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RICS APC - 2023 > Legal & Regulatory > Flashcards

Legal & Regulatory Flashcards

1
Q

Equality Act 2010

A

Fair Treatment: All employees treated fairly and consistently.

No Discrimination: No disadvantage based on age, disability, sex, race, etc., as per the Equality Act 2010.

Positive Action: Company will take steps, like training, to support employees with protected characteristics.

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2
Q

Part M of the Building Regulations

A

Accessibility requirements for buildings.

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3
Q

Hillside Parks Ltd v Snowdonia NPA [2022]

A

This ruling emphasized the importance of clarity in planning permissions and the need for explicit conditions, rather than relying on implied or assumed conditions from previous permissions.

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3
Q
A
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4
Q

What does the Levelling-up and Regeneration Act 2023 say?

A

Streamlined Planning & Development: The LURA 2023 accelerates the planning system, mandates local plans for housing, and ensures developments are community-centric, environmentally friendly, and equipped with necessary infrastructure.

Revitalizing High Streets: Empowers councils to collaborate with landlords to repurpose empty buildings for local businesses and community groups, and permanently allows outdoor seating for hospitality businesses.

Enhanced Local Autonomy: Prioritizes local community input in development plans, introduces measures to rebalance housing and land markets, and commits to strengthening devolution with potential deals for every English area by 2030.

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5
Q

What is the role of the Planning Inspectorate?

A

The Planning Inspectorate handles planning appeals, national infrastructure planning applications, examinations of local plans, and other planning-related matters.

Relevant Law: The Town and Country Planning Act 1990 establishes the framework for planning appeals, which the Planning Inspectorate oversees.

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6
Q

Department for Levelling Up, Housing and Communities

A
  • DLUHC proposed a new use class for short-term lets and associated rights.
  • Consultation includes new permitted development rights and planning fees for new build short-term lets.
  • DLUHC aims to simplify plan-making, making them faster and more community-inclusive.
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7
Q

Planning and Compensation Act 1991

A
  • Amends town and country planning law.
  • Addresses land acquisition for public works and related compensation.
  • Introduced procedures to enforce planning permission breaches, like injunctions
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8
Q

What is the structure of RICS Surveying safely, 2018?

A

Personal Responsibilities & Compliance: RICS members and firms uphold health and safety standards.

Workplace Safety & Hygiene: Assessing hazards, risks, and ensuring occupational health.

Site Visits & Management: Fire safety, residential surveying, and contractor procurement.

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9
Q

What is included in Health & Safety at Work, 1974 (as amended)?

A
  • “Duty to very employer to ensure, so far as reasonably practicable, the health, safety and welfare at work of all employees”
  • Must report injuries and dangerous occurrences
  • Must undertake, record and regularly review a risk assessment
  • Detailed Health & Safety information is to be held on site, usually in the Operations & Maintenance Manual
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10
Q

The Construction (Design and Management) Regulations 2015 (CDM 2015)

A

Apply to all construction projects, including maintenance. Except for mineral exploration and working.

Construction Phase Plan: Must be developed before work starts.

Risk Management: Prioritize health & safety by applying prevention principles.

HSE Notification: Larger projects (30 days+ 20 simi workers) need to be notified to the Health and Safety Executive (HSE).

Appointments: Client appoints other duty holders. inc Principal Designer and Principal Contractor.

Information & Training: Ensure everyone has the necessary information, instruction, and training.

Co-operation & Communication: Duty holders must co-operate, communicate, and co-ordinate.

Worker Consultation: Engage with workers to promote health, safety, and welfare measures.e.

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11
Q

The Quarries Regulations 1999 (SI 1999 No.2024)(as amended)

A

H&S regulation specific to quarries, enforced by HSE.

  • Roles & Responsibilities for competently running a quarry and tip - 81C, 81D
  • Detailed procedures

Repeals and modifies parts of:
- Mines and Quarries Act 1954
- Mines and Quarries (Tips) Act 1969
- Mines and Quarries (Tips) Regulations 1971
- Fatories Act 1961.

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12
Q

What precedent was set in Hillside Parks Ltd (Appellant) v Snowdonia National Park Authority?

A

This ruling emphasized the importance of clarity in planning permissions and the need for explicit conditions, rather than relying on implied or assumed conditions from previous permissions.

Relevant Law: The decision was grounded in the interpretation of the Town and Country Planning Act 1990, emphasizing the standalone nature of each planning permission unless conditions are explicitly transferred or stated.

