APC

Question 1

Name some professional statements.

Answer 1

• Conflicts of Interest
• Countering Bribery and Corruption, Money Laundering and Terrorist Financing
• Client Money Handling
• RICS Property Measurement

Question 2

Name some guidance notes.

Answer 2

• Dilapidations in England and Wales
• Surveying Safely: Health and Safety Principles for Professionals
• Code of Measuring Practice
• Reinstatement Cost Assessment of Buildings
• Technical Due Diligence

Question 3

What is in the Ethics Decision Tree?

Answer 3

• Do you have sufficient facts?
• Is it legal?
• Is it in line with the Rules of Conduct?
• Have you consulted with the appropriate people to make an informed decision?
• Do you have clear reasoning in reaching your decision?
• Is your decision informed?
• Would you be content for your actions to be made public?

Question 4

What are the complaints handling procedure requirements?

Answer 4

• Must include a redress system
• Details must be provided to the client alongside terms and conditions when confirming the instruction
• It must be clear, transparent and free of charge
• Names and contact details of the complaints handling officer must be provided
• The complaint must be investigated within 28 days
• All complaints and progress and outcomes must be recorded
• Need to advise PII insurer of a complaint
• Must have 2 stages as a minimum – CHO and independent third party redress system.

Question 5

What is your firm’s complaints handling procedure?

Answer 5

• Once complaint is received, it is passed directly to our designated Complaints Handling Officer. PII must be informed.
• It is recorded, and acknowledged within the 7 days of receipt. Insurers are also informed.
• The CHO then has 21 days to investigate and seek a resolution.
• If this is not achieved, the complaint is passed to the senior director, who has 14 days to seek a solution.
• If the complainant is still unhappy, this is referred to the surveyor’s arbitration scheme.

Question 6

What is value engineering?

Answer 6

• Systematic/structured approach to improve projects value by eliminating unwanted costs, while improving function and quality – satisfying the performance requirements at the lowest possible cost.

Question 7

What are the potential pitfalls of value engineering?

Answer 7

• If not disciplined, VE can reduce costs in the short term, but may fail to deliver value for money over the long term if cheaper, inappropriate materials are used instead of those originally specified. Always important to consider risk.
• Should not be viewed merely as a cost cutting exercise – important to ensure cost reductions and aesthetic improvements are not at the expense of health and safety.
• Imperative that designers are aware of the quality of any proposed change and the risks.

Question 8

What are the most common forms of asbestos in buildings and when were they banned in the UK?

Answer 8

• Chrysotile (white) - 1999
• Amosite (brown) - 1985
• Crocidolite (blue) – 1985

Question 9

What is the control limit for asbestos exposure?

Answer 9

• 0.1 fibres per cm3.

- Respirator zones must be used if exceeded

Question 10

What are licensed and non-licensed asbestos work?

Answer 10

• Determined by reviewing HSE’s A0 guidance document, which has a decision flow chart
• Non-licensed – short exposure to asbestos in good condition
• Licensed – must keep individual’s records of asbestos exposure

Question 11

What is notifiable non-licensed asbestos work?

Answer 11

• Short exposure to asbestos that might be slightly disturbed by the works.
• Does not require employment of a licensed contractor but is notifiable to HSE
• Provision of health surveillance and records

Question 12

What is the period of notification prior to any asbestos removal works?

Answer 12

• 14 days (to HSE, LA or Office of Rail Regulations)

Question 13

What is a conflict of interest?

Answer 13

• Something impeding or perceiving to impede a firm/member’s ability to act impartially and in the best interest of the client – casts doubt on integrity.

Question 14

What types of conflict of interest area there?

Answer 14

• Party Conflict (duty to act in the interests of a client conflicts with a duty owed to another party in relation to the same or related professional assignment).
• Own Interest Conflict (duty to act in the interests of a client conflicts with your own or the firm’s interests)
• Confidential Information Conflict (duty to provide material information to one client conflicts with he duty to another client to keep that same information confidential)

Question 15

What is an information barrier?

Answer 15

• A physical/electronic separation of individuals/groups of individuals within the same firm that prevents confidential information passing between them (Chinese Wall)

Question 16

What action should you take if you identify a potential conflict of interest?

Answer 16

• Be open and transparent
• Declare it to all parties – give parties all the facts
• Offer to stand down from acting (parties consider how to proceed)
• Seek informed consent if both parties are happy for you to proceed
• Make arrangements to manage the conflict and any working arrangements
• Monitor the conflict and keep client updated

Question 17

How do you identify a conflict of interest?

Answer 17

• Run a series of preliminary checks when taking on a new instruction, checking for any conflicts on the system related to the address, or any of the parties involved.
• Secondary checks are then undertaken by the project lead before the job is turned live on our system.

Question 18

What are the differences between the MW and IC?

Answer 18

• Sectional completion – IC only
• Partial possession – IC only
• Deferment of possession – IC only
• EoT full list of events in IC only
• EoT for delay beyond control of contractor for MW only.
• Subletting to named subcontractors only under IC.
• Detailed rules for variations only under IC.
• Inspection and testing provided for in IC only
• Testing of other work where non-compliance found under IC only
• Advance payment provided for in IC only
• Advance payment bond provided for in IC only
• Retention held in trust for IC only
• Bond in respect of payment for off-site materials in IC only
• Loss and expense expressly provided for in IC only
• Detailed provision for new buildings insured by employer in IC only
• No third-party rights for either IC or MW
• Collateral warranties provided for in IC only

Question 19

What are the advantages of using a standard form of contract?

Answer 19

• Standardisation/protection over common issues
• Recognisable and equitable allocation of risk
• Dispute resolution
• Reduced cost over a bespoke contract – need to negotiate details
• But lower level of flexibility
• No risk of missed provisions

Question 20

What are the main criteria you would consider when selecting a form of contract?

Answer 20

• Value of contract sum
• Complexity of the works
• Likelihood of staged work
• Whether named subcontractors are needed
• Whether collateral warranties are needed
• Whether the contractor is required to design any aspect of the project
• Procurement route followed
• Measure of control required by client
• Certainty of cost
• Likelihood of changes/variations

Question 21

What are the main forms of contract available from the JCT suite?

Answer 21

• Minor Works
• Intermediate Works
• Major Works
• Design and Build
• Standard Building Contract
• Management Building Contract
• Construction Management Contract

Question 22

Describe the different contract pricing mechanisms you have experienced and those you have yet to come across.

Answer 22

• Design and Build – the tender documents outlining the employer’s requirements are prepared by consultants in the form of a brief, which is developed into an outline scheme design. A single contractor is then appointed (either in limited competition or negotiated) who will deliver the requirements as outlined.
• Traditional lump sum method – client appoints consultants to prepare a specification or bill of quantities to enable the tendering process to select a contractors who is then appointed to construct the project as designed for a fixed sum within a certain time period.
• Management contracting – management contractor appointed on the basis of a fixed management fee (percentage of prime cost of the project) and rates for staff costs and common user facilities. The management contractor programmes, packages and obtains tenders for the works, which are let on a competitive lump sum basis to the management contractor. The client retains the cost risk, unless there is a default by the management contractor.
• Construction management – Similar to management contracting, but the project is split into packages and the client enters into separate contracts with each works contractor. They appoint a team and a construction manager on a fee basis, who manages the works.

Question 23

Who owns domestic subcontractors’ materials on site?

Answer 23

• Unless the contract states otherwise, ownership of the materials will transfer to the client, even if they have not been paid for.

Question 24

If you wanted to get a domestic sub-contractor’s opinion on a matter, how would you go about approaching them?

Answer 24

• Via the main contractor, as the contractual relationship is with them.

Question 25

How is a named subcontractor included in the main contract?

Answer 25

• The client first provides a short list of acceptable subcontractors in the tender documents to the main construction contract. The tender documents allow for the subcontract package by including a provisional sum.
• When tendering the main contractor makes allowance for mark up, attendance and programme in relation to the subcontract package. Once appointed, the successful contractor seeks tenders for the package from the named subcontractors.
• Once the main contractor has selected and appointed a subcontractor, the provisional sum is replaced with the actual sum.

Question 26

What standard forms of contract contain provisions for naming subcontractors?

Answer 26

• Intermediate Works Building Contract
• Standard Building Contract (and with contractors design)
• Major Project Construction Contract

Question 27

Why might someone want to name a subcontractor?

Answer 27

• It allows the client to influence the selection of subcontractors, while leaving responsibility for their performance on the main contractor.
• It is useful when works require specialist workmanship and experience and assured quality is necessary.

Question 28

A named subcontractor on your project is designing works under his subcontract. What third party rights issues do you need to consider for your client and what documentation might you put in place?

Answer 28

• There is no contractual link between the client and the named subcontractor, and the main contractor has no liability for any design defects, only that of poor workmanship or materials.
• I would recommend that my client implements a collateral warranty to bridge the contractual gap and create a direct contractual link for the benefit of those parties that might otherwise have no recourse.

Question 29

What are the minimum requirements for establishing a legally binding contract?

Answer 29

• Offer, acceptance, intent to create legal relations and consideration

Question 30

Is a verbal contract legally binding?

Answer 30

• A verbal contract is a valid contract if the minimum requirements are met. It is not necessary for any of these to be written down.
• The Construction Act abolished the need for construction contracts to be in writing.

Question 31

What happens if a construction contract does not conform to the Construction Act?

Answer 31

• The changes implemented are mandatory and parties cannot contract out of them. If a construction contracts that do not comply with the amendments will automatically have the new rules implied into them by the Scheme for Construction Contracts. It supplements the provisions of the Act where it has deficiencies relative to the requirements of the Act, or replaces the contract where it is non compliant.

Question 32

Explain how a letter of intent has been used at the start of one of your projects.

Answer 32

• A letter of intent was issued to the contractor at an early stage, including key details of the project, expressing an intention to enter into a contract at a future date to enable the contractor to start incurring preliminary costs and place orders for items with longer lead in times. It was used as interim arrangement until the contract documents could be drafted and executed.

Question 33

What are the dangers of using a letter of intent to start a project?

Answer 33

• A letter of intent usually contains little detail which means that if a court or arbitrator concludes that a contract has been formed, it is likely to be a simple contract lacking the detailed terms that cover every aspect of the project.
• If parties commence work on the basis of a letter of intent or simple contracts and fail to agree on an applicable cap on liability, a court may conclude that there is a contract between the parties, but that it does not contain any cap on their liability. It is therefore safer not to commence work until there has been an agreement over the terms.
• If parties opt to commence work under a letter of intent, they should have regard to scenarios where no formal contract is concluded and ensure that there are provisions in place to allocate risk.

Question 34

How does assignment differ from novation?

Answer 34

• An assignment transfers the benefit of a contract from one party to another, but only the benefit and not the burden. Often arises where a party to a construction contract, collateral warranty or consultant’s appointment wants to assign the benefit under that contract to a third party, such as a purchaser or tenant of a building.
• A novation will transfer both the benefit and the burden of a contract from one party to another. Novation normally occurs when design consultants are initially contracted to the client, but are then novated to the contractor. This is common on design and build contracts.

Question 35

Are the contracts on your projects signed under hand or as a deed and what are the implications?

Answer 35

• Under deed.
• The majority are executed as deeds with the main advantage that the limitation period for bringing a claim under a deed is 12 years (under hand is only 6 years).
• Where a collateral warranty consists of unilateral undertakings by one party, the contact must be under deed if it is to be enforceable.
• Deeds are enforceable even when no consideration is being exchanged.

Question 36

Explain how the contracts on your projects comply with the payment provisions of the Construction Act.

Answer 36

• A payment schedule is included within the contract.
• This outlines the starting date for the contract, all interim valuation dates, the timeframe within which the project will be completed and the estimated total contract sum.
• It sets out who needs to do what and when.

Question 37

From your experience, how many assignments are usually permitted by a collateral warranty?

Answer 37

• There is usually a restriction on the employer’s ability to assign – often it will provide that 2 assignments are allowed. Subject to the nature of the works and whether or not they are likely to be sold often, the warranty may need to expressly provide for assignment more than twice throughout the 12 year period.

Question 38

On one of your projects, all the contract documents have been compiled and signed by your client, but the contractor has not signed them. You are now three months into the construction period and the contractor is working on site and is on programme. Is there a contract in place?

Answer 38

• It is a contract if it has been created on terms intended by the parties for incorporation into a final contract even though the contractor has not formally executed it.

Question 39

What is a framework agreement?

Answer 39

• A framework is an overarching agreement put in place with a provider or range of providers that enables buyers to place orders for services without running lengthy full tendering exercises.

Question 40

Why do we use collateral warranties?

Answer 40

• They are used to bridge the contractual gap and create a direct contractual link for the benefit of those parties that may otherwise have no recourse.
• It is a contract under which a party involved in the works warrants to a third party beneficiary that it has fulfilled its obligations under its underlying building contract, subcontract or professional appointment.
• They are needed as courts decided that defects in buildings are not recoverable in tort, as they are an economic loss, which is only recoverable through a contractual relationship.

Question 41

Explain how a pre-construction agreement has been used on one of your projects.

Answer 41

• I have not experienced a pre-construction agreement on any of the projects that I have been involved in, but I am aware that they are used on a two-stage tendering process and enable a client to employ a contractor before the main contract commences to involve them in the initial design meetings to improve both buildability and cost certainty.

Question 42

Explain how partnering has been used on one of your projects.

Answer 42

• I have not experienced partnering on any of the projects that I have been involved in, but am aware that this a collaborative management approach that encourages openness and trust between parties to a contract. It should integrate the whole project team for the mutual benefit of all.

Question 43

What is the role of the CA under the JCT Standard Form?

Answer 43

• Agency and decision-making function
  o Chairing meetings
  o Periodically inspecting works
  o Giving instructions, including variations or change orders
  o Determining any applications for EoT
  o Authorising interim payments to the contractor
  o Certifying the date of completion
  o Settling the adjusted contract sum/final account

Question 44

Apart from hitting the completion date, does a contractor have to follow the construction programme under a JCT form of contract?

Answer 44

• There is nothing in the JCT contract that obliges the contractor to have a master programme. As it is produced after the execution of the contract, the programme does not impose any obligation on the contractor beyond those obligations imposed by the contract documents.

Question 45

What are the benefits of using NBS?

Answer 45

• A consistent approach to authoring specification information across the construction team
• Use of masters to build up a library of commonly used master specifications to save time
• Allows for collaboration
• Products can be instantly incorporated

Question 46

What is the ranking of contract documents?

Answer 46

• An order of precedence will rank documents in the contract such that it should be clear which documents take precedence. It will often rank bespoke amendments over standard form provisions, but will need checking in each instance. More significant problems can arise when there are conflicts between provision within the same contract document or where contract documents are equally ranked.

Question 47

Explain how you have produced a preliminaries document for one of your projects.

Answer 47

• I included details of the project, describing the works as a whole, specifying general conditions and requirements for their execution, including subcontracting, approvals, testing and completion.
• It includes a general summary, method statements, pre-construction information, planning conditions, party wall requirements, emergency services obligations, reporting requirements for the contractor, quality management procedures, site waste management, contractor’s site prelims such as welfare.

Question 48

Your client is worried about complying with health and safety requirements. Explain to him what contract documentation he has to include to comply with the CDM regulations.

Answer 48

• Pre-Construction Information
• Employ a Principal Designer
• Ensure contractor provides a construction phase plan.
• H&S file
• F10 notification

Question 49

What certificates are issued by the contract administrator under a JCT Standard Form?

Answer 49

• JCT – Interim payment certificates, certificate of practical completion, certificate of making good defects, certificate of non-completion, final certificate

Question 50

Explain the difference between sectional completion and partial possession?

Answer 50

• Sectional completion – a provision with construction contracts allowing different completion dates for different sections of work – common on large projects, allowing client to take possession of the completed parts whilst construction continues on others. It is pre-planned and defined in the contract documents. It must be an express term of the contract and reflected by the fact that there are multiple completion dates rather than just one. The extent of each section must be clearly defined and liquidated damages and the amount of retention that will be released must be specified for each section. There may need to be clarification on how EoT provisions will be applied if delays to one section delay another. It follows the same handover procedures as normal completion. Some work within the section may remain outstanding such as O&Ms which will cross all sections.
• Partial possession – there can be pressure for client or tenants to take possession of a building or site as it nears completion, even if the works are ongoing or there are defects to be rectified. In the absence of sectional completion, many contracts offer the more open ended option of partial possession. That part is deemed to have achieved practical completion, half of the retention must be released and the defects liability period begins and the client is responsible for insurance of that element. The contractor is not obliged to allow partial possession although it cannot be unreasonably withheld. They may not wish to if access routes are difficult to achieve and it would disrupt works and incur additional costs. This could be an issue if the occupants disrupt the contractor, which could result in an EoT and /or loss and expense.

Question 51

What are the relevant events for which an Extension of Time might be granted?

Answer 51

• A relevant event is an event that causes a delay to the completion date, which is caused by the client or a neutral event not caused by either party. They entitle the contractor to claim an extension of time. The contract should set out what constitutes a relevant event.
• May be caused by the client or neutral. The contract should set out what constitutes a relevant event.
• Includes:
  o Variations
  o Exceptionally adverse weather
  o Civil commotion/terrorism
  o Failure to provide information
  o Delay on the part of a nominated subcontractor
  o Statutory undertaker’s work
  o Delay in granting possession of the site
  o Force majeure (war/epidemic)
  o Loss from a specified peril such as a flood
  o Supply of materials and goods by the client
  o National strikes
  o Changes in statutory requirement
  o Delays in receiving permissions that the contractor has taken reasonable steps to avoid.

Question 52

What happens if the contractor has not finished the works by the contract completion date, if no extensions of time have been granted?

