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Find It In Sandwell
Construction Industry
 Listed Status Course

       Day 2
01




Day 2 Objectives
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
Day 2 Objectives


Today‟s Objectives :

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

2. To see how others might view your CIP

3. To review how you can manage and use your CIP

4. To consider your future choices for upgrade to CIAPS membership

5. To review the Accreditation & Endorsement process

6. To ensure you have understand some of the benefits of CIAPS
   membership

7. To review auditing and choice of independent audit bodies

8. To consider timeframes for Accreditation and Endorsement

9. To review your Action Plan
02




CIP Registration Workshop
Your Action Plan - Progress


Hopefully, since Day 1 of this Accreditation course your Action Plan
has got a lot smaller

The number of Reds will have decreased substantially and the number
of Greens will have increased substantially

This first session today should be about any remaining Reds or
Ambers on your Action Plan




      Need to Do or Get that

      Need to check up on that

      Got or Do that already or it is Not Applicable
Workshop – Group Discussion & Feedback


How did you find it?

 Feedback?

 Questions?

 Any system user difficulties?

 Any action plans of things your company could or should
  be doing for the future?

 Any clarification still needed?

 Any help still needed?

 Any lessons learnt?

 Does anyone need short term help now or would they
  like to stay on for a while when we finish today?

 How many have now reached Listed status?
Important CIP Reminder




Do not forget your Company
Information Profile and all
Uploads must be complete
before your profile will be
available to other companies
03




   Viewing Another
Company‟s CIP on Find It
     In Sandwell
Other Users



Other than yourselves, there are 3 other User types:

A. Level 3 – Sandwell Council‟s authorised Employees

B. Level 2 - Other Companies which Sandwell Council consider
   to be Principal Contractors or Supply Chain managers – i.e.
   they are seeking sub contractors or sub consultants to work
   for them on Sandwell Council projects

C. Level 1 – Companies who are seeking other companies to
   work with

If you want to use Find It In Sandwell to search for your supply
chain you could equally be considered as type C
Level 3 Users – Sandwell Council



Level 3 users – Sandwell Council – have access to your full
information profile.

By registering for use of Find It In Sandwell‟s construction
listing service you grant full permission for Sandwell‟s
authorised employees to have access

Sandwell Council will also share this free access with other parts
of their organisation to which access to your information may be
beneficial to you, e.g. Sandwell Homes
Level 2 Users – Sandwell‟s Principal Contractors



Level 2 users will be Sandwell Council‟s Principal Contractors
who will be encouraged to use local companies in preference to
other suppliers when undertaking Sandwell Council works

When Principal Contractors are tendering for work with
Sandwell Council, or they have been awarded work, they will be
able to gain access to your full Company information profile for a
limited period of use – 72 hours.

Once they have seen your full information they are expected to
open formal dialogue with you should they wish to.

By registering for use of Find It In Sandwell‟s construction
listing service you grant full permission for Sandwell‟s
authorised employees to grant limited access to Principal
Contractors
Level 2 Users – How Do They gain Access?



They will be able to see your Dashboard overview information
just the same as any Level 1 user – we will show you how next

Once they have seen enough of your Dashboard to determine
their real interest they will e mail Sandwell‟s administrator and
your primary contact asking for permission to gain access to
your full Company Information Profile

Your Primary contact e mails back to both parties either
granting or refusing permission to see your full CIP for 72 hours

If permission is granted, Sandwell Council‟s administrator opens
the gateway to your information for 72 hours.

Once they have seen your full information they are expected to
open formal dialogue with you should they wish to.
Level 2 Users – What Can They See?



Like Level 3 users (Sandwell Council) the Principal Contractors
granted Level 2 access for 72 hours will be able to see:

 All of you Company Information Profile answers

 Your uploaded documents

 Your Graydon financial probity report
Level 1 Users – What Can You and Any Other Users
                               See?



Anyone using the Find It In Sandwell Listed service for
construction companies can search for other companies and see
their overview dashboard of information

The simple search routine is shown in the next few slides
Level 1 Search Access



Go in through the Home page – Select “Request a quote”
and then login
Level 1 Search Access



Select “Search for an existing supplier”
Level 1 Search Access


In Services Offered – enter   “Construction   Commitment
Compliant” and click on Go
Level 1 Schedule of Listed Companies


You will be presented with all of the companies who are in the
Find It In Sandwell Listed group

Select “View mini site” for the company you wish to look at
Level 1 Information


You will see the company‟s descriptive page and the logo

Select “View Profile” under the logo
Level 1 Dashboard Results - 1


The results of a search at Level 1 will be the ability to see the
company‟s Overview dash board




They cannot progress beyond this point of your information without
your permission – there should be enough here for them to decide if
they want to ask for more
Level 1 Results Dashboard - 2
Level 1 Results Dashboard - 3
04




Managing Your CIP
Who Will Manage Your CIP?


Sensibly, it would be wise to assign one person in your company to be
responsible for managing your Find It In Sandwell profile and information

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

If you have someone who already manages an accredited system, e.g. QA,
Environmental Management or Health & Safety they may be best placed to
undertake the management task as they will be used to the processes
Management Scope & Timetable

Your CIP is living data

It requires a management regimé – a simple annual management plan, as
shown in the next slide, would help keep track month by month

Types of Things to consider:

 Review dates – e.g. Policies and Statements
 Renewal dates – e.g. Insurance and Registrations
 New information in a series – e.g. Annual Accounts
 Personnel – e.g. Contact Names and “Percentages of”
 Status changes – e.g. Introduction of new things via Continuous
  Improvement which allow a “No” We Don‟t to be changed to a “Yes”
  We Do


You need to set a regular periodic review process for your CIP Manager
(perhaps quarterly)

Don‟t forget that your performance will be seen by all those tracking you
– positive notifications must be your goal
CIP Annual Management Plan

  A simple annual management plan may look like this:

                                                                                                                     Who Is
Question Ref                                       Question                                       Status
                                                                                                                   Responsible
                                                                                                                                 Frequency    JAN      FEB     MAR      APR   MAY    JUN


   Gen01       What is the Company's Trading Name                                                 Listed Profile       RC         Annual     Update

   Gen02       Main Office - address                                                              Listed Profile       RC         Annual     Update

   Gen03       Main Office - general contact details                                              Listed Profile       RC         Annual     Update

   Gen04       Designated CIAPS primary contact                                                   Listed Profile       RC         Annual     Update

   Gen05       Designated CIAPS primary contact address                                           Listed Profile       RC         Annual     Update

   Gen06       Designated CIAPS secondary contact                                                 Listed Profile       RC         Annual     Update

   Gen07       Is the company part of a group?                                                    Listed Profile       RC         Annual     Update

   Gen08       What unique business identifications do you have?                                  Listed Profile       JC         Annual     Update


               What are the contact details for the person /department responsible for trading,
  Trad01
               contracts, etc
                                                                                                  Listed Profile       JC         Annual     Update



  Trad02       What are the main types of work/trades that the company undertakes                 Listed Profile       TD        BiAnnual             Update



               If known, what are the NACE and/or CPV codes for the main types of work
  Trad03
               undertaken by the company, its services and products
                                                                                                  Listed Profile       TD        BiAnnual             Update




  Trad04       How many staff does the company directly employ? (Operatives & Admin)              Listed Profile       AC        Quarterly                     Update               Update


  Trad05       What is the range of project sizes undertaken?                                     Listed Profile       RC         Annual     Update

  Trad06       What types of contracts are undertaken?                                            Listed Profile       JC         Annual     Update

  Trad07       On what basis does the company tender?                                             Listed Profile       JC         Annual     Update

  Trad08       In what regions does the company operate?                                          Listed Profile       RC         Annual     Update


               How many established supply chains is the company involved in?
  Trad09
               (lead/participate)
                                                                                                  Listed Profile       TD        Quarterly                     Update               Update
Uploaded Document Management


Similarly you must pay attention to the documents you have uploaded
which are mandatory and equally obvious for audit:

1. CHAS, Safe Contractor or equivalent H&S certificate
2. Certificate of Incorporation for incorporated companies and any
   change of name certificates
3. HMRC Certificate of Registration for VAT for VAT registered
   companies
4. Previous 4 years audited accounts or a certified statement of
   turnover (certified by your accountant)
5. Quality Policy or Statement
6. Health & Safety Policy or Statement
7. Environmental Policy or Statement
8. Equal Opportunities Policy or Statement
9. Public Liability and Employer's Liability Insurance certificates
10. Complaints Procedure
11. Company's Training Plan
12. H&S Advisor appointment (if applicable)
13. Environmental Advisor appointment (if applicable)
CIP Documents Annual Management Plan

    A simple annual uploaded document management plan may look like this:

                                                                                         Who Is      Current Edition   Current Edition   Next Review
Doc Ref                            SUPPORTING DOCUMENTS
                                                                                       Responsible        Ref               Date            Date
                                                                                                                                                        JAN      FEB     MAR      APR       MAY


 D01      Construction Line Certificate                                                    AC              A             31/03/09         31/03/10              Review   Upload

 D02      Copy of CHAS, Safe Contractor or equivalent certificate                          TD              B             31/03/09         31/03/10              Review   Upload


          Copy of Certificate of Incorporation or Partnership and any change of name                                                                                                       Review &
 D03
          certificates
                                                                                           RC              B             26/05/06           N/A
                                                                                                                                                                                            Upload



 D04      Copy of HM Customs & Revenue's Certificate of Registration for VAT               RC              B             31/08/06           N/A



 D05      Copy of latest audited accounts or certified statement of turnover               RC            2008            31/05/09         31/05/10                       Audit              Upload


 D06      Copy of Company's Quality Policy or Statement                                    JC              A             28/02/09         28/02/10     Review   Upload

 D07      Copy of Company's Health & Safety Policy or Statement                            TD              C             28/02/09         28/02/10     Review   Upload

 D08      Copy of Company's Environmental Policy or Statement                              JC              B             30/04/09         30/04/10                       Review   Upload

 D09      Copy of Equal Opportunties Policy or Statement                                   JC              B             31/01/09         31/01/10     Upload


 D10      Copies of Public Liability and Employer's Liability Insurance certificates       RC              C             31/03/09         31/03/10              Renew    Upload


          Copies of Professional Indemnity Insurance and/or All Risks Insurance
 D11
          certificates (if held)
                                                                                           RC              D             31/03/09         31/03/10              Renew    Upload


 D12      Copy of Complaints Procedure                                                     AC              X             30/06/09         30/06/10                                         Review

 D13      Copy of Company's Training Plan                                                  TD              T             31/12/09         31/12/10

 D14      Diagram of formal Management Structure (if available)                            RC              S             31/12/09         31/03/10

 D16      H&S Advisor appointment                                                          TD              R             30/11/09         30/11/10

 D17      Environmental Advisor appointment                                                JC              K             31/07/09         31/07/10
05




KPIs & Continuous
  Improvement
Key Performance Indicators

You may already be using the industry standard KPIs to measure and
benchmark your performance – available at www.kpizone.com

Four sector specific sets of KPIs are available:

1. Consultants (Designers and professional advisors)

2. M&E Contractors

3. Construction Contractors (Many different sectors of construction contracting
   including residential, infrastructure and maintenance)

4. Construction Products

There are also two more sets of KPIs for all companies available:

5. Respect for People

6. Environment

Enables a good level of KPI measurement and performance monitoring, as well
as benchmarking against the industry

Can be applied to whole company and/or individual projects

Good marketing information
Key Performance Indicators

  Types of KPI measurements in each set of data:
KPIs for Construction Products                     KPIs for M&E Contractors                    KPIs for Product Manufacturers                                KPIs for Designers
Client Satisfaction (Service or Product)           Client Satisfaction Design                  Customer Satisfaction After Sales Service    Client Satisfaction Health and Safety Awareness
Client Satisfaction Value for Money                Client Satisfaction Installation            Customer Satisfaction Delivery Reliability   Client Satisfaction Overall Performance
Construction Cost                                  Client Satisfaction Quality of O&M Manual   Customer Satisfaction Product Quality        Client Satisfaction Quality of Service
Construction Time                                  Client Satisfaction Service                 Customer Satisfaction Sales Advice           Client Satisfaction Timely Delivery
Contractor Satisfaction Payment Overall            Client Satisfaction Value for Money         Customer Satisfaction Value for Money        Client Satisfaction Value for Money
Contractor Satisfaction Performance Overall        Contractor Satisfaction Payment Overall     Environment Energy Consumption               Productivity
Contractor Satisfaction Provision of Information   Defects                                     Environment Packaging Management             Profitability
Overall                                            Environmental Impact of Installation        Environment Transport Movement               Training
Defects Impact at Handover                         Process                                     Environment Waste Reduction
Predictability Cost Construction                   Predictability Cost                         Environment Water Usage
Predictability Cost Design                         Predictability Time                         People Equality & Diversity                               Respect for People KPIs
Predictability Cost Project                        Productivity                                People Qualifications                        Employee Satisfaction
Predictability Time Construction                   Profitability                               People Safety at Work                        Equality & Diversity
Predictability Time Design                         Safety                                      People Sickness Absence                      Investors in People
Predictability Time Project                        Training                                    People Training                              Pay
Productivity                                                                                                                                Qualifications & Skills
Profitability                                                                                                                               Safety
Safety Contractors All Companies                                                                                                            Sickness Absence
Variance Cost Construction                                                            Environment KPIs
                                                          Construction Process   Performance - Commercial Vehicle Movements                 Staff Turnover
Variance Cost Design
                                                          Construction Process   Performance - Energy Use                                   Training
Variance Cost Project
                                                          Construction Process   Performance - Impact on Biodiversity                       Travelling Time
Variance Time Construction
                                                          Construction Process   Performance - Impact on the Environment                    Working Hours
Variance Time Design
Variance Time Project                                     Construction Process   Performance - Mains Water Use
                                                          Construction Process   Performance - Waste
                                                          Product Performance    - Area of Habitat Created or Retained
                                                          Product Performance    - Energy Use (Designed)
                                                          Product Performance    - Energy Use (Designed) Housing SAP Rating
                                                          Product Performance    - Impact on Biodiversity
                                                          Product Performance    - Impact on the Environment
                                                          Product Performance    - Mains Water Use (Designed)
                                                          Product Performance    - Whole Life Performance




                                                          However, dependent on your
                                                        company size you may find these
                                                         time consuming and expensive
  Radar Diagram Comparison
                                                                                                                                                        Benchmarking
Using Your Listed CIP for KPIs



You can use a lot of the information input into Find It In Sandwell to set
up your own KPIs or add to other existing KPIs

Some example measurements might be:

CIP Trd03 – Expansion of Sectors and/or Services by tracking number of
applicable CPV codes

CIP Trd18 – No. of projects completed per annum

CIP HS09 - % of H&S qualified Site Supervisors

CIP Env08 - % Environmentally qualified site managers

These are simple measurements to take on an annual basis once you are
managing your CIP

If you join best practice or benchmarking clubs they may also provide
some measurements of achievement
Continuous Improvement

Continuous Improvement is not accepting that the way you do things is as
good as it can be – it can always be done more effectively or efficiently

It is vey much what Lean construction is about – look at what you do now
and decide how could it be done either to use less resource or to generate
more value?

