JL Submission - Mandatory Flashcards
CC
What is a complaint?
Expression of dissatisfaction when expectations have not been met
CC
You receive formal complaint from client in writing. What should you do regarding insurance?
Firm should notify insurance company ASAP
CC
How would you deal with a complaint from a client?
- Acknowledge receipt of complaint, show empathy to client
- Establish basis of complaint
- Notify apt person in firm (i.e. complaint handling manager)
- Appoint someone to investigate
- Identify outcome and course of action to rectify
- Formally respond to client, communicate outcome
- If still unhappy- refer to independent dispute resolution
- Communicate lessons learnt internally
- Review at predetermined date in the future
- Inform PI insurers of complaint at each stage
CC
RICS guidance on complaints handling?
Complaints Handling - 2016. Updated in January 2022 in line with new rules of conduct
CC
How can complaints be avoided in the first instance?
- Set clear expectations in scope of service and appointment documents
- Communicate clearly and effectively with client and other key stakeholders
- Good record keeping
- Follow company procedures and policies (i.e. QA)
- Follow RICS stds, professional statements and guidance
- Seek feedback, resolve issues as they arise
- Acting within the boundaries of my services scope
CC
If a client contacts you with a complaint regarding a document you have issued, what is your response?
- Acknowledge complaint, apologise, work to resolve complaint to their satisfaction
- If this doesn’t solve, refer client to firm’s complaint’s handling procedure for formal submission
CC
How do you complain about an RICS member / firm?
- Raise concern with member
- Complain directly to them / firm via complaint handling procedure
- Complain directly to RICS (form / directly)
CC
What must a complaints handling procedure include?
- RICS provides model form
- Must have a redress mechanism
- Details of policy issued to client with the Terms of Business
- Quick, transparent, impartial, free of charge in first stage
- Names and contact details of nominated investigating person must be stated
- Complaint to be investigated within 28 days
- All complaints, progress and outcomes must be recorded
- Note need to advise PI insurers of complaint
- 2 stages:
Stage 1 - consideration of complaint by senior member of firm / complaints handling officer
Stage 2 - if issue isn’t resolved, complaint referred to independent 3rd party with authority to award redress. Complainant may be expected to contribute towards costs at this stage
CC
What is a good CHP?
- Fit for purpose
- All employees aware and understand process
- Good record keeping, reviewing lessons learnt
- Process regularly reviewed and updated
- Readily shared with (potential) complainants
- Agreed with PII brokers / providers
CC
What is an independent redress scheme?
- Consumer scheme designed to handle small issues that would be disproportionately expensive to take to court
- If scheme judges in favour of complainant, binding
- If judgement in favour of firm, complainant can escalate matter to court
- RICS firms must specify which redress scheme they want to use (could be ombudsman, arbitration or adjudication)
- If complaint relates to a large amount of money or if complainant wishes to, they can take matter to court
CC
What would you do if you receive a letter of complaint?
- Acknowledge receipt, forward to my firm’s designated complaint handler, as per our complaint handling procedure, providing additional info as requested
- Highlight importance of informing PII providers immediately
CC
What is Stace’s Complaints Handling Procedure?
- As per the RICS documents- 2 stages:
Stage 1 - consideration of complaint by senior member of firm / complaints handling officer
Stage 2 - if issue isn’t resolved, complaint referred to independent 3rd party with authority to award redress. Complainant may be expected to contribute towards costs at this stage
CC
What would you do for a CHP if you were a sole practitioner?
If it cannot be handled by myself, refer to redress scheme
CC
When would you notify PI insurers about a complaint?
If it’s:
- Against negligence
- Reaches second stage
- If it could lead to a claim
CC
How do you identify the client needs and expectations?
- Hold planning sessions / discussions regarding project key deliverables and scope of services required
- Appreciate each client and project is different- must be assessed on own merit
- Review any complaints, identify mistakes and best practice methods of working
- Ask questions, listen and identify key challenges/issues
- Client briefing checklists where applicable, seek further clarification if required
CC
How do you manage your client’s expectations?