Answer 52

• A certificate of non-completion will be issued
• This entitles the client to claim for liquidated damages. These are deducted from monies otherwise due to the contractor providing that a pay less notice has been issued, setting out the basis for the calculation.

Question 53

What is a lump sum contract?

Answer 53

• Traditional means of procuring construction and the most common.
• A single lump sum price for all the work is agreed before the work begins.

Question 54

What basic contract insurances are used on most construction contracts?

Answer 54

• Contractor’s all-risks insurance/contract works insurance – covers all risks associated with a construction contract commonly issued under the joint names of the contractor and principal client. Can be extended to cover public liability, business interruption and equipment erection.
• Employers’ liability insurance – pays compensation if an employee is injured/ill due to work undertaken.
• Latent defects insurance – provides cover for new buildings in event that latent defects become apparent.
• PII – for all providers of professional services it is essential – covers negligence.
• Performance bond – means of insuring the client against the risk of a contractor failing to fulfil contractual obligations – concern if contractor becomes insolvent before completing the contract. Bond provides guaranteed compensation up to the amount of the performance bond (cost usually borne by contractor).
• Terrorism insurance

Question 55

What is the rectification period?

Answer 55

• A period following practical completion (usually 6 or 12 months) during which a building contractor remains liability under a building contract for dealing with any defects which manifest themselves.

Question 56

Explain what happens contractually when the works are complete on your projects?

Answer 56

• Practical completion is certified and issued alongside a snagging list.
• The works are valued and payment certificates issued, and half of the retention released.
• Ends contractor’s liability for liquidated damages.
• Signifying the beginning of the rectification period.
• Client takes possession of the site and must insure the property.

Question 57

How have you adjusted liquidated damages when partial possession has occurred on one of your projects?

Answer 57

• This would depend on the provisions within the contract. If a provision was included, liquidated damages could be reduced proportionally, however, I am aware that the courts have found that a single rate of liquidated damages can be valid and enforceable in circumstances where an employer has taken partial possession of the works unless the contract provides otherwise.

Question 58

How have you gone about setting up sectional completion on a project?

Answer 58

• I included separate staggered completion dates for each of the sections to enable the client to take these areas back sooner.
• I ensured each section was clearly defined and liquidated damages and the amount of retention was defined for each section.
• A specific provision was also included to ensure that delays to one section would not lead to non-completion in the other sections.

Question 59

From your experience, how have you established what constitutes exceptionally adverse weather?

Answer 59

• I collect information from the Met Office, including the amount and duration of rainfall, air temperature and duration, volume and duration of lying snow, wind speed, depending on the nature of the works. I would compare this to other years, as it must be exceptionally adverse for the time and location.

Question 60

On your projects, is the contractor entitled to claim for loss and expense against all extensions of time?

Answer 60

• No. The contractor is only able to claim for loss and expense as a result of progress of works being materially affected by relevant matters for which the client was responsible, such as:
  o Failure to give possession of the site
  o Failure to give contractor access to/from site
  o Delays in receiving instructions
  o Opening up works that prove to have been carried out in accordance with the contract
  o Discrepancies in the contract documents
  o Disruption caused by works being carried out by the client
  o Failure by the client to supply goods/materials
  o Instructions relating to variations and expenditures of provisional sums
  o Inaccurate forecasting of works described by approximate quantities
  o Issued relating to CDM

Question 61

Explain how you have set up a contractor’s design portion on one of your contracts.

Answer 61

• I include the client’s requirements for contractor’s design within the tender documents as ‘Employer’s Requirements’, in response to which the contractor will submit contractor’s proposal.
• This includes a description of the client’s requirements and the extent of design required from the contractor, defining the success of the outcome.

Question 62

Outline the interim payment process under a standard form of contract that you are familiar with.

Answer 62

• JCT IC 2016 – interim valuation is generally prepared by the contractor ahead of the interim valuation date. It is checked and signed off by the CA following a site visit to check that the work has been carried out. A payment certificate and valuation document is then issued 7 days after the interim valuation date, with the final payment due 14 days from the due date. Pay less notices must be issued at least 5 days before payment is due.

Question 63

Explain to your client how he should approach calculating liquidated damages for his project?

Answer 63

• These should be calculated based on the actual loss to the client and should be calculated to include genuine loss from rent on temporary accommodation, removal costs, extra running costs, loss of rent, etc. They are generally set as a fixed daily or weekly sum, but cannot be a penalty or they would be unenforceable (must be genuine loss).

Question 64

On a project, the works have not been completed by the contract completion date and no extension of time has been granted. The CA has not issued a certificate of non-completion. What is the contractual position with regards to damages?

Answer 64

• Time will be at large and the contractor will no longer be bound by the obligation to complete the works by a certain date, but should do so within a reasonable time.
• Some contracts require that a certificate of non-completion is issued as a pre-requisite for deducting liquidated damages (JCT Standard Form). The Minor Works contract does not require a certificate of non-completion to be issued, but it is considered best practice to issue one anyway.
• The client would only be able to claim for damages if they could establish that the contract was not completed within a reasonable time.

Question 65

On what grounds can the employer or the contractor determine the contract under a JCT Form?

Answer 65

• Breach of contract/repudiation – due to refusal to carry out work, abandoning site, removing plant from site, failure to make payments, employing others to carry out the work, failure to allow access to site, failure to proceed regularly and diligently, failure to remove/rectify defective works.
• Frustration – where circumstances out of the control of both parties mean it is impossible to continue with the contract – force majeure.
• Convenience – if client fails to secure sufficient funding to allow the project to proceed – can leave terminating party open to significant claims by the other party. Often only available to the client or not included within the contract.
• Insolvency/bankruptcy
• Suspension – may have right to terminate at the end of the suspension period if it becomes prolonged.

Question 66

Explain to a contractor his obligations under the indemnity clause of a contract.

Answer 66

• An indemnity clause is an important element of a contract as it allocates the risk for claims for loss or damage between contracted parties.
• If one of the parties suffers a loss, the other party will need to reimburse them if the indemnities are present in the contract drafting.
• The precise consequences of an indemnity clause will depend on its wording and how it is read in relation to the rest of the contract.
• Performance bonds and parent company guarantees may also include indemnity clauses requiring the surety to indemnify the client against default by the contractor.
• Designers are required to hold PII to cover such a liability.

Question 67

Your client asks the CA to issue the completion certificate early before the works are in fact complete, so that he can release half of the retention in his current financial year. Explain the risks of doing this.

Answer 67

• Once PC is certified, it ends the client’s rights to claim for any delays to the work, and they may lose any rights they had to claim on a performance bond.
• Rectification period commences and the CA can only give instructions in relation to any incomplete work and defects that arise during this period.
• The CA can no longer issue any variations
• Liability to insure the property would also pass to the client, along with the risk of loss or damage to the works.

Question 68

What is frustration?

Answer 68

• Occurs when any event or circumstances beyond the control of both parties changes the contractual obligations or makes it impossible or illegal for them to fulfil their contractual obligations.
• The happening of such events automatically discharges contract
• Davis Contractors vs Fareham UDC case law set out 3 basic points for frustration to have occurred including:
  o The frustrating event is not caused by the default of either party
  o The contract becomes impossible to fulfil as it has become something entirely different from the original agreement between the parties
  o No provision in the contract to cover the eventuality that is a frustrating event

Question 69

How would you respond if the client advised you that the Liquidated damages are to be £100k per week?

Answer 69

• I would check that the liquidated damages figure is based on a genuine pre-estimate of financial loss.
• I would also explain that if the figure inserted into the contract is likely to be punitive and not based on a genuine financial loss, it is not likely to be enforceable.
• In this scenario the employer will have to pursue the main contractor for any actual direct loss that can be substantiated through a formal dispute resolution procedure.

Question 70

What must be in place before liquidated damages can be deducted?

Answer 70

• A non-completion certificate
• A withholding notice (Pay less notice)
• Any other notices required by the contract

Question 71

Who might want a collateral warranty?

Answer 71

• Any third party with a financial investment in a project, but not party to the main contract.
• Funding institutions, future tenants or purchasers may use collateral warranties
• The employer may want a collateral warranty with key subcontractors or suppliers, as, if the main contractor were to go into liquidation, the would have no contractual link with them for redress in the case of defective workmanship.

Question 72

What does JCT stand for?

Answer 72

• Joint Contracts Tribunal

Question 73

What are the main parts of the JCT contracts?

Answer 73

• Recitals
• Articles
• Contract particulars
• Attestation
• Conditions divided into 9 sections (7 for minor works)
• Schedules

Question 74

Name the 9 sections within the JCT contract.

Answer 74

• Definition and interpretation
• Carrying out the works
• Control of the works
• Payment
• Variations
• Injury, damage and insurance
• Assignment, third party rights and collateral warranties
• Termination
• Settlement of disputes

Question 75

Do the works have to be totally complete before practical or sectional completion is achieved?

Answer 75

• Practical completion is a vague concept
• Not defined in JCT
• Reliant on CA’s opinion that the works are complete
• It should not be conditional
• Common practice to be granted when the works are substantially complete, however, there may be minor defects or omissions with nothing to prevent the employer from taking beneficial occupation.

Question 76

What is an expert witness?

Answer 76

• A person engaged to give an opinion based on experience, knowledge and expertise. The overriding duty is to provide independent, impartial and unbiased evidence to the court/tribunal.

Question 77

What is a risk assessment?

Answer 77

• The process of identifying what hazards exist, how they may cause harm and take steps to eliminate or mitigate against these where possible.

Question 78

What is your company’s working at height policy?

Answer 78

• Must be avoided if possible
• If it cannot be avoided then arrangements must be in place to prevent falls
• Additional risk assessment completed.
• Adequate PPE.
• Only access roofs if it is safe to do so.

Question 79

What does the Surveying Safely Guidance note include?

Answer 79

• Details of personal responsibilities for members and firms
  o Safe Person concept – each individual takes responsibility for own , colleagues and others’ H&S at work.
  o Important that any incidents and accidents are investigated to prevent reoccurrence
• Assessing hazards and risks
  o Managing risk
  o Risk assessments
   Identify hazards
   Decide who might be harmed and how
   Evaluate risks and decide on precautions
   Record findings and implement them
   Review the assessment and update if necessary
   Advise those affected of the outcome of the assessment and any control measures necessary to minimise/eliminate risk.
  o Hierarchy of Risk
   Elimination (redesign/substitute e.g. use drone instead of working at height)
   Substitution (use less hazardous materials)
   Engineering controls (Use work equipment to prevent falls e.g. access platform to prevent falls when working at height)
   Administrative controls (identifying/implementing procedures needed to work safely e.g. avoid lone working, working in daylight, increase safety signage)
   PPE (only after all previous measures tried/found ineffective must PPE be used. Workers must be trained).
  o Dynamic risk assessment
  o Risk assessment matrix
  o RICS members place of work
  o Occupational hygiene and health – assessing health risks
  o Asbestos
  o Visiting premises or sites
   Travelling to and from site
   Lone working
   Condition of property
   Occupation
   Activity
   Site rules and welfare
   Roofs
   High structures
   Dangerous substances
   Diseases
   Special access
   Special risks
   Access/other equipment
   Environmental/personal matters
  o Fire safety
  o General procurement and management of contractors
   Ensure competent
   Constructionline/insurance/references
   Approved contractors list

Question 80

What are the duties of the Principal Designer under CDM 2015?

Answer 80

• Required where there is more than one contractor
• Plan, manage and monitor PCI
  o Take account of general principles of prevention
  o Ensuring designers carry out their duties
  o Liaise/cooperate with the PC and others
• Assist client in preparation of PCI
• H&S file

Question 81

What are the duties of the client under CDM 2015?

Answer 81

• Appoint competent duty holders
• Allow sufficient time and resources
• Prepare and provide relevant information to duty holders
• Ensure principal designer and contractor carry out duties
• Ensure welfare facilities
• F10 notification
• Check H&S file prepared by PD
• Retain and provide access to the H&S file.

Question 82

What are the duties of the main contractor under CDM 2015?

Answer 82

• Plan, manage and monitor
• Prepare, issue, implement a CPP
• Share the plan
• Provide welfare
• Check competence
• Induct and train
• Consult with the workforce
• Liaise with the Principal Designer
• Secure the site
• Provide H&S file if PD appointment ended before project completion

Question 83

What mortar mix did you specify for the infilled brickwork to a warehouse refurbishment?

Answer 83

• Referred to British Standard BS EN 998-2 and specified 4 parts sand to 1 part cement
• Brick Development Association guidance

Question 84

Name some types of brick bond.

Answer 84

• Flemish bond (headers and stretchers alternatively in each course)
• English bond (alternative courses of stretchers and headers)
• Stretcher bond (only stretchers)
• English garden wall (one course of headers for every three courses of stretchers)
• Header bond (only headers)

Question 85

What mortar mix would you specify for a period property?

Answer 85

• NHL 3.5 – 2.5 parts sand to 1 part natural hydraulic lime.

Question 86

What issues could you encounter relating to the drainage leak to the public house in Greenwich?

Answer 86

• As this may relate to public or privately owned drainage, it would be necessary to liaise and get permissions from a third party to resolve this issue e.g. water board/ highway. This may cause delays and permissions may need to be sought before work could be remediated. There may also be issues around responsibility for covering the cost of remedial work.
• Prior to the acquisition I recommended that the client undertake a CCTV survey of the drainage channels to confirm the extent of the issue. I also recommended that their solicitors liaise with any necessary third parties. May be difficult to get compensation to undertake repairs.

Question 87

What is the difference between RICS Code of Measuring Practice and IPMS?

Answer 87

• The main difference between the IPMS and previous RICS Code of Measuring Practice is that the perimeter measurements are taken to the internal dominant face, being the internal finish comprising more than 50% of the floor to ceiling height for each wall section.
• Limited areas must also be reported separately, including areas less than 1.5m in height, balconies, roof terraces, columns)
• E.g. to glazing instead of face of perimeter heater
• Inclusion of columns and heaters within IPMS 3 (NIA) (heater included as limited use area
• New terminology and definitions

Question 88

What is GEA/IMPS 1?

Answer 88

• Gross External Area
• Area of a building measured externally at each floor level
• Exterior measurement
• (offices – only difference is the reporting of covered galleries/balconies)

Question 89

What is GIA/IMPS 2?

Answer 89

• Gross Internal Area
• Area of a building measured to the internal face of the perimeter walls at each level
• Perimeter measurements are taken to the internal dominant face
• Covered galleries and balconies are included in the measurement and are reported (office)
• Areas can be detailed on a component by component basis (office) – A-H (plant rooms, circulation, hygiene areas, amenities, workspace, internal structural elements, etc.

Question 90

What is NIA/IPMS 3?

Answer 90

• Net Internal Area
• Useable are within a building measured to the internal face of the perimeter walls at each floor level.
• Details occupancy area
• Measurement taken to the internal dominant face
• Measurement includes columns
• Measured to centre line of party walls.
• Balconies included when in exclusive use.

Question 91

What is the internal dominant face in IPMS?

Answer 91

• The inside finished surface comprising 50% or more of the surface area for each vertical section forming an internal perimeter.
• When exactly 50% take to wall line.

Question 92

What would you do if a client that intended to demolish a building insisted that you proceed with the full dilapidations claim?

Answer 92

• I would advise my client that this would breach my ethical standards and the RICS’ Rules of Conduct, and would insist that full disclosure and transparency would be necessary to meet my obligations.
• I would also make it clear that the tenant would likely sue the client if it became clear that facts had been withheld in order to increase the level of a dilapidations claim.

Question 93

What are the main insurance options within a construction contract?

Answer 93

• There are 3 main insurance options within the JCT Intermediate contracts (set out in Schedule 3)
• Party responsible affects a Joint Names policy (includes contractor and employer as named insurers under which the insurers have no right of recourse against any person so named) covering the parties against loss or damage by specified perils and must be maintained until PC date.
• A&B relates to new build construction
  o A) Applicable where the contractor is required to take out the joint names policy for ‘all risks’ insurance of the works.
  o B) applicable where the Employer elects to take out the joint named policy
  o C) In the case of alterations of, or extensions to existing structures. Provides for the Employer to insure both the works and the existing structures.

Question 94

Why did you not design the M&E portion of the contractor’s design given the six month delays to the project due to Covid?

Answer 94

• This was discussed with my client, but they indicated that they did not want to spend additional moneys on the design. Furthermore, the client preferred to leave the design liability with the contractors for the M&E portion of the design.

Question 95

What is the current u-value requirement for a pitched roof?

Answer 95

• 0.16 U-Value

Question 96

What is the difference between the different types of fire alarm?

Answer 96

• P – purely for the protection of the property (earliest warning to minimise loss of property)
  o P1 – protects whole building
  o P2 – defined parts of the building
• L – life protection
  o L1 – automatic fire detection into all areas of a building
  o L2 – installed on all escape routes with detection in all rooms opening onto escape routes as well as higher risk/hazardous areas e.g. kitchens, boiler rooms, etc.
  o L3 - installed on all escape routes with detection in all rooms opening onto escape routes
  o L4 – automatic fire detection within escape route only
  o L5 – Installed to tackle a specific fire risk in a certain area of a building
• M – manual operation only system with call points on exits and corridors

Question 97

What was the u-value of the new windows that you installed to the property?

Answer 97

• 1.3 using triple glazed units (Smart Alitherm 700).

Question 98

What asbestos removal works were undertaken to D2 and B2?

