Ethics, ROC and Professionalism

Question 1

RICS motto and Meaning

Answer 1

Est Modus in Rebus: there is measure in all things

Question 2

RICS mission statement

Answer 2

-to qualify and equip members to offer the highest standards of professional service,
-to promote and enforce standards,
- to lead solutions to the major challenges in the built environment through professional expertise

Question 3

When was the RICS founded?

Answer 3

Founded in 1868

Question 4

When was the Royal Charter granted?

Answer 4

Granted by the Privy Council in 1881

Question 5

How is the RICS Structured?

Answer 5

• RICS is self-regulated and internally monitored (meaning it is not regulated or monitored by the Government or external parties
• the Bye-Laws determine how the RICS is regulated
• the Governing council manage and agree the strategy for RICS
• the mgmt board and Standards and Regulation Board sit below this
• mgmt board then run the world boards, committees and panels below this
  -SBR also receives performance reports from the Regulatory Tribunal (which is indep run)

Question 6

RICS 5 principles of better regulation

Answer 6

Proportionality
Accountability
Consistency
Targeting
Transparency

Question 7

What do the ROC replace and when?

Answer 7

On 2nd Feb 2022 the new ROC replaced the 5 Global Professional and Ethical Standards, the Rules of Conduct for Members and the Rules of Conduct for Firms

Question 8

What are the ROC?

Answer 8

1: Members and firms must be honest, act with integrity and comply with their professional obligations including obligations to the RICS
2: Members and firms must maintain their professional competence and ensure services are provided by competent individuals who have the necessary expertise
3: Members and firms must provide good quality and diligent service
4: Members and firms must treat others with respect and encourage diversity and inclusion
5: Members and firms must act in the public interest, take responsibility for their actions and act to prevent harm, and maintain public confidence in the profession.

Question 9

ROC Rule 1?

Answer 9

1: Members and firms must be honest, act with integrity and comply with their professional obligations including obligations to the RICS

Question 10

ROC Rule 2?

Answer 10

2: Members and firms must maintain their professional competence and ensure services are provided by competent individuals who have the necessary expertise

Question 11

ROC Rule 3?

Answer 11

3: Members and firms must provide good quality and diligent service

Question 12

ROC Rule 4?

Answer 12

4: Members and firms must treat others with respect and encourage diversity and inclusion

Question 13

ROC Rule 5?

Answer 13

5: Members and firms must act in the public interest, take responsibility for their actions and act to prevent harm, and maintain public confidence in the profession.

Question 14

Discuss an example where you have applied Rule 1?

Answer 14

1: Members and firms must be honest, act with integrity and comply with their professional obligations including obligations to the RICS

I acted with integrity when I was asked to reduce an estimate to align the costs more closely with the client’s funder requirements. I explained the estimate was developed using correct methods of measurements and industry rates and I could not adjust the estimate as this could lead to under-funding and risk to the public interest such as under insuring the works.

OR

I complied with my professional obligations to maintain confidentiality and that of other tenderers when a contractor who had submitted a tender, asked their financial standing in the tender comparison, before the end of the tendering period.

Question 15

Discuss an example where you have worked in alignment with Rule 2?

Answer 15

2: Members and firms must maintain their professional competence and ensure services are provided by competent individuals who have the necessary expertise

I have complied with Rule 2 by keeping my CPD up to date especially focussing on the areas in which I work such as overheating and sustainable technologies, including identifying new technology such as fan walls in DC design, and gaining understanding so I may be competent when undertaking the work requested of me.

Question 16

Discuss an example where you have worked in alignment with Rule 3?

Answer 16

Rule 3: Members and firms must provide good quality and diligent service

I have applied this rule by undertaking checks and benchmarking on my own estimates and ensuring quality assurance checks are performed including peer review and senior approval, prior to issuing to my clients.

Question 17

Discuss an example where you have worked in alignment with Rule 4?

Answer 17

Rule 4: Members and firms must treat others with respect and promote equality, diversity and inclusion

I have personal experience of working in a project team with a trans-woman. I applied rule 3 at project kick-off meeting when I introduced myself including my preferred pronouns and made sure to establish their preferred pronouns without making any assumptions. I also have my preferred pronouns in my email signature to encourage equality with trans and non-binary colleagues and help reduce assumptions and mistakes.

