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RICS APC > Legal & Regulatory Compliance > Flashcards

Legal & Regulatory Compliance Flashcards

1
Q

CDM - What are CDM Regulations?

A

Construction (Design & Management) Regulations 2015.

Are intended to:
- ensure that health and safety issues are properly considered
- during a project’s development
- so that the risk of harm to those who have to build, use and maintain structures is reduced.

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2
Q

CDM - How did 2015 CDM regulations change from the 2007 CDM regulations?

A

The 2007 CDM Regulations were substantially revised on 6 April 2015.

These revisions seek to simplify and rationalise the regulations, integrating them better with EU legislation, and tackling small-scale construction sites that have lagged behind larger sites in terms of health and safety.

The revisions also see the role of CDM Co-ordinator transferred to a Principal Designer and Principal Contractor. The Principal Designer (PD) is responsible for the pre-construction phase whilst the Principal Contractor is responsible for the construction phase.

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3
Q

CDM - Who are the main duty holders as part of CDM 2015

A

The Client, Principal Designer & Principal Contractor

Is also Workers & Contractors as duty holders

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4
Q

CDM - What is the role of the Client

A
  • Ensure suitable management arrangements are made for the project
  • Appoint a competent and resourced principal designer
  • Appoint a competent and resourced principal contractor
  • Review the Construction Phase Plan ahead of commencement
  • Notify the relevant authorities should the project be notifiable
  • Provide all Pre-Construction Information as required to designers & contractors
  • Onus on the Client to ensure CDM arrangements and not the contractor
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5
Q

CDM - What is role of Principal Designer

A
  • Replaced the CDM Coordinator
  • Plan, manage, monitor and coordinate health and safety in the pre-construction phase
  • Help and advise the client in bringing together pre-construction information, and provide the information designers and contractors need to carry out their duties
  • Work with any other designers on the project to eliminate foreseeable health and safety risks to anyone affected by the work and, where that is not possible, take steps to reduce or control those risks
  • Liaise and work closely with the Principal Contractor
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6
Q

CDM - What is the role of the Principal Contractor?

A
  • Plan, manage, monitor and coordinate the entire construction phase ensuring all health & safety risks are managed especially those to the public
  • Liaise with the client and principal designer for the duration of the project to ensure that all risks are effectively managed
  • Prepare a written construction phase plan (PDF) before the construction phase begins, implement, and then regularly review and revise it to make sure it remains fit for purpose
  • Ensure all workers have site-specific inductions, and any further information and training they need
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7
Q

CDM - When is a project required to be notified to HSE

A
  • HSE to be notified (F10 Form) if a project lasts longer than 30 construction days with 20 or more workers working simultaneously on site.
  • More than 500 ‘person’ days of construction work
  • Involves any demolition
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8
Q

CDM - Who polices regulations?

A

CDM regulations are policed by HSE (The Health & Safety Executive), who are Britain’s national regulator for workplace Health & Safety

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9
Q

CDM - What was your advice?

A

As the project was proposed to exceed 30 working days and also exceed 500 person days, I advised my client the project was CDM notifiable, and therefore must submit an F10 for to HSE to give notice ahead of construction commencing.

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10
Q

BSA - What is classed as a Higher Risk Building?

A

To be classed as an HRB, the project must be for a building that, when built, will be at least 18 metres in height or have at least seven storeys, and contain at least two residential units.

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11
Q

BSA - What are the new obligations for developers of a HRB?

A
  • Have to satisfy the new Building Safety Regulator (BSR), which is HSE, who have replaced Building Control
  • There are three new planning gateways, where the BSR must give approval to proceed.
    1. Planning Submission (BSR gives advice on planning applications for HRB to planning authorities)
    2. Construction Commencements (Building work cannot start until BSR approve the building control approval application)
    3. Occupation (The building must not be occupied until BSR have issued a completion certificate)
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12
Q

BSA - Why was the BSA 2022 introduced?

A

Following the Grenfell Tower fire in London in June 2017, it became clear that there was a need for government to step in and change legislation for high rise buildings (HRBs) so that a tragedy like this never occurs again. It builds on the recommendations within Dame Judith Hackitts’ Independent Review of the Building Regulations and Fire Safety final report published in May 2018.

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13
Q

BSA - What are the main changes for non HRB?

A

The Client must still appoint the roles of Building Regulations Principal Designer and Principal Contractor, where there is more than one contractor

Dutyholders are now tasked with taking ownership of the compliance process, reducing their reliance on Building Control Authorities

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14
Q

Building Regs - What is an Initial Notice?

A

Notification through an approved inspector to the local authority of you intent to commence building work. Often needs to show sewer connections.

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15
Q

What is an approved inspector?

A

Approved inspectors are companies or individuals under
the Building Act to provide a building control service for all categories of work and for any building type.

