CON101

ASSIGNMENT 1
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Task 1: Roles and responsibilities within the construction industry -

Traditional Design Build Procurement Model

1a) The Client

“The CIOB Code of practice for project management 4th edition, defines a client as the 'Entity,
individual or organisation commissioning and funding the project, directly or indirectly.' Designing
Buildings, August 2020

Diagram 1a) A Traditional Procurement Delivery Model showing the typical contractual
arrangements between the Client, Consultants, and Contractors. Source - Open Polytechnic,
CON101,2021-By April Thomas

The Traditional Procurement Delivery Model is the most common delivery method used
according to Designing Buildings, Aug 2020

On deciding to undergo a design project or building alteration a client will first appoint
consultants to design the project in detail.

As seen in Diagram 1a) above the Client will appoint Designers and Specialist Consultants in the
Design Phase. They will work closely together to bring the Clients vision to a working drawing.

Once the drawings are final, as well as work schedules and the bill of quantities have been
worked out by the Quantity Surveyor, the project may be put out to tender.

A construction contractor is selected by the client, based on suitability for the project. This
contractor may in turn have his own suppliers contracted to him. See Diagram 1a).

The client will typically retain design consultants during construction phase to prepare any
additional designs or alterations.

Designing Buildings also says that this method of delivery is a low-risk method of contracting
for the client, as the contractor takes the financial risk for construction. However, if the design is
incomplete at the tender stage or if there are significant changes or variations after the
contractor has been appointed, the cost to the client could be vastly increased. Source –
Webpage, Designing Buildings Aug 2020

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Responsibilities as a Client may include but are not limited to:

Decision Making,

Keep abreast of the project as outlined in the Design Brief.

Apply for Building Consent from the B.C.A (Building Consent Authority)

Apply for Code of Compliance Certificate from the relevant Territorial Authority.

Make daily decisions about project variations and scope of work alterations.

Budget, target, and financial decisions.

The Client is responsible for payments of accounts were proper.

The Client is also liable for increased costs and variations to project and any
overruns.

Showing the need to make contractual appointments.

Source - Open polytechnic, CON101,2021, P32

Ensure that all Health and Safety Requirements are adhered to in accordance with WorkSafe as
the Lead PCBU.

The Client will be expected as the Lead PCBU to

- Be the health and safety leader of the project

- To set clear health and safety standards and put these in the contracts
- To eliminate risks as far reasonably practical in the designs.
- To choose the best contractors for the project based on pre-qualification, and not cost.
- To check the health and safety of potential contractors.
- To put reporting procedures in place.
- To have adequate information sharing throughout the project in place

Source, eBook, PCBU's Working Together, Advice when Contracting, June 2019

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1b) The Designer

A designer is defined in the 2015 CDM Regulations as ‘…an organisation or individual, who
prepares or modifies a design for a construction project (Including the design of temporary
works); or arranges for, or instruct someone else to do so.’ Designing Buildings, August 2020

Diagram 1b) Designers in a Traditional Design Build Procurement Delivery Model

The designer is appointed by the Client in the Design phase in the Traditional Design Build
procurement delivery model as seen in diagram 1b) above and will collaborate with specialist
consultants to fulfill the client's vision.

Depending on the scope of the project, alternate consulting firms/persons may be referred to as
designers as well according Designing Buildings, Aug 2020, as follows:

For example, the team could include,

 Architects.
 Architectural Technologists.
 Services engineers.
 Landscape designers.
The designer is responsible for interpreting the client's vision and designing the project to direct
the construction.

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Preliminary designs are prepared with approximate cost estimates based on the input from the
quantity surveyor.

Plans, Sections, Elevations, Stock Images, Canva Nov 2021

The designer is responsible for the following documents:
Plans- “A birds eye view drawing or horizontal slice of the building without the roof”
Sections - “The cross-section drawing through a vertical slice of the building”
Elevations -” Drawings that the shape and finishes of the building”
Source – Open Polytechnic, CON101-2021, P048682203e

Once the client has selected a design from the preliminary drawings the designer will go ahead.
A full set of the above-mentioned drawings, Plans, Sections and Elevations, is known as the
working drawings. These are required in a Traditional Design Build Procurement Delivery Model
as the Design will be going out to Tender. The working drawings are then used to work out the
specifications for the building works and construction.

