustained by
them and arising from their employment. You are legally required to
insure for at least £5m. The law also requires that you display the
certificate of insurance at each place of work.
3. Professional Indemnity – this covers the cost of compensation to a
customer if your professional advice has caused them to lose money.
Some industry regulators will require that this insurance is obtained,
e.g. the Architect’s Registration Board. This is not normally carried by
SME Contractors who usually employ third party designers with their
own PI cover.
Having PI cover is business risk management best practice.


This is not required by law or
FIIS.
Does the company hold All Risks If applicable state Insurer‟s
insurance and if so, what are the name, policy number, expiry
Ins04
details? date and the value of the
( Yes / No ) policy‟s limit

By Day 2
The ability to offer an
Can the company, if requested, insurance-backed warranty is
provide an insurance-backed considered best practice in the
warranty (from an ABI recognised Domestic market and it is a FIIS
company) covering deposits or recommendation for companies
Ins05 advanced payments, costs of trading in the domestic sector to
completing works, cost of have this.
rectification works in respect of If applicable state Insurer‟s
defects or damage? name
( Yes / No )
By Day 2


Different types of Insurances:

4. All Risks - Contractors All Risks insurance (also known as Contract Works
insurance) is an insurance policy for works on site. It can include cover for
the contract works, the contractor’s own plant, any hired-in plant and
employee's tools. The main part of the all risks insurance is the contract
works section which provides cover for the property being worked on,
however if the works is being undertaken on an existing property then cover
for the existing property is excluded (e.g. the existing structure when
building an extension) and must continue to be insured under its own
insurance cover.

5. ABI Backed Warranty – An example of this would be the scheme used by
Trustmark registered companies, which must give customers the opportunity
to buy a warranty, which is an insurance policy covering them against
certain problems if the firm goes out of business. The minimum TrustMark
standard is that each warranty must cover things such as:
 Pre-payments
 Quality of workmanship
 Rectification of defects or major damage
 Non-compliance with Building Regulations
 The warranty must be designed purely for individual private homeowners
and must cover most jobs between £250 and £50,000.
 The insurance cover must last for at least 6 years


Where applicable, does the company
inform customers/clients of any
Ins06 warranties attaching to materials Review on Day 2 if unsure
and products installed?
( Yes / No )
If you never use sub
Are sub-contractors' insurances contractors then the answer is
Ins07 checked and recorded? Not Applicable
( Yes / No / Not Applicable)
By Day 2
Does the company have appropriate
and adequate insurance to cover the
Ins08 liabilities resulting from its current By Day 2
commercial activities
( Yes / No )

CIP Health & Safety Questions

Provide their name, role in the
company and their
Who in the company has overall
HS01 qualifications
responsibility for H&S matters
By Day 2
If the company does not employ
a full time H&S qualified person
this is best practice.
Does the company retain a
professional advisor or consultant
HS02 If applicable give the person‟s
for health and safety matters?
name, their company‟s name
( Yes / No )
and their personal qualifications



See following slide regarding
recognised schemes.
Is the company compliant with a If applicable state the scheme
recognised H&S standard / name, the level of compliance,
HS03 certification scheme? the certification number and the
( Yes / No ) date of expiry of the
certification.

This is a legal requirement for
Does the company have a written
companies employing 5 or more
Health & Safety Policy or
people. It is a FIIS expectation
Statement?
HS04 that any Listed company has
( Yes / No )
one.

By Day 2

Health & Safety Recognised Schemes

Examples of different Health & Safety schemes which would be considered as
recognised include:

1. Accreditation to BS OHSAS 18001:2007 Occupational Health & Safety
Management Systems –
http://shop.bsigroup.com/en/ProductDetail/?pid=000000000030148086

2. CHAS certification, the Contractors Health & Safety Assessment Scheme -
http://www.chas.gov.uk

3. Having a CHAS registration, or equal equivalent, is a requirement of FIIS
and to be at their Listed level CHAS Compliance status is adequate. If you
chose to go on to CIAPS Accredited or Endorsed status CHAS Accredited will
be required [Compliance is only assessed every 2 years but Accredited is
reviewed annually – 2 years for Designers & CDM/CDM-C registrants)

