School Notifiable Project Guidance
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SCHOOL NOTIFIABLE PROJECT GUIDANCE
Contents Page
Section 1 SUMMARY OF THE SCHOOL NOTIFIABLE PROJECT PROCESS 2
Section 2 ISSUES FOR CONSIDERATION BEFORE UNDERTAKING 6 A SCHOOL NOTIFIABLE PROJECT
School Fire Alarm Upgrades 7 Building Control 8 Planning 9 Environmental Considerations 9 Environmental Scheme 10 Infrastructure 10
Section 3 HEALTH AND SAFETY ISSUES 12
Construction Design Management Regulations 2007 (CDM) - Regulations and Client (the School) Duties 12 - Pre-Site CDM Checklist 17 - Pre-Construction Information 19 - Assessment of Competence 22 - Construction Phase Plan 27 - Health and Safety File 29
Asbestos 30
Section 4 PROCUREMENT, INSURANCE AND FINANCIAL ISSUES 33
Central Bedfordshire’s Procurement Procedure Rules 2010 33 SNP Insurance and Financial Issues 34 Duty of Disclosure 34 Choosing Your Contractor 35 Risk Register 49
August 2010 1 (SECTION 1) SUMMARY OF THE SCHOOL NOTIFIABLE PROJECT PROCESS
Is School Notifiable Project Approval Required?
An application is required if:
. The project is altering, or extending the structure of the building, or for major alterations to services.
. The project is an external project and may be compromising the Authority’s long term plans for the site.
The project is from capital funding, but managed by the school directly and involves the above.
Examples of Notifiable Projects:
. Extending a classroom
. Building new classrooms/library
. Removal of a swimming pool
. Installing an external canopy/structure including outdoor shelters
. Installing new windows
. Provision of new plant equipment ie. boilers, pumps, air conditioning units, hot water systems, play equipment, surface coverings etc.
. Boundary fences
. Driveways and paths
. Electrical works
. Major adaptations, or alterations which change the size, or shape of a space
Process For Approval
. Read the Guidance document.
. Allow a timescale of up to a term from application to approval. (ie. for a summer holiday project it is recommended that a SNP1 be submitted by Easter).
(1) Submit an Outline Proposal Form (SNP1) Please allow 3 weeks for approval to be given.
. Receive confirmation, or otherwise, of project approval in principle.
August 2010 2 (2) Submit an Application for Approval of a School Notifiable Project Form (SNP2) Please allow 6-8 weeks for approval to be given.
. Once a project has been decided upon then you must obtain professional advice. You will be charged fees, but these can be funded from formula capital along with the other costs of the project.
. You must advise the Insurance Team of any building works being undertaken at the school.
. Receive approval to proceed.
. Notify the Council of practical completion of the works.
All enquiries relating to the school Notifiable project process should be submitted to:
Senior Administration Officer - Capital, School Organisation and Capital Planning Team, Central Bedfordshire Council, High Street North, Dunstable, Beds, LU6 1LF.
Tel: 0300 300 5573Fax: 0300 300 5908 Email: [email protected]
General Enquiries: 0300 300 8000
. Works should not commence until written approval has been given. Safety is the most important reason for compliance with the approval scheme. Schools carrying out works without approval do so at their own risk and could be deemed liable in the event of any issues arising during, or after completion of the works.
. Approval will be given on the understanding that the Headteacher/Governors have sufficient funding to cover all costs of the project. This should be demonstrated on the project form.
Additional material should normally include an accurate scale drawing. However, in the case of the simplest Notifiable Project, a plan of the school indicating the area(s) involved may well be sufficient.
Information Required with the Application for Approval of a School Notifiable Project Form
This sheet stipulates the type of information which should accompany a completed SNP2 Form.
. Alterations to, or work within existing buildings:
- a scanned, or electronic plan which locates the site of the proposal within the building - sufficient drawings to explain the proposals, including dimensions - details of design standards and materials to be employed in the construction which should conform to current Building Regulations August 2010 3 . The provision of a new building, or other development:
- a scanned, or electronic location plan showing the proposal in relation to existing surrounding development - a site plan showing access, service routes, road, car parking and footpaths - floor plans, sections and elevations with dimensions, sufficient to illustrate the proposals - details of design standards and materials to be employed in the construction which should conform to current Building Regulations
. In all cases sufficient information should be provided by notes and drawings and by specification notes describing the type of construction, materials to be used and any work to hot, or cold water services, the heating, or the electrical installation.
Local Authority’s Assessment
On receipt of the SNP2 Form, it will be initially assessed and you may be contacted to request clarification, or additional information. From the initial assessment the advice needed to complete the assessment will be identified and the appropriate colleagues networked. These colleagues may include the key contacts you have already made. Their responses, if any, will be co-ordinated and consolidated into the Local Authority’s approval letter.
Local Authority’s Approval Letter
The Local Authority’s approval may be subject to conditions. In the case of uncomplicated projects the conditions attached to the approval will normally be relatively straight forward to comply with. More complex projects may require several conditions to be met before work can commence.
In some cases ‘approval in principle’ will be given rather than approval outright. ‘Approval in principle’ will involve certain conditions being stipulated which must be met before final approval is given.
Central Bedfordshire Council’s Procurement Procedure Rules
All projects must follow the Council’s Procurement Rules, for further details see Section 4.
The Project May Commence; Separate Planning Consent and Building Regulation Approval May Be Needed
Once a project has been fully approved and all the ‘subject to’ conditions addressed, then work may commence. However, please remember that certain projects may require planning consent and building regulation approval before works can be implemented. The responsibility for dealing with any planning consent and building regulation approval rests with the person responsible for the School Notifiable Project.
August 2010 4 Please consider the complexity of the project and seek appropriate professional advice.
For further information and guidance, please refer to Section 2.
Notification of Completion
Please ensure that the Senior Administration Officer - Capital is informed when works have been completed. Arrange for updated ‘as built’ drawings to be sent to the Senior Administration Officer - Capital, electronically where possible. This will enable the Authority to update the Asset Management Plan.
Schools are to retain all documentation and record progress of works; this will help you to provide proof of compliance with the conditions of the School Notifiable Project approval.
August 2010 5 (SECTION 2) ISSUES FOR CONSIDERATION BEFORE UNDERTAKING A SCHOOL NOTIFIABLE PROJECT
Before deciding to undertake any project you should consider the relative priority of the project in terms of the School’s Asset Management Plan. The relevance, or not, of the following points must be clearly identified by you. Initially this could be with the help and advice of your professional adviser, or other key contacts as appropriate. However, it is important to stress that the main onus for checking through the issues highlighted rests with the School as the School Notifiable Project proposer, this includes responsibility for any statutory approvals that may be required ie. Planning or Building Control approval. A Section number in brackets indicates the provision of further guidance is given within this document.
1. Is Building Regulation approval required for any alterations?
2. Is planning consent required from Central Bedfordshire Council?
3. Is listed building consent required?
4. Do the proposed works involve any alteration, or extension to the electrical system in the building? If so, is there sufficient capacity for the additional buildings/services? If not, upgrading to electrical supply etc will need to be considered as part of the project. A test certificate for all electrical works will also be required on completion.
5. Do the proposed works involve any alteration, or extension to heating, or hot and cold water services, or showers? If so, the system may require sterilising prior to use and a certificate issued as proof that this had been done.
6. Does the project disturb, or create dust from old paint that may contain lead?
7. Construction (Design and Management) Regulations 2007 apply to all construction projects (Section 3).
8. Notifiable projects (work lasting longer than 30 days involving 500 person days of work) to HSE have additional duties for Client (School) (Section 3).
9. Which British Standards does the project need to comply with, if any?
. To ensure that adequate quality and safety thresholds are achieved, materials and equipment must whenever possible conform to British Standards (BS), or any other relevant and approved EEC standards.
. There are currently in excess of 14,000 BS publications which are continually being revised and new ones added, to keep the technical content up to date and encompass new materials, processes and technologies.
August 2010 6 . Any work proposed by the School under the School Notifiable Project Scheme must take into account the need to comply with EEC/British Standards. Initial general advice from your professional adviser may be available, but more detailed information will subsequently be required during the development of the proposals.
From your initial assessment and with the advice of any key contacts you should know which of the above points may be relevant to your project proposals. You need to judge the likely effect upon the project timescale and generally give further thought to deciding whether or not to proceed and, if so, how to proceed.
School Fire Alarm Upgrades
During any new build or refurbishment of a school the designer must identify and install a fire detection system that will compliment the existing alarm fitted in the premises.
However due to the ‘Extended Schools’ programme, if your school has areas that are frequently unoccupied, common corridors/circulation spaces or laboratories, in which a fire could develop to the extent that escape routes could be affected before the fire is discovered, it may be necessary to upgrade your fire warning system to incorporate automatic fire detection and specific emergency lighting for escape routes.
Automatic fire detection may be needed for a number of reasons. These can include:
. If you have areas where people are isolated or remote and could become trapped by a fire because they are unaware of it’s development, such as students working in unsupervised areas or where the premises are only partially occupied by external organisations and clubs outside of normal core hours;
. If you have areas where a fire can develop unobserved (e.g. storerooms);
. As a compensating feature, e.g. for inadequate structural fire protection, in dead-end corridors or where there are extended travel distances;
. To reduce the effects of arson.
Bedfordshire and Luton Fire and Rescue Service (BLFRS) currently recommend that schools begin to upgrade their alarm systems to either L4 or L5 standard, as set out below.
. L4 systems cover escape routes and circulation areas only. Therefore, detectors will be placed in escape routes, although this may not be suitable depending on the risk assessment or if the size and complexity of a building is increased. Detectors might be sited in other areas of the building, but the objective is to protect the escape route.
August 2010 7 . L5 is the ‘all other situations’ category e.g. ICT suite, kitchen or boiler rooms which may be protected with by automatic detection. Category 5 systems are the ‘custom’ category and relate to some special requirement that cannot be covered by any other category, usually identified from the building fire risk assessment.
Building Control
Building alterations and building projects that are carried out in schools must comply with Building Regulations, the purpose of the Regulations is to ensure health and safety for those in and about buildings, the energy efficiency of buildings and accessibility into and within buildings.
Building Regulations apply to extensions, structural alterations, window and door replacement, heating and hot water installations, fire safety, moisture resistance, sound reduction and acoustic conditions in schools, ventilation, hygiene, drainage, stairs, conserving fuel and power and building access.