Answer 98

• 14 days on site.
• Removal of asbestos insulation board debris to brick ledges in the warehouse. Also to bitumen adhesive in WCs and asbestos cement debris to the external perimeter of the buildings.
• Licensed subcontractor to remove asbestos using a shadow vacuum cleaning technique
• Decontamination and RPE used. Air monitoring. Respirator zone
• H type vacuum cleaner (HSE Guidance em4) and a handheld sprayer. Polythene bag laid across the floor.
• Blastrac dustless grinders with heap filter vacuum to remove bitumen, cleaned using h vacuum.
• All PPE etc. disposed of as contaminated waste.
• All waste double bagged in approved waste sacks (red/clear inner bag, clear outer bag)
• Transferred to an EAS waste van to a licensed waste transfer station

Question 99

What was encapsulated on site at D2/B2?

Answer 99

• Asbestos insulation board to walls/columns and fire break (white/brown asbestos)
• Warning labels to be installed
• Using 2 coats of ET-150 using rollers and paintbrushes

Question 100

What legal implications could there be if the roof was replaced?

Answer 100

• With the increased insulation, this could increase the height of the roof, and may require planning consent if it altered the appearance of the property from the road.
• I liaised with a planning consultant, who confirmed that this would not be an issue.

Question 101

What issue may the contractor encounter from a tenant when agreeing heads of terms in relation to the roof repair option?

Answer 101

• The tenant may wish to include a SoC to cover the roof, and limit their obligations for repair in case of early failure.

Question 102

What key legislation is there around supersession?

Answer 102

• Sunlife Europe Ltd v Tiger Aspect Holdings Ltd 2013.
• Found that additional work may make worthless some of the work that would have been necessary to put the building into repair - if the work has not been done, there is no loss to the landlord and cannot recover damages.

Question 103

Why did you not design the M&E portion internally?

Answer 103

• Apportions risk away from the client and on to the contractor.

Question 104

What is the build up of a concrete floor slab?

Answer 104

• Subgrade
• Hardcore (150mm)
• Blinding layer (sand – 25mm)
• Damp Proof Membrane (polythene)
• Insulation 50-100mm thick
• Concrete slab (with reinforcement)
• Screed

Question 105

What is BS9999?

Answer 105

• Code of practice for fire safety in the design, management and use of buildings beyond the requirements of Approved Docs.
• Risk based structure taking into account human factors – who uses buildings, source of ignition and allows for building enhancements.

Question 106

What is the Health & Safety at Work Act 1974

Answer 106

• Primary piece of legislation covering occupational health and safety.
• General duties laid out:
  o Employer have duty to employees and members of the public
  o Employees have duty to themselves and each other
  o Certain self-employed have duty towards themselves and others

Question 107

What is the Dilapidations Protocol?

Answer 107

• Pre-action protocol for commercial property available from the Ministry of Justice
• Describes conduct court expects the parties to follow before commencing proceedings in relation to a dilapidations claim.
• It sets out a process and timetable for the exchange of information and establishes standards for the content and quality of SoDs and QDs.
• Encourages the exchange of early and full information to prevent litigation.
• (56 days after termination of tenancy, tenant responds within 56 days of receipt, parties should meet within 28 days of tenant response)

Question 108

What is in the Conflicts of Interest Prof Statement?

Answer 108

• An RICS member/firm cannot advise/represent a client where doing so would involve a conflict of interest/significant risk of one, unless all those affected have provided prior informed consent.
• This can be sought only where the RICS member/firm is satisfied that proceeding despite a conflict of interest is in the interest of all parties affected and is not prohibited by law, and that the conflict will not prevent the member/firm from providing competent and diligent advice to those that may be affected.
• Requirement to identify/manage conflicts of interest and keep records of the decisions made in relation to whether to accept/continue with assignments, obtaining informed consent and any measures taken to avoid conflicts of interest arising.
• Must maintain confidentiality of confidential information unless disclosure is required/permitted by the law, or it can be proved that consent was given before disclosure.
• Must also provide every client with all information material to that client’s assignment of which they have knowledge.
• Must have effective systems/controls in place appropriate to the size/complexity of their business
• Party Conflict – situation in which the duty of a member/firm to act in the interests of a client/party in a professional assignment conflicts with a duty owed to another client/party in relation to the same/related assignment.
• Own Interest Conflict – Duty of a member/firm to act in the interests of a client in a professional assignment conflicts with the interests of that same member/firm.
• Confidential Information Conflict – conflict between the duty of an RICS member/firm to provide material information to one client, while having the same duty to keep the information confidential for another client.

Question 109

What are the principles of GDPR and DPA?

Answer 109

• Information used lawfully, fairly and transparently
• Collected for specified, explicit and legitimate purposes
• Adequate, relevant and limited to necessity
• Accurate (kept up to date)
• Kept no longer than necessary
• Kept safe

Question 110

What are individual rights under GDPR/DPA?

Answer 110

• To be informed
• To access
• To rectification
• To erasure
• To restrict possessing
• To data portability
• To object
• To automated decision making and profiling

Question 111

What are the penalties of breaching GDPR/DPA?

Answer 111

• organisations in breach can be fined up to 4% global turnover or £17.5m (whichever is greater). This is a maximum fine for serious infringements.

Question 112

What is intellectual property and copyright?

Answer 112

• The right to control the use of original works
• No need for the creator to register or include © symbol
• Work generally created by an employee usually belongs to their employer
• Common in construction for client to be granted licence for use and reproduction of copyright material. Should be clearly defined.

Question 113

Who should you report breaches of the Data Protection Act to?

Answer 113

• International Commissioner’s Office

Question 114

What are your company’s internal data protection policies?

Answer 114

• Data protection is a key part of client care
• The information can be sensitive and could have a significant impact if it fell into the wrong hands
• Some clients demand non-disclosure agreements
• Secure logins for all electronic devices
• Data protection officer appointed and all individuals have responsibility to implement.

Question 115

What does Approved Document Part M cover?

Answer 115

• Regulates the accessible design of buildings
• Sets out minimum requirements to ensure that a broad range of people are able to access and use facilities within buildings.
• Ramps, WCs, stairs, showers

Question 116

What does the Equality Act 2010 require?

Answer 116

• Gives legal protection from discrimination in the workplace and in wider society
• Covers race, disability, gender, age, sexual discrimination, religion, pregnancy, etc.
• Requires ‘reasonable adjustments’ to be made when providing access to goods, facilities, services and premises.
• In practice that means that due regard must be given to specific needs of likely building users that might be reasonably met.
• Compliance with Part M does not signify compliance with the much broader obligations and duties set out in the Equality Act.
• Requires public bodies to promote equality and allows government to set minimum standards so that people can use public services more easily.

Question 117

What changes are anticipated with MEES?

Answer 117

• Minimum Energy Efficiency Standards
• From 1 April 2023 all non-domestic buildings will require at least an E rating to continue existing leases, joining domestic properties.
• The government has also indicated that they are considering lowering the MEES to a C in 2025 and a B by 2030.

Question 118

What is an EPC?

Answer 118

• Energy Performance Certificate
• Measure of energy efficiency and environmental impact in terms of CO2 emissions.
• Required for any property being sold or let and provide a current and potential score and advice on measures that can be implemented to improve the score.
• EPCS valid for 10 years

Question 119

What renewable energy sources do you know about?

Answer 119

• Biomass – living/dead materials used in fuel/industrial production i.e. wood, vegetation, waste, etc.
• Ground source – heating/cooling system which pumps heat to or from the ground
• Wind turbines – conversion of wind power to electricity
• Photovoltaic Cells – conversion of sunlight into electricity

Question 120

What are some of the requirements of Part L of the Building Regs?

Answer 120

• Seeks to improve the energy performance of all buildings

- If the building has a floor area over 1000m2 the consequential improvements could be applicable.

Question 121

What is a U-value?

Answer 121

• Way of measuring how thermally efficient a particular part of a building is – calculated for each heat loss element shown in watts over meter squared.

Question 122

What are recent changes to the Approved Documents?

Answer 122

• Part L
  o First step on way to Future Homes Standard to reach net zero by 2050 (75% less in 2025).
  o At least a 31% reduction in domestic emissions compared to current standards and 27% for non-residential.
  o Adoption of fabric first approach – higher minimum fabric standards for external envelope and improved airtightness, along with low carbon heating.
  o New performance metric introduced – more accurate overall measure of overall energy usage. Closing gap between specified and as-built performance with greater scrutiny on build quality – compliance reports with photo evidence.
• Part O
  o Deals with overheating in domestic premises and residential like commercial properties such as care homes and student accommodation.
  o Limit unwanted solar gains in summer, provide adequate means to remove heat from indoor environment.
• Part F
  o Greater emphasis on ventilation due to tighter air permeability
  o Advises providing background ventilators to the replacement windows as a way to demonstrate that the ventilation provision has been made no worse.
  o Non-domestic – require air monitoring in occupiable rooms – CO2 is cited as being a means of measuring indoor air quality (identifies poorly ventilated areas)

Question 123

What performance requirements were included within the specification for the LED lighting?

Answer 123

• 500 Lux for the offices
• 400 Lux for reception
• 300 Lux for the warehouse/showers/WCs/circulation areas
• PIR and daylight dimming to lighting

Question 124

What performance requirements were included within the specification for the VRF system?

Answer 124

• Variable refrigerant flow
• Minimum Co-efficient of performance (COP) of 4
• Energy Efficiency Ration (EER) of 3.

Question 125

What is BREEAM?

Answer 125

• BRE’s environmental assessment method. It assesses, rates and certifies the sustainability of buildings. Rated from Outstanding to Pass.
• (life cycle assessment)
  o Sets best practice standards for the environmental performance of buildings through specification, design, construction and operation
  o Building Research Establishment Environmental Assessment Method
  o Undertaken by a licensed assessor
  o Based on energy, land and ecology, water, health and wellbeing, pollution and materials, waste and management
  o Applies to new and refurbishment projects, domestic and non-domestic
  o Ratings are 1 (pass) to 5 (outstanding)
  o Becoming more common place for local planning authorities given the NPPF and drive towards sustainability.

Question 126

What is SKA?

Answer 126

o Non-domestic fit outs (think office refurbishments)
o RICS’ Environmental Assessment Method
o Assess fit out projects against a set of sustainability good practice criteria, known as good practice measures (GPM)
o Implemented as an alternative to BREEAM (whole building assessments) which are high cost and produce unsatisfactory results

Question 127

What is LEED?

Answer 127

• LEED (life cycle assessment)
  o Leadership in Energy and Environmental Design
  o USA equivalent to BREEAM
  o Ratings are gold, silver and platinum

Question 128

What is sustainable development?

Answer 128

• A UN climate change conference (Conference of the Parties) that sets the global agenda on climate change for the next decade
• Took place in Glasgow in 2021.
• Further cuts to emissions, reduction in coal use, help poorer countries cope with effects of climate change and make move to clean energy

Question 129

What are the three pillars of sustainability?

Answer 129

• Social (installing bike facilities)
• Economic (revitalising a vacant unit, providing more jobs in the area)
• Environmental (reduce emissions, by installing EV charging points and LED PIR lighting)

Question 130

What is the Future Homes Standard?

Answer 130

• UK government standard to be introduced in 2025 with aim to future proof new homes – low carbon heating (heat pumps) and LED lighting

Question 131

What is a heat pump?

Answer 131

• Take heat from air into the building to warm internal environment using a small amount of electricity
• Air source and ground source – both highly efficient as they produce more energy in heat than they use in terms of electricity.

Question 132

What is condensation?

Answer 132

• Condensation is when warm moisture vapour comes into contact with a cold surface and cools to the dew point.
• At the dew point, the water vapour turns into a liquid on the cold surface.

Question 133

What is the dew point in relation to condensation?

Answer 133

• The atmospheric temperature which varies according to pressure and humidity, below which water droplets begin to condensate and dew forms.

Question 134

What are the symptoms of condensation?

Answer 134

• Can be confused with rising and penetrating damp
• The wall has a misty surface.
• Stains/streaks of water running down the wall.
• Damp patches with no definitive edges.
• Dampness behind cupboards against external walls.
• Patches of mould growth, particularly in cold corners in the classic crescent or hourglass shape. Also shows up at a cold bridge, e.g. poorly fitted windows and doors.

Question 135

What are the typical causes of condensation?

Answer 135

• Human activity such as washing, cooking etc.
• Cold bridges in well insulated buildings.
• Poor ventilation.

Question 136

How do you repair condensation?

Answer 136

• Reduce dampness in the building surfaces by:
  o Improving ventilation
  o Improving insulation
  o Increasing heating levels
  o Alter the living habits of the occupants.

Question 137

What is cold bridging?

Answer 137

• Localised areas in buildings with a higher thermal conductivity than in adjacent areas, resulting in an overall reduction in the thermal insulation of the building.

Question 138

What causes cold bridging?

Answer 138

• Differences in construction such as a break in the continuity or a penetration of the insulation.
• Lintels over doors and windows in the 1960s and 70s were plagued by this problem.

Question 139

What remedies are available to a property suffering from areas of cold bridging?

Answer 139

• Ensuring that there is adequate ventilation
• During construction, ensuring that cavities are closed and that vertical/horizontal dpcs are incorporated into construction.

Question 140

Where would you expect to find rising damp?

Answer 140

• Along the base of traditional masonry wall that is built off the ground
• Tide marks rise up as much as 1m up the wall on average

Question 141

How can you identify rising damp?

Answer 141

• There is a continuous horizontal tidemark of ground salt contamination at around a metre in height.
• Sporadic staining/discolouration (brown staining) up to around 300-900mm in height
• Blistering, flaking of paintwork and plasters, visible salt accumulation.
• Damage, rotting and deterioration to joinery and structural timbers
• Sulphate action
• Corrosion of metals, e.g. edge beads
• Musty smells
• Condensation

Question 142

How does rising damp occur?

Answer 142

• It is caused by capillary action drawing moisture up through porous elements of a building’s fabric. It rises vertically up a wall.

Question 143

When did damp proof courses become compulsory in buildings?

Answer 143

• 1875

Question 144

When did damp proof membranes become compulsory in buildings?

Answer 144

• 1965

Question 145

Explain how you would deal with a case of rising damp in a building.

Answer 145

• Replace the affected plaster as hydroscopic nitrates and chlorides need to be dealt with.
• If necessary insert a new DPC, either by physical insertion or chemical injection
  o Physical insertion – reliable barrier and appropriate where total certainty required. Necessary to join new DPC to DPM, but they are expensive and can only be laid in horizontal courses – difficult with stonework.
  o Chemical insertion – cheapest and most common method – by pressure or gravity.
• May be possible to reduce the ground levels and controlling external water systems may help.
• In a listed property it may be necessary to install a perimeter drain.

Question 146

Explain some of the dangers of using a damp meter?

Answer 146

• They measure the resistance of electricity between two electrodes and relate this to the amount of moisture they are scaled to, usually timber. When used on other materials they can therefore be misleading. It does, however, give a preliminary sense of moisture content, with measurements below 17% being dry (green), 17-20% at risk (yellow) and 20%+ wet (red).
• Also salt analysis is negative for chlorides or nitrates. Establish dew point by measuring surface temperature and relative humidity.
• Foil backed plaster can give 100% relative reading.
• Best used for comparison measures over time.

Question 147

How would you identify penetrating damp? What are the causes and how would you remedy it?

Answer 147

• Defect: dependent upon the levels of exposure of the building and often penetration only occurs in certain localised areas. The first sign of damp penetration is often the appearance of damp patches/staining on walls, ceilings, or floors. These tend to grow/darken after periods of heavy or prolonged rain. Be careful of tracking moisture.
• Causes: rain driving though exposed masonry walls that have insufficient thickness, problems with cavity trays, cracked or detached rendering, defects to window cills, blocked cavity ties. Failed rainwater goods, failed roof coverings, leaking services, poorly sealed penetrations
• Remedy: Repointing of defective mortar joints, apply masonry water repellent, make good defective joint details, inspect cavity tray and ties for blockages, inspect areas of roofs such as chimneys, parapets and thresholds.

Question 148

What BRE Digest relates to damp?

Answer 148

• BRE Digest 245

Question 149

How do you remedy the different types of damp?

Answer 149

• Penetrating damp – identify the cause and eliminate the cause. Replace damaged plaster.
• Rising damp – identify the lack of, defect or bridge affecting the DPC and remedy that by removing the bridge or injecting a chemical DPC. Another alternative is to accept the building as constructed with solid masonry and no DPC, and use a lime plaster and paint finish which can deal with the moisture better than gypsum and modern paints.
• Condensation – improve ventilation, reduce moisture and remove the cold bridge.

Question 150

Describe the different types of rot and how you would recognise them.

Answer 150

• Dry rot
  o Wood shrinks and splits into large cuboidal cracking
  o Wood is light in weight, crumbles under fingers and has a dull brown colour.
  o Cotton wool mycelium often visible – greyish in colour when whet and purple/yellow when dry. Strands are brittle when dry.
  o A fruiting body can also occur with a reddish brown colour – only occurs inside a building.
  o MC of timber 20-40%
• Wet rot
  o Wood shrinks and splits on a smaller scale
  o Wood becomes darkened
  o Mycelium can be white, brown, amber, green or black – strands are flexible when dry.
  o Fruiting bodies can be a number of different colours and can occur inside/outside.
  o MC – 40-60%

Question 151

How would you remedy an outbreak of dry rot in a Victorian property?

Answer 151

• Eliminate the source of moisture and promote rapid drying
• Remove all rotten wood and up to 450mm of sound, adjacent wood
• Treat all surrounding timber and brickwork with a preservative
• Splice in and install new treated timbers and coat with a preservative
• Improve the ventilation pathways if possible.

Question 152

Explain how you have (would) deal with a wood boring beetle infestation in a building.

