8
Developing an Ethics Toolkit, as a Practical Guide for Managing Projects
We are trying to move away from looking at ethics as scandal to ethics as strategy. We are lifting the hood and seeing the concrete strategies companies are using as this might help to see what other companies can do.
Peter Singer
8.1 Introduction to the Chapter
This chapter is designed to assist construction professionals in the management of all stages of projects and particularly around legal and ethical compliance. With reference to the above quotation in seeing ethics management as an organisational strategy, proformas and checklists have been specially developed for this chapter to improve the robustness of processes and for compiling important data on projects. These have been devised to ensure that critical aspects of projects, including statutory compliance and quality controls are not compromised during the life of projects. In this way, it is intended as a practical guide to managing the processes and procedures linked to each aspect.
Following Driscoll’s (three elements of reflection) Model (Driscoll 2000), the author’s reflective practice also led to reflective enquiries around construction professionals and specifically leading projects from an ethical and compliance standpoint. This triggered several questions which the author sought to unravel. These included:
- Where is the evidence that justifies the idea that theory and practice need to come together in ethics and compliance awareness when leading and managing construction projects?
- Why is there a gap in provision around awareness of ethics knowledge, training and guidance for construction professionals?
- What improvements could be made to bridge the gap?
In consideration of the above questions, and from interviews with construction professionals for this book, it has become apparent that some, especially those who lacked previous construction experience, feel ill-equipped with the basic skills specifically around ethics and compliance required to successfully procure projects. Furthermore, these individuals articulated that they relied heavily on their design consultants to guide them through the necessary steps and processes. Their lack of expertise and training in professional practices around construction management led the authors to consider a ‘toolkit’ which could capture the various stages of projects and offer practical guidance at each stage. The intention of this guidance document would be predominantly to bridge gaps in knowledge and ensure that critical stages of projects are given sufficient consideration by professionals. The overarching benefit would be to reduce the risk that construction professionals could inadvertently breach ethical standards around due diligence and process.
8.2 Planning and Devising the Toolkit
As far as addressing the gap in knowledge, available guidance documents and general provision around raising awareness and competencies of construction professionals, it was considered useful to develop an innovative and meaningful teaching and learning resource. The primary aim was to enhance the existing skills and awareness of professionals as a knowledge base. It would seek to benefit professionals when procuring projects and enable construction professionals to improve their leadership and management skills to promote successful outcomes.
- Create a teaching and learning ‘step by step’ practical guide that will assist professionals through the construction process and allow them to lead their project teams in a professional and proactive way.
- Familiarise construction professionals with some of the necessary processes and governance requirements for projects to better prepare them for procuring projects.
- Close current gap between those existing education/training skills gained by construction professionals and those required when procuring projects.
A project plan proposal form was prepared by the author of this book which mapped out the aims, objectives of the practical guide, to assist in its creation. It was essentially designed to focus on the development of a simple and concise practical guide through the various procurement stages. This was intended as a guide and template to assist construction professionals in undertaking building projects and leading them on a professional capacity. Its main purpose was intended to steer construction practitioners through a logical sequence as far as the various stages and the methodology of the construction management processes are concerned from start to finish. In this way it is hoped that risks associated with ‘shortcuts’ in processes, procedures and documentation management will be reduced and an ethical and robust project management platform established.
The basis of the practical guide or ‘toolkit’ in this chapter is to provide a reference tool to successfully procure projects and designed to give all the necessary information that construction professionals require to enable them to comply with good practices. It also would provide construction professionals with a basic familiarity and understanding on some of the procurement ‘checks and balances’ that should be considered. This will then hopefully benefit them in their projects and better prepare and equip them for some of the challenges faced.
8.3 Feedback and Evaluation of the Toolkit from the Perspectives of Construction Professionals
A consultation through interviews with construction professionals was carried out to review the ‘toolkit’ and obtain their completed feedback on how useful they found the practical guide.
Positive feedback from all participants included the following:
- The practical guidance is clear and unambiguous.
- The various checklists, templates and proformas contained within the toolkit allow building information to be easily compiled throughout the life of projects.