The Building Regulation process is straightforward; prior to the building work taking place a Building Regulation application should be submitted, accompanied by plans and specifications, the scheme is considered, any amendments required are negotiated, statutory consultations take place and a formal decision is given this is all carried out under the statutory time limits of 5 weeks or 2 months. During the construction phase we carry out inspections to ascertain Building Regulation compliance by helping and advising the builder, but it is the responsibility of the project manager to advise Building Control of progress on the development.
The Building Regulation service provided by Central Bedfordshire Building Control is here to help applicants comply with the Building Regulations and any queries can be sent to:
[email protected] k or telephone 0300 300 8635
There is no charge for our initial pre-application advice, subject to schools agreement that, where required, a Building Regulation application will follow to CBC Building Control.
When a formal building regulations application is made, payment for building control services where the project is funded by CBC can be transferred to building control using an IDI form. Where an application for a school project is submitted, the school should provide full details, name and address of the person who is responsible for settling the building control fee and whether an Inter Departmental Invoice (IDI), or an invoice should be sent to that person.
Further details regarding Building Regulations can be viewed at::
www.planningportal.gov.u k
www.communities.gov.uk/planningandbuilding/buildingregulations / http://www.centralbedfordshire.gov.uk/environment-and-planning/Building- control/default.asp x August 2010 8 Planning
Central Bedfordshire Council operates a Development Management approach to new schemes and would wish to consider the issues and provide advice at an early stage. The Planning Department would strongly advise that, before the submission of a scheme, you liaise with the Team Leaders from the North and South Teams.
These are:
North Team: Anne Samme Tel: 0300 300 4429 David Lamb Tel: 0300 300 4428
South Team: John Ellis Tel: 0300 300 5174
Full and outline planning application forms are available to download on the Planning page of Central Bedfordshire Council’s website.
Environmental Considerations
Building alterations and building projects that are carried out in schools should consider the following:
. Improvement of energy efficiency by carrying out insulation measures, such as new cavity and loft insulation.
. Improvement in draught-proofing and double/triple glazing should be considered if not already present.
. Incorporation of micro generation technologies where feasible, such as:
- Solar Thermal Heating (ideal for schools due to hot water demand over the whole day). - Ground Source Heat pumps (ideal for schools due to large play areas and the need for low frequency heat). - PV panels. - Biomass Boilers. - Wind turbines.
. Consideration of Building Management Systems.
. A consideration for passive design to incorporate natural day lighting, shading and ventilation.
. Use of low-energy light bulbs/lighting and remote lighting controls.
. Use of sustainable materials in new building construction.
. A concern for the waste that may be produced from the construction work and how this can be minimized and recycled.
August 2010 9 . Water-usage considerations. Low-flow taps and double flush toilets.
. Consideration of potential flooding risks and the implications it could have, introduction of flood mitigation measures such as SUDs.
More information can be found at the following:
. http://www.carbontrust.co.uk/cut-carbon-reduce-costs/reduce/public- sector/schools/pages/default.aspx
. http://www.energysavingtrust.org.uk/renewableselector/start/
. http://www.nef.org.uk/greenschool/index.htm
Environmental Scheme
. With regard to School Notifiable Projects on a School’s grounds, it will be in the School’s interest to discuss any ideas at an early stage with the Grounds Maintenance Service (if you have bought in the Service), or your own contractor. An assessment can be made of the longer term financial implications for a School’s grounds maintenance budget and taken into account as part of the consideration of the whole project. If an assessment is not undertaken at this stage, the longer term maintenance costs of a site project could cause significant problems for a School’s budget. Advice on suitable trees may be sought from the Council’s Arboriculturalist.
More information can be found by following the links below:
http://www.ltl.org.uk/
http://publications.teachernet.gov.uk/eOrderingDownload/The%20Outdoor %20Classroom.pdf
. For advice about outdoor play equipment and other educational aspects of an School’s grounds development please contact Glynis Yates, the Education Consultant for PE and Sport for advice, email: [email protected]
. Schools are expected to be ‘good neighbours’ and to share School Notifiable Project proposals with others who may have an interest, including Establishments that share a campus and/or have a joint access.
Infrastructure
. Where work is carried out which affects gas, electricity, water, or heating services, the scheme must conform to nationally approved standards. In the case of work involving electricity, the current standards will apply and an electrical completion certificate must be obtained by the sponsors from the installer before the project is taken into use. This means employing a NICEIC qualified electrician to indicate their level of competence. In the case of gas installations you must employ a Gas Safe registered contractor.
August 2010 10 . Please set out the details if a third party is involved in the proposal eg. playgroups, after school clubs, Town and Parish Councils, local organisations, commercial, or retail concerns, together with the hours of use and how the proposal will be financed and managed. It may be that arrangements would need to be subject to a legal agreement. The costs associated with drawing up a lease should be included in the project costs.
Contact the Legal Team regarding contracts on 0300 300 6284.
August 2010 11 (SECTION 3) HEALTH AND SAFETY ISSUES
Construction (Design and Management) Regulations 2007 Guide for Clients
If you are having construction, or building work carried out in your school, legal duties under the Construction (Design and Management) Regulations 2007 (CDM 2007) will apply to all construction projects.
What will the Regulations do?
These Regulations will help you ensure that your construction project is safe to build, safe to use, safe to maintain and delivers you good value. Good health and safety planning will also help ensure that your project is well managed and that unexpected costs and problems are minimised.
What do clients need to do?
The client is either the owner of the property, or someone with delegated powers from the owner e.g. Headteacher, governing body. The client will have a big influence over how the work is done. Where potential health and safety risks are low, there is little you are required to do. Where they are higher, you will need to do more.
CDM 2007 is not about creating unnecessary and unhelpful processes and paperwork. It is about choosing a competent team and helping them to work safely and efficiently together. Give them enough time and resource and you will get the building you want, when you want it and on budget.
For all construction projects, clients need to do the following:
Appoint the Right People
You are more likely to get what you need if you make sure those who design and build are competent, have sufficient resources and are appointed early enough, so the work can be carried out safely.
Allow Adequate Time
A rushed project is likely to be unsafe and of poor quality. You need to allow enough time for the design, planning and construction work to be undertaken properly. If in doubt, talk to those you appoint.
Provide Information to Your Team – see pre-construction information
You need to pass on key information to your construction team if they are to design and construct something that is safe to build, safe to use and safe to maintain. They will need information about what you want, how you will use it, the site and existing structures, or hazards, such as asbestos. This will help your team to plan, budget and work around problems.
August 2010 12 If in doubt, talk to those you appoint. Ensure You and Your Team Communicate and Co-operate
Your project will only run efficiently if all those involved in the work communicate, co- operate and co-ordinate with each other.
During the design stage, it is particularly important that you, your designers and contractors talk early on about issues affecting buildability, usability and maintainability of the finished structure. You don’t want people injured, or unexpected costs because issues weren’t properly considered when design changes could still easily be made.
Ensure Suitable Management Arrangements are in Place
Construction projects can be complex and involve many different trades and occupations. Frequently they also involve high-risk activities. The work is more likely to be done safely and to time if those doing the work have suitable management arrangements in place.
You need to make sure that suitable arrangements are in place throughout the whole project.
The type and level of checks needed depends on the work being undertaken and the risks involved. You may need help for more complex and high-risk projects.
You are not required to take an active role in managing the work yourself.
Ensure Adequate Welfare Facilities on Site
You should ensure that your contractors provide adequate welfare facilities for construction workers as soon as possible, before work starts.
Ensure Workplaces are Designed Correctly
If your project is for a new workplace, or alterations to an existing workplace (eg school or office), they must meet the standards set out in the Workplace (Health, Safety and Welfare) Regulations 1992.
The Design must also consider :
Building Bulletin 100: Design for fire safety in schools;
Disability Discrimination Act (DDA);
DCSF Education Design Guidance and Building Bulletins (BB98 – secondary schools, BB99 – primary schools and BB102 – special schools;
Relevant Building Regulations and British Standards. BB81 Design and Technology. www.education.gov.uk www.teachernet.gov.uk August 2010 13 You should ask anyone who is preparing design work for you to confirm that these requirements have been complied with.
Notifiable Construction Projects – Client duties
In addition, for notifiable construction work (work lasting longer than 30 days, or involving 500 person days of work), you have to do the following:
Appoint a CDM Co-ordinator
Your CDM Co-ordinator is there to advise and assist you with your CDM duties on notifiable jobs. They will:
- advise you about selecting competent designers and contractors; - help identify what information will be needed by designers and contractors; - co-ordinate the arrangements for health and safety during the planning phase; - ensure that HSE is notified of the project (completes an F10); - tell you if the initial construction phase plan is suitable; and - prepare a health and safety file for you (this contains useful information you need to enable future cleaning, maintenance and alterations to be carried out safely).
You should appoint the CDM Co-ordinator as soon as possible, but no later than the initial design/preparation stage.
Ensure the CDM Co-ordinator has appropriate level of insurances. Contact the Health and Safety Team, for advice Tel: 0300 300 4985.
CDM 2007 does not require the CDM Co-ordinator to supervise or monitor work on site.
Appoint a Principal Contractor
A principal contractor is needed to plan, manage and co-ordinate work while construction work is being carried out on notifiable jobs.
Principal contractors are usually the main, or managing contractor for the work.
You should appoint the principal contractor at the earliest opportunity. This is so they can be involved in discussions about buildability, usability and maintainability and so they can have time to plan the work properly.
Ensure the contractor has appropriate level of insurances. Contact the Insurance Team, for advice Tel: 0300 300 69988129.
Ensure a Health and Safety Plan is in Place
The principal contractor has to produce a construction phase health and safety plan outlining the key arrangements to ensure that the work is carried out safely. You should not allow work to start on site until there is an adequate plan.
August 2010 14 Keep the Health and Safety File
At the end of the project, the CDM Co-ordinator will give you the health and safety file. The file is a record of useful health and safety information and will help you manage health and safety risks during any future maintenance, repair, construction work or demolition. The file needs to be kept safe, made available to anyone who needs to alter or maintain the building and updated if circumstances change.
CDM Client Frequently Asked Questions
Do I have to supervise work on site? No, CDM 2007 only requires you to check that suitable management arrangements are being followed. This does not mean going onto the construction site. For simple, low risk projects, this could include:
Checking there is adequate protection for the public and, where necessary, your own workforce;
Asking for confirmation that adequate welfare is provided;
Asking your construction team to explain their arrangements for managing work on site.
