Information Pack for New Businesses

Transcription

1 Information Pack for New Businesses

2 Introduction to the Scheme What is it? The Safer Sutton Trader Scheme has been introduced by Sutton Council s Business Regulation Service so that local residents traders employing traders who carry out work in their home can be confident that certain standards will be met. It will encourage businesses to demonstrate their commitment to fair, professional and honest trade, so that their names can be included on a list which will be made available to the Borough s residents. A business accepting the responsibilities described in the rules to the Scheme will become an 'Approved Member' of the Scheme. The scheme also includes a clear statement of the service Sutton Council will provide to businesses. What's in it for businesses? Independent recognition of your business standards. Beneficial publicity. Proof of membership by certificate for display on your premises and use of logo. Vetting of businesses before acceptance onto the Scheme to ensure the Scheme s credibility and that high standards are maintained. Your company's name on a list held by Sutton Council; the list will be distributed to consumers. Increased consumer confidence and reduced complaints. A better relationship with regulators based on co-operation rather than enforcement. A named contact in the Business Regulation Service for your business. Limitations of the Scheme You agree to ensure consumers statutory rights are not restricted in any way. We cannot guarantee the financial standing of members nor their health and safety procedures. Similarly we cannot be sure that their work will never give rise to complaint, but should this be the case, any difficulties will be dealt with fairly. What will it cost? Membership of the scheme does involve expense on the part of Sutton Council, so a fee for membership now has to be charged. How does a business apply? If you are interested in joining the Scheme it is important that you read the requirements set out in the Terms of Membership document. If, having read the requirements you would like to apply, just complete an application form. Staff from the Business Regulation Service will contact you. For further information please contact the Business Regulation Service at Sutton Council on or at brs@sutton.gov.uk.

3 Terms of membership Introduction This Scheme was introduced by your Local Authority Business Regulation Service to establish high standards of trading by businesses. The scheme is intended to demonstrate a commitment by the business to fair and honest trade, and a commitment by Trading Standards to support business. 1.2 The Business Regulation Service will manage and administer the Scheme. As such the Service reserves the right to alter or amend the terms and conditions of the Scheme at its discretion. Any changes will be notified to members as soon as reasonably practicable. 1.3 The Business Regulation Service reserve the right to share information on individual members and the Scheme as a whole with other Agencies. 2 Commitment by business 2.1 Your business will have been in operation in its current format for at least twelve months prior to approval for membership. Your business must operate, but not necessarily be based, in Sutton. 2.2 Your business will be committed to providing a quality service to its customers. You agree to comply with the spirit and the letter of both the civil law (i.e. contractual matters between you and your customers, such as those in the Supply of Goods and Services Act 1982) and the criminal law relating to your business. Relevant criminal laws are, for example: the Consumer Protection from Unfair Trading Regulations 2008, the Companies Act 2006, Cancellation of Contracts Made in a Consumer's Home or Place of Work etc Regulations 2008, Health and Safety legislation. There should be compliance with Building Regulations, Water Regulations, Gas Safety Regulations, Health and Safety at Work Act, Clean Air Act, relevant British Standards, Asbestos Regulations and all other appropriate regulations and standards. You should ensure that disturbances due to noise, vibrations, dust and smoke arising from demolition and construction works on all building sites, including the public highway, within the London Borough of Sutton, are kept to an acceptable level. 2.3 You agree to ensure consumers statutory rights are not restricted in any way. 2.4 Your business will make any "call out" charge or "minimum charge" known to the customer before a visit is made. 2.5 Your business must not commence work without the customer's express consent and shall provide to the customer a written schedule of works and a written quotation. The schedule of works and written quotation should be supplied to the consumer within 21 days of the relevant site visit. Any charge for this schedule or quotation shall be made known to the consumer in advance. An invoice or receipt showing full details of work carried out, including any parts supplied, labour and other costs, shall also be supplied to the customer. If requested, you will make replaced parts available for return to the customer. If you do not wish to take on the

