Mandatory Level One's

Question 1

Rules of conduct for firms

Answer 1

o 1. Interpretation –
 “providing a surveying service to the public” means acting to provide a service(s) considered by RICS to be within those which are the responsibility of RICS Professional Groups to professional, corporate, institutional and all other clients.
 “contact officer” means the individual designated by the Firm to be the main liaison point between the Firm and RICS and the person authorised by the Firm to submit the Firm’s annual return.
 “Firm” means
• The whole or part of any body corporate or
• A partnership or
• A limited liability partnership or
• An unincorporated practice of a sole practitioner concerned with the business of surveying or providing other related services, which is regulated by RICS or
• An equivalent in any of the world regions to any of the above.
o 2. Communication – RICS will communicate with Members by any of the following; post, fax, email, telephone, in person.
o 3. Professional behaviour – a Firm shall at all times act with integrity and avoid conflicts of interest and avoid any actions or situations that are inconsistent with its professional obligations.
o 4. Competence – a Firm shall carry out its professional work with due skill, care and diligence and with proper regard for the technical standards expected of it.
o 5. Service – A Firm shall carry out its professional work with expedition and with proper regard for standards of service and customer care expected of it.
o 6. Training and Continuing Professional Development (CPD) – A Firm shall have in place the necessary procedures to ensure that all its staff are properly trained and competent to do their work.
o 7. Complaints handling – A Firm shall operate a complaints-handling procedure and maintain a complaints log. The complaints-handling procedure must include an Alternative Dispute Resolution (ADR) mechanism that is approved by the Standards and Regulations Board.
o 8. Clients’ money – A Firm shall preserve the security of clients’ money entrusted to its care in the course of its practice or business.
o 9. Indemnity – A Firm shall ensure that all previous and current professional work is covered by adequate and appropriate indemnity cover which meets stands approved by the Standards and Regulation.
o 10. Advertising – A Firm shall promote its professional services only in a truthful and responsible manner.
o 11. Solvency – A Firm shall ensure that its finances are managed appropriately.
o 12. Arrangements to cover the incapacity or death of a sole practitioner – A Firm which has a sole principal (i.e. a sole practitioner or a sole director in a corporate practice) shall have in place appropriate arrangements in the event of that sole principal’s death or incapacity or other extended absences.
o 13. Use of designations – A Firm registered for regulation must display on its business literature, in accordance with the Standards and Regulation Board’s published policy on designations, a designation to denote that it is regulated by RICS.
o 14. Information to RICS – A Firm shall submit in a timely manner such information about its activities, and in such form, as the Standards and Regulation Board may reasonably require.
o 15. Cooperation – A Firm shall cooperate fully with RICS staff and any person appointed by the Standards and Regulations Board.

Question 2

RICS rules of Conduct for Members

Answer 2

o 1. Interpretation – “Member” means; Chartered Member, non-Chartered Member, Honorary Member or a member of the attached classes.
o 2. Communication – RICS will communicate with Members by any of the following; post, fax, email, telephone, in person.
o 3. Ethical behaviour – Members shall at all times act with integrity and avoid conflicts of interest and avoid any actions or situations that are inconsistent with their professional obligations.
o 4. Competence – Members shall carry out their professional work with due skill, care and diligence and with proper regard for the technical standards expected of them.
o 5. Service – Members shall carry out their professional work in a timely manner and with proper regard for standards of service and customer care expected of them.
o 6. Continuing professional development (CPD) – Members shall comply with RICS requirements in respects of continuing professional development.
o 7. Solvency – Members shall ensure that their personal and professional finances are managed appropriately.
o 8. Information to RICS – Members shall submit in a timely manner such information, and in such form, as the Standards and Regulation Board may reasonably require.
o 9. Cooperation – Members shall cooperate fully with RICS staff and any person appointed by the Standards and Regulation Board.