What happens if I don’t comply with my client duties? It is more likely that there will be a dangerous, or fatal incident while your construction work is carried out if you do not ensure that CDM 2007 is followed. In addition, your finished structure may not be safe to use, safe to maintain and not deliver you good value for money.
If you don’t appoint a CDM Co-ordinator, or principal contractor on a notifiable project, it will mean that you are legally liable if the things that they should have done aren’t actually done.
Serious breaches of health and safety legislation on your construction project could result in construction work being stopped by HSE, or your local authority and additional work may be needed to put things right. In the most serious circumstances, you could be prosecuted.
How can I find out more? Your designer, contractor and, if applicable, your CDM Co-ordinator will be able to advise you on your duties.
Contact Health and Safety Team on 0300 300 4985
For general health and safety advice visit the HSE website: www.hse.gov.uk
For specific advice on CDM visit: http://www.hse.gov.uk/construction/cdm.htm
August 2010 15 Managing health and safety in construction. Construction (Design and Management) Regulations 2007. Approved Code of Practice L144 HSE Books 2007 ISBN 978 0 7176 6223 4
Health and safety in construction HSG150 (Third edition) HSE Books 2006 ISBN 978 0 7176 6182 4 Workplace health, safety and welfare. Workplace (Health, Safety and Welfare) Regulations 1992. Approved Code of Practice L24 HSE Books 1992 ISBN 978 0 7176 0413 5
August 2010 16 Pre-Site CDM Checklist
It is important to hold a pre-site meeting to plan and organise the project. For small projects this may just be with the contractor, but for larger notifiable projects this will involve the school as the client, the Designer, CDM Co-ordinator and main contractor.
This list can be used as a guide and is not exhaustive:
ITEMS TO DISCUSS AND NOTES AGREE
Timescale of project:
Proposed start date: Completion date:
Planning consent conditions:
Management arrangements of project (permit to works):
Existing hazards (existing building eg. fragile roof, asbestos log book, contaminated land):
Existing building drawings
Hazardous work
Site security
School emergency procedure
Erecting fencing
Erecting scaffolding
Vehicle movements and deliveries
ITEMS TO DISCUSS AND NOTES AGREE
Storage of materials and siting August 2010 17 of skips
Provision of services
Contractor’s welfare facilities
Visitors on site
Key contacts and emergency numbers
Use of playground
Timetabling of work
Signage
On site liaison
Weekend and evening working
Progress meetings
Communication between Head Teacher and Site Manager
Information for staff, pupils and visitors
Ensure that all site meetings are minuted. Checklist competed by:
Name Signature
Date Pre-construction Information
When drawing up the pre-construction information, each of the following topics should be considered. Information should be included where the topic is relevant to the work proposed. The pre-construction information provides information for those bidding for, or planning work and for the development of the construction phase plan. August 2010 18 The level of detail in the information should be proportionate to the risks involved in the project.
Description of Project
(a) Project description and programme details including:
(i) key dates (including planned start and finish of the construction phase); and
(ii) the minimum time to be allowed between appointment of the principal contractor and instruction to commence work on site.
(b) Details of client, designers, CDM Co-ordinator and other consultants;
(c) Whether or not the structure will be used as a workplace (in which case, the finished design will need to take account of the relevant requirements of the Workplace (Health, Safety and Welfare) Regulations 1992); and
(d) Extent and location of existing records and plans.
Client’s Considerations and Management Requirements
(a) Arrangements for:
(i) planning for and managing the construction work, including any health and safety goals for the project;
(ii) communication and liaison between client and others;
(iii) security on the site; and
(iv) welfare provision.
(b) Requirements relating to the health and safety of the client's employees, or customers, or those involved in the project such as:
(i) site hoarding requirements;
(ii) site transport arrangements, or vehicle movement restrictions;
(iii) client permit to work systems;
(iv) fire precautions;
(v) emergency procedures and means of escape;
(vi) ‘no-go’ areas, or other authorisation requirements for those involved in the project, any areas the client has designated as confined spaces; and
(vii) smoking and parking restrictions.
Environmental Restrictions and Existing On-Site Risks
August 2010 19 (a) Safety hazards, including:
(i) boundaries and access, including temporary access – for example narrow streets, lack of parking, turning, or storage space;
(ii) any restrictions on deliveries, or waste collection, or storage;
(iii) adjacent land uses – for example schools, railway lines, or busy roads;
(iv) existing storage of hazardous materials;
(v) location of existing services particularly those that are concealed - water, electricity, gas etc;
(vi) ground conditions, underground structures, or water courses where this might affect the safe use of plant, for example cranes, or the safety of groundworks;
(vii) information about existing structures - stability, structural form, fragile, or hazardous materials, anchorage points for fall arrest systems (particularly where demolition is involved);
(viii) previous structural modifications, including weakening, or strengthening of the structure (particularly where demolition is involved);
(ix) fire damage, ground shrinkage, movement, or poor maintenance which may have adversely affected the structure;
(x) any difficulties relating to plant and equipment in the premises, such as overhead gantries whose height restricts access; and
(xi) health and safety information contained in earlier design, construction, or 'as-built' drawings, such as details of pre-stressed, or post-tensioned structures.
(b) Health hazards, including:
(i) ASBESTOS (please refer to section on page 30)
IT IS ESSENTIAL THAT THE ASBESTOS LOG IS PROPERLY CONSULTED BEFORE DEVELOPING ANY SCHOOL NOTIFIABLE PROJECT PROPOSALS . Bear in mind,for example, extending wiring to one room, which is the focus of a School Notifiable Project, could disturb asbestos in other room(s)/roof spaces which are not seen as being part of the project. Should asbestos be identified in an area possibly to be affected by the proposed works then advice to be sought from the professional Property Partner Asbestos Team Advisers (01223 699210) who will arrange for any asbestos removal works which may be necessary in accordance with the Council’s Asbestos Policy and Procedure. The cost of such works and all tests will be chargeable to the School, as will any fee incurred.
Before extensive refurbishment, or demolition takes place it is policy August 2010 20 to conduct intrusive Asbestos Refurbishment and Demolition Surveys (Formerly Type 3 Surveys) to ascertain whether asbestos materials are present, or not. If identified then the Property Partner Asbestos Team (01223 699120) can arrange a complete asbestos works process on behalf of the school.
The Asbestos Removal Contractors are selected from Central Bedfordshire Council’s approved list, thend Environmental Consultants are to be arranged through the Property Partner Abestos Team (01223 699120), and are again selected from an the approved list.
Schools that arrange their own work must use a Central Bedfordshire Council approved, licensed asbestos removal contractor, and if required, a Central Bedfordshire Council approved Environmental Consultant. Air testing is generally recommended in most cases to provide documented evidence of fibre levels during and following asbestos work. Copies of certificates should be sent to the Property Partner Abestos Team so the premises asbestos log can be updated.
(ii) existing storage of hazardous materials;
(iii) contaminated land, including results of any surveys;
(iv) existing structures containing hazardous materials; and
(v) health risks arising from the client’s activities.
Significant Design and Construction Hazards
(a) significant design assumptions and suggested work methods, sequences or other control measures;
(b) arrangements for co-ordination of ongoing design work and handling design changes;
(c) information on significant risks identified during design; and
(d) materials requiring particular precautions.
Assessment of Competence – for all construction projects
As a client the school must appoint the right people for the job and this will involve assessing their competency.
Core criteria for demonstration of competence: Companies, Contractors, CDM Co-ordinators and Designers
You need to meet the standards set out in the core criteria table Column 1 of the table lists the elements which should be assessed when establishing whether or not a company is competent for the work which it will be expected to do. Column 2 lists the standards against which the assessment should be made. Column 3 gives some examples of how a company might demonstrate that it meets these standards.
Companies do not have to produce all of the evidence listed in Column 3 to satisfy August 2010 21 the standard - they simply need to produce enough evidence to show that they meet the standard in Column 2, taking account of the nature of the project and the risks which the work entails. This requires you to make a judgement as to whether the evidence provided meets the standard to be achieved. If your judgement is reasonable, and clearly based on the evidence you have asked for and been provided with, you will not be criticised if the company you appoint subsequently proves not to be competent when carrying out the work.
Remember that assessments should focus on the needs of the particular job and should be proportionate to the risks arising from the work. Unnecessary bureaucracy associated with competency assessment obscures the real issues and diverts effort away from them.
If Companies employ less than five persons they do not have to write down a policy, organisation, or arrangements under criteria 1 and 2. However, they do need to demonstrate that their policy and arrangements are adequate in relation to the type of work they do.
August 2010 22 Contractor Assessment of Competency
August 2010 23 Colum 1 Column 2 Column 3 School Only Criteria Standard to Achieve Examples of the Evidence of Competency Meets Criteria
Stage 1 Assessment 1 Health and Safety Policy A health and safety policy – signed by A signed current copy of the company policy and organisation for Managing Director and reviewed every (indicating when it was last reviewed and by health and safety 12 months. whose authority it was published) Guidance Policy must be relevant to the nature on health and safety policy can be found in and scale of the work and set out the HSE free leaflet INDG259. responsibilities for health and safety management at levels within the organisation.
2 Arrangements The policy should set out the A clear explanation of the arrangements the arrangements for health and safety company has made for putting its policy into management within the organisation and effect and for discharging its duties under should be relevant to the nature and CDM 2007. scale of the work.
3 Competent advice Company must have ready access to Name and competency details of source of competent health and safety advice, advice, for example a safety group, trade preferable from within the organisation. federation, or consultant who provides health This advice must be general but also and safety information and advice. relating to construction health and safety issues.
4 Training and information In place and implemented training Headline training records. arrangements – new employees up to Evidence of a health and safety training board and refresher training. culture including records and certificates of attendance and adequate health and safety induction training for site based workforce. Evidence of CPD programme. Sample toolbox talks.
