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RICS Mandatory Level One's > Technical competencies > Flashcards

Technical competencies Flashcards

1
Q

• What are the differences between JCT and NEC Contracts?

A

o Price
 JCT is a fixed price lump sum
 NEC has lump sum, target price, cost reimbursement, managing contract
o Provisional sums
 JCT allows
 NEC doesn’t
o Cost scrutiny
 JCT allows cost scrutiny via contract sum analysis/tender negotiations
 NEC open book procedure. Defined cost and disallowed cost.
o Ground risk
 JCT – with contractor
 NEC – unforeseeable costs reimburst
o Programme
 JCT – only requires master programme
 NEC – contractor to supply programme at regular intervals.
o Extention of time/ loss and expense
 JCT – relevant event/matter
 NEC – compensation event, time and money considered together
o Design risk
 JCT – defines specific duties dependant on form of contract
 NEC – contractor simply designs sections stated in Works Information
o Employers Requirements/ Works Information

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2
Q

• NEC – What are defined costs and disallowed costs

A

o Defined costs - Cost actually incurred by contractor
o Disallowed costs – determined by PM to be not justified, should not have been paid to subies, incurred by not following works information/early warning.

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3
Q

• What are the NEC suit of contracts?

A

o Engineering & construction contract
o Engineering & construction sub contract
o Engineering & construction short contract
o Professional services contract
o Professional services sub contract
o Term service contract
o Design, build & operate contract
o Framework contract
o Supply contract
o Alliance contract
o Dispute resolution service contract

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4
Q

• Can you name some NEC ECC standard contract forms?

A

o Option A, Priced contract w/ Activity Schedule
o - Option B, Priced contract w/ BoQ
o - Option C, Target contract w/ Activity Schedule
o - Option D, Target contract w/ BoQ
o - Option E, Cost reimbursable
o - Option F, Management contract

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5
Q

• How does NEC manage change, risk and programme

A

o Requires an early warning notice as soon as pm/contractor becomes aware of issue to programme, cost, quality
o Programme has to be revised at defined intervals throughout the project
o Compensation event – contractor claims for time and cost, must be within 8 weeks of becoming aware.

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6
Q

• What are the advantages/disadvantages of NEC?

A 
o	Advantages:
	Simpler language
	Emphasis on cohesion
	Shares risk
	Active programming
o	Disadvantages:
	Administration heavy
	Needs time to understand
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7
Q

• What is necessary to form a contract?

A 
o	Offer
o	Acceptance (or counter offer)
o	Consideration
o	Intention (to be legally bound)
o	Capacity (to make agreement) (e.g. power of attorney on behalf of a company)
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8
Q

• How is contract executed?

A

o 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.
o Under Seal (as a deed), signed and witnessed, 12 year limitation period. Valuable consideration not required,

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9
Q

• What are common contract documents?

A 
o	The Contract (with any amendments)
o	 Preliminaries
o	Contract sum analysis/Pricing Schedule
o	Drawings
o	Specification
o	Planning conditions/agreements
o	Contractors Proposals
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10
Q

• Why use standard forms of contract?

A

o They are cheaper than getting a bespoke contract drawn up
o - Offer a level of familiarity between the parties
o - Tried and tested contracts in court, therefore you should be able to predict the outcome in the courts.

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11
Q

• What should be considered when determining the type of procurement to use?

A

o Need to consider key criteria for the client
 Are they wanting to share risk or allocate it to one party
 Do they need cost certainty
 Need programme certainty
o Is there time to fully design
o Is there a focus on aesthetics and building performance
o How complex is the project
o What types of contract do the client and market have experience of using

o Should be made on the basis of characteristics of the project, the client and their requirements.

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12
Q

• What are the main forms of procurement?

A

Traditional
Design and Build
Construction Management
Management contracting

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13
Q

• What standard forms of contract do you know that are offered by JCT?