- Agree on strategy, goals and timelines
- Open and honest
- Offer advice and direction within scope of service
- Good listening, understanding expectations
- Directly address problems, regular communication
- Tailor service, KPIs to each client
CC
Examples of a KPI?
- Qty of defects/snags
- Construction cost overrun
- Achieving programme milestones
- Profitability
- H&S scores
- Environmental scoring
- Use of local labour - social value
CC
What is CPF?
Client performance feedback- gathering and acting on feedback
- During and after completion, by independent person
- Feedback sets standards for company, identifies areas for improvement
- Open discussions ensure satisfactory service delivered and goals achieved
- Provides opportunity to gain future work for company
- Regular intervals (3-6 months) to ensure problems can be identified and rectified sooner
CC
Please provide an example of your client care and empathy skills?
- Although multiple projects, ensure to prioritise each client’s needs accordingly
- Make the client feel like their project is at the centre of my attention
- Organisation, communication -> meet deliverables in advance of agreed deadlines
- Deliver work to a high standard
CC
Why is client care important?
- Retain clients, secure repeat business
- Reduce likelihood of conflict
- Protect company PI insurance
- Maintain stronger reputation within the industry
- Attract further clients
CC
What else might be included in the Standard form of consultant’s appointment?
(Mentioned in doc: insurance, termination / suspension, dispute resolution, payment)
- Definitions and interpretation
- Consultant and client’s obligations
- Consultant’s personnel
- Limitations of liability
- Copyright, confidentiality and anti-bribery
- Assignment, transfer of rights, subcontracting
CC
Can you tell me when you might use the RICS short form of consultant’s appointment?
- Suitable for construction projects of a simple / straightforward nature
- i.e. QS / PM / EA / CA / PD services
- Not recommended for specialist services (i.e. expert witness, technical due diligence, building surveying)
CC
What’s included within the RICS short form of consultant’s appointment?
- Statutory requirements
- Fees and payment
- Additional services
- Insurance
- Copyright
- Termination and suspension
- Disputes
- General
CC
What is a project stakeholder?
Person / organisation with interest in project
CC
How did you keep track of the stakeholders on your project?
- La Plata mentioned in documents
- Usually PM responsibility
- Acknowledged in meeting, kept track with risk section in the minutes
- Frequent meetings
- Client and contractor understood lines of communication- most things forwarded to EA and/or relevant party
CC
How did you present your cost options to the client?
La Plata
- Prepared document with each option clearly set out
- Listed assumptions and exclusions
- Found prices from CSA or recent projects / pricing books where not possible
- Issued in draft for comment, talked with client about options so they understood
CC
What is a lessons learnt workshop?
- Review recent failing or success on a project
- Put procedures in place to prevent the failing happening again
- Review success and share with others
CC
What did you learn on your EGHH project to take into your future project?
- Communication - established clear lines and points of communication
- Lots of design changes - established clearer design freeze dates
- Information / design updates forwarded to relevant parties
- Keeping more consistent cost tracker alongside cost report to regularly update project team on any changes
- More frequent risk register meetings
CC
What are the objectives of the Client Handling Money professional statement?
- Clear rules for RICS regulated firms to have apt controls and procedures to keep money safe
- Confidence to clients and consumers that RICS regulated firms operating to high professional standards
CC
Key requirements in the Client Money Handling professional statement?
- Client account requirements
- Apt accounting controls
- Info that firms must provide to clients
- How to handle client money inc rules for managing unidentified funds
CC
What is the RICS client money protection scheme?
Last resort scheme providing protection in unlikely event a firm is unable to repay client’s money (up to limits / exceptions set out in scheme rules)
CC
If a client wants to pay in advance for your services, how would you deal with this?
- Set up separate account- clearly identifiable, provide client with access
- Refer to client money handling guidance note (rule 8)
- Inform client how and when monies will be drawn, provide statement
- Once services complete, send statement with all transactions
- Maintain transparency, auditability, ensure money has been checked for laundering
C&N
How would you present graphs and charts in a more accessible way?
