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QS APC > Mandatory Questions - TARGETTED > Flashcards

Mandatory Questions - TARGETTED Flashcards

1
Q

What is an alliance?

A
  • An alliance an agreement where the parties involved agree to act in good faith and to collaborate to achieve a common goal.
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2
Q

What is partnering?

A
  • Partnering is a management approach used by two or more organisations to achieve specific business objectives by maximising the effectiveness of each participant’s resources.
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3
Q

What are the core professional obligations for members?

A
  • Must comply with CPD requirements;
  • Must co-operate with the RICS
  • Must promptly provide all information reasonably requested by the Standards and Regulation board.
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4
Q

What are the core professional obligations for firms?

A
  • Firms must publish a complaints handling procedure and maintain a log;
  • PI must be in place that meets the standards approved by the RICS
  • Principal must make arrangements for their work to continue in the event of incapacity, death or absence;
  • Must co-operate with RICS
  • Must provide all information to Standards and Regulation board.
  • Firms must display that they are regulated by the RICS
  • Firms must report any matter that they are required to report under the registration for Firms.
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5
Q

What are the different types of New Rules of Measurement?

A
  • NRM 1: Order of cost estimating and cost planning for capital building works;
  • NRM 2: Detailed measurement for building works
  • NRM 3: Order of cost estimating and cost planning for building maintenance works
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6
Q

Tell me about Testing and Commissioning

A
  • Testing and commissioning is to be carried out on all installations to ensure that they are safe and meet the design requirements.
  • Testing and commissioning ensures optimum performance and conformity with the design specification; the result is maximum comfort and efficiency with minimal energy, maintenance and life cycle costs.
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7
Q

What are the payment terms under the Housing Rights and Grants Act?

A
  • The due date for payment is when the claim is made by the payee or if no claim is made within thirty days of the works being completed.
  • A payment notice must be provided five days after the due date.
  • The final date for payment is 17 days after the due date.
  • Pay less is 7 days before the final date for payment.
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8
Q

What is a key piece of legislation for Sub-Contractors and Payment?

A
  • Housing, Grants, Construction and Regeneration Act (HGCRA) 1996 and;
  • The Scheme for Construction Contracts
  • Local Democracy, Economic Development and Construction Act 2009
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9
Q

What does the HGCRA 1996 do?

A
  • It is intended to ensure that payments are made promptly throughout the supply chain and that disputes are resolved swiftly.
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10
Q

Tell me about time barring under the NEC?

A
  • Clause 61.3 provides that, if the contractor does not notify a compensation event within eight weeks of becoming aware of the event, he is simply not entitled to compensation under the contract.
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11
Q

When was the NEC 2 introduced?

A
  • 1995 and was taken over by NEC3.
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12
Q

When was the NEC 3 introduced?

A
  • 2005 but was amended in 2013.
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13
Q

When was the NEC 4 introduced?

A
  • 2017.
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14
Q

Difference between NEC 2 and NEC 3?

A
  • Termination was introduced
  • Option F was introduced
  • Dispute resolution was clearly introduced in NEC 3 (Options W1 & W2)
  • No mention of the Housing Rights and Grants Act at NEC 2
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15
Q

What is the difference between NEC 3 and NEC 4?

A
  • Introduction of a Professional Services and Term
  • Clause 28 – Assignment - transferring of rights to another party
  • Clause 29 – Disclosure - publicise the works without the client’s agreement.
  • A dispute can only be referred to adjudication if it has first been referred to the Senior Representatives
  • NEC 4 now gender neutral
  • Employer has become ‘Client’ and Works Information’ becomes ‘Scope’
  • Risk Register is now Early Warning Register
  • There is now an alliance contract.
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16
Q

What are the different options under the NEC?

A
  • Option A: Priced contract with activity schedule.
    o Lump Sum
    o Payment on completion of defined activities
    o Suitable for traditional or D&B.
  • Option B: Priced contract with bill of quantities.
    o Contractor is entitled to be paid interim payment based on percentage of each BoQ item.
  • Option C: Target contract with activity schedule.
    o Target cost set by activity schedule
    o Target moves with compensation events
    o Option C uses pain/Gain mechanism to share risk.
  • Option D: Target contract with bill of quantities.
    o Target set by BoQ
    o Target moves with CE’s
    o Uses pain/Gain mechanism to share risk.
  • Option E: Cost reimbursable contract.
    o Cost plus – actual costs plus pre-agreed overhead.
    o Option E used when scope cannot be clearly defined.
  • Option F: Management contract.
    o Works designed/constructed by multiple sub-contractors
    o Financial risk taken by the Client.
  • Option G: Term contract
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17
Q

What is the pain/gain mechanism?

A
  • The financial risks are shared between the client and the contractor in an agreed proportion.
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18
Q

What are the different types of JCT contract?

A
  • Standard Building Contract.
  • Intermediate Building Contract.
  • Minor Works Building Contract.
  • Major Project Construction Contract.
  • Design and Build Contract.
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19
Q

What are the key differences between the NEC and JCT contract?

A
  • Provisional sums – JCT contains, NEC does not
  • Payment terms under JCT clear cut, NEC appears in 3 different locations;
  • JCT contains comprehensive detail on insurance, NEC detail is brief.
  • The QS is not mentioned in the NEC, just project manager
  • JCT: Variations, NEC: Compensation Events
  • NEC operates ‘Early Warning Process’
  • NEC – programme is a contract document, in JCT it is not.
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20
Q

Who is the current RICS president?

A

Clements Lau

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21
Q

Who is the RICS CEO?

A

Richard Collins

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22
Q

What is the role of the RICS?

A

The Royal Institution of Chartered Surveyors promotes and enforces the highest professional qualifications and standards in the development and management of land, real estate, construction and infrastructure

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23
Q

What is the benefit of RICS membership/ Why do you want to be a MRICS?

A
  • The RICS qualification denotes integrity, transparency and excellence in the built environment.
  • I feel that this would definitely install confidence in clients, stakeholders etc.
  • I would get support and access to other professionals and can work to the best practices in the industry and ensure consistency whilst developing myself.
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24
Q

What are the RICS five rules of conduct? (RISTR!! Respect, Integrity, Service, Trust, Responsibility)

A
  1. Members and firms must be honest, act with integrity and comply with their professional obligations, including obligations to RICS
  2. Members and firms must maintain their professional competence and ensure that services are provided by competent individuals who have the necessary expertise
  3. Members and firms must provide good-quality and diligent service.
  4. Members and firms must treat others with respect and encourage diversity and inclusion.
  5. Members and firms must act in the public interest, take responsibility for their actions and act to prevent harm and maintain public confidence in the profession.
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25
Q

What is the difference between ethics and integrity?