4 work, then the customer should be notified, preferably in writing, within 21 days of the relevant site visit. 2.6 Your business must ensure that all staff dealing with gas are Gas Safe registered and must be able to demonstrate that they are so registered. All staff dealing with electricity must be NICEIC (or similar) registered and must be able to demonstrate that they are so registered. 2.7 Your business must be committed to acting in an environmentally responsible manner, using where appropriate, sustainable and energy efficient materials and disposing of waste according to the appropriate legal requirements. 2.8 Your business will provide us with details of ownership, staffing, premises and trade activities of the business and details of any complaints received about the business. 2.9 Your business will ensure all staff are competent for the work they carry out, in relation to relevant civil and criminal law, and that they are fully aware of the commitments made by the business relating to this scheme. Staff will have achieved a pass in a recognised training scheme or be able to demonstrate that their experience is equivalent to this. Evidence is required. Where appropriate, records of staff training will be kept, signed and dated by the staff member who was trained You will undertake to implement a customer complaints procedure in line with the guidance in the Scheme document Customer Complaints Procedure If you are a member of a trade association which has its own code of practice, the terms of that code and any general codes e.g. overseen by the Office of Fair Trading, or other relevant standards, will be followed at all times. You must provide proof of membership You undertake to acknowledge and respond to advice given to staff by officers from the Business Regulation Service You will agree to make available to customers a copy of the scheme, which will include a sheet to enable the customer to contact the Business Regulation Service to register praise for the quality of service received or to make a complaint You will have adequate insurance including public liability insurance and must provide proof If your work generates waste, you must ensure that the waste is removed by a registered waste carrier or your business must be a registered waste carrier An annual fee is payable in respect of each business which is a member of the Scheme. The Business Regulation Service will determine this from time to time Your business must ensure that no person is discriminated against or refused service on the grounds of age, race, gender, disability, marital status, sexual orientation or religious belief All staff who carry out work in or at a consumers home must be Criminal Records Bureau or Disclosure Scotland or Police Data checked and original evidence provided. This will not be retained by the scheme operator.

5 3 Commitment by Business Regulation Service 3.1 The Business Regulation Service is committed to providing a fair and impartial service to both consumers and businesses. Subject to the overriding provisions of the Freedom of Information Act 2000, all information provided by businesses as part of this scheme will be treated sensitively and subject to paragraph 6 below. 3.2 We will provide information and advice about Trading Standards and other relevant laws, for example the Health and Safety at Work Act 1974, relevant to the business on request, and when required this can be confirmed in writing. 3.3 The advice and guidance we provide will be to the best standards of the Business Regulation Standards Service but, as with all legal matters, the final interpretation rests with the courts. As a result such advice may change after certain court decisions. 3.4 A named officer will be nominated as the contact point for the provision of advice and assistance. 3.5 If we receive any complaints about you as a member of this scheme and the complaint is civil in nature, the complaint will be referred back to you. If the complainant requires anonymity or has already approached you, we will give advice. 3.6 Where you have dealt with customer complaints in accordance with paragraph 2.10 above, without success but have not taken it through arbitration or small claims, we will try to assist in resolving the matter. 3.7 Regardless of paragraph 3.5 and 3.6 above, the Business Regulation Service have a duty to investigate any allegations of breaches of Trading Standards or related legislation. We undertake to carry out any such investigations fairly, as quickly as possible and by an officer other than the officer mentioned in 3.4 above. 3.8 We will list your business under relevant and agreed headings in the Safer Sutton Trader Scheme list, on Sutton Council s website at Such listings will include your business address and contact information. 3.9 We will seek to promote the Safer Sutton Trader Scheme at all relevant events and presentations given and attended by us and in appropriate written and broadcast media. 4. Procedure for obtaining membership 4.1 An application for membership must be made on the appropriate form. We will acknowledge it within 7 working days of receipt. 4.2 We will make an initial contact to explain the scheme criteria within 14 days and if necessary arrange a visit to conduct an audit. 4.3 An audit will include a visit to your premises, an inspection of the business and relevant material documents, products, procedures etc. by us.