Question 3

• Latest version of RICS rules of Conduct for Members and Firms

Answer 3

Version 7 Effective 2 March 2020

Question 4

• What are the Global and Ethical Standards

Answer 4

o Act with integrity – honest and straightforward, trustworthy, transparent, respectful of confidentiality, declare conflict of interests, not bias, not taking advantage, not accepting unproportionate gifts, public interest in mind.
o Always provide a high standard of service – clients receive best possible advice and service, clarity of service required and provided, act within competence, transparent about fees, communicate to allow them to make informed decisions, pay others on time, encourage company to be fair to clients.
o Act in a way that promotes trust in the profession – both in professional and private life, promoting what you and the profession stand for (the highest standard globally), understand the affect your actions have on other and environment, fulfil your obligations, meet the spirit of the standards not just the letter.
o Treat others with respect – courtesy, politeness and consideration no matter their race religion size age nationality gender sexual orientation or disability. Be aware of cultural sensitivity and business practise. Fair and respectful treatment at centre of companies culture.
o Take responsibility – accountable for all actions, don’t blame others, act if you suspect something is wrong, act with skill care and diligence, respond to complaints professionally.

Question 5

Who are the RICS Presidential Team 2019/20?

Answer 5

Timothy Neal - RICS President
Kath Fontana - RICS President Elect
Clement Lau - Senior Vice President

Ann Grey - next years Senior Vice President

Question 6

Who is chair of the RICS governing council?

Answer 6

Chris Brooke

Question 7

Who is RICS Chief Executive Officer?

Answer 7

Sean Tompkins

Question 8

Who is RICS UK and Ireland Managing Director

Answer 8

Matthew Howell

Question 9

What are the RIBA Plan of Work 2020 stages

Answer 9

0. Strategic Definition - Client Requirements
1. Preparation and Brief - project brief agreed.
2. Concept Design - Architectural concept approved by client and aligned to project brief.
3. Spatial Coordination - architectural and engineering info aligned
4. Technical Design - all design information for construction completed.
5. Manufacturing and Construction - Manufacturing, construction and commissioning complete.
6. Handover - aftercare initiated.
7. Use - used, operated and maintained efficiently.

Question 10

What are the main forms of contract?

Answer 10

SBCC - Scottish Building Contracts Committee
JCT - Joint Contracts Tribunal
NEC - New Engineering Contract
ICE - Institution of Civil Engineers
FIDIC - International Federation of Consulting Engineers

Question 11

What does RIBA stand for?

Answer 11

Royal Institute of British Architects

Question 12

“Identifying Your Communication Style” Styles

Answer 12

o Action – Vocabulary is precise and contains figures, argument structured and concise, direct and to the point
o People – Vocabulary and argument based on emotions. Anecdotes used, few figures. Improvised. Takes reactions into account. Expressive and open.
o Idea – likes concepts, creative, produces lots of ideas. Passionate, lively body language, proactive.
o Process – systematically, offers proof/point of reference. Based on experience.

I’m action / process

Question 13

“Day to day negotiation for managers”

Answer 13

o Start – method and objectives clarified
o Consultation – active listening, paraphrasing, effective questioning
o Confrontation – differences expressed, relevance of argument
o Adjustment – argue your case (convince) by explaining, reasoning, values and constraints.
o Conclusion – fair agreement; reminder of agreement negotiated; congratulate yourselves; thank people
o Communication – establish a medium and long term relationship

Question 14

• 3 Different Modes of Communication

Answer 14

o Interpersonal – two way communication, spontaneous, active negotiation,
o Interpretive – one way communication, scripted, no negotiation,
o Presentational – one way communication, intended for an audience

Question 15

• When should an F10 be issued?

Answer 15

By client for work lasting longer than 30 days with more than 20 workers at same time or involving 500 person days of work.

Question 16

• What is the difference between Principal Designer and the CDM advisor?

Answer 16

PD is a legal role, CDM isn’t

Question 17

Define balance sheet.

Answer 17

Shows the value of everything the company owns, owes or is owed on the last day of the financial year.

Question 18

Define Profit and Loss Account

Answer 18

Shows the company sales, running costs, and profit or loss that it has made over a defined period.

Question 19

Define Cash Flow Statement

Answer 19

shows all cash inflows a company receives from operations and external investments, and all cash outflows that pay for business activities.

Question 20

• Three pillars of dispute resolution:

Answer 20

o Negotiation – problem solving effort of the parties.
o Mediation (Conciliation)– a third party intervention. Doesn’t lead to a binding decision.
o Adjudication – final decision determined by a third party who imposes a binding decision on the parties.