A

Ethics – Moral principles which govern a person’s behaviour (big picture)
Integrity – being honest and having strong moral principles and values (personal characteristics)

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26
Q

What are the RICS professional standards and their status?

A
  1. Professional statements – mandatory requirements
  2. Guidance notes – are should/best practice
  3. APC – Requirements to entry to the profession
  4. Data standards – software must adopt RICS standards into offering.
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27
Q

What is a bribe?

A
  • Is a payment or reward offered for any commercial or personal advantage.
  • Example: Rugby tickets offered before tendering for a big job.
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28
Q

What is the bribery act 2010?

A
  • It contains 4 main offences:
    o Bribing another person
    o Being bribed
    o Bribing a foreign official
    o Failure by an organisation to prevent bribery
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29
Q

What are the 6 Principles of the Bribery act?

A
  1. Proportionality – is it proportionate to the risk and size of organisation?
  2. Top level commitment – Those in top level positions are best placed to ensure an organisation conducts business without bribery
  3. Risk Assessments – A risk assessment shows the nature or extent of the exposure to bribery
  4. Due diligence – Procedures must be applied, taking a proportionate and risk based approach
  5. Communication – Employers to communicate their policies and provide training etc.
  6. Monitor and review – organisations should monitor and review procedures and policies
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30
Q

Who does the Bribery Act apply to?

A
  • Any British citizen, anywhere in the world
  • A British associate with a connection, through business, to the UK who conducts an offence
  • An organisation incorporated in the UK who has committed bribery anywhere in the world
  • An organisation or partnership; that has carried out business in the UK
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31
Q

How do you comply with the bribery act?

A
  • My company has bribery and corruption policies, I strictly adhere to these;
  • I report any act of bribery to the Serious Fraud Office or National Crime Agency
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32
Q

What are the potential consequences for not adhering to the bribery act?

A
  • 10 years imprisonment
  • Unlimited fine for both individuals and businesses
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33
Q

What is money laundering?

A
  • Turning dirty money, clean.
  • For example, money which has been gained from drugs – but has gone through a business to appear like it has come from legitimate sources.
  • Hot topic on this is: Housing market and solicitors
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34
Q

How do you report suspicious behaviour?

A
  • Submit an SRA (Suspicious Activity Report) to the National Crime Agency
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35
Q

What is corruption?

A
  • The abuse of power for private gain
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36
Q

What is a price fixing cartel?

A
  • A collection of businesses that act together and fix prices for goods and services they produce
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37
Q

What is terrorist financing?

A
  • A collection of funds to support terrorist acts
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38
Q

What is a facilitation payment?

A
  • A payment made to a government official that acts as an incentive to complete an action or process that benefits the party making the payment.
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39
Q

What does CPD stand for?

A

Continued Professional Development

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40
Q

How do you record CPD?

A
  • Can be recorded on the RICS’ website or app
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41
Q

How do you define between informal and formal CPD?

A
  • Informal – self managed learning like private study, informal seminars
  • Formal – structured learning with objectives and outcomes like course etc.
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42
Q

How will you go about selecting your CPD?

A
  • Consider weak areas which limit my knowledge
  • Consider hot topics etc.
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43
Q

How do you keep up with topical issues?

A
  • Modus in the first instance
  • On mailing lists of CPD providers
  • Read construction news
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44
Q

What tool is available to decide if CPD is formal or informal?

A
  • CPD decision tree
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45
Q

What is Lion Heart?

A
  • LionHeart is a charity for RICS professionals, past and present, and their families.
  • Supports wellbeing, financial support, counselling and your career for example.
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46
Q

What is RICS Matrics?

A
  • A network which supports new members entering the profession
  • Run award ceremonies like ‘Young Surveyor of the Year’
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47
Q

What is the RICS black book?

A

A suite of guidance notes that define good technical standards for QS’

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48
Q

Is there any RICS guidance on Conflicts of Interest?

A

Conflicts of interest, 1st Edition, March 2017

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49
Q

What is a conflict of interest?

A
  • A situation where there many be an actual, perceived or potential risk that the professional judgement of the RICS member will be compromised when undertaking an assignment.
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50
Q

Can you name 3 types of conflict outlined in the 2017 professional statement?

A
  1. Confidential Information Conflict – the need to give one information to one client and the need to keep that same information confidential to anther client. Can I pass the information on or not?
  2. Own Interest Conflict – Acting in the interests of a client, but those interests conflict with the RICS member/firm
  3. Party Conflict – Acting in the interests of a client but those interests conflict with the duty of a client.
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51
Q

What Bye Laws are you aware of?

A
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52
Q

What is Modern Slavery?

A
  • It is the illegal exploitation of people for personal or commercial gain
  • Covers sexual exploitation, criminal exploitation, organ harvesting, forced labour
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53
Q

What is the legislation for Modern Slavery?

A
  • Modern Slavery Act 2015
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54
Q

What are some examples of Modern Slavery?

A
  • Forced labour
  • Forced marriage
  • Child slavery
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55
Q

How would you report Modern Slavery?

A
  • Call the modern slavery helpline or the police
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56
Q

What is a Professional Indemnity Insurance?

A
  • Covers the policy holder for the costs of legal action made against them in respect of financial loss due to negligence, error or omission in professional advice or services.
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57
Q

What is the RICS guidance on PII Requirements?

A
  • UK professional Indemnity Insurance Requirements – Version 9 from 1st April 22.
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58
Q

What is the purpose of indemnity insurance?

A
  • Ensures that if the firm faces a claim, it is protected against financial loss
  • Protects insured members against consequences of its liability to pay damages to third parties for breaches of professional duty
  • Ensures that the firms clients do not suffer financial loss which the firm cannot meet
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59
Q

What is the difference between ‘any one claim’ and ‘aggregate policies?

A
  • Aggregate – covers up to the full limit for all claims made in the period of insurance.
  • Example: £100k cover in the aggregate but two £100k claims are made – only £100k would be paid and £100k would need to be paid by others (up to the limit of the insurance)
  • Any one claim – Provides cover limit for EACH individual claim made in the period of insurance
  • Example: If the any one claim limit is £100k and 6 claims are made, the insurer would only cover up to £100k limit but would pay for all (totalling £600k)
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60
Q

What are the minimum limits of indemnity?

A
  • Turnover £100k or less - £250k minimum limit of indemnity
  • Turnover £100,001k to 200k - £500k minimum limit of indemnity
  • Turnover £200,001k plus - £1m minimum limit of indemnity
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61
Q

What is the maximum level of uninsured excess?

A
  • Turnover £10m or less – The greater of 2.5% of sum insured or £10k
  • Turnover £10,000,001 plus – No limit set
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62
Q

What measures do you take to avoid PII claims?