6 4.4 You must provide five references relating to previous work, two of which must be in the London Borough of Sutton. 4.5 You must provide original documentary evidence of a Criminal Records Check. 4.6 You agree to the audit and inspection and will co-operate with the inspecting officer in providing access to all relevant records and processes. 4.7 Applications and audit assessments will be considered for approval by the Business Regulation Service. Businesses failing to meet the approval criteria will be contacted to explain the Service s reasoning and to offer remedial advice. 4.8 Following achievement of membership you will receive advice from us on the use of the logo and certificate and display of copies of the Scheme. 4.9 Businesses agree to notify us of any changes to relevant circumstances which may affect their membership. These may include changes in senior staff, changes of suppliers, new products or services, new premises, convictions and County Court judgements Membership will not be granted if you supply products or services which do not conform to statutory requirements or are provided in a way which may be against the interest of consumers. This includes high-pressure sales techniques, cold calling, unfair terms and conditions and other sharp practice. Contracts with consumers must be fair. Any decision we make about this scheme is final. te: Membership under the Scheme is not certification that all the products and services provided by the business comply fully with the law If any employee or subcontractor breaches the Commitment by the Business, the Business Regulation Service may investigate the breach. You will be held responsible for all employees and subcontractors working on behalf of the business There shall be sufficient management control in place to ensure that the business operates legally and adheres to set customer service procedures. 5. Membership of the Scheme 5.1 Membership is subject to agreement with the current Terms of Membership. 5.2 Documentation and logos relating to the Safer Sutton Trader Scheme may be used by your business in the following ways: on business premises and vehicles on business documentation on products on advertising, including websites 5.3 In advertising and marketing, any membership which is limited to a specific branch or branches shall not be used in a way which implies membership of the whole organisation. Any advertising should be clear and truthful. Please refer to the logo guidance documentation for the scheme. 5.4 The use of any other London Borough of Sutton logo is not permitted within the terms of your membership unless specifically stated in writing by the authority.

7 5.5 Members will have the option of withdrawing from the scheme at any time by giving written notice to the Business Regulation Service. Entitlement to refunds will be considered on an individual basis. Term 5.7 shall then apply. 5.6 We reserve the right to withdraw your business from the scheme and to withdraw the right to display material relating to the scheme if there is adequate evidence that you are not abiding by these principles or commitments. In such circumstances if we withdraw membership, details may be published. 5.7 Should membership be refused, you will have the right to appeal within 28 days, in writing to the Business Regulation Service Manager whose decision shall be final. 5.8 Should membership be withdrawn or suspended you have the right to appeal via the disciplinary and appeals procedure linked to this Scheme. 5.9 All certificates and documentation indicating membership of the scheme shall remain the property of the approving authority and shall be returned to us in the event of membership being withdrawn. In such circumstances all logos must be removed from stationery, vehicles, advertisements etc. and customers responding to advertisements on the basis of the logo e.g. via Yellow Pages must be informed of the withdrawal of approval. The authority shall not be liable for any costs incurred in the removal of the logo by the business Improper use of logos, certificates etc. may constitute a criminal offence. 6. Freedom of Information Act The Authority is required to comply with the requirements of the above legislation in relation to any information held by it. As such in relation to individual member businesses, requests will be treated sensitively. However, an explanation of the legislation and its implications can be found at The Information Commissioner's Office: Disciplinary and appeal procedures Refusal of membership The Business Regulation Service reserves the right to refuse membership to any applicant which it feels does not satisfy the criteria laid down in the Terms of Membership. It may, as an alternative to refusal, impose certain conditions that need to be satisfied before membership is granted. 1.2 Should membership be refused you will have the right of appeal, which must be made in writing within 28 days to the Business Regulation Service Manager, whose decision shall be final. 1.3 The results of the appeals process shall be communicated to you within 28 working days from the receipt of your appeal.