- The toolkit promotes a logical and methodical step-by-step approach to carrying out building projects and helps to ensure that ethical issues around compliance and documentation management are not breached.
- As a practical guide it should ensure that each stage of the construction procurement process is undertaken in a systematic way with no component parts left out. This is intended to avoid risky short cuts which could have very damaging and costly implications.
Notwithstanding the above feedback, the advantage from an educational perspective is that construction professionals reported that they feel they are now more prepared and able to progress projects more confidently, using the information compiled within this practical guide. The guide is intended to steer them through the construction management processes, stage by stage, and allow them to comprehend and manage the various aspects of projects. Furthermore, it is felt that the guide could be conducive as a teaching and learning tool for industry. In its existing simplistic form, it could potentially save a lot of time for professionals in collating information more swiftly.
The following subchapters articulate the various stages of projects and aids construction professionals through templates, checklists and proformas as part of a practical guide or ‘toolkit’.
8.4 Ensuring and Monitoring Performance Throughout the Life of Projects: General Project Directory and Checklist
One of the important considerations for construction professionals is to keep data on projects on one system or folder whereby information on projects can be recovered and updated easily. There should ideally be an overarching project checklist which should cover all stages of projects from inception to completion. This ‘master checklist’ is intended to capture other checklists at various stages of projects and therein be a useful management tool as projects progress. An example of a general project checklist is included in Figure 8.1 .
Figure 8.1 General project checklist.
8.5 The Documentation that Construction Professionals Need to Consider at Pre-Construction Stages
There are many different documents that professionals should source from their construction partners prior to works commencing on site. These are largely related to health and, compliance and competency.
8.5.1 Contractor Pre-Questionnaires for Competency and Compliance
Questionnaires are sometimes commonplace. These are designed and implemented by construction professionals to assess contractors’ suitability prior to them being included on tender lists. Construction professionals normally adopt schemes such as the CSCS scheme and their questionnaires relate to pre-qualifying criteria for such affiliated accreditation. Contractors not part of these schemes must apply in writing and complete the relevant health and safety competency questionnaire. These are normally approved by the construction professionals prior to commencing the tender processes.
On receipt of the contractor pre-qualification information, this should be forwarded to the relevant client officer who will add the details to the ‘Contractor Compliance List’ and advise the construction client if the tender process can now progress. In some circumstances, it may be necessary for contractors to become members of a recognised scheme, due to the specialist nature of the works to be completed. These could include schemes such as the Considerate Contractors accreditation, linked to community liaison and ensuring neighbouring parties are not unduly affected by construction projects. An example of a pre-qualification competency questionnaire is contained in Appendix F.
8.5.2 Monitoring Checklist Required for Document Control and Processes
Following the construction professionals’ tender processes leading to contractor selection, it is essential for construction professionals to ensure that their contracting partners are checked to have the right compliance measures in place, prior to commencing work. Figure 8.1 has been developed as a ‘Monitoring Checklist’ for construction professionals or their project managers to ensure that all documentation is in place in this regard.
The checklist will serve construction professionals to verify that their contractors have compliance measures in place and are fully inducted before being instructed to commence works. This is designed to ensure that the following provisions have been carried out or in place and therein meet the ethical and legal compliance requirements in Figure 8.2.
Figure 8.2 Ethical and legal compliance requirements checklist for contractors, prior to commencing on site.
8.5.3 Permits to Work and Making Contractors Aware of Known Hazards
Permits must be signed off and returned to appointed officers, nominated by construction professionals, prior to work commencing and at completion. Typically, tasks and activities which may need to be authorised by a Permit to Work will be those that involve hazards, and these are included in Figure 8.3.
Figure 8.3 Typically, tasks and activities involve hazards for contractors which may need to be authorised by a Permit to Work.
8.6 Managing Documentation and Processes Following Appointment of Contractors
8.6.1 Project Execution Plan
A project execution plan (PEP) is the governing document that establishes the means to execute, monitor and control projects. The plan serves as the main communication vehicle to ensure that everyone is aware and knowledgeable of project objectives and how they will be accomplished. A project execution plan (PEP) will typically contain information as set down in Appendix G.