A
  • Keep full detailed records of meetings and conversations;
  • Record recommendations and advice given
  • Follow RICS rules of conduct
  • Follow company procedures and policy
  • Do not advise outside of my specialism
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63
Q

What is professional indemnity insurance run off cover?

A
  • Run off cover, covers the historic liabilities of a business after it ceases to trade.
  • The policy covers legacy issues.
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64
Q

How long should run-off cover be in place?

A
  • Should be maintained for a minimum period of 6 years from the cessation of the practice.
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65
Q

What is a complaint?

A

An expression of dissatisfaction
- Complaints arise when expectations have not been met.

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66
Q

How do you deal with a complaint?

A
  1. Acknowledge the complaint;
  2. Notify the complaints handling manager
  3. Appoint a person to carry out the investigation
  4. Identify the outcome and course of action
  5. Formally respond to the client.
  6. If client is still unhappy, refer to independent dispute resolution.
  7. Inform the PI insurers
  8. Communicate lessons learnt internally
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67
Q

What is RICS guidance on complaint handling?

A

Complaints handling 1st edition, July 2016 (updated Jan 22)

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68
Q

How can complaints be avoided?

A
  • Setting out the clear expectations in the scope of works/appointment document
  • Communicating clearly and effectively with the client and stakeholders
  • Follow company procedure and policy
  • Follow RICS professional guidance and statements
  • Seek feedback and resolve issues as soon as they arise.
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69
Q

Professional Obligations by RICS members – Mandatory:

A
  1. Must comply with CPD requirements
  2. Must co-operate with the RICS
  3. Must provide all information requested by the regulation and standards board promptly.
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70
Q

Professional Obligations by RICS members – Mandatory:

A
  1. Must comply with CPD requirements
  2. Must co-operate with the RICS
  3. Must provide all information requested by the regulation and standards board promptly.
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71
Q

What do you understand by client care?

A
  • Continuous process of always understanding the clients’ requirements, suggestions and complaints at every stage of the process to enhance service delivery.
  • Can be done by:
    o Taking client feedback
    o Lessons learnt meetings
    o Client satisfaction questionnaires
    o Complaint handing procedures etc
    o Defining client brief.
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72
Q

What is a project stakeholder?

A
  • Someone/organisation who has an interest in the project.
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73
Q

Why is client care important?

A
  • Retain clients and secure repeated business.
  • Reduce likelihood of conflict
  • Maintain a strong reputation in the industry
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74
Q

How do you conduct yourself with a new client?

A
  • Be well mannered, well presented, respectful and friendly.
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75
Q

What is meant by the term soft landings?

A
  • Strategy to ensure the transition from construction to operation.
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76
Q

What is your company’s procedure for obtaining formal client feedback?

A
  • Client satisfaction surveys are issued at key project stages.
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77
Q

How do you act upon feedback from the Client?

A
  • Formally record feedback
  • Share positives and discuss how to improve on negatives
  • Review improvements in 6 months or another suitable period
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78
Q

What are KPIs?

A
  • Key Performance Indicators
  • Measure supply chain performance
  • Can be used to benchmark business performance
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79
Q

Can you provide examples of a KPI?

A
  • H&S scores
  • Use of local labour
  • Environmental scoring
  • Achieving programme milestones
  • Number of defects and snags.
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80
Q

How do you manage client expectations?

A
  • Agreeing on strategy, goals and timelines
  • Be open and honest
  • Be a good listener
  • Regularly communicate and address problems directly.
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81
Q

Can you define what communication is?

A
  • The imparting or exchanging of information by speaking, writing or any other way.
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82
Q

Can you define what negotiation is?

A
  • Discussions to reach a compromise and agreement.
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83
Q

What would indicate the success of a negotiation on a final account?

A
  • Both parties come away happy, costs agreed and within the client’s budget.
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84
Q

What is your negotiating style?

A
  • It depends upon the situation.
  • I aim to be collaborative and try to find a resolution where I can.
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85
Q

Can you give me an example of when you have successfully negotiated?

A
  • I successfully negotitated the final account of the Switchgear Sub-Contractor. I did this by assessing my position and issuing my comments to the Sub-Contractor along with my view on the account, the sub-contractor issued theirs and we met, presented each other’s position and agreed to settle at a certain figure which was palatable to both parties.
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86
Q

What are the main barriers to negotiation?

A
  • Lack of trust
  • Cultural differences
  • Lack of emotional intelligence
  • Communication problems.
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87
Q

What are the main barriers to communication?

A
  • Individual perceptions
  • Different time zones or locations
  • Language or cultural differences
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88
Q

What are the various forms of communication?

A
  • Oral – phone calls, reporting at meetings, staff presentation, contractor interviews public speaking, listening skills.
  • Written – Letters, emails, written reports, drawings and specifications
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89
Q

What are the most common contractual obligations?

A
  • In my opinion, these would be:
    o Variations/changes clause
    o Extension of time clauses
    o Payment clauses
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90
Q

What is the RICS guidance note on H&S?

A

Surveying safely: health and safety principles for property professionals
2nd edition, November 2018

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91
Q

What does the HSE do?

A
  • The Health and Safety Executive
  • They try to protect people’s health and safety by ensuring risks in the changing workplace are properly controlled
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92
Q

What are the key principles of COSHH?

A
  • The Control of Substances’ Hazardous to Health
  • Chemicals
  • Fumes, gasses, mists, vapours
  • Dusts etc.
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93
Q

What is the Considerate Contractors Scheme?

A
  • Independent organisation which aims to:
    o Promote construction
    o Deliver best practice in terms of site operations (cleanliness etc)
    o Delivering standards which benefit neighbourhoods and the community
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94
Q

What are the main assessment categories in the considerate contractors’ scheme?

A
  1. Care for appearance
  2. Respect the community
  3. Protect the environment
  4. Care about safety
  5. Value the workforce.
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95
Q

What is the Injury Free Environment course?

A
  • It is a course run by Skanska and encourages myself and colleagues to challenge my personal relationship to health and safety
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96
Q

What H&S hazards have you come across on your project?

A
  • Poor lighting
  • Manual handling
  • Slips/trips/falls
  • Working at Height
  • Noise
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97
Q

What does RAMS stand for?

A
  • Risk Assessment and Method Statement
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98
Q

What is a method statement?

A
  • A statement which details the way the work will be completed. Should outline the hazards and seriously consider safety
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99
Q

What is a Risk Assessment?

A
  • Identifying the hazard, measuring the risk and identify the method of reducing the risk.
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100
Q

What are the different types of PPE worn?