In simple terms charting the progress of your company can show
improvements and using KPIs to measure and record changes is a good
method of being able to show Clients demonstrable improvements like higher
Client Satisfaction levels, greater Productivity, less Defects, etc.

To create effective Continuous Improvement it is necessary to plan what you
will tackle and in what order, so that its results can be measured clearly

A Continuous Improvement Plan is required – just like a project programme –
showing tasks and actions planned against time
CONTINUOUS IMPROVEMENT PLAN FOR INTRODUCTION OF KPIs
                  ACTION              BY WHOM?   JAN   FEB   MAR   APR   MAY   JUN   JUL   AUG   SEP   OCT   NOV   DEC

Select KPI set                           RC
Subscribe to KPI set                     RC
Gather data for last 6 jobs              TD
Create 2009 results                      AC
Benchmark Performance on last 6          AC
Continue to monitor all future jobs      TD
Create 2010 results                      AC
Produce comparison report                AC
Using Your CIP for Continuous Improvement




Participation in the Find It In Sandwell Listed CIP can also drive your
Continuous Improvement plan

Questions you are unable to say Yes to today should go on your
future CI Plan as targets to be achieved – with realistic timeframes
and priorities

All of the questions in the CIP relate to things which are considered
best practice so not being able to say Yes to something relevant to
your business means you have future goals to achieve if you wish to
improve the way you operate
05




Future Choices
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
Your Choices


 Once you have achieved your Find It In Sandwell Listed status here‟s what
 you can chose to do:

                                                                                       Order
             • Stay Local on Find It In Sandwell                                        of
             • Pay nothing                                                             Cost
   FIIS      • Manage your CIP
  Listed                                                                               £NIL


             • Upgrade to National on CIAPS                                            £440
             • Pay a membership & audit fee                                             +
             • Do no more to your CIP if it is compliant with CIAPS requirements
  CIAPS                                                                                £550
             • Gain 3rd party certification of your performance
Accredited


                                                                                        £500
             • Undertake 10 more days of training                                        +
             • Pay an additional membership fee and training fee                       £1000
             • Implement the 6 Construction Commitments
 CIAPS                                                                                   +
             • Gain 3rd party certification of adopting the Construction Commitments
Endorsed                                                                                £550


             Remember: VALUE = Cost                 & You don’t have all the information yet
                                         Benefits
Differentiation of Independent 3rd Party Certification


     Explanation of the differences between 1st, 2nd and 3rd party claims

                  Of course I do all the   This is the Find It In
                 things you have asked
                         me to
                                           Sandwell LISTED level

                                  When they work for
                                   us they do all the
                                 things we have asked
                                        them to
                                                             We regularly check them
                                                             against a published set of
                                                            criteria and as long as they
 1st Party                                                  are still doing it all, we give
You say it                                                      you an independent
  about                                                               reassurance
 yourself       2nd Party
              Someone you                                     This is the CIAPS
                   work
              with/for says
                                                               ACCREDITED &
                it for you                                    ENDORSED levels
                                       3rd Party
                              An independent body says it
                                “To Whom It Concerns”
What is Accreditation?


There is a popular confusion between Certification and Accreditation.
It is commonplace for people to refer to Accreditation when they actually mean
Certification.

Certification is where compliance of a service, person or product is confirmed
against a specified set of criteria - which may be a recognised standard such as
a BS or ISO.

Accreditation is the process undertaken by a body such as the United Kingdom
Accreditation Service (UKAS) who are empowered by the Government to
accredit organisations such as certification bodies, inspection bodies and
testing laboratories to recognised standards for the services that they provide.

It is only when your services are identified within the scope of the UKAS
accreditation that an „Accredited Certification‟, for example, can be made.

With CIAPS you will become certified by a UKAS assessed 3rd party certification
body, e.g. B M Trada, who comply with BS ISO 17021:2006 and are a third-
party conformity assessment body

Companies who have an accredited certification can display
a UKAS numbered Tick mark – such as this one for B M Trada
How does CIAPS Accreditation Work?


You prepare yourself to comply with the CIAPS standards by completing
your CIP which is then subjected to its first audit by your chosen
Certification Body

Assuming there are no non-conformances the Certification body‟s
Certification Board issues a compliance certificate that normally lasts for
one year

If some problems are found at the audit, but these non-conformances are
not too serious they may award a provisional compliance certificate subject
to the non-conformances being resolved within a limited time span

Regular renewal audits of ongoing compliance are then conducted, usually
annually and before the end of the certification period so that continuous
certification in not interrupted

It is possible that if very serious non-conformance is discovered at audit
the compliance certificate may be suspended or withdrawn until the matter
is corrected and re-inspection has taken place

There are a limited number of questions in your CIP that have mandatory
compliance status to achieve Accredited status – which we will look at in
more depth today.

Providing your CIP is compliant you should pass the audit
CIP Questions That Must Be Satisfied for CIAPS
                             Accreditation
There are 47 Listed Self Certification questions which must be satisfied
for Accredited status – shaded green in day 1 notes

 Question Set          Listed Self Certification Questions

 Financial             Fin05 – Fin22 – Fin23

 Insurance             Ins07 – Ins08

 Health & Safety       HS04 – HS06 – HS07 – HS08 – HS10 – HS12 – HS17
                       - HS19
 Environmental         Env04 – Env06 – Env07 – Env09 – Env11 – Env16 –
                       Env21
 Quality               Qas01 – Qas06 – Qas07 – Qas08 – Qas09

 Human Resources       HR01 – HR04 – HR05 – HR06 – HR10

 Equal Opportunities   Eop01 – Eop03 - Eop04 – Eop06 - Eop07 – Eop08

 Training              Trg05 – Trg07 – Trg13

 Technical             Tec01 – Tec02 – Tec03 – Tec09

 IT                    IT04 – IT05 – IT06 – IT07

More details later
What is Endorsement?


CIAPS Endorsed status is recognition that you have adopted the philosophies
and practices that are required by the 6 Construction Commitments

This recognition is provided by 3rd party Certification just the same as the
Accredited status

Why are the Construction Commitments important to you and your Clients?

1. In the forthcoming run-up to meeting the Government‟s Strategy for
   Sustainable Construction any company able to demonstrate Construction
   Commitments adoption to the Public Sector should have differentiation
   from its competitors

2. Public Sector Clients who can demonstrate that they are using
   Construction Commitments compliant companies are more likely to get
   favourable responses from Central Government when applying for
   funding – thus leading to a better ability to contract work to you

Why is this? Because Central Government and the Construction Industry
have made a joint commitment to implementing the Construction
Commitments      in    their   procurement     strategies    –      see
http://www.berr.gov.uk/whatwedo/sectors/construction/sustainability/pa
ge13691.html
Joint Government & Industry Commitment


The June 2008 report “Strategy for Sustainable Construction”
committed that in 2010 35% of Public Sector procurement by value
would be Construction Commitments compliant and that value to rise
to 60% by 2012

The September 2009 progress report re-affirms this target and states
the public sector is on track to achieve this
New Questions for the Endorsed CIP


To achieve Endorsed status you will be required to answer a further series of
questions, specific to the 6 Construction Commitments

On this course we will not cover these in the detail with which we covered the
first series of CIP questions - an overview is given in the next slides

The full list of Endorsement CIP questions will be issued to you before you
commence the 10 days of training

To become Endorsed, you must first gain         CIAPS   Accreditation   as   the
Endorsement questions build on that status

The Endorsement information is entered via 160 questions spread over 6
themed sections that match the Construction Commitments principles, as
follows:

1.   Procurement & Integration     44
2.   Commitment to People          30
3.   Client Leadership             25
4.   Sustainability                30
5.   Design Quality                17
6.   Health & Safety               14
                            TOTAL 160
Endorsed CIP Cross Cutting Themes


Information from these 6 themed question sets feed into 9 cross cutting
themes regarding your organisational performance:

1.   Business Practices                   10
2.   Company Responsibilities             22
3.   Environment                          13
4.   Integrated Team Activities           31
5.   Local Community                      15
6.   Performance Measurement              32
7.   Project Activities                    9
8.   Risk Management                      15
9.   Staff                                13
                                  Total   160


As you complete each themed section of the Endorsement CIP it populates
parts of these 9 strands
Endorsed CIP Overview



The questions are obviously tuned to demonstrating your compliance
with the Construction Commitments

They often seek documented policies, procedures and processes that
record how things are done and when

The wider aspect of Sustainability is introduced over and above the
Environmental levels of the base CIP for Accredited status

Unlike the base CIP for Find It In Sandwell, which looks at
performance at company level, a lot of emphasis moves to how
performance is measured at individual project level

The greatest emphasis is on how you select, manage and integrate
your supply chain, how you “impose” the Construction Commitments
on them and how you measure each others respective performance

Half the questions relate to how you interface with and manage your
sub contractors.

In terms of the CIP supply chain covers clients, partners, sub
contractors and suppliers – it works toward both ends of the chain
Consideration of the Endorsed CIP Emphasis


It will be quite difficult to apply relevant procedures and controls on
your supply chain unless:

A. They have their house in order and are also Construction
   Commitments ready; or

B. You have sorted out your own in-house operations sufficiently to
   start transferring some of that to your weaker supply chain
   members

Why this emphasis on the supply chain?

To gain the ripple effect the Government wishes to harness by
applying the Construction Commitments to Public Sector Clients, who
apply it to their principal supply chain who apply it to their sub
contract supply chain – and so on
Training Programme for the Endorsed Level



If you wish to upgrade to the Endorsed level on CIAPS you will need
to undertake another 10 days of training

These will cover the 6 Construction Commitments providing the
underpinning knowledge necessary for you to formulate your
responses to the Endorsed status CIP and requirements

As you progress through the programme we recommend that you
tackle any new work on processes, policies, procedures, etc. after
each part:

(a) While it is fresh in your mind

(b) Before you have a lot of things pile up at the end of the
    programme

Content for your handbook relative to each course will be issued as
the programme proceeds

We also recommend that you start discussions with your principal
supply chain to gauge their commitment and attitude to joining you
on the Construction Commitments journey – you wouldn‟t want them
to hold you back!
Course Content




The following slides contain the Course Content sheets for the 10 day
programme covering the 6 Construction Commitment topics of:

1. Procurement & Integration
2. Commitment to People
3. Client Leadership
4. Sustainability
5. Design Quality
6. Health & Safety
Procurement & Integration


Module 1 – Procurement & Integration (2 Days)
              Learning Outcome                           Assessment Criteria                    Underpinning Knowledge                   Course Material/Resources
At the end of this module you will Self Assessment Exercises –                           This includes:                         The module covers the following key
understand the principles and processes of: Comparison of perception of current         Value based selection criteria        issues through a series of presentations,
Supplier selection at the start of a project, position in relation to best practice     Roles & responsibilities of project   group exercises and supported with case
before significant design has taken place,     learning at the end of the course.        leader, integrated team members,       studies and examples from real
using criteria other than price                Feedback of syndicate discussions on     cluster leaders                        frameworks and projects in the Public and
Development of single integrated teams        a number of topics during the course      Open book cost model template         Private Sectors:
that design, manufacture and assembles         of the training.                          RACI chart template                   Principles and practicalities of supplier
the project through a series of                Road maps, personal and                  Examples of framework agreements      selection based on value criteria
clusters/product teams                         company/project specific action plan at   Last Planner                          Framework agreements and collaborative
Integrated costing                            end of course.                            Lean construction techniques          contracts
The establishment of long term                                                                                                 Establishing and managing projects
framework agreements and collaborative                                                                                          through an integrated team – from
contracts that lead to a ‘win/win’ situation                                                                                    clients/end users to 2nd and 3rd tier supply
Managing suppliers to ensure long term                                                                                         chain members
sustained improvements in performance                                                                                           developing clusters and identifying
Identify the benefits of off-site fabrication                                                                                  cluster leaders
and manufacture and on site assembly to                                                                                         Integrated processes and defining roles
time, cost, quality and health and safety                                                                                       and responsibilities – RACI charts
                                                                                                                                Suppliers and users involved in design
                                                                                                                                and planning from the start
                                                                                                                                Planning for construction in detail design
                                                                                                                                Involving suppliers in the schedule
                                                                                                                                development
                                                                                                                                Principles and process for integrated
                                                                                                                                costing
                                                                                                                                What are the key challenges to
                                                                                                                                understanding the raw elements of cost
                                                                                                                                and developing target cost rather than
                                                                                                                                pricing
                                                                                                                                Project planning & control – Last Planner
                                                                                                                                Lean construction techniques
Health & Safety

