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WJ - APC Mandatory Qs 2023 > Dispute Resolution / Communication / H&S / Accounting / Data Management / Randoms > Flashcards

Dispute Resolution / Communication / H&S / Accounting / Data Management / Randoms Flashcards

1
Q

What is alternative dispute resolution (ADR) and what are the benefits?

A

A means to resolve a conflict without litigation.

ADR is often less formal, cheaper and quicker than going through the courts.

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2
Q

Examples of ADR?

A
  • Negotiation
  • Mediation
  • Conciliation
  • Adjudication
  • Arbitration
  • Independent expert determination
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3
Q

What techniques are available to resolve disputes? (3 Pillars)

A

PILLAR 1 - Negotiation
Problem-solving efforts of the parties to arrive at a solution.

PILLAR 2 - Mediation or conciliation
Neutral 3rd party facilitates negotiations between the parties. No decision-making authority.

Mediator asserts no opinion whereas the conciliator puts forward a proposed outcome based on the discussion between the parties. Outcome not binding.

PILLAR 3 - adjudicative process
Final outcome determined by a 3rd party whose decision is binding. Includes arbitration, Independent expert determination.

Final option is legal recourse - court in the First Tier Tribunal

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4
Q

What is Mediation?

A

Mediation is where parties invite a NEUTRAL individual to facilitate negotiations between them with a view to achieving a resolution of their dispute. A mediator cannot impose a resolution and has no decision-making authority.

Process:

 Documents are exchanged prior to the meeting.
 Mediator facilitates discussion on key aspects of the dispute.
 Negatives: - parties do not have to attend, can waste money if settlement is not reached.

Positives: - cheaper, quicker, parties decide an outcome rather than a third party, confidential.

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5
Q

What is Arbitration?

A

Arbitration is a legal proceeding whereby an arbitrator is appointed to reach a decision on the basis of evidence put before them.

The arbitrator interprets the evidence and must have specialist knowledge of subject area. The parties are bound by the decision of the arbitrator.

Under the Arbitration Act 1996

Positives: Fast, cost-effective and confidential method of dispute resolution. Neither party has control (as the arbitrator has it), decision is final. Cheaper than court.

Negatives: The decision cannot be appealed.

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6
Q

Difference between an ARBITRATOR and an INDEPENDENT EXPERT?

A

An arbitrator’s decision is enforceable, and an independent expert’s decision is not.

Arbitration is a legal proceeding, and the arbitrator decides based on the evidence put before him/her, sometimes at a formal hearing.

An independent expert is appointed by the parties and carries out work in the usual way in order to provide an expert opinion.

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7
Q

What is Calderbank offer?

A

Without Prejudice save as to cots – last attempt to come to an agreement – other parties cannot submit this to the arbitrator. However, once the decision is made they can present to the arbitrator…

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8
Q

Main legislation covering bribery?

A

Bribery Act 2010 & Proceeds of Crime Act 2002

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9
Q

What is a bribe?

A

A bribe constitutes the offering, promising, giving or receiving anything of value in return for gaining an advantage.

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10
Q

What are the six principles under the Bribery Act 2010?
P
TLC
RA
DD
C
M&R

A
  1. Proportionality
  2. Top-level commitment
  3. Risk assessment
  4. Due diligence
  5. Communication
  6. Monitoring and review
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11
Q

What are the four offences under the Bribery Act 2010?

A

4 main offences:
1. To bribe another person
2. To be bribed
3. To bribe a foreign public official; and
4. For corporate entities, it is an offence to fail to prevent bribery

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12
Q

Who enforces the Bribery Act 2010?

A

Serious Fraud Office (SFO) – principal investigators
National Crime Agency (NCA) – Law enforcement response

Crown Prosecution Service (CPS) - Convictions
Financial Conduct Authority (FCA) – Impose sanctions

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13
Q

Consequences of non-compliance with the Bribery Act 2010?