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13
Q

What is Permitted Development?

A

Certain types of development don’t require a full planning application.

Certain changes between Use Classes are considered Permitted Development and do not require planning permission, provided specific conditions are met.

Relevant Law: Town and Country Planning (General Permitted Development) (England) Order 2015.

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14
Q

How are Permitted Development rights affected by a local Article 4 designation?

A

Article 4 directions can remove specific permitted development rights. Used to protect the character of an area.

**Relevant Law: **Town and Country Planning (General Permitted Development) (England) Order 2015, Article 4.

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15
Q

Definition of Development:

A

Legislation: Town and Country Planning Act 1990, specifically Section 55.
Definition: “Development” is defined as the carrying out of building, engineering, mining, or other operations in, on, over, or under land, or the making of any material change in the use of any buildings or other land.

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16
Q

What is BREEAM

A

Leading certification system for sustainable built environments.

Offers sustainability assessment across asset types with third-party verification.

Trusted globally, aiding in verifying sustainability claims.

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17
Q

Environmental Permitting (England & Wales) Regulations 2016

A
  • consolidate the existing environmental permitting system
  • detailing the activites to be controlled
  • permitting requirements.
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18
Q

Environmental Protection Act 1990

A

Addresses pollution, harm, and environmental protection, distinguishing between individual and corporate responsibilities.

*Integrated Pollution Control (IPC)
*Waste Management Licensing
*Statutory Nuisances and Clean Air
*Litter Legislation

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19
Q

The Waste (England & Wales) Regulations 2011 (as amended)

A
  • requires businesses to apply the waste management hierarchy
  • introduces a two-tier system for waste carrier and broker registration,
  • excludes some categories of waste from waste controls.
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20
Q

Environment Act 2021

A

recycling 65% by 2035.
contribute to circular ecomony

  • Plastic tax
    £250pt for new plastic in packaging
    increase demand of recycled plastic
  • Extended producer responisibilty
    producer pays full cost of managing waste with modulated fees
  • Ban on biodegradable waste to landfill
    emission reduction and increased recycling
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21
Q

what is the difference between a wayleave and an easement

A

Wayleave:
* Temporary permission for utility companies to install and maintain infrastructure on private land.
* Often used for electricity cables, telecoms, and other utilities.
* Does not give permanent rights over the land.

Easement:
* A legal right benefiting one property to use another property in a certain way.
* Permanent in nature.
* Examples include rights of way, rights to light, and rights of drainage.

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22
Q

what is the difference between lease and a license

A

Lease:
* Grants exclusive possession of a property for a specified period.
* Creates an interest in the land.
* Tenant has legal protection against eviction.
License:
* Grants permission to use a property without transferring any interest in the land.
* Does not grant exclusive possession.
* Easier to terminate than a lease.

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23
Q

what is the difference between title register and a deed

A

Title Register:
* Official record held by the Land Registry.
* Provides details about the current ownership, charges, and restrictions on the property.
Deed:
* Legal document that transfers ownership or rights in property.
* Historical record and may not reflect the current status of the property.

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24
Q

What is the key legislation relating to land compensation?

A

Land Compensation Act 1961

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25
Q

What are the key principles of land compensation?

A

Compensation is based on the value of the land taken.

No betterment: Compensation does not account for the increase in value due to the scheme for which the land was acquired.

Disturbance compensation:Covers losses and costs due to the acquisition.

Injurious affection: Compensation for the decrease in value of retained land due to the scheme.

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26
Q

Talk me through the requirements of the Modern Slavery Act 2015.

A

Organizations with a turnover of £36 million or more must publish an annual slavery and human trafficking statement.

The statement should detail steps taken to ensure modern slavery is not occurring in their business or supply chains.

Public authorities are required to notify the Home Office of suspected victims of modern slavery.

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27
Q

What are the objectives of it?

A
  • To prevent and combat modern slavery and human trafficking.
  • To provide support and protection to victims.
  • To ensure offenders are prosecuted and punished.
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28
Q

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

A

Contamination:
* The presence of hazardous substances in the environment, often due to human activities.
* Can pose risks to human health and the environment.
Polluter Pays Principle:
* The party responsible for causing pollution should bear the costs of cleaning it up.
* Encourages businesses to prevent and reduce pollution.

29
Q

Talk me through the key principles of NPPF.

A
  • Achieving sustainable development.
  • Ensuring a strong, responsive supply of homes.
  • Building a strong, competitive economy.
  • Promoting healthy and safe communities.
  • Protecting and enhancing the natural environment.
30
Q

When was the NPPF last updated and what key changes were made?