Module 2 – Health and Safety (1 Day)
               Learning Outcome                                    Assessment Criteria                           Underpinning Knowledge                               Course Material/Resources
At the end of this Module, you will have          Continuous assessment of the Module throughout     The content of the Module assumes a certain The module covers the following key issues, using a series of
foundation knowledge in, and a basic              the day will be carried out using the following:   knowledge of :                              presentations, group discussions and question and answer
understanding of :                                Test scoring sheets.                              The Health and Safety Executive.           sessions.
An overview of Health and Safety in the          Self assessment exercises.                        The Health and Safety at Work Act.         Construction industry Health and Safety overview / background.
Construction Industry.                            Personal / corporate development plans.           The Construction (Design and                  - why health and safety?
The Construction (Design and Management)                                                            Management) Regulations.                      - humane, moral, social.
Regulations 2007.                                                                                    The Association for Project Safety.           - legal.
The roles and responsibilities of duty holders                                                      The principles of prevention.                 - cost (getting it wrong / failure).
under the Regulations.                                                                               Measurement of competence.                 Incidence rates / accidents /
An introduction to design risk management.                                                          Construction Clients Group.                Deaths.
An introduction to project Health and Safety                                                        Constructing Excellence.                      - statistics.
documentation.                                                                                                                                      - reporting.
An introduction to training on site.                                                                                                            Construction (Design and Management) Regulations.
                                                                                                                                                 1994 Regulations
                                                                                                                                                    - Difficulties.
                                                                                                                                                    - Death of the planning supervisor.
                                                                                                                                                 2007 Regulations.
                                                                                                                                                    - Introduction.
                                                                                                                                                    - Aims.
                                                                                                                                                    - Notifiable projects.
                                                                                                                                                    - Approved Code of Practice
                                                                                                                                                 Competence.
                                                                                                                                                    - What is competence?
                                                                                                                                                    - Demonstrating competence.
                                                                                                                                                 Duty Holders.
                                                                                                                                                    - Client.
                                                                                                                                                    - C.D.M. Co-ordinator.
                                                                                                                                                    - Designers.
                                                                                                                                                    - Principal contractor.
                                                                                                                                                    - Other contractors.
                                                                                                                                                 Project Management.
                                                                                                                                                    - Design risk management
                                                                                                                                                    - Permanent works
                                                                                                                                                    - Temporary works.
                                                                                                                                                 Project Health and Safety documentation.
                                                                                                                                                    - Risk assessments
                                                                                                                                                    - Risk registers
                                                                                                                                                    - Method statements
                                                                                                                                                    - Pre-Construction Health and Safety information.
                                                                                                                                                    - Construction phase Health and Safety plan.
                                                                                                                                                    - Health and Safety file.
                                                                                                                                                 Training on site.
                                                                                                                                                 Selection.
                                                                                                                                                    - Industry schemes
                                                                                                                                                    - Site induction.
                                                                                                                                                    - Toolbox talks.
Design Quality & Commitment To People

Module 3 – Design Quality (1 Day)
                 Learning Outcome                                 Assessment Criteria                           Underpinning Knowledge                        Course Material/Resources
At the end of this module you will:                   Self Assessment Exercises – Comparison of       This include:                               The module covers the following key issues:
Understand the principles and processes of           perception of current position in relation to
                                                                                                Design Process Map                               How to keep a constant focus on the clients
collaborative design management                       best practice learning at the end of the  Cluster Design Interface Register template       needs (based on functional specification)
Ensure that all key parties to a project including   course                                    Design Roles & Responsibilities                  Formalising the process for design to optimise
client, contractor, designers and suppliers           Feedback of syndicate discussions on a Whole Life Cost Analysis Model                      functionality and minimise cost using:
contribute all their ideas for optimising             number of topics during the course of the Value Management & Planning                      - Value management and
functionality and value for money as well as whole    training                                  Techniques                                        - Value engineering
                                                                                                                                                  Design facilitated by contractor with single point
life costs                                            Road maps, personal and company/project Cluster & Project-based value Engineering          responsibility for project
Effective planning and sequencing of design          specific action plan at end of course     Techniques
activities                                                                                                                                        Suppliers and users involved in design from the
Cluster design interface registers                                                                                                               start
                                                                                                                                                  Risks analysed and shared on rational basis
                                                                                                                                                  Electronic communication of design and Building
                                                                                                                                                  Intelligent Models




Module 4 – Commitment To People (2 Days)
                 Learning Outcome                                Assessment Criteria                            Underpinning Knowledge                       Course Material/Resources
At the end of this module you will understand the Self Assessment Exercises –                         This includes:                              The module covers the following key issues
principles and processes of:                       Comparison of perception of current               Local supply chain selection criteria        through a series of presentations, group
Engaging and sustaining Local SME supply chains   position in relation to best practice learning     Local community project officers roles &     exercises and supported with case studies and
Engaging and sustaining the local community       at the end of the course                           responsibilities                              examples from real frameworks and projects in
Engaging and sustaining Local Business                                                               Training analysis model                      the public and private sectors:
                                                   Feedback of syndicate discussions on a
Engaging and Sustaining local training and skills number of topics during the course of the          Change management process                   Prioritising Commitment To People into the
colleges                                           training                                           Policy Templates for:                        supply chain selection criteria
Engaging, retaining, developing and mentoring                                                          - equal opportunities                      Focus framework agreements and collaborative
your own people                                    Road maps, personal and company/project             - csr                                       contracts on sustainable people, community
Achieving excellent ratings on the Considerate    specific action plan at end of course                - people & training                         and skills development
Contractors Scheme                                                                                                                                 Establishing and managing training analysis,
Implementing CSR on projects effectively                                                                                                           needs, plans and implementation
                                                                                                                                                   Incentivisation, motivation and recognition of
                                                                                                                                                    efforts and rewards
                                                                                                                                                   Framework and project corporate social
                                                                                                                                                    responsibility
                                                                                                                                                   Principles and Process for adopting
                                                                                                                                                    collaborative behaviours and managing change
Sustainability & Client Leadership

Module 5 – Sustainability (2 Days)
               Learning Outcome                                   Assessment Criteria                   Underpinning Knowledge                               Course Material/Resources
At the end of this module you will understand:       Self assessment of organisations current Includes:                                            The module covers the following key issues
 UK Strategy for Sustainable Construction           position in relation to key sustainability  Construction Industry Sustainability             through a series of presentations, group
 Construction Clients Commitments                   principles.                                  Strategy, milestones and targets                 exercises, supported with inspiring case
 Principles of sustainability                       Sharing and learning of sustainability  Principles of Sustainability and                     studies and examples:
 Principles of waste management                     approaches and best practice through         Sustainable Construction                          Principles & Processes of Sustainable
 Deployment of practical sustainable                facilitated group discussions.              Policy templates for:                              Construction
  construction                                       ‘Route to Zero’ roadmap and strategy         - Sustainability                                  How to roadmap a route to zero strategy
 Benefits from sustainability to:                   matrix mapped against construction           - Environment                                      including:
  - Project                                          industry and government targets to 2019      - Waste management                                 - Policy and strategy
  - Framework                                                                                                                                        - Process and standards
  - Client & end Users                                                                                                                               - People
  - Supply chain                                                                                                                                     - Leadership
  - Community                                                                                                                                        - Resources
  - Society                                                                                                                                          - Suppliers and partners
                                                                                                                                                     - Performance monitoring
                                                                                                                                                    Engaging and enabling the supply chain
                                                                                                                                                    Engaging and enabling local community
                                                                                                                                                    How to commence and effectively
                                                                                                                                                     implement a 10 year sustainable
                                                                                                                                                     construction strategy

Module 6 – Client Leadership (2 Days)
                 Learning Outcome                                  Assessment Criteria                        Underpinning Knowledge                         Course Material/Resources
At the end of this module you will understand:       Personal, Communications and Team styles       This include:                                  The module covers the following key issues
How to build the team and work effectively when     self-assessment exercises will be completed.   Roles & responsibilities of project leader,   through a series of presentations, assessments,
collaborating, so that the project objectives are    Comparison of perception of collaborative      integrated team members, cluster leaders.      group exercises and supported with case studies
achieved.                                            working current position in relation to Best   AIMS chart to define objectives.              and examples from real projects:
The role and responsibilities of each stakeholder   Practice learning at the end of the course.    Transactional analysis and ego states.        Establishing and leading projects through an
and the behaviours to adopt in a variety of          Feedback of syndicate exercises and            Jung personal and communications styles.      integrated team – from clients, end users to 2nd
relevant situations and their relationships.         discussions on a number of topics during the   Belbin team types.                            and 3rd tier supply chain members
How to manage the critical success factors of the   course.                                        Collaborative working.                        Developing clusters and identifying cluster
project and ensure the adoption of collaborative     Development of personal and                    VALiD values studies                          leaders
working.                                             company/project specific action plans          Key Performance Indicators (KPI’s).           Integrated processes and defining roles and
How and why the degree of integration will be       throughout course and summarised at the                                                       responsibilities – RACI charts
measured.                                            end.                                                                                          Lean improvement techniques
How to make plans to apply the learning back in
the workplace.
CIAPS Membership Benefits


There are many benefits but the three key ones to be discussed today
are:

1. National exposure of your data (Accredited & Endorsed)

2. Public Sector competitive advantage of Endorsement (Endorsed)

3. Unique insurance offer (Accredited & Endorsed)
Membership Benefits


A key financial benefit that you should be exploring ready for your insurance
renewal dates is the offer from Zurich UK Commercial

Any company which is Accredited or Endorsed via the CIAPS scheme will
receive preferential premium rates for their insurances

There is also a unique rebating scheme for those companies who have:

1. Achieved   CIAPS     Accredited   or    Endorsed     status    and    maintain   their
   certification; and
2. Insured their Employers Liability, Public Liability and Contractors All Risks
   with Zurich; and
3. Continued to renew the cover policies in subsequent years

Companies meeting       these   criteria   will   be   rewarded    for   their   superior
performance

To contact Zurich UK Commercial and find out how it could affect your
insurance premiums, ask your insurance broker to call Peter Furness at Zurich
on 0121 697 8789 or mail him at peter.furness@uk.zurich.com and quote
“CIAPS/Zurich Insurance Facility”

Rebate scheme terms follow on next slide
Zurich UK Commercial Rebate Scheme


Subject to renewal, if on the Annual Review Date (12 months after
the expiry of each period) the total claims paid and outstanding for
the relevant period of insurance do not exceed 60% of the net
adjusted premium for that period, a rebate calculated in accordance
with the following will be allowed:

                                          Accredited    Endorsed
                                          Status        Status
If there are no claims                    15%           20%

If claims do not exceed 40% of premiums   10%           15%

If claims do not exceed 50% of premiums   7.5%          10%

If claims do not exceed 60% of premiums   5%            5%

The expression ‘Claims’ means actual claims payments, legal, medical
or other expenses and reserves for outstanding claims.

The expression ‘Net Adjusted Premium’ shall mean a premium net of
commission calculated following declarations for the relevant period
of insurance

Any rebate allowed is subject to subsequent annual recalculation until
all claims for that year have been settled or terminated.
06




3rd Party Certification Body
Selecting Your UKAS Registered Accreditation Body



To obtain Accreditation status on CIAPS you must be certificated by an
independent 3rd party Accreditation body which is accredited by UKAS –
you have a free choice which organisation you choose. A full list of UKAS
accredited QMS bodies can be found at:

http://www.ukas.com/About-
Achttp://www.bmtrada.com/index.phpcreditation/Accredited-
Bodies/certification-body-schedules.asp

To date only 1 UKAS accredited body has worked with CIAPS to establish
the CIAPS baseline standards – which is B M Trada

http://www.bmtrada.com/index.php

If you do not select an alternative body, CIAPS will assign your
certification to B M Trada and it will be charged at the preferential rate
agreed between them
Economic Benefits of Combining All Certifications
                         With One Company



You may already have other management systems certificated by a UKAS
accredited body, e.g. BSI, SGS, Lloyds Register, NQA, TUV, etc.

Such systems would typically be management systems to ISO standards
such as 9001, 14001 and OHSAS 18001

In the long term, you may obtain financial benefit from having your
CIAPS certificated by your existing body – they generally discount costs
when more than one scheme is certificated by them

Currently if you chose an alternative to B M Trada they will have to
familiarise themselves with the CIAPS system and its auditing – possibly
at your cost if it is a one-off for them

It may be better to use B M Trada for the first year of your Accreditation
status and consider making a change at the anniversary renewal date
BM Trada‟s Construction pedigree



CIAPS chose BM Trada because of their pedigree in construction

B M Trada are the certification body for a range of industry schemes:

UKTFA Q Mark - The UK Timber Frame Association (UKTFA) is the trade association for
UK timber frame manufacturers and the sector's key suppliers. BM Trada carries out all
the audits and certification for the UKTFA Q-Mark scheme

BESCA - Building Engineering Services Competence Accreditation (BESCA) is the
building service industry’s Competent Persons Scheme for the notification of commercial
and domestic heating, ventilating, air conditioning and refrigeration (HVACR) work under
the 2006 Building Regulations for England and Wales. BM Trada carries out all of the
inspection audits on behalf of BESCA to verify that business systems and technical
competence are sufficient to meet the self-certification standards required by the Building
Regulations.