4. Some other schemes falling under the Safety Schemes In Procurement
umbrella would be suitable in addition to the ISO18001 standard or CHAS –
www.ssip.org.uk . SSIP is supported by HSE as schemes within it meet the
core competency criteria of the CDM ACoP

5. The Safecontractor scheme - http://www.safecontractor.com – would also
be considered suitable


These documents should be
reviewed regularly and amended
if necessary, as required by law.
FIIS require this to be done at
least annually
Are the company's H&S Policy /
Statement and practices reviewed If applicable state the next review
HS05
and revised on a regular basis date applicable and the frequency
( Yes / No ) at which reviews are applied. If
more than one document exists
list this data for each one,
identifying each document

FIIS require that a documented
Is the company's H&S policy
procedure exists for disseminating
readily available to all employees
policy and recording that it has
HS06 in a format that is easily
happened
understood?
(Yes / No )


Training should be relevant to
the tasks employees are
expected to undertake.

Has relevant H&S training been FIIS require that a documented
HS07 given to all employees? procedure exists for matching
(Yes / No ) employees to necessary H&S
training and recording that it
has been given

FIIS require a procedure for on
Are 'on-site' risk assessments
site risk assessments to take
routinely undertaken and
place, be recorded and record
HS08 implementation actions
the actions taken
determined?
( Yes / No )


If you do not have site
managers/supervisors, e.g. you
What percentage of the company's
are a design consultant, insert
site managers hold current
N/A otherwise enter a
HS09 ConstructionSkills 'SMST'
percentage (no decimal places)
certificates or an equivalent
See next slide.
qualification?
FIIS require that a documented
procedure exists for checking
sub contractor H&S competence
and recording that it has been
Does the company document and done
monitor the H&S competency and
HS10
practices of its sub contractors? If you do not use
( Yes / No / Not Applicable) subcontractors mark Not
Applicable

By Day 2

Site Management Safety Training

Possession of the SMST qualification gained through the
ConstructionSkills 5 day course is listed in the Approved Code of
Practice for the Construction (Design and Management) Regulations
as a demonstration of competence in the role of site manager.

Those who attend the course get the CSkills publication Construction
Site Safety – Health, Safety and Environmental Information Manual
(GE700)

It is considered best practice in H&S as it meets CDM
recommendations.

The qualification lapses after 5 years unless the CSkills 2 day
Refresher course is undertaken, so training records should record
renewal dates for your employees.

If your site management employees have other qualifications which
you believe are equivalent to CSkills SMST then this can be reviewed.

Although the CDM ACoP refers to equivalent qualifications to SMST it
does not list any.


In the past 5 years has the If the answer is Yes then give
company been the subject of any details of the occurrence(s)
HSE investigations, prosecutions
HS11
or enforcement actions or are By Day 2
there any pending?
( Yes / No )
Smoking in company vehicles is
equally illegal as in company
premises. A Smoke Free policy is
good business risk management
smoke-free policy that is readily
HS12 available to all staff?
For advice see
( Yes / No )
(www.smokefreeengland.co.uk/w
hat-do-i-do/business.html)

By Day 2
Is the company involved in any
recognised H&S awareness If Yes, name the scheme
HS13 monitoring programmes (including
occupational health)? By Day 2
( Yes / No )


This should be somebody qualifying
within the last 2 years for a relevant
qualification such as NVQ Level 3 or 4
(C&G equivalents), IOSH, NEBOSH,
Identify any key staff member
CSkills, etc.
who has recently completed
HS14 (or is participating in) a H&S
Provide name of employee, name of
course or programme that
course/programme and their
leads to an accredited award
qualification certificate number or if
not applicable enter None in name box

By Day 2
If yes, provide name of group
The HSE run a sector benchmarking
group CHaSPI at
Does the company participate
http://www.chaspi.info-exchange.com
in any H&S best practice
HS15 and also publish guidance at
benchmarking group or club?
http://www.hse.gov.uk/pubns/indg30
( Yes / No )
1.pdf

