Ethics, Rules of Conduct and Professionalism

Question 1

What are terms of engagement? What would they include?

Answer 1

Sets out the agreement between the Client and the Service Provider.

1. Identify Client and Service Provider.
2. Declaration on conflicts of interest.
3. List relevant legislation and standards.
4. Scope of works and limitations.
5. Limit on liability.
6. Description of the deliverables.
7. Basis of fee calculation.
8. Complaints handling procedure.

Question 2

What are the requirements of a complaints handling procedure?

Answer 2

1. Fit for purpose
2. Made available.
3. Understood by all.
4. Regularly reviewed at senior level.
5. Agreed by PII providers.
6. Details to access an independent redress provider.

Question 3

On receiving a complaint what actions would you take?

Answer 3

1. Acknowledge receipt of the complaint and provide the Client with a copy of the firms CHP within 7 days.
2. Log in the complaints log.
3. Identify if there is a need to notify your PI insurance provider.
4. Provide an update within 28 days.

Question 4

What is negligence?

Answer 4

A breach in a duty of care.

Question 5

How do you determine if there is a duty of care?

Answer 5

Caparo three stage test:

1. Is there reasonable foresight that failure to take care could cause damage to others.
2. Is there a relationship of proximity.
3. Is it fair, just and reasonable that the law should recognise a duty to take reasonable care not to cause damage.

Question 6

What is ethics?

Answer 6

A set of moral principles.

Question 7

What is integrity?

Answer 7

The quality of acting in an honest manner.