Quantity Surveying and Construction Assessor Guide

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Quantity Surveying

and Construction

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Background

A Associate Assessment

04 B The people

05 C The pathway and its competencies

08 D Competency definitions and evidence in detail

09 E The Managed Learning Environment (MLE)

17 F Associate Assessment process from the Candidate’s perspective

18 G Associate Assessment from the Assessor’s perspective

19 The six steps of the Associate Assessment

Step 1 – Initial contact

21 Step 2 – Preliminary read-through

22 Step 3 – Associate Assessment

23 Step 4 – Discussion

30 Step 5 – Notifying RICS of the decision

31 Step 6 – After the Associate Assessment

32 Appendix

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Background

Section A

Associate Assessment

Associate Assessment is the process by which those with relevant work experience or vocational/academic qualifications (or a combination of these) can gain Associate membership of RICS (AssocRICS). Associate is a high-value grade of membership in its own right. It also provides a stepping stone to advance to full professional qualification (MRICS). The Associate qualification is gained by submitting workplace evidence for assessment by RICS, and undertaking structured development. All the evidence is assembled and stored using the RICS online Managed Learning Environment (MLE). As an Associate Assessor, you are responsible for ensuring that only those with a proven level of competence can succeed in achieving the Associate qualification.

This guide explains what Associate Candidates must do to get to the point of Associate Assessment in Quantity Surveying and Construction. It then sets out how you should approach your task, what criteria you should apply when considering evidence, and what processes you should follow before, during and after Associate Assessment.

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Background

Section B

The people

There are two key parties in the Associate Assessment process: the Associate Candidate and the Associate Assessors. 1. Associate Candidate

The Associate Candidates you will assess are following the Quantity Surveying and Construction pathway. They are likely to be involved in a range of services, from cost consultancy to contract management. They will generally be working under supervision, but using many of the core technical skills of the quantity surveyor. Some quantity surveying activities such as

• producing and submitting reports to clients • lifecycle and whole-life costing

• benchmarking

are more likely to be performed by a Chartered Surveyor. However, an Associate should be contributing significantly towards these tasks.

Associate Candidates will come from a variety of backgrounds in terms of their education and experience. They will all have experience of working in the sector. The diagram at figure 1 shows you the various routes by which a person can obtain the Associate qualification.

Associate Assessment is open to those with four years’ relevant experience. If a candidate has a qualification that is relevant and of an appropriate level, it reduces the length of experience s/he needs in order to be eligible for Associate Assessment. For example, with an approved HND or relevant NVQ level 3, the experience requirement is two years; with a relevant degree it is one.

The candidates will be from one of two sectors – building or engineering. Within their sector they will be in one of three practice areas – contractor, private or public. They will also have a specialism within that (such as civil engineering, nuclear, railways etc). RICS will ensure that Associate Assessors are matched as closely as possible to candidates. The following are typical profiles of Associate Candidates in the Quantity

Profile 1

• Just started as a junior cost estimator for large contractor • Left 6th form with A Levels

• In-house management development towards Associate qualification.

To be eligible for Associate Assessment • No relevant qualification

• Must therefore gain a minimum four years’ experience before Associate Assessment

• Register as Associate Candidate now, and assemble evidence over the next four years.

This candidate could however do a relevant NVQ3 – a vocational qualification undertaken while working, which would normally take about two years. Having an NVQ3 reduces the required length of experience for the Associate qualification from four years to two. She could therefore come forward for assessment as soon as she gains the NVQ, using her NVQ evidence towards her Associate Assessment (see section 9).

Profile 2

• Left school at 18

• Company management development programme (relevant NVQ 3)

• Site office assistant (4 years) • Intermediate Quantity Surveyor • 8 years’ experience to date.

To be eligible for Associate Assessment

• Minimum 2 years’ experience required (because of relevant NVQ3)

• But 8 years’ experience means 2 years already completed • Eligible for Associate Assessment immediately.

Evidence from the NVQ3 can be used towards the Associate Assessment.

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Background

Profile 3

• Graduate with surveying-related degree (BSc in Construction Management, not RICS accredited) • Contractor’s Quantity Surveyor

• 12 months’ experience to date. To be eligible for Associate Assessment

• Minimum 12 months’ experience required: already achieved • Eligible for Associate Assessment immediately

• Evidence from degree could be used towards Associate Assessment (see section 9).

2. Associate Assessors

You are one of two assessors. Before you carry out your first Associate Assessment, you must have satisfied RICS that you meet the role profile, completed RICS Associate Assessor training, and signed a service level agreement. You will act as either

• Associate Assessor – an AssocRICS, MRICS or FRICS1

who assesses submitted evidence and decides whether the Associate Candidate has met the requirements of the pathway

• Lead Associate Assessor – as above, but with the extra responsibility of writing the feedback for referred candidates, and managing the contact with the co-assessor before a decision is reached.

All trained Associate Assessors will take their turn as the Lead Associate Assessor – whether you are Lead in any particular case is a matter of random selection. You will have undertaken, as part of the service level agreement, to complete at least six assessments per year.

Other parties you will see reference to are

• Associate Supporter who is required to verify the evidence submitted – this is a non mandatory role but is considered best practice for candidates who are building up their experience and evidence over a number of years.

• Associate Proposer who endorses the application by signing a declaration form at Associate Assessment. This is a mandatory role.

You will have no contact with either of them – RICS staff will carry out all necessary checks to make sure the correct procedures have been followed.

1_{Subject to a detailed role profile provided by RICS which can be} downloaded from the Associate Assessor online community

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Figure 1: Routes to the Associate qualification

RICS Associate Qualification

Candidate Profile Requirements

No vocational/

academic qualification Minimum 4 years’experience

Minimum 2 years’ experience Minimum 12 months’ experience Direct entry Associate Assessment

Ethics Module Associate

(AssocRICS) RICS approved professional body membership RICS approved NVQ 4 Relevant NVQ 3 Relevant HND/HNC, DipHE/FD Relevant degree

Background

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Background

Section C

The pathway and its competencies

RICS has defined the competencies for the Quantity Surveying and Construction pathway, as follows.