Question 18

Discuss an example where you have worked in alignment with Rule 5?

Answer 18

5. Members and firms must act in the public interest, take responsibility for their actions and act to prevent harm, and maintain public confidence in the profession

I have applied rule 5 when I identified an error in a cost report I had issued to the client. I contacted them and explained my computational error, which was missed despite our QA procedures. I took responsibility for the error and corrected the mistake by working in the evening to achieve a corrected issue by the next day.

OR

I work to maintain public confidence in the profession by not wearing or using my work identity badge when I am out of appropriate work attire. I am also careful to behave in an appropriate manner on social media and do not share or comment on overly political items as I first consider the public image of my employer and the surveying profession.

Question 19

Why did the previous ROC change?

Answer 19

The previous rules were in place since 2007
Following public, member and firm consultation, there was a vote in favour of replacing the previous rule of conduct and the separate ethical and professional standards.
With a single document to enable greater clarity to RICS members and firms
I understand there is now a greater focus on example behaviours and understanding evolving technology (such as social media) and tackling issues such as climate change

Question 20

Talk us through the changes to the ROC?

Answer 20

ROC Oct 2021 (in force from 2 Feb 2022) overhauled three sep docs ( Global Prof and eth standards, rules of conduct for memb, rules of conduct for firms)
Appendix A of the new ROC contains the professional obligations for Members and Firms

Question 21

What are the professional obligations for members?

Answer 21

Members must comply with the CPD requirements set by the RICS (20 hours per year, of which a minimum of 10 hours must be formal CPD)
Members must cooperate with the RICS
Members must promptly provide all info reasonably requested to the SRB or those exercising delegated authority on its behalf

Question 22

What are the professional obligations for firms?

Answer 22

Must publish a CHP inc. an ADR approved by RICS and maintain a Complaints Log
Must ensure prev and current prof work covered by PII meeting req RICS standards
Firms with a sole principal must make approp arrangement for their work to continue in the event of their incapacity, death or inability to work
Firms must coop with RICS
Must promptly prov all reasonably requested info by SRB or a delegated auth on its behalf
Must display on their biz literature, in accordance with RICS designations published policy, a designation to denote they are regulated by RICS
Must report any matter to RICS they are required to report under the Rules for the Registration of Firms

Question 23

Please explain the steps of the RICS decision tree?

Answer 23

1. Sufficient facts on the issue? Separate facts from emotional response!
2. Is it legal? Get info or seek advice
3. Is it in line with ROC?
4. have you consulted right people to make informed decision? Assess risks, consider options
   5.Do you have clear reasoning in reaching your decision? Informed decisions only!
5. Would you be happy for your actions to be made public?

Act and reflect on outcome
Record your decision making process, reasoning an actions

Question 24

Why does RICS have ROC?

Answer 24

Provide framework for us all to work to, so client knows getting a set level of service
Tool for the institution, and acts as professional guide for members

Question 25

Brother working outside ROC, what do you do?

Answer 25

1. verify the facts 2. confront him reminding him of prof duties as member of RICS 3. Inform RICS specifying my reln to the person and any corrective action which I believe my bro is committed to putting in place

Question 26

What is the procedure for a breach of a ROC?

Answer 26

not every shortcoming will lead to proceedings a formal investigation by the head of regulation of the RICS is first process step RICS request info/ visit and inspect to investigate compliance Memb must coop fully with all enquiries

Question 27

How can disciplinary proceedings be triggered?

Answer 27

Complaint to RICS Information received or established by RICS Allegation by client or 3rd P

Question 28

What three actions can be imposed at end of investigation stage?

Answer 28

Fixed penalty Consent order Disciplinary panel

Question 29

What is a fixed penalty

Answer 29

A fine by the RICS

Question 30

What are consent orders?

Answer 30

Written agreement between RICS and member, concerning a disciplinary issue on a breach of ROC May require memb to take corrective action or restrain them from certain action for a period of time, may also req them to pay a fine or costs

Question 31

When is a disciplinary panel applicable?

Answer 31

more serious breach of conduct panel usually held in public burden of proof on the RICS balance of probabilities approach will be adopted

Question 32

What sort of breaches would expulsion be suitable for?

Answer 32

Gross, persistent or willful failure to comply with ROC Fraud, dishonesty, conviction of a serious criminal offence, gross incompetence, deliberate discrim, misappropriation of a client's money

Question 33

What procedures must you follow if you are starting up a new practice?