A

o Standard Building Contract with/without quantities
o Intermediate building contract 2011/2016
o - Minor works Building contract 2011/2016
o - Major Projects building contract 2011/2016
o - Design and build contract 2011/2016
o - Management Building contract 2011/2016
o - Construction management contract 2011/2016
o - Prime cost building contract 2011/2016

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14
Q

Features of traditional contract?

A 
Suitable for complex projects
	High quality
	Accuracy design possible but needs to be good.
	Time and cost variable
	Risks high if poor design
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15
Q

Features of Design and Build contract

A

 Suitable for simple projects
 Time and cost certainty
 Dependant on strength of employers requirements
 High risk if client make changes

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16
Q

Features of Construction Management contract

A

Needs experienced client
 Fast track projects
 Often complex buildings with high quality
 Brief and ERs developed during the project life
 Cost certainty not clear
 Contractor and design team appointed at the same time
 Contractor contracted to client as is the construction manager
 Risks transfer to CM

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17
Q

Features of management contract

A

Needs experienced client
 Fast track projects
 Often complex buildings with high quality
 Brief and ERs developed during the project life
 Cost certainty not clear
 Contractor and design team appointed at the same time
 Management contractor contracted to client who contracts with other contractors for works packages.
 Risks transfer to contractor

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18
Q

What are Belbin’s 9 team roles?

A

Plant: creative, solves difficult problems. ignores detail.
Resource Investigator: explores options, develops opportunities. Over optimistic
Co-ordinator: Good chairperson, delegates well. Can be seen as manipulative, delegates personnel work.
Shaper: Challenging, thrives on pressure. Can hurt others feelings.
Monitor Evaluator: Sober, strategic, sees options. Lacks drive and ability to inspire others.
Teamworker: Co-operative, listens, builds. Indecisive in crunch
Implementer: Disciplined, reliable, turns ideas into actions. Inflexible.
Completer Finisher: Painstaking, corrects errors. Worries.
Specialist: Provides knowledge and skills in rare supply. Dwells on technicalities, overlooks big picture.

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19
Q

• What is meant by solo and team leaders?

A

o Solo leader – sole point of management, has ardent followers, takes responsibility for all elements of work. Decisions can be made quickly. E.g sub-contractor, known scope of work.
o Team Leader – Limits their role and declines to rule absolutely, seeks talent to overcome their shortcomings. Delegates and does not interfere. E.g project manager on complex project.

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20
Q

• What are the types of insurance used in construction contracts?

A

o Employers Liability - protects against liabilities to employers for injuries or illness.
o Public Liability - protects against liabilities for injury to third parties (non-employees) or their property.
o Professional Indemnity - against claims for loss or damages arising from professional negligence or negligent advice.
o Contractors All Risk insurance - physical damage to works and site materials that you were contracted to undertake.

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21
Q

• Define risk in terms of a project?

A

o Uncertain event or circumstance that if it occurs affects the project outcomes, programme, finance.
o Include threats and opportunities
o Different to issues which are current events actively impacting project

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22
Q

• Define risk analysis?

A

o The process to identify and quantify risks in terms of probability and impact.

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23
Q

• What is risk management?

A

o Risk management is a proactive exercise designed to:
 Identify risks
 Assess risks
 Manage risks

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24
Q

• What is the risk management process?

A

o 5 steps:

  1. Identify risks
  2. Assess the probability and impact
  3. Respond – mitigate, ignore, transfer
  4. Record – monitor risk responses
  5. Feedback – record outcome for future projects
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25
Q

• What are the 5 categories of risk?

A
  • Political and business – becomes public knowledge and effects ongoing business
  • Benefit Risk – project fails to deliver performance benefit expected e.g. planning reduce building size = loss of rent
  • Consequential risk – occurs due to other risks
  • Project risks – affect time, cost, quality
  • Programme risks – impact on the overall programme
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26
Q

• What are the responses to risk?