Worksafe is an occupational health and safety scheme that has been jointly developed
by the Confederation of Associations of Specialist Engineering Contractors (CASEC) and
BM TRADA Certification for the Northern Ireland marketplace. BM Trada audits all firms
who register with the Worksafe scheme.
BM Trada‟s Construction pedigree



TrustMark is the initiative between Government, consumer groups and the building
industry designed to protect consumers from cowboy tradesmen and help people find
reputable firms to do repair, maintenance and improvement work inside and outside the
home. All TrustMark registered firms are audited and monitored by approved scheme
operators and must comply with the TrustMark standards, which include an assessment
of the firm’s technical skills, trading record, financial position, insurances, health and
safety practices and customer care. BM Trada is one of the scheme’s registered
operators and is licensed to award the TrustMark logo to firms operating within the
domestic sector.

HVCA - The Heating and Ventilating Contractors’ Association (HVCA) represents firms
who design, install, commission and maintain heating, ventilating, air conditioning and
refrigeration. All HVCA members are subject to a regular independent third party
inspection and assessment audit to verify their technical competence and commercial
capability. BM Trada carries out all of the inspection and assessment visits for HVCA .

Q Mark & Chain of Custody – B M Trada also operates other schemes relating to
construction such as Q Mark for products and Chain of Custody schemes for timber and
timer products

The reason for choosing B M Trada is that they understand your
industry
Role of the Certification Body




The role of the independent certification body is to:

 Know the requirements of the recognised standard to which
  certification is required – in this case the CIAPS system

 Devise a scheme of assessment to the standard

 Undertake assessment of compliance with the standard by
  applying audits in accordance with BS EN 45011:1998

 Certify compliance

 Apply ongoing audits at regular frequencies to monitor continual
  application of the standard

 Report on non conformances found during audit and monitor the
  clearance of these non conformances

 Suspend or withdraw certification if major or continuous non
  conformance is found
Role of the Certification Body



 Essentially – the role is to check
that you do what you say you do!
07




Audits
Discussion – What Is Your Experience of Being
                              Audited?

What are your experiences of being subjected to audits by others?

Positive or Negative? - Who made it negative?

Were you doing what you said you did?

Did you try and pull the wool over the auditors eyes?

Were they helpful? Did you invite feedback based on their experience
and the best practices they see elsewhere?


  Positive                      Negative
  Relaxed                       Tense or confrontational
  Helpful advice                Unhelpful interference
  Well prepared                 Ill prepared
  Do what we say                Wrote what they wanted to hear
  Hunter                        Hunted
The auditors purpose is only to gather objective evidence of
compliance – and their conduct and methods are regulated by a BS
Golden Rules – Do‟s


1. The Auditor is looking for evidence of commitment to the system and intent
   to make it work – honesty is always the best policy, particularly as an
   honest admission can stop a lot of embarrassing and enlightening digging

2. Have everything available that they may want to see – so, if your HR records
   are at another location, have them at your offices the day they visit you.

3. Prepare for their visit – have a management diagram and telephone list
   available listing who works for you and what they do (Make sure the
   management diagram matches the one you upload to CIAPS!) Have a list of
   projects available

4. Prepare the staff for the visit too – if you are all working to your
   documented systems there will be no preparation needed, but it often helps
   to remind people of the basics so that when asked they point the auditor in
   the right direction

5. Get a working lunch in – they will rarely spend time having an extended
   lunch or accept one

6. Be relaxed and friendly – they are there to help you – it isn‟t a trip to the
   dentist

7. Be prepared to take them to one or two sites if they ask to go there
Golden Rules – Dont‟s


1. Don‟t try and hoodwink or mislead the auditor – they really have seen and
   heard it all before

2. Don‟t frustrate them or waste their time – if you haven‟t got what they
   want or it really has gone missing then say so, they won‟t go away just
   because you keep them hanging around

3. Continuously say “We haven‟t got any of those going on at the moment” to
   everything they ask for

4. Falsify records – “wet ink” is evident in so many ways!

5. Write procedures and policies that you do not work to or that your
   workforce have never heard of or seen – that can only have one outcome

6. Leave it until the week or day before the audit to start preparing for it – if
   you have an annual CIAPS management plan it must include the date of 3rd
   party audits and your time based strategy to be prepared for them

7. Put up a barrier to having a relaxed relationship

8. Underestimate the power of and need for Top Management support of any
   management system – your example is the excuse for others not to take it
   seriously too!
Certification Body Focus


They are looking for objective evidence




It will demonstrate whether or not you
have all the things you claim and if you
   are working to your documented
         policies and procedures
Exemptions



If you already have 3rd party certificated systems which are current the
auditor may decide to exempt these from the CIAPS audit on the basis that a
UKAS Accredited body has already audited and certificated them

Possible exemptions are:

1. Quality – ISO9001:2008

2. Environmental Management – ISO14001:2004

3. Occupational Health & Safety – OHSAS18001:2007

The 3rd Party Certification body which you chose to engage will advise on this
matter

If the chosen body also certificates one or more of these systems for you it is
more likely to exempt them
How Does The Find It In Sandwell Audit Process
                                   Work

The information you upload to your Find It In Sandwell CIP will be made
available for the Council‟s Contract Assessment Team to view on line

They will check your uploaded information and documents for evidence such
as:

 Authenticity, e.g. you are entered on registers for which you claim to hold
  certificates such as CHAS and that their expiry dates have not elapsed

 Compliance with statutory requirements where appropriate, e.g.non VAT
  registration Vs turnover

 Compliance with uploaded documented procedures, e.g. Policy review
  dates Vs frequency

 Work that is claimed to have been done for the Council or its Principal
  Contractors can be validated

 Etc.

They may undertake online desk top audits, telephone audits or make visits
to your premises and sites.
How Does The CIAPS Audit Process Work


The information you upload to your Find It In Sandwell CIP will be
made available for the Certification body to review on line

They will check your uploaded documents for evidence such as:

 Authenticity, e.g. you are entered on registers for which you hold
  certificates

 Expiry dates

 Compliance with minimum standards where appropriate, non VAT
  registration Vs turnover

 Compliance with uploaded     documented    procedures,   e.g.   Policy
  review dates Vs frequency

 Correlation between CIP answers and documentation provided, e.g. A
  simple Quality Policy is not offered as a Quality Management System

 Do numbers of employees on training plans resemble the number of
  employees stated to be within the company

 Etc.
How Does The CIAPS Audit Process Work

They will then move on to the Listed Self Certification questions to plan
their audit visit:
 Question Set           Listed Self Certification Questions

 Financial              Fin05 – Fin22 – Fin23

 Insurance              Ins07 – Ins08

 Health & Safety        HS04 – HS06 – HS07 – HS08 – HS10 – HS12 – HS17
                        - HS19
 Environmental          Env04 – Env06 – Env07 – Env09 – Env11 – Env16 –
                        Env21
 Quality                Qas01 – Qas06 – Qas07 – Qas08 – Qas09

 Human Resources        HR01 – HR04 – HR05 – HR06 – HR10

 Equal Opportunities    Eop01 – Eop03 - Eop04 – Eop06 - Eop07 – Eop08

 Training               Trg05 – Trg07 – Trg13

 Technical              Tec01 – Tec02 – Tec03 – Tec09

 IT                     IT04 – IT05 – IT06 – IT07

Let us quickly revisit these 47 questions and be clear what you have
guided them towards and what they might seek as evidence
Listed Self Certification Financial Questions



Here are the answers that will steer the auditor to ask for evidence -
they are the targets you have set

Do not forget that for the questions shown blue you will have
uploaded documents which the Audit Body will have checked on line



              Are the company's accounts formally audited or can
 Fin05
              evidence of systematic book-keeping be provided?
              Is the company / business appropriately registered
 Fin22
              with HMRC’s Construction Industry Scheme?
              Does the company adhere to the Government’s ‘Fair
 Fin23
              Payment’ guidance for construction procurement?
Listed Self Certification Insurance Questions




         Are sub-contractors' insurances checked and
Ins07
         recorded?
         Does the company have appropriate and adequate
Ins08    insurance to cover the liabilities resulting from its
         current commercial activities?
Listed Self Certification Health & Safety Questions


       Does the company have a written health & safety Policy or
HS04
       Statement?
       Is the company’s H&S policy readily available to all employees in a
HS06
       format that is easily understood?
HS07   Has relevant H&S training been given to all employees?
       Are ‘on-site’ risk assessments routinely undertaken and
HS08
       implementation actions undertaken?
       Does the company document and monitor the H&S competency and
HS10
       practices of its sub contractors?
       Does the company have a written smoke-free policy that is readily
HS12
       available to all staff?
       Can the company demonstrate that it understands its obligations
HS17   under the CDM (2007) Regulations and that it has ready access to
       the attendant HSE ACoP (Approved Code of Practice)?
       Does the company have ready access to appropriate H&S expertise
HS19
       and advice?
Listed Self Certification Environmental Questions



        Does the company have a written environmental policy
Env04
        or statement?
        Does the company have procedures to demonstrate
Env06   that the policy has been made available and explained
        to all employees?
        Has environmental awareness training been given to all
Env07
        relevant employees?
        Can the company demonstrate that it complies with the
Env09   statutory waste disposal requirements including
        hazardous waste?
        Does the company document and monitor the
Env11   environmental management competency and practises
        of its subcontractors?
        Does the company register eligible sites with the
Env16
        Considerate Constructors Scheme?
Listed Self Certification Quality Questions




        Does the company have a written Quality Assurance
Qas01
        Policy or Statement?
        Are regular performance reviews undertaken with
Qas06
        Clients?
        Does the company document and monitor the
Qas07   quality assurance procedures / practices of its
        subcontractors?
        Does the company operate a formal (written)
Qas08
        customer complaints procedure?
        Does the company have a formal procedure to
        ensure all employees are aware of, and act in
Qas09
        accordance with, the company's complaints
        procedure?
Listed Self Certification Human Resources Questions




        Are the 'Terms & Conditions of Employment' with
HR01
        the company fully documented?
        Does the company issue 'Contracts of Employment'
HR04
        to all employees?
        Does the company have a written disciplinary and
HR05
        grievance procedure?
        Does the company have a written Redundancy
HR06
        Policy?
        Is a stakeholder pension scheme or equivalent
HR10
        offered to all eligible employees?
Listed Self Certification Equal
                    Opportunities Questions



        Does the Company have an ‘Equal Opportunities' or
Eop01
        ‘Equity' policy or statement?
        Is the company's equal opportunities policy readily
Eop03   available to all employees in an easily understood
        format?
        Does the company comply with statutory obligations
Eop04   to applicants for employment under the equality and
        non-discrimination legislation?
Eop06   Does the company have an Age Discrimination policy?
        Is a record kept of the gender, ethnicity and any
Eop07
        disabilities of all employees?
        If requested, can the company provide staff diversity
Eop08
        statistics and reports?
Listed Self Certification Training Questions




        Does the company provide new employees with
Trg05
        detailed induction training?
        Does the company keep records of all employee
Trg07
        training / qualifications / experience?
        Does the company operate a formal training (or
Trg13
        personal development) plan for all staff?
Listed Self Certification Technical Questions




         Does the company have access to the current BSI
Tec01    and other industry standards that are relevant to
         their operational sector?
         Does the company have access to the current
Tec02    construction Regulations relevant to their
         operational sector?
         Is the company registered with the self certification
Tec03
         scheme that covers each sector in which the
         company operates?
         Are all company staff registered with the relevant
Tec09
         Government competent persons schemes / registers
         for the skills the company requires them to use?
Listed Self Certification IT Questions


             Does the company have a written business system
 IT04        recovery programme (within 24 hours) in the event
             of a disaster?
             Does the company have a regular offsite data back
 IT05
             up procedure in operation?
             Does the company regularly update its anti-virus
 IT06
             and firewall protection?
             Does the company hold legitimate licenses for the
 IT07
             IT software it uses?


The auditors will want to know that your answers to all these
questions can be proven – evidenced – in your offices and on site
before they consider moving on to anything else over your ongoing
audits

Note that they will want to visit some sites and will speak to
employees and sub contractors
Audit Frequency



Your Accreditation and Endorsement audits will be undertaken
annually


You will receive ample notice of them when the 3rd Party Certification
body contacts you to arrange the visit date


They should already be on your CIAPS annual management plan
Non Conformances




If the 3rd Party Certification body find that there are discrepancies of
considerable concern they will raise Non Conformance notifications
which require action to put things right within a defined timescale

Typically less serious Minor non conformances may be given up to 8
weeks to be corrected before the 3rd Party Certification body re-audits

More serious Major non conformances may only be allowed up to 4
weeks for correction prior to re-audit
Dealing With Reported Non Conformances


If you do receive a Non Conformance notice it should be looked upon
positively, as an opportunity to improve your performance and an
opportunity to investigate why things went wrong and take both preventive
and corrective action to avoid it recurring

It is always wise to discuss your proposed corrective action with the
auditor to make sure that the outcome of your ideas for resolving matters
will be acceptable

Deal with these matters as a matter of urgency – do not put off the evil day
when you have to resolve matters

Be aware that failure to resolve a Non Conformance notice may result in it
being escalated – Minor up to Major and Major up to Suspension!

