All Flashcards
1
Q
Why couldn’t you act for your neighbour?
A
As did not have the correct level of PII, I would not be providing my neighbour with high level of service, and would be putting both my neighbour and myself at risk.
2
Q
What is a conflict of interest?
A
A conflict of interest is anything that impedes or might be perceived to impede an individual’s or firm’s ability to act impartially and in the best interest of a client. A conflict of interest can cast doubt on your integrity; it can also have a damaging effect on your firm and the profession as a whole.
3
Q
what is NEBOSH and what is it purpose?
A
National Examination Board for Occupational Safety and Health.
Provides training and skill which are essential to help identity, manage and eliminate the risks within the workplace.
4
Q
How do you prepare a RA?
A
I follow the HSE guidelines when preparing a Risk Assessment, which recommended the following steps;
1 Identify the hazards
2 Decide who might be harmed and how
3 Evaluate the risks and decide on precautions
4 Record your findings and implement them
5 Review your assessment and update if necessary.
5
Q
What are the 5 methods of conflict avoidance?
A
1) Accommodating – agree with other party, not worth risking the relationship
2) Avoiding – stonewalling, pretend there is nothing wrong
3) Collaborating – coming together to find a solution
4) Compromising – Look for common ground, negotiate larger items, let go of smaller
5) Competing – see conflict in terms of winning and losing, argue my point
6
Q
What is the difference between BREEAM and EPC?
A
BREEAM assessment evaluates the procurement, design, construction and operation of a development against a range of targets based on performance benchmarks.
It focuses on sustainable value across range of categories:
Energy Land use and ecology Water Health and wellbeing Pollution Transport Materials Waste Management
Each category focusses on the most influential factors, including reduced carbon emissions, low impact design, adaption to climate change, ecological value and biodiversity protection.
Developments are rated and certified on a scale of Unclassified (<30%), Pass (>30%), Good (>45%), Very Good (>55%), Excellent (>70%) and Outstanding (>85%).
An EPC contains:
information about a property’s energy use and typical energy costs
recommendations about how to reduce energy use and save money
An EPC gives a property an energy efficiency rating from A (most efficient) to G (least efficient) and is valid for 10 years.
7
Q
Are there any other sorts of Certificates? (Display Energy Certificates for public buildings etc).
A
A Display Energy Certificate (DEC) is a measure of how much energy your building has consumed over the last 12 months and therefore reflects your building’s performance in operation. While the EPC and DEC documents look similar, they are in no way comparable and you should not expect a building’s DEC rating to match its EPC rating.
8
Q
RIBA Work Stages – what are they 0-7?
A
Strategic definition’ is a stage referred to in the Royal Institute of British Architects (RIBA) for their 2013 Plan of Work. This plan comprises eight work stages, and introduces new terminology, and a new stage referencing system: 0 - Strategic definition. 1 - Preparation and brief. 2 - Concept design. 3 - Developed design. 4 - Technical design. 5 - Construction. 6 - Handover and close out. 7 - In use.
9
Q
Define the role of PM
A
- Responsible for driving the successful completion of a project providing a link between the employer and the building contract, design team and other consultants.
- Usually appointed at Stage 0: Strategic Definition or Stage 1: Preparation and Brief and is involved in all further stages of the project to ensure that the project is delivered on time, within budget and to the desired quality.
10
Q
Define the role of EA
A
The Employer’s Agent has a dual role acting impartially when making decisions regarding contract administration and also acts on behalf of the client whereas a Contract Administrator would have no link to the client, only the contract.
The term Employer’s Agent is only used in the JCT Design & Build contract, other JCT contracts refer to the Contract Administrator.
11
Q
Define the role of the CA
A
The Contract Administrator is appointed by an employer to administer the contract between the employer and the contractor impartially.
Under the contract the CA will be responsible for issuing:
- Chairing meeting and inspecting the works
- Issuing Instructions
- Issuing Payment Certificates
- Determining claims from the contractor for Extensions of Time and Loss and Expense
- Practical Completion
- Making Good Defects Certificate
- Agreeing Adjusted contract Sum and issuing Final Certificate (Payment)
12
Q
What is a framework
A
A framework agreement is where suppliers are asked to tender to provide services over a fixed length agreement. The services are then called off the framework as and when required rather than carrying out a new tender process each time. Members of the framework will typically provide fixed rates of OH&P and prelims or for consultants their fee as a % of construction value. Mini tender process can also be carried out on each individual project to ascertain best value for the client.
13
Q
Why is a framework used
A
Provides compliance with OJEU procurement rules, reduces procurement timescales. Reduces risk and the need for a learning curve each time. Better price
14
Q
What might be included in a client brief?
A
A description of the client
1. A description of the client’s brand, culture and organisation.
2. A description of the client’s vision, mission and objectives.
3. A description of the client’s priorities and the criteria that will be used to measure success.
4. Organisational structure and decision making processes.
5. Changes to the client that the project will bring about.
6. Interfaces with other projects.
7. Client policies that may be applicable to the project (for example; transport policy, energy policy, natural ventilation policy, sustainability policy).
8. Client preferences for the project (for example; image, use of local materials, use of landscape, etc.), and quality expectations (including health and safety, sustainability and design quality).
9. A description of the principles that will be adopted in the development of the design.
Site information
1. Building surveys.
2. Site surveys.
3. Information about ground conditions.
4. The location and capacity of utilities.
5. Access and other constraints.
6. Legislative constraints.
7. Existing planning consents.
Spatial requirements
1. Schedules of accommodation, areas and special requirements.
2. Schedules of users (including external users), their numbers, departments, functions, organisational structure and operational characteristics.
3. Spatial policies (for example, open plan or cellular offices, daylighting requirements, temperature ranges and acoustic standards).
4. Required adjacencies, groupings and separations.
5. Zoning.
6. Circulation guidelines and identification of major circulation flows.
7. Phasing.
Technical requirements
1. Structural strategy (columns and gridlines to be adopted, special loads, floor-to-ceiling heights).
2. Servicing requirements, including specialist requirements.
3. Comfort conditions and level of user control.
4. Acoustic requirements.
5. Equipment requirements.
6. Specialist requirements for furniture, finishes, fixtures and fittings.
7. Information and communications technology (ICT) requirements.
8. Requirements for specialist processes and plant.
9. Fire compartments.
10. Maintenance and cleaning requirements.
11. Likelihood of future change (for example, staff numbers) and flexibility required.
12. Sustainability objectives and energy use targets.
13. Safety and security requirements.
14. Resilience to potential hazards or threats.
15. Waste and water management.
16. Pollution control.
17. Flexibility and future uses.
18. Durability and lifespan.
19. Other performance requirements.
20. Benchmarking information.
Component requirements
1. Long-lead items.
2. Potential requirement for specialist design or specialist contractors design.
3. Cladding strategy and materials selection procedures.
Project requirements and other issues
1. Planning requirements.
2. Outcome of any consultation processes.
3. Budget.
4. Project programme and key milestones.
5. Known risks.
6. Targets for post occupancy evaluation outcomes and other performance targets.
15
Q
Tell me how you advised on the procurement of the consultant team
A
I advised on the scope of services they would need to carry out. At the time we had some of this in house and that was part of our framework agreement. The process now is to speak to the contracting body and understand their procurement requirements. One client uses an e-tendering portal and we provide the scope and review the responses. Another client asks for three prices from consultant and looks to us to advise on the best tender return. The content of the “tender documents varies whether we are looking for low value survey work or an M&E consultant.
16
Q
Tell me about your process for stakeholder management
A
This would depend on the size and complexity of the project and also how contentious the project has the potential to be. Belt and braces I would start by understanding from the client the potential stakeholders for the project and supplement this list with my own knowledge from other schemes. I would then carry out a political and stakeholder audit to establish their requirements, desires and potential issues with the project. I will record all this information in a stakeholder management plan and use a stake holder matrix to determine how to manage and communicate with each stakeholder. This is ensure that they are kept informed throughout the process and reduces the risk of the project underdelivering for any of the stakeholders. It can also reduce any potential objections to a planning application.
17
Q
What goes into a feasibility report
A
Feedback on any surveys, site location and description, surrounding area, presence of other buildings, features, site topography, any watercourse, utility information, access arrangements, road connections, access to public transport
18
Q
What items do you include on your development programmes
A
Design development, surveys, client review periods, funding deadlines, planning submission dates, tender process, construction period,
19
Q
What is OJEU, what are the OJEU limits
A
Official journal of the European union. All public sector contracts (and private with certain funding streams e.g. Lottery) over certain threshold values must be posted to the journal. The threshold limits for central government are
£4,733,252 – Works contracts
£122,976 - Services
Timescales need to be considered as there are minimum timescales for responses that must be adhered to, needs to be considered in the contract
20
Q
What advice did you give regarding modular construction
A
Advice around the construction process and logistics. Advice regarding payment for off site materials and how that would be managed. Advice on the potential finishes that were achievable and how the amount of work done off site can chance the look of the building internally and externally. Also the advantages and disadvantages, speed, cost (should be cheaper), end finish, future proofing, low flexibility for changes once on site.
21
Q
What construction contracts are available to clients to use
A
JCT, FIDIC, NEC, ICE and there are various subcontracts within each depending on procurement strategy
22
Q
What are the different procurement options, explain each
A
D&B, Traditional, Construction Management, Management Contractor, Cost Reimbursable, Target Cost
23
Q
Explain two stage tendering, how is the contractor assessed at each stage
A
STAGE 1
The employer tenders the project on a competitive basis, but based on an incomplete design prepared by the employer’s design team, together with an outline price and programme for the works.
The tenderers submit a proposed construction programme, method statement, price for preliminaries and a percentage for overheads and profit during the life of the project.
The initial stage 1 tender may also include competitive tendering of some already defined work packages, plus a lump sum or cost reimbursable price for pre-construction services and design fees.
This stage concludes when the preferred contractor is appointed, either on the basis of the provisions of an identified contract, or a separate PCSA.
The contractor’s role under a PCSA is effectively a consultancy role, more similar in nature to a professional appointment.
STAGE 2
During the second stage, the successful tenderer, or preferred contractor, is in a form of extended contract negotiation with the employer. The negotiations run in parallel with the works which the contractor is carrying out under the PCSA. The process relies on a certain amount of cooperation between the parties to be successful. Typically, the type of issues on which the contractor will advise the employer will include the buildability of the design, based on his experience. The contractor will also be seeking to agree a programme and cost plan with the employer.
The contractor may also tender early and long-lead works packages, and together with the employer select certain specialist sub-contractors.
Tendering may be on an open-book basis to allow the employer to monitor and understand the contractor’s pricing.
Stage 2 concludes with agreement of a lump sum price for completion of the project and the terms of the building contract. Theoretically, the employer may appoint an entirely different contractor to carry out the construction works under the building contract. However in practice, the employer and stage 1 contractor will usually have worked closely together during the initial stage, enabling them to reach an agreement as to the price and terms of the contract. Given the contractor’s involvement in the development of the design, the building contract will generally be a design and build contract
24
Q
What might be included in a pre-qualification exercise?
A
Financial information Legal issues Past experience of similar projects H&S record References Quality assurance policy. Environmental management policy. Equal opportunities policy. Insurances
25
What is included in an income statement?
The income statement consists of revenues and expenses along with the resulting net income or loss over a period of time due to earning activities. The income statement shows investors and management if the firm made money during the period reported.
Revenues might include fees or sales of materials or appreciation of assets.
Expenses could be debt, staff cost, rent, insurances, IT costs
26
What is your companies complaints handling procedure?
* Every complaint referred to the director responsible
* Encourage complainant to make their complaint in writing if previously verbal
* Director to respond in writing within 10 days to confirm our understanding. The client will be invited to make any further comments
* 21 days from receipt of further comments the director responsible will inform client of outcome of the investigation
* Provides Managing director details for further escalation if required
* If those procedures don’t settle dispute will agree to enter into mediation with Centre for dispute resolution of RICS mediation process
* Where can be resolved by any other means and in appropriate circumstances the complaint will be refer to the surveyors arbitration scheme operative by Chartered Institute of Arbitrators.
27
Explain the principles of client care and provide an example where you have put this into place?
Andy Knight -worked weekend to feed into his report to the procurement board
28
What are the 5 ethical standards?
Always Act with Integrity
Always provide a high standard of service
Treat others with Respect
Act in a way that promotes trust in the profession
Take Responsibility
29
Explain what Acting with Integrity means to you
Be honest and straightforward in all that you do. Consider how you actions could be viewed by other people. Not allowing conflicts of interest. Not accepting gifts that could be viewed as affecting your impartiality
Be honest and straightforward in all that you do. This is one of our five professional and ethical standards. This standard includes, but is not limited to, the following behaviours or actions:
Being trustworthy in all that you do.
Being open and transparent in the way you work. Sharing appropriate and necessary information with your clients and/or others to conduct business and doing so in a way so they can understand that information.
Respecting confidential information of your clients and potential clients.
Don’t divulge information to others unless it is appropriate to do so.
Not taking advantage of a client, a colleague, a third party or anyone to whom you owe a duty of care.
Not allowing bias, conflict of interest or the undue influence of others to override your professional or business judgements and obligations.
Making clear to all interested parties where a conflict of interest, or even a potential conflict of interest, arises between you or your employer and your client.
Not offering or accepting gifts, hospitality or services, which might suggest an improper obligation.
Acting consistently in the public interest when it comes to making decisions or providing advice.
30
What does always provide a high standard of service mean to you
Listening to clients and understanding what they need, ensuring that my scope reflects this and that I gave them realistic timescales and stick to them.
Be clear about what service your client wants and the service you are providing.
Act within your scope of competence. If it appears that services are required outside that scope then be prepared to do something about it, for example, make it known to your client, obtain expert input or consultation, or if it's the case that you are unable to meet the service requirements, explain that you are not best placed to act for the client.
Be transparent about fees and any other costs or payments such as referral fees or commissions.
Communicate with your client in a way that will allow them to make informed decisions
If you use the services of others then ensure that you pay for those services within the timescale agreed.
Encourage your firm or the organisation you work for to put the fair treatment of clients at the centre of its business culture.
31
Example of high standard of service?
Client asked if we could provide clerk of work services which could be a good fee for the company, while we could attempt to carry it out, there are other companies out there that are better focused for carrying out this work and I offered to find a suitable candidate for the client.
32
What does Treat Others with Respect mean to you?
Always being courteous, polite and considerate to clients, potential clients and everyone else you come into contact with.
Never discriminate against anyone for whatever reason. Always ensure that issues of race, gender, sexual orientation, age, size, religion, country of origin or disability have no place in the way you deal with other people or do business.
As much as you are able, encourage the firm or organisation you work for to put the fair and respectful treatment of clients at the centre of its business culture.
33
What does take responsibility mean to you
Always act with skill, care and diligence.
If someone makes a complaint about something that you have done, then respond in an appropriate and professional manner and aim to resolve the matter to the satisfaction of the complainant as far as you can.
If you think something is not right, be prepared to question it and raise the matter as appropriate with your colleagues, within your firm or the organisation that you work for, with RICS or with any other appropriate body or organisation.
34
Why is the RICS valued so highly
The robust assessment process and ongoing CPD requirements give clients confidence that they are dealing with someone with a high level of competence and that they are trustworthy, ethical and will provide a high level of service.
35
Who is the RICS Chair
Paul Marcuse
36
What do you understand about alternative dispute resolution methods
A process for resolving disputes among parties in accordance with rule 7 of the RICS rules for firms.
These Alternative Dispute Resolution procedures are:
o Negotiation.
o Mediation.
o Conciliation.
o Adjudication.
o Arbitration.
37
software and how it can be used
Customer Relationship Management software records and monitors customer interactions so that the ways in which a company can interact with them can be made more efficient and effective
38
What systems do you use to manage design team input
Use the programme to set design timescales and milestones for issue, host design development meetings and provide clear actions following each meeting. Encourage collaboration between design team members. Ensure scope of service and appointment documents reflect the client’s requirements
39
Do you know what the Generally Accepted Accounting Principles (GAAP) relevant to the candidate’s geographical area
Generally Accepted Accounting Practice in the UK, is a regulatory body that establishes how accounts and financial reports should be prepared in the United Kingdom.
40
Explain the role of the Auditor
An auditor is one who is accredited with the right to assess, evaluate and validate the accuracy of commercial accounts of the parent organisation and one who guarantees the organisation’s compliance with tax regulations. Auditors evaluate the financial actions of the company that employs them and make certain of the smooth running of the organisation. Auditors are economic specialists who analyse commercial accounts for precision and scrupulousness. They are mostly employed by industries or autonomous establishments to execute internal and external audits.
41
Explain what International Accounting Standards (IAS) are
They constitute a standardised way of describing the company’s financial performance and position so that company financial statements are understandable and comparable across international boundaries
42
What are the different types of business plan
Operational Plan - This type of planning typically describes the day-to-day running of the company.
Strategic Planning – Big Picture, Long term, includes a high-level overview of the entire business
Tactical Planning - Tactical planning supports strategic planning. It includes tactics that the organization plans to use to achieve what’s outlined in the strategic plan
Contingency Planning - Contingency plans are made when something unexpected happens or when something needs to be changed
43
What are the key elements of a business plan
A business plan is a written document describing a company's core business activities, objectives, and how they plan to achieve their goals. Would include executive summary, products and services, marketing strategy, market analysis, financial planning, and a budget.
44
Tell me about your company’s business plan
Summary of the past successes of the last year, summary of the current market position in particular the uncertainty relating to Brexit. 10 Objectives for the year ahead. Increase bank monitoring, nurture European operations Set up new sustainability and environmental working group.
45
Systems and procedures for managing client care
Having a complaints handling procedure, Getting feedback from every project. Ensuring that we don’t have conflicts of interest and where do they are handled efficiently and transparently
46
What might be included in a prelims document
```
Liquidated damages
Details of existing buildings and utilities
Length of contract
Working hours
Restrictions regarding the use of the site
Completion date, possession date
Rectification period
Insurances
```
47
What is an RICS jurisdiction guide?
