SELECT LIST OF CONTRACTORS

applica t i o n fo r m fo r S ELECT LIST O F CONTRACTORS 1 working in par tnership to provide quality homes and ser vices in safe and sustainable communiti es FOREWORD As one of the largest Registered Social Landlords in the Tees Valley we manage over 11,350 homes and currently employ over 304 people. As # # # # # an organisation our key aims are: Become an excellent organisation Improve sustainability of neighbourhood and communities Reshape provision of affordable housing to meet future local needs Demonstrate value for money and efficiency in all that we do Secure the long term viability of the company Thank you for applying to be included on our select list of contractors to carry out works on behalf of Tristar Homes. The reason for this list is to reduce the time taken to advertise for expressions of interest and to use local contractors wherever possible. Inclusion on the list does not automatically mean that you will be given work, however, you will be given the opportunity to Tender or Quote for the work depending on the value when required.This will be carried out by rotation with the successful contractor previously being given the chance to tender again. If accepted, it is a chance to work with our Building Services Division, and be included in our partnership framework that offers you the chance to benefit from our in house training and our promotional events that we intend to run in the future. 2 Procurement Manager A. COMPANY INFORMATION A1 Firm making application A2 Main address for correspondence (Tenders will be sent to this address unless requested otherwise) A3 Registered office (if different from above) A4 Person applying on behalf of the firm 3 A5 Position in firm A6 Telephone Number A7 Are you the sole trader, partnership, private limited company, public limited company or other (Please specify)? A8 List the full names of every Director, Partner, Associate and Company Secretary. A9 Have any of the Directors, Partners or Associates been involved with any firm, which has been liquidated or gone into receivership? (If so, please give details) A10 Has any Director, Partner or Associate been employed by this Company? (If so, please give details) A11 Please state if any Director, Partner or Associate has a relative(s) who are employed by the Company at a senior level or is a Board Member. A12 Please state the names of Directors, Partners or Associate's of your firm who have any involvement in other firms who provide services to the Company. Where a Limited Company (Complete Questions A13 - A16) A13 Please state the firm’s date of registration and registration number under the Companies Act 1985. A14 4 Date of registration and registration number under Industrial and Provident Societies Acts 1965 to 1978 A15 If the Company is a member of a group of companies, give the names and addresses of the ultimate holding company and all other subsidiaries. A16 Would the group or the ultimate holding company be prepared to guarantee your contract performance as its subsidiary? (Tick as appropriate) YES K NO K B. CATEGORIES OF WORK AND REFERENCES B1 Please indicate the categories you wish to be considered for by ticking the appropriate columns. CIVIL ENGINEERING 1 2 3 4 5 Drainage Concrete Repairs Demolition Concrete Paving Drain Cleaning (Tick as appropriate) BUILDING CONSTRUCTION 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 General Building Asbestos Removal (Tick as appropriate) Electrical Engineering Mechanical Engineering Painting & Decorating Roofing Glazing UPVC Windows Fencing Works Aluminium Gutters Insulation - Cavity & Loft Bath Resurfacing Void Security Scaffolding Joinery 5 Security Services Type of work if not listed above Landscaping CCTV Plumbing & Heating Flooring Stairlifts Adaptations for Disabled Graffiti Removal Damp Proofing Other work categories not listed above please state B2 Does your company hold a current licence for asbestos removal if your company is applying for Asbestos Removal? (Tick as appropriate) YES K NO K If yes, please enclose a copy of the licence (Tick if enclosed) ENCLOSED K B3 Has your firm suffered a deduction for liquidated and ascertained damages in respect of any contract within the last 3 years? (Tick as appropriate) YES K NO K B4 Has your firm ever had a contract terminated or your employment determined under the terms of the contract? (Tick as appropriate) YES K NO K Has your firm ever not had a contract renewed for failure to perform to the terms of a contract? (Tick as appropriate) YES K GUARANTEE SCHEMES B5 NO K B6 Please list below the full names of any guarantee schemes of which your firm is a member.Where appropriate, please indicate the maximum value of any one contract covered by the guarantee scheme. FULL NAME OF ORGANISATION REGISTRATION NO (IF ANY) VALUE OF WORK GUARANTEED AND TYPE 6 B7 If the answer to any of questions B3 - B5 is yes, please enclose details (Tick if enclosed) REGULATORY BODIES Is your company registered with the Considerate Constructors Team ENCLOSED K B8 A) B) C) NICEIC Is your firm on the Roll of Approved Contractors of the NICEIC? (Tick as appropriate) What is your registration number? (if any) Please indicate any other regulatory bodies with which you are registered Other regulatory bodies CORGI What is your registration number? (if any) (Tick as appropriate) YES YES K K NO NO K K D) B9 Job Descriptions References How does your firm assess the suitability and competence of potential workers? (Please indicate as appropriate) Application Forms Qualifications Inspection of previous work Personal Recommendation Other (please specify) B10 Trial period before confirmation of employment State the approximate number of employees in your company engaged in specific type of work for which you are applying Number of Employees Management Professional/Technical Admin/Clerical Operative Other Operative Supervisor B11 What qualifications do your staff have which are relevant to the work which is subject of this application? Please list: STAFF QUALIFICATIONS 7 B12 Are you willing to supply