Six technical competencies – the technical skills needed for this pathway. The technical competencies candidates must achieve for AssocRICS in Quantity Surveying and Construction are

• Construction technology and environmental services • Contract practice

• Procurement and tendering

• Project financial control and reporting

• Quantification and costing of construction works Plus EITHER

• Commercial management of construction (Those working in a contracting or commercial environment will probably choose this competency)

OR

• Design economics and cost planning (Those working in a consulting environment within either the public or private sector will probably choose this competency).

Eight mandatory competencies – the ‘softer’ skills that all responsible practitioners need, regardless of their RICS pathway. These competencies are essential: they demonstrate ability to work with colleagues, meet client requirements, self-manage and act with honesty and integrity. They are • Client care

• Communication and negotiation

• Conduct rules, ethics and professional practice • Conflict avoidance, management and dispute

resolution procedures • Data management • Health and safety • Sustainability

How does the candidate demonstrate the competencies? The Associate Candidate must satisfy you that s/he has achieved all the technical and mandatory competencies required for the pathway.

To do this the Associate Candidate supplies

1. written evidence – 24 pieces of written work taken from his/her everyday role, four for each technical competency (the written evidence will also demonstrate the mandatory competencies)

2. commentary – a 300 word explanation for each piece of written evidence and why it has been chosen 3. structured development record – a description of

learning activities

The Associate Candidate also completes the RICS online ethics module. This is the method RICS uses to inform candidates about RICS ethics and test them online on the subject. It is explained in more detail in section 14.

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Section D

Competency definitions and evidence in detail

On the following pages is a table setting out the definitions of the competencies, and describing the evidence the Associate Candidate must submit to show s/he has achieved each of them.

Requirements

Description Examples of likely knowledge,

skills and experience

Evidence

You must provide four different documents as evidence for each competency. This column sets out the requirements of these documents. It is for you to ensure that the documents provide evidence of the knowledage, skills and experience in column three.

Demonstrate knowledge and understanding of the principles of management of construction projects. Apply your knowledge to the financial management of construction projects, including regular monitoring and reporting on cash flow and profitability. This competency covers the

commercial management of construction works. Candidates should have an awareness of the way in which their work relates to how commercial competitiveness balances against profitability. An awareness of the financial processes used to achieve profitability is required, as well as how these integrate with the overall delivery of the project.

Knowledge

• identifying and understanding the components that make up the cost of the project to the contractor

• understanding of the effect that the design and construction processes have on the cost • awareness of the techniques

used to reconcile the cost against income

• awareness of the techniques to financially manage sub-contractors and suppliers • understanding the use of cashflows. Activities • collecting of data for reports • carrying out cost to completion exercises • preparing cashflows • preparing reports such as

liability statements, cost to complete and cost value reconciliations

• applying value engineering processes

• preparing and submitting cost data for in-house and/ or

Evidence should demonstrate involvement with the preparation of the following

1. Cash flow forecast

2. Preparation of a Construction Budget

3. Cost/value reconciliation report, including a cost to completion review 4. Forecast of a final account. Documentation must clearly show the candidate’s involvement with the piece of work and how they dealt with matters such as • determining the timing of cash

movements

• establishing progress for a valuation, application, or a cost to completion exercise • deciding on items to include

in a cost report or a draft final account.

Commercial management of construction

Background

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Requirements Description

Construction technology and environmental services

Examples of likely knowledge, skills and experience

Evidence

You must provide four different documents as evidence for each competency. This column sets out the requirements of these documents. It is for you to ensure that the documents provide evidence of the knowledge, skills and experience in column three.

Demonstrate knowledge and understanding of the principles of design and construction relating to your chosen field of practice. Apply your knowledge to the design and construction processes.

This competency covers the design and construction of buildings and other structures. Candidates should have an awareness of the design and construction processes commonly used in the industry. They should have a detailed knowledge of construction solutions relevant to their projects.

Knowledge

• the stages of design from inception to completion • impact of current legislation

and regulations (both national and international)

• how the various elements of the structure work and interrelate • the process of constructing

the works

• operational and maintenance processes post contract. Activities

• appreciating how design processes vary for different types of building such as clear span requirements for warehousing or acoustic requirements for accommodation

• understanding alternative construction details in relation to functional elements of the design such as different types of piling or structural frame solutions.

1. Information required schedule (from one of the lead designers at a given design stage) 2. Cost study comparing different

design solutions 3. Query lists to designers 4. Measurement of works in

progress on site for Interim Valuation purposes. Documentation must clearly show the candidate’s involvement with the piece of work and how they dealt with matters such as • co-ordination issues • design standards/regulation • sustainable construction • disability requirements • pre-fabricated construction solutions.

Background

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Contract practice

Evidence

Demonstrate knowledge and understanding of the various forms of contract used in the construction industry and/or your area of business. Apply your knowledge of the use of the various standard forms of contract at project level, including the implications and obligations that apply to the parties to the contract.

This competency covers the various forms of contract used in the construction industry. Candidates should have an awareness of all of the main standard forms of contract and an understanding of contract law, legislation and the specific forms of contract they have used.

Knowledge

• basic contract law and legislation

• contract documentation • the various standard forms

of contract and sub-contract • when different forms would

be used

• basic contractual mechanisms and procedures at various stages of the contract • third party rights including

relevant legislation and the use of collateral warranties. Activities

• producing contract documentation

• carrying out the contractual mechanisms and procedures relevant to the financial management aspects of the project, such as change procedures, valuations and final accounts

• understanding general contractual provisions such as insurances, retention, bonds, liquidated and ascertained damages, early possession, practical completion and other common contractual mechanisms.

1. Preliminaries, Employer’s Requirements or Works Information Document 2. Completion of contract details 3. Interim valuation (including

statement of retention and valuation recommendation) 4. Statement of Final Account. Documentation must clearly show the candidate’s involvement with the piece of work and how they dealt with matters such as • queries in preparing prelims/ER/WID • insurance provisions • ascertained damages • variations • assessing preliminary items • adjustment and agreement of valuations/final accounts • unfixed materials on/off site • taxation.