A schedule of quantities will be drawn up from the full set of drawings, to itemize the
requirements and cost of the project in detail. Note that not all Clients choose to draw up a bill
of quantities as this can be a costly exercise. It depends entirely on the scale of the project and
the level of transparency that is needed throughout the tender process.

The Designer plays an integral role in not only the vision of project, but also ensuring that the
specifications are as correct as possible. Changes and alterations to the design after
construction has started can become costly.
Sources – Online-Open Polytechnic, CON101 2021 p048682203e, Webpage-Designing Buildings,
Sep 2020

“For designers to work effectively as a team they should adopt collaborative practices as early in
the project as possible, “says Designing Buildings "The requirement to adopt such practices
should be included in appointment documents. The client may wish to allocate the roles of lead
designer and lead consultant to coordinate the work of the rest of the team. It might also be
appropriate to appoint a design coordinator (For the coordination and integration of design

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prepared by specialist contractors) And a computer-aided design (CAD) and/or building

information modeling (BIM) Coordinator and BIM information manager. Contractors may appoint
their own design managers to co-ordinate their own design and that of sub-contractors.” Project
Management, Designing Buildings, Sep 2020

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1c) Main Contractor

NRM2, RICS new rules of measurement, Detailed measurement for building work, defines the
main contractor as, '...the contractor responsible for the total construction and completion
process of the building project.' Designing Buildings, August 2020

Diagram 1c) Main Contractor in a Traditional Design Build Procurement Delivery Model

Buildings are becoming increasingly more complicated, says Designing Buildings- Aug 2021, so
therefore it is less and less likely that any one contractor will be able to work on a construction
project.

In the Traditional Design Build procurement delivery model, the Main Contractor is appointed by
the Client at the Construction phase after the tender process.

In the Traditional Design Build Procurement Delivery contract, the Main contractor is appointed
to construct a development for which the design has already been completed by consultants
appointed by the client. The Contractor will collaborate with his own team of subcontractors
and suppliers as showed in diagram 1c) above.

The project is set out in detail in the tender documents and the Main Contractor offers a fixed
price to the client. If the client selects the contractor, they will conduct and complete the
building project. As the Main Contractor he will need to fully focus on the project and be in
constant communication with the Client.

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Source –Webpage Designing Building, Aug 2021, Online - Open Polytechnic CON101 2021 P
pc2d2855bd0

The Main Contractor will have responsibilities including but not limited to:

Administration and Contracting

Supply chain management – Sub-contracting of Materials

Progress of payments and financial approvals

Final Accounts

Program Management

Construction Schedule, Meeting Deadlines

Construction

Meeting contractual obligations

Staff and crew, Sub-contracting

On-site requirements including health and safety.

- Possibly function as the Site Manager

- To make sure they have all the information from the client.
- Set a high example for the contractors and have high health and safety
expectations.
- To choose the best contractors and use prequalification not based on
cost alone.
- To screen contractors' health and safety compliance.
- To oversee on site inductions.
- To oversee communications, reporting and procedures.
- To collaborate with Sub-Contractors to set up a health and safety plan,
and to check their health and safety records– Source eBook PCBU's
Working Together, Advice when Contracting, June 2019

Issue Resolution

Understanding the Defects Liability Period (DLP)

Overseeing and fixing issues named in the DLP report.

Source – Online - Open Polytechnic CON101 2021 P pc2d2855bd0

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1d) Sub-Contractors
“According to NRM1: Order of cost estimating and cost planning for capital building work, the
term ‘subcontractor' Means; ‘…a contractor who undertakes specific work within the building
project; known as a specialist, works, trade, work package, and labour only subcontractors.’
Designing Buildings, 2021

The main contractor manages everything specified Traditional Design Build Procurement
Delivery Contract with the client, however, there will be some tasks that the contractor does not
have the knowledge or ability to complete. These tasks will be given to subcontractors who
might be better equipped to manage those tasks.