A
  • Risk avoidance – risks that have serious consequences/ are totally unacceptable. Design out or don’t proceed with project
  • Risk reduction – level of risk unacceptable, reduce probability or impact e.g. change supplier to reduce lead time or further site investigation to reduce unknown
  • Risk transfer – transfer to another party better able to control the risk. Involves premium to be paid
  • Risk sharing – shared between the parties.
  • Risk retention – retained by employer and risk allowance made in cost plan and managed by client
27
Q

• Name some risk quantification techniques

A
  • Brainstorming with project team, utilising expertise and relevant programme and cost data from former projects
  • Process and requirements - quantified in terms of cost/time effect
  • Probability trees – considers risks occurring as a result of other risks in order to create an overall risk.
  • Monte Carlo – computer generated simulation to model outcomes limited accuracy for construction as subjective data fed in.
28
Q

• What should a risk register include?

A
  • Risk no.
  • Description
  • Probability of occurrence
  • Impact on time, cost, function
  • Mitigation measures
  • Person responsible
  • Date last updated
  • Deletion point – where risk will have past
  • Date to be actioned
29
Q

• What risks are currently facing your project?

A
  • Price increase due to covid 19 on projects being negotiated
  • Programme due to covid – effect on funding packages
  • Density reduction by planning to a point where project is no longer viable
  • Renovations – more problems with substructure than anticipated. Unidentified asbestos.
30
Q

• How would you manage risk in a cost plan?

A
  • Contingency- covers unforeseen events on site
  • Provisional Sum – for items not fully designed
  • Risk allowance/register – includes risks identified by project team. Risk allowance is reduced as risks are mitigated.
31
Q

• What are the leadership styles?

A

• Coercive – Leader demands immediate compliance
 Works best in a crisis or with problem employees
• Authoritative – Leader mobilises people toward a vision
 Works best when a clear direction is needed
• Affiliative – Leader creates emotional bonds and harmony
 Works best to heal rifts or motivate in stressful circumstances
• Democratic – Leaders use participation to create consensus
 Works best to build buy-in and get input from valuable employees
• Pacesetting – Leader expects excellence and self-direction from the group
 Works best to get quick results from motivated team
• Coaching – Leader develops people for the future
 Works best to develop long term strengths

32
Q

• Hertzberg’s theory

A 
•	Hygeine
	Company policy and administration
	Supervision
	Interpersonal relationships
	Working conditions
	Salary
	Status
	Security
•	Motivators
	Achievement
	Recognition
	Work itself
	Responsibility
	Advancement
	Growth
33
Q

• Climate necessary for high performing teams?

A
  • Shared objectives
  • Members working interdependently
  • Varied skill set
  • Open communication
  • Touch base regularly
  • Share praise
34
Q

• What legislation relates to human resources?

A
  • Employment Rights Act 1996 – employment, wages, leave, training , termination
  • Modern Slavery Act 2015 – gives law enforcement the tools to fight modern slavery, punishment, enhanced support for victims
  • Equality Act 2010 – covers equal pay, sex disability and race discrimination,
35
Q

• What management styles are you aware of?

A

Directive
• Manager gets personally involved, addresses problem one to one
• Makes decisions and explains them
Persuasive
• Personally involved
• Consults before making decision
Collaborative
• Human relationships and cooperation a priority
• Involves co-workers in decision making process
Organisational
• Defines framework
• Delegates assignments and duties
Negotiative
• Adapts to circumstances by varying degree of involvement and cooperation

36
Q

• What are the four types of organisational structure?

A
  • Functional – departments separated into their functions
  • Divisional – organisation departments based on client/product delivered
  • Matrix – cross functional teams, reporting to more than one manager
  • Flat – single point of management for all employees
37
Q

• Critical Path Analysis considers?

A

• List of all activities
• Duration of each activity
• Dependencies between activities
• Critical path – the longest path of planned activities
 Activities on cp can’t be delayed without delaying the project
• Look for the earliest start time of each activity
• Then consider the latest finish time of each activity without effecting the completion
• This determines float

38
Q

• What is an s-curve used for?

A
  • Graph to compare actual cumulative data with predicted data
  • Used for viewing project spend or resource
39
Q

• What is a procurement framework?