Background

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Background

Design economics and cost planning

Evidence

Demonstrate knowledge and understanding of the main factors that affect design economics over the whole life of a building. Demonstrate knowledge and understanding of how cost planning assists in the financial control of projects during the design development stage. Apply your knowledge to the cost management of design development on a project from feasibility to design completion. Prepare and submit cost data to in-house and/or external data collection agencies.

This competency covers the impact of design and other factors on cost throughout the life of the building and the control of cost during the pre-contract stage. It covers the candidate’s understanding of and involvement with the techniques used to manage and control costs during the design development phase of a project.

Knowledge

• factors affecting design economics over the life of a building

• how cost planning assists in the financial control of projects • the various stages of cost

planning

• sources of cost data • adjustments to cost data

for factors including location, specification, time and market forces. Activities • producing estimates and cost plans • applying value engineering processes • preparing and submitting cost data to in-house and/or external data collection agencies.

1. Feasibility or detailed estimate 2. Functional element of a cost

plan or a whole cost plan, including a reconciliation of design development allowances

3. Value engineering of design options

4. Cost analysis for a functional element/whole project. Documentation must clearly show the candidate’s involvement with the piece of work and how they dealt with matters such as • measurement of areas or elemental quantities • sourcing of cost data • adjustment of cost data • calculation of unit rates • preliminaries, overheads and profit • professional and other fees • inflation • risk allowances • inclusions and exclusions • design efficiency, eg wall/floor ratios.

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Procurement and tendering

Evidence

Demonstrate knowledge and understanding of the main types of procurement. Demonstrate knowledge and understanding of the tendering and negotiation processes involved in procurement. Apply your knowledge to the implementation of the procurement routes selected for your projects and to carrying out tendering and negotiation processes relevant to them.

This competency covers the way a project is structured and delivered in terms of risk allocation and contractual relationships, and how tendering processes are used to establish a contract price. Candidates should have a clear understanding of the different types of procurement and tendering commonly used and the advantages and disadvantages of each to the parties involved. They should also have a detailed working knowledge of the procurement routes and tendering procedures used on their projects.

Knowledge

• the main types of procurement used in both the public and private sectors, both nationally and internationally

• tendering and negotiation processes involved in procurement

• ancillary processes such as partnering and framework agreements

• codes of practice and procedures commonly used. Activities

• implementing procurement routes such as traditional, design and build, management forms, term and serial contracting and other types • producing and/or compiling

tender documentation such as letter of invitation, form of tender, health and safety documentation, design documentation and contractual details

• carrying out of tendering and negotiation processes such as single and two stage tendering, the use of codes of practice and electronic tendering.

1. Compiling a tender list including pre-qualification 2. Preparation of tender

documentation in line with the chosen procurement route and issuing tender documents 3. Management of the tender

process, through to tender opening and tender evaluation utilising the appropriate tendering procedures 4. Agreement/negotiation of

a contract sum.

Documentation must clearly show the candidate’s involvement with the piece of work and how they dealt with matters such as • contractors’ queries • late tenders • errors • omissions/qualifications • adjustment of tenders.

Background

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Background

Project financial control and reporting

Evidence

Demonstrate knowledge and understanding of the effective control of costs during a project. Demonstrate understanding of the legal and contractual constraints and the effect of time and quality on the cost of a project. Apply your knowledge to the management of project costs. This should include the preparation and presentation of financial reports on the performance of a project at appropriate intervals to provide effective forecasting of costs, risks and their financial implications.

This competency covers the effective cost control of construction projects during the construction phase. Candidates should be aware of the principles of controlling and reporting costs on any construction project. They should have an understanding of the control and reporting processes used on their projects (please note: for surveyors working in contracting this competency covers externally issued cost advice).

Knowledge

• the effective control of costs during the construction phase of a project

• the legal and contractual constraints on the cost of a project such as changes in building legislation and design risk allocation

• the reporting and forecasting of costs during the construction phase

• the principles of contingencies/ risk allowances.

Activities

• managing project costs during the construction phase • reporting and forecasting costs

for different procurement routes and client types

• using cashflows in financial management

• managing provisional sums/risk allowances.

1. Monitoring and updating cashflows

2. Change control registers including expenditure of provisional sums

3. Expenditure of risk items/risk register

4. Data for cost reports. Documentation must clearly show the candidate’s involvement with the piece of work and how they dealt with matters such as • reconciling interim payments

against cost forecasts • reconciling interim payments

against predicted cashflows and progress on site • authentication of actual costs • reporting regimes and protocols • final accounts.

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Quantification and costing of construction works

Evidence

Demonstrate knowledge and understanding of the principles of quantification and costing of construction works as a basis for the financial management of contracts. Apply your knowledge to the quantification and costing of construction works, including the use of appropriate standard methods of measurement and forms of cost analysis. Carry out measurement and costing of works at all stages of the construction process. This competency covers the

measurement and definition of construction works in order to value and control costs. It covers the candidate’s understanding and involvement with the various methods of quantifying and pricing construction works used throughout a project.

Note

The measurement and costing of works for estimates and cost plans is dealt with under the competency ‘Design economics and cost planning’.

Knowledge

• the quantification of construction works (including both

measurement and definition) • the various standard methods

of measurement

• the costing of construction works

• the measurement of buildings and structures to agreed standards.

Examples

• quantifying construction works at the various stages of a project • producing pricing documents

such as bills of quantities, schedules of activities/works, schedules of rates or contract sum analyses

• carrying out the costing of construction works by methods such as tendered rates, quotations or dayworks.

1. Manual or computerised take offs/measurement or re-measurement of site works 2. Pricing documents such as:

bills of quantities, schedule of activities / works, schedule of rates, builder’s quantities, variation accounts

3. Valuation of variations using tendered rates, fair valuation/ rates for new items of work, quotations, or dayworks 4. Agreement/negotiation of

variations.