Diagram 1d) Sub-contractors in the Traditional Design Build Procurement Delivery Model by April
Thomas

Subcontractors are employed by the main contractor at the Construction stage of Traditional
Design Build Procurement Model. Depending on the tender stipulations about subcontractors,
these are the most common-

Domestic Subbies – appointed by the main contractor

Nominated Subbies – appointed by the client to conduct an element of the project. The Client
will negotiate a price with the nominated subby and then consult with the main contractor to
appoint subby. Most contracts no longer allow for nominated subbies as it affects the bottom
line in tender recognition.

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Named Subbies – Subbies selected from a list of pre-approved contractors. Once appointed, the
main contractor will replace the provisional tender sum with the contract sum.

The use of subcontractors

This enables the main contractor to undertake more complex tasks on the project. “Concerns
have been expressed,” says Designing Buildings, Aug 2021, “about the prevalence of
subcontractors because of a perception that the main contractor has less control over the
quality of workmanship and standards on-site as well as the impact on health and safety”.

According to WorkSafe 2021, PCBU’s would have a shared responsibility.

WorkSafe

-people are not put at risk by their work as far as reasonably practical
-monitor the subbies and workers that are hired
-enforce on-site rules regulations and procedures
-work closely with other PCBU’s to enforce rules and manage risk
Source- eBook PCBU's Working Together, Advice when Contracting, June 2019

As the lead PCBU in Traditional Procurement Model the Client would have to make sure that all
health and safety standards are in place and collaborate closely with the Main Contractor to
ensure all standards have been met in accordance with WorkSafe as well as their Contract with
the Client under the Traditional Design Build Contract.

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1e) Consultants
“Consultants are professionals, typically, appointed by the client to perform expert tasks on a
project.” Designing Buildings, August 2020

Diagram 1e) Consultants in a Traditional Design Build Procurement Model by April Thomas

Consultants are appointed at the design stage in Traditional Design Build Procurement Delivery
Model by the Client. They are vital to team and realization of the Clients vision.

Depending on the scope of your project and the requirements of your construction project, these
are most of the specialist consultants that you may appoint in various phases of your
construction journey as outlined by Open Polytechnic, CON101, 2021.

Procurement and tendering stage

- A construction lawyer – to oversee legal issues and queries

- A building consent officer – for your building code and drawing checks
- A planner – to deal with any resource issues

Design stage, See Diagram 1e) above

- Structural or Civil Engineers – advice on design and buildability, give recommendations

- Mechanical or Electrical Engineers – for heating, ventilation, electrical etc.
- Fire Engineers – to design your active fire protection systems. For example: Fire detection and
sprinkler systems.
- Geologist or Geotech Engineer – Regardless of the size of the project, local authorities ask for a
report on the suitability of the subsoil and the stability of the ground.
- Quantity Surveyor- for budgeting and cost analysis. As this is a complex and ongoing process it is
likely that QS will be on board with the project throughout the entire project.

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- Construction stage

- Service Engineers – to continue work on heating, ventilation, electrical etc.

- Structural and Fire Engineers – to continue works started in the design phase of the project. Or to
oversee the works in progress.
- Building Inspector – to make sure your project follows the building code.
- Online - Open polytechnic, CON101,2021, Pfb4051a84f

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1f) The Supplier

“In the construction industry, ‘supplier’ (or economic operator) Is a very general term which refers
to organisations contracted as part of the delivery of a built asset.” Designing Buildings, August
2020

Diagram 1f) Suppliers in a Traditional Design Build Procurement Model

Suppliers are appointed by either the Main Contractor or the Subcontractors as seen in Diagram
1f) above in the Traditional Design Build Procurement Model. They will have shared
responsibility as mentioned previously under Subcontractors.

Typically, suppliers are thought to be organizations that supply goods and services such as
supplies, materials, etc.

“BS EN ISO 19650) defines a supplier as any ‘…provider of services or goods either directly to the
employer or to another supplier in a supply chain The 'supply chain' Is the interconnected
hierarchy of suppliers.

