My Submission Flashcards
What is RIBA Stage 0?
Stage 0 - Strategic definition
Stage 0 is about determining the best means of achieving the client’s requirements.
An open mind is required because a building might not be the most appropriate solution
Common misapplication 1
Certain clients use Stage 0 to prepare a detailed brief
Common misapplication 2
Design team services regularly commence at Stage 0.
Common misapplication 3
In many scenarios, high-level spatial requirements are set that are not affordable within the
envelope of the Project Budget
What is the purpose of RIBA Stage 1?
Stage 1 - Preparation
and Briefing
Stage 1 is about developing the detail of the brief and making sure that everything needed
for the design process is in place before Stage 2. This includes ensuring that the brief can
be accommodated on the site.
What happens in RIBA Stage 2?
Stage 2 - Concept
Design
Stage 2 is about getting the design concept right and making sure that the look and feel of
the building is proceeding in line with the client’s vison, brief and budget. The key challenge
of this stage is to make sure that the tasks that are undertaken are geared to meeting the
stage objectives. Going into too much detail too early can pivot the design team’s effort
away from setting the best strategy for the project; but if there is too little detail, Stage 3
becomes inefficient.
What is produced during RIBA Stage 3?
Stage 3 - Spatial
Coordination
The purpose of Stage 3 is to spatially coordinate the design before the focus turns to
preparing the detailed information required for manufacturing and constructing the
building. The information at the end of this stage needs to be coordinated sufficiently to
avoid all but the most minor of iterations at Stage 4 and to make sure that the planning
application is based on the best possible information.
What is the focus of RIBA Stage 4?
Stage 4 - Technical
Design
Stage 4 is about developing the information required to manufacture and construct the
building. This requires information from the design team and the specialist subcontractors
employed by the contractor, regardless of which procurement route is used
What activities occur in RIBA Stage 5?
Stage 5 - Manufacturing
and Construction
Stage 5 is when the building is manufactured and constructed.
What is the role of RIBA Stage 6?
Stage 6 - Handover
By Stage 6 the building will be in use and the emphasis of the project team will have
switched to closing out any defects and completing the tasks required to conclude the
Building Contract
What does RIBA Stage 7 involve?
Stage 7 - Use
This is the period when the building is in use, lasting until the building reaches the end of
its life.
What are the RICS New Rules of Conduct?
The RICS New Rules of Conduct are five ethical principles that all RICS-regulated members and firms must follow to ensure professionalism, integrity, and accountability.
What is Rule 1 of the RICS New Rules of Conduct?
Rule 1 – Members and firms must be honest, act with integrity and comply with their professional obligations, including obligations to RICS.
Example behaviours
1.1 Members and firms do not mislead others by their actions or omissions, or by being complicit in the actions or omissions of others.
1.2 Members and firms do not allow themselves to be influenced improperly by others (as a result
of, for example, giving or receiving work referrals, gifts, hospitality or payments) or by their own self-interest.
1.3 Members and firms identify actual and potential conflicts of interest throughout a professional assignment and do not provide advice or services where a conflict of interest or a significant risk of
one arises, unless they do so in accordance with the current edition of Conflicts of interest, RICS professional statement.
1.4 Firms have effective processes to identify actual and potential conflicts of interest, to enable appropriate decisions to be made on whether to accept work, and to keep records of decisions made about actual and potential conflicts of interest.
1.5 Members and firms providing advice and opinion in a professional context do so honestly and objectively based on relevant and reliable evidence, and firms have processes to ensure that directors, partners and employees do so.
1.6 Members and firms are open and transparent with clients about their fees and services.
1.7 Members and firms act to prevent others being misled about their professional opinion.
1.8 Members and firms do not take unfair advantage of others.
1.9 Members and firms protect confidential information and only use or disclose it for the purposes for which it was provided, where they have the necessary consent to do so or where
required or permitted by law.
1.10 Firms keep client money safe and have appropriate accounting controls.
1.11 Members do not misuse client money and comply with controls intended to keep it safe.
1.12 Members and firms do not facilitate any financial crime including money laundering, tax
evasion, bribery or corruption. Firms have effective processes to prevent directors, partners or employees from doing so.
What is Rule 2 of the RICS New Rules of Conduct?
Rule 2 – Members and firms must maintain their professional competence and ensure
that services are provided by competent individuals who have the necessary
expertise.
Example behaviours
2.1 Members and firms only undertake work that they have the knowledge, skills and resources to
carry out competently.
2.2 Members and firms supervise any employees undertaking work for them and ensure that
these employees have the necessary knowledge, skills and resources to do their tasks competently.
2.3 Members and firms check that subcontractors have the necessary knowledge, skills and
resources to do their tasks competently.
2.4 Members and firms reflect on the work they have undertaken and its impacts, and consider
how they might apply what they have learned to their future work.