This provides relevant local market information associated with an RICS
international standard or RICS professional statement. This will include local legislation, associations and professional bodies as well as any other useful information that will help a user understand the local requirements connected with the standard or statement. This is not guidance or best practice material,
but rather information to support adoption and implementation of the standard or statement locally.
48
How do you become a RICS regulated firm?
Put in an application form, will require the following
• Offer professional services in surveying disciplines to professional, corporate, institutional and other clients who rely on such services.
• Have at least 25% principals (a senior manager, partner or owner), who are qualified RICS professionals (MRICS, FRICS, AssocRICS).
• Agree to observe and comply with RICS Rules of Conduct for Firms, including working to RICS standards..
49
What do you know about Client Money fundamentals
I've read the client money professional statement
There are discrete and general client money accounts
General account requires a client ledger
Discrete account requires a cash book
RICS client money protection scheme sets out the client money protection provisions required by RICS regulated firm. RICS regulated firms must register with this
Objectives
- Client money must be kept safe
- Client money accounts used only for appropriate reasons
- RICS regulated firms must have the appropriate controls and procedures to safeguard client money
RICS regulated firm must
- Hold client money in a client money account which the firm has exclusive control over at Bank or Building Society regulated by relevant banking regulatory body
- Ensure account does not contain any money but client money
Or sums needed to replace client money removed in error
Not hold office money in the account unless it’s a receipt of mixed money where the office money is awaiting transfer
Account has to be name WT Partnership Client account. Client written in full.
- Money has to be immediately available even at sacrifice of interest
- Where in interest account with penalties, penalties only to be taken with consent of client
- Confirm banking conditions with bank, agreed in writing that the client money cannot be used against any other company debt
- If client needs access to account then this has to be setup by them
Regular reconcilliations of money
Client needs to be informed of client money account information, firms procedures for handling client money, how unidentified amount are dealt with
50
What must firms do with regard to Bribery and Corruption
* not offer or accept, directly or indirectly, anything that could constitute a bribe
* have plans in place to comply with applicable laws governing bribery and corruption, and ensure that these are followed
* report any activity they are aware of that breaches anti-bribery and corruption laws o the relevant authorities (as specified in local legislation); where there is no local legislation the activity should be recorded and, if possible, reported to a senior manager
* act with due diligence to perform periodic written evaluations of the risks that face the firm and that may lead to the facilitation of bribery or corruption; in determining the appropriate level of due diligence, the firm may consider the type of business activities they engage in and the environment in which they operate
* retain information detailing how the firm has met the requirements of the professional statement.
51
What should firms do with regard to Bribery and Corruption
• prepare a written policy covering anti-bribery and corruption including a risk
assessment detailing the nature and impact of risk affecting the business – this policy
should be reviewed and updated periodically as appropriate
• have appropriate governance and systems controls in place, proportionate to the
type of work the firm does
• encourage transparency within the organisation by implementing a register including
but not limited to:
–– gifts
–– hospitality, entertainment and expenses
–– customer travel and hospitality
–– political contributions
–– charitable donations and sponsorships
–– potential conflicts of interest
• provide clear guidance for staff so that they understand their role in preventing
bribery and corruption and are aware that the following will not be tolerated:
–– so-called ‘facilitation payments’; although such payments may not be illegal in the
local country where the payment is made, no such payments should be made
without explicit authorisation from the head office
–– bribes
–– price-fixing to create a monopoly or cartel arrangement
–– failure to declare a conflict of interest
• appoint a contactable person within the company or local office to discuss
compliance and ethics matters; the largest regulated firms may decide to formally
appoint a local compliance and ethics champion, which is best practice for the
largest regulated firms; smaller firms may still elect to make such an appointment,
depending on resource implications
• publish a code of behaviour and provide this to staff
• carry out appropriate due diligence on third-party suppliers to ensure they are acting
appropriately; if present in local bribery and corruption legislation then in line with
their requirements.
52
What must RICS Member do in relation to bribery and corruption?
* not offer or accept, directly or indirectly, anything that could constitute a bribe
* ensure that they have adequate knowledge of bribery and corruption to be able to comply with the requirements of this professional statement
* report any activity they are aware of that breaches applicable anti-bribery and
* corruption laws to the relevant authorities (as specified in local legislation); where there is no local legislation the activity should be recorded and, if possible, reported to a senior manager.
53
What should RICS Member do in relation to bribery and corruption?
• declare certain items to their employer, including but not limited to:
–– gifts
–– hospitality, entertainment and expenses
–– customer travel and hospitality
–– charitable donations and sponsorships
• attend relevant training provided by their employer or a regulator addressing bribery and corruption
• be familiar and act in compliance with their employer’s policy, process and code of behaviour relating to bribery and corruption
• if in a senior management position, take a leadership role in attempting to ensure that their employer has an appropriate regime in place for addressing bribery and corruption risks.
54
What must firms do with regard to Money Laundering?
not facilitate or be complicit in money laundering or terrorist financing activities
• have systems and training in place to comply with these laws, and ensure these are
followed
• report any suspicions of money laundering or terrorist financing activities to the
relevant authorities (as specified in local legislation); where there is no local legislation
the activity should be recorded and, if possible, reported to a senior manager
• evaluate and review periodically the risks that prospective and existing business
relationships present in terms of money laundering or terrorist financing offences
taking place
• ensure that their responses to the risks identified are appropriate, including
conducting appropriate checks on clients and customers
• use reliance only where there is an appropriate level of confidence in the quality of
the information provided by the third party – reliance should only be taken from third
parties with standards conforming to the legal requirements, that provide the obliged
market participant with a complete exchange of all legally required AML information
regarding the identified party and only by confirming the identity and verification
of identity of the client or counterparty in question; ultimate responsibility for the
assessment of risk and actions taken based on this remain with the member or regulated firm
• take appropriate measures to understand the client and the purpose of the transaction
• verify the identity of their client by undertaking basic identity checks
• record and retain information detailing how the firm has met the requirements of this professional statement.
55
What should firms do with regard to Money Laundering?
• have a written policy addressing money laundering and terrorist financing risks that
covers the following issues:
–– in high risk situations where enhanced due diligence is required, understanding the
source of funds in a transaction
–– identifying PEPs, PSCs and any potential breaches of sanctions
–– the process to be followed for customer due diligence
–– the situations in which simplified due diligence, standard/ordinary due diligence, or
enhanced due diligence will be appropriate (see 3.6)
• have appropriate governance and systems controls in place, proportionate to the
type of work the firm does
• provide appropriate, recurring training for staff, to ensure they are familiar with the
risks associated with money laundering and terrorist financing and the firm’s systems
to counter these risks
• keep reports of suspicion of money laundering and terrorist financing activity
confidential (for guidance surrounding whistleblowing see 3.11)
• identify the beneficial owner of a company/client involved within a transaction
• appoint a senior person to be responsible for ensuring anti-money laundering and
counter-terrorist financing policies are in place and complied with.
56
What must RICS Member do with regard to Money Laundering?
• not facilitate or be complicit in money laundering or terrorist financing activities
• report any suspicions of money laundering or terrorist financing activities to the
relevant authorities (as specified in local legislation); where there is no local legislation
the activity should be recorded and, if possible, reported to a senior manager.
Countering bribery, corruption, money laundering and terrorist financing
57
What should RICS Member do with regard to Money Laundering?
• keep abreast of current training/regulation offered to them either by their employer or
by a regulator addressing money laundering or terrorist financing
• comply with their employer’s policy and process relating to money laundering and
terrorist financing
• keep reports of suspicion of money laundering and terrorist financing activity
confidential
• if in a senior management position, take a leadership role in attempting to ensure that
their employer has an appropriate regime in place for addressing money laundering
and terrorist financing risks.
58
Techniques for avoiding money laundering?
Know your client (KYC) or customer due
| diligence (CDD) requirements
59
Rules of Conduct Members
3 Ethical behaviour
Members shall at all times act with integrity and avoid conflicts of interest and avoid any actions or situations that are inconsistent with their professional obligations.
4 Competence
Members shall carry out their professional work with due skill, care and diligence and with proper regard for the technical standards expected of them.
5 Service
Members shall carry out their professional work in a timely manner and with proper regard for standards of service and customer care expected of them.
6 Continuing Professional Development (CPD)
Members shall comply with RICS’ requirements in respect of continuing professional development.
7 Solvency
Members shall ensure that their personal and professional finances are managed appropriately.
8 Information to RICS
Members shall submit in a timely manner such information, and in such form, as the Standards and Regulation Board may reasonably require.
9 Cooperation
Members shall cooperate fully with RICS staff and any person appointed by the Standards and Regulation Board.
60
Rules of Conduct Firms?
3 Professional behaviour
A Firm shall at all times act with integrity and avoid conflicts of interest and avoid any actions or situations that are inconsistent with its professional obligations.
4 Competence
A Firm shall carry out its professional work with due skill, care and diligence and with proper regard for the technical standards expected of it.
5 Service
A Firm shall carry out its professional work with expedition and with proper
regard for standards of service and customer care expected of it.
6 Training and Continuing Professional Development (CPD)
A Firm shall have in place the necessary procedures to ensure that all its
staff are properly trained and competent to do their work.
7 Complaints handling
A Firm shall operate a complaints-handling procedure and maintain a
complaints log. The complaints-handling procedure must include an
Alternative Dispute Resolution (ADR) mechanism that is approved by the
Standards and Regulation Board.
8 Clients’ money
A Firm shall preserve the security of clients’ money entrusted to its care in the course of its practice or business.
9 Indemnity
A firm shall ensure that all previous and current professional work is covered by adequate and appropriate indemnity cover which meets standards approved by the Standards and Regulation Board.
61
What do you know about Conflicts of Interest?
Every RICS member working independently or within
a non-regulated firm or within a regulated firm must:
(a) identify and manage Conflicts of Interest in
accordance with this professional statement and
(b) keep records of the decisions made in relation to
whether to accept (and where relevant, to continue)
individual professional assignments, the obtaining of
Informed Consent, and any measures taken to avoid
Conflicts of Interest arising.
Every RICS regulated firm must have in place
effective systems and controls appropriate to the size and complexity of their business to enable them to ensure that the firm and its employees are able to manage their compliance with this professional statement.
RICS members working independently or within nonregulated firms and regulated firms must then consider their obligations under paragraph 1.1.
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What did you consider when appraising other sites?
Location, ground reports, previous uses, proximity to public transport, access, contours, availability of services, shape of the site.
63
What is an alternative dispute resolution mechanism?
An alternative to Litigation. Options are Mediation, adjudication, conciliation, arbitration, expert witness.
64
What must you do if you receive a complaint?
May need to inform PII insurer
| Send complainant a copy of the CHP
65
Best way to avoid complaints?
Clear scope, understanding the client’s objectives, good communication throughout the project so issues can be nipped in the bud before they become and issue. Allocating adequate resources to a project
66
What are RICS terms of engagement, what do you issue to a client
Terms of engagement set out the basic facts of your instruction so that there is no confusion about what you have been asked to do. They also define the scope and depth of the service you will provide, and in doing so set boundaries to your liability. Terms of Engagement must be simple, clear and comprehensive
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Surveying safely highlights
Individuals are responsible for knowing and understanding
the health and safety risks appropriate to the tasks they
undertake. This knowledge may be gained through:
• appropriate training
• keeping up to date with relevant information and
• personal experience
which all contribute to ongoing competence. Individuals
within an RICS-regulated firm are obliged to maintain
competence levels appropriate to their tasks.
‘Safe person’ concept - each individual assumes individual behavioural responsibility for their own, their colleagues’ and others’ health and safety while at work.
RICS-regulated firms are obliged to ensure the health, safety and welfare of people at work by providing, monitoring and maintaining: • a safe working environment • safe work equipment • safe systems of work and • competent staff
Organisational responsibilities include:
• selection: everyone having, or being capable of developing, the job skills and competence to meet the demands of their work activities
• training: including providing knowledge about the potential hazards in a working environment
• information: providing staff with information about the risks and control measures associated with their working environment. This information may be generic in nature or it may relate to specific sites
• equipment: providing staff with equipment that is suitable for the purposes for which it is intended, and everyone understanding its use and limitations
• safe systems of work: these ensure that work activities are undertaken safely
• instruction: individuals must receive clear instructions, and receive supervision and expert support where necessary, relating to: – the work activities required – the operation of any equipment and – appropriate safe systems of work.
• supervision: supporting staff with clearly defined lines of communication and
• personal protective equipment (PPE): providing individuals with appropriate personal protective equipment that meets appropriate specifications.
performance: being competent to perform their work safely (including understanding the limits of their competence (skills, knowledge and experience))
• control: being able and prepared to work within accepted or designated systems of work
• adaptability: being able to recognise and adapt to changing circumstances at all times
• vigilance: remaining vigilant, at all times, for their own safety and that of colleagues and others
• awareness: being able to recognise their own abilities and limitations and
• teamwork: being an effective member of a team.
Primary accountability for health and safety rests with those who face the practicalities of daily business. Their responsibilities include:
• accepting their individual obligations and personal role in addressing health and safety risk management and their responsibility to abide by corporate and legal requirements
• cooperation with their employer to minimise risk to the health and safety of themselves, their colleagues rics.org Effective from February 2019 RICS guidance note, global 5 and all others potentially affected by the activities they undertake and to assist their employees to comply with employer duties • sharing with others who may be affected by their work activities, health and safety matters, and in particular any risks to health and safety, and safe methods of working to minimise or eliminate the risks
• reporting, in good time where possible, any breaches of health and safety rules and regulations
• reporting, in good time, any actual, potential or perceived health and safety risks to those best placed to address them
• taking the time to address the management of health and safety within the area of their experience and competence and within the remit of their management responsibilities and
• maintaining adequate and appropriate competence in regard to health and safety matters associated with their activities at work.
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Explain the risk assessment process
Simple guidance for risk assessment in regard to occupational health and safety is outlined in many publications, but can be summarised as:
1 identify the hazards
2 decide who might be harmed and how
3 evaluate the risks and decide on precautions
4 record the findings and implement them
5 review the assessment and update if necessary and
6 advise all those affected of the outcome of the assessment and methods of work, or other control measures necessary, to minimise or eliminate risk.
69
What is the hierarchy or risk control?
Elimination, substitution, Engineering Controls, Administrative Controls, PPE
70
What is contained in surveying safely?
Guidance to firms on what they should be doing to adequately manage risks to staff and the responsibilities of the individual to follow the health and safety procedures and processes. Introduces the concept of the safe person. Each individual assumes individual responsibility for their own, their colleagues and other’s health and safety. It gives guidance on how risks should be identified, assessed and mitigated and gives information on common risks that could affect the profession like asbestos, working at height, musculoskeletal disorders and RSI. It also gives firms advice on health monitoring of their staff so that appropriate controls can be put in place, asthma, allergies and pregnant women. Advice on visiting premises or sites
71
What needs to be in a CHP?
How the complaint will be handled, contact details for submitting a written complaint, timescales for response, details of an Alternative dispute resolution scheme (RICS Mediation Process), final process for redress if all else fails (chartered institute or arbitrators Dispute Resolution Services)
72
When could an appointment go ahead with a conflict of interest?
Where all parties affected provide their prior informed consent in writing. It is in the best interest of all affected parties to proceed despite the conflict of interest and it is not prohibited by law
73
Techniques used to avoid a conflict of interest
Information barriers, physical segregation, different teams in different offices
74
What are the new global professional and ethical standards?
A. There are five standards: • Act with integrity • Always provide a high standard of service • Act in a way that promotes trust in the profession • Treat others with respect • Take responsibility
75
Example of Act with integrity
Where tendering surveys no oversight from the client so I could recommend anyone and put my interest over the clients
76
Example of Always provide a high standard of service
At Portsmouth city council the client had a limited initial pot of money for fees to get to RIBA 2. Because of the cororna virus delay he was in danger of missing the survey windows for bats. We worked with him to fit the survey fees and get him the information he needed to go back for further funding. Woking, taking the groundworks out of our package. Parsloes finding another consultant due to timescales
77
Example of Act in a way that promotes trust in the profession
Not giving advice until spoken to the proper person
78
Example of Take responsibility
Missed action on meeting minutes to organise an openreach connection, admitted it to the client and made efforts to organise it so it could still be incorporated into the scheme.
79
Remedies in the contract for not providing a performance bond?
The Employer may deduct the sum equal to the value of the performance bond from the Contract Sum or the sums that would otherwise be due to the Contractor under this Contract, until the Contractor procures the execution and delivery.
80
How long does a contractor have to provide a performance bond/
14 days from the date of the contract
81
Remedies in the contract for not providing a PCG ?
Contract administrator can add a sum in the contract to be deducted if the PCG is not provided
82
What items are included in the articles of the JCT?
Performance bond, PCG, main contractor, adjudication, arbitration, contract sum, employers agent details
83
Main recitals of JCT?
Supplemental provisions: health and safety, acceleration quotation, collaborative working. Framework agreement, CIS, is client a contractor. References to the employer’s requirements and contractors proposals documents
84
What is an advance payment bond?
An Advance Payment Bond is a guarantee, supplied by the party receiving an advance payment, to the party advancing the payment. It provides that the advanced sum will be returned if the agreement under which the advance was made cannot be fulfilled
85
What are listed items JCT
Materials that have been pre-agreed to be paid off site.
86
What is a contract?
A legally binding agreement (between two parties) to provide goods and services within a specified timeframe.
87
What is necessary to form a contract?
```
Offer
Acceptance (or counter offer)
Consideration
Intention (to be legally bound)
Capacity (to make agreement) (e.g. power of attorney on behalf of a company)
```
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How is a contract executed?
- Under hand, signed by both parties, 6 year limitation period. Means that a party must bring about any claim for breach of contract within 6 years of the breach taking place. Any later and the claim will be time-barred.
- Under Seal (as a deed), signed and witnessed, 12 year limitation period. Valuable consideration not required,
89
What are common contract documents?
