Level 2 questions Flashcards
Ethics: I applied my knowledge of the RICS rules for firms by undertaking an exercise to review Ridge’s compliance, including checking Ridge’s PI cover against the RICS PI requirements. I was able to confirm compliance in all areas.
1) What are RICS rules for firms?
2) What are RICS PI requirements?
2) What is Ridge’s PI level?
1) Rules of conduct for firms:
- Use of designations
- Solvency
- Professional indemnity insurance
- Advertising
- Professional behaviour
- Arrangements for sole practitioner (incapacity / death)
- Service
- Information (to RICS)
- Competence
- CPD
- Co-operation (with RICS)
- Complaints handling
- Clients’ money
2) PI requirements:
- Claims made basis
- Each and every claim basis
- Full civil liability basis
- Underwritten by a listed insurer
- Covers past and present employees
- Run-off cover
- Minimum level of indemnity cover required by RICS
3) Ridge’s PI levels:
£0.1M, £0.3M, £0.5M, £10M, £15M and £20M (£100K excess)
Pollution, asbestos and fire
Ethics: On Phase 2 of the F1 Masterplan (F1MP) project, I was offered a gift by a Contractor. The gift was given openly and not in conjunction with any period of tender or commercial negotiation. I reviewed my company’s Anti Bribery policy and consulted my line manager before accepting it.
1) What is Ridge’s Anti-Bribery policy?
2) You mentioned that you received a gift, how did you go about deciding whether to accept or reject it?
3) Give an example of when a gift might be inappropriate?
1) Ridge’s anti-bribery policy:
- All employees, EPs have responsibility
- Gifts are customary, proportionate and properly recorded
- Raise a concern, whistleblowing
- No one suffers detrimental treatment for refusing bribery or corruption
2) Deciding on a gift:
- Consulted my firm’s policy
- Assessed the situation and the manner in which it was given
- Accepted it, and recorded it in the firm’s gift register
3) Inappropriate:
- Value
- Timing of offer
- Disproportionate
- Effect ability to be impartial
- Not in line with RICS ethical standards
Ethics: Within a project for South Oxfordshire District Council (£20m value) to build new offices, I was responsible for procuring and evaluating surveys. Ridge wanted to tender for one of the surveys. I identified that there was a conflict of interest and notified the client. The client was happy for Ridge to submit providing I implemented an information barrier between myself and the team tendering.
1) What is informed consent?
2) How did you mitigate the conflict of interest?
1) Informed consent:
- Informed all parties of conflict of interest
- Parties give consent to proceed
- Must be in interests of all affected
- Not prohibited by law
2) Mitigating conflict:
- Obtained informed consent from all parties.
- Met with the tendering team and let them know that I couldn’t discuss the tender with them.
- Made sure that the Ridge tender wasn’t sent to me and I wasn’t part of the evaluation process.
- Stored commercially sensitive documents on my PC and encrypted them for additional security
Client: I applied the practice of client care by developing a Quality Plan for a UK Government client. The document outlined the client complaint procedure and escalation channels. It also detailed how Ridge will comply with its ISO accreditation, by ensuring deliverable quality by performing peer reviews and sign-off by a senior member of the company.
1) What was included in your Quality Plan?
2) How did you go about developing it?
1) Included in QP:
- Set out quality policies, e.g. ISO 9001 certified
- Identify quality criteria or policies that need to be followed, e.g. client requirements
- Describe how quality requirements will cascade down through the supply chain
- Describe the activities necessary to delivery the project and order they will be carried out
- Describe the resources required
- Set out roles and responsibilities
- Describe monitoring and reporting procedures
- Defect management procedures
- Document control
- Change control
- Training requirements
2) Developing QP:
- Reviewed the Ridge Quality Management system and the client quality requirements contained within the Project Brief
- Set about identifying the quality procedures that were required for the project, and how these flowed down through the supply chain
- Defined the resources required, developed a project org chart and set out roles and responsibilities
- Developed the monitoring and reporting procedures
Client: In addition, I supported the client in gathering requirements at RIBA Stage 3 by identifying where gaps existed, developing a template to capture the data, then seeking out the right stakeholders to engage with. This activity was outside our scope of service but enabled the challenging programme to be met and protected the busy schedules of key client members of the project.
1) How did you identify the right stakeholders?
2) How did you validate the requirements?
1) Identifying s/holders:
- Held a workshop with the client to identify named s/holders in respective roles
- Developed a s/holder matrix to classify each s/holder by influence/power
2) Validating requirements:
- Created a template Schedule of Accommodation
- Used a systematic process to identify requirements with each s/holder room by room
- Held a workshop at the end to co-ordinate / validate requirements
Client: I also assisted the client by developing a document that tracked key actions and decisions from the outset of the project and facilitated a process that gathered timely updates throughout the project on behalf of the Project Director. The document became a key client reference document embedded in Stage 3 report.
1) What was the value of this document?