- Refer to Office for National Statistics government website on presenting data
- Ensure text is consistent font and size - large enough
- Clear chart titles
- Gridlines within graphs to easily interpret data
- Clarify any colour issues with client - ensure high contrast to distinguish colours easier
C&N
What are the different ways you communicate with your team?
Oral
- Calls, meetings (reporting at, facilitating, chairing), presentations (client/staff), interviews, public speaking, listening skills
Non verbal
- Body language, eye contact, gestures, appearance
Written/Graphical
- Letters, memos, emails, reports, tender/contract documents, programmes, drawings, specs
C&N
Advantages and disadvantages of written communication?
- Complex / technical info can be communicated with drawings, diagrams, charts etc.
- Record kept of communication
- Formalise verbal agreements
- Can be circulated to multiple parties quickly
C&N
Examples of good communication?
Written:
- Message short, clear, easy to read/understand
- Well structured with intro, substance, conclusion
- Charts/diagrams/pictures to enhance meaning
- Recipient understands without ambiguity
- Accessibility considerations (no specialist language, acronyms if not required, colours)
Oral / body language:
- Speaking and enunciating clearly
- Clear tone - positive where possible, empathetic
- Good posture
- Positive / appropriate facial expressions
- Appropriate use of hand gestures
- Eye contact
C&N
Please provide an example of your communication skills
- Presentation skills (RICS ambassador, apprentice ambassador, speaking to schools, university, panels, at work in meetings)
- Holding site meetings with client/contractor, negotiating contract sum/conditions/changes
- Day-to-day, phone calls, video calls, meetings, in office
C&N
What are some of the barriers to effective communication?
- Difference between verbal and non-verbal (body language doesn’t match words)
- Individual perceptions, prejudice, bias
- Body language can distract people if used ineffectively
- Language/cultural/time/location differences
- Unclear/ambiguous tone
- Language that is too technical/specialist
- Emotionally charged conversations- parties unable to listen
- Disinterest, boredom
- Poor call quality, background noise
- Poorly maintained/adversarial relationships
C&N
What are your thoughts on using email as a form of communication?
- Same legal value as a letter, can inadvertently create contracts
- Must be careful regarding content
- Can be perceived as informal, easy to become complacent
- Ensure to communicate in professional manner, polite, unambiguous tone (no sarcasm)
- Ensure I select correct recipient, not sharing email addresses without consent
- Blind copying can pose a question on the ethical side of the action - can be dishonest or misinformative
- Can ensure the message is understood by following up / preceding with a phone call
C&N
What is meant by etiquette?
Rules / conventions regulating how people are expected to behave in social and professional situations
C&N
How do you demonstrate etiquette in your communication?
- Consider the use of formal / informal communication
- i.e. Teams may be a bit more casual, whilst emails I make sure to be courteous and succinct, clearly demonstrating my point.
- Documents issued formal, in 3rd person and factual
C&N
What is negotiation?
Discussions to reach a compromise / agreement. Can be informal / facilitated process to agree to settle dispute either at high level / in detail
C&N
What key things do you need to think about before entering negotiation?
- What level I’m authorised to negotiate (i.e. up to £xx)
- My (and client) red lines
- Sufficient facts and information
- Character of the person I’m negotiating with
- What I want the outcome to be
- Negotiation structure
- Areas I’m willing to compromise
C&N
What steps are there when preparing for a negotiation?
- Internal research, prep
- Identify non negotiable items
- Organise meeting at convenient time, location, flexibility in schedule
C&N
What is your negotiating style?
Depends on situation. If a strong claim for client I would aim to get best deal, but I aim to be collaborative, reasonable and endeavour to find resolution
C&N
When faced with a challenging negotiation, how do you conduct yourself in a fair and professional manner?
- Stay objective as possible, enter negotiation intending to find resolution
- Undertake detailed research, collate supporting documentation/substantiation
- Undertake work ethically, to required standards
- Discuss internally with senior, client, project team for items that can be conceded
- Respectful to other party, aim to understand their position so less adversarial
- Winning project- all have this same common goal, rather than winners and losers
C&N
What happens during a negotiation meeting?