8 2 Revocation of membership and other disciplinary measures 2.1 The Business Regulation Service reserves the right to revoke membership: If there is a significant breach of the terms of membership If there is a change in relevant circumstances for the business which may affect their membership. These may include, but are not limited to: changes to senior staff, changes of suppliers, new products or services, new premises, convictions and county court judgement. Such changes may result in a revocation of membership and a need to reapply for membership. The Business Regulation Service will assess this application and the process may include, at its discretion, a further audit. Upon information supplied by any other regulatory agency (or similar) which casts doubt upon the suitability of any particular business to be a member. 2.2 Without prejudice to paragraph 2.1 above, the Business Regulation Service may decide to suspend membership until such time as a full investigation can be concluded. It may also suspend membership in order to monitor whether a particular business remains suitable for inclusion within the Scheme. 2.3 Where membership is suspended or revoked, the Business Regulation Service will provide the member with a written explanation of the reason for its action. 2.4 As an alternative to suspension or revocation of membership the Business Regulation Service reserves the right, where considered appropriate, to implement other disciplinary measures (for example, a written warning or by requesting more information from the trader). 3 Appeals against suspension or revocation of membership 3.1 An appeals procedure exists and any member wishing to take advantage of this procedure should write to the Business Regulation Service Manager within 28 days. 3.2 Appeals will be assessed by an Independent Review and Appeal Panel consisting of three members. These members will be independent of the Scheme operator Examples of panels which may be used: One Scheme Member, one independent representative, and a member of another Trading Standards Service. Three senior members of staff from the authority independent of the scheme management. One consumer representative, one trader representative and one trading standards officer. 3.3 Appeals will be conducted in writing although in exceptional circumstances an appeal may be conducted by way of a personal hearing. 3.4 The results of the appeal will be communicated to the Scheme member, in writing, within 28 days from receipt of the appeal.

9 3.5 The decision of the Appeals Panel will be binding on both parties concerned. 3.6 There will be no cost to the member for the appeals process. 3.7 If the appeal is not upheld and membership is revoked, then all certificates and documentation indicating membership of the scheme shall be returned to the authority within 14 days. In such circumstances all logos must be removed from stationery, vehicles, advertisements etc. and customers responding to advertisements on the basis of the logo e.g. via Yellow Pages must be informed of the withdrawal of membership. Customer service guidelines Your business will be committed to providing a quality service to its customers. You agree to comply with the spirit and the letter of both the civil and criminal law relating to your business. 1.2 You will not seek to take advantage of vulnerable customers and where it is necessary and reasonably practicable, you will offer additional assistance to ensure that all aspects of the transaction are fully understood. 1.3 All advertisements produced in connection with your business will comply with all relevant codes of advertising. 1.4 Where appropriate, you will provide, in advance of the contract, clear and accurate information on key terms and conditions. Consumer contracts must comply with the Unfair Terms in Consumer Contracts Regulations 1999 and any relevant guidance issued by the Office of Fair Trading. 1.5 Where appropriate, depending upon the size and nature of your business, we may require full written information concerning the contract to be provided to customers on request. (This does not affect any legal obligation upon you to provide written contractual information.) 1.6 Manufacturers' guarantees and other forms of warranty are in addition to customers statutory rights and you will not seek to exclude or remove these existing rights in any way. Where guarantees and/or warranties are included as standard in the transaction, clear and accurate details will be provided to the customer. 1.7 Where additional guarantees and warranties are offered to customers, it will be made clear that these are optional and in addition to the customer's statutory rights. Clear and accurate details will be provided including a clear indication of who is responsible for the guarantee or warranty. There must be no high-pressure selling of additional guarantees or warranties. 1.8 Completion/delivery dates should be as flexible as possible and should be agreed in advance. Where delays prove unavoidable the customer should be given as much advance notice as possible. Where appropriate, given the size and nature of your business, we may require that such dates be communicated in writing. Where agreed delivery dates cannot be met then suitable alternatives or appropriate remedies should be offered to customers.