Documentation must clearly show the candidate’s involvement with the piece of work and how they dealt with matters such as • design queries / Q&A sheets • to take lists • quantity checks • building up rates from first principles • inflation • prime cost and provisional sums • preliminaries, overheads and profit within variations • professional and other fees

within variations.

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Background

Requirement Title

Mandatory competencies

Demonstrate knowledge and understanding of the principles and practice of client care including

• the concept of identifying all clients/colleagues/third parties who are your clients and the behaviours that are appropriate to establish good client relationships

• the systems and procedures that are appropriate for managing the process of client care, including complaints

• the requirement to collect data, analyse and define the needs of clients.

Demonstrate practical application of the principles and practice of client care in your area of practice.

Client Care

Demonstrate knowledge and understanding of effective oral, written, graphic and presentation skills including the methods and techniques that are appropriate to specific situations. Demonstrate practical application of these skills in a variety of situations, specifically including where negotiation is involved.

Communication and negotiation

Demonstrate knowledge and understanding of the techniques for conflict avoidance, conflict management and dispute resolution procedures including for example adjudication and arbitration, appropriate to your pathway.

Conflict avoidance, management and dispute resolution procedures

Demonstrate knowledge and understanding of the sources of information and data, and of the systems applicable to your area of practice, including the methodologies and techniques most appropriate to collect, collate and store data.

Data management

Demonstrate knowledge and understanding of the principles and responsibilities imposed by law, codes of practice and other regulations appropriate to your area of practice. Demonstrate practical application of health and safety issues and the requirements for compliance, in your area of practice.

Health and safety

Demonstrate knowledge and understanding of why and how sustainability seeks to balance economic, environmental and social objectives at global, national and local levels, in the context of land, property and the built environment.

Sustainability

Demonstrate knowledge and understanding of the principles, behaviour and dynamics of working in a team.

Teamworking

Demonstrate knowledge and understanding of the role and significance of RICS and its functions. Also an appreciation of your personal professional role and society’s expectations of professional practice and RICS code of conduct and conduct regulations, including the general principles of law and the legal system, as applicable in your country of practice. Demonstrate practical application in your area of practice, being able to justify actions at all times and demonstrate personal commitment to the rules of conduct, and RICS ethical standards. Demonstrate that you have applied these in the context of advising clients. Conduct rules, ethics and professional practice

*Although this is achieved through the RICS ethics module you should still refer to it (where applicable) in any 300-word commentary

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Section E

The Managed Learning Environment (MLE)

The MLE is an online resource which is accessed by both the Associate Candidate and the Associate Assessors. It enables Associate Candidates to upload and manage their evidence, write 300-word commentaries and record structured development for the Associate Assessment. The Associate Candidate builds up, piece by piece, evidence to show knowledge and skills. When s/he has built up a complete portfolio s/he applies for Associate Assessment. You will then be invited to access the portfolio, using the MLE, and assess it online. Finally, the candidate will be given the result – pass or refer – and will provide feedback through the MLE if s/he is referred. The feedback explains in detail why the assessors do not consider the candidate has met the competency requirements in full; and sets out what further evidence s/he needs to produce in order to reach the standard.

MLE guide

At the end of this guide, there is a comprehensive Associate Assessor guide to using the MLE.

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Section F

Associate Assessment process from the

Candidate’s perspective

The Associate Candidate goes through three stages to reach Associate Assessment.

Registration

The Associate Candidate tells RICS about his/her

qualifications and experience, and RICS diagnoses whether more experience is required before Associate Assessment. You will not have to make any assessment of the Associate Candidate’s qualifications and length of experience: you will always proceed on the understanding that s/he has met the requirements and is eligible for Associate Assessment. The Registration system and RICS staff will have ensured, by the time you become involved, that the candidate meets the criteria for eligibility. They will have checked that the correct number of pieces of evidence and commentaries have been submitted and that the dates on the evidence are acceptable. They will have verified that the proposer and supporter meet the requirements and that the candidate has provided evidence of any relevant qualifications.

Assembling evidence

In the online Managed Learning Environment (MLE) the Associate Candidate puts his/her portfolio of evidence together

• four pieces of written evidence for each technical competency (making 24 pieces of evidence in all) • a 300-word commentary for each piece of evidence • a record of 48 hours’ structured development linked

to the competencies.

Associate Assessment

The Associate Candidate decides when the portfolio is complete, and submits it via the MLE. The record of evidence is then locked, and you and your fellow Associate Assessor log on to the MLE and view the portfolio. This is the point at which you become involved. You evaluate all the evidence and decide whether the candidate has met the requirements for all the mandatory and technical competencies. If so, the Associate Candidate has passed the Associate Assessment and will become an Associate Member of RICS (AssocRICS). If not, you identify the shortfalls and the Lead Associate Assessor sets them out in feedback, which is given to the Associate Candidate via the MLE. The timescale for Associate Assessment is four weeks from the date the candidate is accepted for assessment. In order to ensure RICS meets these timescales you are given ten working days to complete the assessment.

You will have no personal contact with the Associate Candidate or his/her supporter/proposer.

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Section G

Associate Assessment from the

Assessor’s perspective

There are six basic steps to the assessment process, set out in Figure 2 below.

Figure 2: Steps in the Associate Assessment process

1

Initial contact – access MLE to check for conflicts of interest - if none, and available

to assess, agree to take on assessment

3

Detailed assessment of written evidence, commentaries and structured development competency by competency

2

In the MLE – preliminary read of evidence form initial impress

4

Contact with co-assessor. Discussion. If decision is to refer, decide on feedback,

what evidence can be banked and what you require the candidate to submit for

his/her next assessment 5

Decision – both assessors must agree and commit to a unanimous decision

6

Lead Associate Assessor agrees feedback with co-assessor

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Background

Once you have accepted an Associate Assessment you have TEN WORKING DAYS in which to • review all the evidence yourself

• discuss it with your fellow Associate Assessor • decide whether to pass or refer

• if refer, decide which pieces of evidence are acceptable and may be banked

• if refer, agree what further evidence is required and agree a feedback report which will be communicated by RICS to the Associate Candidate via the MLE.

