Site Registration

Non-Conformance Procedure

1.1 Scope

This procedure sets out the process for the review, evaluation and disposition of potential non-conformances, however identified or reported to The Considerate Constructors Scheme (CCS or “the Scheme”) relating to Registered Activities.

1.2 Purpose

The purpose of this process is to ensure the fair review and evaluation of nonconformances with any requirement of the Code of Considerate Practice (the Code) to determine an appropriate outcome; and to communicate clearly the results and proposed action relating to any confirmed conformance in accordance with the Scheme’s Terms and Conditions with Registered Activity. Any appeal against a determination covered by this procedure will be dealt with through the Schemes appeals process.

1.3 Definitions

1.1.1 Registered Activity

Any activity that is registered with the Scheme and bound by the Code of Considerate Practice

1.1.2 Non-conformance

Non-conformance means any breach of the Code of Considerate Practice, the Terms and Conditions of Business and/or an operational or ethical breach relating to the Code’s broader objectives, including:

  • a failure to conform with the Code
  • use of our name or logos contrary to the Agreement or Branding Guidelines
  • failure to remedy or deal with serious complaints
  • material failure to comply with relevant legislation (i.e. beyond an administrative breach)

1.4 Identification of Potential Non-Conformance

Monitoring – where non-conformance is confirmed by a Scheme Monitor during a monitoring visit this shall be documented in the Monitoring Report, and considered a “confirmed non-conformance”

Concern raised with the Scheme’s Public Voice Helpline – the concern will be passed to the Registered Activity for investigation and corrective action.  Where the Public Voice Team are not satisfied with the response this shall be elevated for further investigation to the Head of Assurance and Challenge and/or the CCS Chief Executive.  Where an investigation is necessary, terms of reference will be prepared by the Head of Assurance and Challenge and agreed with the CCS Chief Executive.  Additional fees will be charged to the Registered Activity from the point where a non-conformance is confirmed – wherever possible these additional charges will be outlined in the investigation terms of reference.  Fees will be based on the amount of time required by the Scheme to investigate and resolve the non-conformance, in accordance with the Scheme’s published rates at the time.

Other Identified Non-conformance – where an investigation is necessary terms of reference will be prepared by the Head of Assurance and Challenge and agreed with the CCS Chief Executive.  Additional fees will be charged to the Registered Activity from the point where a non-conformance is confirmed – wherever possible these additional charges will be outlined in the investigation terms of reference.  Fees will be based on the amount of time required by the Scheme to investigate and resolve the non-conformance in accordance with the Scheme’s published rates at the time.

The agreed terms of reference with be shared with the Registered Activity to ensure understanding of the allegation and full cooperation with the investigation.  The Registered Activity is expected to provide reasonable access to employees, contractors and suppliers, records and reports.

Where a Registered Activity is unable to cooperate with an investigation (for example due to an ongoing regulatory investigation) registration with the Scheme shall be suspended an investigation may be completed.  Where a Registered Activity refuses to cooperate reasonably with an investigation, as determined by the Scheme Chief Executive, Scheme registration may be suspended or terminated, and reinstatement will require a new registration and monitoring process.

Where a potential non-conformance is not confirmed by the investigation, The Registered Activity shall be informed of the findings and the investigation findings maintained on file for reference should further concerns be reported.

1.5 Review, Evaluation and Confirmation of Identified Potential Non-Conformance

The Considerate Constructors Scheme has established an appeals panel of experienced Monitors who will review any formal appeals received from a site whose registration with the Scheme has been cancelled following a breach of the Code of Considerate Practice.

If a site wishes to appeal, they must do so within 3 months of receipt of the letter from the Scheme’s Chief Executive confirming their removal from the Scheme, and the decision to appeal must be confirmed in writing. The site must also confirm in writing their reasons for disagreeing with the decision to remove them from the Scheme as this document will form the basis of the appeal.

Once this written confirmation has been received, it will be passed to the panel along with copies of all reports completed on that site and all relevant correspondence. The panel will review all of the information and make a formal decision as to whether the removal of the site was correct. If they support the original decision, they will confirm their decision in writing with a detailed explanation as to why they have done so. If they agree that the decision to remove the site was incorrect, the site will be reinstated immediately and this will be confirmed in writing.

If the site disagrees with the panel’s findings, they may proceed to a second independent panel as detailed below.

1.6 Findings and Investigation Reporting

The findings of the investigation will be documented and reviewed by the Head of Assurance and Challenge, and the CCS Chief Executive prior to issue of a draft report.  The draft report will be issued to the Registered Activity for review.  Upon receiving the draft report the Registered Activity has 10 working days to question findings on the basis of fact only.  All questions shall be reviewed and responded to within a further 10 working days and then the Final Report will be issued.

Where the Registered Activity disputes the final issued report they may appeal the report through the appeals procedure within 28 day of issuance of the report.  The Registered Activity must however continue to develop and submit SMART (Specific, Measurable, Achievable, Realistic, Timebound) corrective action proposals pending the outcome of the appeal.

1.7 Response to a Confirmed Non-Conformance

Where a non-conformance is confirmed, there are three possible courses of action depending on the severity of the non-conformance (severity shall be determined by the Scheme):

  • The Registered Activity retains its CCS registration is given the opportunity to comply, see Corrective Action for Confirmed Non-conformance below.
  • The Registered Activity’s CCS registration is suspended and the Registered Activity is given the opportunity to comply, see Corrective Action for Confirmed Non-conformance below.
  • The Registered Activity’s CCS registration is terminated and the Registered Activity will have to reapply once they have addressed the non-conformance (it is unlikely that a reapplication would be accepted in a period of less than six months).

Note that where registration is suspended the registration period will remain unchanged and the Registered Activity will not be eligible for any refund of fees.  Where registration is terminated by the Scheme the Registered Activity is not eligible for any refund of fees.

1.8 Corrective Action for Confirmed Non-Conformance

Following issue of the final report the Registered Activity will prepare its proposed actions addressing the findings.  All actions must be SMART, and must be submitted to the Scheme (Head of Assurance and Challenge) for comment and acceptance.  Comments made by the Scheme must be satisfactorily addressed before acceptance is granted.  All corrective action proposals should be accepted by the Scheme before initiating work, as failure to do so may mean that effort is wasted, and closure of the action not accepted by the Scheme.  Actions must be satisfactorily addressed normally within any timescales recommended in the non-conformance report.

When completed the Registered Activity will inform the Scheme that the action is closed and submit appropriate evidence for validation by the Scheme.  The Registered Activity will be informed of the Scheme’s decision regarding the appropriateness of the action taken and may be asked for further evidence, and/or further work to be undertaken (where the action has not been satisfactorily completed).  Where/when the Scheme is satisfied the action has been completed it will validate closure of the action in writing.

Failure to deliver closure of the accepted actions will lead to a review of the Registered Activity’s registration status and may lead to suspension or termination of the registration (without refund of any fees) depending on the materiality of the outstanding non-conformance.  This decision will be at the sole discretion of the CCS Chief Executive and there is no right of appeal.