The Contract (with any amendments)
- Preliminaries
- Contract sum analysis/Pricing Schedule
- Drawings
- Specification
- Planning conditions/agreements
- Contractors Proposals
90
What are the main contract suites?
- JCT (Joint Contract Tribunal)
- NEC (New engineering contract)
- FIDIC (International federation of Consulting engineers)
- ICE (Institution of Civil Engineers)
91
How did you try to mitigate a delay on one of your projects?
Trowbridge – Planning and tender concurrently. Provided temporary electrics to the pitches
92
Why use standard forms of contract?
- They are cheaper than getting a bespoke contract drawn up
- Offer a level of familiarity between the parties
- Tried and tested contracts in court, therefore you should be able to predict the outcome in the courts.
93
Why wouldnt you use a bespoke contract?
- They are costly to produce and time consuming
- Contractors do not like them, as they regularly put alot of the risk onto the contractor
- They are not tried and tested like a standard form
94
What should you consider when selecting the contract?
- The criteria of the client
- The procurement method you are going to use
- Nature of the works
- Timings, are the works required to start quickly or do you have time to produce robust set of docs
95
What standard forms of contract do you know ?
- SBC 2011/2016
- Intermediate building contract 2011/2016
- Minor works Building contract 2011/2016
- Major Projects building contract 2011/2016
- Design and build contract 2011/2016
- Management Building contract 2011/2016
- Construction management contract 2011/2016
- Prime cost building contract 2011/2016
96
Can you name some NEC standard contract forms?
- Option A, Priced contract w/ Activity Schedule
- Option B, Priced contract w/ BoQ
- Option C, Target contract w/ Activity Schedule
- Option D, Target contract w/ BoQ
- Option E, Cost reimbursable
- Option F, Management contract
97
When is a JCT Minor Works contract NOT suitable?
- Complex projects
- Detailed control procedures
- Where there are named Sub-Contractors
98
Can you provide more information on the JCT Major project construction contract?
- Used on large , complex project by experienced clients
- They place most of the risk on the contractor
- Has sub-contract derivatives
- All derivatives/versions have a yellow and purple cover
99
Can you provide more information on the JCT Design and Build Contract 2011?
- They are used by all types of clients, create a single point of responsibility for the design and construction with the contractor
- Can be used on projects of all sizes
- Client must produce the Employers Requirements
- Has a sub-contract derivative broken into two parts: JCT DB11 Sub-contract Agreement, JCT DB11 Sub-contract Conditions
- All derivatives have a Yellow and pink cover
100
Can you provide more information on the JCT Management Building Contract?
- Used then a management contracting route is chosen
- Used by experienced clients who understand the construction costs
- No real cost certainty until all packages are let
- Works are completed by a number of 'Works Contractors' who are placed under a management works contract.
- Works Contractors are contracted to the Management Contractor
- Management Contractor is a fee earning professional onto the the final construction costs.
- All derivatives have a yellow and brown cover
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Can you provide more information on the JCT Construction management contract?
- Used where a CM procurement route is chosen
- Used by experienced clients who understand the construction costs
- No real cost certainty until all packages are let
- Works are completed by a number of 'Trade Contractors', who are placed under a 'Construction Management Trade Contract'.
- Trade contractors are contracted directly with the client
- The Construction Manager is only responsible for looking after the programme and construction.
- All derivatives have a Yellow and Brown cover.
102
Can you provide more information on the JCT Prime Cost Building Contract?
- Used on projects which require an early/quick start
- Usually on a cost plus basis, as the extent of the works are not known until the project is underway
- Has sub-contract forms
- All derivatives have a yellow and pink cover
103
Can you provide more information on the NEC Option A contract?
Priced Contract with an Activity Schedule
- For all types of clients, the balance of risk is mainly with the contractor
- It comes with/requires an activity schedule, containing a list of activities the contract expects is required to complete construction.
- Lump sum
104
Can you provide further information on the NEC Option B contract?
Priced Contract with a Bill of Quantities
- For all types of clients, the risk is mainly with the contractor
- Comes with a detailed BoQ, which can either be produced by the client or Contractor, which is a detailed statement of all the works that will be undertaken.
- Lump sum
105
Can you provide further information on NEC Option C contract?
The NEC Option C is a target cost contract with activity schedule where the out-turn financial risks are shared between the client and the contractor in an agreed proportion. ... Defined Costs (actual costs) are assessed by the Project Manager during the course of the works by auditing the Contractor's accounts. Subject to a pain/gain share mechanism
106
Can you provide further information on NEC Option D contract?
The NEC Option C is a target cost contract with BoQs where the out-turn financial risks are shared between the client and the contractor in an agreed proportion. Defined Costs (actual costs) are assessed by the Project Manager during the course of the works by auditing the Contractor's accounts. Subject to a pain/gain share mechanism
107
Can you provide further information on NEC Option E contract?
Option E is a cost reimbursable contract in which the contractor is reimbursed the actual costs they incur in carrying out the works, plus an additional fee. The financial risk involved is largely taken by the client.
108
What are the perceived problems with NEC3 Contracts?
- Very admin heavy
- Requires alot of expertise to operate effectively
- Focuses too much on Project Management
- Cost information in relation to compensation events can take a long time. PM regularly has to decide how to proceed based on a cost estimate from the QS, which then gets replaced by the actual costs.
109
What are the specialities with NEC?
- No Contract Administrator required, replaced by a Project Manager
- Compensation Events as opposed to variations, extensions of time, loss and expense etc.
110
What might a Compensation Event include?
- Variations
- Instructions to changes contracted services
- Failure to provide access
- Late issue of information from client
- Failure by client to supply materials
- Instruction to halt/delay works
- Conditions that can't have been reasonably foreseen
- Exceptionally adverse weather
- Acts of god.
111
What is the process for a compensation event?
1. Contractor must notify the project manager within 8 weeks of the event becoming apparent with an EARLY WARNING NOTICE, if not notified in this period then it will not be considered.
2. PM has 1 week to review claim and respond
3. Contractor has 3 weeks to provide quotation
4. PM has 2 weeks to respond to quotation
5. Final costs of works calculated on a cosy reimbursable basis
112
What is the Project Managers role under NEC contracts?
- Manage programme
- Operate early warning mechanism
- Issue instructions
- Issue outcomes for compensation events
- Determine when practical completion has been achieved
- Assess defects
113
What is the Contract Administrators/Employers Agent role under JCT?
- Issue instructions
- Certify payment
- Issue Extensions of time
- Consider all Variations, Loss and expense claims, interim applications
- Assess when practical completion has been achieved.
114
Who is the Employers Agent?
Typically used in Design and Build contracts, they are there to ensure the clients best interests are met.
115
What is the Main Contractor responsible for?
The construction of the project, through either direct labour or sub-contracted labour
Health and safety, if they are the principle contractor then CDM regs apply;
- Construction phase plan
- Prepare, develop and implement written site plans
- Provide welfare facilities
- Ensure all workers have site inductions
- Provide all relevant information required for H&S plan to the Principle Designer
116
What is Novation?
Where the contractual benefits and burdens of a contract are passed from one party to another.
Commonly used in Design and Build for Design Team. This extinguishes the existing contract
117
Is the contractor responsible for the Novated party's design prior to Novation?
No, unless they state they have adopted the design.
118
What is Assignment?
Where the contractual benefits (but not burdens) of a contract are passed from one party to another. Such as the assignment of a collateral warranty from one tenant/operator to another.
119
When can Assignment take place
Any time, as it is a statutory right, however it can be limited within a contract
120
When can Assignment take place
Any time, as it is a statutory right, however it can be limited within a contract
121
Give an example of how Assignment can be restricted?
Restricting the assignment of a collateral warranty to one time only, without the written consent of the warranter.
122
What is the aim of Assignment?
They give the assignee the same rights as the assignor under the contract
123
What is a Collateral warranty?
A way of forming a direct contractual link between two parties which otherwise wouldn't have a link, such as between a sub-contractor and a client.
124
What case law do you know that relates to Collateral Warranties?
Parkwood Leisure v Laing O'Rourke
It was found that Collateral Warranties can be considered to be a construction contract, and are therefore subject to the same provisions as the construction act
125
What Collateral Warranties do you know of?
- Collateral warranty for a Purchaser/Tenant
- Collateral warranty for an Employer
- Collateral warranty for a funder
126
What are third party rights?
- An alternative to Collateral Warranties
- They allow a third party to be written into a contract
Introduced as part of the Contracts (third party rights) act 1999.
127
What is the aim of Third Party Rights?
To give the Third party the benefits of the contract only, not the burdens. I.e Writing in the tenant as a the third party will ensure that they receive the contract benefits
128
What is a Letter of Intent?
- A document outlining an agreement between two parties, before a formal contract has been created
- Each letter of intent is different, with each being assessed based on it meaning
129
What can a Letter of intent be based on its wording?
An expression of the intention to enter into a contract at a future date, which doesn't give rise to any legal obligation.
- An expression of the intention to enter into a contract at a future date, which does not exclude the right to recover costs on a quantum merit basis.
- The creation of a interim contract
- The creation of a legally binding contract, whereby the letter can be offered and accepted.
130
What can be included within a letter of intent?
- Spending caps
| - Expiry dates
131
What is a title retention clause?
Where the good and services remain the property of the seller until a certain obligation is undertaken, i.e. payment.
132
What is a Performance Bond?
A form of financial Security, used to cover the client against the contractor failing to fulfil their contractual obligations.
133
What are the typical values of a Performance bond?
Typically work approximately 10% of the Contract Value to the client
134
What are the problems with bonds?
They will come at the clients cost.
135
What are the two types of bond?
- Default bond
| - On demand bond
136
What is the difference between a Default Bond and an On demand bond?
- A default bond can be called in when the contractor defaults on their contractual obligations however the client will have to prove that the contractor has defaulted.
- An on demand bond can be called in at any time, without having to satisfy any of the pre-conditions.
137
What types of Bonds do you know of?
- Advanced payment bonds
- Retention bonds
- Materials off site bond
- Tender Bond
138
What is an Advanced Payment Bond?
A financial surety to the client that if an advanced payment is made, then the bond will pay out if the contractor defaults.
139
What is a Retention Bond?
A Bond taken out instead of taking retention from interim valuations, improving contractor cash flow. Retention is a percentage (often 5%) of the amount certified as due to the contractor on an interim certificate that is retained by the client. The purpose of retention is to ensure the contractor properly completes the activities required of them under the contract. Half of the amount retained is released on certification of practical completion and the remainder is released upon certification of making good defects.
An alternative to retention is a retention bond, where the client agrees to pay the amounts which would otherwise have been held as retention, but instead a bond is provided to secure the amount that would have been retained. As with retention, the value of the bond will usually reduce after practical completion has been certified.
140
Why would you use a Retention Bond?
If a Contractor had poor cashflow, a retention bond means that no retention is taken from interim payments, improving cashflow.
141
What happens with variations to a Contract in relation to a retention bond?
The bond value will need to be updated to suit, or the additional retention can be deducted as usual from interim payments.
142
What if a Contractor doesn't maintain a Retention bond? (or other bond)
Then the client is entitled to take the retention out the next interim application.
143
What is a Parent Company Guarantee?
A parent company guarantee is an alternative form of surety for the client, whereby a parent company to the subsidiary company will warrant the subsidiary's companies work, and will remedy any breaches by the subsidiary company, by either stepping in to complete the works, paying damages etc.
144
What is Professional Indemnity Insurance?
A form of insurance that covers professional negligence
145
What is Employers Liability Insurance?
A form of insurance that covers the injury and death arising from business activities
146
What is Contractors All Risk Insurance?
A form of insurance that covers for subsequent loss or damage
147
What is Contractors All Risk Insurance?
A form of insurance that covers for subsequent loss or damage
148
What types of payment method are there?
- Stage Payments
- Milestone payments
- Payment based off activity schedule
- Third party certification
149
What are Stage Payments?
Whereby a predetermined amount is paid on a pre-determined date. They are time accurate but not necessarily value accurate.
150
What are Milestone Payments?
Whereby a value is paid when a certain Milestone is reached, i.e. completion of the footings. They are fairly time and value accurate.
151
What are Payments based on an Activity Schedule?
- Payments are made against activities that have been completed at pre-determined times.
- They are reasonably value and time accurate.
152
What is Third Party Certification?
- Traditional form of valuing the works complete to a certain date.
- Low form of predictability, but high accuracy of the value of works complete.
153
What is the real name for the construction act?
The housing Grants, Construction and Regeneration Act 1996
154
What is the name of the Act which amended the Construction Act?
The Local Democracy Economic Development Act 2009
155
What provisions did the Construction Act introduce?
- No paid when paid clauses
- The statutory right to adjudication
- The right to interim payments on contracts over 45 day duration
- The right to suspend performance
- The right to be informed of the amount due, and any amounts withheld.
156
What are the payment provisions under the construction act?
7 days from application date = due date
5 days after the due date = contractor can issue a default notice
17 days from due date = final date for payment
7 days prior to final date for payment = the last day a payless notice can be issued
Overall payment terms of 24 calendar days
157
What is a payless notice?
A notice which is issued stating how much less you intend to pay than the contractors application
158
Does a contractor have to issue a Default notice if they issue interim valuations?
No, the interim valuation becomes the default notice
159
What happens if the final date for payment is missed and no payment made?
Then the contractor is entitled to issue a 7 day notice of their intention to withdraw from site unless payment is received in full
160
What is a 7-day notice?
- A contractual notice which advises a party of another parties intention to withdraw from site until payment is made
- A notice for terminating a contract if a certain remedy of breach is not met.
161
What are the payment provisions under NEC?
- 21 day payment terms
- Payless notice to be issued 7 days prior to final date for payment
- Project manager must assess and certify the amount due within one week of the application.
162
What are the payment provisions under JCT
- 21 day payment terms
| - Payless notice upto 5 days prior to final date for payment
163
What should be included within interim valuations?
- Measured works
- Dayworks
- Variations
- Fluctuations
- Loss and Expense
- Preliminaries
- Materials on/off site
- Provisional sums
- Prime cost sums
164
How can you secure payment for materials off site?
By providing a materials off site bond
165
What should you do when paying for materials off site?
Ensure a vesting certificate is issued for the materials, confirming your ownership
166
What should you do when paying for materials on site?
Get the materials clearly separated and marked as being under the client's ownership
167
What are fluctuations?
A way of dealing with inflation over long period contracts. They allow for the contractor to be reimbursed for the inflation of specific items within the contract.
168
What are the three main types of Fluctuation Clauses?
- Changes to taxation
- Change in the cost of labour, transport and materials
- Change to office or administrative costs
169
How can fluctuation clauses be calculated?
- Calculated in real times, i.e. actual cost increases
| - Or using a pricing index
170
What are the three types of fluctuations considered under JCT ?
a. Changes to statutory contributions, levies and taxes
b. Changes to labour, materials and statutory costs
c. Changes to statutory contributions, levies and taxes calculated by formula.
171
How do JCT Fluctuations clauses work with retention?
A and B do not have retention held, C does.
172
What is excluded from retention?
- Dayworks
| - Loss and Expense
173
What is retention?
A percentage of the amount certified for payment, retained by the client as a financial incentive for the contractor to complete the works, and also return to rectify and defects which may appear.
174
What value is normally taken for Retention?
3 or 5%
175
When does retention get released?
Typically half at PC and half once the Rectification period and completion of making good certificate has been issued.
176
What can a contractor request to protect their retention money?
That it is held in a separate bank account, which they have regular access to regular updated statements.
177
What is the definition of 'change'?
An alteration to:
- The Scope of works
- The design
- The quantity
- The quality
- The working conditions
- The sequence of works
or
The imposition of additional obligations on the contractor by the client.
178
What change cannot be undertaken without the contractors consent?
- Omission of work
- Changes to the fundamental nature of the work
- Work that is instructed after Practical Completion
179
Who instructs changes under JCT?
Contract administrator / Employers Agent
180
Who instructs change under NEC?
The project manager
181
How should change be valued under
| JCT?
1. Use the Method of Measurement used at tender.
2. Firstly using bill rates/rates from the activity schedule.
3. Pro-rata rates.
4. Rates from first principles.
5. Dayworks.
182
How should change be valued under NEC?
1. Called a Compensation Event.
2. An approximate price should be provided to the Project Manager, which they can base their decision on.
3. The final price is calculated on a Cost Reimbursable basis, based off the actual cost for the Change.
183
What is the reason for a Compensation event under NEC?
To put the contractor back in the same position both financially and programme wise, prior to the variation occurring.
184
What is an Extension of Time?
An adjustment to the completion date, relieving the contractors liability to pay LADS for the period of additional time granted.
185
What is the process for submitting and granting an Extension of time?
* When the delay becomes reasonably apparent, the contractor gives written notice to the client identifying the delay.
* The client has 12 weeks to review and respond.
186
What is a relevant event?
An event that entitles a contractor to an extension of time
187
What can be considered as a relevant event?
• Variations.
• Exceptionally adverse weather.
• Delays in receiving possession.
• Force Majeure.
Loss from a specified Peril (such as flood)
• Terrorism/ civil commotion.
• Failure by the client to issue materials.
• Delays caused by a nominated sub-contractor.
• Changes to statutory requirements.
• Failure by the client to provide information.
188
Do Extensions of Time benefit the client?
Yes, as they set a new contractual completion date the contractor must adhere to, otherwise they will have liquidated damages levied against the contractor
189
What is a concurrent delay?
Where delays caused by both the contractor, client and unforeseeable events cause a delay.
190
How do you assess concurrent delay?
Each delay should be assessed on its merits, to determine the root cause of the delay
191
What is a relevant matter?
A delay caused by the client, entitling the contractor to an extension of time and loss and expense.
192
How is a relevant event different to a relevant matter?
* A Relevant event is any delay caused by the client or a neutral event.
* A Relevant matter is a delay typically caused by the client, which entitles the contractor to a claim for loss and expense.
193
What is loss and expense?