A
  • Hard hat
  • Gloves
  • Goggles
  • Mask
  • Clothing
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101
Q

Can you tell me the key legislation governing Health and Safety in the workplace in the UK?

A
  • The Health and Safety at Work Act 1974
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102
Q

What is the Health and Safety at Work act?

A
  • Is the basis of British health and safety law
  • The act sets out the general duties which employers have towards employees
  • Employers are the carry out risk assessments.
103
Q

What colour CSCS card do you have at the minute?

A
  • Construction Skills Certification Scheme – proves that someone is appropriately qualified.
  • A red Trainee card
104
Q

If you were to pass today and become a chartered QS, which CSCS card would you need?

A
  • I will need to update this to a black ‘Manager’ CSCS card.
105
Q

What is RIDDOR?

A
  • Reporting of Incidents Diseases and Dangerous Occurrences Regulations
  • Places duty on employers and self-employed people to report serious workplace accidents, occupational diseases and near misses.
106
Q

What Health and Safety Considerations do you take when you visit site?

A
  • I wear PPE
  • I attend site inductions
  • I adhere to site rules
  • I report any issues to on site management.
  • I let my manager know where I am going and who I am meeting.
107
Q

What hazards have you come across on your projects?

A
  • Slips, trips and falls,
  • Poor lighting
  • Noise
  • Working at height
  • Manual handling.
108
Q

What is the Asbestos Guidance Note?

A

Asbestos: legal requirements and best practice for property professionals – 4th Edt. 2021

109
Q

What do you do if you find asbestos on site?

A
  • Stop works immediately
  • Report it to the site manager
  • Asbestos will need to be tested by a competent person.
110
Q

How long is H&S data kept for?

A

forever – to monitor long term illnesses such as asbestosis

111
Q

What is a Construction Phase Health and Safety Plan?

A

It is used to demonstrate how a building will be built from a safety perspective.

112
Q

What are the main causes of long-term health issues?

A

breathing in dust and fumes.

113
Q

What Accident which kills most construction workers?

A

falls from height.

114
Q

What does the Beaufort Scale do?

A

– measures wind speed.

115
Q

If a member of the public has been injured, what do you do?

A

Report it to the HSE immediately.

116
Q

What is a prohibition notice?

A
  • A prohibition notice from the HSE requires works to stop straight away.
117
Q

What are the 3 Types of Asbestos?

A
  • Crocidolite, Amosite, Chrysotile.
118
Q

What are the different types of asbestos Survey?

A
  • Management Survey – Manage asbestos during normal occupation.
  • Refurbishment/Demolition Survey – Where the premises needs refurbishment, upgrading or removal.
119
Q

Where can asbestos be found?

A
  • Cement gutters, corrugated roofs, floor and ceiling tiles, lagging, soffits etc.
120
Q

What are the CDM Regulations?

A
  • The Construction (Design and Management) Regulations 2015
121
Q

What does the CDM regulations do?

A
  • Ensures clients, designers, contractors and others consider H&S of those constructing, maintaining and demolishing works.
  • Places a statutory duty on the client, principle designers etc to plan, manage and co-ordinate health and safety.
122
Q

Who are key duty holders under the CDM regulations?

A
  • Client
  • Commercial Clients
  • Domestic Clients
  • Principal Designer:
  • Principal Contractor:
  • Designers
  • Contractors
  • Workers
123
Q

What is an F10 Notification?

A

Form sent to HSE to notify of construction project – Issued by client/principal designer.

124
Q

When is a project notifiable (F10)?

A
  • A project is notifiable if works last longer than 30 days and have more than 20 workers at any same time, or exceeds 500 person days.
125
Q

What is a PCI?

A

Pre-Construction Information

126
Q

What is included within a PCI?

A
  • Includes description of work, environmental restrictions, design and construction hazards and health and safety file.
  • It is required at tender.
127
Q

What is a health and safety file?

A
  • Prepared and issued following the completion of construction works which contains information needed during future construction work.
  • It is essential for carrying out future works to alert people of H&S risks when planning and carrying out cleaning, maintenance, alteration or refurbishment works.
128
Q

What is included within a H&S file?

A

o H&S file should include:
 Description of work carried out
 Hazards associated with the materials used (coatings being burnt etc.)
 Information on how to remove or dismantle plant or equipment
 Nature, location and markings of significant services.
o H&S file should be passed on to the employer/end user.

129
Q

What is GAAP?

A
  • Generally Accepted Accounting Principles
  • are standards that encompass the details, complexities, and legalities of business and corporate accounting
130
Q

What are cash flow statements/cash flow forecast?

A
  • A cash flow forecast is a plan that shows how much money you expect the business to receive and pay out over a set period.
131
Q

What is a cash flow forecast used for?

A
  • Keeping track of overdue payments;
  • Plan for upcoming cash gaps
  • Manage surplus cash
  • Track whether spending is on target
  • Impact on future plans
132
Q

Why is cash flow important?

A
  • Can be used to estimate when external funding will be required.
  • Acts as a check against valuations and can give an indication of financial difficulties
  • Allows client to gain an understanding of their financial commitments
133
Q

What is a profit and loss statement/account?

A
  • Shows the companies Revenue and expenses over a particular period of time.
  • This shows either profit or loss
134
Q

What is the difference between a balance sheet and profit and loss account?

A
  • Balance sheet – financial snap shot showing financial position of a company
  • P&L – showing P&L over a specific period of time.
135
Q

What is a balance sheet?

A
  • A snapshot of a companies financial position at any given time
  • Reports on companies assets, liabilities and ownership equity.
136
Q

What is the Company Accounts and Companies Act 2006?

A
  • The Companies Act 2006 (CA 2006) requires directors to ensure that the annual accounts give a true and fair view.
137
Q

When was the Company Accounts and Companies Act introduced?

A
  • 2006
138
Q

Why is undertaking credit checks on companies important?

A
  • For assessing a companies financial health
  • For assessing a company’s financial stability
  • To aid in preparing company accounts within own practice.
139
Q

Can you tell me about Laing O’Rourke’s annual report?

A
  • Yes it was just released for year ended March 2022.
  • We have shown an increased group revenue to £3bn.
  • We have had a 1B increase to the global order book from £8bn to £9bn.
140
Q

What are the key financial statements/documents that companies produce?

A
  • Profit and loss account
  • Balance sheet
  • Cash flow forecast
141
Q

What is Management accounting?

A
  • Management accounting is presented internally. Accounts prepared for a lender to show how the business will repay a loan. Never shown externally.
142
Q

What is Financial Accounting?

A
  • providing information to stockholders, creditors, and others who are outside an organization.
143
Q

What is the difference between gross and net?