- Designing Buildings, Sept 2021

As mentioned previously with subcontractors, the problem lies in overall control of quality and
overall health and safety in the supply chain. A study done by the British Independent –
Research Paper No.145, Supply Chain Analysis, Oct 2013, and published by the Dept of Business
and Innovation, gives us a look at three tiers of suppliers. Source- Designing Buildings, Sept 2021

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TIER DESCRIPTION EXAMPLES

Tier 1 Designers and constructor that have a NB: PAS 1192-2 suggests that ‘A tier 1

direct contract with the ultimate client. supplier can provide services to the

project (For example, development of

the project brief, architectural services,

engineering services, construction

management services), or can provide

goods to the project (For example,

constructed assets).’
Tier 2 Designers, constructors, and suppliers Novated design consultants. Sub-

with a sub-contract with the tier one contractors.

contractor. Manufacturers and material distributors.

Suppliers of major plant and equipment

such as tower cranes.

Tier 3 Designers, constructors, and suppliers Designers supplying working details.

with a sub-contract with a tier two sub- subcontractors. Manufacturers

contractor. and material distributors.

Plant and equipment supplies and hire

firms.

Tier n. Tier 3 sub-contractors also employ

suppliers and sub-contractors, so, in

many cases there will be a fourth or

even fifth tier involved in construction

delivery.
Table 1f) -source Suppliers, Designing Buildings, Sept 2021

The Report Showed that: -Tier 1 Contractors are typically main contractors
Tier 2 are described as specialist contractors.
Many Labour Only Subcontractors run at Tier 3
The research found “that it was not un-common to have 50 to 70 tier 2 suppliers and sub-
contractors and suggested that the ‘duplication of multiple layers of profit, overhead and risk
could represent a source of non-value added cost and waste.’ said Designing Building, 2021
They go on to say that in recent years larger employers have found value in taking interest in
setting up relationships with suppliers beyond the first-tier supply chain. Designing Building Sept
2021

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1g) Regulatory Bodies

WorkSafe- “A PCBU means a person conducting a business or undertaking. It may refer to a

particular person or a whole business.” Open Polytechnic, CON101, 2021, P2d2855bd0

Build Safe- Drawn from the Building Act 2004, the building regulatory system aims to achieve the
following:

 buildings that are safe and healthy for people to use

 buildings that contribute to the well-being and physical independence of the people who
use them
 buildings that people can escape from if there is a fire.
 buildings that are designed and built to be sustainable (MBIE, n.d.)

Diagram 1g) PCBU’s within a Traditional Procurement Delivery Model. - Information Source –
Open Polytechnic CON101 2021.

In law, and in this case, the primary PCBU, the Client, holds the primary duty of care for the
health and safety of the workers. - Open Polytechnic CON101 2021. There will be a shared
responsibility according to WorkSafe as shown in Diagram 1g) above.

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The Client will be expected as the Lead PCBU to by WorkSafe to:

- Be the health and safety leader of the project

- To set clear health and safety standards and put these in the contracts
- To cut risks as far reasonably practical in the designs.
- To choose the best contractors for the project based on pre-qualification, and not cost.
- To check the health and safety of potential contractors.
- To put reporting procedures in place.
- To have adequate information sharing throughout the project in place Source eBook
PCBU's Working Together, Advice when Contracting, June 2019

The Client you will oversee the following:

- To apply for consent before the project starts. BCA (Building Consent Authorities)
- Applying for a Code of Compliance Certificate at the end of the project. This is to confirm
that the building has met all the relevant legislation according to the New Zealand
building code. (Territorial Authority)

Territorial Authorities and Building Consent Authorities

BCA’s (Building Consent Authorities) and Territorial Authorities are at the hub of the building
regulatory system, and they work in conjunction with the MBIE (Ministry of Business, Innovation
and Employment)

Territorial Authorities are required by the Building Act to keep full records of the properties in
their area, issue project information memoranda as well as certificates of acceptance. They
also check compliance and follow up on notices to fix. They have the power to issue
infringement notices and can in some cases order remedial work to be done to fix those
problems. In some cases, Territorial Authorities may function as BCA’s.