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16
Q

Building Regs - What is new Part F

A

Guidance on Ventilation?

Approved Document F has been split into two volumes, with Volume 1 relating to dwellings, and Volume 2 for non-dwellings.

To continue the movement to the Future Homes Standard in 2025

A key change is the increase in the whole dwelling ventilation rates in a property.

A key change found within the revised Approved Document F is the re-naming of the ventilation methods.

Natural Ventilation with Intermittent Extract Fans and Background Ventilators is now in place of System 1.

System 4 is now Mechanical Ventilation with Heat Recovery (MVHR).

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17
Q

Building Regs - Did H11b not comply with new Part F?

A

Actually already aligned with Part F, as ventilation systems already sufficient to meet new standards

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18
Q

Building Regs - What is new Part L

A

Part L provides guidance on conservation of fuel and power.

All homes must produce 31% less carbon emissions. Maximum U-Value (Amount of energy that is lost through any material) targets also set.

The adjustments to Part L are viewed as a steppingstone towards the 75–80% reduction in carbon, which will be required by the Future Homes Standard in 2025.

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19
Q

Building Regs - How did H11b not comply with new Part L?

A

A complete facade redesign in order to improve the U values of both Mansion and Tower block

There would have to introduction of either triple glazing, or a redesign of the facade in order to change the geometry of the Glazing and solid in the facade to ensure the U-Values were being met

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20
Q

Building Regs - What are U-Values?

A

U-value, is the rate of transfer of heat through a structure (which can be a single material or a composite), divided by the difference in temperature across that structure.

The lower the U-Value the slower heat transfers and so the better it performs as an insulator

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21
Q

Building Regs - What is the new Part O?

A

To address overheating in homes and limiting solar gains through windows. Aligns well with Part F.

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22
Q

Building Regs - How did H11b not comply with new Part O?

A

A strategy to comply with Part O would be to allow windows to be opened at night, however noise survey stated that the noise into apartments would be too loud. Therefore open ventilation not a strategy. Therefore would require a higher ventilation system of MVHR in all apartments. Significant costs.

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23
Q

What is the Town and Country Planning Act 1990?

A

This Act provides the legal framework for the town and country planning system in England and Wales.

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24
Q

What is in the Town and Country Planning Act 1990?

A
  • the roles and responsibilities of planning authorities, such as local authorities and national park authorities
  • development control, including planning permission, development orders, determination of applications, appeals, major infrastructure projects
  • Separate sections, such as S96A and S106
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25
Q

What is the Estate Agency Act (1979)?

A

The EAA 1979 regulates estate agency work.

  • Its purpose is to make sure that estate agents act in the best interests of their clients, and that both buyers and sellers are treated honestly, fairly, and promptly.
  • Estate agents who do not comply with the law, could be banned from working as an estate agent. If they ignore the ban, they could be prosecuted and fined.
26
Q

What does RICS Guidance Surveying Safely set out?

A

Good practice for management of health & safety for RICS regulated firms

27
Q

What must RICS regulated firms ensure they provide as part of the Surveying Safely RICS Guidance?

A
  • Safe working environment
  • Safe work equipment
  • Competent Staff
  • Fire Safety
  • Asbestos advice
28
Q

What does the Health & Safety at Work Act 1974 State?

A

Duty of every employer to ensure health, safety and welfare at work of all employees.

  • Policed by the HSE
  • Must report injuries and dangerous occurrences
  • Must undertake risk assessments
  • Definition of a hazard (anything that has potential to cause harm)
29
Q

What is included within a risk assessment?

A
  1. Identify Hazard
  2. Identify people at risk
  3. Evaluate risk, likelihood & severity
  4. Record findings
  5. Review assessment regularly
  6. Advise on mitigation measures
30
Q

What is included in the PPE at work regulations?

A

Ensure provision of appropriate PPE for employees (5 points, hard hat, high vis, gloves, glasses, boots)

31
Q

What is a method statement?

A

Details how a work should be / is going to be carried out. Including all hazards involved.

32
Q

What should a health & safety policy document contain?

A
  1. Commitment to Health & Safety
  2. Details of H&S structure
  3. Risk assessment
  4. Details of implementation
33
Q

What is in the “Six Pack” of H&S Regulations?

A

Introduced in 1993 covering aspects of H&S compliance. Clarify how employers must comply with duties under H&S at work act.

  1. Management of Health & Safety at work
  2. Display Screen Equipment
  3. PPE at work
34
Q

What does the RIDDOR stand for and what does it state?

A

Reporting of Injuries , Diseases and Dangerous Occurrences Regulations 2013

  • Over 7 days away from work, then must be reported to HSE within 15 days of accident
  • Accident book kept for 3 years
35
Q

What did the Fire Safety Act 2021 + Fire Safety Regs 2022 introduce?