August 2010 24 Criteria Standard to Achieve Examples of the Evidence of Competency Meets Criteria
5 Individual qualification Appropriate qualifications and Details of numbers/percentage of people and experience experience for the assigned tasks. engaged in the project who have passed a construction health and safety assessment, for example CITB construction skills touch screen test or similar schemes, such as CCNSG equivalent. Site Managers details of any specific training such as the Construction Skills CITB site management safety training scheme certificate or equivalent. Site workers details of any relevant qualification or training such as S/NVQ certificates. 6 Monitoring, audit and System for monitoring procedures, Could be through formal audit or review auditing them at periodic intervals and discussions/reports to senior managers. for reviewing them on an ongoing basis. Evidence of recent monitoring and management response. Copies of site inspection reports. 7 Workforce involvement Arrangements for consultation of Evidence showing how consultation was workforce on health and safety matters. carried out. Records of health and safety committees. Names of appointed safety representatives (trade union or other). For those employing less than 5 description of how employees are consulted. 8 Accident reporting and No of RIDDOR reportable accidents in Evidence showing the way accidents are enforcement action; last 3 years. System in place for recorded and investigated. follow up investigation reviewing accidents and recording action Check HSE website enforcement section to taken. see if contractor has had enforcement action Enforcement action taken against taken against them. If yes what action has company in last 5 years and action been taken to address issues. taken to remedy matters subject to enforcement action. August 2010 25 Criteria Standard to Achieve Examples of the Evidence of Competency Meets Criteria
9 Sub-contracting/ Arrangements in place for appointing Evidence showing how sub-contractors are consulting procedures competent sub-contractors/consultants. assessed for competency. Examples of sub- You should be able to demonstrate how contractors assessments. sub-contractors also have arrangements Evidence of sub-contractor competence for appointing competent sub- assessments of sub-contractors to the same contractors, or consultants. standard. Arrangements in place for monitoring Evidence of how this sub-contractor sub-contractors. performance is undertaken. 10 Risk assessment Procedures in place for carrying out risk Evidence showing how the company will assessments and for developing and identify significant health and safety risks and implementing safe systems of how they will be controlled. work/method statements. Sample risk assessments/safe systems of work/method statements. 11 Co-operating with others Illustrate how co-operation and co- Evidence could include sample risk and co-ordinating your ordination of work is achieved in practice assessments, procedural arrangements, work with that of and how the workforce is involved in project team meeting notes. contractors drawing up method statements/safe Evidence of how the company co-ordinates systems of work. its work with other trades. 12 Welfare provisions Demonstrate how appropriate welfare Evidence could include for example health facilities will be in place before people and safety policy commitment ; contracts start work on site. with welfare facility providers; details of type of welfare facilities provided on previous projects. 13 Work Experience Details of relevant experience in the field A simple record of recent projects/contracts of work for which you are applying. should be kept with references. These can be contacted to verify the work was carried out with due regard to health and safety. This should be sufficient to demonstrate ability to deal with health and safety issues in relation to the work – if not how this risk will be managed/overcome.
August 2010 26 Guidance for Assessing Competence of a CDM Co-ordinator
Stage Knowledge Field of Examples of attainment Meets and knowledge criteria experience and (school experience only) Stage 1 Task The design Professionally qualified to Chartered knowledge and level. Membership of relevant appropriate for construction construction institution, for example the tasks to be process. CIBSE;ICE;IEE;IMechE;IStructE;RIBA; undertaken. CIAT;CIOB May be technical or managerial.
Health and Health and Validated CPD in this field, and typical safety safety in additional qualification for example knowledge construction. NEBOSH construction certificate sufficient to (required); Member of Health and perform the Safety Register administrated by the task safely, by ICE; Membership of Association for identifying Project Safety; Membership of Institution hazard and of Construction Safety (formally the evaluating the Institution of Planning Supervisors). risk in order to protect self and others and to appreciate general background.
Stage 2 Experience and Experience Evidence of significant work on similar ability sufficient relevant to the projects with comparable hazards, to perform the task. complexity and procurement route. task.
Insurance Level of £5 million (obtain copy). If the policy Professional expires during the project obtain proof of Indemnity renewal. Insurance.
Assessment of competency for a Designer
- Details of professional qualifications held - Membership of a professional body - Examples of design risk assessments - Examples design information from previous projects - Level of professional indemnity insurance, obtain copy (£5 million)
August 2010 27 Construction Phase Plan – Principal Contractor to Produce for Notifiable Projects
When drawing up the construction phase plan, the following topics should be considered. Information should be included in the plan where the topic is relevant to the work proposed. The plan sets out how health and safety is to be managed during the construction phase. The level of detail should be proportionate to the risks involved in the project.
As a Client the school should not allow work to start on site until there is an adequate plan in place.
Description of Project
(a) project description and programme details including any key dates;
(b) details of client, CDM co-ordinator, designers, principal contractor and other consultants;
(c) extent and location of existing records and plans that are relevant to health and safety on site, including information about existing structures when appropriate.
Management of the Work
(a) management structure and responsibilities;
(b) health and safety goals for the project and arrangements for monitoring and review of health and safety performance;
(c) arrangements for:
(i) regular liaison between parties on site; (ii) consultation with the workforce; (iii) the exchange of design information between the client, designers, CDM co-ordinator and contractors on site; (iv) handling design changes during the project; (v) the selection and control of contractors; (vi) the exchange of health and safety information between contractors; (vii) site security; (viii) site induction; (ix) on site training; (x) welfare facilities and first aid; (xi) the reporting and investigation of accidents and incidents including near misses; (xii) the production and approval of risk assessments and written systems of work; managing health and safety in construction;
(d) Site rules (including drug and alcohol policy);
(e) Fire and emergency procedures. August 2010 28 Arrangements for Controlling Significant Site Risks
(a) Safety risks, including:
(i) delivery and removal of materials (including waste*) and work equipment taking account of any risks to the public, for example during access to, or egress from, the site;
(ii) dealing with services - water, electricity and gas, including overhead power lines and temporary electrical installations;
(iii) accommodating adjacent land use;
(iv) stability of structures whilst carrying out construction work, including temporary structures and existing unstable structures;
(v) preventing falls;
(vi) work with, or near fragile materials;
(vii) control of lifting operations;
(viii) the maintenance of plant and equipment;
(ix) work on excavations and work where there are poor ground conditions;
(x) work on wells, underground earthworks and tunnels;
(xi) work on, or near water where there is a risk of drowning;
(xii) work involving diving;
(xiii) work in a caisson, or compressed air working;
(xiv) work involving explosives;
(xv) traffic routes and segregation of vehicles and pedestrians;
(xvi) storage of materials (particularly hazardous materials) and work equipment;
(xvii) any other significant safety risks.
*Regulations made under the Clean Neighbourhoods and Environment Act 2005 are expected to require that from October 2007 all construction projects above a given value will be required to write and implement a site waste management plan (SWMP). The SWMP will record the amount of each type of waste that is expected to arise on site and whether it can be re-used, recycled, or needs to be disposed of. During construction the plan will be updated to map what happens against what was expected to happen, allowing lessons to be learned for future projects. Non-statutory guidance will explain the SWMP process in further detail.
August 2010 29 Managing health and safety in construction
(b) Health risks, including:
(i) the removal of asbestos; (ii) dealing with contaminated land; (iii) manual handling; (iv) use of hazardous substances, particularly where there is a need for health monitoring; (v) reducing noise and vibration; (vi) work with ionising radiation; (vii) exposure to UV radiation (from the sun); (viii) any other significant health risks.
The Health and Safety File
CDM Co-ordinators should provide a Health and Safety File for notifiable projects only – this should include the following:
(a) A brief description of the work carried out;
(b) Any residual hazards that may remain and how they have been dealt with (for example surveys, or other information concerning asbestos, contaminated land, buried services etc);
(c) Key structural principals (for example, bracing, sources of substantial stored energy - including pre, or post tensioned members) and safe working loads for roofs and floors, particularly where these may preclude placing scaffolding, or heavy machinery there;
(d) Hazardous materials used (for example lead paint, pesticides, special coatings that should not be burnt off);
(e) Information regarding the removal, or dismantling of installed plant and equipment (for example any special arrangements for lifting), order or other special instructions for dismantling;
(f) Health and safety information about equipment provided for cleaning or maintaining the structure;
(g) The nature, location and markings of significant services, including underground cables, gas supply equipment, fire fighting services etc;
(h) Information and as-built drawings of the structure, its plant and equipment (for example the means of access to and from service voids, fire doors and compartmentalisation).
This should be retained by the school for future use.
August 2010 30 Asbestos
All schools in Central Bedfordshire had original asbestos logs that contains an asbestos register based on am asbestos survey carried out in 1997.
Following HSE recommendations the LA has commissioned new asbestos management surveys of all schools regardless of status. It is anticipated that these new surveys will be completed by September 2011. The new management surveys provide schools with information on asbestos to manage within the school.
A SLA has been set up with Cambridgeshire County Council to provide asbestos consultancy services and this enables CBC and schools access to their framework of asbestos surveying companies and asbestos removal contractors.
When a school is planning a school notifable project that requires refurbishment or demolition of walls or access into ceiling void etc then a refurbishment/demolition survey is required under the Control of Asbestos Regulations 2006.
Even though the schools project manager of principal contractor may suggest an asbestos surveying company and environmental consultant CBC recommend that all refurbishment and demolition surveys are arranged through Cambridgeshire County Council. To assess whether schools contain asbestos, in 1996 the former County Council commissioned environmental consultants RPS Thompson, to carry out type 2 level asbestos surveys of all schools. From those initial reports, individual property log books were produced providing the location, the condition and the type of asbestos identified, with strict guidelines on how to proceed when dealing with asbestos materials.
Contact details: Phil Hill 01223 699210 or email [email protected]
The cost of asbestos refurbishment and demolition surveys and associated asbestos removal costs will be chargeable directly to the School, as will any fee incurred. Asbestos log books were issued to all schools with master copies held centrally at County Hall, Bedford. These copies are currently held at the Property Partner’s Office. From 1997 all properties were inspected annually, with any changes noted, logged and acted on if required.
The school should allocate sufficient time (3 months) for CCC to arrange any refurbishment/demolition survey Intrusive Refurbishment and Demolition surveys (Formerly Type 3 surveys) will not have been carried out unless in conjunction with planned/specific refurbishment works and therefore current asbestos logs will not provide a definitive identification of asbestos in all cases.
The asbestos register should be and is subject to updating when the condition of a known asbestos material changes, and/or when additional materials that were previously unidentified become known to the property via subsequent survey works.
By using CCC all schools surveys can be managed centrally and kept up to date
August 2010 31 and accurate. As part of the ongoing management of asbestos logs, the Property Partner Abestos Team (01223 699120) must be notified in writing, of any amendments including: . When asbestos is removed . Where additional areas of asbestos are identified . When condition of the asbestos material deteriorates . Where it becomes more susceptible to damage because of a change in usage of the area . When rooms/areas are altered (eg. by removal/erection of a partition)
Regular updates which take into account changes to asbestos logs will be forwarded to the relevant schools as and when they are available.
