Guidance

Annex C: Additional key information for Responsible Entity

Updated 2 April 2024

Applies to England

Annex C: Additional key Information for Responsible Entity

We have set out below some of the key information you will need to meet your duties as a Responsible Entity, and which should be kept on record in line with industry standard project, operations and maintenance practices. It includes some of the particulars we require you to have in your construction contract and design team appointments. We reserve the right to see this information under the Open Book Access stipulation given in the main body of this guidance document.

General information

• Project Directory including details of Professional Team, Main Contractor and Sub-Contractors

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Statutory consents

• Copies of Planning Permission(s), if required for this work

• Supporting drawings & documents and specialist reports submitted with planning applications (as listed in the consent granted)

• Planning conditions tracker: Document listing all planning conditions with dates each condition was validated and approved.

• Building Regulations Notice and Full Plans Approval

• Supporting drawings, documents and specialist reports submitted with Building Control applications (as listed in the Approval)

• Building Control tracker: Document listing all Building Control requirements with dates each item was approved.

• Details of Building Control Officer or Approved Inspector dealing with application

• Details of any other consents required and obtained, including Local Fire Authority consultation approval.

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Professional team appointments

• Terms of appointment for each member of the professional team appointed to date including scope of services and Professional Indemnity Insurance (PII) Certificates

• Collateral Warranties in favour of the government.
  Note: signed collateral warranties will not be required until the grant funding agreement stage

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Technical information

• Specifications / Employer’s Requirements / Schedule of Rates / Contractors Proposals in relation to replacement of ACM cladding materials and internal Fire Safety work.

• General arrangement drawings, details and elevations

• Details of any Third Party Agreements – e.g. Party Wall Awards, Scaffold Licences, Oversailing Section 106, 61 Agreements (if applicable)

• Details of manufacturer’s guarantees

• Copies of pre-contract information (health and safety) and evidence of competency checks carried out.

-Tender report

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Programme

• Pre-tender and post-tender programmes

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Financial

• Procurement strategy / Tendering procedures

• Tender report for works

• Contract sum analysis

• The document is to detail the cost of the works to be prepared by a suitably experienced Chartered Professional in accordance with the latest RICS guidance note - New rules of measurement. detailed measurement for building works (NRM2).

• Any Certificates for payment to the contractor to date

• Any payments made to consultants to date

• Costs for managing the consultants and contractor employed by the Responsible Entity.

• Cashflow - contractor, consultants, statutory consents and any other associated project costs, past and present

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Works contract

• Details of Main Contractor & Sub-contractors

• Copy of signed and properly completed Works contract & associated documents – contract must be recognised industry standard e.g. JCT, NEC or similar.

• Schedule of contract amendments including details of levels of insurance etc.

• Further details of the requirements of the Works contract are set out in the section below

• A record of all payments to be made and those that are made under the Works Contract on an open book accounting basis.

• Details of any inspections, for example, that Applicants may arrange to be undertaken to ensure contractors are complying with the provisions of the Works Contract.

• Copies of all documents provided by contractors that were used by Applicants to access their suitability for conducting the Works under the Works Contract.

• Evidence of any correspondence and/or discussions which took place between Applicants and contractors prior to the Works Contract being entered into which were taken into account by Applicants when selecting a contractor and awarding the Works Contract. For example, related to the contractor’s experience, financial standing, capacity to undertake the work, professional memberships, and qualifications.

• Copies of decision-making processes and procedures Applicants went through when determining which contractor should be awarded the Works Contract.