A
  • 5th September 2023.
  • Key Change: Focus on climate change, flooding, coastal change.
  • New: Easier permissions for Wind Energy Development.
  • Future: Possible changes to five-year housing supply rules.
31
Q

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

A
  • The Financial Conduct Authority (FCA) was established on 1 April 2013, taking over from the Financial Services Authority (FSA).
  • The FCA regulates the conduct of nearly 50,000 businesses in the UK.
  • The FCA’s primary objective is to ensure financial markets are honest, competitive, and fair.
  • They work alongside the Prudential Regulation Authority (PRA) which regulates around 1,500 financial institutions.
32
Q

Who regulates the financial sector in the UK?

A

The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA)

33
Q

What is the difference between contract and tort law?

A

Contract Law:
* Deals with agreements between parties.
* Duties are based on terms agreed upon by the parties.

Tort Law:
* Deals with civil wrongs causing harm or loss.
* Duties are based on a general duty of care to avoid causing harm to others.

34
Q

What is the Localism Act 2011?

A

A UK law that aims to devolve more decision-making powers from central government to local authorities and communities.

35
Q

Tell me about a current appeal/representation you are aware of relating to your role.

A

Suez vs. Environment Agency, Oct 2023: Dispute over how compliance decisions are recorded in ‘CAR-forms’.

Consequences of CAR-forms: Can lead to penalties and damage to reputation.

Appeal Mechanism: CAR challenges are treated as complaints without a formal review of the decision’s merits.

36
Q

What is a Tree Protection Order?

A

A legal order made by a local planning authority to protect specific trees or woodlands.

37
Q

What is a listed building?

A

A building of special architectural or historic interest, protected by law against unauthorized changes.

38
Q

What is the role of the Planning Inspectorate?

A

An executive agency of the UK government responsible for making decisions on planning appeals, national infrastructure projects, and other planning-related issues.

39
Q

What time limits relate to enforcement of planning breaches / planning conditions / unlawful changes of use?

A
  • 4 years from completion for operational development breaches.
  • 4 years for unauthorized change of use to a single dwellinghouse.
  • 10 years for other breaches of planning control.
40
Q

Tell me about planning enforcement.

A

Breach of Planning Control:

  • Development without required planning permission.
  • Failure to comply with conditions or limitations of granted planning permission.

Who Can Take Enforcement Action?

  • Local planning authorities are responsible.
  • They act in the public interest within their administrative areas.

When to Take Enforcement Action?

  • Tackle breaches causing unacceptable impact on the area’s amenity.
  • Maintain the integrity of the decision-making process.
  • Ensure public acceptance of the decision-making process.
41
Q

What is a Planning Contravention Notice?

A

Used to gather information about suspected breaches.
Can invite the recipient to remedy the suspected breach.

42
Q

What is a Planning Enforcement Notice?

A

Issued when there’s a breach of planning control and it’s expedient to act.
Specifies the breach and steps required to remedy it.

43
Q

Stop Notice

A

Prohibits activities comprising the alleged breach of planning control.

44
Q

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

A

Contract: Pursue if there’s a breach of terms explicitly agreed upon between parties.

Tort: Pursue if there’s harm or loss caused due to a breach of a general duty of care, even if not based on an agreement.

45
Q

What are bye laws?

A

Local rules governing the behavior of people in specific areas or organizations. They’re made by local councils or corporations and apply within specific localities.

46
Q

What is delegated legislation?

A

Laws made by an individual or body under powers given to them by an Act of Parliament. It allows for laws to be made without passing a new Act.

47
Q

What is a statutory instrument?

A

A form of delegated legislation, allowing provisions of an existing Act of Parliament to be brought into force or altered without Parliament having to pass a new Act.

48
Q

Explain the key differences between civil, common and criminal law.

A

Civil Law: Deals with disputes between individuals or organizations. Remedies often involve compensation.
Common Law: Legal principles developed through court decisions over time, rather than by legislative statutes.
Criminal Law: Deals with actions that are offenses against the public, society, or state. Penalties often involve fines, imprisonment, or both.

49
Q

What factors influence whether Permitted Development rights apply on a local level?

A

Planning permission is needed if work meets the definition of ‘development’ as per the Town and Country Planning Act 1990.

Not all development requires a planning application. Some are permitted under national permitted development rights.

Even if a planning application isn’t needed, other consents might be required, like works to protected trees, advertisement consent, listed building consent, etc.