Planned Asbestos Work
The Property Partner’s Asbestos Team can arrange a complete asbestos works process on behalf of a school. The Asbestos Removal Contractors are selected from the CBC approved list, as are the Environmental Consultants used for analytical services.
Schools that arrange their own work must use a CBC approved licensed asbestos removal contractor and, if required, a CBC approved Environmental Consultant. Air testing is generally recommended in most cases to provide documented evidence of fibre levels during and following asbestos work.
Asbestos Removal Contractors
Any work on asbestos containing materials will be carried out by CBC approved licensed asbestos removal contractors, in accordance with the relevant Regulations.
The asbestos removal contractor and their staff must at all times:
. Comply with all relevant legislation, HSE guidance and the Central Bedfordshire Council Asbestos Policy Arrangements and Procedures.
. Provide site-specific method statements, risk assessment and plans of work where required in accordance with the Approved Codes of Practice.
. Liaise with the Property Partner’s Asbestos Team, appointed environmental consultants and any other contractors on site as directed by the Asbestos Team, or the appointed Contract Administrator.
. Comply with duties of the CDM Regulations and liaise with the Client, Principal Contractor and CDM Co-ordinator where a project is Notifiable under the CDM Regulations.
. Adopt a pro-active attitude to safety at all times while engaged on CBC sites.
. Ensure the current copies of all relevant documentation are available, including: HSE license; insurance; risk assessments; certificate of registration under the Control of Pollution Amendment Act 1989 to allow the transportation of asbestos waste, and consignment notes under the Special August 2010 32 Waste Regulations 1996 to allow for disposal; up to date medical examinations for site staff; face fit certificates for respiratory equipment; copies of up to date training certificates for site staff.
. When assisting surveyors with intrusive asbestos surveys, adequate tools should be made available to the site staff to gain access and repair damage if required.
All contractors must comply with CBC arrangements and procedures specified for the management of asbestos.
Before starting work contractors carrying out day to day maintenance and small works not requiring notification under the Construction Design and Management Regulations (CDM) will be required to inspect the information on asbestos materials contained in the log and sign the log accordingly. This must be on site, witnessed and signed by an Authorised Person.
All work not under the control of the Property Partner, but which is undertaken by other property advisors, or which are controlled by departments or schools directly, must be suitably documented to show compliance with the Council’s policy and procedures on asbestos. Detailed records on the location of asbestos will be forwarded by the clients to those undertaking such work. Equally, and any asbestos materials located as a result of work being carried out must be dealt with in accordance with council procedures. Where such a material is found, the Property Partner must be informed, with details on the action taken.
August 2010 33 School to provide asbestos Management survey as part of pre-construction information
Will work involve entering voids and or refurbishment and demolition?
Yes No
Proceed with caution if Legal requirement to carry out a suspect materials are refurbishment /demolition survey prior found contact H&S team to works commencing. on 0300 300 4985 School to contact Phil Hill at CCC to arrange survey
01223 699210 or email [email protected]
August 2010 34 PLANNED WORKS
Asbestos Management survey Log provided as part of pre-construction information.
Check scope of works against asbestos management surveysite log.
Will voids be Could any asbestos materials accessed during possibly be disturbed by work? proposed works, or enabling No works, or associated works? Yes Not Sure Yes Contact Phil Hill at CCC BC Approved Has the full extent of Environmental Analyst to arrangecarry out the asbestos been an Asbestos Refurbishment & Demolition identified? Survey. No Yes Prepare specification for removal works by CBC Approved Licensed Asbestos Contractor.
Appoint a CBC Approved Appoint a licensed asbestos Environmental Consultant to carry removal contractor. out site supervision and monitoring. Note 14 day notification
CBC approved Environmental Consultant to provide clearance certificates on completion of works.
Planned works to proceed with caution. If any suspect materials are identified contact the CBC Property Team
August 2010 35 (SECTION 4) PROCUREMENT, INSURANCE AND FINANCIAL ISSUES
Central Bedfordshire Council’s Procurement Procedure Rules 2010
Step 1
It is mandatory that you use existing corporate contracts set up by the Council. These can be viewed on the intranet under procurement. If there is no existing contract you should check if a ‘framework’ contract exists for that service set up by another public body via the ‘Procurement Hub’ www.improvementeast.gov.uk/procurementhub
Step 2
. For contracts valued up to £2,000 the principles of best value apply and the selection process should be documented. Wherever possible at least two competitive quotations should be obtained.
. For contracts valued from £2,001 - £20,000 a minimum of three written quotations on the supplier’s headed notepaper, or from the supplier’s email domain to the authorised officer should be obtained.
If the contract is then awarded to any other than the lowest bidder, then the reasons for doing so should be justified and recorded in writing.
. For contracts valued from £20,001 - £59,999 formal quotation by sealed bid (unopened envelope) opened in the presence of an independent authorised officer. At least three suppliers should be invited; five or more is best practice.
. For contracts valued from £60,000 – EU threshold a formal tender with advertisement and the inclusion of contract conditions is required. At least five suppliers should be invited. Guidance must be sought from the Procurement Team.
EU threshold – Works £3,927,260 – Supplies and Services £156,442
Any procurement above the thresholds is subject to EU Regulations and the Procurement Team must be consulted. The authorised officer must comply with one of the following options:
1. Undertake a publicly advertised competitive EU tender process seeking a minimum of five tenders.
2. Select a contractor from an existing EU compliant framework agreement. Where a mini competition is held, all providers who can meet the requirement must be invited to tender.
Further information and guidance can be obtained from the Procurement Team, email: [email protected]
August 2010 36 Duty of Disclosure
All Central Bedfordshire's insurance policies require that there should be full disclosure of any changes in circumstances during the policy year and insurers reserve the right, if not informed of relevant changes, to decline to insure the Council in respect of any claims relating to the changed circumstances. It is essential therefore that the Insurance Team are informed of significant changes to obtain the insurer’s agreement to continue the insurance policy. Risk Management should be advised when changes are being contemplated for the following:
. Any new property purchased in excess of £1m should be notified immediately.
. Any new projects requiring separate,separate or additional cover should be notified at the planning stage.
. Any new partnerships requiring separate,separate or additional cover should be notified at the planning stage.
. Any large sale of property, or equipment, or outsourcing of services should be notified immediately.
There is a 30 day notification period on all our insurance policies so all claims and those that are potential claims should be notified to the Insurance Team.
If you are in doubt as to whether a matter should be advised then contact the Insurance Team for advice on 0300 300 69988129.
School Notifiable Projects – Insurance and Financial Issues
(a) Central Bedfordshire Council does not provide insurance cover for construction works in progress, including minor alterations/refurbishment works. It is therefore essential that the terms of a contract are checked and that advice is sought from the architect, other professional involved or builder to identify what your responsibilities are in relation to insuring the existing buildings and works.
(b) Works In Progress
Appropriate insurance will be required when engaging contractors to carry out works such as refurbishment of a school. When you are arranging any refurbishment work, extension, or new build you are responsible for arranging, or ensuring the work is insured. Please note your contractor will require £10million Public Liability Cover. If they have insufficient cover you must complete a Works in Progress form to arrange extra cover and also complete a risk assessment.
The form must be completed and returned at least 1 month in advance of the commencement of work to allow time to process the request. There will be a charge for this cover which will be calculated on the value of the contract.
August 2010 37 (c) If you have any queries relating to this matter please contact the Insurance Team on:
Tel: 0300 300 8129 Email: [email protected]
Financial Considerations
(a) Any contractor employed by a School will be required to provide evidence of adequate insurance.
(b) Any contractor employed by a School, where the value of work is in excess of £250, will be required to present a copy of an Inland Revenue 714 Certificate, otherwise a School is responsible to the Inland Revenue for deducting tax at source.
(c) If any finance for funding the project is coming from an external source, VAT may be applicable.
(d) All financial transactions using School, or other Central Bedfordshire Council funding for the project must comply with Central Bedfordshire Council’s Procurement Procedure Rules which are currently being reviewed.
Procurement
All tenders above £2,000 should be undertaken, using the supporting documents provided in the Central Bedfordshire Procurement Toolkit. The Procurement Toolkit is available on the Central Bedfordshire Intranet, Financial Services/Procurement/ Procurement Toolkit http://intranet.centralbedfordshire.gov.uk/finance-accountancy- sap/procurement/toolkit.aspx
All tenders should be evaluated on both Price and Quality using the evaluation form provided in the Central Bedfordshire Procurement Toolkit .
Training for the use of the evaluation form and using the Procurement Toolkit is recommended and available to all schools. Contact Learning Matters at Central Bedfordshire Council to book on a course.
Choosing Your Contractor
The following pages provide a template giving advice on inviting quotes and tenders.
August 2010 38 Name Your ref: ABC EFG Address 1 Our ref: ABC EFG Address 2 Date: DD/MM/YYYY Address 3 Address 4 Postcode INVITATION TO PROVIDE TENDER
Dear xxx
Contract Description : Contract Location :
I am hereby inviting you to Tender for the above Works / Services / Goods.
I enclose the following: -
a) the Tender Documents
b) an addressed envelope for the return of this Tender (N.b. only on Tenders above £10,000, delete if not)
Will you please also note:-
You must check the documents, particularly the Specification, and if any pages are missing, duplicated, or the printing is indistinct, notify me at once, as the Council for such errors or omissions will afterwards admit no liability.
All items in the Pricing Schedule should be priced. Our Payment terms are 30 days after invoice
It is important for the proper comparison of Tenders that no unauthorised alterations have been made to the Tender Documents. Tenders containing unauthorised alterations or qualifications may be rejected. If you consider that changes are necessary, your proposals for such changes should be submitted to me at once for consideration & if I approve them, they will be circulated to all firms quoting.
August 2010 39 Bids shall remain open for acceptance for a minimum of <<30>> days. The Council expects to decide award of contract within <<14>> days of the closing date for submission of Tenders.
The Council is not bound to accept any Tender, or make any award from this Tender exercise. The contract will be awarded on the basis of the Most economic and advantageous Tender, based on the criteria as set out below. Acceptance of the Tender by the Council shall be in writing and on the Council’s official order form.