names and addresses of all workers who may, in the course of their duties, come into contact with vulnerable groups such as: the elderly, young people, physically or mentally handicapped persons, in carrying out (as your employees, or sub contractors, or sub contractors employees, etc) work for this company. (Tick as appropriate) YES K NO Do you undertake to keep proper and up-to-date records of all persons in your firm's employ? (Tick as appropriate) YES K NO K B13 K B14 REFERENCES Please list below the full names, addresses and other details requested or organisations for which your firm has recently carried out work.The information given should cover the whole range of work for which your firm wishes to be considered. NAME & FULL POSTAL ADDRESS OF ORGANISATIONS AND DEPARTMENT ARCHITECT/ENGINEER/SUPERVISING OFFICER CONTRACT TITLE TENDER PRICE (£) TYPE OF WORK DATE OF CONTRACT 8 NB: You may use additional sheets if necessary, but please mark clearly Question B14 C. CONTRACTOR SAFETY, HEALTH & ENVIRONMENT EVALUATION QUESTIONNAIRE GUIDANCE FOR COMPLETION The purpose of this evaluation document is to enable Tristar Homes to obtain information on your company as to how you see yourselves regarding the Management of Safety, Health & the Environment (SH&E). The document is split into 10 sections relating to the management of SH&E: 1 2 3 4 5 6 7 8 9 10 Management of Safety, Health & Environment Occupational Health Safety, Health & Environment monitoring and review Safe Systems and Procedures Training Accident Reporting and Investigation Emergency Procedures Communications Environment Workplace Safety The document is a 'self evaluation process' in that it is completed entirely by your company and submitted to Tristar Homes for retention in the records as confirmation of your management processes. The document should be completed in full by either ticking the boxes labelled: - YES, NO or Not Applicable and any comments or company reference documents noted in the appropriate columns. 9 SECTION 1 - Management of Safety, Health & Environment No. 1 QUESTION 1.1 1.2 1.3 This question is required to establish whether the policy also identifies the companies' considerations for environmental concerns and the protection of third parties such as tenants and the general public The purpose of this question is to establish whether the company meets the requirements of Section 2(3) of the Health & Safety at Work Act (1974), which requires an employer with 5 or more employees to prepare a written statement of general policy with regard to its commitment to Health & Safety matters. SH&E POLICY COMMENTS 1.4 Most policies include a general statement of intent.This statement should be dated and signed by the most senior members of management to demonstrate full management commitment to the SH&E process within the company (The policy should be annually reviewed to ensure that it remains up to date with current legislation). It is important that the contents of this policy are communicated to all employees so that they understand the companies' commitment to SH&E, the best approach to this is the inclusion of the information in the companies induction training programme, with registered copies given to all employees. ORGANISATION 2 2.1 2.2 This question is to establish whether each member of the management structure has been formally detailed with his/her specific management responsibilities with regard to the SH&E requirements of the company. Management of the Health & Safety at Work Regulations requires all employees to appoint or use the services of suitably qualified and skilled 'competent' persons to assist management in meeting its SH&E legal requirements, this question is aimed at establishing whether the company has met this legal requirement to the best of its ability. 10 SECTION 1 - Management of Safety, Health & Environment No. 1 QUESTION 1.1 1.2 1.3 1.4 2 2.1 Does this policy include a commitment to protecting the Environment and any other people who may be affected by its operations? Is the policy signed by senior management personnel within the company, endorsing their commitment to the process? Has the contents of the policy been brought to the attention of every employee in the company? ORGANISATION Does the company have a written policy statement detailing its full commitment to preserving the Health & Safety of its employees? SH&E POLICY YES / NO / NA COMPANY DOCUMENT REF: YES K YES K YES K YES K YES K NO K NO K NO K NO K NO K NA K NA K NA K NA K NA K 2.2 Do all members of management have defined management responsibilities on the Safety, Health & Environmental aspects of the company? Does the company employ a Safety, Health and Environment professional (suitably qualified) or use the services of professional agencies for guidance and advice on SH&E? YES K NO K NA K 11 SECTION 1 - Management of Safety, Health & Environment No. 3 QUESTION 3.1 3.2 3.3 A valid risk assessment should always identify the significant risks to which the employees are exposed and stipulate adequate precautions and control measures to eliminate or reduce the risk to an acceptable level. Do your risk assessments fully meet this criteria? The regulations mentioned above require assessments to be reviewed where there is reason to suspect they are no longer valid or there has been significant findings in matters to which they relate.The process should have some form of formal review process to ensure that they are still valid. Clearly the risk assessments have no real value if they are not applied and enforced, and the operatives do not fully understand what the requirements are - this is an essential requirement for all staff. It is vital that sufficient resources and equipment are provided, as without these, operations will not work as expected. OTHER ITEMS The management of Health & Safety at Work Regulations 1992 (amended 1999) requires employers to complete Risk Assessments.This question is to establish whether this requirement is fully met. RISK ASSESSMENT COMMENTS 3.4 4 4.1 4.2 4.3 12 Management of SH&E is often well served when it is operated as part of an IS0 9000 Quality system; this is not a legal requirement but is an indication of a company that takes the management of SH&E seriously. The intent of this question is to ascertain if your company has been a poor performer with regards to Safety, Health or the Environment at the present time or in the past. If there are any mitigating factors associated with this, please feel free to elaborate further in the summary or comments. This question follows the same intent as the above guidance although the focus is greater due to the fact that enforcement actions may have been taken by a government enforcement agency. 