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APC > Legal and Regulatory Compliance (DeLever Questions) > Flashcards

Legal and Regulatory Compliance (DeLever Questions) Flashcards

1
Q

Detail the applicable legal / regulatory requirements within the public sector?

A
  1. My client is a monopoly supplier of rail infrastructure and operates under a licence from the ORR who independently regulate the railway.
  2. My client is governed by 27 Licence Conditions. The main ones that effect my day to day work are:
    Licence Condition 13 - Safety and Standards
    Licence Condition 17-disposals
    Licence Condition 16-acquisitions
    Licence Condition 20 -non-discrimination.
  3. In line with ‘‘Managing Public Money’’ my client must seek best value when disposing of property.
  4. Furthermore, as a public body, my client is bound by strict procurement requirements. We have a framework of approved suppliers for carrying out works on behalf of Network Rail?
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2
Q

What are the 6 areas of the 27 licence conditions

A

Part A (Core Duties and Structure)
Part B (Network Management)
Part C (Information Requirements)
Part D (Industry Obligations)
Part E (Restrictions on Activities)
Part F (Corporate Matters)

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3
Q

Highlight risks associated with poor compliance, including legal remedies but also social remedies?

A
  1. If my client doesn’t adhere to their licence conditions the ORR has a three-stage approach

STAGE 1 - Routine Monitoring and Assessment of NR’s performance
STAGE 2 - Investigation and early resolution of concerns to protect rail users
- ORR may propose new regulatory tools and formal improvement plans
STAGE 3 - Enforcement
- Financial sanctions that can affect NR management bonuses
- Scaled Financial Penalties funded by management bonuses

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4
Q

Explain the impact of the Equality Act within the context of Development and Planning?

A
  1. Service providers are under an obligation to make reasonable adjustments to facilitate access - not just physical but also through auxiliary aids such as hearing loops or visual aids.
  2. Approved Document M of the building regulations provides specific guidance on the safe degrees of pitch for ramps and steps, as well as building dimensions and facilities to facilitate wheelchair access.
  3. Section 8 of the NPPF emphasises high quality, inclusive design as a key principle of sustainable developments
  4. Changing Places campaign is NR specific we are redeveloping toilet facilitates to be accessible.
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5
Q

Explain risk as a concept?

A
  1. Risk is the likelihood or probability of an event occuring and its consequences or impact.
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6
Q

Explain the risk associated with poorly maintained or operated assets?

A
  1. Poorly maintained assets have an increased risk of failure
  2. The impact of this could be financial, reputational or cause death and injury.

E.G Retaining wall slipping / embankment failure / cutting failure

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7
Q

Explain the impact of regulatory compliance on development projects, specifically with regards to health & safety, disability and construction?

A

H&S at Work 1974
Equality Act 2010
CDM Regulations
Reporting of Injuries, Diseases and Dangerous Occurrences (2013) / RIDDOR
Corporate Manslaughter and Corporate Homicide Act 2007

  1. Compliance with approved Document M - access needs to be inclusive.
  2. Criminal offence to breach CDM regulations - enforced b HSE who have the ability to issue fines and prosecute. Can also issue Improvement and Prohibition Notices.
  3. HSE must be informed if project involves demolition or lasts longer than 30 construction days with 20+ workers working simultaneously on site or if there are more than 500+ person days of construction work.
  4. Risk assessments are required for construction work.
  5. CDM files must be maintained.
  6. New Build Developers must belong to a New Homes Ombudsman Scheme
  7. Must carry out risk assessments if more than 5 staff.
  8. Must have a written health and safety policy document.
  9. Must have appropriate PPE (PPE at Work Regulations)
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8
Q

Explain how you identify and reflect risk during your role, for example, during physical inspections but also non-tangible examples?

A
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9
Q

HORLEY
Talk me through your internal report and why you support disposal?

A
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10
Q

HORLEY
Why were you not aware that the site was required for future station improvements before undertaking your report?

A
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11
Q

Detail the regulatory process you undertake when consulting with internal and external consultations?

A
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12
Q

HORLEY
How did you meet your ethical requirements in this example?

A
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13
Q

HORLEY
On what basis were objections raised?

A
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14
Q

HORLEY
How did you deal with the objections that were raised?

A
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15
Q

DORKING
Talk me through the main items in the Network Rail Property Consultancy Services Framework?

A
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16
Q

DORKING
Talk me through your company’s procedure guidance, specifically data security?

A
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17
Q

DORKING
What are the main items in the statement of works?

A
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18
Q

DORKING
How did you assess your health and safety legal requirements within the Statement of Works?

A
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19
Q

DORKING
Can you give me an example where you have produced a risk management report and what the requirements where for the design and management regulations?

A
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20
Q

EAST DULWICH
Detail the advice you gave to your client in the Business and Technical Clearance?

A
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21
Q

EAST DULWICH
Detail the advice you gave to your client in relation to the negotiations of the retaining wall?