Question 21

• Three pillars of sustainability

Answer 21

o Social – ability of society, or any social system, to persistently achieve a good social well-being.
o Economic - requires that a business or country uses its resources efficiently and responsibly so that it can operate in a sustainable manner to consistently produce an operational profit.
o Environmental - that we are living within the means of our natural resources.

Question 22

• What are the main conflict avoidance processes?

Answer 22

o Good management – Proactive management. Proactivity, planning and managing future work create client confidence and allow problems to be analysed and managed.
o Clear contract documentation –
 capture specific detail of project
 Address particular circumstances and risks of project
 Identify risks and set out strategy for dealing with risk
o Partnering and alliancing
 Co-operation between project participants
 Teamwork, problem solving, emphasis on project delivery
o Good project management
 Proactively managing time, money and risk
 Address difficult issues
o Good client management
 Understand client objectives
 Understand client approach to risk
 Clear lines of communication
 Make client aware of issues within surveyor’s services under appointment. Discuss how to address these.
o Good constructor management
 Objective understanding of the project, contract and programme of works
 Regular objective assessments of progress and proactively deal with issues in surveyors remit.
 Problems and delays dealt with at time in proactive positive maaner
o Good design team management
 Provide info within the design team and readily to contractor
 Forward planning, not reactive
o Good payment practice
 Cashflow needed by design team and contractor
 Prompt valuation & payment
o Record keeping
 Resolve dispute by looking back on records taken
 Record labour, plant and materials
 Daily record of site activities + regular progress reports
o Regular reporting & Proactivity
 Regularly monitor cost, progress and quality
 Minutes, progress meetings, drop lines on programmes, photos
 Raise issues causing delay, increased cost, or quality problem

Question 23

• When was asbestos use banned in UK?

Answer 23

o	Chrysotile (White) asbestos in 1999
o	Crocidolite (Blue) and Amosite (Brown) in 1985

Question 24

• What properties does asbestos have?

Answer 24

o	Strong
o	Cheap
o	Available
o	Insulating
o	Fire resistant

Question 25

• How many people die a year from asbestos?

Answer 25

o 5000

o Construction is most at risk industry

Question 26

• What are the three common types of asbestos

Answer 26

o	Crocidolite (blue)
o	Amosite (brown)
o	Chrysotile (white)
o	Account for 98% of uk asbestos
o	Tremolite
o	Anthophyllite
o	Actinolite

Question 27

• What are the two structure types of asbestos?

Answer 27

o Serpentine. Just Chrysotile. Long wavey fibres weaved into materials for strength.
o Amphiboles. Short needle like fibres, can resist higher temperatures.

Question 28

• Different use of asbestos?

Answer 28

o Spray coatings – fire protection and acoustic insulation. High risk 85% asbestos
o Pipe lagging – thermal insulation. Varies between 10-85% asbestos
o Insulation Board – primarily ceiling tiles, thermal/acoustic insulation, 15-25%
o Cement products – roof and wall cladding, mostly chrysotile but can have crocidolite,10-15%
o Texture coatings, chrysotile 3-5%, decorative finish, get hotspots because of hand mixing
o Floor materials, generally 7% chrysotile, can include adhesive.

Question 29

• Asbestos surveyor must have?

Answer 29

o P402 qualification and have relevant experience in the type of building they are surveying.
o Must have insurance, particularly professional indemnity
o Must use UKAS accredited lab for sampling
o Don’t necessarily have to be UKAS accredited surveying company

Question 30

• What the two types of asbestos survey:

Answer 30

o Asbestos management survey – legal requirement for all non-domestic properties built pre-2000. Identifies where asbestos is or could be in a building, assumes worse case if can’t get access. Includes sampling and then a scoring matrix is provided to advise how to manage the asbestos.
o Refurbishment and Demolition Survey. Required where refurbishment and demolition work is to be carried out. Where ever the tradesman is going to go the asbestos surveyor needs to go first so it is highly intrusive. The room/building shouldn’t be reoccupied after the survey prior to the works.

Question 31

• What information is required in an asbestos report?

Answer 31

Executive summary
o Scope of works
o General site information
o Details of samples location and material assessment s for each product
o Conclusion and actions
o Bulk analysis report from the UKAS lab
o Ideally site plan showing location of sample points

Question 32

What is an asbestos management plan?