Answer 152

• Identify the type of insect by reviewing the flight hole size and shape, the size and appearance of emerging beetles, the time of year adults are emerging, the size and shape of any frass, along with the location, type and moisture content of the timber.
• Furniture beetle/woodworm – brush treatment with organic solvent or micro-emulsion paste, fumigation with hazardous gasses, freezing and heating (smaller items), spray treatment (preservative), injection treatments. Infestation mostly restricted to residual sapwood and infestations will die if timber remains dry.
• Deathwatch beetle – determine if activity is current (paper over flight holes and monitor emergence annually). Rectify sources of water penetration, increase ventilation. Spray or brush treat infested surfaces with a spirit based insecticide. Coat accessible surfaces with preservative paste, drilling holes at 100mm intervals if appropriate to ¾ depth. Heat treatment the most effective and minimises damage to timber, by maintaining relative humidity at 50%, but expensive. Fumigation, reduce moisture and replace is necessary and pressure injection/gravity feed application.
• Weevil – no insecticide treatment – remove source of dampness, dry out and replace decayed timber.
• Longhorn beetle – organic solvent, micro-emulsion paste. Inspect and remove powdered material to determine extent, remove and burn affected timber and report to BRE

Question 153

What are deleterious materials?

Answer 153

• Materials that are dangerous to health, cause failures in buildings and which are environmentally damaging.
• Examples include:
  o Asbestos
  o Brick slips
  o Lead paint
  o High alumina cement
  o Urea formaldehyde
  o Mundic bricks
  o Woodwool slabs
  o Calcium silicate bricks

Question 154

What is high alumina cement and why is it a problem?

Answer 154

• It is cement developed for its high early strength and its ability to resist chemical attack, particularly for marine applications. During the 1950s and 60s it was mainly used for the manufacture of precast prestressed components which could be manufactured quickly, offsetting the high cost. It was banned from structural use in the UK in 1976.
• HAC concrete undergoes a mineralogical change known as conversion. During this phase the concrete increases in porosity, which leads to a loss of strength and a reduction in resistance to chemical attack. The higher the temperature during the casting of the concrete, the more quickly conversion occurs.
• The strength of a highly converted concrete is extremely variable and substantially less than its initial strength (50%+).
• Vulnerable to acid, alkaline and sulphate attack where water and chemicals are present over a long period of time at normal temperatures.
• Chemical attack normally very localised and concrete typically degenerates to a chocolate brown colour and becomes very friable.
• Alkaline hydrolysis in a warm moist environment characterised by white powdery deposits and severe loss of strength and integrity.
• Due to sensitivity to moisture, the greatest risk lies in use of HAC in roof members.

Question 155

What defects might you expect to find in connection with calcium silicate bricks?

Answer 155

• Calcium silicate brickwpork (unlike clay) usually undergoes an initial irreversible shrinkage on laying (clay bricks expand). If movement control joints are missed or badly spaced diagonal cracking can occur. Thermal/moisture cracking often visible at changes in the sizes of panels e.g. long runs below windows coinciding with short sections between windows. Look out for thin bed cracks and wider cracks to vertical joints.
• Its use as a backing to clay brickwork (inner leaf of cavity wall) is likely to cause problems as a result of expansion of the clay bricks and contraction of calcium silicate brick. Do not confuse with subsidence of corrosion of steel frame.
• They are smooth, often creamy coloured bricks made from lime, sand and flint. Small particles of flint can sometimes be seen in cut bricks/weathered surfaces. Widespread use in 1960s and 70s, still manufactured and gaining popularity.
• Unrestrained thermal expansion
• Drying shrinkage higher than clay bricks
• Poor resistance to frost when contaminated by chloride (sea water) – not recommended for coastal areas.
• Severe cracking if left (often diagonal), which allows water ingress.

Question 156

What are the associated problems with leaving woodwool slabs in place to form part of the construction?

Answer 156

• Woodwool slabs are porous and have an open matrix decking which makes it an unsuitable permanent shuttering material.
• The in situ concrete fines will flow into the voids in the woodwool (honeycombing) leaving the rebar and aggregate unbound.
• This presents structural and fire hazards as the concrete is not adequately compacted.

Question 157

What are the implications if woodwool slabs are left in position?

Answer 157

• As the shuttering obscures honeycombing around the soffit and slab, and around the rebar, the extent of the voidage is impossible to gauge.
• The voidage may lead to structural or fire issues.
• The possibility of corrosion occurring to the rebar, especially in damp conditions is heightened.

Question 158

What remedial options would you advise your client on sighting suspected woodwool shuttering on a survey?

Answer 158

• Where voidage is excessive, the application of a spray gunite is required
• The fire resistance can be reinstated by the addition of boarding
• A structural engineer’s advice would need to sought.

Question 159

What is HAC and where is it commonly used/found?

Answer 159

• High alumina cement can also be known as calcium aluminate cement (CAC)
• Commonly used in the 1950s-60s for the production of pre-cast and pre-stressed concrete elements.

Question 160

Why was HAC popular in the 1950s and 60s?

Answer 160

• It has high strength
• High temperature and good resistance to sulphate attack
• It also cured in 24 hours and not 28 days like Portland cement.

Question 161

How can you identify HAC on site?

Answer 161

• The cement is a light brown/grey colour.

Question 162

What causes HAC to become a defective building component?

Answer 162

• Internal chemical reactions create voids in the cement matrix.
• Voids mean a reduction in strength and it becomes more porous.
• Porosity can cause corrosion of rebar, which can lead to a failure of the structure
• The failure of the structure is brought about by the increase of susceptibility to carbonation, sulphate attack and chloride attack.

Question 163

What are the remedies for buildings suffering from HAC?

Answer 163

-	A three stage investigation needs to be carried out on buildings suspected to have HAC.
o	Identification (rapid chemical test)
o	Strength assessment (sufficient structural capacity)
o	Durability assessment (determine long term durability where rebar affected by corrosion)

Question 164

When was HAC banned?

Answer 164

• 1974

Question 165

What is Mundic concrete?

Answer 165

• Concrete manufactured from quarry shale and is commonly found in the west country for concrete blocks.

Question 166

What are the issues with Mundic concrete?

Answer 166

• Generally a loss of strength in damp conditions
• Mundic decay can take place which is where the sulphide minerals in the mine or quarried Mundic rock oxidise under damp conditions and produce sulphuric acid.

Question 167

What was the primary type of asbestos used in asbestos cement roof sheets and how long should they last for?

Answer 167

• Chrysotile

- Between 40-60 years

Question 168

How might you identify if the asbestos cement roof sheets are leaking/defective?

Answer 168

• Cracking parallel with the long edge
• Cracking across the width of the sheet
• Corrosion of the fixings
• Moss growth and surface deterioration

Question 169

How are the cracks to the width of the sheet caused?

Answer 169

• Structural movement
• Overloading/foot traffic
• Wind loads coupled with defective fixings

Question 170

How does corrosion of the fixings lead to a defective roof sheet?

Answer 170

• The expansion of the fixings leads to the cracking of the sheets and then subsequent water ingress.

Question 171

How does moss growth cause defects and leaking to the sheets?

Answer 171

• Carbonation increases porosity and in damp conditions the surface is suitable for moss and algae growth.
• The algae produces acidic run off which damages other components

Question 172

What remedial works can you undertake to asbestos cement roof sheets?

Answer 172

• Encapsulation
• Overlaying
• Full replacement

Question 173

Describe how you would replace an asbestos cement roof.

Answer 173

• Consult HSE guidance note A14 and A12 which relates to the handling of asbestos and the cleaning of it during removal.
• Protect nearby surfaces with sheeting
• Dampen and remove fasteners and place in a waste container
• Double wrap large pieces in bags and seal
• Dispose of waste at a licensed disposal centre.

Question 174

Name the three types of asbestos and examples of where they are found in buildings.

Answer 174

• Chrysotile – most common form found in buildings.
  o Most common use is in corrugated asbestos cement roof sheets typically used on outbuildings, warehouses and garages. Also found in vinyl tiling.
  o Least dangerous (white)
  o Found in pipe lagging, loose fill insulation, ropes, fire blankets, flooring material, artex, reinforced plastics.
• Amosite – most frequently found as a fire retardant in insulation board, thermal insulation products and ceiling tiles.
  o Brown
  o Found in asbestos insulating board
• Crocidolite – spray on coatings, pipe lagging, cement sheeting.
  o Blue and brown banned in 1985, white in 1999.
  o Found in spray on insulation, pipe lagging, loose fill insulation, gaskets and cement sheeting.

Question 175

What asbestos activities are licensed, notifiable non-licensed or non-licensed?

Answer 175

• Licensed
  o Removing spray coatings
  o Work involving loose fill insulation
  o Cleaning significant quantities of ACM dust
  o Work on AIB
• Notifiable non-licensed
  o Removal of asbestos cement products
  o Removal of asbestos paper/cardboard not firmly bonded in a matrix
  o Large scale removal of textured coatings
  o Minor short duration works on AIB
• Non-licensed
  o Sporadic, low intensity and control limits not exceeded
  o Drilling textured coatings
  o Encapsulation of good condition asbestos
  o Maintenance on asbestos containing plastics/vinyl.

Question 176

What does the Control of Asbestos Regulations 2012 require?

Answer 176

• The dutyholder of non-domestic properties (and common areas of domestic buildings) have a responsibility (owners, those responsible through contract/tenancy, those who control the building and in a multi-occupancy building it may be shared, with the owner covering common areas)
  o Responsible for:
   Taking steps to determine if ACMs are present, the amount, location and condition, which must be recorded.
   Assume ACM unless evidence to indicate otherwise
   Producing/maintaining up-to-date records
   Assessing risk of identified ACMs and preparing a management plan
   Put plan into action and review/monitor the plan so it is up-to-date
   Provide information to anybody liable to work/disturb ACMs
• Asbestos work must also only be undertaken once assessed to see if it must be undertaken by HSE licensed contractors (higher risk work). Where asbestos works need to be notified, this should be done at least 14 days before works commence.
• Medical surveillance of all workers exposed every 3 years and keep a register/health record for licensed and notifiable non-licensed.

Question 177

What sorts of cracks would you expect to see on a brick building and what might have caused them?

Answer 177

• Subsidence -
  o A movement downwards in the ground level.
  o In clay soil, the growth of large trees which remove water from the ground can cause this.
  o This can lead to vertical cracking if in the centre of the building or diagonal cracking if at the corner of the property. The cracks will be larger at the top and thinner at the bottom.
• Settlement
  o A movement downwards in the ground level due to an increased load.
  o Buildings will settle when first constructed or if there is a change in the load as the new load settles to the bearing capacity of the soil.
• Differential settlement
  o If two sections of a building are constructed of different foundation or the ground is made up of different soil types or strata, then one may settle more than another, causing cracking between the two sections of the building. Most common with extensions and bay windows.
• Thermal movement
  o Either expansion/shrinkage of the masonry often characterised by vertical cracks with a relatively constant width if appropriate expansion joints are not present.
• Lintel failure
  o Allows a triangular section of brickwork above the window to drop down creating a triangular crack from the corner of the window towards the centre.
• Corroded steel lintel
  o Where a steel lintel has been used above an opening and the edge is exposed or close to the surface this can corrode over time and expand causing cracking.
• Cavity wall tie failure
  o Corrosion of large steel fishtail ties will lead to cracking every 4 or 5 courses as the steel expands.
• Internal alterations
  o Where a wall has been removed and a steel beam inserted without consideration to the increased load acting upon the wall the beam is bearing upon. Or where a staircase has been removed without thought to the lateral restraint of the flank wall.

Question 178

What sized cracks are a concern?

Answer 178

• Up to 2mm – very slight/aesthetic
• 2-5mm – slight/aesthetic
• 5mm-15mm – moderate/serviceable
• 15-25mm – severe/serviceable
• Over 25mm – very severe/stability

Question 179

What is category 3 cracking?

Answer 179

• BRE Report 292 - 5-15mm

Question 180

Please describe the directional pattern of a crack caused by expansion of brickwork horizontally to a wall. Would the cracking be evenly spaced throughout or increase/decrease in width at one end.

Answer 180

• Thermal movement causes the bricks to expand and shrink. This leads to vertical cracking with a relatively constant width if appropriate expansion joints are not present.

Question 181

If there was stepped cracking on the corner of a building, what might have caused it?

Answer 181

• Settlement, subsidence or heave.

Question 182

What if there were cracks to concrete?

Answer 182

• I would consider the common concrete defects such as carbonation, HAC, chloride attack, alkali silica reaction, etc. As well as issues related to structural movement, as we all as poor design and construction.

Question 183

What could cause a crack between a bay window and the main wall? What are the remedies?

Answer 183

• Differential movement caused by differences in the foundation depths. Confirm if movement is continuing – if so then underpin the bay to a similar depth.
• Possible things to look for are differences in the soil, high water course, defective drains that could be causing subsidence to the bay.

Question 184

What type of soil is susceptible to heave and what are the possible causes?

Answer 184

• Cohesive soils such as clay.
• Possible causes include the removal of trees, a change in the water table, leaking drains or inadequate foundations that are built within the movement zone.

Question 185

What are the possible causes of a flank wall bulging over its full height?

Answer 185

• A possible cause is the lack of restraint in the wall.
• If the floor joists are running from front to back then there may be nothing connecting the flank wall to the building at first or second floor levels.
• May be due to poor design or some alteration in the internal layout such as a change in the position of the staircase.
• Other potential causes to consider include cavity wall tie failure or increased roof load.

Question 186

Name some reasons that foundations can subside or heave.

Answer 186

• Heave:
  o Usually in cohesive soils such as clay.
  o Removal of trees, change in the water table, leaking drains, inadequate foundations within the movement zone.
• Subsidence:
  o In all soil types.
  o Differences in the types of soil leading to differences in the bearing capacity
  o A change in the water course or high water course, defective drains, voids in the ground collapsing.
  o Growth of trees removing water from the soil.

Question 187

What is the difference between subsidence and settlement?

Answer 187

• Subsidence is downward foundation movement caused by change in the site below the foundations, usually associated with volumetric changes in the subsoil. It occurs when the soil beneath a building is unstable and sinks downwards.
• Settlement is downward foundation movement caused by an application of load, usually occurring for a period of time immediately after construction or poorly compacted ground. It is caused by the weight of the building, but it can still have a negative impact on the overall structural stability.

Question 188

Explain the sequence of work involved in underpinning a strip foundation.

Answer 188

• Prior to commencing, notify adjoining owners (Party Wall etc. Act 1996), undertake an SoC of adjoining owners’ property, install tell-tales to any cracks so subsequent movement can be monitored, undertake a detailed ground survey of the area, remove imposed loads as far as possible and install props as necessary, identity, support and protect services as necessary.
• To prevent damage, settlement and fracture, work should be carried out in short lengths (legs or bays). These are generally in lengths of 1-1.5m for mass concrete strip foundations supporting traditional walls, or 1.5-3m for retained concrete strip foundations supporting moderate loadings.
• The sequence of bays should be arranged so that working in adjoining bays is avoided until one leg of the underpinning has been completed, pinned and cured sufficiently to support the wall above.

Question 189

What are the different types of ground movement?

Answer 189

• Subsidence
• Heave
• Settlement
• Differential settlement

Question 190

What indicators could you pick from a survey that the property might be suffering from the effects of ground movements?

Answer 190

• Cracks show internally and externally

- Floors slope, walls tilt and door and window openings distort.

Question 191

What is subsidence?

Answer 191

• The downward movement of a building’s foundation caused by the loss of support below the foundation.

Question 192

What are the effects of building on soft clays and silts?

Answer 192

• Soils if this type have very low strength which leads to low bearing capacities.

Question 193

What are the effects of building on sands and gravels?

Answer 193

• Sands and gravels have high permeability and frictional strength with a lack of adhesion.
• It may be necessary to consolidate this group of soils if excavations have to take place.

Question 194

What signs would indicate that subsidence has taken place?

Answer 194

• Diagonal cracking which is usually tapered (uneven width wider at the top) in the building’s structure/façade.
• Usually affects localised areas of foundations and not all of them as a whole.

Question 195

How is subsidence caused?

Answer 195

• Can occur when excessive water leaks into the soil with a higher gravel/sand content and washes away the foundations
• Mining which has sudden effects can be the cause of subsidence depending on the mining method
• Can occur on clay soils that shrink when their moisture content decreases due to trees, etc.

Question 196

What remedial measures are available for subsidence?

Answer 196

• Underpinning can be an option, but it is expensive and disruptive
• Guidance should be sought from a structural engineer

Question 197

What is heave?

Answer 197

• The mass upward movement of material as a result of expansion

Question 198

How might you identify that heave has taken place?

Answer 198

• There is an expansion at the corner of the building causing lifting through localised clay heave.
• Diagonal cracking that tapers (wider at the bottom)

Question 199

What are the typical causes of heave?

Answer 199

• Ultimately it is volume changes in clay soils which are a common cause of subsidence
• Felling a tree in the vicinity of the existing building, particularly in clay soils.
• Homes built on chalky soil which are unheated and unoccupied can be subject to heave

Question 200

How might you remedy the effects of heave?

Answer 200

• Seek advice of a structural engineer/geotechnical engineer.

Question 201

What is settlement?

Answer 201

• The vertical downward movement of ground due to the imposed loads of the foundations which occurs soon after construction.

Question 202

How might you identify if settlement has taken place?

Answer 202

• Cracks occur at the junction between row elements.
• Wide cracks appear at the bottom of the building, often around doors and window openings and narrow cracks appear at the top of the building.

Question 203

How is settlement caused?

Answer 203

• Settlement is caused by pressure which is applied to the sub-soil by a new building
• Any water within the subsoil is squeezed out by the new load

Question 204

How might you remedy the effects of settlement?

Answer 204

• If the cracking is above category 2 (5mm) then underpinning is probably required.
• The advice of a structural engineer should be sought for cracks over 5mm in width.

Question 205

What is differential settlement?

Answer 205

• Where unequal pressure occurs on the foundations arising from extensions or concentrations of loads e.g. chimneys.
• Bay windows with shallower foundations

Question 206

What are the BRE’s assessment of cracking (Digest 251)?