A
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22
Q

East Dulwich
Detail the advice you gave to your client in their legal responsibilities in relation to the retaining wall?

A
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23
Q

East Dulwich
- Detail the advice you gave to your client on how the proposed safety provisions would meet their statutory responsibilities?

A
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24
Q

EAST DULWICH
- Can you give us an example where you have advised your client advice in liaison with a solicitor?

A
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25
Q

TONBRIDGE
- What advice did you provide to your client in relation to their legal responsibilities in maintaining access to the project team’s engineering works?

A
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26
Q

TONBRIDGE
- What advice did you give to your client to justify your position that the work was essential?

A
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27
Q

Tonbridge
- Why did you advise your client to go to the expense of a licence agreement to access the site and not use their statutory powers in this example?

A
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28
Q

Tonbridge
- What advice did you provide to your client relating to the terms contained within the licence agreement?

A
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29
Q

Tonbridge
- What advice did you provide to your client on their legal and regulatory compliance for this project?

A
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30
Q

What is the ORR?

A
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31
Q

What health & Safety legislations are you aware of and how do you ensure that you comply with this legislation?

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32
Q

What are the penalties under current health & safety legislation?

A
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33
Q

Is it a criminal offence to breach the H&S at Work Act 1974?

A
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34
Q

Tell me about your employers health & Safety Policy - what are your duties as an individual surveyor?

A
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35
Q

What legislation are you aware of in relation to Asbestos?

A
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36
Q

What do you understand by the control of asbestos regulations 2012? Who is the duty holder?

A
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37
Q

Tell me your understanding of CDM regulations 2015?

A
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38
Q

What is a notifiable project (CDM)?

A
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39
Q

Tell me about your understanding of the Equality Act 2010?

A
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40
Q

What is COSHH? What changes have recently been made to COSHH?

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41
Q

What is the key fire safety legislation?

A
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42
Q

Explain your understanding of the Fire Safety Act 2921?

A
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43
Q

Explain your understanding of the Building Safety Act 2022?

A
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44
Q

What changes were brought in by the Personal Protective Equipment at Work (Amendment) Regulations 2022?

A
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45
Q

Tell me what you understand from the Companies Act 2006?

A
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46
Q

Can you tell me the principles of UK GDPR and the Data Protection Act 2018?

A
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47
Q

How do you comply with UK GDPR and the Data Protection Act 2018 in your role?

A
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48
Q

Give me an example of how you process and handle confidential information?

A
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49
Q

Give me an example of how you ensure that data is kept securely?

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50
Q

What is the Freedom of Information Act 200?

A
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51
Q

Can you tell me about the retention of files and the Limitation Act 1980?

A
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52
Q

What are the protected characteristics under the Equality Act 2010?

A
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53
Q

What does the Equality Act 2010 provide? How does it relate to service providers or controllers of let premises?

A
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54
Q

How is the Equality Act enforced?

A
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55
Q

What does the Equality Act say in relation to reasonable adjustments?

A
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56
Q

How do the equality Act 2010 and building regulations relate to each other?

A
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57
Q

What are the requirements under the Public Sector Equality Duty (PSED)? Who does this apply to? How is it enforced?

A
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58
Q

What does the NPPF say about inclusive design? How might this be incorporated into local planning policy?

A
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59
Q

What requirements does the Fire Safety (Regulatory Reform) Order 2005 introduce?

A
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60
Q

How can inclusive environments be incorporated into the different stages of a building’s life cycle?

A
61
Q

How does the Fire Safety 2005 order relate to inclusive environments?

A
62
Q

What did the UK Climate Change Act 2008 do?

A
63
Q

Can you explain your understanding of the Minimum Energy Efficiency Standard (MEES) to me?

A
64
Q

What are the key Minimum Energy Efficiency Standard (MEES) dates? What falls outside of MEES and are there any exemptions?

A
65
Q

What are the penalties for non-compliance with Minimum Energy Efficiency Standard (MEES)? How does MEES impact your role?

A
66
Q

What is an EPC? What buildings require an EPC and which are exempt?

A
67
Q

When is an EPC required? When do you need to display an EPC?

A
68
Q

What is included in an EPC? What are the penalties for not having an EPC and where do you find them?

A
69
Q

How can EPC impact upon value or use?

A
70
Q

Explain the key objectives of the environment act 2021?

A
71
Q

What recent changes to the Building Regulations have been made to work towards the Future Homes and Building Standard in 2025?

A
72
Q

What is the key legislation related to planning?

A
73
Q

What is the key legislation relating to land compensation?

A
74
Q

What are the key principles of land compensation?

A
75
Q

Tell me about health & safety legislation relating to development projects

A
76
Q

Tell me about construction legislation relating to development projects

A
77
Q

Tell me about design and management regulations relating to development projects

A
78
Q

Talk me through your understanding of the environmental protection act 1990?

A
79
Q

What responsibility does a chartered surveyor have in terms of health and safety?

A
80
Q

Which body is responsible for overseeing health and safety in a construction environment?