Here you will deal with a Building Control Officer who checks and manages the consent
process on behalf of the BCA. Open Polytechnic describes the BCA process in the most
profound way. They simply say that “The building consent process ensures that the construction
work is safe, durable, and does not endanger the life or health of the building user or neighboring
property.” Perfect. Source -Online- Open Polytechnic, CON101, 2021 -p9b921e667e

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Building Consent Authorities manage:

- Checking application follow the Building Code

- Issuing Building Consents
- Doing Inspections on work done to decide compliance.
- Issuing code compliance certificates
- Issuing notices to fix
- Issuing compliance schedules. Source Building Performance, Feb 2017

Most Territorial Authorities are BCAs (Building Consent Authorities). They may also contract
these services out. Standards of performance are set out in the Building Act. BCAs’ performance
against the standards is currently assessed by International Accreditation New Zealand (IANZ)
on behalf of MBIE.

The Main Contractor will be expected to as Lead PCBU on the Construction Site to

WorkSafe

- Possibly function as the Site Manager

- To make sure they have all the information from the client.
- Set a high example for the contractors and have high health and safety
expectations.
- To choose the best contractors and use prequalification not based on
cost alone.
- To screen contractors' health and safety compliance.
- To oversee on site inductions.
- To oversee communications, reporting and procedures.
- To collaborate with Sub-Contractors to set up a health and safety plan,
and to check their health and safety records. Source eBook, PCBU's
Working Together, Advice when Contracting, June 2019

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Task 2a: Roles and responsibilities in action

Diagram 2a) University of Canterbury Roles and Responsibilities

2i. Client
THE UNIVERSITY OF CANTERBURY

2ii. Designer
CHRIS BOSS, ASSOCIATE PRINCIPAL, ARCHITECT: JASMAX

2iii. Main contractor

FLETCHER CONSTRUCTION

2iv. Sub-contractors or suppliers

WAYNE CARSON, GENERAL MANAGER D&H STEEL, AUCKLAND.

JOHN JONES STEEL, CHRISTCHURCH

2v. Consultants

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ANDRE KIRSTEIN, TECHNICAL DIRECTOR, STRUCTURAL ENGINEER BECA

Source - Steel Construction New Zealand, Case Study 3, Sept 2017, RUTHERFORD REGIONAL SCIENCE AND

INNOVATION CENTRE, UNIVERSITY OF CANTERBURY

2b.1) Example of Collaboration 1, BIM Software Team Collaboration.

Diagram 2b.1) Team Bim

D&H Steel as the main Fabricator, their Sub-Contractor John Jones Steel, Fletcher Construction
the Main Contractor for the project, Chris Boss, the Architect from Jasmax as well as, Andre
Kirstein the Structural Engineer from Beca all work very closely on shared information on this
massive project. Only using 3D building information modeling software (BIM), the team had
constant input and continuous dialogue. According to the project case study by Rutherford
Regional Science and Innovation Centre, The University of Canterbury, (RSIC) “the 3D model
went straight to the CNC machine to that the final product was precise and without human
error” They felt that a traditional shop drawing would have cost them time and would be “set-out
of perspective” for steel fabrication. This amount of precision would have taken the team many

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hours of collaboration and no single consultant could have conducted this task as a lone
provider.

Source - Steel Construction New Zealand, Case Study 3, Sept 2017, RUTHERFORD REGIONAL SCIENCE AND

INNOVATION CENTRE, UNIVERSITY OF CANTERBURY

2b.2) Example Collaboration 2 – Man and Machine

Diagram 2b.2) Man and Machine

A true testimony to how teamwork and planning can work. With a little help from above.
Collaborating closely with the main contractor, Fletcher Construction, in the planning stages of
the design, the main fabricator, D&H Steel found a way of making the assembly of the massive
bolts, which were typically laid down manually, a simpler process. According to the case study
by Rutherford Regional Science and Innovation Centre, The University of Canterbury, (RSIC),
D&H suggested an alternative base plate shear connection detail, which in turn ended up saving
the project an added $300 000 in the process. “The bolts were so massive that they had to be
craned into place as the complete assembly weighed over a ton.” said the study. I do wonder if
cranes and, BIM software and machines will be the future. What will become of manual labor
and old-fashioned drawings? Source - Steel Construction New Zealand, Case Study 3, Sept 2017,
RUTHERFORD REGIONAL SCIENCE AND
INNOVATION CENTRE, UNIVERSITY OF CANTERBURY

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2b.3) Example Collaboration 3 - Fabricator and Builder

Diagram 2b.3) Fabricator and Builder

According to the case study by Rutherford Regional Science and Innovation Centre, The
University of Canterbury, (RSIC) the site for the two new six story buildings was compact at
limited. This called for buildings to be constructed in two vertical phases, says RCIS, and then a
second jump up to the highest level.