Resources/Quality = 35 % Costs = 65 % Specification – of Works, Services or Services
This is you checklist in what you need for your specification What Works, Services or Goods are we seeking through this purchase? Keep short and succinct. Specification of the item or service required The specification should be clear, precise, unambiguous and sufficient to prepare a valid bid. What does the Works, Services or Goods need to have? Supplies and services should be standardised wherever possible. What outcomes are we hoping to achieve (your aims and objectives) What are the timescales and milestones to achieve what you want to make sure you get what you want , when you want it What are KPI’s Key point indicators ( things you will measure to check they are on target ) What warrantees / Guarantees are you expecting in terms of months / years after the project has been completed. Define the standards expected of the Works, Services or Goods. E.g. to British standard BS5750 or equivalent. X X X X X X
Delete Notes these notes after completing
August 2010 40 Bona Fide (Genuine/In Good Faith) Tender
Any Tender submitted must be bona fide and without canvassing or soliciting any member, officer or employee of Central Bedfordshire Council, or fixing the rates with another supplier. You should also declare if you have a family or close friend working for the council
The completed Tender Documents are to be returned sealed in the envelope provided (N.b. only on Tenders above £10,000, delete if not)
The Tender must be submitted to xA.N. Other Job titlex not later than 12 noon on xx xx xx . Tenders received after that date will be discounted.
Will you please acknowledge receipt of this letter and enclosures by telephone, or email and confirm that you are able to submit a Tender in accordance with these instructions. If, for any reason, you are unable to do so, please return the documents unmarked without delay.
It is our intention to provide as much support and information as we can to help guide you through the Tender process. If there is anything you’re not sure of, or need clarification with, then do not hesitate to ask. We will supply copies of all questions asked together with our response to all firms quoting, to ensure a fair and consistent approach to all.
If you would like to visit us to discuss any queries then please contact me to arrange an appointment. Once again, do not hesitate to contact me if I can help in any way. N.B. We reserve the right to not award a contract from this Tender
Yours sincerely
A.N. Other Job title
Direct telephone 0300 300 XXXX Email [email protected]
Please reply to: (optional) Address 1 Address 2 Address 3 Postcode
August 2010 41 Please complete the following Quality Information and the Pricing Schedule attached in order that your bid maybe assessed Note: Failure to provide the required information requested may lead to your Tender being rejected.
During the evaluation process you may be asked to provide supplementary information, or be asked to attend an interview to discuss their tender in more detail. Internal note if question not applicable and not used leave question number but delete points and replace question with “Not applicable question deleted”. Environment 1 3 points Have you been prosecuted in the last 3 years, for any environmental Yes/No offence? Or have any case pending? If yes please give details 2 2 points Has your company initiated any processes or actions in relation to Yes/No improving your environmental performance? If yes please give details
Equalities 3 3 points In the last three years, have any findings of unlawful discrimination been Yes/No made against you or your firm by the Employment Tribunal, the Employment Appeal Tribunal or any other court or in comparable proceedings in any other jurisdiction? If yes please give details 4 2 points Is it your policy as an employer to comply with your statutory obligations Yes/No under current equal opportunities legislation? (Your practice must not treat one group of people less favourably than others because of their race, gender, age, religion or belief, disabilities or sexual orientation in relation to decisions to recruit, train or promote employees).
Health and Safety / Quality Assurance 5 3 points Has your organisation, during the last 3 years. Been prosecuted or had a Yes/No notice served for contravention of the health and safety at work act 1974 or associated regulations or been the subject of a formal investigation by the Health and Safety Executive or similar national body charged with improving health and safety standards? If yes please give details 6 2 points Does your organisation have a written health and safety at work policy, with Yes/No arrangements for implementing and monitoring the policy? 7 5 points Does your organisation hold a recognised quality management certification Yes/No for example BS/EN/ISO 9000 or have a quality management system? (“System” means processes and procedures to ensure that the subject is properly managed. This includes making sure that legal requirements are met) If yes please give details
Insurances -In event of award you will be required to provide evidence to CBC that you meet the below requirements or prior agreed levels (internal note - delete any insurance question not applicable, before sending out for Tender, but do not renumber)
August 2010 42 8 2 points Employer’s Liability: £ Please advise what insurance you hold? CBC Contract general contract requirement is £10,000,000 9 2 points Public Liability: £ Please advise what insurance you hold? CBC Contract general contract requirement is £10,000,000 10 2 points Professional Indemnity: (where appropriate) £ Please advise what insurance you hold? CBC Contract general contract requirement is £5,000,000
References - Please provide details from two recent contracts you have undertaken that are relevant to the Authority’s requirement.
11 3 points Organisation Name : Works Goods or Services supplied: Contract Details: Contract duration : from - to 12 3 points Organisation Name : Works Goods or Services supplied: Contract Details: Contract duration : from - to
Vulnerable People and Children Internal note if question not applicable and not used leave question number but delete points and replace question with “Not applicable question deleted”. 13 3 points Do you undertake CRB (criminal records bureau) checks on the people Yes/No who will be delivering the frontline services for this contract? If yes please give details 14 2 points Does your organisation have a written policy for working with children and Yes/No vulnerable people, with arrangements for implementing and monitoring the policy? If yes please give details
August 2010 43 Quality Questions in relation to you achieving our specification. If necessary expand on separate sheet – referring to question number 15 30 Method Statement - Provide information on your proposed method in detail for points carrying out the Contract for all services identified in the specification including R provisional items, and any work that will be sub contracted, (including list of the subcontractors). Detail materials to be used and warranties, any risks involved in this contract and how you suggest these could be managed effectively
16 15 Resources - Detail the Resources and your technical ability to carry out the service. points Provide Information on: The workforce to be employed for performance of the service and level of experience and level of resources to be used, e.g. time.
17 5 points Communication - Provide information on how you will effectively communicate with CBC and where applicable our customers and how you will deal any complaints
18 10 Monitoring -Provide information on monitoring of the contract and how you will insure points our required outcomes are met.
August 2010 44 PREAMBLES TO THE PRICING SCHEDULES
This preamble forms part of the Pricing Schedules. The Contractor where applicable should visit the area to satisfy himself as to the local conditions, the full extent and character of the operation, parking and general traffic level conditions, the supply and conditions affecting labour and all other factors which could affect the execution of the Contract generally as no claims on the grounds of lack of knowledge will be entertained.
(a) The Contractor is to read the preambles in conjunction with the Pricing Schedules and other Contract documents.
(b) The Contractor is again reminded that all quantities given are approximate quantities and given for guidance purposes only. No claim from the Contractor will be entertained by the employee for any mistakes in the information given.
(c) The Contractor shall price all items. Where items have not been priced they will be deemed to be covered by rates and prices inserted elsewhere in the Pricing Schedules.
(d) The rates to be inserted in the Pricing Schedules for works are to be the full inclusive costs. Labour rates must include all overheads, supervisory and administrative costs, together with an element of profit. Vehicle rates must also include all maintenance, insurance, taxation, running and fuel costs. No additions to these rates will be allowed other than in accordance with the method of review detailed in the Conditions of Contract.
(e) The prices and/or rates stated in this Price Schedule constitute the only reimbursement and profit to the company for providing the Services. The prices are deemed to cover all costs, expenses and profit incurred directly or indirectly by the Supplier in providing the Services.
(f) The price Tendered will be benchmarked against the original Tender and recorded throughout the life of the agreement as a KPI. This will be part to our annual efficiency review.
(g) All administration costs including overheads, printing, posting, copyright etc. are included within the prices Tendered below.
(h) The actual price to be paid will be a product of the rates detailed in this document. All work shall be authorised in advance and writing by the Commissioning Officer.
August 2010 45 PRICING SCHEDULE – FOR XXXXXXXX
ITEM DESCRIPTION NO. QTY UNIT UNIT TOTAL PRICE RATE £ COST £ FOR ITEM £ 1 To recover and transport vehicles from 5 EACH £50.00 £250.00 any site within the district of Central Bedfordshire or part thereof as outlined in the specification to compound or disposal facility within 24 hours. 2 Subcontract Labour cost 1 DAY £200.00 £200.00 3 Hours to be worked 150 Hours £10.00 £1500.00 4 5 6 TOTAL TENDER SUM £ £1950.00
August 2010 46 Central Bedfordshire Terms and Conditions STANDARD TERMS FOR THE SUPPLY OF GOODS, SERVICES AND WORKS
The Contract shall be constituted by and comprise only the Contract Documents; no terms or conditions put forward by the Supplier (including terms relating to hire, lease or loan) shall form part of the Contract unless signed by both parties. In the event of conflict, the Order, Terms and Purchaser Specification prevails. Any supply made in response to the Order shall be taken as conclusive acceptance of this term and any inconsistent or additional terms accompanying the supply shall be deleted and ignored.
1 DEFINITIONS AND INTERPRETATION 1.1 The words in parenthesis and/or Tender marks on the front of this Tender or on the Order describe or identify as appropriate the following or preceding words or matters and have the same meaning throughout these Terms. 1.2 The headings to the Terms shall not affect their interpretation. The singular includes the plural; one gender includes all others.
2 THE SUPPLY OF GOODS, SERVICES OR WORKS - QUALITY STANDARDS 2.1 The Supply shall be to the reasonable satisfaction of the Authorised Officer and shall without limitation conform with and fulfil in all respects: • the Contract Documents • any variation of the Contract agreed in writing by the parties • the requirements of any relevant UK or EC statute, order, regulation, directives, standard, code of practice or bye-law from time to time in force which is relevant to the Supply • any recommendation or representation made by the Supplier • professional standards which might reasonably be expected of the Supplier 2.2 Unless otherwise agreed in writing, neither performance nor functionality of any part of the Supply will be impeded by entry into the European monetary union. 2.3 The Goods, Services or works should be both fit for purpose and of merchantable quality. They should match both the specification given by the supplier and any request made by the council that the supplier has agreed to. 2.4 In the supply of ICT hardware and software, or other goods of a similar nature, that requires testing and approval after commissioning. No Payment will be made until approval sign off has been given by the councils appropriate authorised commissioning officer
3 THE CONTRACT PRICE AND INVOICING 3.1 The Payment Date defines how the Contract Price is payable. The Purchaser shall make payment, provided the Supply complies with the Contract, within 30 days after receipt of an invoice submitted on or after a Payment Date.