Usually associated with Extensions of Time/Relevant Matters, whereby the contractor is entitled to claim additional costs as the result of a delay.
194
What are the Loss and Expense heads of claim?
* Preliminaries
* Overheads
* Loss of Profit.
* Interest
* Finance Charges
195
When do most disputes in construction contracts occur?
When there are discrepancies between tender and contract drawings or the information is poor, creating too much ambiguity.
196
What types of dispute resolution are there?
* Negotiation
* Mediation
* Conciliation
* Adjudication
* Arbitration
* Litigation
* Expert Witness.
197
How does Mediation work?
An independent third party is appointed, with the intention of facilitating talks between he disputing parties, in aid of them reaching an amicable resolution without going legal.
198
How does conciliation work?
Same as mediation, however the conciliator will propose a settlement agreement at the end of proceedings.
199
How does adjudication work?
* Notice of intention to adjudicate is served from one party to another.
* Adjudicator must be appointed within 7 days of notice.
* Decision is made with 28 days (can be extended to 42)
* Confidential.
* Statutory right.
200
How does arbitration work?
* Third party arbitrator is appointed to decide on a dispute.
* Parties will attend a hearing, where the arbitrator will listen to both sides and make their decision on a dispute.
* Confidential.
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What is Litigation?
The process of taking legal action, i.e. construction disputes will be taken to the Construction and Technology courts for settlement.
202
What is expert determination?
Where a third party expert in a field is appointed to make a decision on a specific dispute.
203
What is the Civil Procedure Rules 1998?
They introduced the Alternative Dispute Methods of Resolution, Mediation, Conciliation, Adjudication and Arbitration to try speed up the legal process, along with making it cheaper and easier to understand.
204
What is a named sub-contractor?
A Sub-contractor recommended by the client, which doesn’t have to be used by the contractor and also doesn’t impose any form of repercussions to the client if the contractor uses the named sub-contractor.
205
What is nominating a sub-contractor?
It allows the client to choose a particular sub-contractor, and impose them in the main contractor.
206
What are the issues of nominating a sub-contractor for a client?
It will leave them responsible for the nominated sub-contractors performance and price.
207
How do nominated sub-contractors work financially with regards to the main contractor?
They are on a prime cost sum, whereby the final value of the nominated contractors work is added to the contract sum, usually with an uplift for Overheads and profit for the main contractor.
208
What is Sectional Completion?
A similar method to Practical Completion, it is used on large project where the works can be broken down into sections, allowing the client to take possession of individual sections once they are complete.
209
What is practical completion?
Practical Completion is awarded when the works are considered to be ‘substantially complete’.
210
What are patent defects?
A patent defect is one that has been identified during the works or during the defect liability period
211
What are latent defects?
Latent defects are those which cannot be discovered by reasonable inspection; for example, problems with foundations which may not become apparent for several years after completion when settlement causes cracking in the building.
212
What happens when Practical Completion is awarded?
* Half Retention is released.
* Defects liability period commences.
* Client is responsible for insuring the site.
* Ends the Contractors liability to pay liquidated damages.
213
What is Partial Possession?
• Similar to Sectional Completion, however it is used when the client wants to take possession of a particular part of the site early. It is granted at the contractor’s discretion.
214
What happens when Partial Possession is awarded?
* Alleviates the contractor’s liability to pay LAD’s for that section partially taken over. Lads should decrease proportionally.
* Half Retention is released proportionally.
* End of defects period for that section commences.
* Client is responsible for insuring that part of the site.
215
When can it be used?
* Sectional Completion must be written into the contract.
| * Each section will come with it own Sectional Completion date, retention and liquidated and ascertained damages.
216
What happens if Practical / Section Completion / Partial Possession is granted?
* Client becomes responsible for insuring the works.
* Half retention released.
* Alleviates contractors liability for LADS.
* Contractors Defect liability period commences.
217
Does the contractor have to accept partial possession?
No, but they cannot reasonably refuse.
218
What is the alternative to partial possession?
Use or occupy, whereby the client uses the area even though its still in the contractor possession.
219
What is a contractors design portion?
* Whereby the Contractor is required to design a portion of the works, as part of their contract.
* What is to be designed by the contractor should be made clear within the tender documents.
220
What is determination?
• Where both parties mutually agree to walk away from a contract.
221
What is a final account?
The final value of the works completed, inclusive of all adjustments to the contract sum.
222
How is the final account shown?
In the final certificate.
223
What is included within the final account
* Contract Sum.
* Variations.
* Provisional Sums.
* Prime Cost Sums.
* Retention.
* Loss and Expense.
* Contra Charges.
* Liquidated Damages.
* Payments to Nominated Sub-contractors.
* Fluctuations.
224
What is completion?
* When all works are completed, and the defects rectification period has ended and all defects have been made good.
* The Certificate of Making good should be issued.
225
What needs to happen if PC/SC is not achieved and the Client wants to levy liquidated damages?
Certificate of Non-completion needs to be issued as a pre-requisite.
226
When does the defects rectification period begin?
When PC/SC is achieved, and usually last 6 – 12 months.
227
What happens if defects are found?
* The Client notifies the CA, who will instruct the contractor to remedy the defects.
* At the end of the Defects rectification period, a schedule of defects will be issued to the contractor for remedy.
228
What are Liquidated Damages?
* An amount that can be levied by the client against the contractor if they fail to meet the contract practical/sectional completion dates.
* They must be a genuine pre-estimate of the client’s loss and are usually fixed daily/monthly sums.
229
What happens if they are construed as a penalty?
They will be unenforceable in court.
230
What are Un-liquidated damages?
Based on the actual loss of the employer, who will have to either negotiate with the contractor the value or refer the matter to legal proceedings.
231
What is a Contra-Charge?
A contra-charge is effectively a back charge, a way of off-setting payment for an item, i.e. for the supply of materials from the contract to a sub-contractor.
232
When is the final certificate issued?
It is issued at the end of the defects liability period, with it releasing the remaining half of the retention, along with ending the contractors liability for defects.
233
What is acceleration?
Whereby the completion dated is brought forward, requiring the works to be completed quicker.
234
What are the methods of accelerating?
* Supplying the site with additional resources.
* Re-sequencing the works.
* Working Longer Hours.
* Reduction in scope by the client.
* Change of Specification.
235
What are the issues with Acceleration?
* Constructive Acceleration can cause problems.
| * Most methods will usually come at additional cost to the Client.
236
When is Acceleration Simple?
When the Delay is client led, and the client issues a formal instruction to accelerate.
237
What is Constructive Acceleration?
* Arises where the contractor believes they have a valid claim from an Extension of Time, but the Client disagrees.
* The contractor will accelerate without instruction to mitigate their risk of Liquidated damages, and try recover costs from the Client.
* Uninstructed Acceleration is not accepted by the courts however.
238
DO YOU KNOW OF ANY CASE LAW RELATING TO THE OMISSION OF WORK?
* Yes, Abbey Developments Limited V PP Brickwork.
* The case is essentially about whether Abbey Developments was able to omit the remainder of PP Brickwork’s Work.
* Abbey Developments were unsatisfied with PP Brickworks progress.
* They issued and instruction the omit the remaining works from their contract, and employ a new sub-contractor.
* Abbey found to be in breach by the adjudicator, as the clauses in the contract did not allow for such an omission.
239
What is Subject to Contract?
Creates a legal meaning that the parties do not wish to enter into contract until a form contract is signed.
240
What is Without Prejudice?
When using this term, it means that the document etc. cannot be used in court as evidence.
241
CASE LAW QUESTION: DO YOU KNOW OF ANY CASE LAW RELATING TO A LETTER OF INTENT?
* Yes, Volkerfitzpatrick v Twintec Ltd.
* Volkerfitxpatrick instructed twintec to proceed with the concrete slab on a LOI, including the clause: in accordance with the DOM/2 sub-contract.
* Volker adjudicated against twintec for poor works.
* Twintec refered the matter to court, to get an injunction on the adjudication because it was invalid.
* Court ruled that because the Letter of Intent didn’t reference the dispute resolution method, that it was actually invalid and granted the injunction.
242
What are the DOM 2 suite of contracts?
A suite of sub-contracts published by the RICS
243
What are Relevant Matters? (and give an example)
• Something that the client is responsible for that materially affects the progress of the works. A relevant matter enables the contractor to claim direct loss and expense incurred. A RM may not always result in an Extension of Time (i.e. a change to the completion date)
• Example might include;
o Failure to give the contractor possession of the site
o Opening up works that have been carried out in accordance with the contract
o Failure by client to supply goods or services
o Instructions relating to variations and expenditure of provisional sums
244
What is PERT?
Programme, Evaluation, and Review Technique
You create three estimates for the duration of a project,
- The most Optimistic (Shortest)
- The most pessimistic (Longest)
- The most likely (an average of the two)
245
What is a Project Programme?
A sequence in which tasks must be carried out to ensure a project can be completed on time.
246
What can be identified from the project programme?
* The overall Start Date.
* The overall Completion Date.
* The start date for each activity.
* The completion date of each activity.
* The amount of ‘Float’ each activity has.
* The Critical Path.
* Tasks which can only be carried out sequentially.
* Tasks which can be carried out simultaneously.
247
What does NEC require from programmes?
NEC requires an accepted programme
Clause 31.2 sets out requirements
• Starting Date, Access Dates, Key Dates and Completion Date.
• Planned Completion.
• Order and timing of the operations which the Contractor plans to do in order to provide the Works.
• The order and timing of the Work of the Employer and Others as last agreed.
• All Interim/Key Contract Completion Dates as prescribed within the Contract.
• Planned Completion.
• The order and timing of the Works as agreed with the Employer and others or which have been stated within the Scope.
• The Contractor should show float.
• The Contractor should show time risk allowances.
• Provisions for Health and Safety allowances.
• Allowance for any procedures required within the Contract.
• The Contractor should include any acceptance dates required by the Contractor and from the Project Manager
• Dates for when plant and other items are required by the Contractor but are provided by the Employer.
• Dates of any other information required by the Contractor from Others.
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Types of Float in an NEC Programme
Total Float - The time an activity can be delayed from its early start date without delaying the planned completion date. Can be used by either party, whoever gets there first
Terminal Float - Difference between the contractors planned completion date and the contract completion date. Owned by contractor
Time Risk Allowance - an allowance of float on individual tasks that is owned by the contractor, if not used the programme is updated to reflect this
249
What are the 4 tests a CE must pass to be be considered
- Has not arisen from the fault of the contractor
- Has to have happened or be expected to happen
- Has an effect on the defined cost
- Is one of the compensation events listed in the contract
250
What are the 4 responses to a submitted CE
- Submit a revised quotation
- Acceptance
- A notification that a proposed condition will not be given or a proposed changed decision will not be made
- A notification that the PM will be making his own decision
251
What should a programme help you do?
* Plan Activities.
* Monitor progress.
* Manage Resources.
252
What types of Programme are there?
* Contractors Master Programme.
* Clients Overall Programme.
* Design Programme.
* Information Release Schedule.
253
What goes into the Clients Overall Programme?
* Everything, from the appointment of the consultant, through to the completion of the project.
* This will include work outside the scope of the main-contractor.
254
What goes into the design Programme?
It describes the sequence of design tasks, i.e. from the process of design from inception through the Technical Design.
255
What goes into an information release schedule?
* The dates by which information needs to be released by the design team, to avoid any delays.
* This works both ways, for example when the contractor has a Contactors Design Portion.
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What goes into the Contractors Master Programme?
The schedule and sequence of construction activities.
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What should you consider when preparing a programme?
* Items with a long lead-in.
* Pre-contract works.
* Pre-fabrication elements.
* Works outside of the main contract.
* Relationships with other projects.
* Phasing and Sectional Completion.
* CDM Planning Period.
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What is the CDM planning period?
An amount of time given to the contractor, with the intention of allowing contractors to assess Health and Safety issues and plan their works before construction commences.
259
How long is the CDM planning period?
Not specified, it should be proportional to the size and complexity of the project and the risk.
260
What is a Flow diagram?
A Graphical representation of a process of steps/sequences required to achieve an end goal.
261
What is the benefit of using a Flow Diagram?
It helps the team to understand the different processes and relationships between activities.
262
What is an Activity Schedule?
A list of activities which outlines the works required to complete a project/package etc.
263
How is an activity schedule represented graphically on a programme
* Typically using a Gantt chart.
* Each activity gets a bar.
* With a separate bar for preliminaries.
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What should a PM do when receiving a contractors programme?
• Check that it is not front loaded.
- Check the activity timescales are reasonable and realistic
- For NEC check against programme requirements
265
What is a Gantt chart?
A way of displaying a programme, through a combination of bars, each relating to an activity and having a specified duration.
266
What are the advantages of a Gantt chart?
* Suitable for smaller projects.
* It is suitable for construction as it offers a high level of detail.
* To detailed for cost planning and estimates.
* It shows the times to scale.
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What is the critical path?
* The shortest sequence in which a project can be completed in.
* It is also considered to be the projects bottleneck.
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What is Critical Path Analysis?
A way of analysing the programme, to see if the critical path duration can be shortened or activities on it altered.
269
What do you aim to identify when undertaking a Critical Path Analysis?
* Any items with slack float which can be used to improve the programmes critical path.
* Identify the risky items within the programme, i.e. items on the critical path that also have significantly long lead-in-times on materials etc.
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What is a Key Milestone?
Specific points along the programme used to measure progress.
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What is the benefit of having Key Milestones?
* Helps the project keep sight of:
* The key dates.
* The Key Deadlines.
272
What is Float?
The amount of time an activity can be delayed, before it impacts on the completion of the works.
273
Can tasks on the Critical Path have float?
No, if they did you would identify them through Critical Path Analysis and amend the programme.
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What are the types of Float?
* Total Float.
| * Free Float.
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What is Total Float?
The amount of time an activity can be delayed, before it impacts on the overall completion date.
276
What is Free Float?
The amount of time an activity can be delayed, before it impacts on the start date of another activity.
277
What valuation method gives the most accurate cash flow forecast in terms of time and surety of value?
Stage Payments.
278
What are Stage Payments?
Payment which are made in instalments, but do not necessarily reflect the value of work completed.
279
What is the most inaccurate in terms of time and value?
Third party certification.
280
How can you monitor progress on site?
* Compare progress to programme.
* Compare Valuations against cash flow forecast.
* Use the ‘S’ curve principles.
* Milestone Chart.
281
What does PEP stand for?
Project Execution Plan.
282
What does a Project Execution Plan Do?
Sets out the strategy for managing a project, by defining who does what, and how.
283
What might be included within an Project Execution Plan?
* The Project brief.
* The drawings.
* The Procurement Strategy.
* The Programme.
* The Risk Assessments and Methods Statements.
* The Health and Safety Strategy.
* The Quality Assurance Policy.
284
What does ISO Stand for?
Internal Standards Organisation.
285
What is the benefit of having ISO?
It will imply that the product/organisations services are safe, reliable and good quality.
286
What is ISO 9001?
A Quality Management system, used by organisations who want to prove that they consistently meet the needs of their clients.
287
What is ISO 14001?
An Environmental Management System, used by organisations who want to prove they consistently consider the environment in their field of work.
288
CASE LAW QUESTION: CAN YOU TELL ME ABOUT ANY CASE LAW RELATING TO PROGRAMMES?
* Yes, Cleveland Bridge UK V Severfield Rowen Structures Ltd.
* Cleveland Bridge made and supplied the steel work for the shard, which was installed by Severfield Rowen.
* CBUK couldn’t keep up with the fabrication of the steel.
* SRS had to extend working hours on site to keep up to programme.
* CBUK claimed that SRS held up fabrication due to late instructions and variations.
* SRS claimed counter claimed on the basis of the cost of accelerating, defects in fabrication and losses due to the delay.
* Issue was that there was no contractually agreed programme.
* Judge decision was for both parties to pay almost equal damages to each other.
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What are the Three types of delay?
* Contract Led.
* Client Led.
* Neutral.
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What types of concurrent delay are there?
* Parallel Fault.
* Overlapping Events.
* Truly Concurrent Events.
291
How do you assess Concurrent Delay?
* You must determine the root cause, true concurrent delay is actually very rare.
* Once you determine the root cause, you should really discard any other delays.
* Use the Malmaison approach.
* This is where if it is considered that one of the delays is the clients risks, then the contractor should be entitled to an Extension of Time without loss and expense.
* It will have to claim for loss and expense separately.
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CASE LAW QUESTION: DO YOU KNOW OF ANY CASE LAW RELATING TO CONCURRENT DELAY
* Yes, Balfour Beatty v Chestermount properties Ltd.
* Balfour Beatty were late in completing the works.
* Clients issues an instruction to undertake the fit out.
* Balfour try to use the variation as a reason for covering the late delivery.
* Client ignores the instruction and tries to claim LAD’s.
* Judge rules that the actual completion date should be the amount of time required to complete the fit out, added onto the completion date of the original works.
293
What are the OJEU Thresholds?
| EU Procurement thresholds
Supply services and Design contracts = £164,176
Works Contracts = £4,104,394
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What is Procurement?
The overall act of obtaining goods and services from an external source, which includes deciding on the strategy of how these goods are to be obtained by reviewing the Clients requirements.
295
What is Tendering?
The bidding process to obtain and price, and also the process of appointing a contractor.
296
What factors can influence the chosen procurement route?
* Clients appetite for risk.
* Budget.
* Desired quality.
* Timings.
* Funding availability.
* The type of project.
297
What is a Traditional Procurement Method?
* The most common form of procurement.
* Where a client appoints consultants to design the project, prepare the tender documents which are issued to contractors for pricing, usually on a single-stage competitive basis.
298
Who is responsible for design in a traditional procurement route?
The Client is responsible for design, the contractor is only responsible for the design of their temporary works, and their Contractors Design portion.
299
What is a Contractors Design Portion?
Included within a contract, whereby a contractor will take on design responsibility for a specific portion of the works.
300
What must the contractor have if they take on a Contractors Design Portion?