A
  • Gross: Amount before deductions
  • Net: Amount after deductions.
144
Q

What different types of tax affects businesses?

A
  • Corporation tax (tax paid by a business annually)
  • Capital Gains Tax for Businesses (when selling business assets)
  • Tax when buying shares
  • VAT
145
Q

What tools are used to ensure you are making a profit?

A
  • Timesheets
  • Fee/Cost reconciliation tools
  • Yearly Performance Reviews
  • Team Meetings
  • Director one-to-ones
146
Q

What is SWOT?

A
  • It stands for Strengths, Weaknesses, Opportunities and Threats and is an analysis technique which is used for businesses.
147
Q

What is PESTLE?

A
  • A PESTLE analysis studies the key external factors which businesses can consider. This covers:
  • Political, Economic, Sociological, Technological, Legal and Environmental.
148
Q

What is a business plan?

A
  • A document which summaries the operational and financial objectives of a business.
  • Likely has timelines of 3 – 5 years.
149
Q

What is included in a business plan?

A
  • Vision and mission statements
  • Financial forecasts
  • SWOT analysis
  • Responsibilities and targets
  • Marketing strategy.
150
Q

How can a business plan help in the current climate?

A
  • Can help secure funding
  • To gain new clients
  • Focus on key priorities
  • For budgeting
  • For setting targets
151
Q

What is a business model?

A
  • A plan implemented by a company to generate revenue and make a profit.
  • Will contain:
    o Market niche and target demographics
    o Expense of brining product to target market
    o The product the business believes to have value for the customer
152
Q

What is LOR’s current business plan?

A
  • We have several business plans for different items:-
    o Operational Net Zero by 2030
    o 50/50 gender balance by 2033
    o Net zero company in entirety by 2050
153
Q

What are LOR’s business objectives?

A
  • LOR’s main business objective is
    o Deliver 2025 – to become the recognised leader of innovation and excellence.
    o In this it includes 5 key conditions to the transformation
    o Next generation methods and technology
    o Responsible decision making
    o Resilience
    o Certainty
    o People
154
Q

How do you contribute to your company’s goals?

A
  • Sharing knowledge
  • Keeping up to date with new technology and systems
  • Bringing in fellow females into construction
  • Focus on safety.
155
Q

What clauses in the NEC 3 deal with conflict avoidance?

A
  • NEC3 adopts a two-tier approach to dispute resolution:
  • The first step is adjudication.
  • The second step is either arbitration or litigation.
  • “a spirit of mutual trust and co-operation” (clause 10.1)
  • Option W2 – referral to adjudication
156
Q

What clauses in the NEC 4 deal with conflict avoidance?

A
  • Option W1, Option W2 and the new Option W3
  • Amendments to Options W1 and W2 provide for the initial referral of all disputes to the parties’ Senior Representatives
  • The new Option W3, is only applicable where the Construction Act does not apply and provides for the obligatory referral of all “potential disputes” to an impartial standing DAB (Dispute Avoidance Board) before any subsequent referral to a tribunal.
157
Q

What clauses in the JCT deal with conflict avoidance?

A
  • Section 8 ‘Settlements of Disputes’
  • In the JCT SBC, it states that each party shall give serious consideration to referring the matter to mediation.
  • If mediation does not work, adjudication is the next step.
158
Q

What is ADR?

A
  • Alternative Dispute Resolution – several processes that can be used to resolve a dispute or claim.
  • Mediation, Negotiation, Adjudication
159
Q

What is Mediation?

A
  • Parties agree a third-party individual who facilitates discussions between both parties to reach an agreement.
    o Non-binding
    o Encourages coming together to agree
    o Undertaken by mutual agreement
    o Can be initiated at any time.
160
Q

What is negotiation?

A
  • Where parties work out between them how to resolve issues that have arisen.
    o Negotiation ends when both parties come to an agreement
    o Suitable for simple matters
    o Requires co-operation of both parties.
161
Q

What is conciliation?

A
  • Similar to mediation, a conciliator seeks to facilitate a settlement between both parties.
  • Each party states their position and the conciliator attempts to help work towards a compromise.
    o Conciliator is an independent party helping to aid agreement
    o Conciliator prepares a recommendation
    o Recommendation becomes final and binding if neither party suggests adjudication or arbitration.
162
Q

What is adjudication?

A
  • Adjudicator gets appointed, they get all referral documentation, the adjudicator sets a timetable which permits the other party to issue a response and the adjudicator makes a decisions within 28 days.
163
Q

How does Adjudicator work?

A
  • Once a dispute has been agreed that it cannot be resolved, either party can serve a notice of its intention to refer the dispute.
  • Within 7 days of the notice being issued, the referring party must serve it’s referral
  • If the referral is not served within 7 days, the adjudication will be void.
  • Referral must contain detailed explanation of the referring party’s claim with supporting documentation.
  • Within the 7 day period, the referring party must secure the appointment of an adjudicator (likely to be named in the contract)
  • Following appointment, the adjudicator will set out a timetable to issue a response to the referral
  • Adjudicator must make his decision within 28 days of the referral.
164
Q

Can the decision period of 28 days be extended?

A
  • Yes, to 42 if both parties agree.
165
Q

Is adjudication binding?

A
  • Yes, unless the adjudicator has acted outside their jurisdiction or was biased.
166
Q

Is there an appeal process?

A
  • No, but both parties can take the dispute to litigation.
167
Q

Who pays for adjudication?

A
  • Both parties are jointly liable for fees and reasonable expenses.
168
Q

What does it mean when a dispute has been crystalised?

A
  • When both parties agree that there is a dispute.
  • One party notifies the other party of a claim, that is subsequently disputed.
  • You cannot just go to adjudication, it needs to be discussed between the parties first.
  • Dickie and Moore vs McLeash.
169
Q

What is arbitration?

A
  • Lawsuit without court involvement - Both parties agree in a contract to avoid a lawsuit.
  • Parties present their site of the case to the Arbitrator.
  • Arbitrator reviews the facts/findings of the case and issues a legally binding decision on both parties.
    o Process is private, it’s quicker than litigation, arbitrators decision binding
    o It has limited appeal rights, parties must bear the cost of the arbitrator and venue.
170
Q

What is litigation?

A
  • Going to court for a judge to make a decisions on the case.
    o Judges make agreements which are binding
    o Judge can over-ride any previous made agreement
    o It is costly, in the public eye and time consuming.
171
Q

What is an expert Witness?

A
  • A person whose experience and knowledge is beyond what is expected of a layman.
172
Q

What are techniques for conflict avoidance?

A
  • Clearly stating in all tender docs and contract docs exactly what is expected of each party
  • Ensure continuous, effective communication
  • Follow company procedures and guidance
  • Follow RICS professional standards.
173
Q

How do you manage conflict?