4 DELIVERY AND TIME FOR PERFORMANCE 4.1 Time shall be of the essence. The Authorised Officer must be notified and his consent obtained to any extension of time. 4.2 Access to Purchaser premises, facilities or storage by the Supplier shall comply with the reasonable requirements of the Purchaser and shall be at the Supplier’s risk. 4.3 If either party is unable to make or accept the Supply, through • strike, lockout by employees, war or civil commotion • cessation or serious interruption of land, sea or air communications or power supplies • exceptionally adverse weather, fire or other unavoidable cause it shall immediately notify the other party and then, the disabled party may decline to make or accept the Supply. The Purchaser shall notify the Supplier within 30 days of the end of that period whether it requires the Supply to be recommenced, varied or cancelled (without further liability to either party). Where the Supply is recommenced the Contract shall be varied to extend the time for completion or delivery of the Supply by the period of disability. 4.4 At the completion of the Supply the Supplier shall remove all materials from the Site (unless otherwise instructed) and permanently reinstate any damaged areas or surfaces and leave the Site in a clean condition ready for occupation.
5 PROPERTY RISK AND ACCEPTANCE 5.1 Without prejudice to any of the rights or remedies of the Purchaser (including those under Clause 7), property and risk in any Goods shall pass to the Purchaser on delivery or when the Authorised Officer notifies acceptance in writing where the Goods are to be subject to testing, whichever shall be the later.
6 DESPATCH OF GOODS AND DAMAGE IN TRANSIT 6.1 The Supplier shall free of charge and as quickly as possible either repair or replace (as the Purchaser shall elect) Goods which fail to arrive or arrive damaged.
7 INSPECTION AND REJECTION 7.1 The Supplier shall assist the Purchaser or his authorised representatives (free of charge) to make any inspections or tests the Purchaser may reasonably require of the Supply at any time prior to acceptance. 7.2 The Purchaser may suspend the Supply in whole or in part without paying compensation if the Authorised Officer is reasonably of the opinion that the Supplier is in breach of Clause 10. 7.3 The Purchaser may reject the Supply in whole or in part before acceptance if it is not completely in accordance with the Contract or becomes so during any Guarantee Period (including without limitation any slight or minor variation) and in such circumstances may, without prejudice to other rights or remedies:- • have the Supply repaired, re-done or replaced by the Supplier with a supply which complies in all respects with the requirements of the Contract • require a refund from the Supplier • make a reasonable deduction from the Contract Price determined by the Authorised Officer.
8 LABELLING AND PACKAGING 8.1 The contents shall be clearly marked. All containers of hazardous goods (and all relevant documents) shall bear prominent and adequate warnings. Product Data Sheets required by the Control of Substances Hazardous to Health Regulations 1988 and the Chemicals (Hazard Information and Packaging) Regulations 1993 must be provided (in a form suitable for photocopying). 8.2 All packaging materials will be considered non-returnable.
August 2010 47 9 INTELLECTUAL PROPERTY RIGHTS AND CONFIDENTIALITY 9.1 The Supply shall not infringe the intellectual property rights of any third party. 9.2 All rights (including without limitation ownership and copyright) in any specifications, information, instructions, plans, drawings, patterns, models, designs or other material furnished to or made available to the Supplier by the Purchaser or obtained by the Supplier in connection with the Contract shall remain vested solely in the Purchaser and shall be kept confidential. 9.3 Where the Contractor has access to information about people, it shall ensure that in making the Supply, the provisions of the Data Protection Act 1998 are observed (and also Purchasers’ data protection requirements notified to the Supplier). 9.4 This clause shall apply both during the Contract and after its termination. 9.5 The intellectual property rights (including without limitation copyright) in any thing arising out of the Supply shall vest in the Purchaser.
10 HEALTH AND SAFETY 10.1 Without prejudice to the generality of Clause 2.1 the Supplier in making the Supply shall have full regard to safety of persons who may be affected in any way and shall comply with the requirements of the Health and Safety at Work Act 1974 and its subordinate regulatory framework, and of any other Acts pertaining to the health and safety of persons. 10.2 The Supplier shall conduct all necessary tests and examinations prior to delivery of the Supply to ensure that the Supply is designed, constructed and delivered so as to be safe and without risk to the health or safety of persons using them. The Supplier shall give the Purchaser adequate information about the use for which the Supply has been designed and has been tested and about any conditions necessary to ensure that when put to use the Supply will be safe and without risk to health. 10.3 Throughout the progress of any Works, the Supplier shall keep the Site in an orderly state and shall provide and maintain at its own cost all lights, guards, fencing and warning signs for the protection of the Works and the safety and convenience of the public and others. 11 INDEMNITY AND INSURANCE 11.1 Without prejudice to any rights or remedies of the Purchaser (including those under Clause 7) the Supplier shall indemnify the Purchaser against all matters of any kind arising in contract, tort, statute or otherwise directly or indirectly out of the wrongful act, default, breach of contract or negligence of the Supplier, its sub-contractors, employees or agents in the course of or in connection with the Contract. Without prejudice to the generality of the foregoing this indemnity shall extend to (and not be limited) in respect of death or injury to persons, damage to property, prevention of corruption, the infringement of intellectual property rights, health and safety, race relations, data protection and Ombudsman investigations. Public Indemnity insurance £5 million per incident. 11.2 The Supplier shall effect, with a reputable company, public and employer’s liability and other insurances necessary to cover the risks contemplated by the Contract and shall at the request of the Purchaser produce the relevant policy or policies together with receipts or other evidence of payment of the latest premium due thereunder. Public liability cover of at least £10 million per incident shall be obtained, unless agreed otherwise with the Authorised Officer. Where the Supply is a supply of consultancy services the Supplier shall maintain professional indemnity insurance during the Contract period and for 6 years afterwards to cover its liability to the Purchaser under the Contract.
12 RACIAL DISCRIMINATION, OMBUDSMAN INVESTIGATIONS AND HUMAN RIGHTS 12.1 The Supplier shall not unlawfully discriminate within the meaning and scope of the provisions of Race Relations Act 1976, Sex Discrimination Act 1975, and the Disability Discrimination Act 1995 or any statutory modification or re-enactment thereof relating to discrimination in the provision of services to the public or in employment or contravene the Human Rights Act 1999. The Supplier shall to the extent relevant to the delivery of the Supply comply with the Purchaser’s equal opportunities policies, which may be consulted. The Supplier shall take all reasonable steps to secure the observance of these provisions by all servants, employees or agents of the Supplier and all sub-contractors employed in the execution of the Contract.
12.2 If either the Purchaser’s internal or external auditors or if the Commissioner for Local Administration (the Ombudsman) shall wish to investigate the Contract, then the Supplier shall provide such information, access and co-operation as those persons may reasonably require.
13 PREVENTION OF CORRUPTION 13.1 The Purchaser may terminate the Contract and recover all its loss if the Supplier, its employees or anyone acting on the Supplier’s behalf do any of the following things: • offer, give or agree to give to anyone any inducement or reward in respect of this or any other Purchaser contract (even if the Supplier does not know what has been done); or • commit an offence under the Prevention of Corruption Act 1889 to 1916 or under Section 117(2) of the Local Government Act 1972; or • commit any fraud in connection with this or any other Purchaser contract whether alone or in conjunction with Council members or employees.
14 TERMINATION 14.1 The Purchaser may also by notice in writing terminate the Contract in whole or in part (and enter upon and expel the Contractor from any premises or site to which he has been given access) if any of the events specified in Clause 14.2 occur. No period of notice shall be required but the notice shall state the date on which it is to take effect. 14.2 The events referred to in Clause 14.1 are:- 14.2.1 the Supplier has failed to make the Supply within the time specified in the Contract 14.2.2 the Supplier has breached the Contract in a way which the Purchaser reasonably regards as irremediable, which may include, without limitation, repeated and/or persistent remediable breaches of the Contract 14.2.3 the Purchaser has given the Supplier at least one month’s notice to remedy a breach of contract which can be remedied and the Supplier has failed to do so 14.2.4 the Supplier has without reasonable cause failed to proceed diligently with or wholly suspends performance of any Services or Works 14.2.5 the Supplier shall have a receiver appointed over all or substantial part of his or its assets or (if an individual) be declared bankrupt or (if a company) shall go into liquidation or have an administrator appointed to manage its affairs.
August 2010 48 14.3 In the event of termination of the Contract or rejection under Clause 7, the Purchaser may engage another contractor to make the Supply and the Supplier shall be liable to pay the Purchaser as a debt any extra cost that the Purchaser incurs in so doing in excess of the Contract Price.
15 ASSIGNMENT AND SUB-CONTRACTING 15.1 The Supplier shall not without the written consent of the Authorised Officer assign or sub-contract the benefit or burden of the whole or any part of the Contract. No sub-contracting by the Supplier shall in any way relieve the Supplier of any of its responsibilities under the Contract.
16 PURCHASE OUTSIDE THE CONTRACT AND THIRD PARTIES 16.1 The Purchaser shall have the right to employ a person other than the Supplier to make supplies of the same type as is contemplated by the Contract if it shall in its absolute discretion think fit to do so. 16.2 The Contract shall not confer any benefit on any third party.
17 NOTICES 17.1 Any notice about the Contract may be sent by hand or by ordinary, registered or recorded delivery post or transmitted by facsimile transmission or other means of telecommunications resulting in the receipt of written communication in permanent form and if so sent or transmitted to the address of the party shown on the Contract, or to such other address as the party has notified to the other, shall be deemed effectively given on the day when in the ordinary course of the means of transmission it would be first be received by the addressee in normal business hours.
18 GOVERNING LAW 18.1 These Conditions shall be governed by and construed in accordance with English law and the Supplier hereby irrevocably submits to the exclusive jurisdiction of the English courts. 19 CONTRACT REVIEW 19.1 This contract is subject to continual review and as part of the process Central Bedfordshire Council will review the works, good and services required. Should the need for that service be no longer required, either by the demand being transferred to another body (i.e another Town or Parish council etc) or that we wish to discontinuing supplying that demand, then we reserve the right to withdraw those works, goods and services from the contract. This removal will be undertaken giving 30 days notice and the costs for those services will be deducted from the overall contract value. Central Bedfordshire council will not be liable for any addition costs attributed to the removal of those services. 19.2 We at Central Bedfordshire Council expect our suppliers to work with us to constantly improve their service and create efficiencies for the future. Therefore we will conduct annual reviews to monitor progress on; Communication, Customer Satisfaction, Product Rationalisation, Environment, Equalities, Improvements to service, Innovation, Price and Quality standards. This review will not only focus on achievements made in these areas from the previous year, but also ideas and proposals for the following year. Both the supplier and an authorised officer from the council will sign off all reviews. Should there be an inflationary clause in a long-running contract, no payment will be made against that clause until after the review has taken place.