Answer 206

• 0 – hairline cracks
• 1 – Up to 1mm
• 2 – Up to 5mm
• 3 – 5-15mm (may need repointing)
• 4 – 15-25mm (may need breaking out an replacement)
• 5 – 25mm+ - structural

Question 207

What items would you consider when preparing a reinstatement valuation?

Answer 207

• Debris removal, site clearance, building foundations and cement floor base, erection of the replacement building, installation of electrical and mechanical services, commissioning and professional fees.

Question 208

What is a day one assessment in relation to an RCA? Is it subject to VAT?

Answer 208

• Current valuation will represent the reinstatement cost at today’s date, or Day One of the insurance policy. Building costs may rise over the year by an inflationary amount, therefore under a standard policy of insurance you will need to estimate the likely inflation during the year and add this to your valuation, otherwise if loss occurs on the final day of the policy year, your sum insured may not be adequate and insurers will apply average to their payments.
• Under day one basis insurance, they provide insurance up to a fixed percentage above your day one valuation – generally 15%. This should ensure the sum insured is adequate when a loss occurs, providing your valuation accurately represents the reinstatement cost at Day One. Otherwise average will apply. This policy costs more than standard cover but dispenses the need to guess inflation levels.

Question 209

What are the different types of RCA reports?

Answer 209

• Day one reinstatement (most common) – settled on new for old basis
• Reinstatement including inflation provision
• Reinstatement less wear and tear (indemnity basis) – old and not in good repair
• Obsolete buildings
• Site clearance, debris removal and making safe costs
• Second hand value of building materials

Question 210

What is a portal frame?

Answer 210

• Typical height 4-8 m
• Generally constructed with 2 side columns and a rafter, connected to the rafters with a haunch/eaves connection
• Frames generally 6-8 m apart
• The frames are connected via secondary steelwork framework of purlins and rails (cold rolled steel sections) – this is used to fix the outer building envelope.
• Bracing required to give the low parallel frames lateral stability.
• Popular since the 1960s
• Wide span enclosure
• Joints between the beam and columns is rigid so that the bending movement is transferred to the columns. This allows the beam to be reduced in sectional size and can span large distances.
• Generally made of steel, concrete or laminated timber.
• Can be mono or double pitch

Question 211

What types of portal frame are there?

Answer 211

• Mono pitch
• Double pitch (rigid joint at the apex)
• Tied portal frame
• Propped portal frame
• Multi-span portal frame

Question 212

What are the advantages of a portal frame?

Answer 212

• Quick and easy to build
• Cost effective
• Can be used for multiple purposes
• Low maintenance
• Aesthetically pleasing
• Fabricated offsite
• Lightweight
• Flexibility in design
• Strength and durability

Question 213

What are the disadvantages of a portal frame?

Answer 213

• Poor fire resistance (loses stability in fire)

- Poor thermal conductivity

Question 214

What are the typical defects associated with a Victorian building?

Answer 214

• Distortion, dishing or sagging to old roof timbers – rot of timber purlns or crumbling brick party walls.
• Neglected chimney stacks with weathered bricks, loose pots and poor flashings.
• Leaking parapet walls – copings can be loose and rendered sides cracked.
• Defective gutters and downpipes causing dampness.
• Defective masonry to the walls – stone/brick weathered or cracked as a result of structural movement. Lintel construction often poor and walls are often repointed using cement mortar or are covered with a cement based render (should be lime finish)
• Poor sub-floor ventilation – should be good vents in front and rear of the house.
• Raised ground levels are a common cause of dampness and should be 150mm below floor levels.
• Rot to timber floors – common at ground level due to raised ground levels and poor ventilation.
• Dampness to the walls inside.
• Removal of lateral support from one terraced house to another (book end effect)
• Rotten and paint sealed windows

Question 215

When carrying out a survey of a Victorian house, what potential pathology issues could lead to damp problems in the building?

Answer 215

• Penetrating damp entering into modern non-porous renders and getting trapped.
• Leaking gutters and downpipes causing penetrating damp.
• Rising damp where external ground levels are raised or where external boundary walls abut the external elevations.
• Roof leaks due to degraded flashings or slipped slates.
• Reduced ventilation due to double glazed windows.
• Often no consideration given to ventilation of sub-floor void when Victorian properties are extended.

Question 216

When was the Victorian period?

Answer 216

• 1837-1901

Question 217

What features define a Victorian building?

Answer 217

• Buildings were pointy with steep roofs.
• More ornate features, such as corbelling and decorated fascia boards.
• Timber window panes were larger (6x4) panes
• Ground floor bay window often had its own roof.
• Stained glass was used in this period generally above doors and at the tops of windows.

Question 218

Can you list some typical defects which can occur in Victorian buildings?

Answer 218

• Nail sickness to roof slates
• Spalled brickwork
• Lack of restraint to flank walls
• Rotten floor joists and dry rot to ground floors
• Deterioration of filler joisted concrete slabs

Question 219

What is nail sickness?

Answer 219

• Numerous slates progressively slipping out of place due to failure of the poor quality galvanised or iron nails.

Question 220

What causes nail sickness?

Answer 220

• The nails holding the slates in position corrode due to exposure to the elements resulting in slipped slates.

Question 221

What would you recommend to address a roof suffering from nail sickness?

Answer 221

• Isolated repairs in minor incidents – refix the slates using aluminium or copper fixings.
• Replace all of the slates if more than 15% of the roof is suffering from nail sickness.

Question 222

What is spalled brickwork and where might you expect to find an example of it?

Answer 222

• Spalled brickwork is the disintegration of the facing sections of brick.
• It can often be seen on exposed elevations such as parapets, close to the ground and near water runoff points.

Question 223

What are the causes of spalled brickwork?

Answer 223

• It can occur in older bricks and those under burnt during firing.
• It occurs near the surface of the bricks as moisture gains easy access.
• Frost attack then takes place which requires regular freeze and thaw cycles when the material is wet. The expansion caused by the freezing of the trapped water causes the brick to break/spall off.

Question 224

How would you remedy sections of spalled brickwork?

Answer 224

• Remove the source of wetting i.e. repair leaking rainwater goods
• Cut out and replace the defective sections of brick in isolated locations.

Question 225

What are the symptoms of a lack of restraint to flank walls and what other term is used to describe this defect?

Answer 225

• The ‘book end effect’
• Leaning flank and party walls.
• Vertical cracks in the front and rear elevations
• Gaps appearing between floor and party walls.

Question 226

What are the causes of book end effect?

Answer 226

ack of movement joints in terraces.

• Contraction near walls at window openings.
• Brick fragments fall into the cracks and prevent closure on expansion
• After cyclical movement the flank and party walls are pushed further away so that they are out of plumb.

Question 227

Why are expansion joints needed in long sections of brickwork?

Answer 227

• They allow thermal movement and moisture movement to take place (expansion and contraction).

Question 228

What would you recommend to address a Victorian building suffering from the book end effect?

Answer 228

• Cut movement joints into long sections of brickwork terrace walls at 12-15m centres
• Undertake repairs to the cracks, windows, etc. as required.

Question 229

What are the typical defects associated with a Georgian building?

Answer 229

• Unbalanaced butterfly roofs
• Parapet gutter blockages with resultant damp ingress
• Alterations resulting in dampness, inadequate ventilation, wood boring insects, fungal timber rot.
• Defective slates and nail sickness
• Degraded chimney pointing
• Issues with flashings – often replaced with a cement wedge/tile on edge – recommend lead.
• Deterioration of tiles and corrosion to non-galvanised fixings
• Rotting lintel adjacent to a bay window roof – can be caused by leaking roof and can cause structural problems
• Dampness to solid walls.
• Soft red bricks used on walls and are susceptible to damage/deterioration from weather e.g. frost attack, especially if repointed with cement mortar.
• Movements to the bays of properties indicating little or no foundations.
• Re-pointing/re-painting may have caused the walls to stop being able to breathe, leading to spalling of the brick/stonework.
• Rot to sliding sash windows
• Improverly formed openings in trussed partitions
• Little or no foundations, which can be a problem in clay areas or where there are leaks.
• Drainage extended and older installations can cause issues.
• Lath and plaster ceiling issues where plasterboard is installed (cracking)
• Bouncy timber floors.

Question 230

When was the Georgian era?

Answer 230

• 1714-1837

Question 231

Can you name some key features of Georgian buildings and how might you recognise a Georgian building?

Answer 231

• Georgian, shallow foundations
• exposed brickwork
• timber sash windows with small glazing panes, getting smaller as they go up the building,
• lower ground floor
• slate butterfly roof hidden behind a parapet wall
• timber upper floors
• concrete floor to basement
• shallow foundations

Question 232

What is a butterfly roof?

Answer 232

• A roof which is not easily seen from ground level and features rafters which slope towards the centre of the roof from either side of a party or end of terrace wall. A valley gutter sits in the centre.

Question 233

How might you identify that the butterfly roof is unbalanced?

Answer 233

• The wall next to the roof leans out.

- Often seen at the end of terraces and mono-pitch additions.

Question 234

What is the cause of an unbalanced butterfly roof?

Answer 234

• An unbalanced lateral thrust from rafters leaning against the wall causing creep deflection within the timbers.

Question 235

What is creep deflection?

Answer 235

• Creep in timber members relates to the elastic modulus (sagging) of timber and how stresses affect performance such as moisture content.

Question 236

How would you repair an unbalanced butterfly roof?

Answer 236

• Form a ridged triangle by bolting new posts between existing rafters and joists.
• Install straps between wall and ceiling joists at 1200mm centres.
• Provide diagonal bracing in the ceiling joists to resist horizontal thrust.

Question 237

How might you identify dampness to solid walls?

Answer 237

• A horizontal tide mark no higher than 1.5m from floor level
• Hydroscopic salts brought up from the ground are visible on the tide mark.
• Mould and flaking plaster/wallpaper.

Question 238

What are some of the causes of damp to solid walls?

Answer 238

• Georgian houses may have been repointed with Portland cement which encourages penetrating damp and is less porous than lime mortar, so evaporation is restricted.
• No DPC or defective DPC causing water to rise from ground level
• The height of the water table.

Question 239

What remedial measures would you suggest to cure dampness to solid walls?

Answer 239

• Install a DPC either chemically or physically.
• If the property is listed, install a perimeter French drain.
• Undertake internal repairs, such as replacing affected plaster and redecorating.

Question 240

What examples can you give of inappropriate openings in Georgian buildings?

Answer 240

• Where the property has been divided into flats and doorways are formed through partitions.
• Internal doors have become distorted and the floors sagging are also indicators.

Question 241

What are the effects of creating inappropriate openings in Georgian buildings?

Answer 241

• The diagonal bracing timber members can be severed by installing a new door opening which will lead to the floor sagging or eventual collapse.
• If the diagonal members are not severed, the spine wall footings which carry the floor joists and roof structure over large openings may settle and cause cracking.

Question 242

How would you address a problem of inappropriate openings in Georgian buildings?

Answer 242

• Remove the doorway and repair the diagonal timber members.
• If the doorway must stay, install a beam and provide additional strengthening methods.
• If long term settlement is the problem, investigate and undertake repairs to the floor joists.

Question 243

How could you tell if the timber floor is bouncy?

Answer 243

• Dropping the heel of your foot – if the windows and doors rattle and the furniture shakes, the floor is bouncy.

Question 244

Can you tell me what the possible causes are of bouncy timber floors?

Answer 244

• Excessive notching of joists for pipework.

- Herringbone strutting may have been relaxed over time or omitted entirely by new occupiers.

Question 245

What is herringbone strutting?

Answer 245

• Timber that was installed at 1/3 points across joists in a cross position that was tightened with folding wedges.
• Modern herringbone strutting is proprietary and can be metal instead of timber.

Question 246

How would you address bouncy timber floors?

Answer 246

• Strengthen the floor by adding extra joists.

- See Approved Document A for guidance, but estimate would be one extra joist for every three which are existing.

Question 247

What are the different types of RICS documents and their status?

Answer 247

• RICS Rules of Conduct (Mandatory)
• International Standard (Mandatory)
• RICS Professional Statement (Mandatory)
• RICS Code of Practice (Mandatory or Recommended Good Practice – confirms in doc)
• RICS Guidance Note (Recommended Best Practice)
• RICS Jurisdiction Guide (Information to support adoption and implementation of the standard locally)

Question 248

What is a dutyholder required to provide under Control of Asbestos Regulations 2012?

Answer 248

• Asbestos Management Plan
• Asbestos register/survey
• Must be kept updated every 6-12 months
• Always landlord’s statutory duty even if there is a managing agent
• Clear duty to identify where asbestos is present
• Employers are required to prepare a plan of work or method statement prior to carrying out work with asbestos – produced in conjunction with a risk assessment.

Question 249

What are the main HSE guidance documents relating to asbestos?

Answer 249

• A0 Asbestos Essential Document - HSE Decision flow chart to determine if it is licensed, notifiable non-licensed or non-licensed.
• EM4 – Using a Class H vacuum cleaner for asbestos
• EM5 – Wetting asbestos materials
• EM6 - Personal Protective Equipment (including Respiratory Protective Equipment)
• EM9 – Disposal of Asbestos Waste
• A9 – Drilling holes in asbestos cement (AC) and other highly bonded materials
• A12 – Cleaning weathered asbestos cement (AC) roofing and cladding
• A14 – Removing asbestos cement (AC) sheets, gutters, etc and dismantling a small AC structure

Question 250

What are some typical features of a 1970s warehouse?

Answer 250

• Asbestos cement roof
• Cavity brickwork
• Single glazed metal windows
• Timber doors
• Concrete portal frame
• Asbestos insulation board linings
• Ground bearing concrete floor slab
• Pad foundations to the frame and strip foundations to the cavity brickwork

Question 251

What are some typical defects found on a 1970s warehouse?

Answer 251

• Degraded asbestos cement roof sheets with water ingress internally
• Degraded movement joints to the cavity brickwork
• Poor decorative finish to the metal windows and stiff mechanisms for opening
• Rot damage to the timber doors
• Damaged asbestos cement insulation board
• Cracking or spalling of the concrete floor slab

Question 252

What are the approved documents?

Answer 252

• Provide guidance for how the building regulations can be satisfied in common building situations.
• No obligation to adopt solutions presented – can be satisfied in other ways.
• A – Structure, B – Fire Safety, C – Site preparation and resistance to contaminants and moisture, F – ventilation, L – Conservation of fuel and power, M – Access to and use of buildings, S – Infrastructure for charging electric vehicles

Question 253

What is the RIBA Plan of Works?

Answer 253

• 0 – Strategic Definition (means of achieving client brief)
• 1 – Preparation and brief (brief approved by client)
• 2 – Concept design (architectural concept approved by client and aligned to brief)
• 3 – Spatial coordination (design in which client’s requirements such as structural and building services engineering aspects have been determined and fixed to allow stage 4 to progress without further iterations)
• 4 – Technical design (all design information required to construct project completed)
• 5 – Manufacturing and construction (construction works completed)
• 6 – Handover (building handed over)
• 7 – In Use (Building used, operated and maintained efficiently)

Question 254

What are BS requirements for aluminium composite materials?

Answer 254

• European classification A2 – S1 or A1.

Question 255

What are the Euroclass ratings for cladding?

Answer 255

-	Fire behaviour:
o	A1 – non-coimbustible 
o	A2 – limited combustibility
o	B, C and D – very limited to medium contribution to fire
o	E-F – high contribution to fire
-	Smoke classification:
o	S1 – little/no smoke
o	S2 – quite a lot of smoke
o	S3 – substantial/heavy smoke
-	Flaming droplet classification
o	D0 – no droplets
o	D1 – some droplets
o	D2 – quite a lot

Question 256

What are the different types of ACM?

Answer 256

• Polyurethane (PUR)
• Polyisocyanurate (PIR)
• Expanded polystyrene (EPS)
• Extruded polystyrene (XPS)
• Polyethylene (PE)
• Phenolic Foam (PF)
• Mineral wools

Question 257

What is an ACM?

Answer 257

• Aluminium composite material
• Flat panel made from 2 thin aluminium sheets bonded to a non-aluminium core, between 2-3 mm thick.
• Identifiable by flat/micro ribbed panels, concealed fixings, interlocking panels, shallow profiles.

Question 258

How would you fire stop service penetrations?

Answer 258

• Every joint, imperfection of fit or opening should be adequately protected by sealing or fire stopping so that the fire resistance of the element is not impaired.
  o Fire stopping required in all voids, including above suspended ceilings
  o Also required where there are service penetrations.
  o Cavity barriers and fire stopping can both be used.

Question 259

What is the difference between a cavity fire barrier and a fire stop?

Answer 259

• A cavity barrier fills concealed internal gaps within walls, ceilings and other parts of a building
• Fire stops typically fill visible gaps around openings or joints in fire resistant walls.

Question 260

What methods are used for fire stopping?

Answer 260

• Cement mortar
• Gypsum based plaster
• Cement based or gypsum based vermiculite/perlite mixes
• Glass fibre, crushed rock, blast furnace slag or ceramic based products
• Intumescent mastics
• Proprietary fire stopping and sealing systems
• Intumescent collars and warps
• Fire batts

Question 261

What are the key points within Part B of the Approved Documents?

Answer 261

• Escape routes - office
  o 18m (one direction/means of escape)
  45m (two directions/means of escape)
  o Must have more than one means of escape if the building is taller than 11m or 3 storeys.
  o Warehouse: 25m (one direction/means of escape)
  45m (two directions/means of escape)

Question 262

What conditions are needed for a fire to start in a building?

Answer 262

• For combustion to occur oxygen, heat and a fuel source must all be present.
• The fire triangle
• Flames are the main manifestation of combustion

Question 263

What are the responsibilities of key duty holders such as occupiers and management undertaking risk assessments?

