Conflict avoidance and dispute resolution Flashcards

1
Q

What are the main methods for dispute resolution?

A

Mediation, adjudication, arbitration, expert determination.

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2
Q

What is informed consent?

A

When a party knows there’s a conflict of interest but still instructs the surveyor.

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3
Q

What would you do if there was a landlord and tenant who both wanted you to act for them, how would you handle it internally after informed consent?

A
  • Get another one of the firm’s surveyors to act for one of the parties - ideally in another office.
  • Information barrier.
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4
Q

How could I still act where there was a conflict of interest?

A

Getting informed consent from the client.

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5
Q

How would you avoid conflict of interest? Who would you speak to in your firm?

A
  • Use software highlighting conflicts.
  • Inform compliance team.
  • Wouldn’t act if I felt impartiality was affected.
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6
Q

Can you give me 3 ADR methods and a brief explanantion for each?

A
  • Mediation: Negotiate a settlement, not legally binding.
  • Adjudication: 28-day procedure, decision legally binding but can be overturned later by court or arbitration.
  • Arbitration: Similar to court proceedings but private and confidential, arbitrator’s decision (an award) is final and legally binding - court can only overturn in rare situations.
  • Expert determination: Similar to arbitration but typically focuses on technical issue rather than legal, binding or non-binding.
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7
Q

What is the second stage of handling complaints if a client is unhappy with the initial response?

A

They can escalate it to The Property Ombudsman (TPO) or CEDR.

[DRS is for resolving contractual disputes i.e. mediation]

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8
Q

You mentioned a complaints handling log but as you are a sole practitioner, how can you handle all complaints and be the complaints handling officer when it is just you?

A

Follow complaints handling procedure, escalate to third-party if client still not happy.

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9
Q

What are the 3 types of conflict?

A
  • Confidential information (conflict between a firm’s duty to provide information to one client and their duty to another client to keep that same information confidential).
  • ‘Own interest’ (same company/surveyor - interests of a firm conflict with the interests of that same firm on the same instruction).
  • Party (client conflict - interests of one client conflict with another client on same instruction).
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10
Q

What is confidential information?

A

Private information that should not be shared with others.

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11
Q

What is the difference between arbitration and expert determination?

A
  • Arbitration: Similar to court proceedings but private and confidential, arbitrator’s decision (an award) is final and legally binding - can’t take the case to court.
  • Expert determination: Similar to arbitration but typically focuses on technical issue rather than legal, binding or non-binding.
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12
Q

Is there an RICS document which discusses conflict avoidance?

A

Yes, Conflict Avoidance and Dispute Resolution in Construction.

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13
Q

Give an example of a confidential information conflict of interest and explain how you would manage it.

A
  • If a landlord instructed me on a dilaps instruction but the outgoing tenant approached me for advice. I’ve got confidential information of the landlord’s settlement position which creates a conflict.
  • To manage this, I would decline the second instruction and comply with Conflicts of Interest Professional Statement maintaining confidentiality at all times.
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14
Q

What would constitute an own interest conflict of interest?

A

If I was undertaking a TDD survey for a purchaser but had a stake in a construction company and recommended them for the work without disclosing this to the client.

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15
Q

What is a party conflict of interest?

A

When there’s an obligation to multiple parties on the same instruction e.g. if my firm is acting for the landlord on a dilaps instruction and the tenant also wants us to act for them. Need informed consent, surveyor in another office, information barrier.

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