4.4 4.5 4.6 Once again, the question follows similar intent as the above although this question takes the process further to the prosecution stage and represents a serious breach of Health & Safety Law. To improve Safety, Health and the Environment a company has to be able to measure its performance on an ongoing basis.This measurement data along with the associated documentation should be available to demonstrate improvements. SECTION 1 - Management of Safety, Health & Environment No. 3 QUESTION 3.1 3.2 3.3 3.4 4 Do the assessments identify significant risks, necessary control measures/precautions and do they identify who is at risk? Have risk assessments been completed for all relevant activities and is formal evidence available? RISK ASSESSMENT YES / NO / NA COMMENTS YES K YES K YES K YES K NO K NO K NO K NO K NA K NA K NA K NA K Does the company have a formal review process to ensure that the risk assessments are periodically reviewed and/or when there are any significant changes to the activities? Have the contents of the risk assessments been fully communicated to all relevant personnel and have the control measures been fully implemented? OTHER ITEMS 4.1 4.2 4.3 4.4 4.5 4.6 Does the company operate a quality system that is accredited to ISO 9000 and does this system incorporate the Management of Safety within this process? Has the company ever had a Prohibition or Improvement notice served on them by the Health & Safety Executive (HSE) or other Enforcement Agency? Can the company demonstrate if required, detailed evidence of improvements it has made in SH&E over the last 5 years? Has the company ever been prosecuted by the HSE or other Enforcement for a breach of Health & Safety Law? Have sufficient resources been allocated (time, money, equipment etc.) to fully meet the SH&E requirements of the company? YES K YES K NO K NO K NO K NO K NO K NO K NA K NA K NA K NA K NA K NA K 13 Has the company ever been refused work or the provision YES K of any services on the grounds of a poor SH&E performance? YES K YES K YES K SECTION 2 - Occupational Health No. 1.1 1.2 1.3 1.4 1.5 Linked to Occupational Health Matters should be Health Screening and Health Surveillance Programmes for employees, clearly the extent of these programmes will be dependent on the nature of the companies operations and the relevant Health risks. Occupational Health related matters are of equal importance to Safety and Environment issues; companies should have a procedure or process defining how it addresses all the occupational health problems that affect their employees. QUESTION COMMENTS Companies must first identify all the relevant occupational health risks before they can implement any of the above measures, the nature of the question is to identify if all the relevant risks have been identified? Health Screening programmes should include assessments of all new employees, to identify any existing health problems with individuals so that you can ensure that they are not employed in activities that could aggravate these problems. 1.6 1.7 Part of the occupational health arrangements includes the need for suitable first aid equipment to be available should any injuries occur.The Health & Safety (First Aid) Regulations 1981 identify what is required; companies should consult these regulations to determine if they have sufficient arrangements in place. Certain regulations require regular employers to perform Health Surveillance and Health Screening for employees (e.g. Asbestos and Lead) where specific legal requirements apply to their operations. Is the company complying with them? Adequate welfare facilities such as seperate areas for dirty and clean clothing, supply of clean drinking water, etc. are essentially good practice, but also a requirement of the Workplace (Health, Safety & Welfare) Regulations 1992 and more recently the Construction (Health, Safety & Welfare) Regulations 1996 14 1.8 1.9 All companies should have Occupational Health programmes regardless of the business they are in; linked to this should be training in processes and practices to be adopted as part of the Health programmes. As a minimum all companies should operate good health promotion schemes to encourage healthy life style and living, as this can be linked to improvements in sickness absence, work performance and overall long term good health etc. SECTION 3 - Safety, Health & Environment Monitoring & Review No. SH&E MONITORING & REVIEW 1.1 QUESTION GUIDANCE COMMENTS 1.2 Review processes like these should involve company senior management, as often, the improvement identified will require finance and resources for which senior management will be responsible. Safety, Health & Environment review processes are an essential part of any companies overall improvement programme. Companies clearly have to know how well they are performing before they are able to set and implement improvements to progress further. SECTION 2 - Occupational Health No. 1.1 1.2 1.3 1.4 1.5 1.6 1.7 Does the company have a Health Surveillance and Health Screening programme for its operations and employees? Does the company perform pre-employment screening to identify health issues with new employees? Does the company have a process or procedure governing Occupational Health Matters? QUESTION YES / NO / NA YES K YES K YES K NO K NA K NA K NA K NA K NA K NA K COMPANY DOCUMENT REF: NO K NO K NO K NO K NO K Have all Occupational Health risks been identified relevant to the companies operations and employees? Are adequate First Aid Equipment and Facilities available? Are suitably trained personnel available to administer First Aid? YES K YES K YES K Have all the operations, which are subject to legal requirements for Health Monitoring and Surveillance been identified, and have suitable measures been implemented? Are adequate Welfare Facilities provided at all times in relation to? Accomodation? YES K YES K YES K YES K NO K NO K NO K NO K NA K NA K NA K NA K Washing? Separate/segregrated areas for clean/dirty clothing to be changed? 