Mandatory - Level 2 Flashcards

Question

Client care What are some of the quality management and assurance procedures you implement on projects?

Answer 1

• Project execution plans: this defined how often meetings, how risks will be addressed (eg public procurement), clear roles, reporting and how measured • Senior commercial team sign off professional fees • Monthly checklists to ensure everything has been captured • Record all advice and discussions within the shared drive • Change control log -Benchmarking and KPIs

Answer 2

• Formally record feedback • Discuss feedback with the client to see how I can improve my performance in certain areas • Review in 6 months with the client

Answer 3

-Set up a client specific dashboard to track EWN’s and changes, basically shared with them my CE tracker. -Established communication: weekly CE meetings with client

Answer 4

Developer experience (DMEX) measures the experience of developer services customers Introduced in PR19, each water company receives a score based on the satisfaction ratings given by customers in monthly surveys. Additionally for D-MeX company performance against key performance metrics e.g pollutions, sewer flooding, leakages If TW fail to invest in network reinforcement on time, it will impact upon D-Mex score as well as potentially incurring ODI penalties for Performance Commitments such as interruptions to supply, internal and external sewer flooding, pollution incidents and storm overflows.

Answer 5

At Thames Water, the clients are -Developer client (satisfaction feedback, KPI’s on CE’s, cost, programme) -OFWAT (KPI’s on client feedback, plus leakages, h&s incidents, pollution, flooding, pipe shuts)

Answer 6

-Build Rapport with open/respectful demeanour -Active Listening -Empathy -Open and transparent Communication: -Focus on Mutual Benefit, win-Win Solutions that benefit both parties to foster fairness/collaboration -Be willing to compromise -Solution-Oriented by focusing on finding solutions -Ensure all negotiations documented and understood

Answer 7

Competition law - to govern potentially anti-competitive behaviours which may seek to prevent, restrict or distort competition in the marke Formed by two major acts: -Competition Act 1998: bans agreements between businesses that might prevent, restrict or distort competition, and prohibits any abuse of its market position -Enterprise Act 2002 - CMA can enforce financial penalties for anti-competitive behavior. (Ofwat shares enforcement powers with the Competition and Markets Authority (CMA)) Water: -Water Industry Act 1999: removes TW’s right to disconnect domestic customers for non-payment of bills, right to complain, water quality standards, sustainability standards -Water Act 2014: enables greater competition for non-household customers to choose water provider, gives Ofwat new powers to make rules about charges/schemes -The Flood and Water Management Act 2010 encouraged use of (SUDs) and encouraged safeguard of community groups from rising surface water drainage charges

Answer 8

DAMPCoT Due dilligence Assessments (Risk) Monitoring and review Proportionate Communication Top level commitment -Checks on employees to comply with MLR and client (customer due dilligence, KYC) -General and individual client/project risk assessments if necessary, constantly reviewed by Compliance Officer -Review risk assessment annually for new risks, audit of hospitality register -Proportionate anti bribery, AML, hospitality, expenses policies to comply with legislation (bribery act, MLR) -Communicate that training mandatory for all with specific for those abroad -Top level commitment from Executive Management Board who have approved policies and procedures Money laundering only: -Appoint a ML Reporting Officer and ML Compliance Officer for MLR2017 compliance -Engage independent auditors to examine systems and controls; -Implement systems/procedures for verification of clients, conduct due diligence (KYC, and reporting -Refuse cash payments

Answer 9

-Comply with legislation (bribery act, MLR) and Gleeds policy -Must report -Know who the MLRO / Group Compliance director is -Complete all training -Immediately report any suspicions including any Red Flags in accordance with the Reporting process For money laundering only: -Obtain advice from the MLRO on any customer due diligence issues -Immediately refer any questions / requests from police to the MLRO -Be diligent as to the possibility of ML and bribery -Avoid “tipping off” a client or third party -Refuse cash payments from clients or any other parties -Maintain client confidentiality at all times.