Answer 32

• Asbestos Management plan takes account of the risk score from the survey and combines with the likelihood of disturbance to define whether you remove, leave, enclose the asbestos and how often you check on the asbestos.
o For small units asbestos management survey can be used as the plan.

Question 33

• ACM?

Answer 33

Asbestos containing material

• Heavily used in 50’s, 60’s, 70’s

Question 34

• What are the two types of asbestos contractor?

Answer 34

o Non-licensed contractor
o Licenced contractor – has to submit an asv5 document along with method statement and risk assessment to HSE 14 days in advance of arriving on site.

Question 35

• Information required from asbestos contractor?

Answer 35

o	Quote including scope of work
o	Relevant Insurance
o	Experience in similar projects
o	Check licensed (HSE licence for licensed asbestos removal)
o	SEPA Waste Carriers Licence
o	Method Statement and Risk Assessment

Question 36

• What are the asbestos regs?

Answer 36

o Control of Asbestos Regulations 2012

Question 37

• How has the Norwhich Goldsmith Street development achieved 70% reduction in annual energy costs?

Answer 37

o Passive house standard
o Airtight
o Highly insulated
o No letter boxes in front doors
o Use of communal space-works towards social gains of sustainable design
o Building position and orientation to utilise solar gain in the winter.
o Most of the houses face south for natural lighting.
o Shading to prevent solar gain in summer
o Claims to be the largest passive house scheme in the UK

Question 38

• What are the criteria for Passive house?

Answer 38

o Space Heating – not exceed 15kWh/m2 per year
o Primary energy – heating , hot water, electricity not exceed 60 kWh/m2 per year
o Airtightness less than 0.6 air changes per hour
o Thermal comfort – Can’t exceed 25oC for more than 10% of year.

Question 39

• CDM – What duties do clients have?

Answer 39

o 1. Appoint the right people at the right time – If more than one contractor is involved then appoint a principal designer and principal contractor as early as possible.
 PD – plan, manage and coordinate the planning and design work.
 PC – plan, manage and coordinate the construction work.
o 2. Ensure there are arrangements in place for managing and organising the project.
o 3. Allow adequate time – for design, planning and construction to be done properly.
o 4. Provide Pre-Construction Information to your designer and contractor – as soon as possible: what is to be built, known hazards. Put together client brief.
o 5. Communicate with your designer and contractor – in design and construction phases.
o 6. Ensure adequate welfare facilities on site – toilets, washing facilities with hot water, drinking water, changing rooms and lockers (with drying facility), heated rest facilities (means of heating food and water).
o 7. Ensure construction phase plan is in place – PC to draw up plan explaining how health and safety risks will be managed. Should be proportionate to scale of the work. Client not to allow work to start until this is in place.
o 8. Keep health and safety file – PC will give client the health and safety file. Make it available to anyone maintaining or altering the property. Update it where necessary.
o 9. Protecting members of the public, including employees.
o 10. Ensure work places are designed correctly – if building a new workplace or altering an existing one.

Question 40

• Government asked HSE (Health and Safety Executive) to establish a new building safety regulator in wake of Grenfell Tower disaster and recommendations in the “Building a Safer Future” report by Dame Judith Hackitt.

Answer 40

o Implement a new, more stringent regulatory regime for high risk residential buildings
o Promote competence among industry professionals and regulators
o Oversee performance systems of buildings – one regulator for building performance and safety.
o Dame Judith Hackitt will chair board to oversee the transition
o In shadow form, then fully established following legislation. Had first meeting in feb 2020

Question 41

What are the main health and safety rules in the UK?

Answer 41

• Construction Design Management Regulations 2015
o All projects fall under the CDM regulations regardless of size and duration.
o Any project that involves more than one contractor must have a principal designer and principal contractor appointed.
o All projects must have a construction phase plan.

Question 42

Where there is more than one contractor, or if it is reasonably
foreseeable that more than one contractor will be working on a project at any time

Answer 42

the client must appoint in writing—
(a) a designer with control over the pre-construction phase as principal
designer; and
(b) a contractor as principal contractor.
(2) The appointments must be made as soon as is practicable, and in any
event, before the construction phase begins.
(3) If the client fails to appoint a principal designer, the client must fulfil the
duties of the principal designer in regulations 11 and 12.
(4) If the client fails to appoint a principal contractor, the client must fulfil the
duties of the principal contractor in regulations 12 to 14.