1.8 1.9 Drinking Water? Does the company provide adequate training to all relevant staff with relation to its Occupational Health programme? YES K NO K NA K 15 Does the company operate good Health promotion programmes and are these available to all staff? YES K NO K NA K SECTION 3 - Safety, Health & Environment Monitoring & Review No. SH&E MONITORING & REVIEW 1.1 1.2 QUESTION COMMENTS Does the company operate a formal programme for monitoring and reviewing all aspects of SH&E at least annually? Does the process formally involve company senior management? YES K YES K NO K NO K NA K NA K SECTION 4 - Safe Systems and Procedures No. SYSTEMS AND PROCEDURES 1.1 QUESTION COMMENTS 1.2 1.3 As in similar questions previously, formal endorsement by senior management is seen as essential to ensure the process will endure and have an appropriately high level of ownership within the company. Clearly there are specific SH&E legislative requirements placed on all companies, depending on what activities the company is involved in.The detail for compliance with these measures should ideally be contained within the company systems and procedures and should spell out exactly how the company will conform to them. All companies should have systems or processes, that define the way in which the company will perform all its operation(s) in a safe manner.These are seen as a natural extension of the Safety, Health & Environment Policy and arrangements for the company. 1.4 1.5 Due to the large amounts of detail, which may be generated to spell out exactly how the company will need to conform to the requirements for safe operation, operating procedures or instructions should ideally be contained within manuals or electronic format for easy access. There is no point in a company having detailed procedures or instructions if they are not readily available to all relevant staff who will be responsible for applying them.Where manuals are used the ideal system is for individual issue on a personal basis. 1.6 Due to the potential large amount of information and detail contained within such procedures and instructions there is a need for some training or instruction to ensure relevant personnel understand exactly what their duties and responsibilities are. 16 SECTION 4 - Safe Systems and Procedures No. SAFE SYSTEMS AND PROCEDURES 1.1 1.2 1.3 1.4 QUESTION YES / NO / NA COMPANY DOCUMENT REF: Is this process owned and endorsed by the Companies Senior Management? Does the company operate process management of Safe Systems & Procedures? YES K YES K YES K YES K NO K NO K NO K NO K NA K NA K NA K NA K 1.5 1.6 Does the company produce or publish formal operating instructions or manuals detailing application of all relevant Safe Systems and Operations, i.e.VWFG, PUWER Grinding,Working at Heights? Have the relevant staff been trained in the requirements of these instructions or procedures and is it recorded and available for scrutiny? Are the instructions or procedures readily available to all relevant staff? Are all relevant legislative requirements fully reflected in Safe Systems & Procedures? YES K YES K NO K NO K NA K NA K 17 SECTION 5 - Training No. TRAINING QUESTION COMMENTS I .2 To meet training requirements, there clearly is a need for a sufficient level of commitment, time, money and facilities etc. to enable them to be completed. There is no point agreeing to do an amount of training if this is not accompanied by the resources to complete it. I .1 Training is a vital part of any companies' management process to ensure the the safety of its personnel and operations.Training requirements should be identified for both new and existing employees, the main difference is that new employees will require different training at the start of their new role where as existing employees will require ongoing training to maintain or update their skills and competencies. I .3 Clearly different job positions within a company workforce will have different training requirements based upon the work or tasks they perform. It is good practice to identify a list of training requirements against a list of job roles in a matrix format and to produce a list for each job role on this basis. 1.4 Whilst a lot of training will be linked to meeting the requirements for performing the work, legislation imposes specific mandatory training in certain occupations or activities. Clearly companies should identify this training need where applicable and provide the relevant training as appropriate. Training for many occupations and activities requires meeting a certain level, which is often subject to nationally agreed standards for competence with examinations. Where these standards exist for the companies employees are the relevant staff trained and qualified to the required standards? As well as sufficient resources for training, personnel within companies have to be made responsible for providing or ensuring the required training happens. Has this happened for all your training requirements? In certain cases this will require suitably qualified personnel to provide this training to ensure they meet the required level. Training is not a ‘one off’ process and in most cases will require a certain level of ‘refresher’ training at certain times to remind/update personnel on the requirements. Is there a process which recognises the need for different training requirements and does it ensure that the training is given? 