Answer 10

Ensure you know the client and know your client’s business (KYC): -How the work is being financed; -How the client benefits -Where proceeds from the work will go -Who the beneficial owner is -Who else is involved in the work -Whether the structure of the client and how it operates makes sense; -Whether the work you are being asked to do by the client makes sense. -Ensure appropriate CDD has been conducted

Answer 11

-Raise concerns as early as possible -If unsure, raise queries using Staff Reporting Form through: line manager confidential whistleblowing email, or MLRO (for money laundering) / Group Compliance Director (bribery) -will receive a formal written response following an internal investigation. -All disclosures are confidential

Answer 12

Only if can prove had "adequate procedures" in place to prevent bribery. Ministry of Justice has published general guidance on what adequate procedures might involve, based on the six principles: Due dilligence Assess risk Monitor and review Proportionate Communicate Top level commitment

Answer 13

-All work honest and ethical -Due diligence to ensure no bribes -In accordance with principles of Bribery Act 2010 -Must declare all offered gifts and need approval from line manager -must notify manager OR the Group Compliance Director OR the confidential email helpline (whistleblowing) ASAP if suspect bribery taking place -Accept if proportionate, justified and not lavish while considering its intention -No cash -All recorded in gifts/hospitality register -Can accept up to £50 with line manager approval -£100+ need director approval -£500 regional director

Answer 14

-Lavish Corporate hospitality and gifts especially during sensitive times eg award of tender -global consultancy so must consider eg: Facilitation payments which is an offence under Bribery Act but legal in some USA states. Policy is to avoid at all times -Also Operate in countries of high risk corruption • valuations, tendering, cost plans must be in accordance with Technical Procedures (eg improper evaluation, unauthorised payments, misrepresentation of genuine cost) • construction sector is high risk. • Procurement: insider information, improper evaluation

Answer 15

First must: • not offer or accept a bribe • have plans in place to comply with legislation • report any activity and record it to authority • act with due diligence to perform periodic written evaluations of the risks, considering the appropriate level by considering the type of business/environment they’re in • retain information detailing how have met this professional standard. Money laundering only: -have appropriate training in place -appropriate measures to understand client and verify their identity Members must: -not offer or accept a bribe -ensure have adequate knowledge to be comply with the professional standard -report any activity to authorities

Answer 16

Contribute to the Health and Safety file under CDM regulations

Answer 17

Part of TW RAMS. Risk assessment and method statement To form part of the health and safety file -Identify risk -How you’re doing the job -How you’re managing risk -What you’re doing -Who’s doing it Also done by each Contractor/Subcontractor. Responsible of Principle Contractor to make sure everyone has got one. NOT A REQUIEREMENT OF CDM BUT RISK ARE REUQUIRED TO BE CONTROLLED SOMEHOW SO A RISK ASSESSMENT ALONG WITH A METHOD STATEMENT TO ADDRESS THESE IS GOOD.

Answer 18

Can be at various stages: -Design Risk Assessment -Activity Risk Assessment (before construction) -Task Risk Assessment (before task) Steps: Step 1: IDENTIFY hazards Step 2: OUTCOME most likely (WHO might be harmed and HOW) Step 3: EVALUATE risk (likelihood x impact) and determine control measures (mitigate) Step 4: RECORD findings Step 5: REVIEW and UPDATE ensure risk assessments stay updated Risk assessment must: -Have a company specific process/ procedure for managing risk in place -Ensure they are only written and authorised by competent people -Involve the workforce in their development -Ensure risk assessments consider individual job tasks and are ‘site specific’. - Review regularly and adapt

Answer 19

-Followed a main risk assessment (done during mobilisation phase) -Field observation checklist was to ensure compliance still being done on site Done FOLLOWING a risk assessment I did ‘Monitoring / Inspection’ to: -Check work proceeding in accordance with the risk assessment. -If notice differences between agreed working methods and actual site practices, should carry out investigation to understand why and to implement actions to rectify Note: not a surprise visit as not the safest thing to do

Answer 20

-contact the site office or designated person (site manager) and obtain any necessary instructions or permits. -Inform them of your purpose, how long you'll be on site, and any specific areas you need to access -Make sure someone available for site induction of the site's safety rules/procedures and key hazards.

Answer 21

-There were multiple GENERAL accounts depending on financial year, where all client money went in to, not discrete (specific account) -Money paid upfront for service and mains connection schemes -Accounts department provided RUNNING LEDGERS so always kept a track of -Interest paid to Thames’ OFFICE ACCOUNT, not paid to clients by agreement - -Principal overseer was senior manager of accounts -Controls cannot be overridden by principal -clear segregation of duties -Accounting systems and data secure -All Client money kept separate and clearly identifiable with word ‘client’ in bank account name. -Clients always have access to funds. -must agree the terms and advise the client on bank details. -account must not be overdrawn. -Competent staff

Answer 22

• client money is kept safe • client money accounts are used for appropriate purposes only and •firms have the appropriate controls and procedures to safeguard client money.

