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2 day fiis listed training day 1 edition d 180110

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2 day fiis listed training day 1 edition d 180110

  1. 1. Find It In Sandwell Construction Industry Listed Status Course
  2. 2. 01 Introduction
  3. 3. 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.
  4. 4. 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
  5. 5. 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
  6. 6. 02 CITB – ConstructionSkills Grants Scheme
  7. 7. ConstructionSkills Contact Sandwell - Paul Harper 07768 885761 paul.harper@cskills.org Rest of Black Country - Leise Brown 07768 885764 leise.brown@cskills.org
  8. 8. 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
  9. 9. 03 Day 1 Objectives
  10. 10. 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
  11. 11. 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
  12. 12. 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
  13. 13. 04 Company Information Profile
  14. 14. 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
  15. 15. 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
  16. 16. 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
  17. 17. 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
  18. 18. 2 Sections of CIP Information When you complete your online CIP you will have two different lists presented to you:
  19. 19. 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.
  20. 20. 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
  21. 21. 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
  22. 22. 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
  23. 23. 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 Success Train Ltd © Over 55% of threats perceived to be in 4 common issues
  24. 24. 05 General Information CIP
  25. 25. 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
  26. 26. 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
  27. 27. 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.
  28. 28. 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
  29. 29. 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
  30. 30. 06 Trading CIP
  31. 31. 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
  32. 32. 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
  33. 33. 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
  34. 34. 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
  35. 35. 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
  36. 36. 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
  37. 37. CIP Trading Questions Ref No. Question Note 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
  38. 38. CIP Trading Questions Ref No. Question Note 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
  39. 39. 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
  40. 40. CIP Trading Questions Ref No. Question Note 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 Review on Day 2 if unsure 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)
  41. 41. 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
  42. 42. CIP Trading Questions Ref No. Question Note 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 ) Review on Day 2 if unsure 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
  43. 43. 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
  44. 44. CIP Trading Questions Ref No. Question Note 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? Review on Day 2 if unsure (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
  45. 45. CIP Trading Questions Ref No. Question Note 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
  46. 46. 07 Finance CIP
  47. 47. CIP Financial Questions Ref No. Question Note 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
  48. 48. 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)
  49. 49. CIP Financial Questions 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
  50. 50. CIP Financial Questions Ref No. Question Note 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 )
  51. 51. CIP Financial Questions Ref No. Question Note 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 ) Review on Day 2 if unsure 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) Review on Day 2 if unsure See next slide Is a "Supplier's" reference obtainable? Fin14 ( Yes / No ) Review on Day 2 if unsure
  52. 52. CIP Financial Questions Ref No. Question Note See next slide Is a "Banker's" reference obtainable? Fin15 ( Yes / No ) Review on Day 2 if unsure See next slide Is a "Client's" reference obtainable? Fin16 (Yes / No ) Review on Day 2 if unsure 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
  53. 53. 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.
  54. 54. CIP Financial Questions Ref No. Question Note 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 Review on Day 2 if unsure 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
  55. 55. CIP Financial Questions Ref No. Question Note 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
  56. 56. CIP Financial Questions Ref No. Question Note 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) Review on Day 2 if unsure Does the company adhere to the Government‟s Fair Payment guidance Also see question Fin21 for construction procurement Fin23 By Day 2 ( Yes / No )
  57. 57. 08 Insurance CIP
  58. 58. CIP Insurance Questions Ref No. Question Note 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
  59. 59. CIP Insurance Questions Ref No. Question Note 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
  60. 60. CIP Insurance Questions 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.
  61. 61. CIP Insurance Questions Ref No. Question Note 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
  62. 62. CIP Insurance Questions 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
  63. 63. CIP Insurance Questions Ref No. Question Note 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 )
  64. 64. 09 Health & Safety CIP
  65. 65. CIP Health & Safety Questions Ref No. Question Note 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 Review on Day 2 if unsure
  66. 66. CIP Health & Safety Questions Ref No. Question Note 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. Review on Day 2 if unsure 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
  67. 67. 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
  68. 68. CIP Health & Safety Questions Ref No. Question Note 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 Review on Day 2 if unsure 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 ) Review on Day 2 if unsure
  69. 69. CIP Health & Safety Questions Ref No. Question Note 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 Review on Day 2 if unsure 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 ) Review on Day 2 if unsure
  70. 70. CIP Health & Safety Questions Ref No. Question Note 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? Review on Day 2 if unsure 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
  71. 71. 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.
  72. 72. CIP Health & Safety Questions Ref No. Question Note 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 Does the company have a written 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 )
  73. 73. CIP Health & Safety Questions Ref No. Question Note 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
  74. 74. CIP Health & Safety Questions Ref No. Question Note 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
  75. 75. CIP Health & Safety Questions Ref No. Question Note Does the company have ready access to appropriate H&S HS19 expertise and advice? By Day 2 ( Yes / No )
  76. 76. 10 Environmental CIP
  77. 77. CIP Environmental Questions Ref No. Question Note 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 Review on Day 2 if unsure
  78. 78. CIP Environmental Questions Ref No. Question Note 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. Review on Day 2 if unsure FIIS require a written policy Does the company have a written or statement Env04 environmental policy or statement? ( Yes / No ) Review on Day 2 if unsure
  79. 79. 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.
  80. 80. CIP Environmental Questions Ref No. Question Note 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 Review on Day 2 if unsure
  81. 81. CIP Environmental Questions Ref No. Question Note 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 ) Review on Day 2 if unsure 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 Review on Day 2 if unsure
  82. 82. CIP Environmental Questions Ref No. Question Note 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. Review on Day 2 if unsure 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
  83. 83. 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
  84. 84. CIP Environmental Questions Ref No. Question Note 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
  85. 85. 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
  86. 86. CIP Environmental Questions Ref No. Question Note 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
  87. 87. CIP Environmental Questions Ref No. Question Note 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 )
  88. 88. 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
  89. 89. 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
  90. 90. CIP Environmental Questions Ref No. Question Note 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 Review on Day 2 if unsure
  91. 91. CIP Environmental Questions Ref No. Question Note 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
  92. 92. CIP Environmental Questions Ref No. Question Note 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 )
  93. 93. 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
  94. 94. 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 Success Train Ltd ©
  95. 95. 11 Quality Assurance CIP
  96. 96. CIP Quality Assurance Questions Ref No. Question Note 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
  97. 97. CIP Quality Assurance Questions Ref No. Question Note 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
  98. 98. CIP Quality Assurance Questions Ref No. Question Note 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 It is a FIIS expectation that 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
  99. 99. CIP Quality Assurance Questions Ref No. Question Note Does the company document and monitor the quality assurance Qas07 procedures / practices of its By Day 2 subcontractors? (Yes / No ) It is a FIIS expectation that 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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