* Takeout and Maintain Professional Indemnity Insurance.
* Provide copyright licenses for designs to the Client.
* Provide appropriate levels of skill, care and due diligence.
301
What types of traditional procurement routes are there?
* Lump Sum.
* Re-measureable.
* Cost Reimbursement.
302
How do the risks differ for the Client for each traditional procurement route contracts?
* Lump sum = low risk for the Client with regards to both finance and quality, unless design is incomplete.
* Re-measurement = Higher risk to the client finance wise due to lack of agreed final price.
* Cost Reimbursement = High Risk Financially, no incentive for contractor to cover costs.
303
What is a re-measurement contract?
* Where the design can be described but the Quantity Cannot.
| * Design must be detailed enough to be able to produce rates from it, based on an approximate bill of quantities.
304
Are re-measurement contracts fixed price?
No, the final price is not ascertained until completion.
305
What are the benefits of using a Re-measurement contract?
* Allows for a quick start.
| * Easier to make changes to the design, as the changes are just re-measured.
306
What is Design and Build?
Where a single point of responsibility is created for both the design and construction of a project through the Contractor.
307
Can Design and Build be lump sum?
* Yes, so long as the employers requirements are detailed and clear.
* Ambiguity in these requirements will cause confusion and extra cost.
308
What takes precedence, the Employers Requirements or the Contractors Proposals?
The Contractors proposals should be an indication of how the contractor intends to comply with the employers requirements; not and indication of how the contractor wishes to construct the project or allocate risk.
309
When would you use a Management Contracting Route?
On complicated projects, where you could bring on a management contractor to help improve buildability.
310
When would you appoint a management contractor?
As early as possible, to use their experience help influence design and buildability.
311
Does the Management Contractor carry out any construction work?
No, they are either or a fee or get paid a percentage of the build cost, on top of the construction costs.
312
Who are the works package contracted to?
* They are contracted to the Management Contractor.
* However they will typically have some form of Warranty, usually a Collateral Warranty between each trade contractor and the Client/funder etc.
313
What services may the Management Contractor Provide?
* Advising of brief development.
* Advising on appointments.
* Advising on feasibility, interfaces, buildability cost and programme.
* Defining Key Performance Indicators.
* Cost Control.
* Tendering and Managing Works Packages/Contractors.
* Managing Site.
314
Who undertakes the design under a Management Contracting Route?
The Clients Consultant team.
315
What is the Management Contractor Liable for?
* Only his own negligence in relation to his services.
| * Will have to maintain Professional Indemnity Insurance.
316
Is management Contracting fixed price?
No, it is Prime Cost Until each package is let, then the management fee is added on top.
317
What is Construction Management?
Where the works are constructed by a number of ‘Trade Contractors’ contracted direct to the Client.
318
Can you describe the Construction Management process?
* Client will employ consultants to produce designs. The Construction Manager is Employed as a fee earning professional to manage programme, coordinate design and facilitate collaboration.
* The Construction Manager will arrange and advise on ‘Trade Contractors’ for the employer to appoint.
319
What is the Construction Manager Liable for?
For his construction management services.
320
What services may the Construction Manager Provide?
* Advising of brief development.
* Advising on appointments.
* Advising on feasibility, interfaces, buildability cost and programme.
* Defining Key Performance Indicators.
* Cost Control.
* Tendering and Managing Works Packages/Contractors.
* Managing Site.
321
Are Management Contracting or Construction Management fast or slow procurement routes?
They are fast, as they allow the design and construction phases to overlap. i.e. you can start constructing the footing before the roof design has been finalised.
322
What is a measured term contract?
Where a Client has a regular programme of typically minor/maintenance works, which they would like a single contractor to undertake.
323
What is a measured term appointment based on?
A schedule of rates.
324
How does a measured term contract work?
The Client will issue an instruction for the contractor to undertake some work. The price will be calculated based of the schedule of rates.
325
What is Partnering?
A concept that aims at forming a relationship between two companies to improve the performance in the delivery of a project.
326
What contracts do you know of that are Partnering Orientated?
* The NEC Suite of Contracts.
| * JCT Constructing Excellence Contract.
327
What is a reimbursable contract (Cost Plus)?
Where the contractor is reimbursed for the costs they incur, plus a fee.
328
When would you use a Reimbursable Contract?
Where the scope of works cannot be defined or the risk is too high for works to be undertaken on price.
329
Who bares the risk with Cost Reimbursable?
The Client as there is no contract sum.
330
What techniques do you use to manage your team?
I realise that I need to tailor my management style to different situations. When kicking off a project with a new design team I adopt a more autocratic style when there are lots of questions about the team's purpose, objectives and external relationships.
Once the team starts to develop and relationships and trust is built I can alter my management style to be more democratic to promote creativity and innovation.
This is in line with Bruce Tuckman's 1965 Forming, Storming, Norming and Performing team-development model which I used at the start of the NHM Waterhouse Link project.
1. Forming
Leader guides - dictating roles and responsibilities, aims and processes.
2. Storming
Leader coaches – development of relationships, team members test strength of leader.
3. Norming
Leader facilitates – roles and responsibilities clear and accepted, Team now focused on goal and more delegation can occur as trust develops. Working processes can be reviewed and improved.
4. Performing
Leader delegates and oversees – ream required delegated tasks from leader and less instruction and assistance as autonomy increases.
331
How do you manage a team effectively?
For example in managing a design team in ensure each member fully understands:
• their own and others, roles and responsibilities within the team;
• the next goal that we are all working towards;
• the requirements and deadlines for their work required to meet the goal; and
• other team members work that is reliant on their input.
This allows me to keep track of the progress of the team and coordinate them in order to deliver the required output on time.
332
What is the difference between management and leadership?
A manager:
• Controls and administrates tasks;
• Has a focus on meeting short term, operational level targets; and
• Follows the structure and rules.
• Needs to plan organise and coordinate.
A leader:
• Sets and develops goals;
• Has a focus on the long term strategy;
• Focuses on people and inspires trust in them; and
• Creates the structure and rules to be followed in order to achieve operational tasks and reach strategic goals.
• Needs to motivate.
333
How do you create a positive atmosphere?
I create a positive atmosphere by:
• Adhering to the RICS professional and ethical standards and treat all team members with respect, ensuring that I actively listen to and acknowledge their contributions to the team.
• Reminding the team that we are all working towards the same goal of ensuring the clients objectives are met and employ motivational techniques.
• Trying to connect with clients, consultants and contractors on a social level as I find that this helps to build stronger working relationships.
334
What is included in the Equality Act (2010)?
The Act simplifies, strengthens and harmonises the current legislation to provide Britain with a new discrimination law which protects individuals from unfair treatment and promotes a fair and more equal society.
The nine main pieces of legislation that have merged are:
• Equal Pay Act 1970 (men and women)
• Sex Discrimination Act 1975 (sex and marital status)
• Race Relations Act 1976
• Disability Discrimination Act 1995
335
Describe what makes an effective organisational structure / communication network?
Creating an effective organisational structure relies on a communication network for timely decision making:
• Defining the scope of tasks and be clear who is to contribute at each stage e.g. consultants and client stakeholders.
• Ensure that the channels of communication are as streamlined as possible e.g. single point responsibility for each group, client and design team.
I always design an organisation structure to be as dynamic as possible to facilitate timely decision making. Clients may be used to a more bureaucratic structure for decision making which can mean many individuals and boards have to sign off a decision before actions can be taken.
Once I understand the client’s structure for business decision making I would recommend that the client’s project leader would make decisions and the board would sign off at each RIBA design stage for example.
The design team requires a dynamic matrix structure to enable:
* Integrated group problem solving and decision making.
* Fast response to changes in environment e.g. site conditions, planning etc.
* High level of integration and flexibility creating a teamwork spirit.
Above this there should be a more functional relationship between the Project Manager, Client and Client Board.
I would show the lines of formal communication as solid and the lines of liaison as dotted e.g. architect as lead designer formal communication with PM as well as other consultants but architect would have a dotted line to the other consultants demonstrating liaison.
336
Types of Power within an organisation.
Legitimate Power
• Position – For example relationship between a project manager and a site engineer.
Illegitimate Power – Position power is strengthened, or weakened, by the presence of the following types of illegitimate power.
* Expert – This relates to experience and specialist knowledge.
* Information – Manager can exert influence through the control over dissemination or distortion of facts and info.
* Personal – Personality, charisma and popularity.
337
Explain how climate and culture affect human resource performance?
Harrison (1972) Handy (1998) Culture Types
1. Power – Smaller companies with few rules, quick decisions made by few, autocratic.
2. Task – Project orientated with expert power being dominant.
3. Role – Tall structure, hierarchical bureaucracy, rules, slow decision making.
4. Person – Collection of similar specialists e.g. small architect or consultancy firm, personal power.
338
What is risk and how do you manage it on a project?
RICS Guidance Note – Management of Risk
```
Risk workshops held at the start of the project to develop client and design and construction risks into a risk register, risks reviewed monthly at progress meetings and dedicated workshops.
• Probability
• Severity of impact
• Impact on cost
• Impact on programme
• Risk owners
• Mitigation actions
```
This allows risk to be calculated and costed and the total cost impact compared to the contingencies levels in the budget to see if there is sufficient cover for the client if all risks were realised in a worst case scenario.
339
How can you transfer risk?
Procurement route and contract selection, contract terms:
• Design risk to contractor in Design & Build route.
• Risk of ground conditions with contractor in JCT (not NEC).
• Contract amendment or schedule of responsibilities in relation to discharge of planning conditions.
340
What is Monte Carlo Analysis?
* Monte Carlo Analysis is a type of probability simulation used to understand the impact of risk and uncertainty.
* This can be applied to the best and worst case scenarios in relation to costed risks and through a computer programme simulate thousands of different situations to give a probability of the most likely outcome.
341
What is the RIBA Plan of Works?
A plan organising the process of briefing, designing, constructing, maintaining, operating and using building projects into a number of key stages.
342
Can you list the RIBA stages?
0. Strategic Definition
1. Preparation and Brief.
2. Concept Design.
3. Developed Design.
4. Technical Design.
5. Construction.
6. Hand-over and close out.
7. In-use.
343
What are the benefits of using timber frame construction?
- Quick erection times.
- Low embodied carbon.
- Recyclable.
- Sustainable.
- Low volume of waste.
- Manufactured off site = factory control quality assurance.
344
What are the disadvantages of using timber frame construction?
- Additional Design and engineering time required.
- If exposed to elements can cause damage.
- Very Combustible material, requires proper treatment to achieve required fire rating.
- Can decay if exposed to moisture.
345
What are the benefits of using concrete frame construction?
- Cost effective.
- Easily changed on site.
- Short Lead-in times.
- Quick.
- Inherent fire resistance.
- Good thermal mass.
- Good acoustic performance.
- Low maintenance.
346
What are the disadvantages of concrete frame construction?
- Needs to be cured on site, which can affect the strength.
- Cracks can appear due to shrinkages and live loads.
- Labour intensive on site to set up and strike formwork etc.
347
What are the benefits of steel frame construction?
Easy installation, accurately engineered to fit together onsite.
- Cost effective, minimal waste as manufactured off site.
- Does not degrade like timber.
- Improves construction quality due to off site manufacture = quality assurance.
- Very durable.
348
What are disadvantages of steel frame construction?
- High maintenance costs, through painting etc.
- Requires fireproofing.
- Can buckle under too much weight.
- High up-front costs.
- Long lead-in-times.
349
What is value engineering?
Maximising value, through eliminating unwanted costs whilst improving functionality.
Increasing the margin between value/revenue and cost
Value engineering is not simply cost cutting, it can in fact lead to an increase in cost sometimes.
To succeed in VE, increases in value must be achieved with a lower cost impact. Similarly, decreases in value must be met with a greater reduction in cost/.
350
What is Value Management?
Achieving value for Money, through identifying what is most important and ensuring that function is achieved. Remaining budget if any can be spent elsewhere on less important functions.
351
What is Value Analysis?
Identifying and evaluating each cost, to ensure it is no greater than it needs to be to carry out its function.
352
What is a Section 106 agreement?
Where a developer pays the council a contribution to offset the negative impacts caused by construction and development.
Town and Country Planning Act 1990
353
What is a Section 38 agreement?
A highway that is constructed by the developer to the Local Authorities standard, which may become adopted by the Local Authority and maintained at the public's expense.
Highways Act 1980
354
What are the Euro Codes?
European Design Codes.
355
What are British Standards?
Standards for the quality of goods and services within Britain.
356
What act governs the creation of Highways?
The Highways act, governing the creation, maintenance and improvement of UK highways.
357
What is a Party wall?
A wall that stands on the lands of 2 or more owners and forms part of a building.
• A wall that stands on the lands of 2 or owners but does not form part of a building, e.g a Garden Wall.
• A wall that is in one owners land but is used by 2 or more owners to separate their buildings.
358
What act govern Party Walls?
The Party Wall Act 1996.
359
What does the Party Wall act provide?
A framework for preventing and resolving party and boundary wall disputes, when one owner of the party wall disagrees with works the other owner is undertaking.
360
What is Utility Easement?
An agreement (legal) which gives a Utility Company the right to use and access a specific area of property.
BBHLC (UKPN)
361
What does CIL stand for?
Community Infrastructure Levy.
362
What is a Community Infrastructure Levy?
A planning charge used as a tool to allow Local Authorities to support the development of their area by charging developers.
Part 11 of the Planning Act 2008
363
What are Rights of Light?
A form of easement to allow an existing building to maintain the same level of light, despite of new developments.
364
What is oversailing?
Where say a crane has to pass over another person’s land, this will require a license.
365
What types of flat roof are there?
* Warm.
| * Cold.
366
What is the construction of a warm flat roof?
1. Roof Covering (Waterproof Layer).
2. Insulation.
3. Vapour Control Membrane.
4. Decking
5. Roof Joists.
6. Ceiling.
367
What is the construction of a cold flat roof?
1. Roof Cover (Waterproof layer)
2. Decking.
3. Roof joists (infilled with insulation).
4. Ceiling.
368
What are the different types of coverings for a flat roof?
* Single Ply membrane.
* Mastic Asphalt.
* Built-up felt.
369
What is the difference between a warm and a cold roof?
* A warm roof will make the entire building structure warm, in an attempt to avoid any cold bridging.
* A cold roof is where the insulation is placed beneath the roof space, leaving the roof space cold. This will either need to be ventilated or have a breather membrane.
370
What is cold bridging?
An area where condensation can form due to it being significantly colder than the rest of a building.
371
An area where condensation can form due to it being significantly colder than the rest of a building.
Designing out areas where cold bridging can occur, i.e. junctions between walls, roofs and floors will help the sustainable performance of a building
372
What is the O&M Manual?
* It is a manual prepared by the Contractor, containing information on the Operation, Maintenance, Decommissioning and demolition of a building.
* It should be updated by the owner whenever changes to the buildings fabric are made.
373
What might be included within the Operation and Maintenance manual?
* A description of the Main design principles.
* Details of building construction.
* As-built drawings and specification.
* Instructions for the operation and maintenance of the building.
* Commissioning and testing results.
* Guarantees, Warrantees and Certificates.
* Particular requirements for Demolitions, Decommissioning and Disposal.
374
What is the Health and Safety file?
* A file prepared as part of the Construction (Design and Management) Regulations, by the Principal Designer.
* It should identify the risks that could not be eliminated through design, whilst also including information provided by the Principal Contractor.
* The file should be regularly updated when changes to the building are made.
375
What should be included within the Health and Safety file?
* Description of the works carried out.
* Any hazards that have not be eliminated through design and how they have been addressed.
* Key Structural Principles.
* Location of hazardous materials
* Information about the removal of installed plant and equipment.
* H&S information about cleaning and maintaining the structure.
* As built information for services etc.
376
What types of piles do you know of?
* End Bearing Piles.
| * Friction Piles.
377
Can you give more information of end bearing piles?
Usually used where there is a solid bedrock low down, which the pile is extended down to.
378
Can you give more information on friction piles?
* Main bearing capacity is created through friction with the material surrounding the pile.
* Usually very long to create the appropriate friction.
379
What types of Piling methods do you know of?
* Driven Piles, also known as displacement piles.
* Bored Piles, also known as replacement piles.
* Secant Piles, used to create retaining walls.
380
What is a Section 278 Agreement?
• An agreement between a Local Authority and a Developer outlining the modifications required to an existing highway as part of a new Development.
Highways Act 1980
381
What types of foundations do you know of?
* Strip Foundations.
* Pad Foundations.
* Raft Foundations.
* Ground Beams.
* Pile Caps.
* Piled.
* Basements.
382
Can you give me the basic construction build-up of a non-reinforced strip foundation?
1. Excavate the trench.
2. Level and compact the bottom.
3. Put down heave protection if required, e.g. ground with lots of clay.
4. Pour concrete into the trench, mass fill.
5. Tamp and vibrate to remove air bubbles and give a flat finish.
6. Get signed off by the building inspector.
383
What is Formwork?
The process of placing temporary or permanent moulds into which concrete is poured.
384
What is Falsework?
* Temporary support structures used to support formwork.
| * E.g. false to underside of a suspended slab.
385
What types of Earthwork Support do you know of?
* Battered Earthwork Support.
* Sheet Piled.
* Secant Piled.
* Contiguous Piled.
* Earth Retaining Walls.
* Trench Boxes – i.e. used for deep drainage installations.
386
Purpose of a Project Execution Plan
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A document that sets out how the project will be run, including decision making processes and lines of communication.
Brief
Scope
Programme
Project Directory
Governance
Procurement Strategy
Risk Management
Change Management
Value Management & Engineering
Quality Management
Project Audit
Commissioning and handover
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387
What is a leader?
Leaders have the ability and personality to:
* Integrate, direct and guide people;
* Positively influence their thoughts and behaviour to motivate them to achieve the common goal of the group.
388
Describe different leadership theories.