10 1.9 You will give clear and accurate information on any cancellation rights that your customers may have in relation to a contract, whether these are statutory or additional rights. You will comply with requirements under the Cancellation of Contracts Made in a Consumer's Home or Place of Work etc Regulations Where appropriate, given the size and nature of your business, easily accessible and user-friendly after-sales procedures should be in place to ensure consumer requirements are dealt with effectively. Any charges in relation to these after-sales procedures must be clearly communicated to users. In certain instances we may require such charges to be notified before purchase. 1 Customer complaints procedure 1.1 Members must have an effective customer complaints procedure in line with the following: It is the responsibility of the member to resolve all complaints about their business Any complaints will be dealt with promptly, effectively and courteously, in accordance with good business practice and the terms of the scheme. A person will be nominated to take overall responsibility for the management of customer complaints. Extra consideration and understanding should be shown when dealing with particularly vulnerable customers, such as elderly people All customer complaints will be recorded An initial response must be made to any customer complaint within five working days If it is not possible to resolve a customer complaint within one month of receipt, the customer will be given a written explanation by the business detailing why the complaint has not been resolved and what steps are being taken. In the case of unjustified complaints this may take the form of a full written explanation of the trader s perspective In exceptional circumstances where it has not been possible to resolve the complaint you may refer the complaint to the Business Regulation Service for assistance in reaching a solution If a satisfactory conclusion still cannot be reached, the agreement of the customer and the business will be sought for the use of a mutually agreed arbitration scheme e.g. trade association or other arbitration schemes, if available or a claim in the County Court. The business will accept the result of the arbitration. 1.2 If we receive any complaints about you as a member of this Scheme and the complaint is civil in nature, the complaint will be referred back to you to resolve. If the complainant requires anonymity or has already approached you, advice may be given by us or the complainant may be referred to Consumer Direct. 1.3 Where you have dealt with customer complaints in accordance with paragraph 1.1 above, without success but have not taken it through arbitration or small claims, we

11 will try to assist in resolving the matter. 1.4 Members will co-operate with the Business Regulation Service or any other intermediary consulted by the consumer in an attempt to resolve any complaint. 2 Mediation 2.1 If the customer considers the matter is not satisfactorily resolved, then the customer may be given details of a trade association or appropriate body for alternative dispute resolution (ADR). This information is available from Consumer Direct. The Customer will be responsible for referring the matter to the appropriate body. 2.2 If options mentioned in 2.1 above are not available the Business Regulation Service may offer to assist the customer by contacting the member to mediate in appropriate circumstances. Members must ensure that the customer is aware of these options. The ultimate decision as to whether mediation takes place will lie with the Business Regulation Service. 2.3 If a satisfactory conclusion still cannot be reached, the agreement of the customer and the business will be sought for the use of a mutually agreed arbitration scheme. There may be some cost to either/both parties for this service as it would be externally sourced. The business will accept the result of the arbitration. Where not agreed or where not available either party may decide to take the matter to the County Court. Criminal Records Bureau (CRB) Disclosure 1 Introduction 1.1 The Safer Sutton Trader Scheme is committed to encouraging high business standards, and to promoting an environment in which consumers can buy goods and services safely. For this reason, applicants and members of the schemes are asked to provide information in relation to criminal records. 1.2 From 2010 it is a condition of membership that Basic Disclosure certificates are provided for some personnel. This document provides guidance about what is required. 2 Who needs to do CRBs 2.1 All staff who do work in or around domestic premises (which includes gardens and land and buildings attached to the property) are required to provide a current disclosure certificate. This would not normally include occupations where in the normal course of events the work would only constitute a visit to a door of the property. However, note also 2.4 below. 2.2 All staff who have unsupervised access to vulnerable people through their job are required to have a CRB check carried out on them. 2.3 CRBs are not required for directing minds of businesses unless they are going to domestic premises or will have access to vulnerable people (see 2.1, 2.2.) Directing minds of the business are required to disclose any

12 unspent convictions on application to the Safer Sutton Trader Scheme. 2.4 At the discretion of the scheme operator, if intelligence received or other circumstances warrant such an approach, then exceptional checks may be carried out on an individual or individuals. 3 Sub contractors 3.1 Sub contractors working in circumstances outlined in para 2 will be required to have CRB checks, unless they are supervised at all times by the owner and/or an employee of the applicant business, who has had a CRB check. 4 How often should CRB checks be repeated? 4.1 CRBs are required only on application to the scheme. 4.2 Where applicants have a CRB which is less than 12 months old this is accepted, provided the individual signs a declaration that there have been no convictions subsequently or pending. If a CRB check is more than 12 months old a new check will be required. 5 New employees 5.1 Where applicable as above, new employees are required to complete a CRB within 4 weeks of joining the business and supply the disclosure certificate to the scheme operator without delay. The owner/director is responsible for ensuring this procedure is completed and the scheme operator informed. 6 Overseas employees 6.1 Applicants/employees from overseas are required to provide a CRB or equivalent to cover the last 7 years. 7 Minors 7.1 CRB checks are required for minors working in the circumstances specified (see paras 2.1, 2.2.) 8 Basic Disclosures 8.1 A Basic Disclosure (termed as a "criminal conviction certificate" in Part V of the Police Act 1997) is the lowest level of Disclosure and is available to anyone for any purpose, on payment of the appropriate fee. It contains details of convictions considered unspent under the Rehabilitation of Offenders Act 1974 or states that there are no such convictions. This type of Disclosure is only issued to the applicant. It is not job-specific or jobrelated and may be used more than once. 8.2 There is a cost for applying for a Basic Disclosure. The cost of obtaining Disclosure is to be borne by the applicant or member business, and will not be funded by the scheme operator.

