Mandatories

Question 1

RICS Rules of Conduct?

Answer 1

Oct-21. Effective Feb-22.

1. Honesty and integrity
2. Competency
3. Good Quality & Diligent Service
4. Respect, Diversity & Inclusion
5. Take responsibility for actions and maintain public confidence

Question 2

Complaints Handling?

Answer 2

RICS Professional Standard: Complaints Handling 2016

• CHP must be approved by RICS
• Notify PII insurers asap if there’s a complaint that could lead to negligence claim
• CHP details issued to client at same time as terms of business
• CHP must include RICS-approved ADR mechanism
• Sole practitioner - nominate surveyor in another firm to act as Complaints Handling Officer

Question 3

Health & Safety - key legislation?

Answer 3

Health & Safety at Work Act 1974

• Duty of employers to ensure health, safety and welfare of employees
• Policed by Health & Safety Executive

Question 4

Health & Safety - RICS?

Answer 4

RICS Professional Standard: Surveying Safely - Health and Safety Principles for Property Professionals 2018

Good practice principles for management of H&S for RICS-regulated firms and members.

Key sections:
1. Personal responsibility (safe person)
2. Assessing hazards and risks (risk assessment)
3. Workplace H&S (provide safe environment)
4. Visiting premises and sites (lone working, condition of property)
5. Fire safety (training, evacuation plan)

Question 5

Conflicts of Interest?

Answer 5

RICS Professional Standard: Conflicts of Interest 2017

• Cannot advise where conflict of interest present, except where informed consent is provided
• Informed consent = best interests of all parties, transparent, client understands what they are doing
• RICS-regulated firms must have adequate system in place to check conflict of interest

Question 6

Conflict avoidance?

Answer 6

RICS Guidance Note: Conflicts of Interest for Members Acting as Dispute Resolvers 2020

• Must act impartially

Question 7

Data management - key legislation?

Answer 7

UK GDPR 2016 (replaced the EU GDPR in the UK post-Brexit)
* 8 rights (informed, erasure, restrict processing)
* Data security breaches - report to ICO 72 hours
* Breach = 4% turnover or £17.5m

Data Protection Act 2018 (supplements UK GDPR 2016)

Question 8

Inclusive Environments - Equality Act 2010?

Answer 8

Equality Act 2010

• 9 protected characteristics (sex, age, disability)
• 4 types of illegal discrimination (direct, indirect, harassment, victimisation)
• Requirement to make reasonable adjustments
• Reasonableness test: effectiveness and financial resource

Question 9

Inclusive Environments - Part M of the Building Act 1984?

Answer 9

Covers the access and use of buildings (updated 2015).

Split into two volumes (1) dwellings (2) non-dwellings