A
  • Raise the issue with all parties and try to resolve it immediately through communication and negotiation
  • Face to face is usually the best way to find a resolution.
174
Q

How do you select the right procurement route to avoid conflict?

A
  • Some procurement routes are more collaborative than others.
  • For example, for a client who isn’t knowledgeable, they may select a D&B procurement route so that all the risks or potential issues would sit with that contractor.
  • You’ve also got frameworks and partnering where both parties work collaboratively to reach a common goal.
175
Q

What is partnering?

A
  • A collaborative management approach that encourages openness and trust between both parties
  • Ownership of risk is shared between both parties and they work together to overcome problems-
  • Conflict is reduced, improved value, improve buildability
  • But, less opportunity to find out what others can offer
  • Difficulty to find a partner who has the same objectives, ethics and attitudes.
176
Q

What is a Framework?

A
  • An agreement that a party enters with one or more suppliers to establish governing terms.
  • Encourage long term collaboration and co-operation.
  • Contractors, suppliers and consultants can become complacent.
177
Q

What different sources of information and data are available to you?

A
  • SPONS
  • BCIS
  • My companies internal cost data
178
Q

What is the BCIS?

A
  • Building Cost Information Service
  • Provides cost and price data for the UK construction industry
179
Q

What is BIM?

A
  • BIM is Building Information Modelling
  • Basically a 2D, 3D model of the building to be built
180
Q

What are the benefits of BIM?

A
  • Improves communication on the project as everyone has access
  • Client gets a visualisation at an early stage of the project
  • BIM now integrates life cycle costing
181
Q

What are the challenges of BIM?

A
  • Training – can be costly for small companies and is expensive
  • It doesn’t pick up clashes like it suggests that it can – on 150 Holborn we always had M&E clashes
  • Requires a lot of training which people struggle to take up.
182
Q

What are the pitfalls of BIM?

A
  • Incompatibility with partners - BIM is not yet universally used
  • Legal issues - The legal ramifications of using BIM software have not yet been extensively tested
  • Cost of software - BIM software requires a substantial investment in new technology
183
Q

What are barriers to the implementation of BIM?

A
  • Some would argue that there is no client demand
  • Lack of in-house expertise – its costly and lacking.
  • Cost – it is expensive and it requires a large financial outlay.
  • Resistance to Change – What works, why would you change this?
184
Q

What is GDPR?

A
  • General Data Protection Regulation
185
Q

What are the 7 principles under GDPR?

A
  1. Lawfulness, Fairness and Transparency
  2. Purpose Limitation
  3. Data Minimization
  4. Accuracy
  5. Storage Limitation
  6. Integrity and Confidentiality
  7. Accountability
186
Q

Tell me about the Data Protection Act 2018

A
  • The Data Protection Act 2018 is the UK’s implementation of the General Data Protection Regulation (GDPR)
  • Everyone responsible for using personal data has to follow strict rules called ‘data protection principles’.
  • They must make sure the information is: used fairly, lawfully and transparently.
187
Q

Can you tell me about diversity and inclusion?

A
  • Diversity is about representation or the make-up of an entity.
  • Inclusion is about how well the contributions, presence and perspectives of different groups of people are valued and integrated into an environment.
188
Q

What is conscious bias?

A
  • Biased attitudes about a group we are aware of; can be (in)visible; can be accessed.
189
Q

What is unconscious bias?

A
  • Biased attitude operating outside your awareness and control, are difficult to access or be aware of, & influence your action more than conscious biases.
190
Q

What are your employers diversity and inclusion policies?

A
  • It is part of our code of conduct.
    o We speak up if we see non-inclusive practices
    o We encourage different opinions and ideas
    o Allow everyone the opportunity to contribute and develop.
191
Q

What are some Teamwork theories?

A
  • Tuckmans theory – 1965 – for successful team building.
  • Teams go through 5 stages:
    o Forming
    o Storming
    o Norming
    o Performing
    o Adjourning
  • The X & Y theory – Douglas McGregor
    o How humans are motivated.
192
Q

How are some of the ways that the RICS is championing diversity and inclusion?

A
  • RICS is making plans to “drive forward the creation of a more diverse, equitable and inclusive sector.
  • The RICS has agreed to the Memorandum of Understanding. Which brings together 6 bodies to collect data, improve understanding from education to employment and develop understandings and guidance to improve and maintain professional standards
  • This aims to urgently improve diversity and inclusion in the workforce.
  • As part of Lord Bichard’s independent review of RICS, he reflected on RICS’ record on diversity and inclusion, commenting “I don’t think you’ve taken this seriously enough”.
  • Bichard recommended that the RICS establish a Diversity and Inclusion Panel to provide advice to the RICS Board and Standards and Regulation Board.
193
Q

What is an inclusive environment?

A
  • An inclusive environment recognises and accommodates differences in the way people use the built and natural environment. It facilitates dignified, equal and intuitive use by everyone. It does not physically or socially separate, discriminate or isolate. It readily accommodates and welcomes diverse user needs.
  • The RICS is keen to make places/spaces that everyone can use
194
Q

What are some of the provisions of the equality act?

A
  • Protects against any discriminations on age, race, sex, gender, pregnancy etc.
  • allows claims for direct gender pay discrimination
  • includes provisions that ban age discrimination
  • clearer protection for breastfeeding mothers
195
Q

How can you ensure/support that a building is inclusive?

A
  • Do more than just comply with legislation
  • Apply and integrate the principles of inclusive design from the outset of a project
  • Apply and integrate the principles of inclusive design from the outset of a project
  • Gain a deeper understanding, skills and knowledge around the area.
196
Q

Can you tell me about the Equality Act?

A
  • The Equality Act of 2010 legally protects people from discrimination in the workplace and in society.
197
Q

What are 5 protected characteristics?

A
  • Sex
  • Age
  • Race
  • Sexuality
  • Religion
  • Pregnancy
  • Belief
198
Q

What is Approved Document M?

A
  • It is access to and use of buildings
  • Volume 1 – Dwellings
  • Volume 2 – Any other building than Dwellings
  • It ensures that people are able to access and use buildings and their facilities.
    o This can include private entrances, car parking, communal areas, stairs, lifts, sanitary facilities, habitable rooms etc.
199
Q

Can you tell me of any legislation surrounding Inclusive Environments/Design?

A
  • The legislations which can help us achieve inclusive design are:-
  • The Equality Act of 2010 – nobody is discriminated against.
  • Approved Document M (1 & 2) – Ease of access to and from buildings, toilets, bathrooms etc
  • National Planning Policy Framework – inclusive design is the key principle for sustainable development
  • BS 8300 – best practice lighting, ramp gradients, sanitary facilities etc.
200
Q

What does an inclusive environment mean to you?