13 9 Other types of Disclosure 9.1 Other forms of disclosure may be accepted in place of a Basic Disclosure, at the discretion of the scheme operator. Standard or Enhanced Disclosure issued by the Criminal Records Bureau will usually be accepted (NB the applicant/member is asked to note the provisions of the Rehabilitation of Offenders Act and Data Protection Act when obtaining this information or sharing it with any third party, including the scheme operator). 10 What if a conviction is recorded on the disclosure certificate? 10.1 A balanced judgment will be made having regard to factors such as:- The nature of the offence Its relevance to the post, position or profession in question How long ago the offence took place The person's age at the time Whether it was an isolated offence or part of a pattern of offending What is know about the person's conduct and character before or since 10.2 At the scheme operator's reasonable discretion, it may be possible to agree a course of action which will allow an application or membership to continue. Examples of appropriate action could include: Change of duties for the staff member/sub-contactor concerned Further Disclosure to be carried out periodically Additional supervision arranged Detailed information about the circumstances to be obtained from the courts or other relevant body 10.3 If there is a perceived risk to customers or to the integrity of the Scheme, the disclosure may be deemed adverse. An adverse disclosure may mean that an application is refused or, if the business is already a member, membership may be terminated or suspended. 11 Appeals 11.1 If the scheme operator deems a disclosure to be adverse, and you believe the decision to be unfair, you are entitled to make an appeal in writing for the decision to be reviewed. You (or the person who is the subject of the appeal) may be asked to supply additional information or to attend a meeting as part of the review process.

14 12 Privacy 12.1 Disclosures and accompanying information supplied to us will be treated confidentially, in accordance with the Data Protection Act 1998 and any other relevant legislation. Only staff within the Business Regulation Service will have access to the information and it will not be used for any other purpose than is stated. The information will not be passed to any third party organisation unless this is required by law The original Disclosure certificate(s) will be retained for a short period while under review. This period will not normally exceed 6 months and may be much shorter. After review, certificates will be returned by standard post or on request by recorded delivery. Only the minimum necessary information will be retained thereafter and will be kept in a lockable storage facility. 13 Other Sources of Information: Information Commissioner's Office (Data Protection): or Disclosure Scotland : or Criminal Records Bureau: or Citizens Advice Bureau (Employment Law): (no general number) Please te: If you carry out work in or around domestic premises, or for other high risk groups, you will be required to supply a Criminal Records Disclosure form in respect of every employee and unsupervised subcontractor who does such work on your behalf. There is a cost for this from Disclosure Scotland.

15 Application Form Checklist You can use this checklist to make sure that you are including all the relevant documents when you send in your Application Form to the Business Regulation Service. Is information included showing trading more than one year? Documents is Business Names/Companies Act information included? (details of business ownership) Complaints Procedure is evidence of this included? Are five references included? Are at least two references from Sutton? Are details of trade associations or registration bodies included? Have you included evidence of training schemes in which you have been successful? If you have not done any training schemes, have you included any evidence to show other relevant experience? Insurance is evidence of this included? Have you included Forms 1, 2 and 3? Document - original evidence of Criminal Record Check? Criminal Records Bureau or Disclosure Scotland or Police Data Check Waste disposal: Environment Agency membership number or reason for exemption If you have successfully completed all of the above, then your application and the relevant documents should be ready to send to the Business Regulation Service. There is no need to return this list