A
  • Up to 10 years in prison
  • Unlimited fines
  • Job loss
  • Disqualification – RICS disciplinary procedure
  • Reputational damage
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14
Q

RICS Professional Statement on bribery?

A

RICS Countering bribery and corruption, money laundering and terrorist financing
February 2019

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15
Q

What is your firm’s policy on gifts?

A

Determine :
- Is it proportionate to the job undertaken
- Could it be construed as a bribe?

If yes to either, politely decline and justify. Then record in gift register that not accepted.

If no to both, seek line manager approval to accept
Then submit form to DMP
Can accept but share with the team if team effort
Record in gift register if value £50+

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16
Q

What makes good client care?

A
  • Having a good understanding of your clients objectives and expectations from the outset.
  • Maintaining regular and informative contact
  • Placing their needs at the forefront and provising a high level of service
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17
Q

What makes good communication? (3Cs)

A

 Clear
 Concise
 Complete

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18
Q

What is a limitation of an email

A

Misconstrued as opposed to conversation
Could accidentally form a legally binding contract

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19
Q

How do you prepare meeting minutes?

A

Title of the group meeting; date; time; location; people in attendance; person recording the minutes; the agenda

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20
Q

What is the principle H&S legislation?

A

Health and Safety at Work Act 1974

PPE at Work Regulations 1992

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21
Q

What is the employer’s responsibility in H&S?

A

To ensure the safety, health and welfare of all employees and third parties so far as is reasonably practicable
 Provide training
 Safe working environment and equipment
 Health and safety policy (only needs to be written if 5 or more employees)
 Assess risks

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22
Q

What are the responsibilities of employees in H&S?

A

 Take reasonable care for own H&S and that of anyone under your supervision
 Co-operate with employer on H&S
 Attend staff training
 Wear PPE
 Report actual or perceived breaches in good time

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23
Q

Who enforces Health and Safety at Work Act 1974?

A

Health and Safety Executive (HSE)

24
Q

Tell me about the Health and Safety at work act?

A

Appoint a competent person
Prepare a health and safety policy
Risk assessment
Provide information and training
Have the right workplace facilities
First aid in work
Display the law poster
Get insurance for your business

25
Q

What are the penalties for non-compliance with HSAW 74?

A

 Unlimited fine
 Up to 2 years imprisonment (or more for corporate of gross negligence)
 Directors disqualified for up to 15 years

26
Q

RICS Guidance on H&S?

A

RICS Surveying Safely November 2018

27
Q

What is in RICS Surveying Safely 2018?

A

H&S principles for property professionals include:
 Assessing risk, risk assessments and dynamic risk assessments
 Places of work, emergency arrangements, occupational hygiene and health
 Visiting sites, lone working and PPE
 Fire Safety
 Procurement and management of contractors

28
Q

What is the hierarchy of risk control?

A

Risks should be reduced to the lowest reasonably
practicable level by taking preventative measures
1. Elimination
2. Substitution
3. Engineering controls
4. Admin controls
5. PPE

29
Q

What is a RIDDOR?

A

Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013

30
Q

What is included in a risk assessment?

A
  1. The hazard
  2. Who might be harmed and how
  3. What you’re already doing to control the risks
  4. What further action could be taken
  5. Who needs to carry out these actions
  6. When the action is needed by
31
Q

What is the Fire Safety Act 2021?

A

The act clarifies that the Accountable Person of multi-occupied residential buildings to ensure that the fire risk assessments for such buildings are reviewed.

It was updated to encompass the structure, external walls and flat entrance doors.

32
Q

What are the principles of the General Data Protection Regulation (GDPR) 2018? LPD ASIA

A

Article 5 of the UK GDPR sets out seven key principles:

  1. Lawfulness, fairness and transparency (processed)
  2. Purpose limitation (only used for specific purpose)
  3. Data minimisation (no more than needed)
  4. Accuracy (kept up to date)
  5. Storage limitation (only kept for as long as needed)
  6. Integrity and confidentiality (appropriate security)
  7. Accountability (the controller should be responsible for and able to demonstrate compliance with the above)
33
Q

What are peoples rights under GDPR?