1.5 1.6 18 1.7 1.8 All training should have some formal record of it taking place and where applicable copies of suitable validation to demonstrate the criteria or standard required.These should be readily available (ideally in a training file for each employee) if requested. SECTION 5 - Training No. TRAINING 1.1 1.2 1.3 QUESTION YES / NO / NA COMPANY DOCUMENT REF: Have sufficient resources been allocated to ensure the training requirements can be met? (Time, money, facilities, etc.) Does the company have a process to identify training requirements for new and existing staff? YES K YES K YES K NO K NO K NO K NA K NA K NA K 1.4 1.5 1.6 1.7 1.8 Does the company understand the training requirements imposed by any relevant legislation and provide this training as required to all relevant staff? Does the process identify the different training requirements for different types of employees relative to the work they perform, FLT driving, Manual handling,VWF, Working at height, Noise? YES K YES K YES K YES K YES K NO K NO K NO K NO K NO K NA K NA K NA K NA K NA K Is all training validated and approved to national standards where appropriate? Have personnel been appointed to organise or provide this training and are they suitably qualified to provide it? Has the need for refresher training at appropriate intervals been identified? Is all training formally recorded? 19 SECTION 6 - Accident Reporting & Investigation No. ACCIDENT REPORTING & INVESTIGATION 1.1 QUESTION COMMENTS 1.2 1.3 As the process needs to be formal, clearly there is a need for formal documentation in the form of accident reports, investigation-reporting criteria etc. to accompany this process. The RIDDOR or Reporting of Injuries, Diseases & Dangerous Occurences Regulations, lays down specific criteria for reporting accidents and incidents to the Health & Safety Executive, any accident and investigation procedure needs to ensure this requirement is incorporated into it. Correct reporting and investigation of accidents when they happen is fundamental to their future prevention, because of this, companies should have formal processes, which identify how accidents and incidents will be reported and investigated. 1.4 1.5 1.6 Near miss and loss events clearly need to be incorporated into the process as they are often the early warning a company gets prior to a potential major accident, and presents the opportunity to implement preventative measures before a serious accident occurs. As in other processes or procedures, relevant staff should be trained in the duties and responsibilities as outlined in the procedure so that they can ensure accidents are reported and investigated thoroughly. Clearly the best testament to a process is full compliance with it, for any company that is serious about its safety will ensure all its accidents and incidents are thoroughly investigated.The intent of this question is to establish whether this happens in all cases. 20 SECTION 6 - Accident Reporting & Investigation No. ACCIDENT REPORTING & INVESTIGATION 1.1 1.2 1.3 1.5 1.6 1.4 QUESTION YES / NO / NA COMPANY DOCUMENT REF: Does the procedure include formal reporting documentation for accident reporting and investigation? Does the process or procedure meet the reporting requirements of the RIDDOR regulations? Does the company have a formal process or procedure for reporting and investigating accidents and incidents? YES K YES K YES K YES K YES K NO K NO K NO K NO K NO K NO K NA K NA K NA K NA K NA K NA K Are all accidents investigated within the company and formal reports produced? Are all relevant staff formally instructed/trained in their duties and responsibilities as required by this process or procedure? Are near misses and loss events included in the process? YES K 21 SECTION 7 - Emergency Procedures No. EMERGENCY PROCEDURES 1.1 1.2 1.3 1.4 1.5 1.6 1.7 QUESTION COMMENTS Emergency procedure usually relies heavily on specific people taking identified actions during emergency situations, are these identified and relevant responsibilities for the individuals allocated? All companies that have premises should, as a minimum, have at least emergency procedures to deal with fire, medical emergencies, etc.These should be part of the company’s processes or detailed in specific procedure documentation. Emergency procedures, like fire evacuations require notices and similar posters to be placed at strategic locations to remind staff of the required actions. Are these positioned and do they meet the requirements of the safety signs regulations? As for all procedures, training in the requirements is essential, particularly for emergency procedures that rely heavily on individuals taking the appropriate actions during an emergency. Emergency procedures require certain equipment and resources to enable them to work effectively - have they been identified and put in place? Emergency equipment (i.e. fire extinguishers and fire hoses) may spend long periods of time not in use, you cannot be sure they will work effectively unless they are subject to periodic inspection and maintenance. Emergency procedures are very important, but they rely heavily on individual’s responsibilities and actions. Practise of emergency drills are essential to check their effectiveness, often these drills are specific requirements of legislation (i.e. Fire Evacuation Drills practised at least once annually). Emergency drills and exercises should be formally recorded and kept to analyse their effectiveness.These records can be used as a basis to action remedial measures where anomalies or problems are found (once again, these records are a legal requirement in the case of fire procedures). 