Answer 23

**Holding money** -in a client money account which the firm has exclusive control -nothing else other than client money eg firm’s money (office money) -discrete accounts have ‘client’ and name of client in account title -general accounts have this in each client’s ledger -ensure money is immediately available -if goes overdrawn eg penalties from high interest savings accounts with fees then penalty applied to firm’s office account -confirm account in writing **Information to clients** -account details -advance payments not covered by client money protection scheme -copy of firm’s written procedure -how unidentified funds are dealt with **Receipts of client money** -paid into account promptly -mixed monies paid correctly to client account or office account -interest paid to client unless otherwise agreed in writing -prompt action to identify owner of unidentified client money, if not then pay to registered charity after three years **Payments from client account** -use each client's money only for client's matters -ensure money returned immediately as soon as no reason to retain it -send invoice when deducting your fees unless otherwise agreed **Accounting records/controls** -keep records/accounts of all dealings with client money and demonstrate -have appropriate systems, procedures and controls to ensure payments/transfers/withdrawals are in accordance with instructions agreed with the client -complete regular client bank account reconciliations reviewed by a principal or senior staff member -publish written procedures for handling client money on the firm’s website, and provide a copy to client -don’t let account go overdrawn -adequate controls and protection to account and data (eg ledger backup) **Compliance** -ensure compliance with anti-money laundering legislation, rules and regulations for receipts of client money, RICS professional standards -Investigate any breaches and inform client/RICS if necessary… and insurers if misappropriated by any person.

Answer 24

-Separate account -Client name in title -Secured account -Appropriate procedure overseen by responsible principle -Client instant access -Money received put into account in 3 working days -Interest paid to client unless otherwise agreed with written consent -Client given running account of balance in ledger -Never overdrawn -Two person authorisation -Annual audits -Agree terms in writing -Provide copy of CMH procedure to client -Central list of all client accounts -Fees received in advance but not yet billed paid into client account pending completion -No sum other than what client paid into it

Answer 25

-Qualitative feedback through TARGETED QUESTIONS (such as what can we do to improve) on how the client felt in order to address any concerns, and provide lessons learns for future clients -Gathered quantitative feedback for internal KPI’s to see if being hit …. Which would also give a good indication on how would perform against OFWAT KPI’s

Answer 26

-Thames Water were the principal designer, not me specifically ensuring health and safety considerations are integrated into the design process by: -identifying hazards and ways to mitigate through the design risk assessment register -subsequently prepared pre construction for tender to get principal contractor -prior to all of this, my advice in estimates/cost plans influenced design Note: ‘designers’ are typically design consultants, and these were consultants like Arcadis

Answer 27

THIS DEVELOPED ON FROM THE PRE CONSTRUCTION INFORMATION I WAS INVOLVED IN (mentioned in SOE) -Hazards eg: soil bearing capacity (strength of shuttering for safe maintenance), ensure water pressure reduced, existing utilities location, pipe depth -Maintenance methods for pipe -As built drawings -Survey results

Answer 28

Identified hazards and mitigation methods - DONE EARLY AS POSSIBLE TO BE ABLE TO DESIGN OUT/MITIGATE HAZARDS This was then DEVELOPED DURING PROJECT TO FORM HEALTH & SAFETY FILE to be handed over to client Note: the Pre construction information forms part of the tender documentation for appointment of Principal Contractor…… describes the project, activities, timing, identifies hazards and risks In tender docs, it highlights main H&S issues of construction work and allows tenderers to explain their proposals for managing the risk inherent in the project. Although responsibility of client it was basically all done by TW Also provided to contractors and designers

Answer 29

The appointed Principal Contractor will develop the Pre-construction Information as to produce a Construction Phase Plan, No work will be allowed to commence until Client is satisfied that a Construction Phase Plan has been prepared in accordance with Regulation 12.

Answer 30

-Site location, plans, surveys -Project description, drawings -Project constraints -List of hazards and description -Procedures in place -

Answer 31

1 -Helping client prepare pre-construction information -Doing this by overseeing design to plan/monitor pre-construction phase… such as identifying, eliminating, or controlling potential hazards 2 -Once tenders received, developing the PCI to create a H&S File, which identifies RESIDUAL hazards, maintenance requirements -Also liase with principal contractor to ensure smooth transition between pre-construction and construction, adding any info from them into H&S file -then hand this to client on completion to help operate building

Answer 32

CDM 2015 focuses on health and safety during construction: producing health and safety file, ensuring competence of designers .. IN ADVANCE OF THE WORKS Building Safety Act is still at design /pre construction stage, but goes further than CDM, and focuses on compliance with building regulations…… and overseeing systems to ensure H&S aligns with gateway framework and maintaining golden thread of information Both have overall control of all designers

Mandatory - Level 2 Flashcards

(56 cards)