Answer 263

• You are responsible for fire safety if you are an employer, the owner, the landlord, an occupier or anyone else with control over the premises, e.g. a facilities manager, building manager, managing agent or risk assessor.
• A responsible person’s responsibilities include:
  o Carrying out a fire risk assessment of the premises and reviewing it regularly
  o Tell staff/representatives about the risks you have identified
  o Put in place and maintain appropriate fire safety measures
  o Plan for an emergency
  o Provide staff information, fire safety instruction and training

Question 264

What are fire doors required to have?

Answer 264

• Fire rated hinges, locks and hardware
• 2-4mm gap around door
• Fire rated frame
• Fire rated glazing
• Smoke seals/intumescent seals
• Kitemark on top of door
• Door closer
• Fire door signage on both sides of door
• Dorgard fire door retainer if held open

Question 265

What are the typical life spans for flat roof coverings asphalt/built up felts?

Answer 265

• Asphalt – 25 years
• Built up felt – 10-20 years
• GRP (Fibreglass) – 20-30 years
• Green roof – 40-50 years
• EPDM – 50 years

Question 266

Explain the difference between warm and cold deck roof construction

Answer 266

• Cold roof – the thermal insulation layer is located immediately above or between the ceiling joists with the vapour control layer below the insulation, so everything above the insulation including rafters, roof space etc. will be colder than the living space beneath it. When warm/damp air permeates up through the ceiling and reaches the cold roof space, the change in temperature can result in condensation forming so adequate roof space ventilation must be provided to remove this air
• Warm roof – the insulation layer is laid on top of the roof structure with the structural deck and its supports being at a temperature closer to that of the building’s interior. The vapour control layer is placed below the insulation and the plywood/osb board sits on top.
• Inverted roof is essentially a warm roof, with rigid insulation boarding installed above the roof deck and vapour control layer, with ballast installed above this.

Question 267

What is a tingle?

Answer 267

• Slate straps that are commonly used for repairing broken or slipped slate roof tiles by fixing it to the batten and turning the end up to hold the repaired slate in place.
• More temporary measure to keep the slates in place until repairs can be carried out.
• Usually formed from lead and nailed to the roofing battens, taken underneath the loose tiles and then neatly folded around the tail of the slate.

Question 268

Name the common defects associated with slate roof coverings?

Answer 268

• Nail sickness (original fixings made of iron/poor quality galvanised steel and will corrode over time, which can cause nails to snap allowing the slate to slip).
• Broken slates – absorb water over time and eventually start to fracture/break.
• Slipped slates – nail breakage or enlargement of the nail hole as a result of natural decay.
• Delamination – texture is layered and when it starts to reach the end of its life, the layers might begin to split apart, which can lead to breakages and leaks.
• Flashing damage.

Question 269

What problems are likely to be associated with a leaking flat roof with woodwool slab decking and what remedial works should be considered?

Answer 269

• During the 1950s-70s woodwool was used as a permanent formwork as a convenient means of providing thermal insulation properties to exposed floor slabs.
• Because of the permanent shuttering conceals the steel reinforcement it is difficult to know whether full compaction and coverage of the steel reinforcement has been achieved and whether it was placed properly and was properly embedded in concrete. The spacers may have been displaced and the steel could rest directly on the top of the surface of the slab and as a result strength and fireproofing would be compromised.
• This could lead to a poor or failed bond between the woodwool and the hardened concrete, excessive penetration of the grout/mortar into the woodwool leading to the impairment of the concrete and honeycombing/voiding of the concrete beneath the reinforcement.
• This would leave the steel reinforcement exposed to any roof leaks and could lead to corrosion and the weakening of the reinforcement.
• Non-destructive testing can be undertaken to identify whether any issues exist, although physical sampling is likely to be more reliable. Removal of the shuttering and repairs using hand placed mortars/sprayed concrete may be necessary if defects are found.

Question 270

What problems are associated with replacing slated roof coverings with new concrete tiles?

Answer 270

• Sagging, as concrete tiles are heavier than slates, and this can occur if the roof timbers have not been strengthened.
• Roof spread where rafters have pushed the walls outwards and sunk in the middle. In severe cases, structural work may be needed and a structural engineer should be consulted.

Question 271

What are the main defects caused to flat roofs?

Answer 271

• Excessive movement
• Entrapped moisture
• Solar degradation
• User negligence

Question 272

What causes excessive movement to flat roofs?

Answer 272

• Drying shrinkage (moisture movement of timber and concrete)
• Deflection of the decking under the load of the covering etc.
• Structural failure of the decking
• Thermal changes in the deck and coverings

Question 273

What are some of the results of excessive movement in flat roofs?

Answer 273

• Roof sagging
• Localised ponding
• Splitting/tearing of the roof coverings
• Water ingress at pipe and vent junctions

Question 274

What causes moisture to become entrapped in a flat roof?

Answer 274

• Lack of effective ventilation to remove vapour
• Inadequate or missing moisture barrier
• Laying covering directly on to wet decking or snow or not allowing free water to evaporate from concrete.

Question 275

From an inspection of a flat roof how could you tell moisture was entrapped?

Answer 275

• Blistering/bubbling of the surface as a result of hot weather

Question 276

How would you identify if solar degradation had occurred to a flat roof?

Answer 276

• Blistering and cracking would appear on the surface.
• Crazing through the surface.
• Asphalt in particular becomes brittle.

Question 277

What are the causes of solar degradation in flat roofs?

Answer 277

• Inadequate solar protection using chippings/paint/tiles.

- Wind scouring of the chippings.

Question 278

What are the causes of user negligence to flat roofs?

Answer 278

• Impact damage to surface
• Specifying an inadequate number of movement joints
• Designing ineffective ventilation
• Short life of materials and incorrect falls
• Overheating of asphalt during laying
• Poorly laid reflective chippings

Question 279

What are common defects to felt flat roofs?

Answer 279

• Differential movement
• Condensation
• Insufficient falls
• Loss of protective chippings
• Skirtings and parapets
• Sealing of lap joints

Question 280

Why is differential movement a problem with felt flat roofs?

Answer 280

• Felt is liable to crack through differential movement between felt and the substrate and the shrinkage of the base due to thermal changes.

Question 281

What problems will condensation cause to a felt flat roof?

Answer 281

• Condensation can become entrapped moisture and can create fungal growth and cause the felt to lift and cause blisters.

Question 282

What measures can you take to prevent condensation occurring in a felt flat roof?

Answer 282

• Ensure a vaper barrier is installed and that the roof is sufficiently ventilated.

Question 283

How do loose protective chippings create problems with flat roofs?

Answer 283

• Loose protective chippings can cause choking of gutters and penetrate felt providing a source of moisture ingress.
• Reflective paints are also prone to crazing.

Question 284

How can problems occur at the skirting and wall parapets with felt flat roofs?

Answer 284

• Differential movement between skirting and parapets can cause failure of the coatings
• Skirtings are formed at parapets by turning up two layers of felt against abutments to a height of 150mm.

Question 285

How can lap joints cause defects to felt flat roofs?

Answer 285

• Welding joints give a higher strength than adhesives, so poorly applied adhesives instead of welding could create problems.
• Stones and grit become trapped beneath the membrane at the time of laying which can cause holes to form.

Question 286

Why would you specify mastic asphalt as a roof covering?

Answer 286

• It provides a jointless covering with no need for welds, rolls, drips and seams.
• It is an unobstructed smooth finish which is ideal for roofs with traffic.

Question 287

What are the common defects you’d expect to encounter on mastic asphalt roofs?

Answer 287

• Ponding
• Blistering
• Cracking
• Differential movement at joints
• Changes in temperature

Question 288

Why is ponding water a defect to a mastic asphalt flat roof?

Answer 288

• Stresses imposed in weather will tend to cause the material to expand in the summer and consequently contract in winter.
• They will cause map pattern cracking across the roof
• The ponding will then be a prolonged source of water ingress rather than falling away.

Question 289

When would blisters appear in a mastic asphalt roof?

Answer 289

• Blisters are prone to appear in a concrete deck or deck with a lightweight concrete screed due to the concrete not fully drying out before being asphalted.
• Heat from the sun creates expansion of any moisture vapour which can lift the asphalt from the concrete locally.
• Rainwater trapped under asphalt can also lead to blisters in the same way.

Question 290

How does cracking occur to asphalted flat roofs?

Answer 290

• Cracking is fairly common to old asphalted roofs and is caused by the movement of the substructure and the asphalt due to the absence of an isolating membrane.
• Old asphalt roofs can also crack by becoming brittle or through excessive wear.

Question 291

Can you name where differential settlement can occur in an asphalted flat roof?

Answer 291

• Joints between the horizontal surfaces and vertical abutments of parapet walls.

Question 292

Tell me how differential settlement can occur to an asphalt flat roof.

Answer 292

• Rainwater penetration has occurred behind asphalted skirting either because the skirting was not properly turned back at the brick joint or the cover flashing has been omitted.

Question 293

What defects would you expect to find with a liquid applied coating to a flat roof covering?

Answer 293

• Splits in the roof covering
• Fractures in verges, flashings and abutments
• Failure of the material where dressed around pipes, ducts and roof lights
• Loss of bind between coating material and substrate

Question 294

How do you install Delcote architectural coating system?

Answer 294

 Clean roof and remove all debris/loose materials including corrosion
 Fill any damaged sections to the substrate using a seamsil sealant
 Gun apply seamsil sealant to all lap joints/edges affected both above and below the sheets
 Treat sheets with seamsil basecoat by brush to treat areas 25mm from edge/either side of lap joint (10mm beyond affected area)
 Once touch dry apply first coat of delcote by brush, spray or roller (criss cross technique to prevent runs).
 Once tack free install a second delcote coat and allow to cure.

Question 295

How do your repair slipped and damaged slates to a roof?

Answer 295

• Remove the damaged slate and use a hammer to remove the nail fixings with a slate ripper. If steel nails/screws have been used it may be best to strip out above the slate and expose the defective slate and fixings.
• 25% + failed slates the point at which all slates should be replaced.
• Once removed, replace the slate as closely as possible. The fixing will depend on access to the centre nail holes. If both are visible, the slate can be nailed back into position using copper headed nails.
• Use copper wire tingles or wire fixings to hold it in place – temporary.
• Strip and replace all fixings in the affected area to undertake a proper repair. Replace with copper nails.
• (Slot in the replacement tile, marking the location of the fixing. Punch a hole in the slate and hammer the nails between the slates above. Slip a copper bib above to protect the nail.)

Question 296

What are the guidance notes relating to contract administration?

Answer 296

• CA Guidance note since withdrawn
• Black Book – extensions of time, final account procedures, interim valuations and payment, retention, tendering strategies, termination of contract, value management and value engineering

Question 297

What are the main types of tendering?

Answer 297

• Single stage competitive tendering
  o Most common
  o Usually done at RIBA stage 4
• Two stage tendering
  o Often used where time is restrained
  o Benefit from technical input of the developer
  o RIBA stage 2 or 3
  o Preferred contractor works with professional team usually to Stage 4 before presenting bid for works at this stage.
• Negotiated tender
  o Single stage tender with a single contractor
  o Returned price negotiated with contractor
  o Benefit of speed, but competitive bidding is compromised

Question 298

What is included within a tender pack?

Answer 298

• Invitation to tender
• Form of tender
• Contract conditions
• Project information – preambles, prelims
• PCI
• Schedule of Works
• Drawings

Question 299

What are prelims?

Answer 299

• Provide a description of the project that allows the contractor to assess costs which do not form part of any of the package of works required by the contract
• Purpose to describe the works as a whole and specify general conditions and requirements for their execution including subcontracting, approvals, testing and completion.

Question 300

What are preambles?

Answer 300

• Explanation of a document, and helps to interpret the document
• Provides more detailed description on how the works should be undertaken and the specification of the works.

Question 301

How did you advise the client on the penetrating damp in the basement of the pub in Greenwich?

Answer 301

• Penetrating damp noted to an external wall in the basement – advised that this is a recent issue. Suspect that this could have been caused by a mains water leak/collapsed drain. I recommended that the water authorities be contacted and internal mastic asphalt tanking
• Informed them that there may be difficulties in dealing with the water board if the issue was confirmed to come from the public drains – delays to remedy the issue.
• Recommended that a CCTV drainage survey be undertaken to gain a greater understanding of the issue prior to the purchase.
• Remedial action would involve resolving the water ingress issue with the drains and allowing the basement to dry out in the first instance. If this did not remediate the issue, I would recommend that the basement be tanked. Options include cementitious coatings, multi-coat renders,

Question 302

What is the build up of a concrete ground bearing floor slab?

Answer 302

• Hardcore
• Blinding
• DPM
• Concrete floor slab
• Top layer of screed
• 4.5 m bays with movement joints between them

Question 303

Describe some different types of screed.

Answer 303

• Monolithic screed (laid directly on the concrete slab within 3 hours of placing concrete)
• Separate screed (laid after concrete has cured)
• Unbonded screed (laid directly over a DPM)
• Floating screed (quilt laid and screed laid over quilt – improves sound insulation)
• Latex floor screed (modified with liquid resin to modify cement/sand – ideal for levelling irregular surfaces of sound compression
• Movement joints required – refer to Construction Industry Research and Information Association

Question 304

How frequent should movement joints be installed in brickwork?

Answer 304

• Every 10-12 m (6m from a corner)

- Refer to the Brick Development Association

Question 305

How did you know whether the screed you had specified would suit the warehouse?

Answer 305

• I referred to the Resin Flooring Association’s guidance on the specification and application of synthetic resin flooring
• Classification system for the use requirements – determined that type 3 would suffice – high build floor coating. Medium duty – fit for regular foot traffic, frequent fork lift traffic and occasional hard plastic wheeled trollies.
• Surface regularity (SR1 (most even) -SR3)

Question 306

What methods can be used to construct a basement?

Answer 306

• Blockwork walls
• In-situ reinforced concrete
• Pre-cast concrete panels
• Permanent sheet piled walls
• Diaphragm walls
• Contiguous bored piles
• Secant piles (interlocking contiguous piles)

Question 307

What types of basement waterproofing are there?

Answer 307

-	Type A – barrier 
o	Mastic asphalt
o	Bonded sheet membranes
o	Liquid applied membranes
o	Geosynthetic clay liners
o	Cementitious slurries
-	Type B – Structurally integral protection (dense reinforced concrete)
-	Type C – Cavity drainage/diaphragm walls

Question 308

Name some types of underpinning.

Answer 308

• Mass concrete underpinning (most common – ground below excavated in stages and filled with concrete)
• Beam and base – concrete beam transfers building load to mass concrete bases
• Mini piled – most suited to variable ground conditions
• Expanding resin injection – injection into the ground of a structural resin/hardener mix to expand and compact weak soil.

Question 309

What are the different types of piling?

Answer 309

• Bored piling (auguring and pouring in concrete) – continuous flight auger
• Driven piling (hammered into the ground)
• Screw piling
• Sheet piling (driven)
• Mini piling

Question 310

Name some Foundation types.

Answer 310

• Strip
• Raft
• Pad
• Piling
• Diaphragm walls
• Mini piles

Question 311

Name some different types of metal roof coverings.

Answer 311

• Built up metal roof sheets
• Composite roof sheets
• Standing seam

Question 312

What insurance provisions are there within the JCT Minor Works Contract?

Answer 312

• Requirement for the contractor to take out and maintain a policy in joint names with the property owner for the works only (A) (for use where no existing structure is present – contractor must take out an all risks policy against loss/damage to the works and unfixed goods/materials – contractor responsible for any shortfall)
• Requirement for the property owner to insure both the existing structure and the works in joint names with the contractor (B) (To existing buildings where employer’s existing insurance is extended to cover the contractor against specific losses. Employer also takes out a joint names ‘all risks’ policy to cover the works.)
• Requirement for property owner to insure the existing structure in own name. (In the event the employer is unable to obtain insurance under B the parties will need to make a special arrangement under C. 3 options:
  o 1. If employer is freeholder, employer insures works under joint names and continues with its own existing structures policy. The contractor insures itself against damage to existing structures.
  o 2. Contractor insures the works under clause A together with the existing structure by extending its works insurance policy
  o 3. If the employer is not the freeholder the JCT recommends parties take specialist advice and liaise with the freeholder and its insurers.

Question 313

What insurance provisions are there within the JCT Intermediate Works Contract?

Answer 313

• If either party defaults in taking out the required insurance, the other may take out the policy and the defaulting party will be liable for the costs. In all 3 options the policies are to be in joint names and cover must be maintained until PC/termination. Policies must either cover sub-contractors or include a waiver of any rights of subrogation against them in respect of specified perils only.
• A covers new building work and requires all risk cover under joint names. Requirement for the contractor to take out and for the full reinstatement value of the work, including professional fees, to the extent entered in the contract particulars (default rate 15% if not stated). Contractor responsible for keeping the works fully covered would be liable for any shortfall.
• B covers new building work and is taken out by the property owner and must be for the full reinstatement value of the works, including professional fees. Employer responsible for keeping the works fully covered would be liable for any shortfall.
• C covers existing buildings. It includes 2 insurances, both taken out by the employer. The existing structure and contents must be insured against specified perils (omission of risks connected with impact, subsidence, theft or vandalism). New works in or extensions to existing buildings must be covered by an all risk insurance policy for the full reinstatement of the works, including professional fees.
  o If the employer cannot obtain joint names insurance for the existing building, they are able to disapply Paragraph C1 and replace it with an alternative provision. Likely to be negotiations before finalised. Specialist advice may be needed.

Question 314

What are the main forms of ADR in dilapidations?

Answer 314

• Independent Expert Determination
• Mediation
• Adjudication
• Arbitration

Question 315

How should a dilaps settlement agreement be served?