The timeline at Figure 3 shows how long you have for each step.

Working day

Action

1 2 3 4 5 6 7 8 9 Offered assessement accept or reject Preliminary read-through Detailed consideration of evidence against competencies

Discuss and decide outcome – if you refer, decide what evidence banked and

what goes in feedback

Communicate outcome to Figure 3: Timeline

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Step 1 – Initial contact

Before the assessment

When an Associate Candidate has submitted a portfolio of evidence for Associate Assessment, RICS staff will match the candidate with two members from the list of trained Associate Assessors for the pathway. They will take account of the sector, practice area and specialism of the candidate as well as the candidate’s employment history. They will ensure that assessments are distributed as equally as possible among the available assessors. RICS will then email you to tell you an assessment is waiting for you. You log on to the MLE, where you will find details of the candidate(s) awaiting assessment. See section 2 of the MLE guide.

You should then click on the individual record to see the name and employment details of the Associate Candidate. You must consider whether you have a conflict of interest. You must not accept the assessment if

• you have personal knowledge of the Associate Candidate • you have significant connections with the Associate

Candidate’s employer (for instance, you have worked for the organisation in the last five years, have close personal relations with any of its employees, regularly do business with the organisation or could be considered a business competitor).

You are bound by the RICS Code of Conduct in these matters and must act ethically at all times. RICS will provide advice if you are in doubt.

You must also decline the assessment if you cannot guarantee you will be able to meet the deadline for completing it: see Section G of this guide. If you cannot accept the assessment, you must add a note in the MLE explaining why you are unable to assess this time.

The candidate’s details contain a link to any previous

assessments. This allows you to see if the candidate has been previously referred.

The system will show whether you are being offered the role of Lead or co-assessor. The role of Lead Associate Assessor is rotated, and being Lead does not imply any seniority or higher status. It carries the duty of instigating contact, coordinating

You must decide within a maximum of 48 hours of receiving the email whether to accept the assessment: this gives RICS time to contact other Associate Assessors to achieve the four week assessment turnaround.

By clicking ‘accept’, you take full responsibility for delivering an assessment within the terms of the service level agreement. At this stage you will also be given the name and contact details of your fellow assessor. It is up to you how you prefer to work with your fellow assessor, whether by email,

telephone, or meeting to discuss. There are no hard-and-fast rules on this, provided you ensure you reach a fair assessment with each assessor’s views being given full weight. RICS does not pay travel or other expenses if you choose to meet.

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Step 2 – Preliminary read-through

Review the portfolio

Your first task is to undertake a preliminary review of the evidence that has been submitted. You access this by logging on to the MLE and accessing the candidate’s portfolio – see MLE guide, section 3. RICS suggests you do this within two or three days of accepting the assessment. The following sections of this guide explain the type of evidence you will be assessing and the points you must bear in mind when making your assessment.

Your first step will normally be to skim-read all the evidence, which consists of documents, commentaries and a structured development record.

Although you may have a brief courtesy telephone call from your fellow assessor at the outset, you will usually work in isolation until you have formed your initial view on whether the standard has been met. Only later in the assessment process will you generally have contact with the other assessor. (Please note: this is advisory only. Individual assessors may find ways of working which suit them better – for example, two assessors may have worked together before and found through experience that they prefer to make immediate contact to share impressions).

Throughout your initial evaluation, you should be

making notes. The MLE gives you the facility to make notes against any item of evidence. These notes are private to you: they cannot be seen by the Associate Candidate or by your fellow assessor.

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Step 3 – Detailed assessment

Before you assess a portfolio, RICS staff will have checked thoroughly to ensure that it meets the requirements for the number of pieces and currency of the evidence, commentaries and structured development records. You do not need to worry about the quantity of evidence (because it will already have been checked and approved by RICS): your assessment is all to do with its quality and its relevance to the competencies. 3.1 Documents

The majority of the evidence for Associate Assessment is in the form of material the Associate Candidate has produced (or contributed significantly to) in day-to-day work. Associate Candidates should provide as much variety as possible to illustrate the breadth of their knowledge and application. The evidence must be the candidate’s own work (or have his/her contribution clearly identified).

There are several different types of acceptable evidence documents. They include (but are not limited to)

• letters or emails sent to key parties

• notes taken at meetings (these should be the notes the candidate makes at the time, rather than a revised version prepared later)

• work sheets • query lists

• back up notes or calculations • finished work

• some types of work produced for an academic or vocational qualification.

How recent must the evidence be?

All the evidence must have been produced in the last four years (that is, no piece of evidence should be more than four years old when submitted).

At least one piece of evidence per competency must have been produced during the 12 months immediately prior to the date on which the candidate submits his/her portfolio for Associate Assessment.

Candidates must be able to show that their evidence meets these time requirements – for example, any correspondence should include dates, and any report should also be dated. Evidence such as site surveys, legal documents or work specifications should contain a reference to the date the work was done or the communication produced. If the dates are not clear from the evidence itself, the candidate should have clarified them in the commentary.

RICS staff will have carried out checks to ensure the dates on the evidence meet these timescales and the candidate will have added the date each piece of work took place onto the relevant field on the MLE.

Mandatory competencies

As well as the technical competencies, Associate Candidates have to satisfy you that they have achieved the mandatory competencies – the eight ‘softer’ skills referred to in section C of this guide. Candidates provide no separate evidence for these: all their evidence for them must be contained in the 24 pieces of evidence they submit for the technical competencies, the 300-word commentaries, and the structured development record. Candidates are asked to point out in their commentaries how an individual piece of evidence demonstrates one or more of the mandatory competencies. For example, a report on an aspect of a project could, as well as providing evidence of a technical skill, also demonstrate the candidate’s

communication skills, teamworking abilities, or awareness of sustainability issues.