By Day 2


Add the number per year for
How many notifiable accidents 2006, 2007 and 2008 separately
HS16 (under RIDDOR) has the company – use 0 if applicable
had in the last 3 years?
By Day 2
The ACoP is a free download pdf
Can the company demonstrate
from the HSE web site
that it understands its obligations
(http://www.hse.gov.uk/pubns/pr
under the CDM (2007) Regulations
iced/l144.pdf) and covers all
HS17 and that it has ready access to the
obligations and demonstration of
attendant HSE ACoP (Approved
competence
Code of Practice)?
( Yes / No )
By Day 2
Some guidance is available from
the HSE web site
(http://www.hse.gov.uk/construct
Does the company offer all staff
ion/healthrisks/monitoring.htm)
access to relevant occupational
HS18
health monitoring?
Also find local information at
( Yes / No )
http://www.webwell.org.uk

By Day 2


Does the company have ready
access to appropriate H&S
HS19 expertise and advice? By Day 2

( Yes / No )

CIP Environmental Questions

Provide their name, role in
the company and their
Who in the company has responsibility
Env01 qualifications
for environmental matters?
By Day 2
If the company does not
employ a full time person
qualified to provide
environmental advice this is
best practice.
Does the company retain a
professional advisor or consultant for
Env02 If applicable give the
environmental matters?
person‟s name, their
( Yes / No )
company‟s name and their
personal qualifications



See following slide
regarding recognised
schemes.
Is the company inspected to a
recognised environmental If applicable state the
Env03 management standard / inspection scheme name, the level of
scheme? compliance, the certification
( Yes / No ) number and the date of
expiry of the certification.

FIIS require a written policy
or statement
Env04 environmental policy or statement?
( Yes / No )

Environmental Management Standards & Schemes

The most common standard is third party accreditation for compliance with
BS EN ISO 14001:2004 “Environmental Management Systems”

Another scheme is the Institute of Environmental Management &
Assessment’s Acorn scheme which will guide you through gradual
implementation of a scheme that should eventually comply with ISO14001.
It uses BS8555 as a phased 5 step plan to make it easier for SMEs to
achieve ISO14001 accreditation.

BS8555 is useful for demonstrating a company’s commitment to
environmental improvement and working towards ISO14001, particularly
where a company needs to achieve an accreditation as a contractual
requirement.

A UKAS approved Acorn Inspection Body can certificate your achievement
after each phase of BS8555:2003 “Environmental Management System.
Guide to the phased implementation of an environmental management
system including the use of environmental performance evaluation” has
been implemented so you achieve a certificated status on route to full
ISO14001 certification

Visit http://www.iema.net/ems/acorn_scheme for more information.


It is a FIIS expectation that
any policy would be subject
to at least annual review in
case circumstances within
the organisation have
changed, and more
frequently if changes in
legislation require
Are the company's environmental
management policy / statement and If applicable state the next
Env05
practices reviewed and revised on a review date applicable and
regular basis? the frequency at which
reviews are applied. If
more than one document
exists list this data for each
one, identifying each
document



FIIS require that a
Does the company have procedures
documented procedure exists
to demonstrate that the policy has
for disseminating policy and
Env06 been made available and explained to
recording that it has happened
all employees?
( Yes / No )
Training should be relevant to
the tasks employees are
expected to undertake.

Has appropriate environmental FIIS require that a
awareness training been given to all documented procedure exists
Env07
relevant employees? for matching employees to
( Yes / No ) necessary environmental
training and recording that it
has been given



If you do not have site
managers/supervisors, e.g. you
are a design consultant, enter N/A
What percentage of the company's
otherwise enter a percentage (no
site managers hold a current
Env08 decimal places).
recognised environmental
management qualification?
See next slide.

It is a legal requirement that
companies comply with the
waste disposal and hazardous
waste regulations. Company
Can the company demonstrate that
procedures should exist and
it complies with the statutory waste
records to prove compliance.
Env09 disposal requirements including
hazardous waste?
See information at
( Yes / No )
http://www.defra.gov.uk/Environ
ment/waste/topics/hazwaste

By Day 2

Environmental Management Qualifications

Examples of recognised qualifications for environmental management
are:

1. Chartered Institutions of Wastes Management course on Site
Waste Management Plans

2. CIWM Waste Awareness Certificate course

3. NEBOSH Environmental Diploma

4. Institution of Environmental Management & Assessment’s
Foundation Certificate in Environmental Management for the
Construction Industry