A
  • Agreements put in place with a number of providers that enables buyers to place orders for services
  • No lengthy tender
  • Lower prices based on higher volume of work
  • Compliant procurement already taken place.
  • Can either call off based on agreed fees or carry out mini tender between some of those on framework.
40
Q

• What is the difference between procurement and tendering?

A

• Procurement is the overall act of obtaining goods/services
 Includes strategy for obtaining based on client’s requirements (time, cost, quality)
• Tendering is an important phase of procurement
 The bidding process to obtain a price
 How a contractor/consultant is actually appointed

41
Q

• What are the main types of tendering procedure?

A
  • Single stage tendering
  • Two stage tendering
  • Negotiated tendering
  • Framework agreement
  • Partnering
42
Q

• What is single stage tendering?

A
  • Tendering is carried out as a single stage for the works/design&works.
  • A number of bidders are invited or the tender is open to anyone.
  • Bidders bid to construct the entire project
  • Tenders are then assessed on quality/price
  • Typically RIBA stage 4
43
Q

• What is two stage tendering?

A
  • Used where time is constrained to overlap the design and tender process or where technical input of a contractor for latter design is required.
  • Client/contractor can leave at end of design stage
  • Obtains early appointment of a contractor
  • Typically RIBA stage 2/3
  • Appointed on the basis of quality of bid/team, price of preliminaries and overheads/profit allowances
44
Q

• What is negotiated tender?

A
  • Single stage with one contractor
  • Negotiation with clients professional team
  • Quick price
  • Loss of saving through competition
  • Not used often in public sector due to lack of evidence for value
45
Q

• What are PPP tenders

A

• Public Private Partnership
 Private sector designs, builds, finances and operates the building on behalf of the public sector.
 Potential for better solutions based on collaboration between public and private expertise
 Can speed up delivery times
 Public receive service without worrying about maintenance
 Supposed to receive fully maintained building back.
 Limited competition can mean high prices

46
Q

• What are the five pillars of procurement?

A
  • Value for money
  • Open and effective competition
  • Ethics and fair dealing
  • Accountability and reporting
  • Equity
47
Q

• What does OJEU stand for?

A

• Official Journal of European Union

48
Q

• What are the OJEU current thresholds?

A
  • £4,733,252 for works
  • £70,778 for services
  • Procurement reform (Scotland) Act £2million and £50k
49
Q

• What are the ojeu time frames?

A
  • Min tender period 30 days electronically

* 15 day stand still period

50
Q

• What are some of the Public procurement guidelines in Scotland?

A
  • Equal treatment, non-discrimination, mutual recognition, proportionality and transparency
  • Value for money balanced between price, quality and sustainability
  • Regulated above £2 million for works and £50k for services
  • Must use aggregate value of lots
  • Regulated works must be advertised on the Public Contracts Scotland Portal
  • Discretionary exclusion criteria can be used e.g. insolvency, grave professional misconduct
  • Need an espd
  • Must be awarded on quality/price basis
  • Award decision informing all tenderers
  • Standstill is 10days for electronic issue
  • Award notice to ojeu within 30 days
51
Q

• How is fire resistance in material now graded?

A

• European standard now adopted
 A1 is non-combustible
 A2 is limited combustibility
 Measured on the basis of the amount of energy given out

52
Q

• What are the key updates to October 2019 Building Standards in Scotland?

A

• Cavity barrier only omitted between two layers of block
• No combustible materials in cavity above 11m, must be A1 or A2
• Within 1m of boundary cladding and cavity insulation must be A1 or A2
• Structures with floors above 18m may not have combustible frame or combustible insulation within frame.
• Two escape stairs for domestic buildings with floors above 18m
• Domestic above 18m
 have an evacuation system for fire and rescue to activate
 signs indicating each floor level.

53
Q

• What are the existing fire measures in regulations

A
  • Smoke detectors in all living rooms& communal areas, heat detector in kitchen, all interlinked. co2 alarm for all fixed combustible appliances.
  • Above 18m sprinkler system in all new build.
54
Q

• Fire consideration at sale of high building?