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Step 3 – Detailed assessment

What sort of standard should you expect?

In section D (which sets out the competencies) is the list of documents selected by RICS for the Quantity Surveying and Construction pathway. The following are examples to demonstrate the required depth and detail.

Example 1: an interim valuation. This should not be the first valuation on the project that only includes site set up. It should be a valuation during the course of the project that might include

• assessment of preliminary items • payment for variations

• unfixed materials on site

• materials stored off site, or in transit

• dealing with partial completion/possession of the works • perhaps, a re-measure of some drainage.

Example 2: the measurement of an element of a building for a pricing document. This should not be a simple straightforward measure where there were no problems. It should be the measurement of a complex element, possibly including • questioning the design, or asking for additional information • coordinating work with those measuring other elements

of the project

• thinking about how best to measure items not covered by the standard method of measurement being used • compiling complex descriptions for some items of work. The aim in this case would be to show understanding of the process of producing pricing documents, including interrogating designs, quantification through measurement and description and the use of standard methods of

measurement. Evidence should include, if appropriate, background workings for example calculations such as adjustments to rates for inflation or location.

Associate Candidates should not submit massive documents, but should keep their evidence concise and relevant. If they want to use a long and complex document, they should submit only the relevant extract(s), and explain in the 300-word

The link between evidence and competencies

Associate Candidates must submit four pieces of evidence for each technical competency. One item on its own will not demonstrate the whole range and depth required. You will be considering all four pieces together and looking at the bigger picture they present. You must assess whether, taken together, they demonstrate that the candidate has met the competency concerned.

Work that covers more than one competency Each piece of evidence can be linked to one technical competency only – so Associate Candidates must choose the one it mainly reflects. It will then count as one of the four pieces for that competency.

However, it may also demonstrate other technical

competencies. The Associate Candidate can prepare another version for the second technical competency and upload it as a separate document. It must be given a separate title and a separate 300-word commentary.

You will be looking for evidence of breadth of work experience. Check, therefore, to ensure that the Associate Candidate has not over-relied on a single piece of work, re-using it excessively for different competencies.

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Step 3 – Detailed assessment

Work produced for another qualification

Generally the evidence for Associate Assessment must be produced in the course of day-to-day work. However, if an Associate Candidate has been studying (for example, towards a relevant HNC or Foundation Degree) or has recently completed a qualification, tutors might set work-based assignments. And if they are doing a relevant vocational qualification such as an NVQ, s/he will have been producing work-based evidence for that qualification.

Associate Candidates can include written course work from an academic qualification towards their evidence. RICS advises that no more than half the evidence should be from course work produced for an academic qualification. Associate Candidates can also submit evidence they have already used for a vocational qualification – they may make you aware in their commentary that the work has already been used for, say, an NVQ.

All the other rules apply – that is, the evidence must have been produced within the last four years with at least one piece per competency from the 12 months immediately prior to Associate Assessment.

Don’t forget that you are assessing the candidate from a different standpoint from that of an academic tutor. You are not assessing simply whether s/he has the academic knowledge needed for a particular qualification: you are judging whether s/he has demonstrated the competencies required for a particular role. If you are assessing any such work in a portfolio, you must exercise your judgment and decide whether it is

• directly relevant to the competency concerned • at an appropriate level

• wholly or mostly the candidate’s own original work • demonstrates knowledge, understanding and

practical application

• falls within the list of acceptable items of evidence specified for the pathway.

3.2 Commentary

For each piece of evidence, the Associate Candidate must also submit a 300-word commentary, which is input directly into the MLE.

The commentary serves three purposes

• to demonstrate how the candidate has interpreted the requirements of the technical competency, and say how the piece of evidence demonstrates that s/he achieved it – in effect, explaining why this particular piece has been chosen • to demonstrate understanding of the mandatory

competencies, and show how they are reflected in the work that led to the piece of evidence (for example, did the work involve co-operative working with other team members, does it demonstrate communication skills, etc?)

• to set out the process the candidate followed to complete the activity covered by the evidence.

The commentary shows how the candidate has reflected on what is required, and on his/her own work, and builds up a picture of what that work involves and how the candidate has gone about it.

There is no prescribed form for a commentary, but the guidance for Associate Candidates suggests the following headings.

How is the competency demonstrated? Wider skills

Other than the main technical competency, what else does this evidence show? (with particular reference to the mandatory competencies).

Background

A description of the work that led to the piece of evidence. Where, when, how? Who else was involved? How much supervision? Is the activity part of the candidate’s everyday role? How much experience does s/he have in it?

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Presentation

When you assess a 300-word commentary, you are looking at it as an explanation of the evidence of the competencies. You are also looking at it as a piece of written work in its own right, and you should give some weight to presentation issues such as grammar, spelling and clarity of expression. Although this is something you should have regard to, remember that • the required standard, though high, would not necessarily

be as high as for a Chartered Surveyor

• to be of acceptable standard, any piece of written work should be clear and readable, and demonstrate a reasonable grasp of language, grammar and spelling • presentation issues on their own are not sufficient reason

to refer an Associate Candidate, but poor presentation can contribute to a referral if it is combined with inadequate evidence of competence.

3.3 Structured development

The structured development record is a log and evaluation of the learning activities that have built up the Associate Candidate’s skills towards the mandatory and technical competencies.

Structured development is private learning, organised learning, work-based learning or other activities undertaken in order to reach the required standard. It should be

• gained in a systematic, structured manner

• based on a process of selecting, planning and evaluating the activities.

Private learning: reading, online learning or similar, undertaken independently.

Organised learning: a learning event provided by a training company, college or similar. May be a CPD event.

Work-based learning: training provided in the workplace. May include in-house training courses or events put on by

the employer; instruction or mentored practice in new tasks; reading, study or online learning required by the employer. Other: any activity not falling into one of the previous three categories.

Associate Candidates must have recorded a minimum of 48 hours’ structured development in the 12 months prior to the date on which they submit their portfolio for Associate Assessment.