5. ConstructionSkills Environmental Management Systems at Site
Level course


In the last 3 years, has the company
If the answer is Yes, then
been prosecuted or issued with any
describe the actions which
improvement notices or enforcement
were taken to prevent
Env10 orders from the Environment Agency or
recurrence of the problem.
any other enforcement authority,
including breaches of planning control?
By Day 2
( Yes / No )
Does the company document and monitor
the environmental management
Env11 competency and practises of its By Day 2
subcontractors?
( Yes / No )
Can the company demonstrate that it See next slide
offers its clients sustainable construction
Env12
technologies and methodologies?
(Yes / No ) By Day 2

Sustainable Technologies & Methodologies

Examples of where advice can be obtained from are:

1. Guidance on designing out waste – see
http://www.wrap.org.uk/construction/tools_and_guidance/designing_out
_waste.html

2. Guidance on recycling of materials – see
http://www.wrap.org.uk/construction/construction_materials/index.html

3. Guidance on reducing waste going to landfill – see
http://www.wrap.org.uk/construction/index.html

4. Reducing waste in construction – see
http://www.envirowise.gov.uk/uk/Press-Office/Press-Releases/UK-Press-
Releases/New-guide-could-help-builders-cut-waste-costs-by-as-much-as-
40.html

5. General guidance on construction sustainability – see
www.ciob.org.uk/filegrab/sustainability.pdf?ref=74

6. General guidance on design and construction sustainability - see
http://www.greenspec.co.uk

7. What you Clients may be reading about sustainability – see
http://www.ogc.gov.uk/documents/CP0016AEGuide11.pdf


This might be in line with
Is the company involved in any
BS8555 Phase 4 or some
recognised environmental awareness
Env13 other programme
training programme?
(Yes / No )
Review on Day2 if unsure
This should be somebody
qualifying within the last 2
years for a relevant
qualification such as IEMA,
CIWM, NEBOSH, CSkills,
Identify any key staff member who has
etc.
recently completed (or is participating
in) an environmental course or
Env14 Provide name of employee,
programme that leads to an accredited
name of course/programme
award?
and their qualification
certificate number or if not
applicable enter None in
name box

By Day 2


Does the company participate in any If Yes, please give details of the
environmental management best club or group. See next slide
Env15
practice benchmarking club or group?
(Yes / No ) Review on day 2 if unsure
If you do not manage sites
which would be eligible then
answer Not Applicable

Companies with an annual
Does the company register eligible
turnover of £2.5m or more can
sites with the Considerate
Env16 register the company rather
Constructor‟s Scheme?
than individual sites
( Yes / No )
Projects of more than 6 days
duration on site apply

By Day 2
Is an environmental impact
assessment routinely undertaken
Env17 By Day 2
before each project commences?
( Yes / No )

Environmental Benchmarking

Example organisations which may be relevant are:

1. BISNES (Business In Sandwell Network of Environmental Support) – see
http://www.finditinsandwell.co.uk/Info/environmental-business-advice-
32.aspx

Contact Julie Coxon on 0121 569 6603, at julie_coxon@sandwell.gov.uk
or see
http://www.finditinsandwell.co.uk/Info/environmental-business-advice-
32.aspx

2. Black Country Business and Environment Association - see
http://www.wolverhampton.gov.uk/business/support/associations/bcbea
.htm

3. The Staffordshire Business & Environmental Network – see
http://www.sben.co.uk

4. Warwickshire County Council Waste Minimisation Clubs – see
http://www.warwickshire.gov.uk/Web/corporate/pages.nsf/Links/AE234
FA88C13CD1680256CE0003ECB6B

5. Adopting the KPI set for the Environment will provide benchmarking for
your operations - http://www.kpizone.com

Sandwell Business Environment Charter

The Sandwell Business Environment Charter scheme is available for
companies to get involved with the Council on environmental issues

Those who sign up will receive:
 Environmental information pack, including legislation guidance,
environmental awareness CD, recycling guide, directory of support
available and other materials
 Thermal Imaging print of their premises
 Quarterly legislation updates
 Membership certificate
 Membership of the Black Country Business & Environment Association
 Support and assistance with progressing environmental best practice
according to grade of membership

You will be graded according to your Environmental activity – Bronze (New
starter with little environmental action) to Platinum (ISO14001 certificated)
Contact Julie Coxon on 0121 569 6603, at julie_coxon@sandwell.gov.uk
for more information