A

Informed
Access
Rectification
Erasure
Restrict processing
Data portability (use for own purposes)
Object
Automatic decision making and profiling

34
Q

What is a data breach?

A

A personal data breach is a breach of security leading to the accidental or unlawful destruction, loss, alteration, unauthorised disclosure of, or access to, personal data.

35
Q

Who is your firm’s data officer?

A

Claire Phillipson

36
Q

When must you report a data breach?

A

Consider whether this poses a risk to people.

Consider the likelihood and severity to people’s rights and freedoms.

If it’s likely there will be a risk then you must notify the ICO

You do not need to report every breach to the ICO.

37
Q

Who would you report a data breach to?

A

Report to Information Commissioner’s Office (ICO) without undue delay, not later than 72 hrs after becoming aware of the breach.

38
Q

What is the Equality Act 2010?

A

EA 2010 makes it against the law to discriminate or harass someone because of a protected characteristic

Requires employers and service providers to make reasonable adjustments to address the disadvantages people with protected characteristics may face

39
Q

What is a protected characteristic?

and name them

A

Equality Act 2010 illegal to discriminate or harras based on them

Nine protected characteristics:
1. Age
2. Disability
3. Marriage and civil partnership
4. Pregnancy and Maternity
5. Race
6. Religion or belief
7. Sex
8. Sexual orientation
9. Gender reassignment

40
Q

What is ISO 14001?

A

ISO 14001 are standards set by

International Organisation for Standardisation (ISO)

 clarifies best practices
 to reduce their environmental footprint by adopting
 environmental management system (EMS)

41
Q

What is ISO 9001?

A

ISO 9001 specifies requirements for a quality management system (QMS).

Organizations use the standard to demonstrate the ability to consistently provide products and services that meet customer and regulatory requirements.

42
Q

What is a complaint?

A

Any expression of dissatisfaction

43
Q

You inspect a building and there is a child in there?

A

Do not touch the child
Verbally check if okay
Look for parents
Call authorities

44
Q

What do you do if offered a bribe?

A

Line manager then serious fraud office

45
Q

What is an Annual Return/Company Statement

A

Document that companies file at Companies House each year on the anniversary of the company’s incorporation. With details of the company’s directors, shareholders and registered office address.

46
Q

What is the Bichard Review?

A

independent review of the RICS’ purpose, governance and strategy. It was commissioned by RICS Governing Council in December 2021 following the Levitt Review

47
Q

Name some of the recommended actions of the Bichard review

A
  • RICS to amend its Charter
  • Matrics should be reinvented
  • Commercial activity be separated from other activities at RICS.
  • RICS needs to significantly improve its technology
48
Q

How do you set PII for a new business?

A

Estimate revenue and revise throughout the year

49
Q

What makes good negotiation?

A

Agreeing your client’s objectives and negotiating strategy before the start of negotiations
Areas of common ground
Understanding the other party’s position
Developing a collaborative approach Maintaining communication
Walk away if you need to.

50
Q

Lone Working procedures?

A

Buddy system
Calendar
PPE

51
Q

What is a balance sheet?

A

Shows assets and liabilities at a given time

52
Q

What is a Profit & Loss statement?

A

A P&L summarizes revenues & expenses over a specific period of time

53
Q

What is a Cash Flow

A

It’s used to forecast revenue in and expenses out over a period of time

54
Q

What is a balance sheet?

A

Balance sheet shows how your business is doing at a particular point in time

55
Q

What is unconscious bias?

A

Unconscious bias is when we make judgments or decisions on personal thought patterns, assumptions or interpretations

56
Q

What is Sustainability?

A

Meeting the needs of the present without compromising the needs of the future

57
Q

What is the client money protection scheme?

A

Allows RICS registered firms to offer client money protection and compensate clients if the firm fails to account for client money.

WJ - APC Mandatory Qs 2023 (8 decks)

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