Question 43

What must a principal designer do?

Answer 43

o Planning, managing, monitoring and coordinating the pre-construction phase
o Identifying, eliminating, reduce or controlling foreseeable risks – work with designers to prevent significant risk during construction or maintenance.
o Ensuring coordination and cooperation – between parties in pre-construction phase. Designers provide necessary information, particularly if risk can’t be eliminated.
o Providing pre-construction information
o Liaising with the principal contractor
o arrange a handover of the health and safety file to the principal contractor and make them aware of any issues to take into account when reviewing, updating and completing it.

Question 44

• What must a principal contractor do?

Answer 44

o Planning, managing, monitoring and coordinating the construction phase
o Providing suitable site inductions
o Preventing unauthorised access to the site
o Providing welfare facilities
o Liaising with the principal designer
o consult and engage with workers

Question 45

• Under CDM what must contractors do?

Answer 45

o Plan, manage and monitor construction work under their control
o For projects involving more than one contractor, coordinate their activities with others in the project team
o For single-contractor projects, prepare a construction phase plan.

Question 46

• Under CDM what must workers do?

Answer 46

o be consulted about matters which affect their health, safety and welfare
o take care of their own health and safety and others who may be affected by their actions
o report anything they see which is likely to endanger either their own or others’ health and safety
o cooperate with their employer, fellow workers, contractors and other dutyholders.

Question 47

How many bye-laws are there?

Answer 47

10

Question 48

What guidance have you seen relating to covid-19

Answer 48

Construction Leadership Council - contractual best practice guidance. Avoid dispute. Meet without prejudice to discuss. Allow reasonable extension of time. Consider detailing costs incurred and sharing costs on an open book basis.

Question 49

• RICS Professional Indemnity Insurance Requirements version?

Answer 49

o Version 7 Effective 1st May 2020

Question 50

What are the minimum Professional Indemnity Insurance levels required by regulated firms

Answer 50

Turnover Minimum Limit of Indemnity
£100,000 or less £250,000
£100,000 to £200,000 £500,000
£200,001 and above £1,000,000

Question 51

• What are the maximum levels of uninsured excess?

Answer 51

Limit of Indemnity Max uninsured excess
Up to £500,000 2.5% of sum insured or £10,000
Over £500,000 2.5% of sum insured

Question 52

• PI Insurance must?

Answer 52

o Meet minimum cover levels
o Meet max excess
o Be fully retroactive – covers all former work carried out
o Underwritten by a listed insurer
o Cover for past and present employees
o Fire safety exclusions permitted. Limited cover currently available for fire safety.
o Run-off cover for minimum of 6 years.
o Run-off Pool – for those who can’t get run-off cover

Question 53

• What is the relevant PII case law?

Answer 53

o Merrett v Babb 2001
 Surveyor gave advise on the valuation of a property and signed it in his name rather than for and on behalf of the company
 Company went into administration and therefore didn’t have a policy
 sued as an individual
 RICS stepped in to support him, now member support service – fighting fund for this in future.

Question 54

• What is the current version for “Rules for the registration of firms”?

Answer 54

o Version 6 with effect from 1 April 2020

Question 55

• When is a Firm required to register for regulation by RICS?

Answer 55

o The Firm provides surveying services to the public
o The Firm is operating in Regulated Area A (UK)
o At least 50% of the Firm’s Principals are RICS Members.

Question 56

• When may a Firm who is not required to do so register for regulation by RICS?

Answer 56

o the Firm provides surveying services to the public; and
o at least 25% of the Firm’s Principals are RICS Members

o a Regulated Practice Division may be set up for a department that meets the above and has autonomy to manage its self.

Question 57

• What is the role of a Responsible Principal?

Answer 57

o Ensures the Firm implements policies to comply with RICS standards and codes of conduct are followed
o Ensures compliance with legal duties
o Ensure info to RICS is truthful and kept up to date.
o Ensures processes to record failings to comply with RICS standards and codes of conduct

Question 58

• What information is required for registration of a firm?