8.6.2 Contractors’ Health and Safety Handbooks and Codes of Conduct
In addition to above, it is good ethical practice for construction professionals to compile their own health and safety contractors’ handbooks, which is normally tailored to their particular organisations and estates. These should incorporate important information on what contractors need to know about construction professionals’ sites and buildings and safety precaution that must be strictly adhered to. An example of a contractor’s health and safety handbook is included in Appendix H. It is also common in these health and safety handbooks for contractors to have to sign up to an employer’s code of conduct and site rules. These should ensure that contractors comply with the rules, regulations and procedures when entering the professionals’ buildings and estates. Any shortcomings, in this regard, should be rectified immediately and the overall health and safety performance of a contractor reviewed regularly.
Construction professionals should ideally appoint an officer within their respective organisations to carry out random site inspections to assess compliance with control measures employed by contractors. The frequency of the checks should be appropriate for the size, complexity, location and nature of projects. Clearly those projects that are potentially more complex and have the risk of causing more disruption to professionals’ businesses and staff should be managed more closely through such checks and inspections. This is particularly the case when contractors are working in ‘live’ environments and business continuity represents a major issue for professionals. Professionals have a duty of care to ensure that their buildings and estates are clean and safe for employees, visitors and members to enter into. Any accidents on their respective sites could lead to legal action being taken against client organisations for negligence and duty of care breaches.
8.7 The Documentation and Processes that Construction Professionals Need to Consider in the Construction Phases of Projects
8.7.1 The Importance of Monthly Project Reporting for Construction Professionals
Construction professionals frequently are responsible for more than one projects which may be running concurrently at any time. These projects may be part of a programme of projects, and in some cases where there is considerable capital investment, a large transformational ‘masterplan’. This could be particularly relevant to public sector bodies or large private sector professionals embarking on regeneration schemes. This large- scale development normally places undue challenges on construction professionals in being able to have a full high-level perspective on a programme of projects. For this reason, it is important for construction professionals to provide with regular, preferably monthly, high-level reports on progress of projects from their project teams. This should include an exceptive summary, progress against milestones, matters arising since the last report and any financial considerations. Furthermore, it should ideally incorporate a cost plan, reporting actual expenditure against planned, together with a ‘dashboard’ that could indicate project particulars including risks. An example of a cost plan (blank) is included in Table 8.1 and a progress dashboard template (blank) in Figure 8.4.
Figure 8.4 Example of a project dashboard template.
Table 8.1 Example of a cost plan.
| Cost Report Nr 11 | ||||
| SECTION 2: FINANCIAL SUMMARY & COMMENTARY | ||||
| 2.1 | CONSTRUCTION SUMMARY | |||
|
This Report (11) |
Previous Report (10) |
Change + / (-) | ||
| 1 | Contract Sum | |||
| 2 | Adjustment of PC and Provisional Sums (Appendix A) | |||
| 3 | Adjustment of Day Works Allowance (Appendix B) | |||
| 4 | Instructed Variations (Appendix C) | |||
| 5 | Anticipated Variations (Appendix D) | |||
| 6 | Contractual Claims (Appendix E) | |||
| 7 | Project Risks (Appendix F) | |||
| 8 | Estimated Final Contract Value (Excl. VAT) | |||
| 9 | Anticipated Over / (Under) Spend on Contract Sum [8-1] | |||
| 10 | Client Directly Incurred Costs (Appendix G) | |||
| 11 | Project Costs (Inc Fees & Excl VAT) | |||
| 12 | Project Costs (Inc Fees & Inc VAT) | |||
| 13 | Project Budget | |||
| 14 | Variance Against Budget | |||
| 2.2 | COMMENTARY (Change in Period) | |||
| (i) | This cost report includes the following movement in the reporting period:- | |||
| This Report (11) | Last Report (10) | Change in Period | ||
| Instructed Variations (Appendix C) | ||||
| Anticipated Variations (Appendix D) | ||||
| Basis of Cost Report | ||||
| (ii) | ||||
| (iii) | ||||
| (iv) | ||||
| (v) | ||||
| Expenditure | ||||
| (vi) | ||||
| Current Issues | ||||
| (vii) | ||||
The monthly reporting should capture the current risk on projects, identified as part of the project execution plan (PEP) and report against them. Where there are risks, mitigation to control and reduce those identified risk should be documented, and these measures are performing. There should also be reporting on quality management in the build processes and a general overview of whether the building is performing to key performance quality standards and therein fit for purspose.