There are three distinct theoretical bases for leadership effectiveness:
1. Trait theory (Attributes)
A leader having attributes which are not possessed by others (characteristic).
Confidence, integrity, social skills, intelligence.
Vision, decisiveness and inspirational communication.
2. Style theory
Task or people orientated approach (behavioural), e.g. how autocratic (task) or democratic (people) you will be.
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3. Contingency theory
Takes into account traits, style and the situation factoring in the:
• leader-member relations;
• structure of the task; and
• position power of the leader.
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389
Describe different leadership styles.
The Tannenbaum and Schmidt model looks at how much responsibility a leader gives to his team in decision making.
The main levels being:
* Tell – is the most autocratic involving the leader making a decision themselves and dictating it to the group.
* Consult – where the leader’s provisional decision is presented and is open to comment and alteration.
* Delegate – the leader sets the limits and asks the group to make a decision.
390
What climate is required to create a high performing team?
* Strong leadership.
* A respectful atmosphere where each team member feels valued and that their contributions and ideas are acknowledged.
* A responsible culture fostered through organised management of team members objectives.
* Instilling an understanding that problems are to be shared so that they can be solved by the team.
391
Describe different motivational theories and how they can be used to enable improved human resource performance?
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Motivation is the reasons why people behave in a certain way, for example working to achieve an objective to satisfy a need.
The motivational theories I know are:
1. Maslow’s Hierarchy of Needs
2. McClelland’s’ Theory
3. Herzberg’s Two Factor Theory
4. Locke’s Goal Setting Theory
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392
Describe and explain different personality traits and types.
Personality traits - OCEAN
Openness - to new ideas and ways of working.
Conscientiousness – organised, dependable, self-disciplined.
Extraversion – Energy, positivity, assertiveness, sociability.
Agreeableness – Cooperation, trusting, helping nature.
Neuroticism – Emotional stability.
Personality types
Red
• Leaders, fast paced thinkers, risk takers, purposeful, drivers, strong-willed, less patient, formal.
• Be succinct and precise, give them facts, and avoid the detail, talk to them about results and outcomes, they need to hear this to make quick decisions.
Yellow
• Sociable, expressive, imaginative, enthusiastic, informal.
• Socialise before mentioning any business, be enthusiastic and energetic when conveying your ideas.
Blue
• Deep thinkers, analytical in nature, very detail focused and formal, organised with good time management skills.
• Be specific and logical and have lots of detail.
Green
• Relaxed, patient, informal, social, democratic, agreeable.
• May say yes but mean no, look out for signs in body language and ask open questions to uncover their thoughts.
393
What is Maslow’s Hierarchy of Needs?
5 Tier Pyramid
1. Self Actualisation
2. Esteem (recognition)
3. Love/ belonging
4. Safety (personal security, employment)
5. Physiological (air water food shelter - basic human needs)
394
What is McClelland’s’ Theory?
Says that there are 3 drivers and for each person one is more dominant so you can use this to set goals, provide feedback and motivate.
Achievement
• Has a strong need to set and accomplish challenging goals.
• Takes calculated risks to accomplish their goals.
• Likes to receive regular feedback on their progress and achievements.
• Often likes to work alone.
Affiliation
• Wants to belong to the group.
• Wants to be liked, and will often go along with whatever the rest of the group wants to do.
• Favors collaboration over competition.
• Doesn't like high risk or uncertainty.
Power
• Wants to control and influence others.
• Likes to win arguments.
• Enjoys competition and winning.
• Enjoys status and recognition.
395
What is Herzberg’s Two Factor Theory?
Motivating Factors
The presence of motivators causes employees to work harder. They are found within the actual job itself.
Hygiene Factors
The absence of hygiene factors will cause employees to work less hard. Hygiene factors are not present in the actual job itself but surround the job.
The impact of motivating and hygiene factors is summarized in the following diagram. Note that you will often see motivators referred to as factors for satisfaction, and hygiene factors referred to as factors for dissatisfaction.
Motivating factors include:
Achievement: A job must give an employee a sense of achievement. This will provide a proud feeling of having done something difficult but worthwhile.
Recognition: A job must provide an employee with praise and recognition of their successes. This recognition should come from both their superiors and their peers.
The work itself: The job itself must be interesting, varied, and provide enough of a challenge to keep employees motivated.
Responsibility: Employees should “own” their work. They should hold themselves responsible for this completion and not feel as though they are being micromanaged.
Advancement: Promotion opportunities should exist for the employee.
Growth: The job should give employees the opportunity to learn new skills. This can happen either on the job or through more formal training.
Hygiene factors include:
Company policies: These should be fair and clear to every employee. They must also be equivalent to those of competitors.
Supervision: Supervision must be fair and appropriate. The employee should be given as much autonomy as is reasonable.
Relationships: There should be no tolerance for bullying or cliques. A healthy, amiable, and appropriate relationship should exist between peers, superiors, and subordinates.
Work conditions: Equipment and the working environment should be safe, fit for purpose, and hygienic.
Salary: The pay structure should be fair and reasonable. It should also be competitive with other organizations in the same industry.
Status: The organization should maintain the status of all employees within the organization. Performing meaningful work can provide a sense of status.
Security: It is important that employees feel that their job is secure and they are not under the constant threat of being laid-off.
396
What is Locke’s Goal Setting Theory?
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Clarity.
Challenge.
Commitment.
Feedback.
Task complexity.
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397
What is the difference between Project Administration and Project Process and Procedures?
Project Administration
* Identifying and implementing the contractual, legislative and statutory requirements needed for a development.
* Managing document control and information management systems.
* Managing reporting systems.
Project Process and Procedures
* Preparing a project execution plan.
* Conducting a development appraisal or feasibility study.
* Reporting on project processes and procedures.
* Reporting on project performance.
398
What is insurance?
Insurance is an agreement stating that the insurer will give the insured a benefit (usually financial) if a specified event occurs.
399
What types of insurances are required in construction projects?
* Employer’s Liability Insurance
* Public Liability Insurance
* Professional Indemnity Insurance
* All Risk’s Insurance
400
What is All Risks Insurance?
• Insurance of the building works.
• Covers physical loss or damage to works and materials on site.
• This can be taken out by the Contractor or Employer, contract should specify who.
• Contract usually defines this should be taken out in joint names (Employer and Contractor insured under the same policy).
• Covered under Schedule 3 in JCT D&B:
o A: Contractor – All risks.
o B: Employer – All risks.
o C: Employer – insures existing structures and works or extensions to them.
401
What is Employers Liability Insurance?
* Covers the liability of an employer for any illness, injury or death suffered by an employee.
* All UK employers are required to have this insurance by law.
402
What is Public Liability Insurance?
* Provides cover for damages or compensation arising from accidental injury to third parties or property in connection to the project.
* Contractor to provide for the duration of the works.
403
What is Professional Indemnity Insurance?
• Insurance against liability arising from professional negligence, such as breach of a contractual obligation to exercise reasonable skill, care and diligence.
• Will include a limit of indemnity and should be on the ‘each and every claim’ basis. This means that the cover amount is capped for a single claim but multiple claims can be made during the policy with no overall limit (‘in the aggregate’ sets overall limit e.g. £10m limit would be reached with two claims of £5m during the policy duration).
• ‘Claims made’ basis means that the policy in place when the claim is made is engaged, not the policy in place when the works in question were carried out.
• RICS require members to have a minimum of 6 years run off cover due to the ‘Claims made’ basis.
• A copy of the certificate must be sent to the RICS on an annual basis.
• How to get a competitive quote:
o Start renewal process early 6 weeks ahead of date.
o Ensure proposal form demonstrated food risk management policies.
o Ensure the broker understands what you do and how you do it.
404
Minimum levels of Professional Indemnity Insurance (PII) cover?
The minimum cover is based on turnover:
• Up to £100k -£250k
* £100k to £200k - £500k
* Over £200k - £1m
The cover must be appropriate for the particular type of work and circumstances.
405
What is a ‘net contribution clause’?
A contract term stating that, where more than one person is liable for the same loss or damage, the contracting party's liability will be limited to the fair and reasonable amount that a court would apportion against it.
For example if an architect and engineer were jointly responsible for a defect:
* With a net contribution clause in the architect’s professional appointment, if the client claimed damages for a defect from the architect alone and a court found the architect only 60% liable, the client could recover only 60% of its damages.
* The client would have to claim the remaining 40% of its damages separately against the engineer.
* If the engineer was insolvent and unable to satisfy the client’s claim, the client could recover only 60% of its total damages.
* Faced with net contribution clauses in key documents, a client (or the beneficiary of a suite of collateral warranties or third party rights) must claim against all the responsible parties and take the litigation and insolvency risks associated with its claims.
A professional consultant may argue that a net contribution clause:
Is fair, whereas the common law position of 100% liability without 100% responsibility is unfair.
Prevents the risk of one professional consultant’s insolvency transferring to another professional consultant (or its insurers).
A client may argue that a net contribution clause:
Seeks to circumvent an established rule of common law.
Transfers insolvency risk to the client, in circumstances where it cannot insure against that risk.
Only ever limits the liability of a party who has already been found to be at fault.
Is not acceptable to a funder providing development finance.
406
What are excess provisions?
A clause that means the insurer is only liable for the remaining claim amount after all other sources of cover have been claimed against.
407
How would you client be protected from contractor insolvency?
Performance Bond or Parent Company Guarantee (see Contract Practice).
408
What is an Off-site materials bond?
This is similar to an advance payment bond and allows the employer to claim under the bond should the offsite materials not be delivered to site as required by the building contract. Insurance: The risk of damage to the goods while offsite should be covered by insurance.
409
What types of planning application are there?
* Pre-application – 5 weeks, site visit, meeting and written advice. (different levels of consultation which have different fees)
* Normal decision time – 8 weeks
* Large or complex applications – 13 weeks
Local Planning Authority consent and listed building consent from Historic England.
Appeals can take from 20 to 30 weeks.
410
What is the difference between planning conditions and obligations?
Conditions
* Impose restrictions
* require specific approval of aspects e.g. brickwork
Obligations
* Section 106 Agreements (of Town and County Planning Act 1990)
* Private agreements made between local authorities and developers and can be attached to a planning permission to make acceptable development which would otherwise be unacceptable in planning terms.
* The land itself, rather than the person or organisation that develops the land, is bound by a Section 106 Agreement. E.g. building a new bus stop, or pedestrian crossing.
411
What are the different types of planning conditions?
* General
* Pre-development
* Pre-occupation
* Post-development
412
What documents are usually included in a full planning submission?
• Plans
o Location plan - development in relation to its surrounding properties.
o Site plan - development in relation to the property boundary.
* Sections
* Design and access statement
* Surveys
413
What are the approved Documents?
16 Documents available on the Planning Portal which demonstrate how to comply with Building Regulations.
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A – Structural Safety
B – Fire Safety
C – Resistance to contaminants and moisture
D – Toxic Substances
E – Resistance to sound
F – Ventilation
G – Sanitation, Hot Water Safety and Water Efficiency
H – Drainage and waste disposal
J – Heat Producing Appliances
K – Protection from falling
L – Conservation of fuel and power
M – Access to and use of buildings
N – Glazing; safety
P – Electrical safety
Q – Security Dwellings
7 – Workmanship and Materials
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414
What is Building Control?
Approved Inspector or District Surveyor (LPA) certifying that a building meets the Building Regulations (Building Act 1984). Guidance on how to achieve these requirements is set out in the Approved Documents.
415
What change management procedures do you put in place on a project?
The change management procedure was incorporated in the Project Execution Plan which included the Change Request Form (CRF). A change can be raised by any member of the project team or client. The originator will complete a CRF and issue this to the project team.
The PM will review the design team’s responses on whether the proposed change will affect cost, time or quality and if the change is necessary. If it is the PM will approve the change to be detailed by relevant members of the project team or contractor.
Once all impacts and benefits of the change have been assessed and included in the CRF the PM will then present this to the client explaining the change in relation to their key objectives, for it to be approved or rejected.
416
What quality management processes did you include in your project?
The section of the PEP set out who was responsible for delivering outputs, listing the contributors and who was responsible for reviewing the outputs to ensure their quality.
ISO 9001 is the internationally recognised standard for the quality management of businesses.
Aims of a Quality Management Plan to define:
* Deliverables.
* Resources responsible for producing and providing deliverables.
* Criteria against which each deliverable will be reviewed.
* Resources responsible for reviewing each deliverable.
* Recipients of each deliverable.
* Process by which deliverables are reviewed and signed off.
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Deliverables include:
• Cost Plan
• Procurement Strategy
• Risk Management Strategy
• RIBA Milestone Design Team Reports
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417
What is whole life costing?
* Take into account costs to procure, construct, operate, maintain and dispose of a building.
* Can be a better means of assessing value for money than just the construction costs.
418
How do you control documentation on a project and within your company?
RICS Guidance Note - Electronic Document Management
Within my company each job is assigned a:
* Job code and name which is used on all documentation and file names.
* Project mailbox – to save all email correspondence
* Project Folder – to save all information, electronic and hard copy folder for important documents.
On a project I recommend to my client that file sharing systems such as 4projects are used.
419
How do you manage the management reporting system on a project?
In the PEP I set out the monthly reporting template that details the input that will be required from each consultant at the end of each month which I collate into a project report. During the construction phase the contractor will also provide monthly reports.
420
What is project governance?
Is the management framework detailing how decisions are made. This is in relation to the processes and responsibilities of the client to approve the project at each RIBA stage and sign off changes.
421
What is an organisation structure?
A diagram which shows the roles of the project members and the lines of communication. This can also show contractual relationships.
422
How would you take the project brief?
There are three stages in developing and defining the client’s brief:
1. Statement of Need
2. Strategic Brief
3. Project Brief
423
What are KPIs?
Key performance indicators are metrics used to evaluate factors that are crucial to the success of a project.
They can be used to:
• Monitor costs.
• Track progress.
• Assess client satisfaction.
• Identify strengths & weaknesses.
• Compare performance across and between projects.
• Assess specific areas of a project such as sustainability, safety, waste management etc.
424
How would you develop the success measurement criteria and benefits of a project to a client?
Through the briefing process.
425
What is a Residual Valuation?
* A financial appraisal of a development to calculate the residual site value.
* Deducting all development costs, including an allowance for the developer's profit/return, from the scheme's total capital value.
426
What is a Development Appraisal?
* This is a method of assessing the profitability of a project.
* The residual development profit/return (deducting all development costs, including the site value/cost, from the scheme's total capital value.
* It will take into account the Gross Development Value (which is the sale value of the finished building and site) which includes the following:
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Costs
• Land acquisition
• Construction costs
• Professional fees
• Planning
• Finance
• Marketing agency fees for selling or renting
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Outputs
• Development Profit
• Profit on Investment cost (Internal Rate of Return)
• Yield on cost
427
What is the goal of a project audit?
To analyse a project audit in order to improve performance and processes for future projects.
428
What is a lessons learnt session?
A lessons learn session is a review of a project or stage, in order to identify:
o What went well and should be repeated
o What worked but could be improved upon and
o What did not work and should be avoided
• For each issue the cause and effect should be identified and understood to enable recommended actions for future projects to be developed.
429
When should a lessons learnt session take place?
• Reviews should take place at the end of each RIBA stage to ensure that a high standard of service is being provided to the client
430
How would you run a lessons learnt session?
• I would issue an agenda to the relevant parties stating that the session will consist of:
o brainstorming session to identify and categorise issues
o then define the cause and effect of each issue
o develop recommended actions for repeating successes, improving processes and avoiding failures.
• In my agenda email I would set the tone of the session statin the intended atmosphere of the meeting is positive and for this to work we must trust that everyone did the best job they could, given what they knew at the time, their skills and abilities, the resources available, and the situation at hand.
431
What challenges may you face when conducting a project audit?
• Lack of participation due to blame, appointment fees not including meeting allowance, consultants being busy with other jobs, low down the list of priorities – Make sure to include in scope of service.
432
What are common issues in lessons learnt projects?
- Delay in decision making by client
- Amount of changes to design
- Services specifications not tailored to project
- Handover and commissioning
433
Can you describe what the RIBA plan of work is?
The RIBA Plan of Work provides a shared framework for design and construction that offers both a process map and a management tool split into a number of key project stages. Whilst it has never been clear that architects actually follow the detail of the plan in their day to day activities, the work stages have been used as a means of designating stage payments and identifying team members responsibilities when assessing insurance liabilities, and they commonly appear in contracts and appointment documents.
434
What is stage 0?
0 - Strategic Definition
Identify clients business case and strategic brief and other core project requirements
435
What is stage 1?
1 - Preparation and brief
Develop Project Objectives, including Quality Objectives and Project Outcomes, Sustainability Aspirations, Project Budget, other parameters or constraints and develop Initial Project Brief. Undertake Feasibility Studies and review of Site Information.
436
What is stage 2?
2 - Concept design
Prepare Concept Design, including outline proposals for structural design, building services systems, outline specifications and preliminary Cost Information along with relevant Project Strategies in accordance with Design Programme. Agree alterations to brief and issue Final Project Brief.
437
What is stage 3?
3 - Developed design
Prepare Developed Design, including coordinated and updated proposals for structural design, building services systems, outline specifications, Cost Information and Project Strategies in accordance with Design Programme.
438
What is stage 4?
4 - Technical design
Prepare Technical Design in accordance with Design Responsibility Matrix and Project Strategies to include all architectural, structural and building services information, specialist subcontractor design and specifications, in accordance with Design Programme.
439
What is stage 5?
5 - Construction
Offsite manufacturing and onsite Construction in accordance with Construction Programme and resolution of Design Queries from site as they arise.
440
What is stage 6?
6 - Handover and close out
Handover of building and conclusion of Building Contract.
441
What is stage 7?
7 - In use
Undertake In Use services in accordance with Schedule of Services.
442
When does a Project need to be notified to the HSE?
Work longer than 30 working days and have more than 20 workers simultaneously
OR
Exceed 500 person days
443
Do you know of any guidance for contract selection?
