Top Level Environmental and Social Risk Assessment Checklist

							Top Level Environmental and Social Risk Assessment Checklist

The objective of this checklist is to identify areas that should be addressed in the design and
specification stage of the procurement exercise. All questions that result in a positive
response should be addressed within the specification documents, in proportion to the
weighting awarded to the area and in relation to the Authority’s ability to influence the supply
base. A weighting between 1and 5 should be applied to each question that provides a
positive response in order to prioritise those areas that should be address in the
specification. With 1 representing minimal risk and 5 a significant risk, the following criteria
should be used to achieve the weighting:

   Value / volume of the Contract
   Duration of the contract
   Geographical application of the contract
   Profile of the contract
   Ability to influence the supply base

                                                                                   Assessment
Questions relating to purchasing requirement                                       Yes/No
                                                                                   Weighting 1-5


Energy

Does the product or service being purchased have the potential for high
energy consumption. This should be assessed over the whole product/
service lifecycle. For example in the case of products, the manufacturing
process should be considered as well as the operation of the product.

If the answer is yes:

Ensure the specification has required the use of energy saving features and
procedures related with the manufacture, operation and consumption of all
products and services.

Are there any opportunities to utilise Green sources of energy in the
processes, thereby offsetting some of the negative environmental impacts.
(Need to have backup information for the assessment)



Materials

Is the product made of  or does the service supplier use  unsustainable
materials?

If the answer is yes:
Is there an alternative material that could be used or is there an alternative
means of delivering the requirement?
Has the design of the product minimised the use of the unsustainable
product?
Has the product been designed to facilitate the recycling of this material?
Emissions and Discharges

Does the use of the product or the delivery of the service entail the
production of waste products or emissions?

If the answer is Yes:
Check with environmental health, the Environment agency or the water
company if consent is needed to deal with them.
Has the specification been developed in such a ways as to minimise this?
Have the full costs of dealing with these bi-products been fully identified?
Has a plan been developed to manage these bi-products in the least
environmentally damaging way?



Distribution

Does the fulfilment of the contract require the physical distribution of the
product or service?

If the answer is yes:
Has the specification been designed to minimise the transport distances and
specified the use of environmentally aware transport practices?
For consumable items that have catalogues, are you ensuring these are
available electronically?




Waste

Will the product or service produce waste?

If the answer is Yes:
Check that measures to ensure correct disposal of waste are included in the
specification, including the use of licensed waste carriers and sites.



Natural environment

Will the product or service affect a Site of Special Scientific Interest, National
or Local Nature Reserve or protected species?

If the answer is Yes:
Check with English Nature if consent is needed to carry out the work.
Built environment

Will the product or service affect a Listed Building, Conservation Area, Tree
Preservation Order, Scheduled Ancient Monument or the World Heritage Site
or does it require planning permission?

If the answer is Yes:
Check with the Local Planning Authority if consent is needed to carry out the
work.



Packaging

Does the product necessitate some form of packaging?

If the answer is Yes:
Ensure that the packaging is kept to a minimum.
Encourage the supplier to use packaging that has a high recycled content
If possible arrange for delivery to include removal of packaging
If manuals are to be supplied with product request they are printed using
recycled paper and double sided.



Skills

Does the contract involve staff?

Will the contract need to work with internal staff or customers?

If the answer is Yes:
Ensure the specification provides guidelines and practices required to deal
with staff and customers.
Include information on the minimum qualifications and training levels of staff
required to carry out service.
If contract is over a long period of time request details of a succession plan to
allow continuity of service.



Equalities and Diversity

Is there a requirement to be sensitive to people’s needs?

If the answer is Yes:
Include within the specification the needs of the users and explain the level of
consideration required by the contractor.
Explain the level of professionalism required when representing the Council.
Ask the contractor to provide information on policies and procedures in
relation to race, equality and discrimination issues.
Disabilities

Does the contract need to make provision for the disabled?

If the answer is Yes:
Ask the contractor to include method statements on how their needs will be
taken into consideration.



Diverse Business Groups

Could this contract be provided by and SME or Sheltered Workshop?

If the answer is Yes:
Check to see if the contract is listed on the supported business directory
website. The contract could possible be ring fenced.
Consider how and where is the tender going to be advertised to best target
potential bidders.



Ethical

Is there the potential for the products to come originally from the 3rd World?

If the answer is Yes:
Make allowance within the specification for fair and ethical trade options to be
put forward.



Strategy

Could this contract be aggregated?

If the answer is Yes:
Ensure the tender documents contain details on all lots.



Having undertaken the top level assessment, for those areas recording a positive response
and a score of more than 10 overall or 5 in any one single category, a more detailed risk
assessment should be undertaken to identify opportunities to minimise the risk.

The officers undertaking the procurement exercise should draw on whatever resources are
available to them internally or from within the marketplace in order to enable them to make
an informed assessment.

The conclusion of the more detailed assessment should be a summary of which aspects of
the procurement have been deemed as significant and manageable and should identify how
these aspects are to be managed through the subsequent stages of the procurement
exercise.