1) Value of document:
- Kept a record of all decisions
- Easily referenced / audited
- Enabled targeted and timely update of actions
- Issued out weekly to Project Director to confirm record
- Supported the Project Director in administrating the project and saving him time
Comms: I agreed a terms of reference for the AVIC Project Board which included defining a clear set of objectives and assigning decision-making responsibility. I presented my progress report at each meeting, focussing on the highlights, escalation items and decision items. Following the meeting I compiled minutes which I ensured were accepted by the Board members of the board for accuracy; this enabled them to be relied upon as a factual record.
1) What was included in your progress report?
2) How did you communicate key messages to the Project Board?
1) Progress report:
- Exec Summary
- Progress in period
- Planned progress for next period
- Risk update / updated risk register
- Cost update / updated cost report
- Updated programme
- Client decisions required
2) Key messages:
- Using an exec summary
- Use of a dashboard report showing key achievements, and summarising key metrics using visual aid such as graphs
Comms: On Phase 2 of the F1MP project I was responsible for agreeing the value of instructions. I led regular reviews alongside the Ridge QS to assess the contractor’s quotation against the Contract Bills and provided my own assessment of the rates which I then issued to the contractor. In instances of disagreement, I arranged meetings including the QS to negotiate the value. Once the value was agreed I would present it to the client.
1) What was your negotiating style/technique?
2) Why did you use this technique?
1) Negotiating style:
- Collaborative (assertive, cooperative)
2) Why?
- Common goal: agreement of a fair and reasonable value
- Maintain good relationship with the contractor throughout project
H&S: I reviewed the Construction Phase Plan (CPP) on a fire stopping remediation project for RHMC and identified that there were no Coronavirus protocols mentioned. I explained to the contractor that the CLC Site Operating procedures must be met before work could start on site.
1) What should be contained within a CPP?
2) What are the CLC Site Operating procedures?
1) CPP:
- Description of the project
- Key dates
- Key members of the project team
- H&S aims for the project
- Site rules
- Arrangements for co-ordination of work (e.g. site meetings)
- Site induction
- Welfare facilities
- Fire and emergency procedures
- Any specific site risks (WAH, asbestos, etc.)
2) CLC Site Operating procedures:
- Construction Leadership Council
- Up to version 8
- Reflect Government Covid-19 guidance to the construction industry
- Covers guidance on going to work, travelling to work, working practices, hygiene, welfare arrangements
H&S: I lead a project to refurbish a retail unit. I identified that no asbestos records existed. I instructed an R&D survey to be completed before any works started on site. During construction, I accompanied the H&S consultant on a site safety inspection where some H&S failings were identified. I issued the contractor with an instruction to act before work could recommence on site.
1) What are the different types of asbestos survey and what are the uses of each?
1) Can you give some examples of the H&S failings and what you did about them?
1) Asbestos survey:
- Management Survey - Manage ACMs during normal occupation and use of the premises.
- R&D Survey - Required where the premises, or part of it, need upgrading, refurbishment or demolition.
2) H&S failings:
- The failings were deemed to be non-life threatening
- Some operatives not wearing correct PPE
- Edge protection missing
- Demolition plan not available on site
- I instructed the contractor to comply with the recommendations of the report immediately, and suggested that a toolbox talk was undertaken to prevent further H&S incidents
Briefs: I developed an outline business case for two projects for the National Trust (NT).
The first project (£3m value) was concerned with replacing an existing building on the edge of a cliff at imminent risk of collapse. The challenge was to develop a viable baseline case for a new development as the ‘do nothing’ option was not viable. I worked with the client’s Finance Business Partner to identify a ‘managed retreat’ option as the baseline from which to assess the scheme’s viability.
The second project (£4.5m value), was a Grade I Listed manor house and Grade II listed parkland. A full masterplanning exercise was to be undertaken and implemented in phases due to budget constraints. The challenge was to complete enough development within the available budget to generate revenue to enable development of the full masterplan.
1) What is the purpose of an OBC?
2) What was contained within the OBC documents?
3) What was your involvement in preparing these?
1) Purpose of OBC:
- Justification for undertaking a project
- Evaluates benefit, cost, risk of alternative options and provides rationale for the preferred solution
- Approves the investment required to develop the project from RIBA 0 Strategic Definition to complete feasibility studies and to develop the Project Brief.
2) Included in OBC:
- Benefits appraisal
- Risk assessment
- Procurement strategy
- Programme and phasing
- Risk allocation
- Financial case
- Management case
3) Preparing OBC:
- I coordinated the client’s consultant team
- I created the document
- I provided input into the procurement strategy, risk identification, financial case (consultant/project fees) and management case
- I presented the case at Project Board and Funding Board for approval
Briefs: I developed a brief for the feasibility stage for the installation of a prototype CT Scanner into a hospital (AVIC). The brief was used to agree the primary and secondary objectives with the client and provide sufficient information to the consultant team. The key challenge was managing the expectations of the clinical user who wanted to accelerate the programme. The brief was successful in convincing this stakeholder of the value of completing a feasibility before committing to a large capital expense.