Answer 33

contact RICS for guidance and obtain a company startup pack inform RICS and register for reguln Appoint a contact officer for all RICS communication Prepare a CHP Obtain PII (complying RICS rules) Abide by ROC for firms Use the designation "Regulated by RICS" on all practice material

Question 34

Would you advertise your new company in the press?

Answer 34

Yes providing it was in a trustful and responsible manner in line with the ROC for firms

Question 35

What insurances would you need to start up on your own?

Answer 35

PII Employer's liability Public liability Buildings insurance of an office premises

Question 36

What info do reg firms have to send to RICS annually?

Answer 36

Annual return carried out on line Failure leads to fixed penalty Info: - type of business and staffing - nature of clients - training provision - CHP details and records (log and ADR) - PII details - whether firm holds client's money

Question 37

Define Bribery (RICS PS version)

Answer 37

Bribery: The offer, promise, giving, demanding or acceptance of an advantage as an inducement for an action that is illegal, unethical or a breach of trust.

Question 38

Define RICS version of corruption?

Answer 38

Corruption: The misuse of public office or power for private gain, or misuse of private power in relation to business practice and performance.

Question 39

Define customer due diligence

Answer 39

Customer due diligence (CDD)/know your customer (KYC): Taking the appropriate steps to ascertain who the customer or client is and, if relevant, their ultimate beneficial owner is and counterparty.

Question 40

what is a facilitation payment

Answer 40

‘Facilitation payment’: A payment made to a government official with the purpose of speeding up a routine administrative action. Such payments are customary and legal in some countries, but in many jurisdictions they are criminalised.

Question 41

Define money laundering (RICS)

Answer 41

Legitimising the proceeds of crime

Question 42

Who is a person of significant control

Answer 42

Person of Significant Control (PSC): Individuals or legal entities who have significant control or influence over a company. They can veto running decisions

Question 43

Who is a Politically Exposed Person? (PEP)

Answer 43

Politically exposed person (PEP): Individuals and the family members of such individuals, entrusted with prominent public functions by any country or international organisation. This includes heads of state or government, senior politicians, military officials. 12 months after retire/ divorce, no longer PEPs

Question 44

What is a price fixing monopoly cartel?

Answer 44

Group of previously individual producers/ service companies who increase their collective profits by pushing the price of a product as high as possible

Question 45

What is a professional money launderer?

Answer 45

Someone who takes a fee or commission to legitimise the proceeds of crime e.g. tax advisers, lawyers and accountants professionally facilitate criminals

Question 46

What is a Red Flag (relating to bribery etc)

Answer 46

common characteristic that indicate potential misuse of the real estate sector for money laundering or terrorist financing purposes

Question 47

What is reliance? (rel to money laundering checks)

Answer 47

Extent they have been carried out by a 3rd P meaning checks do not need to be duplicated

Question 48

What is reporting (rel to ML)

Answer 48

Taking approp action to draw attention to known or suspected money laundering, bribery, corruption issues and or terrorist financing. Must comply with applicable laws.

Question 49

Define terrorism

Answer 49

Terrorism: The use or threat of violence to pursue ideological objectives committed by governments, non-state actors, or undercover personnel serving on behalf of governments.

Question 50

Define terrorist financing

Answer 50

Terrorist financing: The solicitation, collection or provision of funds with the intention that they may be used to support terrorist acts or organisations

Question 51

What is a triggering event

Answer 51

An event that necessitates a firm re-evaluating the risk level of a customer, client, partner, third P or employee, possibly conducting enhanced DD

Question 52

What do bribery, corruption, money laundering and terrorist financing have in common?

Answer 52

they are all illegal and unethical

Question 53

Why does the UK sanctions list matter?

Answer 53

In accordance with ROC, all RICS members and firms, members and firms must not facilitate any financial crime This includes money laundering, tax evasion, bribery or corruption. Firms need to have effective processes to prevent directors, partners or employees from doing so.

Question 54

What must firms have in place to comply with the Countering bribery and corruption, money laundering and terrorist financing professional statement?

Answer 54

the Countering bribery and corruption, money laundering and terrorist financing professional statement requires all RICS-regulated firms to "have a written policy addressing money laundering and terrorist financing risks that covers the identification of politically exposed persons (PEPs), persons with significant control (PSCs) and any potential breaches of sanctions.