You should also be aware that audit fees do not allow for non conformance,
so a revisit to clear non conformance notices may be charged as an addition
to your account


Do not forget that your audit reports will be uploaded to your CIP – so
Clients that have been allowed to see your information will be able to see
these reports and any Non Conformance notices you receive
Prevention & Correction




The auditor will expect to see two types of response to a Non
Conformance considered:

1. Correction – action taken to deal with the specific problem
   identified

2. Prevention – consideration given to how or why the problem
   occurred and whether any of your processes and procedures
   should be adjusted to reduce the possibility of the problem
   occurring again
What Will The Endorsed Audit be Like?




By the time you are ready for the Endorsement audit:

1. You will have uploaded a new batch of CIP information relating to
   the Construction Commitments

2. You may have uploaded more documents to CIAPS to evidence
   your application of the Construction Commitments

The 3rd Party Certification Body will approach the Endorsed status
audit in the same way as your initial Accreditation status audit
08




    Accreditation &
Endorsement Timeframes
Listed Status


         We saw on Day 1 how long it will take to achieve Listed status on Find
         It In Sandwell



                                                You Are Here



     Week 1              Week 2          Weeks 3 & 4           Week 5 to 8        Week 9

    Online
                                      Participation in 2
Application to       Arrangements
                                        Day Training                         Achievement of
join Find It In      made for 2 day                         Completion of
                                       Programme &                              Find It In
  Sandwell’s            training                           your online CIP
                                      commence your                          Sandwell Listing
 construction         programme
                                         online CIP
   database




              Your online CIP should be completed within the 8 week timeframe
How Long Will it Take to Attain Accreditation Status?


            Typically the Accreditation process follows a programme as shown
            below




               Weeks 1        Week 4        Weeks 6       Week 13        Week 35         Weeks        Weeks 39      Week 52
                to 3                         to 12                                      36 to 38       to 52


               Apply to                                  Year 1       Invitation to                                 Year 2
                              Apply for                                  Renew                       Renewal
   CIP         CIAPS for                                Accredited                                                 Accredited
                            Accreditation   3rd Party                 Accreditation   Payment of    Surveillance
completed     transfer to                                 Status                                                    Status
                             Audit & pay      Audit                    Issued by      Renewal Fee     & Audit
  online     their system                               Certificate                                                Certificate
                              audit fee                                                               Period
               & pay fee                                  Issued         CIAPS                                      Issued
How Long Will it Take to Attain Endorsed Status?


            The process to attaining Endorsed status follows an extension of the
            Accreditation programme as shown below

                                                  The 10 Day Training
                                               Programme – typically over
                                                       13 weeks



               Weeks 1        Week 4        Weeks 6       Week 13        Week 35         Weeks        Weeks 39      Week 52
                to 3                         to 12                                      36 to 38       to 52


               Apply to                                  Year 1       Invitation to                                 Year 2
                              Apply for                                  Renew                       Renewal
   CIP         CIAPS for                                Accredited                                                 Accredited
                            Accreditation   3rd Party                 Accreditation   Payment of    Surveillance
completed     transfer to                                 Status                                                    Status
                             Audit & pay      Audit                    Issued by      Renewal Fee     & Audit
  online     their system                               Certificate                                                Certificate
                              audit fee                                                               Period
               & pay fee                                  Issued         CIAPS                                      Issued




                                                               You have time to Implement
                                                               and Embed the Construction
                                                                Commitments before the
                                                                annual Accreditation audit
                                                                   comes around again
09




Your Action Plan
  Day 2 Close
Your Action Plan




      Discuss

What is your plan now
to complete your CIP
        fully ?

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2 day fiis listed training day 2 edition d 240110