1) How did you agree the project objectives with the client?
2) What did you consider within the AVIC feasibility project brief?
3) What were the outcomes of the feasibility and how did this impact the project?
1) Agreeing objectives with client:
- Held a series of workshops to understand and review client’s objectives
- Separated ‘must have’ from ‘nice to have’ objectives
2) Considerations:
- Project aims and objectives
- Key dates
- Budget
- Project stakeholders
- Site constraints
- Design constraints
- Interfaces and dependencies
- Scope of the feasibility study
- Deliverables of feasibility study
3) Outcomes:
- Identified that primary objectives were feasible but not all secondary were not affordable
- Gave client opportunity to prioritise objectives and obtain additional funding
Briefs: Furthermore, I undertook a risk review of AVIC at RIBA 1. I held a series of risk workshops with the design team, core client team and wider project stakeholder team to identify all known project risks. I categorised the risks by time, cost, and quality. I then determined a scoring mechanism to identify the key project risks which were assessed to determine mitigation strategies and assign ownership.
1) Can you give an example of some risks identified?
2) How did you manage these risks through the project?
3) What is the value in identifying risks early in the project?
4) Can you describe a risk management process?
1) Risks identified:
- Delayed legal agreement with landlord
- Protracted negotiation with contractor
- Construction H&S due to challenging logistics and removal of large equipment in busy operational setting (hospital)
2) Managing risks:
- Maintained a risk register
- Updated monthly
- Regular risk workshops
- Early engagement with key s/holders
3) Value of early identification:
- Greater chance of mitigation
- Can be incorporated into design
- Can be avoided or transferred
4) Risk Management process:
- Identify risks through workshops, s/holder meetings, progress meetings, etc.
- Qualitative analysis (likelihood vs impact)
- Risk response
- Selecting risks for active management
- Allocating management actions
Contract: I developed a contract selection report for the AVIC project to advise the client which contract to select for the works. I undertook a detailed assessment of the client’s key drivers and then assessed various contract options to determine the appropriate contract type. The client wanted the option that would provide most price and programme certainty prior to construction and needed to achieve a complex technical design by a specialist equipment supplier. I recommended a D&B contract.
1) What factors determine contract selection?
2) What process did you go through to determine which contract was the best for the AVIC project?
1) Contract selection factors:
- Type of works required: Construction/engineering, new build/refurb, major/minor, specialist design, etc.
- Sector: Familiarity of contract type, unfamiliar might cause contractors to price for risks.
- Size, value and complexity: appropriate and proportionate in terms of risk balance and administrative burden.
- Employer and level of sophistication: familiarity with contract type, level of administrative and decision-making capability
- Balance of risk/risk allocation: risk allocation even within contracts designed for same procurement route
- Design responsibility: some forms work with wide range of design responsibility (e.g. NEC), whereas others are procurement route specific (e.g. JCT D&B)
- Control of sub-contractors: certain contracts allow greater control over selection, i.e. domestic vs named
2) Contract selection process:
- I considered the client’s priorities - cost, time, quality, and risk allocation
- The client wanted a single point of responsibility, early cost certainty and shortest programme
- The specialist supplier was to provide complex technical design and had expertise in this area
- I considered Traditional with contractor design but instead chose D&B procurement route
- I considered NEC and JCT, and single, two-stage D&B.
- I recommended a single-stage D&B contract.
Contract: On a retail refurbishment project, I advised the client on the form of contract for these works. I considered both JCT Minor Works and Intermediate contract types. I advised that given the low value and complexity of the work, and the fact that the contractor wasn’t doing any design, that the Minor Works contract would be best suited. The client asked for advice setting the level of liquidated damages. I advised that this was not my competency and that they should assess a genuine pre-estimate of their loss that would arise from late completion, but that they should also keep the number sensible in order not to discourage interest in the works.
1) What are the key similarities and differences between JCT Minor Works and Intermediate contract types?
2) When you chose a JCT Minor Works contract at the retail client, were any other forms of contract under consideration? Why, why not?
3) What are the pitfalls of setting liquidated damages?
1) Similarities:
- Traditional procurement (client responsible for design)
- Fixed price lump sum, interim monthly payments
- CDP version of contract
- Public/private
- CA to administrate
- Provisions for collaborative working and sustainability
Differences:
- MW for smaller, lower value, basic/simple projects
- Intermediate can use BoQs
- Intermediate provision for named specialists (become domestic but contractor not responsible for sub-contractor design)
- Intermediate can have sectional completion
- Intermediate provision for BIM, advance payment, bonds, third party rights and collateral warranties.
2) Other contracts considered:
- Framework agreement
- JCT Measured Term Contract (re-measurement)
- NEC EEC Short Contract
- Client wanted cost certainty (fixed-price) and competitiveness of a single stage tender
- Client/contractors weren’t familiar with NEC
3) Setting LDs:
- Must only act within competency
- Genuine pre-estimate of loss by client
- If considered to be a penalty it is unenforceable