Question 55

According to UK sanctions what ar firms required to do?

Answer 55

all individuals and legal entities operating within the UK, must comply with UK sanctions and have a general obligation to report to the Office for Financial Sanctions (OFSI) any information that would ‘facilitate compliance’ with the regulations. If you know or have reasonable cause to suspect that you are in possession or control of, or are otherwise dealing with, funds or economic resources that belong to a person subject to an asset freeze, you must freeze them and not make them available to or for the benefit of the person subject to the sanction, other than in very limited circumstances If you are in the UK or under UK jurisdiction, and your firm is a ‘relevant firm’ as set out in UK regulations made under the sanctions legislation, specific reporting obligations apply to you. Failure to fulfil them may result in criminal prosecution or a fine issued by OFSI.

Question 56

Give examples of OFSI relevant firms?

Answer 56

Accountants Legal Tax Estate Agents

Question 57

When must you report to OFSI?

Answer 57

You must make a report to OFSI at the earliest opportunity if you know or have reasonable cause to suspect: * that a breach of financial sanctions has occurred * that a person is a designated person, or * that you hold frozen assets, and that knowledge or suspicion came to you while conducting your business.

Question 58

What are the 8 Individual Rights under GDPR?

Answer 58

1. Right to be informed 2. Right of access 3. Right of rectification 4. Right to erasure 5. Right to restrict processing 6. Right to data portability 7. Right to object 8. Right of automated decision making and profiling

Question 59

What are the different sources of information you use in your day to day surveying?

Answer 59

- RICS Guidance Notes - Contract documentation - Previous tenders - cost plans - valuation data - industry journals - specialist subco info

Question 60

How do you manage these sources of info to ensure compliance with the legislation?

Answer 60

- if signed NDA ensure complete confidentiality, no discussion with colleagues not party to the project - use lockable and secure doc storage for hard copy docs, and encrypted servers for electronic docs - lock my comp when away from desk and keep up to date with trianing from the cyber securoty team inc. updating passwords regularly - if sharing or processing info not freely available in public domain I obtain the client's written permission to do so

Question 61

How do companies ensure compliance with the data protection legislation?

Answer 61

- only retain data they need to perform operations - if retaining someone's datat, ensure they are kept informed on why you have it - hold data securely - keep info up to date - delete info when no longer needed

Question 62

What are the CDM regs 2015?

Answer 62

- COnstruction Design and Management Regulations 2015 - intended to ensure H&S is properly considered during a proj development to reduce risk of harm to those who build, use and maintain sturctures - apply to all building and construction work - domestic clients not req to carry out their duties, typically passed to the other duty holders such as Co - commercial clients MUST make arrangements for managing H&S risks on their project in a proportionate way

Question 63

Summarise the CDM duties of the Principal Designer?

Answer 63

- plan, manage, monitor and coordinate H&S in pre-con phase - ID, eliminate and Cx foreseeable risks - ensure client and des are aware of duties - advise client on bringing together the PCI - provide rel info to duty holders -liaise with PC in their plan, man, mon and coord of construction phase

Question 64

What are the clients duties under CDM?

Answer 64

- appoint comeptent duty holders - allow sufficient time and resources - prepare and provide rel info to duty holders - ensure PD and Co carry out their duties - ensure welfare facilities

Question 65

What are the key implications of the CDM regs 2015?

Answer 65

- more focus on clients to arrange for H&S - clients cannot assign their legal responsibilities to agents - must be a declaration of how long Co will get to plan and prep for construction work - Client is deemed to assume PC role for any period other arrangements are not made

Question 66

What items would you expect to find in the PCI?

Answer 66

- project description - client's consid of the mgmt req for horading, welfare facilities, traffic restrictions and permits to work - enviro restrictions ans existing on site risks such as site restrictions, prev H&S files, ground cond, existing services, asbestos surveys, contam and unsafe structures - significant design and construction hazards such as design risk assessments, suggested method statements, arrangement for coord post contract design work and changes - H&S file requirements

Question 67

What would you find in a construction phase plan?

Answer 67

- a project description - processes for managinf the works (inc. inductions, training, comms, welfare facilities, design coord, site rule and emergency procedures - arrangements for controlling specific site risks such as handling deliveries, work at height, deep excavations, reducing noise, vibrations and manual handling

Question 68

What would you find in the H&S file?