  • 1. Find It In Sandwell Construction Industry Listed Status Course Day 2
  • 3. 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
  • 4. Day 2 Objectives Today‟s Objectives : 1. To assist you with answering the CIP questions and uploading documents if necessary 2. To see how others might view your CIP 3. To review how you can manage and use your CIP 4. To consider your future choices for upgrade to CIAPS membership 5. To review the Accreditation & Endorsement process 6. To ensure you have understand some of the benefits of CIAPS membership 7. To review auditing and choice of independent audit bodies 8. To consider timeframes for Accreditation and Endorsement 9. To review your Action Plan
  • 6. Your Action Plan - Progress Hopefully, since Day 1 of this Accreditation course your Action Plan has got a lot smaller The number of Reds will have decreased substantially and the number of Greens will have increased substantially This first session today should be about any remaining Reds or Ambers on your Action Plan Need to Do or Get that Need to check up on that Got or Do that already or it is Not Applicable
  • 7. Workshop – Group Discussion & Feedback How did you find it?  Feedback?  Questions?  Any system user difficulties?  Any action plans of things your company could or should be doing for the future?  Any clarification still needed?  Any help still needed?  Any lessons learnt?  Does anyone need short term help now or would they like to stay on for a while when we finish today?  How many have now reached Listed status?
  • 8. Important CIP Reminder Do not forget your Company Information Profile and all Uploads must be complete before your profile will be available to other companies
  • 9. 03 Viewing Another Company‟s CIP on Find It In Sandwell
  • 10. Other Users Other than yourselves, there are 3 other User types: A. Level 3 – Sandwell Council‟s authorised Employees B. Level 2 - Other Companies which Sandwell Council consider to be Principal Contractors or Supply Chain managers – i.e. they are seeking sub contractors or sub consultants to work for them on Sandwell Council projects C. Level 1 – Companies who are seeking other companies to work with If you want to use Find It In Sandwell to search for your supply chain you could equally be considered as type C
  • 11. Level 3 Users – Sandwell Council Level 3 users – Sandwell Council – have access to your full information profile. By registering for use of Find It In Sandwell‟s construction listing service you grant full permission for Sandwell‟s authorised employees to have access Sandwell Council will also share this free access with other parts of their organisation to which access to your information may be beneficial to you, e.g. Sandwell Homes
  • 12. Level 2 Users – Sandwell‟s Principal Contractors Level 2 users will be Sandwell Council‟s Principal Contractors who will be encouraged to use local companies in preference to other suppliers when undertaking Sandwell Council works When Principal Contractors are tendering for work with Sandwell Council, or they have been awarded work, they will be able to gain access to your full Company information profile for a limited period of use – 72 hours. Once they have seen your full information they are expected to open formal dialogue with you should they wish to. By registering for use of Find It In Sandwell‟s construction listing service you grant full permission for Sandwell‟s authorised employees to grant limited access to Principal Contractors
  • 13. Level 2 Users – How Do They gain Access? They will be able to see your Dashboard overview information just the same as any Level 1 user – we will show you how next Once they have seen enough of your Dashboard to determine their real interest they will e mail Sandwell‟s administrator and your primary contact asking for permission to gain access to your full Company Information Profile Your Primary contact e mails back to both parties either granting or refusing permission to see your full CIP for 72 hours If permission is granted, Sandwell Council‟s administrator opens the gateway to your information for 72 hours. Once they have seen your full information they are expected to open formal dialogue with you should they wish to.
  • 14. Level 2 Users – What Can They See? Like Level 3 users (Sandwell Council) the Principal Contractors granted Level 2 access for 72 hours will be able to see:  All of you Company Information Profile answers  Your uploaded documents  Your Graydon financial probity report
  • 15. Level 1 Users – What Can You and Any Other Users See? Anyone using the Find It In Sandwell Listed service for construction companies can search for other companies and see their overview dashboard of information The simple search routine is shown in the next few slides
  • 16. Level 1 Search Access Go in through the Home page – Select “Request a quote” and then login
  • 17. Level 1 Search Access Select “Search for an existing supplier”
  • 18. Level 1 Search Access In Services Offered – enter “Construction Commitment Compliant” and click on Go
  • 19. Level 1 Schedule of Listed Companies You will be presented with all of the companies who are in the Find It In Sandwell Listed group Select “View mini site” for the company you wish to look at
  • 20. Level 1 Information You will see the company‟s descriptive page and the logo Select “View Profile” under the logo
  • 21. Level 1 Dashboard Results - 1 The results of a search at Level 1 will be the ability to see the company‟s Overview dash board They cannot progress beyond this point of your information without your permission – there should be enough here for them to decide if they want to ask for more
  • 22. Level 1 Results Dashboard - 2
  • 23. Level 1 Results Dashboard - 3
  • 25. Who Will Manage Your CIP? Sensibly, it would be wise to assign one person in your company to be responsible for managing your Find It In Sandwell profile and information 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 If you have someone who already manages an accredited system, e.g. QA, Environmental Management or Health & Safety they may be best placed to undertake the management task as they will be used to the processes
  • 26. Management Scope & Timetable Your CIP is living data It requires a management regimé – a simple annual management plan, as shown in the next slide, would help keep track month by month Types of Things to consider:  Review dates – e.g. Policies and Statements  Renewal dates – e.g. Insurance and Registrations  New information in a series – e.g. Annual Accounts  Personnel – e.g. Contact Names and “Percentages of”  Status changes – e.g. Introduction of new things via Continuous Improvement which allow a “No” We Don‟t to be changed to a “Yes” We Do You need to set a regular periodic review process for your CIP Manager (perhaps quarterly) Don‟t forget that your performance will be seen by all those tracking you – positive notifications must be your goal
  • 27. CIP Annual Management Plan A simple annual management plan may look like this: Who Is Question Ref Question Status Responsible Frequency JAN FEB MAR APR MAY JUN Gen01 What is the Company's Trading Name Listed Profile RC Annual Update Gen02 Main Office - address Listed Profile RC Annual Update Gen03 Main Office - general contact details Listed Profile RC Annual Update Gen04 Designated CIAPS primary contact Listed Profile RC Annual Update Gen05 Designated CIAPS primary contact address Listed Profile RC Annual Update Gen06 Designated CIAPS secondary contact Listed Profile RC Annual Update Gen07 Is the company part of a group? Listed Profile RC Annual Update Gen08 What unique business identifications do you have? Listed Profile JC Annual Update What are the contact details for the person /department responsible for trading, Trad01 contracts, etc Listed Profile JC Annual Update Trad02 What are the main types of work/trades that the company undertakes Listed Profile TD BiAnnual Update If known, what are the NACE and/or CPV codes for the main types of work Trad03 undertaken by the company, its services and products Listed Profile TD BiAnnual Update Trad04 How many staff does the company directly employ? (Operatives & Admin) Listed Profile AC Quarterly Update Update Trad05 What is the range of project sizes undertaken? Listed Profile RC Annual Update Trad06 What types of contracts are undertaken? Listed Profile JC Annual Update Trad07 On what basis does the company tender? Listed Profile JC Annual Update Trad08 In what regions does the company operate? Listed Profile RC Annual Update How many established supply chains is the company involved in? Trad09 (lead/participate) Listed Profile TD Quarterly Update Update
  • 28. Uploaded Document Management Similarly you must pay attention to the documents you have uploaded which are mandatory and equally obvious for audit: 1. CHAS, Safe Contractor or equivalent H&S certificate 2. Certificate of Incorporation for incorporated companies and any change of name certificates 3. HMRC Certificate of Registration for VAT for VAT registered companies 4. Previous 4 years audited accounts or a certified statement of turnover (certified by your accountant) 5. Quality Policy or Statement 6. Health & Safety Policy or Statement 7. Environmental Policy or Statement 8. Equal Opportunities Policy or Statement 9. Public Liability and Employer's Liability Insurance certificates 10. Complaints Procedure 11. Company's Training Plan 12. H&S Advisor appointment (if applicable) 13. Environmental Advisor appointment (if applicable)
  • 29. CIP Documents Annual Management Plan A simple annual uploaded document management plan may look like this: Who Is Current Edition Current Edition Next Review Doc Ref SUPPORTING DOCUMENTS Responsible Ref Date Date JAN FEB MAR APR MAY D01 Construction Line Certificate AC A 31/03/09 31/03/10 Review Upload D02 Copy of CHAS, Safe Contractor or equivalent certificate TD B 31/03/09 31/03/10 Review Upload Copy of Certificate of Incorporation or Partnership and any change of name Review & D03 certificates RC B 26/05/06 N/A Upload D04 Copy of HM Customs & Revenue's Certificate of Registration for VAT RC B 31/08/06 N/A D05 Copy of latest audited accounts or certified statement of turnover RC 2008 31/05/09 31/05/10 Audit Upload D06 Copy of Company's Quality Policy or Statement JC A 28/02/09 28/02/10 Review Upload D07 Copy of Company's Health & Safety Policy or Statement TD C 28/02/09 28/02/10 Review Upload D08 Copy of Company's Environmental Policy or Statement JC B 30/04/09 30/04/10 Review Upload D09 Copy of Equal Opportunties Policy or Statement JC B 31/01/09 31/01/10 Upload D10 Copies of Public Liability and Employer's Liability Insurance certificates RC C 31/03/09 31/03/10 Renew Upload Copies of Professional Indemnity Insurance and/or All Risks Insurance D11 certificates (if held) RC D 31/03/09 31/03/10 Renew Upload D12 Copy of Complaints Procedure AC X 30/06/09 30/06/10 Review D13 Copy of Company's Training Plan TD T 31/12/09 31/12/10 D14 Diagram of formal Management Structure (if available) RC S 31/12/09 31/03/10 D16 H&S Advisor appointment TD R 30/11/09 30/11/10 D17 Environmental Advisor appointment JC K 31/07/09 31/07/10
  • 30. 05 KPIs & Continuous Improvement
  • 31. Key Performance Indicators You may already be using the industry standard KPIs to measure and benchmark your performance – available at www.kpizone.com Four sector specific sets of KPIs are available: 1. Consultants (Designers and professional advisors) 2. M&E Contractors 3. Construction Contractors (Many different sectors of construction contracting including residential, infrastructure and maintenance) 4. Construction Products There are also two more sets of KPIs for all companies available: 5. Respect for People 6. Environment Enables a good level of KPI measurement and performance monitoring, as well as benchmarking against the industry Can be applied to whole company and/or individual projects Good marketing information
  • 32. Key Performance Indicators Types of KPI measurements in each set of data: KPIs for Construction Products KPIs for M&E Contractors KPIs for Product Manufacturers KPIs for Designers Client Satisfaction (Service or Product) Client Satisfaction Design Customer Satisfaction After Sales Service Client Satisfaction Health and Safety Awareness Client Satisfaction Value for Money Client Satisfaction Installation Customer Satisfaction Delivery Reliability Client Satisfaction Overall Performance Construction Cost Client Satisfaction Quality of O&M Manual Customer Satisfaction Product Quality Client Satisfaction Quality of Service Construction Time Client Satisfaction Service Customer Satisfaction Sales Advice Client Satisfaction Timely Delivery Contractor Satisfaction Payment Overall Client Satisfaction Value for Money Customer Satisfaction Value for Money Client Satisfaction Value for Money Contractor Satisfaction Performance Overall Contractor Satisfaction Payment Overall Environment Energy Consumption Productivity Contractor Satisfaction Provision of Information Defects Environment Packaging Management Profitability Overall Environmental Impact of Installation Environment Transport Movement Training Defects Impact at Handover Process Environment Waste Reduction Predictability Cost Construction Predictability Cost Environment Water Usage Predictability Cost Design Predictability Time People Equality & Diversity Respect for People KPIs Predictability Cost Project Productivity People Qualifications Employee Satisfaction Predictability Time Construction Profitability People Safety at Work Equality & Diversity Predictability Time Design Safety People Sickness Absence Investors in People Predictability Time Project Training People Training Pay Productivity Qualifications & Skills Profitability Safety Safety Contractors All Companies Sickness Absence Variance Cost Construction Environment KPIs Construction Process Performance - Commercial Vehicle Movements Staff Turnover Variance Cost Design Construction Process Performance - Energy Use Training Variance Cost Project Construction Process Performance - Impact on Biodiversity Travelling Time Variance Time Construction Construction Process Performance - Impact on the Environment Working Hours Variance Time Design Variance Time Project Construction Process Performance - Mains Water Use Construction Process Performance - Waste Product Performance - Area of Habitat Created or Retained Product Performance - Energy Use (Designed) Product Performance - Energy Use (Designed) Housing SAP Rating Product Performance - Impact on Biodiversity Product Performance - Impact on the Environment Product Performance - Mains Water Use (Designed) Product Performance - Whole Life Performance However, dependent on your company size you may find these time consuming and expensive Radar Diagram Comparison Benchmarking
  • 33. Using Your Listed CIP for KPIs You can use a lot of the information input into Find It In Sandwell to set up your own KPIs or add to other existing KPIs Some example measurements might be: CIP Trd03 – Expansion of Sectors and/or Services by tracking number of applicable CPV codes CIP Trd18 – No. of projects completed per annum CIP HS09 - % of H&S qualified Site Supervisors CIP Env08 - % Environmentally qualified site managers These are simple measurements to take on an annual basis once you are managing your CIP If you join best practice or benchmarking clubs they may also provide some measurements of achievement
  • 34. Continuous Improvement Continuous Improvement is not accepting that the way you do things is as good as it can be – it can always be done more effectively or efficiently It is vey much what Lean construction is about – look at what you do now and decide how could it be done either to use less resource or to generate more value? In simple terms charting the progress of your company can show improvements and using KPIs to measure and record changes is a good method of being able to show Clients demonstrable improvements like higher Client Satisfaction levels, greater Productivity, less Defects, etc. To create effective Continuous Improvement it is necessary to plan what you will tackle and in what order, so that its results can be measured clearly A Continuous Improvement Plan is required – just like a project programme – showing tasks and actions planned against time CONTINUOUS IMPROVEMENT PLAN FOR INTRODUCTION OF KPIs ACTION BY WHOM? JAN FEB MAR APR MAY JUN JUL AUG SEP OCT NOV DEC Select KPI set RC Subscribe to KPI set RC Gather data for last 6 jobs TD Create 2009 results AC Benchmark Performance on last 6 AC Continue to monitor all future jobs TD Create 2010 results AC Produce comparison report AC
  • 35. Using Your CIP for Continuous Improvement Participation in the Find It In Sandwell Listed CIP can also drive your Continuous Improvement plan Questions you are unable to say Yes to today should go on your future CI Plan as targets to be achieved – with realistic timeframes and priorities All of the questions in the CIP relate to things which are considered best practice so not being able to say Yes to something relevant to your business means you have future goals to achieve if you wish to improve the way you operate
  • 37. 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
  • 38. Your Choices Once you have achieved your Find It In Sandwell Listed status here‟s what you can chose to do: Order • Stay Local on Find It In Sandwell of • Pay nothing Cost FIIS • Manage your CIP Listed £NIL • Upgrade to National on CIAPS £440 • Pay a membership & audit fee + • Do no more to your CIP if it is compliant with CIAPS requirements CIAPS £550 • Gain 3rd party certification of your performance Accredited £500 • Undertake 10 more days of training + • Pay an additional membership fee and training fee £1000 • Implement the 6 Construction Commitments CIAPS + • Gain 3rd party certification of adopting the Construction Commitments Endorsed £550 Remember: VALUE = Cost & You don’t have all the information yet Benefits
  • 39. Differentiation of Independent 3rd Party Certification Explanation of the differences between 1st, 2nd and 3rd party claims Of course I do all the This is the Find It In things you have asked me to Sandwell LISTED level When they work for us they do all the things we have asked them to We regularly check them against a published set of criteria and as long as they 1st Party are still doing it all, we give You say it you an independent about reassurance yourself 2nd Party Someone you This is the CIAPS work with/for says ACCREDITED & it for you ENDORSED levels 3rd Party An independent body says it “To Whom It Concerns”
  • 40. What is Accreditation? There is a popular confusion between Certification and Accreditation. It is commonplace for people to refer to Accreditation when they actually mean Certification. Certification is where compliance of a service, person or product is confirmed against a specified set of criteria - which may be a recognised standard such as a BS or ISO. Accreditation is the process undertaken by a body such as the United Kingdom Accreditation Service (UKAS) who are empowered by the Government to accredit organisations such as certification bodies, inspection bodies and testing laboratories to recognised standards for the services that they provide. It is only when your services are identified within the scope of the UKAS accreditation that an „Accredited Certification‟, for example, can be made. With CIAPS you will become certified by a UKAS assessed 3rd party certification body, e.g. B M Trada, who comply with BS ISO 17021:2006 and are a third- party conformity assessment body Companies who have an accredited certification can display a UKAS numbered Tick mark – such as this one for B M Trada
  • 41. How does CIAPS Accreditation Work? You prepare yourself to comply with the CIAPS standards by completing your CIP which is then subjected to its first audit by your chosen Certification Body Assuming there are no non-conformances the Certification body‟s Certification Board issues a compliance certificate that normally lasts for one year If some problems are found at the audit, but these non-conformances are not too serious they may award a provisional compliance certificate subject to the non-conformances being resolved within a limited time span Regular renewal audits of ongoing compliance are then conducted, usually annually and before the end of the certification period so that continuous certification in not interrupted It is possible that if very serious non-conformance is discovered at audit the compliance certificate may be suspended or withdrawn until the matter is corrected and re-inspection has taken place There are a limited number of questions in your CIP that have mandatory compliance status to achieve Accredited status – which we will look at in more depth today. Providing your CIP is compliant you should pass the audit