1.8 22 SECTION 7 - Emergency Procedures No. EMERGENCY PROCEDURES 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 QUESTION YES / NO / NA COMPANY DOCUMENT REF: Does the process or procedure fully identify responsibilities and actions to be taken for nominated individuals in the event of an emergency? Are suitable notices located in strategic locations identifying actions to be taken where applicable? Have all relevant staff received training in the required areas/actions? Is all emergency equipment regularly inspected and maintained in line with legal requirements? Does the company have a formal procedure or process for governing relevant emergency procedures for its operations -fire drills, fire testing etc? YES K YES K YES K YES K YES K YES K YES K YES K NO K NO K NO K NO K NO K NO K NO K NO K NA K NA K NA K NA K NA K NA K NA K NA K Are sufficient resources and equipment made available to facilitate emergency procedures? Are occasional drills or exercises conducted, where applicable, to ensure the validity of the emergency procedures? Are records kept of all emergencies and exercises with any improvements identified where appropriate? 23 SECTION 8 - Communications No. COMMUNICATIONS 1.1 1.2 1.3 QUESTION COMMENTS Senior management involvement in communications processes around Safety, Health & Environmental matters demonstrates to staff the importance that management place on SH&E - portraying a positive message to all employees. Effective Communication processes throughout all levels of a company are an essential requirement; the process of how this communication should take place is best detailed by a procedure or instruction for the whole company. Formal communications should take place for all staff on a regular basis and SH&E should always be an integral part of these communications (good practise is to hold meetings at least once monthly).There are specific requirements laid down in the Health & Safety (Consultation with employees) regulations, which affect this. SECTION 9 - Environment No. ENVIRONMENT 1.1 1.2 QUESTION COMMENTS 1.3 24 Environmental legislation is increasingly detailed and complex with more strict controls being applied all the time, often companies can find it hard to keep abreast of requirements and ensure effective control measures are defined. Does the company procedure fully reflect all applicable environmental legislation? As in management, responsibilities for safety environmental matters require key personnel to be identified and made responsible for making sure environmental requirements are met. Environmental matters and performance are increasingly a part of all company policy regardless of their activities; all companies should have a formal policy and arrangements governing their strategy for control. 1.4 1.5 The intent of the question is to give a measure of how effective these measures are and if the company has always fully complied with requirements. 1.6 Due to the increasingly tight controls applied through environmental legislation, a measure of how well the company controls its environmental arrangements is whether it has been subject to some form of formal action from inspectors from the environmental agency. Environmental management systems such as IS0 14001 are increasingly being applied by many companies to demonstrate their competence in this aspect of their operations. Does the company operate to this standard or a similar system for its environmental process? Environmental legislation and controls are only required to meet certain limited criteria.There are many pro-active measures that companies can take, which although are not strictly required, demonstrates the companies pro-active environmental credentials as a responsible company (i.e. such as waste minimisation, recycling, use of environmentally friendly products, energy efficient drives etc). 1.7 1.8 Some of the best environmental improvements come from suggestions and ideas from employees. Companies should adopt suggestion scheme to encourage such ideas with their employees. SECTION 8 - Communications No. COMMUNICATIONS 1.1 1.2 1.3 QUESTION YES / NO / NA COMPANY DOCUMENT REF: Does the company have a formal process or procedure governing communications at all levels throughout the company? Does the process involve senior management communicating on SH&E matters regularly to all levels? YES K YES K YES K NO K NO K NO K NA K NA K NA K Are regular communications held with all staff and are SH&E matters a feature of this communication? SECTION 9 - Environment No. ENVIRONMENT 1.1 1.2 1.3 1.4 QUESTION YES / NO / NA COMPANY DOCUMENT REF: Does this process identify all legislative requirements governing the company operations and procedures for addressing them? Are individuals formally identified within the company who are responsible for ensuring these requirements are met? Are these requirements achieved at all times? Does the company have a formal policy and are arrangements in place governing environmental matters? YES K YES K YES K YES K YES K NO K NO K NO K NO K NA K NA K NA K NA K 25 1.5 1.6 1.7 1.8 1.9 Is the company pro-active in environmental matters such as waste minimisation and recycling, energy recovery and life cycle assessment, etc? Does the company operate to an environmental management system such as ISO14001 or a similar process? Has the company ever been subject to action from the environment agency regarding failure to comply with legal requirements? NO K NO K NO K NO K NO K NO K NA K NA K NA K NA K NA K NA K YES K YES K YES K YES K YES K Is there an environmental improvement process in place that gives all employees the opportunity to make suggestions for improvements and encourage involvement? Do all personnel take an active part in the process and do they comply with the required standards at all times? 1.10 Is there a policy for each of the following Asbestos handling, refuelling, general waste handling? SECTION 10 - Workplace Safety - Workshop - PUWER, Use of Hand Tools No. WORKPLACE SAFETY 1.1 1.2 QUESTION COMMENTS 1.3 Any process or procedure would have to detail the responsibilities and arrangements required to maintain this, just making statements like 'workplace to be maintained safely at all times', can be wishful thinking and requires much more specific detail. Safety in the actual workplace (i.e. housekeeping, guarding, ergonomic hazards etc.) is very important for all companies to ensure the safety of its employees, ideally this should be governed by a procedure or process, which ensures it is managed effectively. 