Answer 68

H&S info useful for planning of future works or maintenance such as: - brief description of the work carried out - any residual hazards and how they have been dealt wiith e.g. surveys for asbestos, contam land, buried services - key structural principles e.g. bracing or sources of stored energy - haxardous materials e.g. lead paint, pesticides, special coatings that should not be burnt off - nature and location of significant services inc. underground cables, gas supply and equip, and fire fighting services

Question 69

what is an F10?

Answer 69

- An F10 is a form used to notify the HSE of the project - It should contain: - Address of the construciton site - Name of the Local Authority where the site is located - Brief descrip of the project and the contruciton work involved - Contact detalis for the client and PC - indication of time allowed by client for PC to plan, prepare for construction work - planned start date for work, duration of construction phase, give number of people on site at any one time

Question 70

When is a project notifiable to the HSE?

Answer 70

construction project is notifiable if the construction work is expected to: - last longer than 30 working days and have more than 20 workers working at the same time at any point on the project or - exceed 500 person days

Question 71

Who must notify the HSE of the project?

Answer 71

The client has the duty to notify a construction project. In practice however, the client may ask someone else to notify on their behalf.

Question 72

Does the notificable project days (CDM) include BH and weekends?

Answer 72

Yes, any day site work is anticipated to be carried out, including short days, weekends and BH

Question 73

Who can be a designer under CDM?

Answer 73

The CDM Regulations 2015 define a ‘designer’ as “as an organisation or individual who: prepares or modifies a design; or arranges for or instructs any person under their control to do so.” However, the regulations are sufficiently broad, and a designer can include a quantity surveyor who prepares bills of quantities.

Question 74

7 principles of GDPR?

Answer 74

1. LAWFULNESS, FAIRNESS, AND TRANSPARENCY 2. PURPOSE LIMITATION 3. DATA MINIMIZATION 4. ACCURACY 5. STORAGE LIMITATION 6. INTEGRITY AND CONFIDENTIALITY 7. ACCOUNTABILITY

Question 75

What are the 6 lawful bases (grounds for processing) for processing personal data under GDPR?

Answer 75

1. CONSENT – the data subject has given consent to the processing of his or her personal data for one or more specific purposes; 2. CONTRACT – processing is necessary for the performance of a contract to which the data subject is party or in order to take steps at the request of the data subject prior to entering into a contract; 3. LEGAL OBLIGATION – processing is necessary for compliance with a legal obligation to which the controller is subject; 4. PROTECTION OF VITAL INTERESTS – processing is necessary in order to protect the vital interests of the data subject or of another natural person; 5. PUBLIC TASK- processing is necessary for the performance of a task carried out in the public interest or in the exercise of official authority vested in the controller; 6. LEGITIMATE INTEREST – processing is necessary for the purposes of the legitimate interests pursued by the controller or by a third party, except where such interests are overridden by the interests or fundamental rights and freedoms of the data subject

Question 76

When did the UK leave the EU?

Answer 76

December 31, 2020, is marked as the end of the transition period. The UK is now a "third country", the data regulation now falls on the ICO (Information Commissioner’s Office)

Question 77

As a designer, what must a QS do under CDM?

Answer 77

1) must not act unless satisfied client is aware of their duties under CDM 2) must at all times consider risks and reduce or mitigate them where possible for construction, use and maintenance of the building 3) provide info the PD and ensure included in H&S file

Question 78

Where is the F10 displayed?

Answer 78

When the F10 is issued to HSE , a copy of it should be displayed on the site notice board so that it visible to everyone working on that construction site.

Question 79

What does RIDDOR stand for?

Answer 79

Reporting of Injuried, Diseases and Dangerous Occurrences Regulations 2013 - it requires the responsible person (employer, contractor or PC) to notify any death, reportable injury diesease or dangerous occurence to HSE (online or by phone for death or serious injury)

Question 80

What incidents are reportable under RIDDOR?

Answer 80

- Death and major inj such as loss of consciousness or limb - occupational diseases - dangerous occurrences such as explosions, hazardous subst, structural collapse, collision - gas incidents

Question 81

What does COSHH stand for?