A
  • An inclusive environment to me means, that everyone is able to feel included and adaptions are made so that nobody feels left out, and we create an environment that is convenient and enjoyable for all to use.
201
Q

What are the Key Principles of Inclusive Environments/ Inclusive Design?

A
  • Placing people at the heart of the design process
  • Acknowledging diversity and difference
  • Offering choice where a single solution cannot accommodate all users
  • Providing flexibility in use
  • Creating an environment that is convenient and enjoyable for all to use
202
Q

Regulations which help achieve inclusive design?

A
  • Equality Act 2010 - Illegal to discriminate against someone on the grounds of the protected characteristics
  • Approved Document M (volumes 1 and 2) – Provides requirements for ease of access.
  • National Planning Policy Framework (NPPF) –
  • BS 8300 - Ramp gradients, baby changing facilities
203
Q

How can we support inclusive design?

A
  • Contribute to building an inclusive society now and in the future
  • Apply professional and responsible judgement and take a leadership role
  • Apply and integrate the principles of inclusive design from the outset of a project
  • Do more than just comply with legislation
  • Seek multiple views to solve accessibility and inclusivity challenges
  • Acquire the skills, knowledge, understanding and confidence to make inclusion the norm not the exception
204
Q

What is LEED?

A
  • Leadership in Energy and Environmental Design
  • is the most widely used green building rating system in the world.
205
Q

What is BREEAM?

A
  • Building Research Establishment Environmental Assessment Method
  • It sets standards for the environmental performance of buildings through the design, specification, construction and operation phases and can be applied to new developments or refurbishment schemes.
206
Q

What modus publications have you read on sustainability?

A
  • I recently read a publication with regards to urban farming:
  • This gave an insight into how existing builds and spaces are being considered with urban farming in mind.
  • Clare Brass made the suggestions that we need to adapt now that lots of people are working from home and commercial spaces are unused. So we should convert these into an urban farming space.
  • Another was around building giga factories and how this will power the future with battery production.
207
Q

What are some of the UNs sustainable development goals?

A
  • There are 17 but some of these are:
  • No poverty
  • Zero hunger
  • Quality education
  • Good health and well being
  • Gender equality
  • Clean water
  • Affordable clean energy
  • Life on land
  • Life below water
  • Climate action.
208
Q

What is the Construction 2025 Strategy?

A
  • Sets out a vision and a plan for long-term strategic action by government and industry to continue to work together to promote the success of the UK construction sector.
  • It focuses on key growth markets in:
    o smart technologies
    o green construction
    o overseas trade
209
Q

What Holborn, what design considerations were taken towards meeting sustainability goals?

A
  • The introduction of rainwater harvesting
  • Solar panels on the roof
  • Low flow services
  • Atrium for allowing in lots of light
210
Q

What did you take from the Levitt Report?

A
  • Governance principles were not followed by RICS.
  • Non-Executive Board members’ concerns were legitimate and that they were wrongly dismissed.
  • A key contributing factor was a lack of clarity around the roles and responsibilities of the various RICS Boards, senior leadership and management.
  • This led to a power struggle, rather than a cover up.
  • The review contained 18 recommendations
  • The provision of updates to Governing Council is the responsibility of the Chair of the Board, not the CEO.
  • Management Board meetings should be shorter but more frequent
  • Members of the Management Board should be allowed to raise matters with Governing Council without having to seek permission from the Chair.
211
Q

What are the CPD requirements for Chartered Surveyors?

A

20 hours per year, 50% must be formal.

212
Q

How do you define between “formal” and “informal” CPD?

A
  • Formal would be anything with a test or examination at the end.
  • Informal would be items such as private study or reading Modus, for example.
213
Q

How will you select CPD subjects over the next 12 months?

A
  • I will look at areas where I feel that I am lacking and increase my study around this.
214
Q

What sort of development have you done during your training period?

A
  • Mock final assessment interviews
  • Confidence training
  • Seminars and lectures
215
Q

How do you keep up to date with topical issues?

A
  • Regularly review modus
  • Construction news
  • Discussions with colleagues
  • Reviewing RICS’ website.
216
Q

What are the RICS five rules of conduct?

A
  1. Members and firms must be honest, act with integrity and comply with their professional obligations, including obligations to RICS
  2. Members and firms must maintain their professional competence and ensure that services are provided by competent individuals who have the necessary expertise
  3. Members and firms must provide good-quality and diligent service.
  4. Members and firms must treat others with respect and encourage diversity and inclusion.
  5. Members and firms must act in the public interest, take responsibility for their actions and act to prevent harm and maintain public confidence in the profession.
217
Q

What are the RICS professional standards and their status?

A
  1. Professional statements – mandatory requirements
  2. Guidance notes – are should/best practice
  3. APC – Requirements to entry to the profession
  4. Data standards – software must adopt RICS standards into offering.
218
Q

What is a bribe?

A

It is a payment or reward offered for any commercial or personal advantage.

Example: Rugby tickets offered before tendering for a big job.

219
Q

What is the bribery act 2010?

A

It contains 4 main offences:

o Bribing another person
o Being bribed
o Bribing a foreign official
o Failure by an organisation to prevent bribery

220
Q

What are the 6 Principles of the Bribery act?

A
  1. Proportionality – is it proportionate to the risk and size of organisation?
  2. Top level commitment – Those in top level positions are best placed to ensure an organisation conducts business without bribery
  3. Risk Assessments – A risk assessment shows the nature or extent of the exposure to bribery
  4. Due diligence – Procedures must be applied, taking a proportionate and risk based approach
  5. Communication – Employers to communicate their policies and provide training etc.
  6. Monitor and review – organisations should monitor and review procedures and policies
221
Q

Who does the Bribery Act apply to?

A
  • Any British citizen, anywhere in the world
  • A British associate with a connection, through business, to the UK who conducts an offence
  • An organisation incorporated in the UK who has committed bribery anywhere in the world
  • An organisation or partnership; that has carried out business in the UK
222
Q

How do you comply with the bribery act?

A
  • My company has bribery and corruption policies, I strictly adhere to these;
  • I report any act of bribery to the Serious Fraud Office or National Crime Agency
223
Q

What are the potential consequences for not adhering to the bribery act?

A
  • 10 years imprisonment
  • Unlimited fine for both individuals and businesses
224
Q

What is corruption?

A

The abuse of power for private gain

225
Q

What are the CPD requirements for Chartered Surveyors?

A

20 hours per year, 50% must be formal.

226
Q

How do you define between “formal” and “informal” CPD?