RICS guidance note : Appropriate contract selection
JCT deciding on the appropriate JCT contract (2016)
444
How many CPD hours do RICS members have to do?
All RICS members must undertake and maintain 20 hours of CPD activity each year, of the 20 hours required at least 10 hours must be formal CPD
445
How often do members need to do ethics related CPD?
Members need to undertake ethics related CPD once every 3 years at least
446
What is 'Formal' CPD?
Any form of structured learning that has clear learning objectives.
447
What is Two-stage tendering?
Two stage tendering is used to allow the early appointment of a contractor, prior to the completion of all the information required to enable them to offer a fixed price.
In the first stage , a limited appointment is agreed allowing the contractor to begin work and in the second stage a fixed price is negotiated for the contract.
448
What is the difference between 'Single stage' and 'Two stage' tendering?
- Process broken down into two stage process. Useful for complicated schemes which would require/benefit from early contractor involvement, both to aid design team aswell as the Contractor for understanding the team.
- Single stage offer lump-sum fixed cost based on the invitation to tender docs. No 'ECI' stage, contractor prices for completing the design and the works (accepts and prices risk in his tender effectively, no collaborative de risking stage).
- Two stage enables the client to transfer design risk to Contractor, but the client inevitably loses leverage as the contractor becomes imbedded in the team and competition becomes less of a threat.
449
What is a PCSA?
Pre-Construction Services Agreement (PCSA) enables a client to employ contractors before the main construction contract commences. Typically they (PCSA) are part of a two-stage process, used in the first stage to procure contractor involvement in the design process.
450
Why are PCSA's used?
PCSA's enable early involvement of the contractor into the design team. Allows contractor to;
- Contribute to the design process
- Advise on buildability, sequencing and construction risk
- Help develop cost plan and construction programme.
* NB, the Contractor is not always appointed to the 2nd stage
451
What is run-off cover (PII)?
Run off cover is a firm of PII that applies when a business, or individual stops operating in a particular field. Because business has been sold, administration or retired. To ensure client is protected in period prior to firm ceasing to trade.
RICS requires this to be done for 15 year after ceasing trade.
452
Where would you get P.I.I cover policy?
RICS publish a list of insurers that is renewed annually
453
What are the three types of financial statement you may come across relating to a company? What is GAAP?
Balance sheet
profit and loss statement
Statement of cash flow
Generally Accepted Accounting Practice in the UK, or UK GAAP, is the overall body of regulation establishing how company accounts must be prepared in the United Kingdom
454
What is the difference between financial and management accounts?
Management accounts are used internally by the managers of the business
Financial accounts are company accounts required by law and audited by a Chartered Accountant.
455
Tell me something you understand from the Companies Act 2006.
It Is an act of parliament that currently serves as the primary source of company law in the UK.
456
How is VAT applied in construction projects?
Value added tax, it is charged to companies with a turnover of more than £82,000.00. Reduced or zero VAT on residential and religious projects.
457
Tell me about your duty of care towards your clients.
It Is a legal requirement to act with standard care and skill when dealing with clients aligned with the agreed scope of services.
458
Tell me about your negotiating style?
There are mainly two types of negotiation which Is competitive and principles. My style Is principles focusing on Issues and soft on people. separating people from the problem.
459
Can you tell me about mediation/conciliation/adjudication?
• Mediation is a voluntary procedure, which involves the appointment of a third-party mediator, who will help to facilitate negotiations between parties. The aim of mediation is to help the parties reach an amicable agreement.
• Conciliation is also a voluntary procedure, which involves the appointment of a third-party Conciliator. The role of the conciliator is to also facilitate negations; however, the Conciliator will create a settlement proposal.
ADJUDICATION:
Notification of Adjudication from one party to another.
From receipt of notification, parties have up to 7 days to appoint the adjudicator.
Adjudicator will review parties’ cases and make their decision within 28 days. (This can be extended to 42 days)
The adjudicator does not have the power to award costs, unless the parties agree to grant him this power.
460
What is the TCC and what is their role?
Technology and Construction Court. It Is part of the high court that deals with construction related litigation.
461
What is the role of RICS in dispute resolution?
RICS dispute resolution service Is the world oldest and largest provider of alternative dispute resolution.
462
What RICS guidance are you aware of relating to dispute resolution, ADR or roles in dispute resolution?
RICS conflict avoidance and dispute resolution 1st edition.
463
Can you tell me three principles of GDPR?
Fair and lawful, purposes, adequacy, accuracy etc.
464
What is the Freedom of Information Act 2000?
Gives individuals the rights to access information held by public bodies.
Public bodies are required to issue information held on individuals within 20 days of request.
465
Tell me something you understand from reading Surveying Safely.
1. Personal and Corporate responsibilities.
2. Legal Considerations and duties.
3. Assessing Hazards and risks.
4. Occupational Health.
5. Visit premises and sites.
6. Safe worker - taking H&S responsibility of yourself and others
466
What is sustainability?
Sustainability is about meeting the needs of the present, without compromising the ability of future generations to meet their own needs.
467
Why is diversity and inclusivity valuable to businesses / teams?
Diversity refers to different traits and Inclusion refers to behaviours and social norms. Having different traits will result In number of different and unique Ideas to work on In a team.
468
What is an EPC?
An EPC is a rating system for rating the sustainability of a building. It gives a property a rating based on its energy efficiency, from A – G.
469
What is BREEAM?
BREEAM, which stands for Building Research Establishments Environmental Assessment Method, is a way of rating the sustainable performance of a building.
470
Can you tell me when an EPC is required?
EPC is required when you sell, let, build a building or when extensive refurbishment works are carried out.
471
What is GDPR?
The General Data Protection Regulation (GDPR) is a legal framework that sets guidelines for the collection and processing of personal information from individuals who live in the European Union (EU)
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Broadly has 7 principles
• Lawfulness, fairness and transparency.
• Purpose limitation.
• Data minimisation.
• Accuracy.
• Storage limitation.
• Integrity and confidentiality (security)
• Accountability.
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472
What duties exist under the regulatory reform (fire safety) order 2005?
1. Employer or Building occupier to carry out risk assessment.
2. Have the correct fire fighting equipment.
3. Implement fire safety measures.
4. Appropriate training
5. keep fire exits and escape routes open.
473
What does the RICS guide Final Account Procedures include?
Advice on final account preparation, meetings, final account adjustments, release of retention, contractual timescales for agreeing final account under JCT and NEC contracts.
474
What does the RICS guide Retention include?
Advice and explanation on retention process In reference to various standard building contracts. 3-5% retention value Is normally deducted from contractor's valuations, half of which Is normally released on PC and the remaining after defects liability period.
475
What is the role of a PM under NEC?
Administering the contract, Issuing notifications, payment notices and Instructions to contractor.
476
What are the of various culture types?
Four different kinds of culture within organisations:
1. Power - few Individuals In power and making decisions
2. Role - highly controlled, more experience people In control
3. Task - focused on task, teamwork, good collaborative environment.
4. Person - small one-man organisation like Architect, Civil engineer.
477
What is your understanding of legitimate and illegitimate powers within an organisation?
Legitimate Power
Position – For example relationship between a project manager and a site engineer.
Illegitimate Power – Position power is strengthened, or weakened, by the presence of the following types of illegitimate power.
Expert – This relates to experience and specialist knowledge.
Information – Manager can exert influence through the control over dissemination or distortion of facts and info.
Personal – Personality, charisma and popularity.
478
What is your understanding if the Belbin Model?
A theory suggested by Belbin in 1981. Everyone possesses a pattern of behaviours in relationship to another in facilitating progress of a team. (Nine team roles/ behaviours). I consider myself Implementer.
479
What is equality Act 2010?
The Act simplifies, strengthens and harmonises the current legislation to provide Britain with a new discrimination law which protects individuals from unfair treatment and promotes a fair and more equal society.
480
What does the RICS guide Tendering Strategy include?
RICS guidance on tendering procedures, types of tendering, tender scoring techniques, tender’s management and reporting etc.
481
What did you learn from RICS guidance E-tendering?
E-tendering ten points plan - choosing the medium, technology, security, tender checklist, preliminary enquiry, document standard, legality, return and evaluation, Do It.
482
What are the advantages and disadvantages of e-tendering?
Advantages - quick exchange of Info, reduced admin
| Disadvantages - monthly cost, some contractors may not be able to use It for security reasons
483
Explain the rules of tendering, e.g. codes of practice or procedures, that you are aware of.
Transparency, Integrity, openness, fairness, competitive, accountability
484
What public sector, EU or international regulations relate to the tender process?
OJEU Supply services and design contracts and/or work contracts threshold in public sector needs to be consider as it may need to be advertised on OJEU website in accordance with EU legislation.
485
What stages occur between ITT and receipt of tenders? What Is the process for tender addendum?
In accordance with RICS guidance Tender Strategies, the stages b/w ITT and receipt of tenders could be mid tender Interviews, Issuing tender addendums (same to all) and arranging site visits.
486
Explain the process followed for preparing and issuing the invitation to tender (ITT), what did it include?
Preparation: It was one document Including sections on Introduction, Instructions, technical brief, tender evaluation methodology and conditions of tender along with overall scope of services and pricing schedule.
It was preselected design teams with whom we had already worked on various occasions In projects so no need of PQQs.
487
How does PERT work?
Programme, Evaluation, and Review Technique
You create three estimates for the duration of a project,
- The most Optimistic (Shortest)
- The most pessimistic (Longest)
- The most likely (an average of the two
488
What does the RICS guide Extension of time include?
Extension of time under various standard contracts, delay notices, delay analysis techniques such as overview of facts, comparing actual vs planned programme, critical path analysis and focused method of analysis.
489
What is value management?
Value Management is conducted in the initial stages of a project to define in detail what value means to the client and set out how this will be achieved e.g. quality of finishes, Improved functionality
490
What leadership and communication strategies are you aware of?
Leadership: Collaborative, Delegative, Participative, Consulting etc.
Communication: Phone, face to face, meetings, group discussions, written (reports, emails, letters etc)
491
What are the uses of assertiveness?
Communicating direct to the point to minimise conflicts.
492
When should negotiation be used?
In any disagreement.
493
What does the consulting leadership method include?
Listening to others, benefiting from more experience parties in the group.
494
What formal methods of collaboration are available to you?
Meetings, workshops, group discussions etc.
495
Explain the process you followed before issuing the Non-Completion Certificate?
I arranged meeting with Contractor and Client on Contract Completion Date. Design team Inspected the works and confirmed various defects. Based the severity of defects, I advised my client for Non-Completion Certificate aligned with RICS guidance Contract Administration.
496
What does RICS guide Management of risk include?
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Risk workshops held at the start of the project to develop client and design and construction risks into a risk register, risks reviewed monthly at progress meetings and dedicated workshops.
• Probability
• Severity of impact
• Impact on cost
• Impact on programme
• Risk owners
• Mitigation actions
This allows risk to be calculated and costed and the total cost impact compared to the contingencies levels in the budget to see if there is sufficient cover for the client if all risks were realised in a worst case scenario.
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497
What are the key aspects of risk management?
Identification, avoidance, reduction, transfer, sharing and retention of risks aligned with RICS guidance Management of Risk.
498
What is your understanding of how D&B procurement route allocating design risk among project parties?
Client Is carrying risk of the quality of works and main contractor performance while contractor Is carrying risk of design, cost, performance of subcontracts etc.
499
What is the importance of the Housing Grant Construction and Regeneration Act 1996? What amendments were made in 2009?
Payment provisions;
- No paid when paid clauses
- The statutory right to adjudication
- The right to interim payments on contracts over 45 day duration
- The right to suspend performance
- The right to be informed of the amount due, and any amounts withheld.
2009 amendment: Payment notice compulsory, payee must pay the required sum noted on notice.
500
What is your understanding of cashflow forecast?
A prediction of the incomings and outgoings of cash within a business/project.
• Organisational Cash Flow.
Used for planning and analysing company health.
It is used to predict the incomings and outgoings of cash within a business over a specific period.
• Project Cash Flow.
Used for determining he amounts of cash that will be paid to a contractor, and the time they will be paid.
Can be used to monitor performance by comparing value of interim valuations against cash flow forecasts.
501
How have you applied value engineering processes?
Process include workshops, design team involvement, QS to price the value engineering. I assisted the client by Introducing controlled areas on site which reduced the cost of steel shielding while providing the same functionality of radiation protection.
502
What are current OJEU thresholds and how often does it changes?
It changes after every two years. the current thresholds are £4.7m for public contracts and £122k for supplies and services contracts for central government.
503
What are the NEC core clauses?
NEC3 have 9 core clauses
1. General items
2. Contractor's main responsibilities
3. Time
4. Testing and defects
5. Payments
6. Compensation Events
7. Title - plant, materials etc
8. Risk and insurances
9. Termination
504
What are NEC Z clauses?
NEC Z clauses are used for ammendments of standard form of NEC Contract such as collateral warranties requirement, obligation of contractor to comply with applicable regulations, statues and code of practice etc.
505
What money laundering regulations or legislation are you aware of?
Money laundering regulation 2017. Anti-money laundering act 2018.
506
What bribery legislation are you aware of?
Bribery act 2010.
Six principals of prevention (1. procedure, 2. top level commitment, 3. risk assessment, 4. due diligence, 5. communication/ training, 6. monitor and review)
507
What constitutes an offence under the Bribery Act 2010?
Bribing a public officer, facilitation payments, failing to prevent a briber by a commercial organisation.
508
What constitutes an offence under the current money laundering regulations?
Concealing, arranging and possession
509
RICS Minimum levels of PI
The RICS rules require the following minimum levels of cover, based on the firm's fee income: £ 100,000 or less = £ 250,000 limit of indemnity. £ 100,001 to £ 200,000 = £ 500,000 limit of indemnity. Over £ 200,000 = £ 1,000,000 limit of indemnity.
510
Who is a Responsible Principal?
Responsible Principal In accordance with RICS rules for registration (April 2020) Is a person who ensure the firm Is compliance with RICS standards.
511
How do you ensure that you comply with bribery legislation?
Up to date training, following my company's policies on gifts and hospitality, informing senior colleagues/ directors of any Incidents
512
Name a Human Resource Legislation?
Human Rights Act 1998
The Human Rights Act 1998 (c42) is an Act of Parliament of the United Kingdom which received Royal Assent on 9 November 1998, and mostly came into force on 2 October 2000.[1] Its aim was to incorporate into UK law the rights contained in the European Convention on Human Rights. The Act makes a remedy for breach of a Convention right available in UK courts, without the need to go to the European Court of Human Rights (ECtHR) in Strasbourg.
513
Recruitment legislation?
Equality Act and Protected Characteristics
Equality & Human Rights Commission
Fixed-Term Employment
Employment of Ex-Offenders
Criminal Records Checks
Safeguarding Children and Vulnerable Adults
Eligibility to Work in the UK
General Data Protection Regulation (GDPR)
514
Summarise the equality act
The Equality Act 2010
The Equality Act came into force on 1 October 2010 and it aims to provide a simpler, more consistent and more effective legal framework for preventing discrimination. The stated aim of the Act is to reform and harmonise discrimination law, and to strengthen the law to support progress on equality. It will replace the following equality legislation:
the Equal Pay Act 1970
the Sex Discrimination Act 1975
the Race Relations Act 1976
the Disability Discrimination Act 1995
the Employment Equality (Religion or Belief) Regulations 2003
the Employment Equality (Sexual Orientation) Regulations 2003
the Employment Equality (Age) Regulations 2006
the Equality Act 2006, Part 2
the Equality Act (Sexual Orientation) Regulations 2007
It also introduces new measures that will have direct implications for higher education institutions (HEIs).
Protected Characteristics
The Equality Act covers the same groups that were protected by existing equality legislation and now calls them `protected characteristics´:
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age
disability
gender reassignment
race
religion or belief
sex
sexual orientation
marriage and civil partnership
pregnancy and maternity
Types of Discrimination
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Direct discrimination
Direct discrimination occurs when someone is treated less favourably than another person because of a protected characteristic they have or are thought to have or because they associate with someone who has a protected characteristic
Indirect discrimination
Indirect discrimination can occur when you have a condition, rule, policy or even a practice that applies to everyone but particularly disadvantages people who share a protected characteristic. Indirect discrimination can be justified if you can show that you acted reasonably in managing your business, i.e. that it is `a proportionate means of achieving a legitimate aim´. A legitimate aim might be any lawful decision you make in running your business or organisation, but if there is a discriminatory effect, the sole aim of reducing costs is likely to be unlawful. Being proportionate really means being fair and reasonable, including showing that you've looked at `less discriminatory´ alternatives to any decision you make.
Discrimination by association
This is direct discrimination against someone because they associate with another person who possesses a protected characteristic.
Perception discrimination
This is direct discrimination against an individual because others think they possess a particular protected characteristic. It applies even if the person does not actually possess that characteristic.
Victimisation
Victimisation occurs when an employee is treated badly because they have made or supported a complaint or raised a grievance under the Equality Act; or because they are suspected of doing so. An employee is not protected from victimisation if they have maliciously made or supported an untrue complaint. There is no longer a need to compare treatment of a complainant with that of a person who has not made or supported a complaint under the Act.
Harassment
Harassment is "unwanted conduct related to a relevant protected characteristic, which has the purpose or effect of violating an individual´s dignity or creating an intimidating, hostile, degrading, humiliating or offensive environment for that individual". Employees will now be able to complain of behaviour that they find offensive even if it is not directed at them, and the complainant need not possess the relevant characteristic themselves. Employees are also protected from harassment because of perception and association.
Further Information about the Protected Characteristics: Key Points under the Equality Act 2010
Age
The Act protects people of all ages. However, there may be grounds to justify that different treatment because of age was not unlawful direct or indirect discrimination if you can demonstrate that it was a proportionate means of meeting a legitimate aim.
Disability
The Act has made it easier for a person to show that they are disabled and protected from disability discrimination. Under the Act, a person is disabled if they have a physical or mental impairment which has a substantial and long term adverse effect on their ability to carry out normal day-to-day activities, which would include things like using a telephone, reading a book or using public transport.