1.4 1.5 The proof of whether a system or procedure works effectively is to physically tour the workplace periodically or if there is no evidence of any problems or accidents happening. It is also important to ensure arrangements for the safety of visitors is incorporated into the process. Workplaces, by their very nature, will have some areas or equipment which represent a particular hazard or danger. Have these been identified over and above any general arrangements and have specific control measures introduced? A key aspect to ensuring the arrangements work effectively is to ensure clear responsibilities are defined for the different aspects of the procedure or process required to maintain a safe place of work. It is often said that when the responsibilities are down to everyone, in reality, they often become nobody's. Depending upon the type of workplace there will be specific legal requirements that will apply to certain tasks and equipment.They would be too numerous to mention, however, such items as machinery guarding, safety signs, fire escape routes, etc. are typical items that may be required. 1.6 26 SECTION 10 - Workplace Safety - Workshop - PUWER, Use of Hand Tools No. WORKPLACE SAFETY 1.1 1.2 1.3 1.4 1.5 1.6 QUESTION YES / NO / NA COMPANY DOCUMENT REF: Is there a process or procedure in place governing workplace safety for the companies buildings and facilities? YES K YES K YES K YES K YES K YES K NO K NO K NO K NO K NO K NO K NA K NA K NA K NA K NA K NA K Does the process identify specific requirements needed to maintain the safety of the workplace at all times? Does the process ensure that a safe place of work is maintained at all times for all staff and visitors? Are all the relevant hazards identified within the company facilities and arrangements in place to ensure they are maintained in a safe condition at all times? Do all staff understand their responsibilities regarding the requirements for maintaining a safe place of work and do they comply with them at all times? Are all legislative requirements met with regard to arrangements and facilities (guarding, required signs, etc)? 27 D. FINANCIAL INFORMATION D1 Who is the person in the firm responsible for financial matters? D2 What is the name and address of your banker? Payment details: BACS details (bank sort code and account number): Address for cheques/BACS remittances: Contact numbers for accounts department for invoicing queries: VAT and Company registration numbers: D3 Please enclose a copy of the Certificate of Incorporation of the Company under the Companies Act 1985 (if applicable), and any certificate of change of name. (Tick if enclosed) ENCLOSED K D4 28 Please enclose copies of audited accounts and annual reports for the last 3 years, to include: Balance Sheet Profit and Loss Account and Cost of Sales Full Notes to the Accounts Director's Report/Auditors Report (Tick if enclosed) ENCLOSED K D5 If the accounts you are submitting are for a year ended more than 10 months ago, can you confirm that the company as described in those accounts is still trading (Tick as appropriate) YES K NO K D6 If yes to D5, please enclose a statement of turnover since the last set of published accounts. (Tick if enclosed) ENCLOSED K D7 D8 Details of any outstanding claims or litigation against the company. If the company is a member of a group of Companies, please submit ultimate holding company accounts, as well as companies (Tick if enclosed) ENCLOSED K TAXATION Tax Exemption Certificate D9 Does your firm hold a Tax Exemption Certificate under the Construction Industry Tax Deduction Scheme? (Tick as appropriate) YES K NO K If the answer is YES, please enclose: A certifying document in line with the provisions of the Finance (No 2) Act 1975, stating: - the type of certificate held (I, P or C) - the certificate number - the name in which the certificate was issued - address of the issuing office of HM Inspector of Taxes - expiry date of the certificate - details of the nominated bank account and signed by the company, partners or sole trader as appropriate (Tick if enclosed) D10 VAT registration number + Company Registration Number: ENCLOSED K D11 CIS (Construction Industry Scheme) Certificate details CIS4 & C1S6 need to be produced in person, as a photocopy has to be taken and signed by the cardholder and the member of staff verifying the card. CIS5 copy of details can be sent through the post. INSURANCE INFORMATION: Please give details of Insurance held: D12 Employers Liability Insurance held Please enclose a copy of your policy Include any endorsements/exclusions that apply to this section. Insurer: Policy Number: Limit of Indemnity: Expiry Date: Policy Excess: 29 D13 Public Liability (Third Party) Insurance held: Please enclose a copy of your policy Include any endorsements/exclusions that apply to this section. Insurer: Policy Number: Limit of Indemnity: Expiry Date: Policy Excess: D14 Contractors All-Risks Insurance held: Please enclose a copy of your policy Include any endorsements/exclusions that apply to this section. Insurer: Policy Number: Limit of Indemnity: Expiry Date: Policy Excess: D15 Professional Indemnity Insurance held (where applicable): Please enclose a copy of your policy Include any endorsements/exclusions that apply to this section. Insurer: Policy Number: Limit of Indemnity: Expiry Date: 30 Policy Excess: D16 If you use an Insurance Broker, please provide details as below Name of Broker: Contact Name: Address: Telephone No.: D17 In the event of a claim being made against you, please attach details of your current claims handling procedures. E. EQUAL OPPORTUNITIES We are aware that many Companies have difficulties with Section E of the application-Equal Opportunities.We are able to give you help and support. If you are not able to provide examples of policies, instructions, documents, recruitment advertisement or other literature, there may be the opportunity to sign up to an equalities 'code of conduct' which outlines the commitments and gives a period of time to evidence this, (usually 6 months) The Code includes background