Answer 58

o	Name of firm
o	Nature of clients businesses
o	Services delivered
o	Are you providing registered valuer services
o	Do you deal with clients money
o	Need to confirm that you have a complaints handling procedure
o	Contact officer – generally a member
o	Date firm was registered 
o	Address
o	Contact details
o	Name of principals
o	Responsible principal

Question 59

• Different examples of communication

Answer 59

o Oral – phone, face to face, meeting
o Written – report, email, letter, contract
o Presentational – lecture, client pitch, marked out
o Graphic – CAD, photographs, drawings, maps

Question 60

• What items are found in a balance sheet:

Answer 60

o fixed assests; building, land, equipment, good will, long term investments
o current assets; stock, work in progress, money owed by customers, cash in hand or at the bank, pre payments e.g advanced rent.
o Current liabilities; money owed to suppliers, short term loans, taxes due at year end, wages
o Long term liabilities; long term finance agreements, share capital.

Question 61

• What items are found on a profit and loss account:

Answer 61

o Expenditure: Purchases, Wages, Utility bills, rent, insurance, interest on loan, stationary, travel, pensions contribution,
o Income: rent, commissioned earnings, interest on money in account, income from investment.

Question 62

• Company account requirements as stated by companies house:

Answer 62

o Entries showing all money received and expended by the company
o A record of the assets and liabilities of the company
o If dealing in goods – statement of stock held,
o Balance sheet signed by director.
o Private company records for 3 years, public for 6.
o All private limited companies and public companies must file their accounts at companies house.

Question 63

• Audit exemption: must be classed as small company or micro entities

Answer 63

o Turnover not more than £10.2 million
o Profit not more than £5.1 million
o Employ not more than 50 employees
o Must be audited if member(s) holding more than 10% share insist or 10% of members insist.

Question 64

• Taxation:

Answer 64

o	Sole traders – Pays income tack after personal allowance (£12,500) on all profit 19% up £14,585, 20% £14,586 - £25,158, 21% £25,159-£43,430, 41% £43,431 - £150,000, 46% thereafter.
o	Limited company 19% on all profit. Directors can then take minimum salary with class 1 national insurance and take dividens first £2k without dividend tax. Basic rate tax band 7.5%, Higher Rate 32.5%, Additional rate 38.1%

Question 65

• 5 Principles of Better Regulation purpose?

Answer 65

Provide the standards by which regulators should investigate members and firms

Question 66

• What are the 5 Principles of Better Regulation?

Answer 66

o Proportionality
 Regulators should only intervene when necessary
 Remedies/enforcement should be appropriate to the risk
 Educate rather than punish
o Accountability
 Regulators must be able to justify decisions and subject to public scrutiny
 Proposals published, all those affected consulted before decision
 Clearly explain how and why final decision reached
 Clear appeals process
o Consistency
 Rules and standards must be joined up and implemented fairly
 Regulators consistent with each other
o Targeting
 Regulations should focus on the problem
 Those regulated given flexibility to meet requirements
 Focus on those whose activities give rise to the highest risks.
o Transparency
 Regulators should be open and keep regulations simple and user friendly.
 Guidance in simple language.
 Consequences of non-compliance made clear.

Question 67

What do RICS Professional Statements do?

Answer 67

Mandatory document. Set mandatory requirements/rules which RICS members/firms must adhere to.

Members includes associates and apc candidates

Question 68

What is the current version and document type of RICS Conflicts of Interest

Answer 68

1st edition March 2017, effective 1st January 2018

Professional Statement

Question 69

What are the 3 types of conflict of interest?

Answer 69

o Party conflict – situation where a firm is working in the interest of one client and is then asked to work for another client on the same or related professional assignment
o Own Interest Conflict – situation were duty to work in interest of client conflicts with that member/firms personal interest.
o Confidential Information Conflict – duty to provide material information to one client and duty to another client to keep the same information confidential.

Question 70

• When should a firm not proceed with work in relation to conflict of interest?

Answer 70

o Where there is a conflict of interest or
o Where there is risk of one occurring
o Unless informed consent has been obtained prior to the commission beginning.

Question 71

• What is informed consent?

Answer 71

o Permission obtained by all parties to proceed having disclosed the conflict prior to action
o Must be in the interest of all parties to proceed
o Must not be prohibited by law

Question 72

• How do you mitigate a conflict of interest?