  • 42. CIP Questions That Must Be Satisfied for CIAPS Accreditation There are 47 Listed Self Certification questions which must be satisfied for Accredited status – shaded green in day 1 notes Question Set Listed Self Certification Questions Financial Fin05 – Fin22 – Fin23 Insurance Ins07 – Ins08 Health & Safety HS04 – HS06 – HS07 – HS08 – HS10 – HS12 – HS17 - HS19 Environmental Env04 – Env06 – Env07 – Env09 – Env11 – Env16 – Env21 Quality Qas01 – Qas06 – Qas07 – Qas08 – Qas09 Human Resources HR01 – HR04 – HR05 – HR06 – HR10 Equal Opportunities Eop01 – Eop03 - Eop04 – Eop06 - Eop07 – Eop08 Training Trg05 – Trg07 – Trg13 Technical Tec01 – Tec02 – Tec03 – Tec09 IT IT04 – IT05 – IT06 – IT07 More details later
  • 43. What is Endorsement? CIAPS Endorsed status is recognition that you have adopted the philosophies and practices that are required by the 6 Construction Commitments This recognition is provided by 3rd party Certification just the same as the Accredited status Why are the Construction Commitments important to you and your Clients? 1. In the forthcoming run-up to meeting the Government‟s Strategy for Sustainable Construction any company able to demonstrate Construction Commitments adoption to the Public Sector should have differentiation from its competitors 2. Public Sector Clients who can demonstrate that they are using Construction Commitments compliant companies are more likely to get favourable responses from Central Government when applying for funding – thus leading to a better ability to contract work to you Why is this? Because Central Government and the Construction Industry have made a joint commitment to implementing the Construction Commitments in their procurement strategies – see http://www.berr.gov.uk/whatwedo/sectors/construction/sustainability/pa ge13691.html
  • 44. Joint Government & Industry Commitment The June 2008 report “Strategy for Sustainable Construction” committed that in 2010 35% of Public Sector procurement by value would be Construction Commitments compliant and that value to rise to 60% by 2012 The September 2009 progress report re-affirms this target and states the public sector is on track to achieve this
  • 45. New Questions for the Endorsed CIP To achieve Endorsed status you will be required to answer a further series of questions, specific to the 6 Construction Commitments On this course we will not cover these in the detail with which we covered the first series of CIP questions - an overview is given in the next slides The full list of Endorsement CIP questions will be issued to you before you commence the 10 days of training To become Endorsed, you must first gain CIAPS Accreditation as the Endorsement questions build on that status The Endorsement information is entered via 160 questions spread over 6 themed sections that match the Construction Commitments principles, as follows: 1. Procurement & Integration 44 2. Commitment to People 30 3. Client Leadership 25 4. Sustainability 30 5. Design Quality 17 6. Health & Safety 14 TOTAL 160
  • 46. Endorsed CIP Cross Cutting Themes Information from these 6 themed question sets feed into 9 cross cutting themes regarding your organisational performance: 1. Business Practices 10 2. Company Responsibilities 22 3. Environment 13 4. Integrated Team Activities 31 5. Local Community 15 6. Performance Measurement 32 7. Project Activities 9 8. Risk Management 15 9. Staff 13 Total 160 As you complete each themed section of the Endorsement CIP it populates parts of these 9 strands
  • 47. Endorsed CIP Overview The questions are obviously tuned to demonstrating your compliance with the Construction Commitments They often seek documented policies, procedures and processes that record how things are done and when The wider aspect of Sustainability is introduced over and above the Environmental levels of the base CIP for Accredited status Unlike the base CIP for Find It In Sandwell, which looks at performance at company level, a lot of emphasis moves to how performance is measured at individual project level The greatest emphasis is on how you select, manage and integrate your supply chain, how you “impose” the Construction Commitments on them and how you measure each others respective performance Half the questions relate to how you interface with and manage your sub contractors. In terms of the CIP supply chain covers clients, partners, sub contractors and suppliers – it works toward both ends of the chain
  • 48. Consideration of the Endorsed CIP Emphasis It will be quite difficult to apply relevant procedures and controls on your supply chain unless: A. They have their house in order and are also Construction Commitments ready; or B. You have sorted out your own in-house operations sufficiently to start transferring some of that to your weaker supply chain members Why this emphasis on the supply chain? To gain the ripple effect the Government wishes to harness by applying the Construction Commitments to Public Sector Clients, who apply it to their principal supply chain who apply it to their sub contract supply chain – and so on
  • 49. Training Programme for the Endorsed Level If you wish to upgrade to the Endorsed level on CIAPS you will need to undertake another 10 days of training These will cover the 6 Construction Commitments providing the underpinning knowledge necessary for you to formulate your responses to the Endorsed status CIP and requirements As you progress through the programme we recommend that you tackle any new work on processes, policies, procedures, etc. after each part: (a) While it is fresh in your mind (b) Before you have a lot of things pile up at the end of the programme Content for your handbook relative to each course will be issued as the programme proceeds We also recommend that you start discussions with your principal supply chain to gauge their commitment and attitude to joining you on the Construction Commitments journey – you wouldn‟t want them to hold you back!
  • 50. Course Content The following slides contain the Course Content sheets for the 10 day programme covering the 6 Construction Commitment topics of: 1. Procurement & Integration 2. Commitment to People 3. Client Leadership 4. Sustainability 5. Design Quality 6. Health & Safety
  • 51. Procurement & Integration Module 1 – Procurement & Integration (2 Days) Learning Outcome Assessment Criteria Underpinning Knowledge Course Material/Resources At the end of this module you will Self Assessment Exercises – This includes: The module covers the following key understand the principles and processes of: Comparison of perception of current Value based selection criteria issues through a series of presentations, Supplier selection at the start of a project, position in relation to best practice Roles & responsibilities of project group exercises and supported with case before significant design has taken place, learning at the end of the course. leader, integrated team members, studies and examples from real using criteria other than price Feedback of syndicate discussions on cluster leaders frameworks and projects in the Public and Development of single integrated teams a number of topics during the course Open book cost model template Private Sectors: that design, manufacture and assembles of the training. RACI chart template Principles and practicalities of supplier the project through a series of Road maps, personal and Examples of framework agreements selection based on value criteria clusters/product teams company/project specific action plan at Last Planner Framework agreements and collaborative Integrated costing end of course. Lean construction techniques contracts The establishment of long term Establishing and managing projects framework agreements and collaborative through an integrated team – from contracts that lead to a ‘win/win’ situation clients/end users to 2nd and 3rd tier supply Managing suppliers to ensure long term chain members sustained improvements in performance developing clusters and identifying Identify the benefits of off-site fabrication cluster leaders and manufacture and on site assembly to Integrated processes and defining roles time, cost, quality and health and safety and responsibilities – RACI charts Suppliers and users involved in design and planning from the start Planning for construction in detail design Involving suppliers in the schedule development Principles and process for integrated costing What are the key challenges to understanding the raw elements of cost and developing target cost rather than pricing Project planning & control – Last Planner Lean construction techniques
  • 52. Health & Safety Module 2 – Health and Safety (1 Day) Learning Outcome Assessment Criteria Underpinning Knowledge Course Material/Resources At the end of this Module, you will have Continuous assessment of the Module throughout The content of the Module assumes a certain The module covers the following key issues, using a series of foundation knowledge in, and a basic the day will be carried out using the following: knowledge of : presentations, group discussions and question and answer understanding of : Test scoring sheets. The Health and Safety Executive. sessions. An overview of Health and Safety in the Self assessment exercises. The Health and Safety at Work Act. Construction industry Health and Safety overview / background. Construction Industry. Personal / corporate development plans. The Construction (Design and - why health and safety? The Construction (Design and Management) Management) Regulations. - humane, moral, social. Regulations 2007. The Association for Project Safety. - legal. The roles and responsibilities of duty holders The principles of prevention. - cost (getting it wrong / failure). under the Regulations. Measurement of competence. Incidence rates / accidents / An introduction to design risk management. Construction Clients Group. Deaths. An introduction to project Health and Safety Constructing Excellence. - statistics. documentation. - reporting. An introduction to training on site. Construction (Design and Management) Regulations. 1994 Regulations - Difficulties. - Death of the planning supervisor. 2007 Regulations. - Introduction. - Aims. - Notifiable projects. - Approved Code of Practice Competence. - What is competence? - Demonstrating competence. Duty Holders. - Client. - C.D.M. Co-ordinator. - Designers. - Principal contractor. - Other contractors. Project Management. - Design risk management - Permanent works - Temporary works. Project Health and Safety documentation. - Risk assessments - Risk registers - Method statements - Pre-Construction Health and Safety information. - Construction phase Health and Safety plan. - Health and Safety file. Training on site. Selection. - Industry schemes - Site induction. - Toolbox talks.
  • 53. Design Quality & Commitment To People Module 3 – Design Quality (1 Day) Learning Outcome Assessment Criteria Underpinning Knowledge Course Material/Resources At the end of this module you will: Self Assessment Exercises – Comparison of This include: The module covers the following key issues: Understand the principles and processes of perception of current position in relation to Design Process Map How to keep a constant focus on the clients collaborative design management best practice learning at the end of the Cluster Design Interface Register template needs (based on functional specification) Ensure that all key parties to a project including course Design Roles & Responsibilities Formalising the process for design to optimise client, contractor, designers and suppliers Feedback of syndicate discussions on a Whole Life Cost Analysis Model functionality and minimise cost using: contribute all their ideas for optimising number of topics during the course of the Value Management & Planning - Value management and functionality and value for money as well as whole training Techniques - Value engineering Design facilitated by contractor with single point life costs Road maps, personal and company/project Cluster & Project-based value Engineering responsibility for project Effective planning and sequencing of design specific action plan at end of course Techniques activities Suppliers and users involved in design from the Cluster design interface registers start Risks analysed and shared on rational basis Electronic communication of design and Building Intelligent Models Module 4 – Commitment To People (2 Days) Learning Outcome Assessment Criteria Underpinning Knowledge Course Material/Resources At the end of this module you will understand the Self Assessment Exercises – This includes: The module covers the following key issues principles and processes of: Comparison of perception of current Local supply chain selection criteria through a series of presentations, group Engaging and sustaining Local SME supply chains position in relation to best practice learning Local community project officers roles & exercises and supported with case studies and Engaging and sustaining the local community at the end of the course responsibilities examples from real frameworks and projects in Engaging and sustaining Local Business Training analysis model the public and private sectors: Feedback of syndicate discussions on a Engaging and Sustaining local training and skills number of topics during the course of the Change management process  Prioritising Commitment To People into the colleges training Policy Templates for: supply chain selection criteria Engaging, retaining, developing and mentoring - equal opportunities  Focus framework agreements and collaborative your own people Road maps, personal and company/project - csr contracts on sustainable people, community Achieving excellent ratings on the Considerate specific action plan at end of course - people & training and skills development Contractors Scheme  Establishing and managing training analysis, Implementing CSR on projects effectively needs, plans and implementation  Incentivisation, motivation and recognition of efforts and rewards  Framework and project corporate social responsibility  Principles and Process for adopting collaborative behaviours and managing change
  • 54. Sustainability & Client Leadership Module 5 – Sustainability (2 Days) Learning Outcome Assessment Criteria Underpinning Knowledge Course Material/Resources At the end of this module you will understand: Self assessment of organisations current Includes: The module covers the following key issues  UK Strategy for Sustainable Construction position in relation to key sustainability  Construction Industry Sustainability through a series of presentations, group  Construction Clients Commitments principles. Strategy, milestones and targets exercises, supported with inspiring case  Principles of sustainability Sharing and learning of sustainability  Principles of Sustainability and studies and examples:  Principles of waste management approaches and best practice through Sustainable Construction  Principles & Processes of Sustainable  Deployment of practical sustainable facilitated group discussions.  Policy templates for: Construction construction ‘Route to Zero’ roadmap and strategy - Sustainability  How to roadmap a route to zero strategy  Benefits from sustainability to: matrix mapped against construction - Environment including: - Project industry and government targets to 2019 - Waste management - Policy and strategy - Framework - Process and standards - Client & end Users - People - Supply chain - Leadership - Community - Resources - Society - Suppliers and partners - Performance monitoring  Engaging and enabling the supply chain  Engaging and enabling local community  How to commence and effectively implement a 10 year sustainable construction strategy Module 6 – Client Leadership (2 Days) Learning Outcome Assessment Criteria Underpinning Knowledge Course Material/Resources At the end of this module you will understand: Personal, Communications and Team styles This include: The module covers the following key issues How to build the team and work effectively when self-assessment exercises will be completed. Roles & responsibilities of project leader, through a series of presentations, assessments, collaborating, so that the project objectives are Comparison of perception of collaborative integrated team members, cluster leaders. group exercises and supported with case studies achieved. working current position in relation to Best AIMS chart to define objectives. and examples from real projects: The role and responsibilities of each stakeholder Practice learning at the end of the course. Transactional analysis and ego states. Establishing and leading projects through an and the behaviours to adopt in a variety of Feedback of syndicate exercises and Jung personal and communications styles. integrated team – from clients, end users to 2nd relevant situations and their relationships. discussions on a number of topics during the Belbin team types. and 3rd tier supply chain members How to manage the critical success factors of the course. Collaborative working. Developing clusters and identifying cluster project and ensure the adoption of collaborative Development of personal and VALiD values studies leaders working. company/project specific action plans Key Performance Indicators (KPI’s). Integrated processes and defining roles and How and why the degree of integration will be throughout course and summarised at the responsibilities – RACI charts measured. end. Lean improvement techniques How to make plans to apply the learning back in the workplace.
  • 55. CIAPS Membership Benefits There are many benefits but the three key ones to be discussed today are: 1. National exposure of your data (Accredited & Endorsed) 2. Public Sector competitive advantage of Endorsement (Endorsed) 3. Unique insurance offer (Accredited & Endorsed)
  • 56. Membership Benefits A key financial benefit that you should be exploring ready for your insurance renewal dates is the offer from Zurich UK Commercial Any company which is Accredited or Endorsed via the CIAPS scheme will receive preferential premium rates for their insurances There is also a unique rebating scheme for those companies who have: 1. Achieved CIAPS Accredited or Endorsed status and maintain their certification; and 2. Insured their Employers Liability, Public Liability and Contractors All Risks with Zurich; and 3. Continued to renew the cover policies in subsequent years Companies meeting these criteria will be rewarded for their superior performance To contact Zurich UK Commercial and find out how it could affect your insurance premiums, ask your insurance broker to call Peter Furness at Zurich on 0121 697 8789 or mail him at peter.furness@uk.zurich.com and quote “CIAPS/Zurich Insurance Facility” Rebate scheme terms follow on next slide
  • 57. Zurich UK Commercial Rebate Scheme Subject to renewal, if on the Annual Review Date (12 months after the expiry of each period) the total claims paid and outstanding for the relevant period of insurance do not exceed 60% of the net adjusted premium for that period, a rebate calculated in accordance with the following will be allowed: Accredited Endorsed Status Status If there are no claims 15% 20% If claims do not exceed 40% of premiums 10% 15% If claims do not exceed 50% of premiums 7.5% 10% If claims do not exceed 60% of premiums 5% 5% The expression ‘Claims’ means actual claims payments, legal, medical or other expenses and reserves for outstanding claims. The expression ‘Net Adjusted Premium’ shall mean a premium net of commission calculated following declarations for the relevant period of insurance Any rebate allowed is subject to subsequent annual recalculation until all claims for that year have been settled or terminated.
  • 59. Selecting Your UKAS Registered Accreditation Body To obtain Accreditation status on CIAPS you must be certificated by an independent 3rd party Accreditation body which is accredited by UKAS – you have a free choice which organisation you choose. A full list of UKAS accredited QMS bodies can be found at: http://www.ukas.com/About- Achttp://www.bmtrada.com/index.phpcreditation/Accredited- Bodies/certification-body-schedules.asp To date only 1 UKAS accredited body has worked with CIAPS to establish the CIAPS baseline standards – which is B M Trada http://www.bmtrada.com/index.php If you do not select an alternative body, CIAPS will assign your certification to B M Trada and it will be charged at the preferential rate agreed between them