There is no strict rule about the precise number of hours of structured development for each individual competency. Candidates should achieve a reasonable spread of hours across the competencies, and record a variety of activities and learning methods.

When you look at a structured development record you will see

• a brief description or ‘title’ (for example “event to learn about new forms of contract”)

• the start date and time (when the candidate commenced the learning activity)

• the end date and time (when the candidate completed it) • a description of the activity – for example “lecture at

[venue] on the subject of…”[followed by a description of what the lecture covered]

• an ‘activity review’ – a reflective assessment and statement of the learning outcome – for example, “raised level of skill from basic awareness to a good working knowledge”.

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Step 3 – Detailed assessment

Some examples of structured development

Contract Practice

Purpose

Code Description Learning outcomes

To develop my knowledge of the use of the various standard forms of contract.

Work-based Attended in-house training workshop on Contractual Awareness.

It is fundamental to a QS to understand various forms of contracts and potential contractual scenarios, including the implications and obligation that apply to the parties to the contract.

Construction technology and environment services

Purpose

Learn more about the main elements of a construction project and how they interrelate.

Private Refresher online course on

Construction Technology and environment services.

I needed to refresh my knowledge and awareness of the design and construction processes commonly used in the industry. I achieved my objective by expanding my knowledge of learning more about construction solutions relevant to projects.

Procurement and tendering

Purpose

Strengthen my knowledge of procurement and tendering; how much it was being applied in practice and to further my understanding on the procurement options.

Organised CPD Lecture - outlining the main forms of procurement as well as knowledge and understanding of the tendering and negotiation processes involved in procurement.

I learnt that with procurement options, there are so many variables which determine the option that is eventually chosen, there is no standard way of analysing it but certain options will be better suited to certain projects.

Health and safety

Purpose

The course aimed at making delegates familiar with relevant health and safety legislation and industry standards associated with preparing risk assessments, work package plans, and task briefings.

Work-based Course delivered at my

workplace over 9 hours by a combination of online materials, demonstration and hands-on tutoring.

The course provided a brief understanding of the company procedures and legal requirements regarding these subjects. It increased my knowledge of how these systems work and my role in relation to them, as a key component to the business’ target of zero harm.

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Assessing structured development

The structured development record will be valuable supporting material to supplement the documentary evidence. You will make a judgment on the following aspects

• was there a good spread of activities?

• has the Associate Candidate chosen the activities appropriately, and do they reflect a constructive and conscientious approach to development?

• were the activities directly relevant to the technical and mandatory competencies for this pathway?

• taken in the round, do they show how the candidate has progressed towards the AssocRICS standard?

You should not consider the structured development record as a pass/refer item in its own right. It contributes to your all-round evaluation of the documentary evidence and commentaries. It reinforces your view on the Associate Candidate’s approach to work and his/her application in developing the skills for the job. If you consider a candidate borderline on the basis of the other evidence, a poor structured development record may persuade you to refer, while an exceptionally good one may tip the balance for a pass. Assessing – what are your benchmarks?

As a practitioner and a trained assessor your essential

benchmark is your own knowledge and experience of the sector, and the shared view you reach after discussion with your fellow assessor (see section 4). Another important source is the Candidate Guide: you should familiarise yourself thoroughly with this before you assess a candidate. You must always bear in mind that Associate Candidates are likely to work in a support role, with a significant degree of supervision. Do not judge candidates against the standard of chartered membership - the Associate member will not normally have the academic background, the breadth of skills, or the level of experience and professional responsibility of a chartered surveyor (although s/he may well be capable of progressing to that level).

You should be confident of passing a candidate who • has demonstrated attainment of the six technical

competencies, as defined in this guide

• has submitted reasonable evidence that s/he has achieved the mandatory competencies (judgment is needed here, because there is no separate evidence for these competencies)

• has submitted reasonable evidence that s/he is a fit person to practise as an Associate member of RICS.

Your assessment is holistic, and you must use your judgment and discretion to reach a balanced view on the basis of all the evidence. There is no rule that says, for example, you must be completely satisfied with all four pieces of evidence for one competency. Suppose you have doubts about one piece of evidence: are the other three good enough to compensate? Is one outstanding? If so, does the really good one outweigh the less satisfactory one? You will always be looking to balance your decisions in this way.

As a very rough rule of thumb, if two (or fewer) pieces of evidence for a competency are satisfactory you would normally conclude the candidate had not done enough to pass that competency. If three are satisfactory, you will make a balanced decision. And if all four are satisfactory or better, naturally you will conclude that that competency has been achieved. You should note any pieces of evidence that are satisfactory. The Associate Candidate is entitled to ‘bank’ these, if s/he is referred (see section 6.1 below).

You should pass the candidate only if s/he has satisfied you on balance that s/he has achieved the required standard in all the technical competencies; and you have seen enough evidence in the written work, commentaries and structured development record for you to be reasonably confident that s/he has achieved the mandatory competencies.

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Step 3 – Detailed assessment

Ethics

All candidates for all grades of RICS membership must achieve the highest standard in the competency “Conduct rules, ethics and professional practice”. RICS has developed an online module, including a test, to introduce candidates to RICS ethics and examine them on this competency. In addition to submitting their evidence and structured development records, Associate Candidates must successfully complete the online ethics module before they can become an Associate.

This means that you are not required to assess this competency. Provided the candidate passes the module, RICS will accept that s/he has achieved the required standard. Of course, the candidate can refer to this competency in commentaries. If accepted into membership, the candidate will be subject to RICS Regulation and his/her ethical conduct will therefore be subject to scrutiny by RICS.

However, if there is anything in the Associate Candidate’s evidence that shows unethical behaviour on his/her part, you should raise your concerns immediately with RICS via the Associate Assessment inbox or by telephone (a full list of contacts is at the end of this guide).