- Both parties should be allowed to discuss position, reasoning for this position
- Maintaining professionalism, calm, act with respect and courtesy
- Calm setting
- Both parties honour agreements reached for benefit of the project
- Put in writing negotiated items ASAP
C&N
Types of negotiation strategies?
- Competitive (win/lose)
- Collaborative (win/win)
- Accommodation (lose to win)
- Avoidance
C&N
Main barriers to negotiation?
- Lack of trust, information, emotional intelligence
- Cultural differences
- Communication problems
C&N
What could indicate success of a negotiation on a final account? / What defines a successful outcome?
- Both parties come away satisfied, costs agreed and within client’s budget
- Clearly defined outcome, all parties have had the opportunity to present their case
CN
Give an example when you successfully negotiated?
- Final account on xxx
- Assessed my position, advised client of this and ensured I understood their budget and limitations
- Brought supporting documentation
- Discussion with contractor, both presented our positions calmly, politely, settled at figure palatable to both parties
- Formed good working relationship with contractor throughout project, communicated clearly and respectfully which helped with negotiation
- Confirmation in writing on what was agreed in meeting, any actions, next steps to bring negotiations to a close
- Can consider variation costs, i.e. if item was not priced in original costs but unclear communication
H&S
Can you give a quick overview of the Surveying Safely guidance note?
Talks about my responsibilities as a professional, including in the work, when visiting sites, and fire safety.
9 parts:
1. Personal and corporate responsibilities
2. Relevance to RICS professional groups
3. Assessing Hazards and risks
4. Places of work
5. Occupational health and hygiene
6. Visiting sites
7. Fire safety (apt exit routes, flammable objects, fire protection - may need specialist)
8. Residential property surveying
9. General procurement and management of contractors
App A - example audit (scoring) system
H&S
What are some of the influencing factors on H&S?
According to Surveying Safely:
- Cultural differences
- Different legal / judicial systems
- Size of firms
- Nature of projects
H&S
What are your H&S responsibilities?
- Ensure corporate H&S policies practised effectively
- Have necessary skills, training and experience
- Conduct risk assessment
- Recognise when matters beyond competence
H&S
What are your firm’s responsibilities?
- Risk identification process
- Time management structure
- Allow sufficient time, resources and training
- Ensure supply chain complies with H&S processes
- Clear lines of accountability
- Policies, training
- Insurance
H&S
How do you assess risks and hazards?
- Risk management - take adequate time
- Assess risk - identify, identify responsible party, record, review / update where necessary
- Dynamic - continually adapt and reevaluate to changing circumstances
- Evaluating risk - measure risk quantitatively / qualitatively. Consider environment where working, decide how often I need relevant training / feedback on corporate policies
H&S
What is the hierarchy of risk control?
In Surveying Safely, aiming to reduce risk to lowest reasonable level
1. Elimination (redesign / substitute substance)
2. Substitution (replace materials)
3. Engineering controls (separate hazards on site - enclose/guard - measures that protect collectively)
4. Administrative controls (identify and implement procedures to work safely, i.e. reducing lone working / completing in daylight)
5. PPE
H&S
What is the ‘safe person’ concept according to RICS Surveying Safely?
- Each individual assumes responsibility for their own behaviour, as well as colleagues and others’ H&S at work
- Firms must provide safe working environment, equipment and competent staff
H&S
Basic H&S requirements at work?
Surveying safely:
- WC facilities
- Access to safe drinking water
- Apt temperature and light (control where necessary)
- First aid / emergency arrangements
- Replacing fresh air
- Safe fire evacuation
- Relevant alarms (fire, smoke)
- Welfare facilities
- Regular maintenance work
H&S
What do you consider before visiting site?
- Safe means of transport
- Site induction
- Risk assessment - consider potential hazards / risks on site
- Site rules
- Safe access to tall spaces (i.e. roof)?