August 2010 49 Opening of sealed Quotation / Tender
Contract Number : Contract Description : Contract Location :
Contract Period : Last Date for Receipt of Tenders/ Quotations : Name of Lead Officer : Corporate Director : Authority - Committee/Delegated Officer : Where Contract Opened :
Tenders Invited Date & Time Tender Amount from Rec’d £ = p
Date opened: Time:
In the presence of a) The following Central Bedfordshire Council Officers Signature
On behalf of the Corporate Director
August 2010 50 WORKS IN PROGRESS INSURANCE COVER FOR SCHOOLS
NAME OF SCHOOL
ADDRESS
NATURE OF WORKS
CONTRACTORS
VALUE OF CONTRACT £
DATE COVER REQUIRED
ADDITIONAL COVERS
Some contracts for buildings works stipulate that the insured, i.e. the school, must insure certain other items against loss or damage, if this is the case please specify these requirements below.
PLANT OWNED BY THE SCHOOL
VALUE OF OWN PLANT £
PLANT HIRED IN BY THE SCHOOL
VALUE OF PLANT HIRED IN £
HIRING CHARGES
CHARGES FOR PLANT HIRED BY THE SCHOOL £
SITE HUTS & TEMPORARY BUILDINGS
VALUE OF SITE HUTS & TEMPORARY BUILDINGS £
For cover to be effective this form must be completed by a person authorised by the school and accepted by an authorised signatory on behalf of the insurers
SCHOOL SIGNATORY NAME DATE
INSURERS SIGNATORY NAME DATE
Return to: Insurance Team, Technology House, 239 Ampthill Road, Bedford, MK42 9BD August 2010 51 Example
Title:
RISK REGISTER
Date:
52 CENTRAL BEDFORDSHIRE COUNCIL – DEPARTMENT/SERVICE RISK REGISTER
Corporate/Strategic Objectives:
1. To build strong, prosperous and sustainable communities 2. To help those who need our support most 3. To help children and young people to achieve their full potential 4. To transform Central Bedfordshire Council into an efficient, high achieving Council
Priorities:
Medium Term Priorities (MTP) 1. Improving road and pavement maintenance 2. Improving value for money through increased efficiency while delivering innovative, customer focused and high quality services 3. Improving children’s GCSE results 4. Minimising the increase in future cost of waste disposal 5. Tackling anti-social behaviour and reducing the fear of crime 6. Improving opportunities for older people to live independently at an affordable cost to them
Long Term Priorities (LTP) 7. Effectively managing growth (at least 80.000 new homes) and work with government to deliver better infrastructure by 2031 8. Creating 50,000 new jobs locally by 2021 9. Making transport improvements to keep the authority moving and support economic growth 10. Reducing the Council’s carbon footprint and leading Central Bedfordshire’s response to climate change
Identification of Risks:
These are the risks that threaten the achievement of the project objectives, in each case these have been mapped to the Council’s key priorities and the strategic objectives. Risks are documented in risk score order with the High risks identified first.
53 Risk without controls Risk with controls No RISKS Likelihood Impact Score Controls in Place / Remedial New New New Leading Target COSTS £ Date Action Likelihood Impact Score Officer(s) (Est.)
1. Use of Alan Payne Consultant 2 3 6 2 2 4 that has professional indemnity insurance to £2m and not the £5m standard that Central Bedfordshire Council requires, potentially leading to inadequate cover in the event of the claim.
54
RISK SCORING CHART - This scoring gives the following risk ranking:
High risk - score of 16-25 Medium risk - score of 8-15 Low risk - score of 1-7
Very High Low Medium Medium High High (Catastrophic 5 ) (5X1 = 5) (5X2 = 10) (5X3 = 15) (5X4 = 20) (5X5 = 25)
High Low Medium Medium High High 4 (Severe) (4X1 = 4) (4X2 = 8) (4X3 = 12) (4X4 = 16) (4X5 = 20)
Medium Low Low Medium Medium Medium 3 Impact (Major) (3X1 = 3) (3X2 = 6) (3X3 = 9) (3X4 = 12) (3X5 = 15)
Low Low Low Low Medium Medium 2 (Reasonable) (2X1 = 2) (2X2 = 4) (2X3 = 6) (2X4 = 8) (2X5 = 10)
Very Low Low Low Low Low Low 1 (Low) (1X1 = 1) (1X2 = 2) (1X3 = 3) (1X4 = 4) (1X5 = 5)
1 2 3 4 5 Very Low Low Medium High Very High (Rare) (Unlikely) (Possible) (Likely) (Very Likely)
Likelihood (Probability)
IMPACT & LIKELIHOOD DESCRIPTIONS - This table helps to define levels of impact and likelihood:
55 Impact: Service Delivery Financial Loss Reputational Health & Safety
Catastrophic Total system dysfunction Key person resignation/ Fatality or permanent disability Total shutdown of operations. Over £5m removal Sustained adverse (single event) publicity in national media Severe All operational areas of a location Sustained adverse publicity Greater than 6 months absence for compromised Up to £5m in national media more than 5 people (single event) Other locations may be affected Board and Member dissatisfaction Major Disruption to a number of operational areas Significant adverse publicity Greater than 20 days absence for within a location and possible flow on to other Up to £1m national media more than 5 people (single event) locations
Reasonable Some disruption manageable by altered Significant adverse publicity Short term absence for up to 5 operational routine Up to £250k in local media people (single event)
Low No / minimal interruption to service. Minor adverse publicity in Short term absence for up to 5 Up to £100k local media people (single event)
Likelihood: Indicators Rare Likely to occur every 10+ years/up to a 10% chance of occurrence Unlikely Likely to occur every 10 years/up to a 20% chance of occurrence Possible Likely to occur every 5 years/up to a 40% chance of occurrence Likely Likely to occur every 3 years/up to a 60% chance of occurrence Very Likely Likely to occur each year/over 60% chance of occurrence
Remedial Action Options: Implemented, Proposed & % implemented
56 Title:
RISK REGISTER
Date:
57 CENTRAL BEDFORDSHIRE COUNCIL – DEPARTMENT/SERVICE RISK REGISTER
Corporate/Strategic Objectives:
1. To build strong, prosperous and sustainable communities 2. To help those who need our support most 3. To help children and young people to achieve their full potential 4. To transform Central Bedfordshire Council into an efficient, high achieving Council
Priorities:
Medium Term Priorities (MTP) 1. Improving road and pavement maintenance 2. Improving value for money through increased efficiency while delivering innovative, customer focused and high quality services 3. Improving children’s GCSE results 4. Minimising the increase in future cost of waste disposal 5. Tackling anti-social behaviour and reducing the fear of crime 6. Improving opportunities for older people to live independently at an affordable cost to them
Long Term Priorities (LTP) 7. Effectively managing growth (at least 80.000 new homes) and work with government to deliver better infrastructure by 2031 8. Creating 50,000 new jobs locally by 2021 9. Making transport improvements to keep the authority moving and support economic growth 10. Reducing the Council’s carbon footprint and leading Central Bedfordshire’s response to climate change
Identification of Risks:
These are the risks that threaten the achievement of the project objectives, in each case these have been mapped to the Council’s key priorities and the strategic objectives. Risks are documented in risk score order with the High risks identified first.
58 Risk without controls Risk with controls No RISKS Likelihood Impact Score Controls in Place / Remedial New New New Leading Target COSTS£ Date Action Likelihood Impact Score Officer(s) (Est.)
59 Risk without controls Risk with controls No RISKS Likelihood Impact Score Controls in Place / Remedial New New New Leading Target COSTS Date Action Likelihood Impact Score Officer(s) (Est.)
60 Risk without controls Risk with controls No RISKS Likelihood Impact Score Controls in Place / Remedial New New New Leading Target COSTS Date Action Likelihood Impact Score Officer(s) (Est.)
61
RISK SCORING CHART - This scoring gives the following risk ranking:
High risk - score of 16-25 Medium risk - score of 8-15 Low risk - score of 1-7
Very High Low Medium Medium High High (Catastrophic 5 ) (5X1 = 5) (5X2 = 10) (5X3 = 15) (5X4 = 20) (5X5 = 25)
High Low Medium Medium High High 4 (Severe) (4X1 = 4) (4X2 = 8) (4X3 = 12) (4X4 = 16) (4X5 = 20)
Medium Low Low Medium Medium Medium 3 Impact (Major) (3X1 = 3) (3X2 = 6) (3X3 = 9) (3X4 = 12) (3X5 = 15)
Low Low Low Low Medium Medium 2 (Reasonable) (2X1 = 2) (2X2 = 4) (2X3 = 6) (2X4 = 8) (2X5 = 10)
Very Low Low Low Low Low Low 1 (Low) (1X1 = 1) (1X2 = 2) (1X3 = 3) (1X4 = 4) (1X5 = 5)
1 2 3 4 5 Very Low Low Medium High Very High (Rare) (Unlikely) (Possible) (Likely) (Very Likely)
Likelihood (Probability)
62 IMPACT & LIKELIHOOD DESCRIPTIONS - This table helps to define levels of impact and likelihood:
Impact: Service Delivery Financial Loss Reputational Health & Safety
Catastrophic Total system dysfunction Key person resignation/ Fatality or permanent Total shutdown of operations. Over £5m removal Sustained disability (single event) adverse publicity in national media Severe All operational areas of a location Sustained adverse Greater than 6 months compromised Up to £5m publicity in national absence for more than 5 Other locations may be affected media people (single event) Board and Member dissatisfaction Major Disruption to a number of operational Significant adverse Greater than 20 days areas within a location and possible Up to £1m publicity national media absence for more than 5 flow on to other locations people (single event)
Reasonable Some disruption manageable by Significant adverse Short term absence for altered operational routine Up to £250k publicity in local media up to 5 people (single event) Low No / minimal interruption to service. Minor adverse publicity Short term absence for Up to £100k in local media up to 5 people (single event)
Likelihood: Indicators Rare Likely to occur every 10+ years/up to a 10% chance of occurrence Unlikely Likely to occur every 10 years/up to a 20% chance of occurrence Possible Likely to occur every 5 years/up to a 40% chance of occurrence Likely Likely to occur every 3 years/up to a 60% chance of occurrence Very Likely Likely to occur each year/over 60% chance of occurrence
Remedial Action Options: Implemented, Proposed & % implemented
63