It is a legal requirement that any
new residential development is
assessed under The Code for
Sustainable Homes
http://www.breeam.org/page.jsp
?id=86

Does the company routinely obtain Other schemes may also be
a BREEAM assessment , or subject to mandatory
equivalent energy performance assessments
Env18
certification, for each building http://www.breeam.org/page.jsp
project it commissions or designs? ?id=43
(Yes / No )
If this is not applicable select No,
otherwise enter the last project
for which an assessment was
obtained and the previous two
before that



This question refers to formal
industry schemes, like sorting
and recycling site waste as
required in a Site Waste
Management Plan scheme.
It is not about office waste
recycling
Does the company participate in any
Env19 recycling schemes?
You can get information on
(Yes / No )
actions from WRAP
(http://www.wrap.org.uk/cons
truction/index.html)

List any relevant scheme

By Day 2


Does the company „s environmental
See next slide for the drop
protection policy or strategy cover the
Env20 down menu of 14 items
following areas:
By Day 2
Does the company have access to
appropriate environmental
Env21 By Day 2
management expertise?
( Yes / No )

Environmental CIP Question Env20

These are the sustainability orientated questions in Env20:

 Carbon offsetting

 Application of renewable energy sources on operational activities

 Application of low carbon technologies

 Use of public transport

 Home working

 Conference calling

 Life cycle assessment of materials

 Recognition of waste hierarchies

 Low carbon emission vehicles

 Carbon footprint measurement and reduction

 Local bio-diversity protection and enhancement

 Energy use reduction

 Water use reduction

 Sourcing local raw materials

Keeping Up To Date With Environmental Legislation

The web site NetRegs gives a full schedule and text of all UK
environmental legislation and can be searched by:

 Type of Business – Construction, Categorised Products, Landscaping,
etc.

 Environmental Topic - Hazardous & Special Waste

 Environmental Legislation – Both Current Legislation and advice on
forthcoming Future legislation

You can also sign up for free newsletters to keep you up to date

http://www.netregs.gov.uk

CIP Quality Assurance Questions

FIIS expectation is that
companies of 5 employees or
Does the company have a written less have a Policy statement
Quality Assurance Policy or and that any other company
Qas01
Statement? has a full quality policy in
( Yes / No ) operation

Review on day 2 if unsure
It is a FIIS expectation that any
policy would be subject to at
least annual review in case
circumstances within the
Are the company's Quality
organisation have changed
Assurance Policy / Statement and
Qas02 practices reviewed and revised on a
If applicable state the next
regular basis?
review date applicable and the
( Yes / No )
frequency at which reviews
are applied

By Day 2


Examples would be ConstructionLine,
Exor, Achilles or Trustmark
Is the company a member of a
recognised industry QA scheme
If applicable give the scheme name,
Qas03 or register?
company reference number and date
( Yes / No )
of expiry of membership

By Day 2
This question seeks to determine if
you have an accredited system, not
just if you are working to a
recognised standard. ISO9001:2008
Is the company operating a
is an example.
recognised quality management
If applicable give the standard to
Qas04 system which is UKAS
which you are accredited (and
accredited?
date/version), the accreditation body,
( Yes / No )
your registration number and the
expiry date of the certificate

By Day 2


Include name of each
association, e.g. Constructing
Excellence, NFB, FMB, ECA,
Is the company a member of a HVCA, ACE, etc.
Qas05 trade association?
( Yes / No ) Remember this is the Company
and not individuals

By Day 2
performance reviews are
Are regular performance reviews undertaken with your clients
Qas06 undertaken with Clients? during and at completion of
( Yes / No ) projects.

Review on day 2 if uncertain


Does the company document and
monitor the quality assurance
Qas07 procedures / practices of its By Day 2
subcontractors?
(Yes / No )
Does the company operate a companies will operate a
formal (written) customer customer complaints procedure
Qas08
complaints procedure? – see next slide
( Yes / No )
By Day 2
It is a FIIS expectation that all
employees act in accordance
Does the company have a formal
with the company‟s complaints
procedure to ensure all employees
procedure
are aware of, and act in
Qas09 accordance with, the company's
If you do not have a complaints
complaints procedure?
procedure answer Not
(Yes / No / Not Applicable )
Applicable

By Day 2

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