A
  • Formal would be anything with a test or examination at the end.
  • Informal would be items such as private study or reading Modus, for example.
227
Q

How will you select CPD subjects over the next 12 months?

A

I will look at areas where I feel that I am lacking and increase my study around this.

228
Q

What sort of development have you done during your training period?

A
  • Mock final assessment interviews
  • Confidence training
  • Seminars and lectures
229
Q

How do you keep up to date with topical issues?

A
  • Regularly review modus
  • Construction news
  • Discussions with colleagues
  • Reviewing RICS’ website.
230
Q

What tool is available to decide if CPD is formal or informal?

A
  • CPD decision tree
231
Q

What is Lion Heart?

A
  • LionHeart is a charity for RICS professionals, past and present, and their families.
  • Supports wellbeing, financial support, counselling and your career for example.
232
Q

What is RICS Matrics?

A
  • A network which supports new members entering the profession
  • Run award ceremonies like ‘Young Surveyor of the Year’
233
Q

What is the RICS black book?

A

A suite of guidance notes that define good technical standards for QS’

234
Q

What is a conflict of interest?

A

A situation where there many be an actual, perceived or potential risk that the professional judgement of the RICS member will be compromised when undertaking an assignment.

235
Q

Can you name 3 types of conflict outlined in the 2017 professional statement?

A
  1. Confidential Information Conflict – the need to give one information to one client and the need to keep that same information confidential to anther client. Can I pass the information on or not?
  2. Own Interest Conflict – Acting in the interests of a client, but those interests conflict with the RICS member/firm
  3. Party Conflict – Acting in the interests of a client but those interests conflict with the duty of a client.
236
Q

Why did the previous Global Professional
& Ethical standards

A
  • The previous rules had been in place since 2007.
  • Following research and consultation with RICS Members, Firms and Members of the public, the majority voted in
    favour of replacing the
    existing Rules of Conduct and separate Global Professional and Ethical Standards.
  • This was to provide a single document to enable greater clarity for RICS members and firms.
  • I also understand there is now a greater focus on clearer example
    behaviours ,
    understanding evolving technology and tackling climate change.
237
Q

What are the rules around undertaking learning on standards expected on Ethics

A

Members must undertake learning on the standards expected around RICS Ethics on a rolling learning on the standards expected around RICS Ethics on a rolling 3-year period.

238
Q

What are the professional obligations for members?

A
  1. Members must comply with the CPD requirements set by the RICS which requires 20 hours of CPD for each calendar year, 10 hours of which must be formal CPD.
  2. Members must cooperate with RICS.
  3. Members must promptly provide all information reasonably requested by the Standards
    and Regulation Board, or those exercising delegated authority on its behalf.
239
Q

When was the RICS founded?

A

1868

240
Q

What is the RICS motto?

A

‘Est Modus in Rebus’ which means -
there is measure in all things

241
Q

What do the RICS Bye-Laws do?

A

The Bye-Laws determine how the RICS is regulated.

242
Q

What do the Governing Council do?

A

The Governing council manage and agree the strategy for the RICS.

243
Q

What does the Regulatory board do?

A

The Regulatory board, audit committee and management board are beneath the governing council and execute the strategy set by them.

244
Q

What is the mission statement of the RICS?

A
  1. To qualify and equip their members to offer the highest standards of professional service.
  2. To promote and enforce standards
  3. Lead solutions to the major challenges facing the built environment through
    professional expertise in the publics interest.
245
Q

What is the ‘Client Money Protection Scheme?

A
  1. This is a money protection scheme operated by the RICS.
  2. It contains provision for any member of the public to be reimbursed their direct loss of funds when using an RICS regulated firm.
  3. This is provided through an RICS insurance policy.
246
Q

What insurances are required for an RICS Regulated company?

A
  1. Professional Indemnity Insurance.
  2. Employer’s Liability.
  3. Public Liability.
  4. Building’s insurance of an office premises.
247
Q

What is to be included in Annual Company Account returns as required by RICS regulated Firms?

A
  1. Type of business and staffing.
  2. Nature of clients.
  3. Training provision.
  4. Complaints handling procedures
    details and records.
  5. PI insurance details.
  6. Whether the firm holds clients’ money.
248
Q

What happens if company returns are not completed in the allocated time frame?

A

A fixed penalty will be issued.

249
Q

If you were to set up an RICS practice, what would you need to do?

A
  1. Contact the RICS for guidance and obtain a company start up pack.
  2. Inform the RICS and register for regulation.
  3. Appoint a contact officer for all RICS communication.
  4. Prepare a complaints handling procedure.
  5. Obtain Professional indemnity insurance cover.
  6. Abide by the Rules of Conduct for Firms.
  7. Use the designation ‘Regulated by RICS’ on all practice material
250
Q

Under the RICS, how should a complaint be dealt with?

A
  1. The RICS provides a model form.
  2. The process must include a redress mechanism.
  3. Details of the policy should be issued to the client with the Terms of Business.
  4. It must be clear, quick, transparent and impartial and free of charge within the first stage.
  5. Names and contact details of the nominated investigating person must be stated.
  6. The complaint must be investigated within 28 days.
  7. All complaints, their progress and outcomes must be recorded.
  8. We must note the need to advise PI insurers of a complaint immediately.
  9. The process must have two stages as a minimum:

Stage 1 - is where there needs to be consideration of the complaint by a senior member of the firm

Stage 2 - if the issue is not resolved, the complaint is referred to an independent third party with the authority to award redress.

251
Q

RICS regulated firms that operate a client account must
must:

A
  1. Set clear segregation of duties for employees.
  2. A Principal oversees the client money accounting functions.
  3. Principles cannot override controls.
  4. Competent and knowledgeable staff are to process clients’ money with cover provided for long term absence.
  5. Accounting systems and data must be secure.
  6. Client money must be kept separate and clearly identifiable with the word ‘client’ included in the bank account name.
  7. Clients must always have access to funds.
  8. We must agree the terms and advise the client on bank details.
  9. We must maintain client ledgers and provide a running balance.
252
Q

What are the RICS bye-laws?

A

1) Application and Definitions
2) Membership and Registration
3) Designations
4) Contributions to funds
5) Conduct
6) Governing Council, Officers and Staff
7) Subordinate boards, committees and groups
8) Procedure for general meetings
9) Accounts and Audit
10) General

253
Q

What is a consent order / Regulatory Compliance Order?

A

A Regulatory Compliance order is an agreement between he RICS and member that they are liable for disciplinary action.

They agreed that the member has fallen short in the standards expected.

254
Q

What is a fixed penalty?

A

An administrative fine/caution issued by the RICS when a member fails to provide information which is requested.

QS APC (23 decks)

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