50
Q

What are restrictive covenants

A

These are clauses in a property deed or lease that limit what the owner of the land or property can do with it.

They exist to ensure that a property retains its value and to prevent any potential disputes among landowners.

51
Q

What are overage obligations

A

Overage (or “clawback”) is an agreement that the seller of a property will receive additional payment from the buyer if a certain event happens in the future, typically if planning permission is granted which increases the value of the property.

52
Q

How can community engagement help improve regulatory compliance?

A

Community engagement is crucial for improved planning results.
NPPF promotes proactive community engagement.
NPPF: Engaging early and effectively with the community is viewed favorably (Paragraph 132).
Planning Practice Guidance supports community engagement before application submission.

53
Q

On Mepal, how did you that the client had breached their planning consent?

A
  • Analyzed waste returns data.
  • Identified excess waste beyond permitted limits.
  • Noticed unusual spikes and discrepancies in records.
54
Q

How did you ensure that your advice was fully understood?

A
  • Recommended immediate cessation of excess waste acceptance.Highlighted legal and financial risks.
  • Emphasized transparency with the Local Planning Authority (LPA).
  • Advised a review of waste acceptance procedures.
  • Proposed a feasibility study for modifying planning consent.
55
Q

What are the potential consequences of this form of planning breach?

A
  • Financial penalties or fines.
  • Legal actions or lawsuits.
  • Reputational damage to the client.
  • Potential revocation of planning consent.
56
Q

What action could the LPA have taken?

A
  • Sought breach clarification.Issue a formal warning or notice.
  • Initiate enforcement actions.
  • Impose fines or penalties.
  • Revoke or modify the planning consent.
57
Q

Tell me about the various enforcement and contravention steps.

A
  • Could issue Planning Contravention Notice (PCN).
  • Serve Enforcement Notice for remedy.
  • Issue Stop Notice for severe breaches.
  • Potential for prosecution.
58
Q

How did you seek to regularise the planning position?

A
  • Proposed using Section 73 of the Town and Country Planning Act.
  • S.73 allows for the modification of existing planning consents.
  • Recommended applying for a modification to increase the permitted waste limit. Recommended external audits for unbiased assessment.
  • Suggested periodic reviews by compliance experts. long-term strategies
59
Q

How did you determine which sites were best suited for promotion to the Minerals Planning Authority (MPA)?

A

Evaluated based on location, size, and alignment with County’s objectives.

60
Q

What specific strategic goals did you advise your client on during the ‘Call for Sites’?

A

Maximizing site potential, aligning with County’s needs, and ensuring sustainability.

61
Q

How did you align the client’s estate and strategic objectives with the County’s objectives and the Plan’s stage?

A

Reviewed client’s estate against County’s plan objectives; identified overlaps and gaps.

62
Q

Can you elaborate on how you ensured compliance with both local and NPPF regulations?

A

Cross-referenced sites with NPPF and local regulations; ensured all recommendations adhered.

63
Q

What specific elements did you advise including in the proposals to ensure they were sustainable, compliant, and beneficial to the community?

A

Emphasized sustainability, local benefits, and regulatory compliance.

64
Q

How did you determine that a proactive approach would expedite the planning process and enhance the client’s reputation?

A

Analyzed past planning processes; identified trends of expedited approvals for proactive submissions.

65
Q

What potential uncertainties did you identify in the site allocation process?

A

Potential changes in County’s objectives, market dynamics, and evolving regulations.

66
Q

How did you communicate the potential costs and risks associated with promoting the sites?

A

Presented potential financial implications; highlighted risks of non-selection and public scrutiny.

67
Q

What were the specific concerns you raised regarding public scrutiny, and how did you advise the client to prepare for or mitigate these concerns?

A

Highlighted potential public concerns; advised on proactive community engagement to mitigate.

68
Q

How did the client respond to your advice, and what were their main considerations when deciding to promote the three sites?

A

Acknowledged risks and benefits; decided to promote three sites based on potential returns and strategic fit.

69
Q

Are there any updates on the status of the three sites being considered by the MPA?

A

Three sites still under review; awaiting MPA’s feedback

70
Q

Tell me about your understanding of the council LDS?

A
  • Developed by Oxfordshire County Council.
  • Tracks plan-making progress.
  • Includes existing and new policies.
  • Supported by various documents like SCI and AMR.
  • Timeline spans from 2023 to 2026 for plan adoption.

RICS APC - 2023 (20 decks)

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