A

Following Hackitt Review

  • FRA to be regularly updated
  • Responsible person to assess and manage fire risks
  • Evac plans to be updated
  • Fire service to allow to take enforcement against those who don’t comply
36
Q

What are EWS1 Forms?

A

Allows a ‘qualified professional’ to confirm that an external wall system in residential buildings has been assessed for safety

Required on buildings that are over 5/6 stories. Curtain Wall Glazing. Vertically stacked balconies.

37
Q

What are the three types of asbestos?

A
  1. Brown
  2. White
  3. Blue
38
Q

What are the two types of asbestos surveys?

A
  1. Management Survey (locate, assess and advise on management - do not touch)
  2. Refurb / Demo Survey (samples taken, required when demo, all work to be done by licensed contractor)
39
Q

What must a duty holder do in relation to asbestos?

A
  1. Duty holder to assess whether premises contain asbestos
  2. Encapsulation vs removal?
  3. Keep asbestos register which is available to all parties who might disturb and is reviewed regularly
40
Q

What is in the RICS Professional Standard, Asbestos 2021

A

Sets out best practice for property professionals:

  • Details of common asbestos containing materials
  • How to commission an asbestos survey
  • Suggested contents of an asbestos management plan
41
Q

What were the new U-Value requirements as part of Part L changes?

A

According to the updated Part L documents, the U values for new builds will be as follows:

Roofs: 0.11 W/m²K
Walls: 0.18 W/m²K
Floors: 0.13 W/m²K

42
Q

What is the Town and Country Planning (Development Management Procedure) (England) Order 2015?

A

Sets out procedures for development management in England. Runs through Pre-app process, planning applications, public consultation, planning conditions

43
Q

What is the Future Homes Standard 2025?

A

In 2025, compliance with the Future Homes Standard (FHS) will become mandatory. Its aim is to ensure that new homes built from 2025 will produce 75-80% less carbon emissions than homes built under the current Building Regulations.

44
Q

What was your advice to your client surrounding the changing building regs?

A

Submit an initial notice ahead of June 2022, in line with Transitional Provisions, and commence work before June 2023, then old regulations would apply

45
Q

What is Transitional Provision 10?

A

In Paragraph 10 of the circular letter released in December 2021, highlighted timescales of new building regs and the para 10 highlighted transitional arrangements

46
Q

Who else is a landowner of Elephant and Castle property?

A

The council own the long leasehold

47
Q

What if you don’t convene with Town and Country Planning regs?

A

Enforcement Notice, Stop Notice, £20,000 in magistrates and unlimited in higher

48
Q

What if CDM is breached?

A

Substantial fines including criminal and contractual litigation

HSE has power to prosecute duty holders

If death, then police involved

49
Q

What if you don’t follow BSA 2022?

A

Unlimited fine & imprisonment for up to 2 years

50
Q

Penalties with Bribery Act 2010?

A

Max prison sentence 10 years and unlimited fine for individuals

Unlimited fines for firms

51
Q

Who policies Bribery Act?

A

Serious Fraud Office

52
Q

Penalties if fail to follow ML, TF & ToF Regulations 2017?

A

Max 14 years prison sentence + unlimited fine for assisting with money laundering

Max 5 years for tipping someone off if they are under suspicion

53
Q

Who polices Data Protection act 2018?

A

Information Commissioners Office (ICO)

54
Q

Penalties for breaching Data Protection Act ?

A

Serious breach is 4% of global turnover or £17.5m. Whichever is greater.

55
Q

What came out of the Hackitt Review?

A
  • Stronger oversight of duty holders
  • Reassert the role of residents
  • New regs for HRBs (BSA 2022)
  • Duty holder responsibilities that align with CDM Regs
56
Q

What does Article 13 of the Town and Country Planning (Development Management Procedure) Order 2015 state?

A

That an applicant must notify any other owner of the land which the application relates to

57
Q

What is a leasehold?

A

Form of land or property tenure where a party buys the right to occupy land or a building for a given time. You may have to pay ground rent.

58
Q

What is freehold?

A

You own the building and the land it stands on outright, in perpetuity

59
Q

What is ground rent?

A

Charge paid from the leaseholder to the freeholder. Charging for renting out the land that the property sits on.

60
Q

Recent ground rent news? and what has that built on?

A

Recently Michael Gove has considered adjusting existing ground rent to a nominal peppercorn fee. Consultation just closed in Jan 2024. Won’t do this however, due to comments from treasury.

Building on Leasehold Reform (Ground Rent) Act 2022, which restricted ground rent to a peppercorn for most new residential leases

61
Q

What is included within an F10 form?

A
  • Number of workers on site
  • Number of different contractors
  • High level programme
62
Q

What were some of the pre-occupation conditions you had to ensure were satisfied?

A
  • HQM Verification
  • Internal & External Noise Compliance
  • Details of waste collection

RICS APC (13 decks)

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