Answer 315

• In writing identifying the parties, the lease and the SoD/QD
• Be open – not without prejudice
• Be stated to be in full and final settlement of a dilaps claim
• Deal with all parts of the claim including interest/costs
• State the date any payment is to be paid or when works are to be signed off
• Be dated
• Be signed by each party

Question 316

What is a Part 36 offer?

Answer 316

• A written offer to settle a dilapidations claim that must specify a period of not less than 21 days during which it can be accepted. Offer must be paid no later than 14 days after acceptance or it will not be treated as a part 36 offer.
• It must state that it is to have the consequences of Section 1 of Part 36 and if it relates to the whole claim or part of the claim.
• Always open for acceptance up to the start of a trial unless they are expressly withdrawn in writing, even if previously rejected.
• Advantage of providing more certainty as to how litigation costs will be treated – court does not have the same degree of discretion about they attach to the weight of the offer in determining the appropriate award of costs.
• Does not apply to small claims under £10k.
• If it is not accepted within the relevant period and the other party does not beat that offer then there will be cost consequences.

Question 317

What is a Calderbank offer?

Answer 317

• A settlement offer made on a ‘without prejudice save as to costs’ basis
• Court unable to refer to the document except on the matter of costs
• Provides greater flexibility as it is not governed by strict court rules
• Price for flexibility is that it forms a binding contract if accepted.

Question 318

What are the maximum travel distances for Part B?

Answer 318

• Small premises (2-3 storeys)
  o Ground storey (single distance) – 27m
  o Basement/first floor with single direction – 18m; 2 directions – 45m
• Industrial (low risk) –
  o One direction – 25m (12m if high risk)
  o More than one direction – 45m (25m if high risk)

Question 319

What are the main differences between GEA and IPMS 1?

Answer 319

• Inclusion of balconies and accessible rooftop terraces in IPMS 1

Question 320

What are the main differences between IPMS 2 and GIA?

Answer 320

• IPMS 2 are taken to the internal dominant face

- Covered galleries and balconies are included and reported

Question 321

What are the main differences between IPMS 3 and NIA?

Answer 321

• IPMS 3 are taken to the internal dominant face (window reveals now included if dominant face)
• Columns are now included in the measurement
• Area measurement taken to the midpoint of the party wall between each demise/tenancy.

Question 322

What is a Gantt chart?

Answer 322

• Type of bar chart that illustrates a project schedule – it shows the dependency relationships between activities and the current schedule status.
• Aware of critical path method – identify tasks necessary for project completion and determining scheduling flexibilities.
• Float is the amount of time an activity, network path or project can be delayed without changing the completion date of the project.

Question 323

What does the Regulatory Reform (Fire Safety) Order 2005 require?

Answer 323

• Provides a framework for regulating fire safety in all non-domestic premises
• Requires a responsible person to ensure the premises reaches fire standards and that employees are provided with adequate fire safety training.
• Mandatory to carry out detailed risk assessments in commercial properties that must be undertaken by a competent person and must be recorded if there are 5+ people.

Question 324

What were the Bichard Review recommendations?

Answer 324

• Commissioned in December 2021 following recommendations within the Levitt Review
• 36 recommendations with phased timetable for implementation
• Renewed and increased focus on the public interest remit of RICS – amending the Royal Charter and creating a public interest panel to advise the governing council
• Maintaining self-regulation through greater independence for regulatory functions
• Increased focus on diversity and inclusion across the profession
• Empowering and enabling members through greater support of regional boards, alongside increased member engagement with renewed focus on younger members
• Independent review of RICS’ governance and effectiveness at delivering against its charter for the public advantage every 5 years
• New simplified clear accountable governance structure
• Showing greater leadership on issues that matter to society, eg. Sustainability and climate change.

Question 325

What was the Levitt Report?

Answer 325

• Report into the RICS scandal that revealed major failings within the institution’s leadership model, that 4 non-exec directors were forced out of the organisation after questioning its internal financial controls.
• recommendations within the Levitt Review that a wide ranging examination of purpose, governance and strategy should be conducted by an external review.

Question 326

What was the Hackitt Report?

Answer 326

• A review following Grenfell that recommended a new regulatory framework for buildings, clear responsibilities and clarity on roles, more rigorous enforcement, higher competence levels, more effective product testing, better information and procurement, three gateways (accessible for fire services, key risks understood and signed off design followed).

Question 327

What is the Building Safety Act 2022?

Answer 327

• Take effect in 12-18 months
• Focus on high risk buildings – high rise residential buildings, student accommodation, hospitals and care homes that are at least 18m tall or 7 storeys high.
• Also provisions relating to remediation of self-contained buildings that contain at least 2 dwellings and are at least 11m high/ 5 storeys.
• Act requires those responsible (building owner), in particular, to evidence fire safety measures, as well as the structural safety of the building and associated inspections and maintenance.
• Act will be used to make regulations that place duties on those that procure, plan, manage and undertake building work – using secondary legislation.
• Lifecycle split into gateways – planning and design, construction and occupation – and building owner must safety has been considered at each stage – compliance monitored by a new Building Safety Regulator
• BSR has power to require provision of documents and stop works.
• Dutyholder regime to be incorporated across lifecycle of high risk buildings – principle that the person/entity that creates a building safety risk should be responsible for managing the risk.
• Golden thread – collation and management of a golden thread of information that is updated throughout the lifecycle of a building – more accessible and detailed than previously. Having accurate information about a building’s construction and its passive/active fire safety measures will be fundamental to achieving compliance. BSR, residents, contractors and emergency services have access.
• Fundamentally changes how we design, build and manage properties.
• Relates to certain high rise buildings over 18m or 7 storeys, care homes and hospitals
• Legal duties to keep certain new and existing high rise buildings safe during occupation.
• Such buildings must have an accountable person who is the dutyholder responsible for building safety. Should be the person responsible for repairs of the common parts.
  o Must comply with reporting requirements
  o Carry out assessments of fire and structural safety risks
  o Prepare and keep under review a resident’s engagement strategy
  o Provide residents with relevant safety information about the building
  o Take all reasonable steps to prevent a major incident occurring
• Costs can be recovered from tenants via service charges if leases are 7+ years
• Provisions for costs to remedy historic defects (max service charge contribution from tenants is £10k/£15k in greater London)

Question 328

What will the impact of the extension period of limitation in the Defective Premises Act 1972 within the Building Safety Act have on PII?

Answer 328

• Applies DPA to extension or refurbishment works to existing residential properties and extending the limitation periods for breaches from 6 to 30 years retrospectively of existing buildings and to 15 years prospectively for new building work.
• Hardening PII market since Grenfell and insurers concern around the building regulations alongside exposure to fire safety have resulted in the reduced availability of PII and significant increases in the premium.
• The retrospective period of limitations will not be looked on favourably by insurers who have been concerned about changes to building regulations.
• As a result the legislative change is likely to negatively impact the availability and cost of PII for RICS regulated firms in an already extremely challenging market.
• RICS intend to work with government, insurers and stakeholders to limit the impact od these measures to ensure adequate and affordable PII remains in place.

Question 329

What is a Safety Case Report in the Building Safety Act?

Answer 329

• Document that summarises your high risk building safety case.
• Identifies major fire and structural hazards and how the risks are being managed
• Prepared by the accountable person and will be called in by the BSR every 5 years
• Issue a building assessment certificate – will not certify a building is safe.

Question 330

Who is the accountable person in the Building Safety Act?

Answer 330

• A new role distinguished from the responsible person under the Regulatory Reform (Fire Safety) Order 2005 for residential high rise buildings.
• Will be the organisation or person that owns or has responsibility for the building
• Could be an organisation who is responsible for maintaining the common parts of a buildng.
• Duty to prevent a building safety risk happening (spread of fire/structural failure) and reduce the seriousness of an incident if one happens.

Question 331

What is the New Home Ombudsmen Scheme and how does it impact surveyors?

Answer 331

• Independent redress scheme.
• If new build buyers unhappy with quality of home/service provided by the developer, they can submit a case to the NHOS if complaint not dealt with.
• All developers must register with NHOS and remain members of the scheme.

Question 332

What does the Building Safety Act mean for the building environment?

Answer 332

• It will create a clear, proportionate framework for the design, construction and management of safer buildings – only applies in England and limited parts of Wales.
• It will strengthen the construction products regulatory regime with new requirements to make sure products are safe, while paving the way for a national regulator for construction products to oversee and enforce rules
• Levy on developers introduced to ensure the industry makes a contribution to the costs of correcting existing defects in buildings.

Question 333

How will the Building Safety Act affect RICS members and firms?

Answer 333

• Higher level of competency will be required for the regulated roles of Principal Designer and Principal Contractor for residential high rise buildings
• New Building Safety Regulator will have responsibility and oversight of the whole building control profession for all buildings. This means all building control professionals, private building control approved inspector firms, building surveyors (in respect of design), building managers, quantity surveyors and project managers.
• Interim Competence Committee has been established by HSE and they will ensure competence of all involved in the design, construction and management of buildings is improved, including resident engagement and communication.
• RICS is currently reviewing pathways and competencies framework – already made knowledge and understanding of fire safety a core requirement competency for building surveyors in 2018.
• Anticipate those working on high risk buildings will need to be accredited by a third party validation as well as a public register.
• New role of Building Safety Manager now scrapped.

Question 334

How will the Building Safety Act affect building owners?

Answer 334

• Building owners are required to manage safety risks with clear lines of responsibility for safety during design, construction, completion and occupation of high rise buildings.
• Focus of Act on structural safety and fire safety only.
• Requires a ‘golden thread of information’ with safety considered at every stage of a building’s lifetime from planning onwards.
• Owners will need to demonstrate that they have effective, proportionate measures in place to manage safety risks and will need to register their buildings.
• Any incidents need to be reported to the Building Safety Regulator.
• Regulatory Reform (Fire Safety) Order 2005 will be amended to ensure tougher sanctions for non-compliance – criminal charges if non-compliant.
• Residents in high risk buildings will have more say in the management of their building.
• They will be able to raise concerns to the owners/managers directly - if ignored can report to Building Safety Regulator.
• Defective Premises Act amended to provide 30 years limitation to claim compensation for substandard construction work (previously 6)
• Does not apply to buildings under 11m
• Cap of £10k (£15k in London) for leaseholder contributions if all other options exhausted. Building Safety Fund available for remediation
• Landlords now financially liable in law for the remediation of historical building safety defects.
• Ultimate owners can no longer hide behind shell companies – must take responsibility themselves.
• Criminal offence and up to 10 years in prison if breached.

Question 335

What is the Fire Safety Act 2021?

Answer 335

• Amends the Regulatory Reform (Fire Safety) Order 2005 and extends the provision of the fire safety officer to the building structure (external walls/common parts/windows/doors)
• Responsible person defined as the person that has control of the premises.

Question 336

What is PAS 9980:2022?

Answer 336

• Code of practice since January 2022 – published by BSI as a guide to reduce risk of fire spreading via external wall construction and cladding of existing blocks of flats.
• For use by competent fire engineers and other competent building professionals tasked with advising on the fire risk of external wall construction of existing blocks
• It gives recommendations and guidance on undertaking a fire risk appraisal of external wall construction to assess the risk of a fire spreading over or within external walls of the buildings. It gives a methodology for appraising/assessing scope and risk of fire spread.
• Not intended as an alternative to EWS1.

Question 337

What is an EWS1?

Answer 337

• RICS Certificate intended to reassure lenders so that mortgages can be offered on flats within a building that has external cladding.
• It is a report for the valuers and lenders constructed by a specialist fire engineer of the external wall construction – not a fire safety assessment.
• Required every 5 years

Question 338

How is RICS governed?

Answer 338

• Shaped by its Royal Charter (grant issued by a monarch on the advice of the privy council – generally reserved for bodies that work in the public interest and can demonstrate pre-eminence, stability and permanence in their field. The charter defines an organisation’s objectives, constitution and power to govern its own affairs – subject to general law, then generally self-regulating and not answerable to the privy council in relation to internal affairs, although important changes to the constitution need to be ratified through the Privy Council. Requires RICS to promote usefulness of the profession in the UK and globally), bye laws and regulation
• Governing Council is RICS’ main governing body, setting the overall strategy, high level assurance around standards and its professionals, as well as oversight. It ensures it fulfils its Royal Charter obligations – elected members, chair and members of the presidential team.
• The Executive Team consists of the RICS is Richard Collins as well as other executive directors responsible for products, professional standards, reputation, people and corporate responsibility. The presidential team is elected by the governing council and they act as ambassadors for RICS, working in partnership with the CEO to address critical issues in the built and natural environments. They are for one year terms and sit as members of the governing council throughout.

Question 339

What boards sit below the governing council (required by charter and bye-laws)?

Answer 339

• Regulatory Tribunal
• Standards and Regulation Board (overseeing standard setting and upholding standards)
• Management Board (inform and oversee RICS affairs under delegated authority from GC – approves business plan)
• Audit Committee (monitors integrity and effectiveness of financial reporting, internal control and risk management systems)
• Nominations Committee
• Presidential Nominations Committee
• Regulatory Tribunal (independent decision making body that reports on activity/performance only)

Question 340

What sits below the Management board?

Answer 340

• Finance committee
• World Regional Boards and Market Advisory Panels
• Remuneration Committee

Question 341

What are bye laws?

Answer 341

• RICS regulation is set by the governing council in the form of bye laws, which were last revised in 2020.
• Covers:
  o Application and definitions
  o Membership and regulation
  o Designations
  o Contribution to funds
  o Conduct
  o Governing council, officers and staff
  o Subordinate boards, committees and groups
  o Procedure for general meetings
  o Accounts and audit
  o General

Question 342

What is the role of RICS?

Answer 342

• Regulate and promote the profession, maintain the highest educational and professional standards, protect clients and consumers through a strict code of ethics and provide impartial advice, analysis and guidance.

Question 343

What are ethics?

Answer 343

• A system of moral principles that govern behaviour and decision making.
• In addition to the Rules of Conduct, there are International Ethics Standards which provide a framework to create a shared international standard to help ensure consistency, clarity and higher levels of professionalism globally.
  o Accountability
  o Confidentiality
  o Conflict of Interest
  o Financial Responsibility
  o Integrity
  o Lawfulness
  o Reflection
  o Standard of Service
  o Transparency
  o Trust

Question 344

What are the offences under the Bribery Act 2010?

Answer 344

• Offering, promising or giving a financial or other advantage (bribing)
• Requesting, agreeing to receive or accepting a financial or other advantage (being bribed)
• Commercial organisations failing to prevent bribery (defence if it can demonstrate that adequate procedures were in place to prevent those associated with the company from committing acts of bribery)

Question 345

What are the requirements for bribery under the Countering bribery and corruption, money laundering and terrorist financing professional statement?

Answer 345

• Firms/members must:
  o Not offer, accept, directly or indirectly anything that could constitute a bribe
  o Report any activity that breaches anti-bribery/corruption laws to the relevant authorities.
• Firms must:
  o Have a written policy in place (risk assessment) that is updated regularly
  o Have appropriate governance and systems control proportionate to the business
  o Encourage transparency – gift register for gifts/hospitality/entertainment
  o Provide clear guidance for staff so they understand their role in preventing bribery
  o Appoint contact person within company to discuss ethical matters
  o Publish a code of behaviour and provide this to staff
  o Carry out proportionate due diligence on third party suppliers
• Members should:
  o Declare certain items to employer e.g. gifts, hospitality, entertainment and expenses
  o Attend relevant CPD provided by employer/regulator
  o Be familiar and act in compliance with their employer’s policy, process and code of behaviour
  o If in senior management position, take a leadership role in attempting to ensure employer has an appropriate regime in place.

Question 346

What are the requirements for money laundering and terrorist financing under the Countering bribery and corruption, money laundering and terrorist financing professional statement?

Answer 346

• Firms must:
  o Have a written policy covering enhanced due diligence in high risk situations
  o Have appropriate governance and system controls in place proportionate to the work undertaken
  o Provide appropriate, regular training for staff to ensure they are familiar with the issues and systems to counter risks
  o Keep reports of suspicions of money laundering and terrorist financing confidential
  o Identify the beneficial owner of a company/client involving in a transaction.
  o Appoint a senior person to be responsible for ensuring anti-money laundering and counter terrorist financing are in place and complied with.
• RICS member should:
  o Keep updated of the current training/regulation offered by their employer and comply with their employer’s policy and process
  o Keep reports of suspicion of money laundering and terrorist financing activity confidential
  o If in a senior management position taking a leadership role in attempting to ensure that their employer has appropriate regime in place for addressing risks.

Question 347

What are Hollis’ values?

Answer 347

• Open
• Energetic
• Connected
• Excellent

Question 348

What are the RICS’ 5 principles of better regulation?

Answer 348

• • RICS is self-regulated professional body that has a duty to the public interest
• They set out how the RICS regulates itself internally to maintain the highest standards of professionalism and integrity in the benefit of the public interest
• Proportionality (encourages self-regulation)
• Accountability (be accountable for actions)
• Consistency (be fair to all)
• Targeting (focus on problem and minimise side effects, focus on risk activities)
• Transparency (be open and keep simple, clear guidance)

Question 349

What is the difference between RICS ethics and rules?

Answer 349

• Ethics are a set of moral values while rules of conduct are a framework that we work to.

Question 350

What are the RICS’ new Rules of Conduct?

Answer 350

-	1 – Members and firms must be: (HIPO)
o	Honest
o	Act with Integrity
o	Comply with professional obligations, including obligations to RICS 
-	2 – Members and firms must: (CC)
o	Maintain their professional competence
o	Ensure that services are provided by competent individuals who have the necessary expertise
-	3 – Members and firms must provide good quality and diligent service (QS)
-	4 – Members and firms must: (RDI)
o	Treat others with respect
o	Encourage diversity and inclusion
-	5 – Members and firms must: (PIRHC)
o	Act in the public interest
o	Take responsibility for their actions
o	Act to prevent harm
o	Maintain public confidence in the profession

Question 351

Why does the RICS have Rules of Conduct?