- Likelihood of dangerous equipment / substances
H&S
What do you consider when visiting a site?
- Site induction
- Structural stability / obstacles
- Items falling from height
- Any unsafe hazards inhaled (plants, mould, etc)
- Look out for live / unsecured services
- Inform when I am arriving / leaving
H&S
What PPE might you require on site?
- Hard hat
- Steel toe capped boots
- Gloves
- Goggles/eye protection
- Hearing protection
- High vis vest
- Face mask
H&S
Where is asbestos commonly found in older buildings?
- Cement gutters and downpipes
- Corrugated roofs
- Floor and ceiling tiles
- Insulated boards, lagging
- Textiles
- Soffits
H&S
Key points of the CDM regulations?
Construction (Design and Management) Regulations 2015
- Ensures clients, designers, contractors and others consider H&S of those constructing, maintaining and demolishing works
- Statutory duties on client, principal designer, designer, contractor to plan, manage and coordinate H&S throughout project
- Anyone with input on design are considered designers, have responsibility to ensure H&S
H&S
Key duty holders under CDM 2015?
- Client
- Principal designer
- Principal contractor
- Designer(s)
- Contractor(s)
- Workers
H&S
What are your duties under CDM regulations?
- Designer, ensure client aware of their duties
- Flag H&S risks
H&S
Key implications of CDM regs for cost consultants?
If responsible for specifying material / working methods, would be deemed designers and need to consider H&S aspect.
i.e. brick slip systems, considering spec, ensure no risk of brick slip falls
H&S
What are your client’s duties under CDM?
- Provide PCI to contractor
- Appoint competent PD and principal contractor
- F10
H&S
What is the role of the principal contractor?
- Manage H&S risks during construction phase
- Plan, manage, monitor, coordinate construction phase
- Account for H&S risks to everyone affected by work (including members of public)- plan and manage measures needed to control them
- Prepare written construction phase plan before construction begins, implement and regularly review/revise to ensure it remains fit for purpose
- Ongoing arrangements in place for managing H&S throughout construction
- Consult and engage with workers about health, safety and welfare
- Ensure suitable welfare facilities provided and maintained during construction
- Ensure workers have site-specific inductions and any further info/training
- Prevent unauthorised access to site
- Liaise with PD to share info relevant to planning, management, monitoring and coordination of pre-construction phase
H&S
3 documents included in CDM regs?
- H&S file
- PCI
- Construction phase plan
H&S
What is pre-construction information (PCI)?
- Vital role in tender docs, enables prospective contractors to be fully aware of H&S and welfare requirements
- Provides level playing field for H&S in submissions
- Can provide focus at which H&S considerations of designs brought together under control of PD
H&S
What’s included in the PCI document?
- Description of works
- Client considerations, management requirements
- Hoarding, welfare facilities, traffic restrictions, permits to work
- Environmental restrictions, existing site risks
- Significant design and construction hazards
- H&S file requirements
H&S
What is the H&S File?
Doc issued promptly after construction works finished containing info needed during future construction work (including cleaning, maintenance, alterations, refurb, demo works). Parties involved in future works must alert these to any H&S risks that should be considered in planning or carrying out of such works
H&S
Whose responsibility is the H&S file?
- All parties - ensure info included in H&S file is accurate, relevant and promptly provided
- PD must ensure file is prepared, reviewed, amended as necessary, then issued to client
- Client, designers, contractors must supply info that needs to be included
- Clients must ensure H&S file available to parties involved in future construction works at same site
H&S
Role of the principal designer?
- Influence how H&S risks managed throughout project
- Plan, manage, monitor, coordinate H&S in pre-construction phase
- Advise client when bringing together pre-construction info, provide info designers and contractors need to carry out duties
- Work with other designers to eliminate/reduce/control foreseeable H&S risk to anyone affected by work
- Ensure everyone involved in pre-construction phase communicates, cooperates and coordinates work
- Liaise with principal contractor, keep them informed of risks that need to be controlled during construction phase