Answer 81

Control of Substances Hazardous to Health - reg aims to avoid exposure to haz susbtances or if not poss, control exposure by measures that are proportional to the health risks

Question 82

What H&S precautions do you take when you go on site?

Answer 82

I ensure I have the correct PPE as required by the PC I ensure I have a site induction I also carry out a risk assessment for each site visit as required by my employer

Question 83

Who do you inform that you are going on site?

Answer 83

- my employer - I let them know when I leave home, arrive at site, leave and arrive home - I sign in on site on the attendance register and report to the site office to make them aware of my presence - I arrange to meet the PC or the QS to take me around site

Question 84

What does PPE stand for?

Answer 84

Personal Protective Equipment

Question 85

What PPE do you wear to site?

Answer 85

When visiting Crane I chec the PPE requirements each visit, and this includes hard hat, gloves, boots and a hi viz vest. I have been on sites where googles and ear defenders are required, face masks have been required.

Question 86

Have you passed the CSCS test? Did it benefit you?

Answer 86

Yes I have, it made me aware of the H&S issues to consider when attending construction sites

Question 87

What does CSCS stand for? And what is the purpose?

Answer 87

Construction skills certification scheme, Acts as ID and proof of competence including specialist skills

Question 88

What colour of CSCS card exist, which do you hold and how long do they last?

Answer 88

12 cards, 7 colours, Yellow card: Visitors without any real building skills. Environment-friendly: General building employees. Blue card: Skilled craft employees. Gold card: Employees in an advanced supervisory role. Red card: Trainees, graduates, experienced employees or supervisors. Black card: Managers. Green card: Labourer, formally Construction Site Operative White card: Occupations connected to the building market that is not covered by the other cards.

Question 89

How do you get a white/ yellow card?

Answer 89

How Do I Apply For A White Or Yellow CSCS Card? In applying for this particular card, you must meet the following criteria: Must be a member of any of the approved institutions that are affiliated with the scheme; Must be competency-assessed by one or more of the professional bodies; Must pass the Health, Safety & Environment test for Managerial and Professionals or MAP.

Question 90

On your case study project, what measures did you or your firm put in place to ensure good standards of H&S when undertaking your work/ delivering your project?

Answer 90

I prepared a work risk assessment to ascertain the risk and benefit of attending site. I wore PPE and asked for an induction, adhering to the PC's rule's when attending site. I ensured health and safety was discussed at meetings and reported to the foreman/ site manager when I saw a worker on the mezzanine without their hard had on properly.

Question 91

What is a risk assessment?

Answer 91

A risk assessment is a careful examination of what, in my work, could cause harm to people. It allows me to weigh up whether sufficient precautions are in place or more should be done to prevent harm. The law does not expect risk elimination, but you protection of people as far as is "reasonably practicable"

Question 92

What are the 5 steps of risk assessment?

Answer 92

1 - ID the hazards 2 - decide who might be harmed and how 3 - evaluate risks, decide on precautions 4 - record findings and implement 5 - review assessment, update of necessary

Question 93

What is the role of the HSE?

Answer 93

to prevent work related death, injury and ill health provide support to the public and businesses, with guidance stats and research

Question 94

What are the powers of the HSE?

Answer 94

inspectors visit site w/o notice, talk to workers, take pics and samples - issue written or verbal info or advice - most inspections planned to encourage good H&S practices - some are to respond to complaint/ follow up investigation - they can inmpose sanctions including stop and improvement orders

Question 95

What is Arup's H&S policy?

Answer 95

- prevent work related injuries or illness - prevent damage to property and equip - prevent adverse impacts to enviro from our ongoing projects At staff level: - take respo for safety, comply with safe syst of work - act responsvely, report near miss or incidents - regular training and refresher - risk assessment compulsory for all proj with site visits - CSCS cards mandatory for site visiting staff

Question 96

What is the RICS surveying safely publication?

Answer 96

2nd Ed. RICS guidance on personal safety at work. It covers: - General statement - empl/ employees have a duty of care under law of tort towards those whom may be affected by their actions - safety of employees - actions that must be taken by employees (duty of care towards youg/ trainees) - workplace - fire and first aid providers - hazards and risk assessment requirements - visiting sites - PPE, lone working, access provisions - during site visits - key hazards assessments inc. structures, roofs and contmination - Safety of you and others - everyone is to take resp of their own h&S Legal duties - criminal liabilities and CDM guidance.