Answer 351

• To provide a framework we can all work to and so the client knowns they are getting a set level of service.
• They are mandatory standards of professional conduct and practice expected of all RICS members, candidates, students and regulated firms.
• Important tool for the institution, but also a useful professional guide for individual institution members.

Question 352

What do the new Rules of Conduct replace?

Answer 352

• Rules of Conducts for Members
• Rules of Conduct for firms
• Global professional and ethical standards

Question 353

What are the RICS’ mandatory professional obligations for members?

Answer 353

• Members must comply with the CPD requirements set by RICS
• Members must cooperate with RICS
• Members must promptly provide all information reasonably requested by the Standards and Regulation Board or those exercising delegated authority on its behalf.

Question 354

What are the RICS’ mandatory obligations for RICS regulated firms?

Answer 354

• Firms must publish a complaints handling procedure, including ADR resolution provider approved by RICS and maintain a complaints log
• Firms must ensure all previous and current professional work is covered by adequate and appropriate PII cover that meets the standard approved by RICS.
• Firms with a sole principal must make appropriate arrangements for their professional work to continue in the event of their incapacity, death, absence of inability to work.
• Firms must cooperate with RICS
• Firms must promptly provide all information reasonably requested by the Standards and Regulation Board or those exercising delegated authority on its behalf.
• Firms must display on their business literature, in accordance with RICS’ published policy on designations, a designation to denote that they are regulated by RICS
• Firms must report to RICS any matter that they are required to report under the Rules for the Registration of Firms.

Question 355

What procedures must you follow if you are starting up a new practice?

Answer 355

• Contact RICS for guidance – provide a company starter pack
• Inform the RICS and register for regulation
• Appoint a contact officer for all RICS communication
• Prepare a complaints handling procedure
• Obtain PI cover
• Abide by the Rules of Conduct
• Use the designation ‘Regulated by RICS’ on all practice material

Question 356

What insurances would you need if you were starting up your own firm?

Answer 356

• PII
• Employer’s liability insurance
• Public liability insurance
• Buildings insurance of own office
• Directors and officers cover

Question 357

Which firms are regulated by the RICS?

Answer 357

• Those with 50% or more partners/directors that are members of the RICS or those with less that have applied.

Question 358

What sort of information do registered firms have to send to the RICS annually?

Answer 358

• Annual return – done online.
• Failure to do so leads to a fixed penalty
• Type of business and staffing
• Nature of clients
• Training provision
• Complaints handling procedure details and records
• PI insurance details
• Whether the firm holds clients’ money.

Question 359

What are the money laundering regulations 2017?

Answer 359

• Covers money laundering, terrorist financing and the transfer of funds (information of the payer)
• • Requirement to undertake customer due diligence (sanction check) e.g. identify customer
• Keep records e.g. of due diligence checks for 5 years
• Maintain internal procedures to identify and prevent money laundering
• Report suspicious activity (SAR = Suspicious Authority Report)
• Report internally to a nominated money laundering reporting officer
• Report externally – strange transactions must be reported to the SOCA (Serious Organised Crime Agency). The nominated officer of the company reports using a SAR report.
• Train employees on internal procedures and legislative obligations
• Cash payments over €10k, disreputable firms
• Suspicion can be speculation or based on strange behaviours – uneconomic decisions.

Question 360

What is money laundering?

Answer 360

• Exchanging money or assets that were obtained criminally for other money/assets that are ‘clean’.
• Also means money to fund terrorism
• Money laundering applies to all regulated sectors.

Question 361

What practices should you be following when handling client’s money?

Answer 361

• Separate designated bank accounts
• Advise the client that they must agree to the account handling terms in writing
• Monies must be available to clients on demand
• Interest is to be paid to clients unless otherwise agreed
• Signatories must be agreed, only authorised staff allowed and at least two required.
• A bank reconciliation must be undertaken at regular intervals
• All firms will be audited by RICS’ appointed accountants
• These firms are required to pay RICS an annual fee as monitoring costs

Question 362

What is negligence?

Answer 362

• A duty of care is owed to all clients and third parties using reasonable skill and care. If it is breached and there is a loss, then a claim for damages arises.

Question 363

What case law is there for negligence?

Answer 363

• Merrit v Babb (2001)
  o Surveyor sued for negligence by former client when firm’s PII cover was cancelled when firm became insolvent.
  o Highlighted the importance of run off cover.

Question 364

What is the Limitation Act 1980?

Answer 364

• In contract 6 (under hand) or 12 years (under deed)

- In tort – 6 years from when damage first occurred or 3 years from date of knowledge of damage

Question 365

What must be included in a RICS regulated company’s complaints handling procedure?

Answer 365

• RICS provides a model form
• Must include a redress system
• Details should be issued to the client with the Terms & Conditions
• It must be clear, quick, transparent and impartial, and free of charge
• Names and contact details of the nominated investigating person must be stated
• The complaint must be investigated within 28 days
• All complaints, their progress and outcomes must be recorded
• Not the need to advise PI Insurers of a complaint
• Must have 2 stages as a minimum –
  o Consideration of the complaint by a senior member of the firm of the complaints handling officer
  o If not resolved, referred to an independent third party with the authority to award redress.

Question 366

What is an independent redress scheme?

Answer 366

• Consumer scheme designed to handle small issues that would be disproportionately expensive to take to court. Each scheme has a financial limit.
• If the scheme judges in favour of the complainant, it is binding. If it judges in favour of the firm, the complainant can take it to court.
• RICS firms must specify which redress scheme they want to use – could be an ombudsmen, arbitration or adjudication.
• If the complaint relates to a large amount of money or if the complainant wishes so, he can take matters to court.
• Small claim court deals with claims below £5,000.

Question 367

What is the ‘Clients’ Money Protection Scheme’?

Answer 367

• Run by RICS
• Provides any member of the public to be reimbursed their direct loss of funds
• Provided through RICS’ insurance policy

Question 368

How many hours of CPD must you complete?

Answer 368

• Minimum 20 hours per calendar year, of which a minimum of 10 hours must be formal.
• Minimum 1 hour every 3 years of learning related to ethics/rules of conduct.
• All CPDs must be recorded in the new online management system

Question 369

What would you do if a contractor offered to take you out for lunch?

Answer 369

• Politely decline. I would not want to accept any hospitality that may appear to reduce my impartiality.

Question 370

What is the purpose of Professional Indemnity Insurance?

Answer 370

• To provide financial cover in the event that a client suffers financial loss as a result of a breach of professional duty e.g. negligence, error or omission
• The professional is protected from financial loss
• Does not have to meet the claim from their own assets and resources

Question 371

On what basis is PII underwritten in the UK?

Answer 371

• On a claims made basis
• It is the insurance policy that is in place at the time the breach is discovered that is claimed under, not the insurance policy in place when the breach was made.

Question 372

What is the significance of Merrett v Babb?

Answer 372

• Considered if a professional employer was vulnerable to claims brought directly against them for advice given on behalf of their employers.
• Highlights the importance of run off cover
• Professional individuals and firms must ensure that run off cover is in place after they leave their firm’s employment or a firm ceases trading.
• Individuals should ensure that their ex-company keeps this up on their behalf.

Question 373

How long should run off PII cover be in place?

Answer 373

• Depends on the type of contracts the professional has been involved with.
• Usually 6 years if executed under hand or 12 years if executed under deed.

Question 374

What are the requirements regarding PII by the RICS?

Answer 374

• Must be made on an ‘each and every’ claims basis.
• Provides for minimum wording
• Sets out minimum levels of indemnity
• Sets out maximum levels of uninsured excess
• Run off cover must be in place for at least 6 years.
• Should include cover for past and present employees, directors and partners.

Question 375

What are the minimum levels of professional indemnity cover? How do you determine the level of PI cover?

Answer 375

• Depends on the firm’s turnover
  o Firm’s turnover in preceding year –
   £100,000 or less - £250,000 minimum PII cover
   £100,001-£200,000 - £500,000 minimum PII cover
   £200,001 and above – £1m minimum PII cover
• If a new company, this should be based on projected turnover.
• To manage risk adequately some firms may wish to hold a higher level of indemnity.
• All RICS firms that conduct general insurance distribution work are also required to be registered with the Financial Conduct Authority or RICS’ Designated Professional Body Scheme and follow the below minimum PII requirements:
  o Limit of indemnity equivalent to at least €1,250,000 for each and every claim and at least €1,850,000 in the annual aggregate. Must cover for activities into and out of territories outside of the UK.

Question 376

What is the maximum level of uninsured excess for a PII claim (part of each claim the firm must pay itself)?

Answer 376

• Firms with £10m or less turnover the preceding year – greater of £10k or or 2.5% of sum insured
• Firms with £10m+ turnover the preceding year – No limit set

Question 377

What measures should be taken to try and avoid PI claims?

Answer 377

• Keep full and detailed records of meetings, conversations, etc.
• Record recommendations and advice given
• Use proper letters of engagement, scope of services and T&Cs
• Don’t advise on a specialism outside your field of experience
• Use RICS guidelines
• Avoid poor management and excessive workloads

Question 378

What are the main elements included within a fee proposal?

Answer 378

• Terms and conditions
• Scope of services
• Exclusions
• Assumptions e.g. programme

Question 379

If a client was prepared to pay you in advance for services you were providing, how would you ensure this was dealt with?

Answer 379

• Set up a separate client account that is properly named and clearly identifiable.
• Provide the client with a statement of account
• Inform and agree drawdowns.
• Prior to drawing monies, send a statement of how much is to be withdrawn and what services and associated fees are made up of. Send updated statements of account.
• Once complete, show a final statement, ensure everything is complete and transparent.

Question 380

What preventive measures are in place to check for conflicts of interest at your firm?

Answer 380

o Initial checks – address checked against project records to identify other projects in the same location (not failsafe as it depends on information in the system); project lead checks potential project conflicts. Additional checks needed for specific services e.g. neighbourly matters.
o RICS conflict checks – Project lead checks party conflicts, own interest conflicts, confidential information conflicts or relationship conflicts. If in doubt refer to FAQs, legal check group
 Relationship conflicts more common – potential for relationship damage to another client, even if we are not instructed by them. Matter should be referred to project director for discussion with primary contact and a decision should be made as to whether to accept/decline instruction.
o A conflict decision chart is used where you are unsure.

Question 381

What action should you take if you identify a potential conflict of interest?

Answer 381

• Be open and transparent.
• Declare it to all parties.
• Offer to stand down from acting (parties consider how to proceed)
• Step away from the instruction.

Question 382

How would your life change if you became chartered?

Answer 382

• Recognition of competence
• Encourage others to go for it
• It is hard works but rewards are good
• Continue to act as previously in how I conduct myself, but also know that I am accredited.

Question 383

What must be in place if a firm ceases to trade?

Answer 383

• Complaints handling procedure
• Clients’ money handling procedure (must be in a protected account)
• PII – maintain runoff cover

Question 384

What RICS rule of conduct resonates with you the most, and why?

Answer 384

• Honest, act with integrity, comply with professional obligations, including those to RICS
  o Identify any potential conflicts of interest and action accordingly
• Maintain professional competence and ensure services are provided by competent individuals
  o Supervise junior members of staff when they are starting to allow them to build up knowledge and skills
• Members and firms must provide good quality and diligent service
  o Quality assurance processes
• Treat others with respect and encourage diversity and inclusion
  o When negotiating dilapidations claims, I always ensure I treat surveyors from other companies with courtesy and respect, and am open and communicate my position clearly.
• Act in the public interest, take responsibility for actions, act to prevent harm, and maintain public confidence in the profession.
  o Respond promptly, openly and professionally to any complaints.
• take responsibility for my actions. Where I have made a mistake, for instance, when an error was noted within a set of meeting minutes, I notified all parties and issued a revised copy.

Question 385

Explain your understanding of Rule Number 1.

Answer 385

• Having reviewed the example behaviours in adhering to Rule 1, RICS members and firms should not allow themselves to be influenced improperly through the acceptance of work referrals, gifts or hospitality.
• Members and firms should also be sure to identify conflicts of interest and not provide services or advice where these conflicts of interest occur.
• This could be a scenario where you have reduced impartiality due to an existing relationship, for example, being friends with a main contractor who has subsequently been selected to submit a tender would form a conflict of interest.

Question 386

Why did the previous rules of conduct change?

Answer 386

• Previous rules in place since 2007
• Research and consultation with RICS members, firms and members of the public and the majority voted in favour of replacing the existing Rules of Conduct and separate Global and Professional Ethical Standards
• To provide a single document to enable greater clarity for members and firms
• Greater focus on clearer example behaviours, understanding evolving technology and tackling climate change.

Question 387

Please give some examples of matters you may refer to the RICS decision tree in order to seek guidance.

Answer 387

• Receiving gifts in a professional capacity
• Equal opportunities
• Whistleblowing
• Copyright and ownership
• Conflicts of interest
• Charitable donations
• Attendance at hospitality events

Question 388

What is the difference between ethics and integrity?

Answer 388

• Ethics are moral values that affect a person’s behaviour or the conducting of an activity
• Integrity is the quality of being honest and having strong moral principles

Question 389

What are the 6 principles of prevention relating to bribery that would form a defence in the courtroom?

Answer 389

-	Six principles of prevention (defence in a courtroom)
o	Proportionate procedures
o	Top level commitment
o	Risk assessments
o	Due diligence
o	Communication
o	Monitoring and review

Question 390

Under the Bribery Act, under what circumstances is a facilitation payment permitted?

Answer 390

• The only circumstance in which it is okay to make a facilitation payment is when you are under duress i.e. there is a real and present risk of danger to life, limb or liberty.
• If you or your companions are under immediate physical threat
• You should put safety first, make the payment and report the matter immediately, or as soon as is practicable to your manager or your ethics/compliance/legal contact.

Question 391

Tell me how you have demonstrated two of the 5 Rules of Conduct on your case study project.

Answer 391

• Rule 3 – I ensured that I kept my client updated throughout the project, and where decisions needed to be made, laid these options out clearly and in a way they could understand. I then advised on the benefits and drawbacks of each approach, always taking my client’s requirements into consideration.
• Rule 1 – I ensured that I always acted impartially when undertaking valuations, and when administering the contract.
• Rule 3 – I aimed to exceed my client’s expectations by agreeing the final account ahead of the agreed deadline.
• Rule 5 – When undertaking a valuation, I approached the project manager after witnessing construction workers not wearing hard hats on site. – Taking responsibility.

Question 392

Pick 2 of the 5 Principles of better regulation and explain what they mean to you.

Answer 392

• Proportionality – RICS should only intervene when necessary and any remedies should be proportionate. E.g. late payment of RICS fees by a member may be dealt with by a verbal warning, whereas continued failure to pay fees would lead to expulsion.
• Consistency – complete fair and level playing field and treat everyone the same

Question 393

Why does the RICS have rules of conduct?

Answer 393

• To provide a framework we can all work towards and so the client knows he is getting a set level of service
• As well as being an important tool for the institution, the rules of conduct are also a useful professional guide for an individual institution members.

Question 394

What is the Party Wall etc. Act 1996?

Answer 394

• It provides a framework for preventing and resolving issues in relation to party walls, party structures, boundary walls and excavations near neighbouring buildings.

Question 395

What does the Party Wall Act cover?

Answer 395

• various work to be carried out to an existing party wall/structure
• new building at or astride the boundary line
  Excavations within 3 or 6 metres of a buildings/structure.

Question 396

What is a Party Wall?

Answer 396

• Type A - Party Wall - if it stands astride the boundary
• Type B - Party wall on one owner’s land that is used to separate their buildings.
• Party structure (dividing structures like walls/floors between flats)
• Party fence wall (masonry garden wall - not against building)
• Adjacent structures (Section 6) - excavations within 3m to a depth lower than their foundations; within 6m if any part of that excavation intersects with the place drawn downwards at an angle of 45 degrees from the bottom of their foundations.

Question 397

What types of party wall notices are there?

Answer 397

• written intent that you provide to adjoining owners that you wish to undertake works to a party wall/structure, etc.
• Party Structure Notice s.2 (2 months notice) Must be dated and in writing including name, address, description of works and date of proposed start
• 14 days to respond before in dispute
• Notice of adjacent excavation - s.6. Same as party structure notice but needs plans (1 month notice)
• Line of junction notice - s.1 - construction of new wall adjacent or astride a boundary (1 month) Work can commence if no response but has to be on their side of boundary.

Question 398

What options does an adjoining owner have when they receive a party wall notice?

Answer 398

• give consent in writing
• refuse consent
• issue a counter notice
• do nothing
• 14 days to respond and may issue counter claim within a month - if nothing done in 14 days, the claim is in dispute.
• 2 stages - appointment of party wall surveyor and creation a party wall award. Notice asking adjoining owner to appoint surveyor within 10 days or risk having one appointed on their behalf. If 2 surveyors appointed, they will nominate a third surveyor to arbitrate.
  Building owner pays all costs if solely for them
  Party wall awarded
  Rectification for damage can be agreed
  Award final and binding unless rescinded or modified by court on appeal (14 days to appeal).

Question 399

What is the new guidance on Japanese knotweed from RICS?

Answer 399

RICS has renewed its guidance on JK as the 7m rule did not reflect latest scientific evidence. Applies to residential property. Created management categories instead of risk categories A-D. Looks at area of visible growth, rather than rhizome zone, unless it is off site, in which case 3m is used.
- White flowers, spade shaped green/purple leaves, zig zag stem - green with purple speckles.