A
81
Q

In health and safety, what is a notifiable project?

A
82
Q

Explain what you understand by the CDM regulations?

A
83
Q

Name a key role and explain what this entails under CDM?

A
84
Q

What is an Environmental Impact Assessment?

A
85
Q

What is a Strategic Environment Assessment?

A
86
Q

Tell me about your understanding of current building regulations?

A
87
Q

Tell me briefly about the statutory control of building works?

A
88
Q

What enforcement controls exist on unauthorised building works?

A
89
Q

What is Part L of the Building Regulations? How does this impact upon development?

A
90
Q

(Building Regs) What changes to the Approved Documents apply from June 2022? Why were they made? What do Approved Documents O & R relate to?

A
91
Q

What is the Equality Act 2010 and how does it impact upon your scope of practice?

A
92
Q

Talk me through the requirements of the Modern Slavery Act 2015? What are the objectives of it?

A
93
Q

Talk me through your understanding of contamination and the polluter pays principle?

A
94
Q

Talk me through your understanding of the Environmental Protection Act 1990?

A
95
Q

Talk me through the key principles of NPPF - when was it last updated and what key changes were made?

A
96
Q

Talk me through financial regulation in the UK and how this has changed in recent years?

A
97
Q

What is the difference between contract and tort law? What duties of care do each place on you?

A
97
Q

Who regulates the financial sector in the UK?

A
98
Q

What is the Localism Act 2011?

A
99
Q

What is Permitted Development (PD)? Talk me through your experience of dealing with PD?

A
100
Q

Explain what you understand by the planning use classes? When were these last amended and what changes were made?

A
101
Q

Talk to me about how case law impacts the planning system?

A
102
Q

Tell me about a current piece of case law you are aware of relating to your role?

A
103
Q

Tell me about a current planning policy issue you are aware of?

A
104
Q

Tell me about your understanding of the law relating to conservation areas / listed buildings / planning policy / SW106 agreements / CIL?

A
105
Q

Why is it important for developers to comply with S106 agreements?

A
106
Q

What can a local planning authority do to enforce a S106 agreement?

A
107
Q

What happens to an S106 agreement when a site is bought and sold?

A
108
Q

What is a listed building?

A
109
Q

What is a conservation area?

A
110
Q

What is a Tree Protection Order?

A
111
Q

What are restrictive covenants in a lease or contract?

A
112
Q

What are positive covenants in a lease or contract?

A
113
Q

Tell me about compulsory registration of land?

A
114
Q

Tell me about title rights and easements?

A
115
Q

What is the role of the Planning INspectorate?

A
116
Q

Tell me about an example where you have applied health & safety at work practices?

A
117
Q

Explain what information you would find held on BCIS?

A
118
Q

What is the New Homes Quality Code?

A
119
Q

What time limits relate to enforcement of Building Regs / Planning Breaches / Conditions / Unlawful changes of us?

A
120
Q

Tell me about planning enforcement?

A
121
Q

What is a planning contravention notice?

A
122
Q

What is a planning enforcement notice?

A
123
Q

What is the difference between planning law and policy?

A
124
Q

What is the role of the Building Safety Regulator?

A
125
Q

Explain how the statutory waterfall will work in relation to remediation costs for historic fire safety defects for buildings over 11m tall?

A
126
Q

What is a high risk building defined as under the Building Safety Act 2022?

A
127
Q

Who is the accountable person and what are their duties under the Building Safety Act 2022?

A
128
Q

What is nuisance?

A
129
Q

What are the requirements to take action for a nuisance claim?

A
130
Q

What ownership requirements relate to nuisance claims?

A
131
Q

What is unreasonable interference defined as in relation to nuisance?

A
132
Q

Explain your understanding of the Fraud Act 2006?

A
133
Q

How would you decide whether to pursue a claim under tort or contract?

A
134
Q

What are bye laws?

A
135
Q

What is delegated legislation?

A
136
Q

What is a stuatory instrument?

A
137
Q

Explain the key difference between civil, common and criminal law?

A
138
Q

Tell me about the control of Asbestos regulations 2012?

A
139
Q

Horley - Can you expand on what the local authority wanted to use the site for?

A
140
Q

Horley - as the land could not have been disposed of, could you have advised the authority to take a licence of the land for the time being?

A
141
Q

Horley - Are there any powers that the authority possesses in order to acquire the land from your client?

A
142
Q

Tonbridge - Was the car dealer advised at the outset of the powers the railway company possess in terms of access?

A
143
Q

Tonbridge - was the tenant offered any incentives prior to the discussion of S14?

A
144
Q

Tonbridge - What are the powers stated under s14?

A
145
Q

Tonbridge - If the car dealer still refuses after the s14 is served, what are the next steps?

A
146
Q

East Dulwich - Whose responsibility was the retaining wall and how did it come to that conclusion?

A
147
Q

East Dulwich - when reviewing land stock, tell me about your approach in terms of recommending to clients which sites should be disposed of

A

APC (18 decks)

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