A
  • EWS1 form completed by suitably qualified expert. Certify if cladding is flammable or not. Whether flammable is low risk or requires remedial works.
  • Provides assurances for mortgage companies.
55
Q

• What are the key sbcc payment timescales?

A

o Application 7 days before due date
o Certification 5 days after due date, if not application becomes certificate
o Payment 14 days from due date
o Pay less notice by client not less than 5 days before final payment date.

56
Q

• What is time at large?

A
  • There is no stipulated date for completion
  • Or where completion date has been surpassed
  • Certificate of non-completion needs to be issued (Liquidated damages then apply) or extension of time.
57
Q

What is contract at large?

A

Completion or contract Sum not defined

58
Q

What are the two types of performance bond?

A

On demand - can be called at any time

conditional performance bond - conditions which must be met

59
Q

• What are the key features of termination clause under SBCC

A

• Notice of default first raised (by CA in traditional, client in D&B) for contractor:
 Suspending whole/part of works/design without cause
 Fails to progress regularly and diligently with the works/design
 Refuse to comply with instruction to remove faulty work/goods
 Sub-contract part of works without consent
 Fails to perform CDM duties
• Notice of default by contractor for employer:
 Does not pay by final payment date or VAT properly due
 Interferes with issue of certificate due
 Assign contract to someone else while still in contract
 Fails to perform CDM duties
 Contractor can suspend works for failing to be payed
• Contractor/client has 14 days from receipt to rectify
• Failure to rectify – Client/contractor has 21 days to issue termination notice
• Insolvency go straight to termination.
• Contractor must pass drawings, benefit of negotiated materials if requested, clear site of tools, temporary accommodation.
• Terminate if defined period of suspension of works passed due to:
 Force majeure
 Instruction from failure of statutory undertaker
 Loss/damage to works covered by works insurance or excepted risk
 Civil commotion/threat of terrorism
 Scottish Gov/UK Gov/ local authority preventing works to proceed
 Must give 7 days notice
• Client default/suspension out with control:
 Final account must be prepared of all work properly executed, relevant matters, reasonable cost of clearing site, cost of materials, direct loss/damage caused by termination.
 Client/contractor pay amount due in 28 days
• Contractor default
 Client employs someone else
 Settles account at end of defects within 3 months for
• Expenses incurred
• Payment made to original contractor
• Final cost of job
• Difference is paid by the contractor if more than original sum or vice versa

60
Q

• What systems do you use to manage your projects

A
  • The main management tool we utilise is the action register this records the date the item came in, detail of the issue and action required, who is responsible and date it was actioned. Reviewed weekly.
  • Utilise minutes for our client and site meetings
  • I’ve recently utilised drop box for document sharing all documents relating to the project. One stop location for everyone, data is secure and backed up.
  • Risk register
  • Requests for information can also be a useful tool
61
Q

• What are the key considerations for a development appraisal?

A

• Site appraisal
 Identify good and bad characteristics of site
 Consider surrounding area also
 Mark angle of photos taken on a large map of site
 Note topography across site
 Orientation
 Green/brown field
 Ground conditions
 Water/flooding
 Rights of access
 Boundary issues
• Planning
 Planning consent unlocks value
 Negotiate with planning authority
 Consider density
• Financial appraisal to determine residual value
 Gross development value in terms of rent or sale
 Less costs of purchase, development & finance

62
Q

• What is the difference between a project brief and a development brief?

A

• Development brief includes planning input

63
Q

What should be included in a project/development brief?

A 
•	Site information
	Technical: topography etc
	Legal: boundaries, building control requirements
	Parties involved
•	Business case
•	Key Performance Indicators
•	Risk Management – client appetite
•	Time/quality/cost requirements
•	Stakeholders involved
•	Planning requirements (for development appraisal)
64
Q

• What is PID, PEP, PMP

A
  • Project Initiation Document
  • Project execution plan
  • Project management plan

RICS Mandatory Level One's (2 decks)

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