2.5 Members maintain and develop their knowledge and skills throughout their careers. They
identify development needs, plan and undertake continuing professional development (CPD) activities
to address them and are able to demonstrate they have done so. Firms encourage and support
directors, partners and employees to maintain and develop their knowledge and skills, and check that
they are complying with CPD requirements set by RICS.
2.6 Members and firms stay up to date and comply with relevant legislation, codes of practice and
other professional and relevant technical standards. Firms ensure that their directors, partners and
employees do so.
What is Rule 3 of the RICS New Rules of Conduct?
Rule 3 – Members and firms must provide good-quality and diligent service.
Example behaviours
3.1 Members and firms understand clients’ needs and objectives before accepting any professional work.
3.2 Members and firms agree with clients the scope of the service to be provided and its limitations, and timescales for the work.
3.3 Firms inform clients that they are regulated by RICS and that they may need to disclose records to RICS where required for regulatory purposes.
3.4 Members and firms inform clients promptly and seek their agreement if it is proposed that any of the terms of engagement or estimated fees or costs be changed.
3.5 Members and firms undertake their work in a timely manner; with due care, skill and diligence,
and in accordance with RICS technical standards.
3.6 Members and firms communicate to clients the material information on which their
professional advice and opinion is based.
3.7 Members and firms communicate with clients and others clearly and in a way they can
understand.
3.8 Members and firms ensure that any referral or introduction they make for a client is in the best
interests of the client and inform clients about any financial or other benefits to the member or their
firm from a referral or introduction.
3.9 Members and firms keep proper records of their work and decisions in enough detail to allow
them to answer questions from clients and to allow their work to be audited for quality assurance or
regulatory purposes.
3.10 Members and firms, when advising clients about projects, encourage solutions that are
sustainable in that they minimise harm and deliver balanced economic, social and environmental
benefits.
3.11 Members and firms understand the risks and benefits of using relevant technology.
3.12 Members and firms check that all data used is accurate and up to date, is kept securely, and
that they have proper legal rights to use it and, where required, share it.
3.13 Firms have effective quality assurance processes for their work.
What is Rule 4 of the RICS New Rules of Conduct?
Rule 4
Members and firms must treat others with respect and encourage diversity and inclusion.
Example behaviours
4.1 Members and firms respect the rights of others and treat others with courtesy.
4.2 Members and firms treat everyone fairly and do not discriminate against anyone on any
improper grounds, including age, disability, gender reassignment, marriage or civil partnership, pregnancy or maternity, race, religion or belief, sex or sexual orientation.
4.3 Members and firms do not bully, victimise or harass anyone.
4.4 Firms check that supply chains do not involve modern slavery or other abuses of the workforce.
4.5 Members and firms report abusive labour practices to proper and recognised authorities if
they become aware of, or suspect, them.
4.6 Members and firms work cooperatively with others.
4.7 Members and firms develop an inclusive culture in their workplaces, support equal access and opportunity for all, and identify and address unconscious bias
What is Rule 5 of the RICS New Rules of Conduct?
Rule 5
Members and firms must act in the public interest, take responsibility for their actions and act to prevent harm and maintain public confidence in the profession.
Example behaviours
5.1 Members and firms question practices and decisions that they suspect are not right, and raise concerns with colleagues, senior management, clients, RICS or any other appropriate person, body or organisation where they believe in good faith that it is necessary to do so. Firms provide processes to allow and support individuals within the firm to raise concerns with senior management.
5.2 Members and firms support directors, partners, employees, colleagues or clients who have acted in good faith to report concerns.
5.3 Members and firms ensure that public statements made by the firm, or in which members
are (or could be) identified as members of the profession, do not undermine public confidence in the
profession.
5.4 Members and firms respond to complaints made against them promptly, openly and
professionally.
5.5 Members and firms do not dissuade complainants from approaching an alternative dispute
resolution provider, RICS or any other regulatory body.
5.6 Members and firms cooperate with investigations into complaints or concerns, and provide information where it is reasonably requested and they can do so lawfully.
5.7 Members consider the effect that any health conditions may have on their competence
or ability to undertake professional work, and inform management or clients where they require
reasonable adjustments or are unable to continue to undertake work competently.
5.8 Members and firms manage their professional finances responsibly.
5.9 Members and firms take appropriate action when they consider that the rules have been breached, and report suspected significant breaches of the Rules of Conduct by themselves or others to RICS.
Who do the RICS New Rules of Conduct apply to?
They apply to all RICS-regulated members and firms globally, covering individual surveyors and regulated businesses.
How are the RICS Rules of Conduct monitored?
RICS monitors compliance through audits, investigations, and disciplinary procedures to ensure the rules are upheld.
What are the consequences of breaching the RICS Rules of Conduct?