8.8 The Documentation and Processes that Construction Professionals Need to Consider in the Post-Construction Phases of Projects
8.8.1 Managing Handover: Project Handover Checklists and Test Certification
From both an ethical and a legal perspective, on completion of projects, construction professionals should have robust procedures to ensure that the building or accommodation they are taking handover from contractors is safe to occupy. Arguably some of this responsibility clearly falls to their consultant project managers, but professionals still have due diligence in terms of guaranteeing a safe and compliant working environment for their staff. In practice, many construction projects have been completed without the full array of ‘checks and balances’ in place to ensure legal and safe staff occupation. It would be extremely easy and commonplace for certain items related to such things as test certification and mechanical and electrical commissioning to be missed at project handover stage. For this reason, the project handover/test certification checklist in Table 8.2 has been prepared to capture all the relevant items, normally required to be signed off prior to completion.
Table 8.2 Project handover/test certification checklist.
| DESCRIPTION | RECIEVED | N/A | |
|---|---|---|---|
| 1.00 | ELECTRICAL CERTIFICATES | ||
| |||
| ⃞ | ⃞ | ||
| |||
| ⃞ | ⃞ | ||
| |||
| ⃞ | ⃞ | ||
| |||
| ⃞ | ⃞ | ||
| 2.00 | MECHANICAL CERTIFICATES | ||
| |||
| ⃞ | ⃞ | ||
| |||
| ⃞ | ⃞ | ||
| |||
| ⃞ | ⃞ | ||
| |||
| ⃞ | ⃞ | ||
| |||
| ⃞ | ⃞ | ||
| |||
| ⃞ | ⃞ | ||
| |||
| ⃞ | ⃞ | ||
| |||
| ⃞ | ⃞ | ||
| 3.00 | ITS CERTIFICATES | ||
| |||
| ⃞ | ⃞ | ||
| |||
| ⃞ | ⃞ | ||
| 4.00 | OTHER | ||
| |||
| ⃞ | ⃞ | ||
| |||
| ⃞ | ⃞ | ||
| |||
| ⃞ | ⃞ | ||
| |||
| ⃞ | ⃞ | ||
In addition to the test certification checklist, it is also good practice to complete a separate fire safety project completion checklist for health, safety and well-being. This covers such things as fire extinguishers installation, reinstatement of fire alarm detectors and call points, correct signage being in place showing new building layouts and ensuring clear/unimpeded fire escape routes. Table 8.3 has been prepared to illustrate a health, safety and well-being checklist. Construction professionals’ responsibilities should include ensuring that the most appropriate persons, normally the project manager or health and safety manager, has signed off this checklist prior to taking handover.
Table 8.3 Fire safety project completion checklist.
| Fire Safety Project Completion Checklist. | |||
|---|---|---|---|
| Project Officer | |||
| Project Title | |||
| Project Code | |||
| Completion Date | |||
| Have all fire alarm detectors identified on the FRIP been reinstated? | |||
| Y/N | |||
| Have Fire extinguishers been replaced / installed as per the Fire Strategy document? | |||
| Y/N | |||
| Has the following fire signage been replaced using photo-luminescent signage; | Manual call point |
 | Y/N |
| Fire extinguishers |
 | Y/N | |
| Do not use lift |
 | Y/N | |
| Door override buttons (green break glasses) |
 | Y/N | |
| Have fire action notices been replaced? | |||
| Y/N | |||
| Have fire escape routes been maintained and signage provided (these must be illuminated in licensed premises)? | |||
| Y/N | |||
| Have refuge points been resigned and communications maintained? | |||
| Y/N | |||
| Have fire doors been maintained to be opened with one action and both leafs available (bolts must not be fitted to these)? | |||
| Y/N | |||
| Has fire stopping been installed and checked on any penetrations to walls? | |||
| Y/N | |||
| Have building plans been updated showing new layouts, etc.? | |||
| Y/N | |||
8.8.2 Capturing Lessons Learnt on Projects
Construction professionals should ensure that there is a post-contract period of reflection to review what went well and not that well on projects. This would normally be conducted through workshops across the whole project team, including the end users. This reflection is designed to understand the lessons learnt which can be carried over to future projects, and therein improve future practices. In theory, without establishing those lessons learnt and what improvement measures should be adopted, the same mistakes or bad practices could continue from one project to another. Table 8.4 has been prepared to illustrate a pro-forma that could be used as an agenda throughout lessons learnt workshops.