Answer 72

o Declare it when it occurs
o Keep a record of all clients and the nature of the work done
o Ensure record is checked before proceeding with any commission

Question 73

• What is required to set up your own surveying firm what information would you need to tell RICS?

Answer 73

o	Firm information
	Name of firm
	Firms address
	Name of partners
	Staff numbers
o	Professional indemnity insurance
o	Complaints handling procedure and alternative dispute resolution measures
o	Locum arrangements
o	Training policy
o	Continuing Professional Development policy
o	Clients’ money procedure

Question 74

• What are the CPD requirements for members?

Answer 74

o Minimum of 20 hours each calendar year
o 10 hours must be formal
o Members must maintain a relevant and current understanding of professional and ethical standards within 3 years
o Members must record cpd by 31 January the following year.

Question 75

• Firms requirements regarding CPD and training?

Answer 75

o Competence – a firm shall carry out its work with due skill, care and diligence and regard for technical standards
o Training – a firm shall have in place procedures to ensure all staff are properly trained and competent
 Active involvement in staff training
 Good appraisal to identify training need
 Competent staff attract customers
 Competence defends negligence
 Training/career development attract high caliber of staff and retain them

Question 76

• What is the current version and status of RICS Surveying safely: health and safety principles for property professionals?

Answer 76

o 2nd edition November 2018 effective February 2019. Status Guidance Note

Question 77

• What does safe person mean?

Answer 77

o Individual assumes responsibility for; their own, their colleagues and others health and safety while at work.

Question 78

• Organisational safety responsibilities include?

Answer 78

o Selection - choose staff able to meet demands of their work activities
o Training – provide knowledge of hazards
o Information – to staff about risks and control measures applicable
o Equipment – provide staff with suitable safety equipment
o Safe systems of work
o Instruction – regarding work activities, equipment, safe systems of work
o Supervision - support and communicate
o Personal protective equipment – provide staff with suitable PPE

Question 79

• Individual safety responsibilities include?

Answer 79

o Performance – being competent for activity
o Control – work within systems of work
o Adaptability – recognise and adapt to changes in circumstances
o Vigilance –at all times of your own, colleagues and others safety
o Awareness – recognise own abilities and limitations
o Teamwork – effectively

Question 80

• What is the hierarchy of risk control?

Answer 80

o Elimination e.g. drone for roof inspection instead of working at height.
o Substitution e.g. prefabricate rather than welding on site
o Engineering controls e.g. lifting aids, scaffolding, ventilation/dust suppression
o Administrative controls – safe systems of work e.g. limit exposure time
o Personal protective equipment – last resort, train users.

Question 81

• Risk assessment should?

Answer 81

o	Identify hazards
o	Identify those effected
o	Evaluate the likelihood
o	Determine the risk level
o	Establish control method
o	Be recorded
o	Be dynamic
o	Reduce the risk as much as practicable
o	Be clear 
o	Supported by method statements
o	Be provided to all necessary personnel

Question 82

• Occupational health monitoring should manage:

Answer 82

o	work-related stress
o	health, well-being and mental health
o	violence, bullying and harassment
o	alcohol and drug misuse
o	musculoskeletal disorders (MSDs)
o	repetitive strain injuries (RSIs)
o	noise-induced hearing damage
o	asbestos
o	hazardous substances
o	cancer and other potentially relevant diseases
o	biosecurity e.g. food preparation facilities preventing contamination
o	new and expectant mothers
o	sun protection
o	environmental factors
o	health monitoring and health surveillance – allergies, asthma, eyesight
o	hand–arm vibration syndrome.

Question 83

• Matters to consider before visiting premises/site

Answer 83

o Travel to and from site
o Lone working
o Condition of property
o Occupation – if occupied are there access arrangements, any possible aggression
o Activity – of premises/site, consider hazards arising from activities e.g. noise in manufacturing.
o Site rules and welfare
o Roofs – is roof access necessary
o High structures – consider how to access if applicable
o Dangerous substances present – asbestos, radiation, gas
o Diseases present – clinical waste, needles, condoms, legionella.
o Special access – underground, abseiling
o Special risks – excavations, railways, plant room, telecom – radiation, confined spaces
o Access equipment – ladder, cherry picker
o PPE
o Weather consideration
o Personal matters – physical health, phobias