Breaches can lead to disciplinary actions, including fines, suspension, or removal of RICS membership or firm regulation.
Why are the RICS New Rules of Conduct important?
They ensure high standards of professionalism, safeguard public trust, and support the credibility of the surveying profession.
What is RLB’s complaints handling procedure (11 Steps)
PURPOSE
Ensure that Customer complaints are recognised and responded to in an appropriate and timely
manner.
MANDATORY PRACTICE
1. Where the client or public have made a complaint orally, you should request that they send a
written summary of the complaint to their Key Client Contact.
2. If the complainant requests, you should send them a copy of our Customer Complaints
Procedure, a copy of which is attached to this note.
3. The Key Client Contact will acknowledge receipt of the written summary within two working days
and send a copy to you.
4. You should work with the complainant to agree a resolution/plan for corrective action to remedy
the complaint (a target timetable for reaching this stage is no more than five working days).
5. While any action is taken to remedy the complaint, liaise regularly with those undertaking the
action and with the complainant.
6. Seek the complainants agreement and sign off when any agreed action for remedying the
complaint has been completed.
7. At all stages keep the Key Client Contact informed.
8. If at any stage of dealing with a complaint the complainant expresses discontent with the manner
in which the complaint is being dealt with, you should inform the Key Client Contact who will refer
the matter to the Director with regional responsibility of the business.
9. The Director will personally conduct a separate review of the complaint and contact the
complainant within (28days) to inform him of the conclusion of this review.
10. If the complainant remains dissatisfied with any aspect of the handling of the complaint then the
Director will attempt to resolve this promptly through negotiations and if appropriate enter into
mediation in accordance with the Centre for Dispute Resolution (CEDR) Model Mediation
Procedure or the mediation process operated by the Royal Institution of Chartered Surveyors.
11. If the complaint has still not been resolved to the complainant’s satisfaction then the Director will
refer the complaint to the Surveyors and Valuers Arbitration Scheme operated by the Chartered
Institute of Arbitrators.
What would you do if a Client complained
PURPOSE
Ensure that Customer complaints are recognised and responded to in an appropriate and timely
manner.
MANDATORY PRACTICE
1. Where the client or public have made a complaint orally, you should request that they send a
written summary of the complaint to their Key Client Contact.
2. If the complainant requests, you should send them a copy of our Customer Complaints
Procedure, a copy of which is attached to this note.
3. The Key Client Contact will acknowledge receipt of the written summary within two working days
and send a copy to you.
4. You should work with the complainant to agree a resolution/plan for corrective action to remedy
the complaint (a target timetable for reaching this stage is no more than five working days).
5. While any action is taken to remedy the complaint, liaise regularly with those undertaking the
action and with the complainant.
6. Seek the complainants agreement and sign off when any agreed action for remedying the
complaint has been completed.
7. At all stages keep the Key Client Contact informed.
8. If at any stage of dealing with a complaint the complainant expresses discontent with the manner
in which the complaint is being dealt with, you should inform the Key Client Contact who will refer
the matter to the Director with regional responsibility of the business.
9. The Director will personally conduct a separate review of the complaint and contact the
complainant within (28days) to inform him of the conclusion of this review.
10. If the complainant remains dissatisfied with any aspect of the handling of the complaint then the
Director will attempt to resolve this promptly through negotiations and if appropriate enter into
mediation in accordance with the Centre for Dispute Resolution (CEDR) Model Mediation
Procedure or the mediation process operated by the Royal Institution of Chartered Surveyors.
11. If the complaint has still not been resolved to the complainant’s satisfaction then the Director will
refer the complaint to the Surveyors and Valuers Arbitration Scheme operated by the Chartered
Institute of Arbitrators.
What does CEDR stand for
Centre for Dispute Resolution
what is your companies approach to dispute resolution.
If a Client is dissatisfied with our service or has a complaint to make we would guide them through our dispute resolution procedure.
If the Client remains dissatisfied with any aspect of our handing of the complaint(s), then we will attempt to resolve this promptly through negotiations, and otherwise agree to enter into mediation with the client in accordance with the Centre for Dispute Resolution (CEDR) Model Mediation Procedure or the mediation process operated by the Royal Institution of Chartered Surveyors
We understand RLBs complaints handling first relies on negotiation, followed by mediation. If this should fail, what are the next steps?
If the complaint has still not been resolved to the Clients satisfaction, RLB agree to the referral of the Clients complaint to the Surveyors and Valuers Arbitration Scheme operated by the Chartered Institute of Arbitrators
What are the three distinct dispute resolution processes upon which all dispute resolution techniques are built
negotiation – the problem-solving efforts of the
parties themselves
2 mediation or conciliation – a third-party
intervention does not lead to a binding decision
being imposed on the parties; and
3 an adjudicative process – the final outcome is
determined by a third party who does impose a
binding decision on the parties.