  • 60. Economic Benefits of Combining All Certifications With One Company You may already have other management systems certificated by a UKAS accredited body, e.g. BSI, SGS, Lloyds Register, NQA, TUV, etc. Such systems would typically be management systems to ISO standards such as 9001, 14001 and OHSAS 18001 In the long term, you may obtain financial benefit from having your CIAPS certificated by your existing body – they generally discount costs when more than one scheme is certificated by them Currently if you chose an alternative to B M Trada they will have to familiarise themselves with the CIAPS system and its auditing – possibly at your cost if it is a one-off for them It may be better to use B M Trada for the first year of your Accreditation status and consider making a change at the anniversary renewal date
  • 61. BM Trada‟s Construction pedigree CIAPS chose BM Trada because of their pedigree in construction B M Trada are the certification body for a range of industry schemes: UKTFA Q Mark - The UK Timber Frame Association (UKTFA) is the trade association for UK timber frame manufacturers and the sector's key suppliers. BM Trada carries out all the audits and certification for the UKTFA Q-Mark scheme BESCA - Building Engineering Services Competence Accreditation (BESCA) is the building service industry’s Competent Persons Scheme for the notification of commercial and domestic heating, ventilating, air conditioning and refrigeration (HVACR) work under the 2006 Building Regulations for England and Wales. BM Trada carries out all of the inspection audits on behalf of BESCA to verify that business systems and technical competence are sufficient to meet the self-certification standards required by the Building Regulations. Worksafe is an occupational health and safety scheme that has been jointly developed by the Confederation of Associations of Specialist Engineering Contractors (CASEC) and BM TRADA Certification for the Northern Ireland marketplace. BM Trada audits all firms who register with the Worksafe scheme.
  • 62. BM Trada‟s Construction pedigree TrustMark is the initiative between Government, consumer groups and the building industry designed to protect consumers from cowboy tradesmen and help people find reputable firms to do repair, maintenance and improvement work inside and outside the home. All TrustMark registered firms are audited and monitored by approved scheme operators and must comply with the TrustMark standards, which include an assessment of the firm’s technical skills, trading record, financial position, insurances, health and safety practices and customer care. BM Trada is one of the scheme’s registered operators and is licensed to award the TrustMark logo to firms operating within the domestic sector. HVCA - The Heating and Ventilating Contractors’ Association (HVCA) represents firms who design, install, commission and maintain heating, ventilating, air conditioning and refrigeration. All HVCA members are subject to a regular independent third party inspection and assessment audit to verify their technical competence and commercial capability. BM Trada carries out all of the inspection and assessment visits for HVCA . Q Mark & Chain of Custody – B M Trada also operates other schemes relating to construction such as Q Mark for products and Chain of Custody schemes for timber and timer products The reason for choosing B M Trada is that they understand your industry
  • 63. Role of the Certification Body The role of the independent certification body is to:  Know the requirements of the recognised standard to which certification is required – in this case the CIAPS system  Devise a scheme of assessment to the standard  Undertake assessment of compliance with the standard by applying audits in accordance with BS EN 45011:1998  Certify compliance  Apply ongoing audits at regular frequencies to monitor continual application of the standard  Report on non conformances found during audit and monitor the clearance of these non conformances  Suspend or withdraw certification if major or continuous non conformance is found
  • 64. Role of the Certification Body Essentially – the role is to check that you do what you say you do!
  • 66. Discussion – What Is Your Experience of Being Audited? What are your experiences of being subjected to audits by others? Positive or Negative? - Who made it negative? Were you doing what you said you did? Did you try and pull the wool over the auditors eyes? Were they helpful? Did you invite feedback based on their experience and the best practices they see elsewhere? Positive Negative Relaxed Tense or confrontational Helpful advice Unhelpful interference Well prepared Ill prepared Do what we say Wrote what they wanted to hear Hunter Hunted The auditors purpose is only to gather objective evidence of compliance – and their conduct and methods are regulated by a BS
  • 67. Golden Rules – Do‟s 1. The Auditor is looking for evidence of commitment to the system and intent to make it work – honesty is always the best policy, particularly as an honest admission can stop a lot of embarrassing and enlightening digging 2. Have everything available that they may want to see – so, if your HR records are at another location, have them at your offices the day they visit you. 3. Prepare for their visit – have a management diagram and telephone list available listing who works for you and what they do (Make sure the management diagram matches the one you upload to CIAPS!) Have a list of projects available 4. Prepare the staff for the visit too – if you are all working to your documented systems there will be no preparation needed, but it often helps to remind people of the basics so that when asked they point the auditor in the right direction 5. Get a working lunch in – they will rarely spend time having an extended lunch or accept one 6. Be relaxed and friendly – they are there to help you – it isn‟t a trip to the dentist 7. Be prepared to take them to one or two sites if they ask to go there
  • 68. Golden Rules – Dont‟s 1. Don‟t try and hoodwink or mislead the auditor – they really have seen and heard it all before 2. Don‟t frustrate them or waste their time – if you haven‟t got what they want or it really has gone missing then say so, they won‟t go away just because you keep them hanging around 3. Continuously say “We haven‟t got any of those going on at the moment” to everything they ask for 4. Falsify records – “wet ink” is evident in so many ways! 5. Write procedures and policies that you do not work to or that your workforce have never heard of or seen – that can only have one outcome 6. Leave it until the week or day before the audit to start preparing for it – if you have an annual CIAPS management plan it must include the date of 3rd party audits and your time based strategy to be prepared for them 7. Put up a barrier to having a relaxed relationship 8. Underestimate the power of and need for Top Management support of any management system – your example is the excuse for others not to take it seriously too!
  • 69. Certification Body Focus They are looking for objective evidence It will demonstrate whether or not you have all the things you claim and if you are working to your documented policies and procedures
  • 70. Exemptions If you already have 3rd party certificated systems which are current the auditor may decide to exempt these from the CIAPS audit on the basis that a UKAS Accredited body has already audited and certificated them Possible exemptions are: 1. Quality – ISO9001:2008 2. Environmental Management – ISO14001:2004 3. Occupational Health & Safety – OHSAS18001:2007 The 3rd Party Certification body which you chose to engage will advise on this matter If the chosen body also certificates one or more of these systems for you it is more likely to exempt them
  • 71. How Does The Find It In Sandwell Audit Process Work The information you upload to your Find It In Sandwell CIP will be made available for the Council‟s Contract Assessment Team to view on line They will check your uploaded information and documents for evidence such as:  Authenticity, e.g. you are entered on registers for which you claim to hold certificates such as CHAS and that their expiry dates have not elapsed  Compliance with statutory requirements where appropriate, e.g.non VAT registration Vs turnover  Compliance with uploaded documented procedures, e.g. Policy review dates Vs frequency  Work that is claimed to have been done for the Council or its Principal Contractors can be validated  Etc. They may undertake online desk top audits, telephone audits or make visits to your premises and sites.
  • 72. How Does The CIAPS Audit Process Work The information you upload to your Find It In Sandwell CIP will be made available for the Certification body to review on line They will check your uploaded documents for evidence such as:  Authenticity, e.g. you are entered on registers for which you hold certificates  Expiry dates  Compliance with minimum standards where appropriate, non VAT registration Vs turnover  Compliance with uploaded documented procedures, e.g. Policy review dates Vs frequency  Correlation between CIP answers and documentation provided, e.g. A simple Quality Policy is not offered as a Quality Management System  Do numbers of employees on training plans resemble the number of employees stated to be within the company  Etc.
  • 73. How Does The CIAPS Audit Process Work They will then move on to the Listed Self Certification questions to plan their audit visit: Question Set Listed Self Certification Questions Financial Fin05 – Fin22 – Fin23 Insurance Ins07 – Ins08 Health & Safety HS04 – HS06 – HS07 – HS08 – HS10 – HS12 – HS17 - HS19 Environmental Env04 – Env06 – Env07 – Env09 – Env11 – Env16 – Env21 Quality Qas01 – Qas06 – Qas07 – Qas08 – Qas09 Human Resources HR01 – HR04 – HR05 – HR06 – HR10 Equal Opportunities Eop01 – Eop03 - Eop04 – Eop06 - Eop07 – Eop08 Training Trg05 – Trg07 – Trg13 Technical Tec01 – Tec02 – Tec03 – Tec09 IT IT04 – IT05 – IT06 – IT07 Let us quickly revisit these 47 questions and be clear what you have guided them towards and what they might seek as evidence
  • 74. Listed Self Certification Financial Questions Here are the answers that will steer the auditor to ask for evidence - they are the targets you have set Do not forget that for the questions shown blue you will have uploaded documents which the Audit Body will have checked on line Are the company's accounts formally audited or can Fin05 evidence of systematic book-keeping be provided? Is the company / business appropriately registered Fin22 with HMRC’s Construction Industry Scheme? Does the company adhere to the Government’s ‘Fair Fin23 Payment’ guidance for construction procurement?
  • 75. Listed Self Certification Insurance Questions Are sub-contractors' insurances checked and Ins07 recorded? Does the company have appropriate and adequate Ins08 insurance to cover the liabilities resulting from its current commercial activities?
  • 76. Listed Self Certification Health & Safety Questions Does the company have a written health & safety Policy or HS04 Statement? Is the company’s H&S policy readily available to all employees in a HS06 format that is easily understood? HS07 Has relevant H&S training been given to all employees? Are ‘on-site’ risk assessments routinely undertaken and HS08 implementation actions undertaken? Does the company document and monitor the H&S competency and HS10 practices of its sub contractors? Does the company have a written smoke-free policy that is readily HS12 available to all staff? Can the company demonstrate that it understands its obligations HS17 under the CDM (2007) Regulations and that it has ready access to the attendant HSE ACoP (Approved Code of Practice)? Does the company have ready access to appropriate H&S expertise HS19 and advice?
  • 77. Listed Self Certification Environmental Questions Does the company have a written environmental policy Env04 or statement? Does the company have procedures to demonstrate Env06 that the policy has been made available and explained to all employees? Has environmental awareness training been given to all Env07 relevant employees? Can the company demonstrate that it complies with the Env09 statutory waste disposal requirements including hazardous waste? Does the company document and monitor the Env11 environmental management competency and practises of its subcontractors? Does the company register eligible sites with the Env16 Considerate Constructors Scheme?
  • 78. Listed Self Certification Quality Questions Does the company have a written Quality Assurance Qas01 Policy or Statement? Are regular performance reviews undertaken with Qas06 Clients? Does the company document and monitor the Qas07 quality assurance procedures / practices of its subcontractors? Does the company operate a formal (written) Qas08 customer complaints procedure? Does the company have a formal procedure to ensure all employees are aware of, and act in Qas09 accordance with, the company's complaints procedure?
  • 79. Listed Self Certification Human Resources Questions Are the 'Terms & Conditions of Employment' with HR01 the company fully documented? Does the company issue 'Contracts of Employment' HR04 to all employees? Does the company have a written disciplinary and HR05 grievance procedure? Does the company have a written Redundancy HR06 Policy? Is a stakeholder pension scheme or equivalent HR10 offered to all eligible employees?
  • 80. Listed Self Certification Equal Opportunities Questions Does the Company have an ‘Equal Opportunities' or Eop01 ‘Equity' policy or statement? Is the company's equal opportunities policy readily Eop03 available to all employees in an easily understood format? Does the company comply with statutory obligations Eop04 to applicants for employment under the equality and non-discrimination legislation? Eop06 Does the company have an Age Discrimination policy? Is a record kept of the gender, ethnicity and any Eop07 disabilities of all employees? If requested, can the company provide staff diversity Eop08 statistics and reports?
  • 81. Listed Self Certification Training Questions Does the company provide new employees with Trg05 detailed induction training? Does the company keep records of all employee Trg07 training / qualifications / experience? Does the company operate a formal training (or Trg13 personal development) plan for all staff?
  • 82. Listed Self Certification Technical Questions Does the company have access to the current BSI Tec01 and other industry standards that are relevant to their operational sector? Does the company have access to the current Tec02 construction Regulations relevant to their operational sector? Is the company registered with the self certification Tec03 scheme that covers each sector in which the company operates? Are all company staff registered with the relevant Tec09 Government competent persons schemes / registers for the skills the company requires them to use?
  • 83. Listed Self Certification IT Questions Does the company have a written business system IT04 recovery programme (within 24 hours) in the event of a disaster? Does the company have a regular offsite data back IT05 up procedure in operation? Does the company regularly update its anti-virus IT06 and firewall protection? Does the company hold legitimate licenses for the IT07 IT software it uses? The auditors will want to know that your answers to all these questions can be proven – evidenced – in your offices and on site before they consider moving on to anything else over your ongoing audits Note that they will want to visit some sites and will speak to employees and sub contractors
  • 84. Audit Frequency Your Accreditation and Endorsement audits will be undertaken annually You will receive ample notice of them when the 3rd Party Certification body contacts you to arrange the visit date They should already be on your CIAPS annual management plan
  • 85. Non Conformances If the 3rd Party Certification body find that there are discrepancies of considerable concern they will raise Non Conformance notifications which require action to put things right within a defined timescale Typically less serious Minor non conformances may be given up to 8 weeks to be corrected before the 3rd Party Certification body re-audits More serious Major non conformances may only be allowed up to 4 weeks for correction prior to re-audit
  • 86. Dealing With Reported Non Conformances If you do receive a Non Conformance notice it should be looked upon positively, as an opportunity to improve your performance and an opportunity to investigate why things went wrong and take both preventive and corrective action to avoid it recurring It is always wise to discuss your proposed corrective action with the auditor to make sure that the outcome of your ideas for resolving matters will be acceptable Deal with these matters as a matter of urgency – do not put off the evil day when you have to resolve matters Be aware that failure to resolve a Non Conformance notice may result in it being escalated – Minor up to Major and Major up to Suspension! You should also be aware that audit fees do not allow for non conformance, so a revisit to clear non conformance notices may be charged as an addition to your account Do not forget that your audit reports will be uploaded to your CIP – so Clients that have been allowed to see your information will be able to see these reports and any Non Conformance notices you receive
  • 87. Prevention & Correction The auditor will expect to see two types of response to a Non Conformance considered: 1. Correction – action taken to deal with the specific problem identified 2. Prevention – consideration given to how or why the problem occurred and whether any of your processes and procedures should be adjusted to reduce the possibility of the problem occurring again
  • 88. What Will The Endorsed Audit be Like? By the time you are ready for the Endorsement audit: 1. You will have uploaded a new batch of CIP information relating to the Construction Commitments 2. You may have uploaded more documents to CIAPS to evidence your application of the Construction Commitments The 3rd Party Certification Body will approach the Endorsed status audit in the same way as your initial Accreditation status audit
  • 89. 08 Accreditation & Endorsement Timeframes
  • 90. Listed Status We saw on Day 1 how long it will take to achieve Listed status on Find It In Sandwell You Are Here Week 1 Week 2 Weeks 3 & 4 Week 5 to 8 Week 9 Online Participation in 2 Application to Arrangements Day Training Achievement of join Find It In made for 2 day Completion of Programme & Find It In Sandwell’s training your online CIP commence your Sandwell Listing construction programme online CIP database Your online CIP should be completed within the 8 week timeframe
  • 91. How Long Will it Take to Attain Accreditation Status? Typically the Accreditation process follows a programme as shown below Weeks 1 Week 4 Weeks 6 Week 13 Week 35 Weeks Weeks 39 Week 52 to 3 to 12 36 to 38 to 52 Apply to Year 1 Invitation to Year 2 Apply for Renew Renewal CIP CIAPS for Accredited Accredited Accreditation 3rd Party Accreditation Payment of Surveillance completed transfer to Status Status Audit & pay Audit Issued by Renewal Fee & Audit online their system Certificate Certificate audit fee Period & pay fee Issued CIAPS Issued
  • 92. How Long Will it Take to Attain Endorsed Status? The process to attaining Endorsed status follows an extension of the Accreditation programme as shown below The 10 Day Training Programme – typically over 13 weeks Weeks 1 Week 4 Weeks 6 Week 13 Week 35 Weeks Weeks 39 Week 52 to 3 to 12 36 to 38 to 52 Apply to Year 1 Invitation to Year 2 Apply for Renew Renewal CIP CIAPS for Accredited Accredited Accreditation 3rd Party Accreditation Payment of Surveillance completed transfer to Status Status Audit & pay Audit Issued by Renewal Fee & Audit online their system Certificate Certificate audit fee Period & pay fee Issued CIAPS Issued You have time to Implement and Embed the Construction Commitments before the annual Accreditation audit comes around again
  • 93. 09 Your Action Plan Day 2 Close
  • 94. Your Action Plan Discuss What is your plan now to complete your CIP fully ?