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When both Associate Assessors have had time to read all the evidence and make their notes, the Lead Assessor will contact the co-Assessor. The first contact must be made within one week of accepting the assessment – this will generally be only to set a time and date for the detailed discussion. Contact can be by any method – Associate Assessors should agree between themselves at the outset what means of communication they prefer. RICS recommends, however, that assessors discuss each portfolio by telephone because this enables the fullest exchange of views. The assessors must then undertake a detailed discussion and evaluation of the evidence, which should take place at the latest by DAY 8 after accepting the assessment.

During the discussion you will compare your assessment of the evidence. You will discuss the Associate Candidate’s submission in the round. You should work towards agreement. Associate Assessors will develop different ways of working and, provided you can show that you have given proper and thorough consideration to the evidence, RICS does not prescribe an approach. However, the question you are addressing is whether the Associate Candidate has satisfied you that s/he is, overall, competent to practise as an Associate. A suggested way of structuring the discussion is to take it competency by competency

• for each competency, first consider the pieces of documentary evidence individually

• identify any that are satisfactory • identify any that are outstandingly good • identify any that are clearly below standard

• for each satisfactory (or better) item, note if it demonstrates another technical competency and note what it contributes in terms of evidence for the mandatory competencies • consider the commentary that accompanies each

document and note if it contributes further evidence of technical competence

• for each commentary, note which mandatory competencies are covered, and ensure that the candidate has covered all the mandatory competencies

• review the structured development record and note where it supplements the documentary evidence

• at the end of this process, review what you have noted for each competency (technical and mandatory) • consider, for example, whether there is an outstanding

piece of evidence that could compensate for a less satisfactory one

• decide in the round, taking a balanced view, whether the candidate has satisfied you that the requirements have been met

• if so, the candidate has passed

• if not, clearly identify the individual items of evidence that are below standard – these will be referred to in the feedback

• clearly identify the satisfactory evidence, which the candidate can ‘bank’.

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Step 5 – Notifying RICS of the decision

The Associate Candidate must be notified of the decision within four weeks of being accepted for assessment. If the decision is to refer, the candidate must get the feedback report within that time. RICS therefore requires the two Associate Assessors to agree the decision ten working days after agreeing to undertake the assessment.

Through a process of discussion (see above), you must agree between you whether to pass or refer the Associate Candidate. You must then confirm your decision by clicking the outcome button in the MLE. Both of you must click the same decision button in the MLE (see MLE guide section 5).

Because the decision is evidence-based and measured against clear criteria, there should be very few cases where Associate Assessors cannot agree. If that does happen, you must notify RICS as soon as possible but, at the latest, within 10 working days of accepting the assessment. This gives RICS time to appoint a third Associate Assessor. The third assessor will review all the evidence and reach a decision after a

discussion with the Lead and co-assessors. The third assessor will in effect have a ‘casting vote’ and the decision will be reached by a two to one majority.

Note: if, as a result of a casting vote of the third assessor, the candidate is referred, the third assessor will be responsible for preparing feedback for the candidate (see step 6 below).

You must agree to refer a candidate only if you have also agreed what s/he should do to remedy any deficiencies in the evidence. Those deficiencies, and the remedy for them, must be described in the feedback which will be prepared by the Lead Associate Assessor.

The Lead Associate Assessor has the responsibility of recording in the MLE which pieces of evidence may be banked (see below). The decision is then notified to RICS: staff at RICS will check the comments to ensure consistency in the presentation.

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Step 6 - After the Associate Assessment

Approximately four weeks after a portfolio is submitted, RICS will email the Associate Candidate stating that the result is available online. If the candidate has passed, s/he will become an Associate member. RICS staff will take over the process from here.

If you refer the candidate, s/he must do whatever is required in the feedback report before submitting for re-assessment. Feedback

The feedback report is prepared by the Lead Associate Assessor2_{. It must}

• be competency specific

• identify specific pieces of evidence which were not acceptable

• give detailed reasons why

• give general guidance and suggestions for improvement including seeking other/additional experience

• specify how many new pieces of evidence are required. Normally, to remedy a deficiency, you will suggest something along one of the following lines

• provide a further piece of evidence for [competency x] to demonstrate more clearly your skills in…

• gain further experience in… and provide evidence • undertake [x amount of] structured development to raise

your level of competence in …

Again, there are no hard and fast rules, and you can prescribe whatever you consider reasonable, provided

• it is achievable without creating potential problems for the candidate at work

• it does not require more than 12 months’ further experience, so that it does not cause unreasonable delay for the candidate in coming forward for re-assessment and s/he will be able to use ‘banked’ evidence (see below) • it is proportionate.

Banked evidence

If an Associate Candidate is referred, your feedback must identify which individual pieces of evidence were satisfactory. Those pieces of evidence you identify as satisfactory are banked by the candidate for 12 months from the date on which the result is posted on the MLE.

For example, suppose for one of the technical competencies two pieces of evidence were satisfactory and two were not. Although the candidate will be referred on that competency, the two satisfactory pieces will be banked – so, when s/he submits for re-assessment, only two new pieces will be needed for that competency. The Associate Assessors at the next attempt will still assess that competency on the basis of all four pieces of evidence, but they will not question the two banked pieces. Provided the two new pieces of evidence are satisfactory, the candidate will have achieved that competency. Previously referred candidates

RICS will notify you if the Associate Candidate you are assessing has been previously referred. Candidates can submit for re-assessment as soon as they have assembled the new or updated evidence required in a feedback report, and a minimum of four weeks has passed since the previous Associate Assessment. (If the Associate Assessors specify that the candidate must complete a longer period

of additional experience, s/he cannot re-submit for Associate Assessment until that period has been completed). RICS aims to use at least one of the previous assessors for the re-assessment.

When assessing a previously referred candidate, you may not question any banked evidence, even if you do not agree with the original Associate Assessors’ view. You must simply accept that that evidence is satisfactory, and assess the candidate on the basis of the new/additional evidence submitted. If you think the original assessment was poor you should however notify RICS through the MLE.

2_{The only exception to this is where the two original assessors have not agreed,} and the candidate is referred as a result of the casting vote of a third assessor. In this case, the third assessor prepares the feedback report.

Quantity Surveying and Construction Assessor Guide