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APC Building Surveying > Global Rules of Conduct > Flashcards

Global Rules of Conduct Flashcards

1
Q

What is Rule 1 of the Global Rules of Conduct?

A
  • Be honest
  • Act with integrity
  • Comply with professional obligations, inc. to RICS
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2
Q

What is Rule 2 of the Global Rules of Conduct?

A
  • Maintain professional competence
  • Ensure services are provided by competent individuals who have the necessary expertise
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3
Q

What is Rule 3 of the Global Rules of Conduct?

A
  • Provide good-quality and diligent service
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4
Q

What is Rule 4 of the Global Rules of Conduct?

A
  • Treat others with respect
  • Encourage diversity and
    inclusion
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5
Q

What is Rule 5 of the Global Rules of Conduct? (AACT)

A
  • Act in public interest
  • Act to prevent harm
  • Maintain public Confidence in profession
  • Take responsibility for actions
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6
Q

What are the 3 professional obligations for members under Appendix A?

A
  • Comply with CPD requirements
  • Cooperate with RICS
  • Provide all info requested by Standards and Regulation Board
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7
Q

What is the professional obligation for firms under Appendix A relating to complaints handling?

A
  • Publish a complaints-handling procedure, including a RICS approved ADR provider
  • Maintain complaints log
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8
Q

What is the professional obligation for firms under Appendix A relating to professional indemnity insurance?

A
  • Ensure all previous and current work is covered by adequate + appropriate PI cover (that meets RICS standards)
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9
Q

What is the professional obligation for firms under Appendix A relating to sole principals?

A
  • Make arrangements for work to continue in the event of incapacity, death, etc (another Chartered Surveyor to act as locum)
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10
Q

What is the professional obligation for firms under Appendix A relating to cooperating with RICS?

A
  • Must cooperate with RICS!
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11
Q

What is the obligation for firms under Appendix A relating to information requested by the Standards and Regulation Board?

A
  • Provide all information reasonably requested by the Standards and
    Regulation Board (or those exercising delegated authority on its behalf)
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12
Q

What is the obligation for firms under Appendix A relating to showing they are regulated by RICS?

A
  • Display on business literature that you’re regulated by RICS (in accordance with RICS’ published policy on designations)
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13
Q

What is the obligation for firms under Appendix A relating to “Rules for the Registration of Firms”? (clue - No.7)

A
  • Report to RICS any matter that they’re required to report, under the “Rules for the Registration of Firms”
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14
Q

What is/are the Rules for the Registration of Firms? (Appendix A)

A
  • Eligibility criteria %
  • Use of RICS logo, “Regulated by RICS”
  • Designate a “Responsible Principal” (Jon or Joe) who provides oversight, accountability and engagement with RICS standards and regulation
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15
Q

Give me some example behaviors for Rule 1 (honest/integrity, professional obligations)

A
  • Don’t mislead (by actions or omissions)
  • Don’t be influenced improperly by gifts or self interest
  • Identify actual & potential conflicts of interest (only provide advice in accordance with Conflicts of Interest PS)
  • Give honest / objective advice, based on reliable evidence
  • Be open and transparent about fees/services
  • Act to prevent others being misled about your professional opinion
  • Don’t take unfair advantage
  • Protect confidential info
  • Keep client money safe, have accounting controls
  • Don’t misuse client money, comply with controls to keep it safe
  • Don’t facilitate financial crime, inc. money laundering, tax evasion, bribery, corruption
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16
Q

Give me some example behaviors for Rule 2 (professional competence)

A
  • Only undertake work that you have knowledge, skills and resources to
    do competently
  • Check subcontractors have knowledge, skills and resources to do their tasks
  • Reflect on work you have undertaken, and its impacts
  • Identify CPD / development needs, plan and do CPD
  • Stay up to date & comply with relevant legislation, codes of practice & other technical standards
17
Q

Give me some example behaviors for Rule 3 (good quality, diligent service)

A
  • Understand clients’ needs/objectives before accepting work
  • Agree with clients the scope of services, & limitations / timescales
  • Inform clients that you’re RICS regulated
  • Inform clients promptly, seek agreement if any terms of engagement or fees change
  • Undertake work timely; with due care, skill and diligence, in accordance with RICS technical standards
  • Tell clients the material info on which advice is based
  • Communicate clearly and in a way clients can understand
  • Keep records of work/decisions in detail, to answer Q’s from clients and allow work to be audited
  • When advising clients on projects, encourage sustainable solutions
  • Understand the risks/benefits of using technology
  • Check all data used is accurate, up to date, kept securely, and have legal rights to use it
  • Have effective QA processes
  • Ensure any referral or intro you make for a client is in the best interests of the client, inform clients about any financial/other benefits to the member/firm from referral
18
Q

Give me some example behaviors for Rule 4 (respect, diversity + inclusion)

A
  • Respect rights of others, treat with courtesy
  • Treat everyone fairly, don’t discriminate on improper grounds, (“protected characteristics”: age, disability, gender reassignment, marriage or civil partnership, pregnancy/maternity, race, religion or belief, sex or sexual orientation)
  • Don’t bully, victimise or harass
  • Check supply chains don’t involve modern slavery, or abuses
  • Report abusive or suspected abusive labour practices to authorities
  • Work cooperatively
  • Develop inclusive culture in workplaces, support equal access/opportunity for all, identify/ address unconscious bias
19
Q

Give me some example behaviors for Rule 5

A
  • Question practices and decisions you suspect aren’t right
  • Support directors, partners, employees, colleagues or clients who acted in good faith to report concerns
  • Ensure public statements made by the firm, or members who are (or could be identified) members of the profession, do not undermine public confidence in the profession
  • Respond to complaints promptly, openly & professionally
  • Don’t dissuade complainants from approaching ADR provider
  • Cooperate with investigations into complaints, provide info where requested (if lawful)
  • Consider the effect any health conditions a member may have on their competence or ability to undertake work. Inform management/clients where they need reasonable adjustments
  • Manage professional finances responsibly
  • Take appropriate action when rules have been breached, report suspected significant breaches by yourself or others to RICS

APC Building Surveying (18 decks)

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