D&H Steel as the fabricator coordinated the detailed design phases with Fletcher Construction.
In this way they were able to manage the compact site. D&H Steel sequenced the production of
the steel, says the case study, so that it would align perfectly with building phases in place by
Fletcher Construction. Keeping limited materials on site meant that the compact construction
site could be better managed.

John Jones, a sub-contractor of D&H, supplied the heavy structural steel for the project and
D&H steel who was conveniently situated close to the university, supplied the “easy to transport”
components and high productivity aspects of the project. This was logistically a major benefit to

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the project as they could easily deliver the required supplies as and when needed for each
construction phase.

Teamwork is dreamwork.

Source – eBook, Steel Construction New Zealand, Case Study 3, Sept 2017, RUTHERFORD REGIONAL
SCIENCE AND
INNOVATION CENTRE, UNIVERSITY OF CANTERBURY

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References, ASS1-CON101
Building Performance, Roles and Responsibilities of Councils, Feb 2017, Webpage
-https://www.building.govt.nz/building-officials/roles-and-responsibilities-of-councils/#jumpto-roles-and-
responsibilities

Designing Buildings, August 2020, Webpage, Client for building design and Construction
-https://www.designingbuildings.co.uk/wiki/Client_for_building_design_and_construction

Designing Buildings, Sep 2021, Webpage, Designers for buildings and other built assets
-https://www.designingbuildings.co.uk/wiki/Designers_for_buildings_and_other_built_assets

Designing Buildings, Sept 2021, Webpage, Suppliers for Design and Construction
-https://www.designingbuildings.co.uk/wiki/Suppliers_for_design_and_construction

Designing Buildings, August 2020, Webpage, Traditional Contract for Construction -

https://www.designingbuildings.co.uk/wiki/Traditional_contract_for_construction

Ministry of Business and Innovation and Employment, June 2021, Cross Government Functions - Webpage -
https://www.mbie.govt.nz/cross-government-functions/regulatory-stewardship/regulatory-systems/building-
regulatory-system/

Open Polytechnic, CON101,2021 - Communication in the Construction Industry - Client

P32-https://openpolytechnic.iqualify.com/course/-MnN-Qgal5pjCkuAZ3Sk/#/page/p1c848fea32

Open Polytechnic, CON101,2021, - Communication in the Construction Industry - Consultants

Pfb4051a84f-https://openpolytechnic.iqualify.com/course/-MnN-Qgal5pjCkuAZ3Sk/#/page/pfb4051a84f

Open Polytechnic, CON101, 2021 Communication in the Construction Industry - Designers

p048682203e-https://openpolytechnic.iqualify.com/course/-MnN-Qgal5pjCkuAZ3Sk/#/page/p048682203e

Open Polytechnic, CON101, 2021 Communication in the Construction Industry Regulatory Bodies/p9b921e667e-
https://openpolytechnic.iqualify.com/course/-MnN-Qgal5pjCkuAZ3Sk/#/page/p9b921e667e

Open Polytechnic, CON101, 2021 - Communication in the Construction Industry -

WorkSafeP2d2855bd0-https://openpolytechnic.iqualify.com/course/-MnN-Qgal5pjCkuAZ3Sk/#/page/pc2d2855bd0

PCBU's Working Together, Advice when Contracting, June 2019 –

EBook-file:///C:/Users/April/Desktop/CON101/PCBUS%20Working%20Together.pdf

Steel Construction New Zealand, Case Study 3, Sept 2017, RUTHERFORD REGIONAL SCIENCE AND INNOVATION
CENTRE, UNIVERSITY OF CANTERBURY - eBook, -https://www.scnz.org/wp-content/uploads/2020/10/RSIC_Case-
Study3.pdf

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