An employer is required to make reasonable adjustments when recruiting, selecting, inducting and promoting disabled employees. The Act puts a duty on the employer to make reasonable adjustments for staff to help them overcome disadvantage resulting from an impairment (eg by providing assistive technologies to help visually impaired staff use computers effectively). The Act includes a new protection from discrimination arising from disability. This states that it is discrimination to treat a disabled person unfavourably because of something connected with their disability (eg a tendency to make spelling mistakes arising from dyslexia). This type of discrimination is unlawful where the employer or other person acting for the employer knows, or could reasonably be expected to know, that the person has a disability. This type of discrimination is only justifiable if an employer can show that it was a proportionate means of achieving a legitimate aim. Additionally, indirect discrimination now covers disabled people. This means that a job applicant or employee could claim that a particular rule or requirement you have in place disadvantages people with the same disability. Unless you could justify this, it would be unlawful. The Act also includes a new provision which makes it unlawful, except in certain circumstances, for employers to ask about a candidate´s health before offering them work.
Gender reassignment
The Act provides protection for transsexual people. A transsexual person is someone who proposes to, starts or has completed a process to change his or her gender. The Act no longer requires a person to be under medical supervision to be protected – eg a woman who decides to live as a man, but does not undergo any medical procedures, would be covered.
It is discrimination to treat transsexual people less favourably for being absent from work because they propose to undergo, are undergoing or have undergone gender reassignment than they would be treated if they were absent because they were ill or injured.
Marriage and civil partnership
The Act protects employees who are married or in a civil partnership against discrimination. Single people are not protected.
Pregnancy and maternity
A woman is protected against discrimination on the grounds of pregnancy and maternity during the period of her pregnancy and any statutory maternity leave to which she is entitled. During this period, pregnancy and maternity discrimination cannot be treated as sex discrimination. You must not take into account an employee´s period of absence due to pregnancy-related illness when making a decision about her employment.
Race
For the purposes of the Act `race´ includes colour, nationality and ethnic or national origins.
Religion or belief
In the Equality Act, religion includes any religion. It also includes no religion, in other words employees or jobseekers are protected if they do not follow a certain religion or have no religion at all. Additionally, a religion must have a clear structure and belief system. Belief means any religious or philosophical belief, including no belief. To be protected, a belief must satisfy various criteria, including that it is a weighty and substantial aspect of human life and behaviour. Denominations or sects within a religion can be considered a protected religion or religious belief. Discrimination because of religion or belief can occur even where both the discriminator and recipient are of the same religion or belief.
Sex
Both men and women are protected under the Act.
Sexual orientation
The Act protects bisexual, gay, heterosexual and lesbian people.
515
What sections are within the contract (NEC)?
Volume 1
- Contract Agreement
- Contract Data
- Activity Schedule
Volume 2
- Works Info
Volume 3
- Site Info
516
Roles & Responsibilities under the NEC?
- Employer
- PM
- Supervisor
Adds quality assurance
- Principal Designer
- Principal Contractor
517
Key clauses under Early Warning Flow Chart?
16. 1 - PM or contractor give early warning
16. 2 - request to attend risk reduction meeting
16. 3 - risk reduction meeting
16. 4 - decision reached and recorded by PM
Either send programme for re acceptance
Scope change - possible CE event.
518
Types of float?
Total float – available either to the Employer or the Contractor (on a first come first served basis) to mitigate delays caused by compensation events or slow progress, i.e. its is ‘owned’ by the project;
Free float – this is the duration allowed in each activity by the Contractor to account for the risk in not completing that activity in the minimum possible period. It is ‘owned’ by the Contractor and cannot be used to mitigate the effect of a compensation event;
Terminal float – the duration between planned completion and the current contract Completion Date. This is also ‘owned’ by the Contractor and cannot be used to mitigate the effect of a compensation event.
519
Define a risk
A risk can be defined as an uncertain event or circumstance that, if it occurs, will affect the outcome of a programme/project
520
General Risk Categories
Political and business risks, Benefit risks, Consequential risks, Project risks, Programme Risks
521
Project risks
The possibility that something may go wrong during the execution of the project; that is,
risks that could affect the successful delivery of the project. Project risks are commonly
considered in terms of time, cost and quality.
522
Factors to consider when choosing procurement strategy
• client type • risk allocation • time available • cost certainty • design development • design responsibility • specialist input • BIM • complexity of project • change accommodation and • contract administration
523
What is fault tree analysis?
Fault trees represent a deductive approach to determining the causes contributing to a designated negative outcome, beginning with the definition of a top (undesired) event, and branching backwards through intermediate events until the top event is defined in terms of basic events
524
What risk quantification techniques do you know
Monte carlo, central limit theorem, fault tree analysis, percentage addition
525
What might be including in a risk management strategy
• details of the client’s risk appetite
• a definition of who is responsible for risk management
• a description of how risks will be identified, analysed
(qualitatively/quantitatively), managed and reviewed
• the frequency of risk review meetings
• the software tools and techniques that will be used
• reporting forms and structures and
• if required, identification and reporting of trends,
providing appropriate mitigation actions and advising
on the decisions.
526
What types of project risk are their
* natural
* economic
* government
* societal
* client
* construction and
* project.
527
How would you categorise risks identified in the risk identification process
* external – uncontrollable
* external – influenceable
* internal – client operations (controllable)
* internal – user requirements (controllable) or
* internal – project processes (controllable).
528
What is a profit and loss statement / Income statement
The P&L statement is a financial statement that summarizes the revenues, costs, and expenses incurred during a specified period and ultimately the resulting profit or loss when all these items are considered.
529
How can an income statement/ P&L Statement be used
Can be used by companies to identify revenue that could be increased or costs/expenses reduced to increase profit
530
What is a Balance Sheet
A balance sheet is a snapshot of the company's current assets, liabilities and shareholder equity at a particular moment in time. Can be used to assess a company's worth
531
Example of Good Client Care?
One of my main clients is the Football Foundation. On one of the projects I am working with them on there has recently been a new person joined there team. They come from a football background rather than construction so I have spent some time on the phone separate to our client meetings explaining in more depth things like framework agreements and the differences in modular and traditional construction.
532
Example of multiple forms of communication used to communicate ideas
On a recent project for Portsmouth City Council the council couldn't decide whether to phase the building or build all in one go. To help them understand the implications of each option I produced two programmes which showed a phased approach and an unphased approach. I also organised for a cost plan to be produced that price the works as a single project and compared this against the cost of the two projects delivered individually.
533
Tell me about the extension of time on the Monksbrook project.
The client was organising permanent services for the project which required a new substation. Issues with the legal agreement severely delayed the permanent power connection to the site. Once it was clear that this was going to be an issue I organised with the contractor to provide temporary electric and gas. The generator was delayed and as a result the contractor was not able to start the fit out. The contractor submitted an extension of time. To assess this claim I reviewed the original programme to see when permanent services were originally indicated as being required. I looked at the lead in time advised by the contractor at the time he quoted for the temporary services and was able to ascertain that the instruction had be given early enough for the temporary equipment to be delivered and installed prior to the date services were indicated to be needed and consequently was able to determine that the need for the extension of time arose from the failure of the contractor's supplier rather than any action of the client.
534
What would you typically include in your feasibility report
I would include a summary of the project and the client. Information on the existing site, access arrangements, topography, existing features or buildings, adjacent buildings, roads etc. Summarise any site infromation available, ground reports, utilties maps, historical records. Summarise any surveys that had been completed and potential implications for the development. for example, ecological appraisals might discover the prescence of bats using the site. Depending on how far developed the project was I might include some outline design information and cost estimate. Finally I would write a conclusion and summarise all the available information, potential risks and ultimately whether the site was suitable for proposed development.
535
What conflict avoidance techniques have you used in the past?
At the end of the Monksbrook Project we had a number of outstanding variations from the contractor that totalled around £400,000. Initially we adopted a competing strategy and this got rid of some the more outlandish claims. The client's assessment of the variations was much less. To deal with this I chaired several meetings where we looked to compromise. We worked on reducing the number of claims and came to agreement on the smaller items. The final value was negotiated to a point where both parties could live with and avoided the need to escalate this further
536
What should be in a contractor's health and safety plan
A construction phase plan would include
- A description of the project and who is involved
- Names and contact details of the project team members
- Timescales for the project including key dates#
- management arrangements for ensuring coordination of different parties, how site management and personnel will be kept updated
- health and safety targets
- Site rules
- Welfare arrangements
- Site induction arrangments
- Consultation with workforce
- Fire and First aid arrangements
- Arrangements for dealing with site risks, e.g. Overhead line, water, lifting operations
Logistics and security of the site
- Arrangements for gathering information for the H&S file
537
When is construction phase plan required
On all construction projects
538
How do you maintain the security of client's data.
Following data protection regulations like GDPR. We have a cyber essentials accreditation that keeps information secure. I don't share client's data with anyone who doesn't need it in order to perform some part of our appointment with the client. I only work on client data using work provided equipment. Anything printed is stored securely and destroyed when no longer needed. Information received is stored in the relevant folder.
539
What is LEED.
LEED stands for Leadership in energy and environmental design and is a green building certification used Worldwide. it includes a set of rating systems for the design, construction, operation, and maintenance of green buildings, homes, and neighborhoods which aims to help building owners and operators be environmentally responsible and use resources efficiently.
540
What criteria might a building be assessed on under LEED
- Water efficiency
- Materials and Resources
- Energy and Atmosphere
541
What is SKA?
SKA rating is an environmental assessment method, benchmark and standard for non-domestic fit-outs, led and owned by RICS. SKA rating helps landlords and tenants assess fit-out projects against a set of sustainability good practice criteria. There are various 'good practice' measures covering energy and CO2 emissions, waste, water, materials, pollution, wellbeing and transport
542
What is a project assessed against for BREEAM?
BREEAM measures sustainable value in a series of categories, ranging from energy to ecology. Each of these categories addresses the most influential factors, including low impact design and carbon emissions reduction; design durability and resilience; adaption to climate change; and ecological value and biodiversity protection.
543
How did you use a democratic leadership style on the trowbridge project
For example we had an issue with how surface water would be drained on the project so I organised a meeting with the design team. At the meeting I encouraged everyone to participate in coming up with a solution and throw their ideas on the table. Between us all we came up with a solution to re-jig the masterplan to make room for a new soakaway. Everyone's input was essential in coming up with ideas but also to challenge each idea and make sure they held up to scrutiny.
544
You used a matrix organogram to clarify roles, tell me how that worked
The issue was that employees were working on multiple projects at the same time for different directors but the use of resource was being inefficiently managed and employees were confused as to whose projects should take priority. It also wasn't clear who was responsible for day to day management of things like holiday requests. I produced the matrix organogram to clarify reporting lines and also the process of assigning work to the team. This basically separated the functional managers from project managers. Basically a manager managing a project with a diverse group of roles and a functional manager who looks after the QS team
545
How did you set performance targets for staff?
To set productive targets I followed the SMART method of producing objects. For example for a graduate who hadn't produced a tender pack before I set him the target to produce a tender pack before his next review in 6 months.
546
What does SMART stand for
Specific, Measurable, Achievable, Relevant, and Time Bound
547
What questions did you ask when interviewing
What do they know about the company, asked about their current job and experience, whats the most interesting project you've worked one. What are your goals for the next 5 years, name a time when you've overcome a challenge. How you deal with tight deadlines? Specific technical questions. Have you produced tender information, have you done valuations, have you done cost planning.
548
How did you determine the best candidate
Considered various things
How would they fit in with the existing team,
Their technical competence for the role
Attitude in the interview
What were their communication skills like
That particular interview was for a junior member of staff so the most important thing in that interview was a willingness to learn and be able to work effectively in a team rather than technical ability
549
How do you allocate risk in the tender pack/contract
Contractual amendments, often the client's solicitor will put the risk of unforseen ground conditions on the contractor. Choice of procurement strategy. D&B over traditional. Contractor design portions.
550
What is a risk
'Risk', in a project delivery context, can be defined as 'an uncertain event or set of circumstances that, should it occur, will have an effect on the achievement of one or more of the project's objectives'
551
What principles should you consider when allocating risk
Which party can best control the risk and/or its associated consequences?
Which party can best foresee the risk?
Which party can best bear that risk?
Which party ultimately most benefits or suffers when the risk eventuates?
552
`What early warnings were raised on Brough South and how were they dealt with
Issue with an area of the site being used by another contractor, soft spots in the development plateau, drainage pipe in the flood retention basin. For the softs spot I called a risk reduction meeting where we considered different options for dealing with the soft spots. A methodology for dealing with the soft spots was agreed and this was used each time a soft spot was subsequently found.
553
Did any of them become compensation events
The access issues became a CE because the other contractor had to finish their works and the contractor had to go back to do that small section separately. This lead to a claim for out of sequence working
554
What did you learn from Hard things about hard things
One of the key takeaways from that book was that you don't always have to be positive as a leader and its better to be straight with people. Building a culture where failure is seen as not acceptable can dampen innovation and stop people putting their ideas out there.
555
What did you learn from Start with Why
The main theme of this book is about how understanding why a company does what it does and that can be used to motivate people.
556
Why did you suggest a D&B project for Rotherham
The client wanted to start on site as soon as possible so passing the design responsibility onto the contractor meant that the elements of the design could be carried out in tandem with the start of construction.
Also the client wanted to pass the design risk onto the contractor. Client wasn't concerned about inputting into the specification of the works. Early confirmation of costs. Contractor input into design
557
What is procurement
Procurement is the overall act of obtaining goods
and services from external sources (i.e. a building
contractor) and includes deciding the strategy on
how those goods are to be acquired by reviewing
the client’s requirements (i.e. time, quality and
cost) and their attitude to risk.
558
What is tendering?
Tendering is an important phase in the
procurement strategy but procurement involves
much more than simply obtaining a price.
Tendering is:
• the bidding process, to obtain a price; and
• how a contractor is actually appointed.
559
Downsides to D&B
Loss of control over the specification. Changes to the design can be expensive as the contractor is no longer in competition
560
How did you determine that the contractor's had relevant experience
Through the use of a Pre qualification questionnaire.
561
What might be included in a PQQ
Company details (including legal status).
Details of insurance cover.
Financial information (such as recent accounts).
Relevant experience.
Information about technical and professional ability.
Information about capability and capacity.
Health and safety policy.
Quality assurance policy.
Environmental management policy.
Equal opportunities policy.
Relevant references.
562
Why did you advise to negotiate Brough
This project involved the construction of a new road to access a school. The road had to connect to a new roundabout that was in the process of being constructed. The arrangement of the work site was that the contractor would need to access the site through the other contractor's site. As the new road was connecting to the roundabout any delay to the construction of the roundabout could have knock on affects. There was also services including water and drainage to be coordinated between the two contracts By using the same contractor for the works it put all the responsibility for coordination with the same team and negate the possibility of delay claims between contractors. Also there was the opportunity to save costs by sharing equipment, staff and welfare.
563
Tell me about a compensation event and how you assessed it
The contractor wasnt able to access part of the site from the start of the works and they had to go back and carry out works in this area out of sequence which they advised took longer. They made a claim that this took them two days extra than planned. They were paid an amount for the time of the men but not given a 2 days extension of time as these men were part of a much larger work force that would of not needed another 2 days to complete the work.
564
What is required for a 278 application
```
Details of development including the planning permission reference
Details of developer
details of developer's solicitor
Drawings
-Earthworks
- Drainage
-Lighting
-Setting out
- signage and lining
- Site investigation information
- Tracking drawings
- Details on the contractor carrying out the works and the tender figure
```
565
How do you produce programme from the programme objectives
Firstly its collating information on all the tasks that will be required. I look at the design tasks, surveys that will be required. Existing information available. Procurement activities, do i need to go through a planning exercise. What's the procurement strategy. What are the constraints, employer delivery dates, funding processes. Once i have all the tasks that are required and the order i can consider durations and starting inputting this into Microsoft project. The majority of my projects using the RIBA plan of work so i use that as my framework for making my programme.
566
How did you advise the client with different programmes on KGV
The client was risk averse and was concerned about spending public money on wasted surveys. Rather than conduct all the surveys at once we prioritised surveys that were higher risk and planned them sequentially in order of highest risk to lowest. I showed the client this on the programme along with a programme showing the various surveys procured concurrently so that he could see the overall affect on the construction length.
567
Explain how you advised on the lime stabilisation at Brough South
So this project involved land raising to build a development plateau for housing. The client owned another field that was higher than it needed to be so it was to be used as a borrow pit. During the tender the contractors all had different opinions on how much lime stabilisation would be required to make the material suitable for use. I discussed it with the engineer employed by the client and they were of the opinion that no lime would be required. When we proceeded with the chosen contractor we removed the element for lime stabilisation and made this an employers risk. It turned out the engineer was correct and this ended up being a saving on the construction cost.
568
What advice did you give on NEC to the client
I advised on the
- the different roles and their responsibilities, project manager and supervisor
- type of compensation event that would be employer risks
- Timescales for responding to compensation events and quotes and the implications of not responding
- The different z clauses
- The accepted programme and employer's obligations
569
Why did you advise a performance bond
Company was a charity so didn't want them to left with a bill to finish the process. The value was fairly low so the contractor was unlikely to have a parent company and I feel like there is more volatility with smaller companies. They don't tend to maintain as much capital to cover them if things go wrong.
570
How have you seen the project brief change
The biggest example of brief change through a project has been when the eventual operator has not been involved from the start. This is the case on several of my football projects where the client is not the operator and the operator has been brought in late and then requested changes to suit his business plan. Other reasons are changes to funding, changes to market conditions, staff changes, governmental changes, legislation changes
571
What is included on a tender opening form
• the tender price (perhaps split into preliminaries,
overheads and profit and prime cost)
• the proposed programme
• any key comments/exclusions
• any alternative tender offers; and
• a confirmation that all documents have been
submitted or not.