Question 84

• Hazards to consider once on site/premises

Answer 84

o Structural stability
o Sharp objects
o Roofs – safe access possible
o Unsafe atmosphere – gas, confined space without oxygen
o Live services
o Slips and trips
o Falls from height
o Hidden traps, ducts and openings
o Impact from other people – needles, animals, aggretion
o Contamination – asbestos, lead, water supply
o Rural environments – farming, ditches, animals
o Adverse weather
o Vermin and birds

Question 85

• Surveying safely fire requirements

Answer 85

o Assessment by competent person of
 Construction of building
 Fire protection encorporated in building
 Use of the property
 Those at risk – who access building; staff, public, contractors
 Fire loading – amount of combustible material on site
 Fire protection systems – smoke alarms, extinguishing equipment, maintenance of this
 Escape routes, emergency procedures
 Access for emergency responders
 Fire risk from neighbouring properties

Question 86

• RICS Members safety duties when instructing contractor

Answer 86

o Ensure competence
o Ensure insurance
o Look for professional body certification
o Consider the works required
o Provide information relating to site/property#
o Clarify health and safety requirements: working hours, disposal of waste, interaction with building occupiers
o Monitor work
o Ensure risks are controlled

Question 87

Hazards to consider once on site/premises

Answer 87

Structural stability
o Sharp objects
o Roofs – safe access possible
o Unsafe atmosphere – gas, confined space without oxygen
o Live services
o Slips and trips
o Falls from height
o Hidden traps, ducts and openings
o Impact from other people – needles, animals, aggretion
o Contamination – asbestos, lead, water supply
o Rural environments – farming, ditches, animals
o Adverse weather
o Vermin and birds

Question 88

• Your companies Complaints Handling Procedure

Answer 88

• Dealt with by the CEO/ Chair of management
• Appeals to complaints handling sub-committee
• Determined within 2 weeks
• Recorded immediately
• All complaints reported annually to management committee
• Referral to Citizens Advice Bureau

Question 89

What does DDA stand for?

Answer 89

Disability Discrimination Act ( DDA) 2005

Question 90

• What is Lionheart?

Answer 90

• An independent charity run by our professionals, for our professionals.
• Benevolent fund that offers confidential advice , information and other support to past and present members who are in difficulty.
• Services include: financial support, health and wellbeing, councelling, work related support and legal advice, help during sickness (you or loved one)

Question 91

• What is The John O’Halloran Initiative?

Answer 91

• Initiative to raise awareness of mental health issues

Question 92

What is ADR in terms of complaints handling

Answer 92

Alterntive disputes resolution redress mechanism

Question 93

• What is the law applicable to data?

Answer 93

• The General Data Protection Regulation (GDPR) 2018
 Covers data protection for individuals within the EU
• The Data Protection Act 2018 (DPA 2018) ensures standards set out in GDPR have effect in the UK.

Question 94

• What are the principals of GDPR?

Answer 94

• Processing data farely and lawfully – get consent
• Processing personal data for specified purposes
• Limit the amount of personal data you hold
• Keep personal data accurate and up to date
• Only retain data within a set timeframe
• Safeguard the rights of individuals – to obtain data held about them and what its used for, right to have this data deleted
• Information security – encryption, firewalls
• Limit transfer of data outside Eurpoean Economic Area

Question 95

• What is ISO 9001?

Answer 95

• An internationally recognised quality management system standard

Question 96

• Complaints handling procedure duty?

Answer 96

• Regulated firms must have one
• Must have an ADR redress mechanism
 Must be approved by Standards & Regulation Board
• Effective procedure for clients and those who you have a duty of care
• An expression of dissatisfaction – doesn’t have to be fair/valid
• Guidance Note

Question 97

• Complaints handling policy should include?

Answer 97

•	Be fit for purpose
•	Available and understood by staff
•	Policy to be shared with complainants
•	Reviewed regularly
•	Agreed with PII broker
•	Provide details of ADR
•	Process
	Understand complaint
	Record all details
	Establish who complainant is
	Consider data protection
	Apologise
	Evaluate if you need to inform PII
	Evaluate a complaint
	Offer resolution
	Refer to ADR is still dissatisfied - Property ombudsmen 
	Record outcome
•	Can’t charge for business to consumer complaint in UK
•	Respond to receipt of complaint asap
•	Respond/update by max of 28 days