Table 8.4 Lessons learnt proforma.
| Stage 1, Prior to commencement of the works: | ||||
|---|---|---|---|---|
| YES | NO | NOT APPLICABLE OR UNSURE | ||
| 1 Did we make effective initial contact with you? | ||||
| Comments: | ||||
| 2 Did we communicate with you effectively? | ||||
| Comments: | ||||
| 3 Were we supportive of the aims of your department? | ||||
| Comments: | ||||
| 4 Did we explain the project budget in appropriate detail? | ||||
| Comments: | ||||
| 5 Did we fully understand your department’s functions & critical requirements? | ||||
| Comments: | ||||
The lessons learnt pro-forma is split into three parts relating to the different stages of projects, namely pre-construction, construction phase and post-construction. Its primary purpose is intended to highlight areas for improvement and suggest improvement or mitigation measures to avoid the same issues arising in the future. To achieve full value from the lessons learnt exercise, a series of improvement measures should be formulated and an implementation strategy by which such measures can be integrated into projects. This normally involves reforming existing project management processes and procedures to capture the improvement measures at the relevant project stages.
| Stage 2, During construction/refurbishment | ||||
|---|---|---|---|---|
| YES | NO | NOT APPLICABLE OR UNSURE | ||
| 6 Was the planning and phasing of work effective? | ||||
| Comments: | ||||
| 7 Were you involved in decision making where appropriate? | ||||
| Comments: | ||||
| 8 Did we respond to your requests/queries in a timely manner? | ||||
| Comments: | ||||
| 9 Did we give you appropriate early alerts to potential problems? | ||||
| Comments: | ||||
| 10 Was any disruption of your functions/services anticipated? | ||||
| Comments: | ||||
| Stage 3 - Completed construction/refurbishment | YES | NO | NOT APPLICABLE OR UNSURE | ||
|---|---|---|---|---|---|
| 11 Did the completed work comply with the agreed brief? | |||||
| Comments: | |||||
| 12 Did the completed work meet your accommodation needs? | |||||
| Comments: | |||||
| 13 Did the completed work provide an environment that satisfies its users? | |||||
| Comments: | |||||
| 14 Did we deliver a completed project that met your expectations taking into account budgetary restraints? | |||||
| Comments: | |||||
8.9 Summary and Usefulness of the Toolkit
In general terms the information included in this chapter could become a useful, simple and innovative practical guide for construction professionals, especially those with little or no previous experience in managing projects. It could offer them a useful management tool, as relative beginners to the task of carrying out complex building projects, and hopefully narrows the gap between their existing knowledge base and those skills required for successful construction management. The various proforma and templates, tailored to what is believed construction professionals require, should form the impetus for improved practices as checklists to ensure critical information and processes for ethical and legal compliance are strictly adhered to.
The opportunities for the guidance contained in this chapter could support future development for professional practice and in education context a useful teaching and learning resource or handbook. This is it presents a more effective and efficient means of collating building information and a step-by-step route map through complex procurement stages and processes. It has the potential to become integrated into BIM systems which client organisations may wish to implement. This technology could be networked and downloaded on to a software system that could effectively prepare a report automatically. This would make the whole process so much more efficient and greatly reduce the resources and time currently expended by construction professionals’ staff in preparing various reports. This is particularly relevant for client companies seeking alternative ways to reduce costs and become more competitive accordingly.
References
- Driscoll, M.P. (2000). Learning for Instruction, 2e. Florida State University.