information with Council for Racial Equality guidelines and examples of equality policies. E1 Do you comply with the Sex Discrimination Act 1975 and the Equal Pay Act 1975? (Tick as appropriate) E2 Do you adhere to the principles enshrined in the Disability Discrimination Action 1995? (Tick as appropriate) YES K NO K YES K NO K The following questions and descriptions of evidence have been prescribed by the Secretary of State in respect of Section 18(5) of the Local Government Act 1988. E3 Is it your policy as an employer to comply with your statutory obligations under the Race Relations Act 1976 and accordingly, your practice not to treat one group of people less favourably than others because of their colour, race, nationality or ethnic origin in relation to decisions to recruit, train or promote employees. (Tick as appropriate) E4 YES K NO K 31 In the last three years, has any finding of unlawful racial discrimination been made against your organisation by any court or employment tribunal? (Tick as appropriate) YES K NO K E5 In the last three years, has your organisation been the subject of formal investigation by the Commision for Racial Equality on grounds of alleged unlawful racial discrimination? (Tick as appropriate) YES K NO K If the answer to question E4 is yes or, in relation to question E5, the Commission made a finding adverse to your organisation. E6 What steps did you take in consequence of that finding? E7 Does your firm have a written equality policy? (Tick as appropriate) YES K NO K E8 Recruitment, selection training, promotion, discipline and dismissal Victimisation, discrimination & harassment Communication of the policy to staff Identification of the senior position with responsibility for the policy and its implementation Does the equalities policy cover: YES K YES K YES K YES K NO K NO K NO K NO K E9 A) B) C) Are your policies on Equal Opportunities and Race Relations set out: In instructions to those concerned with recruitment, training and promotion; (Tick as appropriate) YES K NO K K K In documents available to employees, recognised trade unions or other representative groups of employees; (Tick as appropriate) YES K NO In recruitment advertisements or other literature; (Tick as appropriate) YES K NO DESCRIPTION OF EVIDENCE PLEASE SUPPLY RELEVANT EXAMPLES OF POLICIES, INSTRUCTIONS, DOCUMENTS, RECRUITMENT ADVERTISEMENT OR OTHER LITERATURE. E10 Do you observe as far as possible the Commission for Racial Equality's Code of Practice for Employment, as approved by Parliament in 1983, which gives practical guidance to employers and others on the elimination of racial discrimination and the promotion of equality of opportunity in employment, including the steps that can be taken to encourage members of the ethnic minorities to apply for jobs or take up training opportunities? (Tick as appropriate) COMMENTS YES K NO K 32 F. F1 LOCAL LABOUR Number of Employees Male Male Female Female F2 White - Irish Number of Ethnic Employees - British - Other white background please write in Mixed - White & Black Caribbean - White & Black African - White & Asian - Other Mixed background please write in Asian or Asian British - Indian - Pakistani - Bangladeshi - Other Asian background please write in Black or Black British - Caribbean - African 33 - Other Black background please write in Chinese or other ethnic group - Chinese - Other please write in F3 Number of employees between different age ranges Male Female 16 - 25 26 - 35 36 - 45 46 - 55 56 - 65 F4 F5 Number of employees who are registered disabled Number of employees within the company who have a recognised qualification under the following criteria Craft Persons Operatives Male Female General Construction Apprentices F6 F7 F8 F9 Number of employees living within the Stockton Borough Council boundaries Number of training days per year Types of training offered to employees Annual average % of budget allowed for training purposes F10 Average allowance for individual training cost per year F11 Do you operate a CSCS Card System (Tick as appropriate) YES K NO K F12 Number of NVQ Assessors/work based records within your organisation F13 Do you have any existing provision for work placements/apprenticeships (Tick as appropriate) YES K NO K 34 F14 If you do not have any existing provision for work placements/apprenticeships would you be willing to look at this possibility? (Tick as appropriate) YES K NO F15 Are you currently accredited/committed to Investors in People? (Tick as appropriate) F16 Is your current pay rate linked to the National Agreements under CITB, BATJIC, JIB? (Tick as appropriate) F17 Do you work in scope with CITB? (Tick as appropriate) K YES YES YES K NO NO NO K K K K K WHEN YOU HAVE COMPLETED THE QUESTIONNAIRE, PLEASE READ AND SIGN THE SECTION BELOW I/We certify that the information supplied is accurate to the best of my/our knowledge and that I/We accept the conditions and undertakings requested in the questionnaire. I/We understand that false information could result in my/our exclusion from the Approved Contractors. I/We also understand that it is a criminal offence, punishable by imprisonment, to give or offer any gift or consideration whatsoever as an inducement or reward to any servant of a public body and that any such action will empower Tristar Homes to cancel any contract in force and will result in my/our exclusion from the Approved Contractors. Signed For and on behalf of Date: 35 Please note the term ‘firm’ refers to: sole proprietor, partnership, incorporated company or co-operative as appropriate. The undertaking should be signed by the applicant, a partner or authorised representative in her/his own name and on behalf of the firm. BEFORE RETURNING THIS APPLICATION FORM, PLEASE ENSURE THAT YOU HAVE: K K K Answered all questions appropriate to your application Enclosed relevant documents Signed the above undertaking Tristar Homes Ltd Registered in England Reg No 4373638 Registered Office: Tristar House Lockheed Court Stockton TS18 1SH Tristar Homes Ltd is a controlled company of Stockton-on-Tees Borough Council