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APC Mandatories > Ethics, ROC and Professionalism > Flashcards

Ethics, ROC and Professionalism Flashcards

1
Q

RICS motto and Meaning

A

Est Modus in Rebus: there is measure in all things

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2
Q

RICS mission statement

A

-to qualify and equip members to offer the highest standards of professional service,
-to promote and enforce standards,
- to lead solutions to the major challenges in the built environment through professional expertise

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3
Q

When was the RICS founded?

A

Founded in 1868

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4
Q

When was the Royal Charter granted?

A

Granted by the Privy Council in 1881

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5
Q

How is the RICS Structured?

A
  • RICS is self-regulated and internally monitored (meaning it is not regulated or monitored by the Government or external parties
  • the Bye-Laws determine how the RICS is regulated
  • the Governing council manage and agree the strategy for RICS
  • the mgmt board and Standards and Regulation Board sit below this
  • mgmt board then run the world boards, committees and panels below this
    -SBR also receives performance reports from the Regulatory Tribunal (which is indep run)
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6
Q

RICS 5 principles of better regulation

A

Proportionality
Accountability
Consistency
Targeting
Transparency

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7
Q

What do the ROC replace and when?

A

On 2nd Feb 2022 the new ROC replaced the 5 Global Professional and Ethical Standards, the Rules of Conduct for Members and the Rules of Conduct for Firms

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8
Q

What are the ROC?

A

1: Members and firms must be honest, act with integrity and comply with their professional obligations including obligations to the RICS
2: Members and firms must maintain their professional competence and ensure 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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9
Q

ROC Rule 1?

A

1: Members and firms must be honest, act with integrity and comply with their professional obligations including obligations to the RICS

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10
Q

ROC Rule 2?

A

2: Members and firms must maintain their professional competence and ensure services are provided by competent individuals who have the necessary expertise

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11
Q

ROC Rule 3?

A

3: Members and firms must provide good quality and diligent service

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12
Q

ROC Rule 4?

A

4: Members and firms must treat others with respect and encourage diversity and inclusion

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13
Q

ROC Rule 5?

A

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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14
Q

Discuss an example where you have applied Rule 1?

A

1: Members and firms must be honest, act with integrity and comply with their professional obligations including obligations to the RICS

I acted with integrity when I was asked to reduce an estimate to align the costs more closely with the client’s funder requirements. I explained the estimate was developed using correct methods of measurements and industry rates and I could not adjust the estimate as this could lead to under-funding and risk to the public interest such as under insuring the works.

OR

I complied with my professional obligations to maintain confidentiality and that of other tenderers when a contractor who had submitted a tender, asked their financial standing in the tender comparison, before the end of the tendering period.

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15
Q

Discuss an example where you have worked in alignment with Rule 2?

A

2: Members and firms must maintain their professional competence and ensure services are provided by competent individuals who have the necessary expertise

I have complied with Rule 2 by keeping my CPD up to date especially focussing on the areas in which I work such as overheating and sustainable technologies, including identifying new technology such as fan walls in DC design, and gaining understanding so I may be competent when undertaking the work requested of me.

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16
Q

Discuss an example where you have worked in alignment with Rule 3?

A

Rule 3: Members and firms must provide good quality and diligent service

I have applied this rule by undertaking checks and benchmarking on my own estimates and ensuring quality assurance checks are performed including peer review and senior approval, prior to issuing to my clients.

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17
Q

Discuss an example where you have worked in alignment with Rule 4?

A

Rule 4: Members and firms must treat others with respect and promote equality, diversity and inclusion

I have personal experience of working in a project team with a trans-woman. I applied rule 3 at project kick-off meeting when I introduced myself including my preferred pronouns and made sure to establish their preferred pronouns without making any assumptions. I also have my preferred pronouns in my email signature to encourage equality with trans and non-binary colleagues and help reduce assumptions and mistakes.

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18
Q

Discuss an example where you have worked in alignment with Rule 5?

A
  1. 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

I have applied rule 5 when I identified an error in a cost report I had issued to the client. I contacted them and explained my computational error, which was missed despite our QA procedures. I took responsibility for the error and corrected the mistake by working in the evening to achieve a corrected issue by the next day.

OR

I work to maintain public confidence in the profession by not wearing or using my work identity badge when I am out of appropriate work attire. I am also careful to behave in an appropriate manner on social media and do not share or comment on overly political items as I first consider the public image of my employer and the surveying profession.

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19
Q

Why did the previous ROC change?

A

The previous rules were in place since 2007
Following public, member and firm consultation, there was a vote in favour of replacing the previous rule of conduct and the separate ethical and professional standards.
With a single document to enable greater clarity to RICS members and firms
I understand there is now a greater focus on example behaviours and understanding evolving technology (such as social media) and tackling issues such as climate change

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20
Q

Talk us through the changes to the ROC?

A

ROC Oct 2021 (in force from 2 Feb 2022) overhauled three sep docs ( Global Prof and eth standards, rules of conduct for memb, rules of conduct for firms)
Appendix A of the new ROC contains the professional obligations for Members and Firms

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21
Q

What are the professional obligations for members?

A

Members must comply with the CPD requirements set by the RICS (20 hours per year, of which a minimum of 10 hours must be formal CPD)
Members must cooperate with the RICS
Members must promptly provide all info reasonably requested to the SRB or those exercising delegated authority on its behalf

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22
Q

What are the professional obligations for firms?

A

Must publish a CHP inc. an ADR approved by RICS and maintain a Complaints Log
Must ensure prev and current prof work covered by PII meeting req RICS standards
Firms with a sole principal must make approp arrangement for their work to continue in the event of their incapacity, death or inability to work
Firms must coop with RICS
Must promptly prov all reasonably requested info by SRB or a delegated auth on its behalf
Must display on their biz literature, in accordance with RICS designations published policy, a designation to denote they are regulated by RICS
Must report any matter to RICS they are required to report under the Rules for the Registration of Firms

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23
Q

Please explain the steps of the RICS decision tree?

A
  1. Sufficient facts on the issue? Separate facts from emotional response!
  2. Is it legal? Get info or seek advice
  3. Is it in line with ROC?
  4. have you consulted right people to make informed decision? Assess risks, consider options
    5.Do you have clear reasoning in reaching your decision? Informed decisions only!
  5. Would you be happy for your actions to be made public?

Act and reflect on outcome
Record your decision making process, reasoning an actions

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24
Q

Why does RICS have ROC?

A

Provide framework for us all to work to, so client knows getting a set level of service
Tool for the institution, and acts as professional guide for members

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25
Q

Brother working outside ROC, what do you do?

A
  1. verify the facts
  2. confront him reminding him of prof duties as member of RICS
  3. Inform RICS specifying my reln to the person and any corrective action which I believe my bro is committed to putting in place
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26
Q

What is the procedure for a breach of a ROC?

A

not every shortcoming will lead to proceedings
a formal investigation by the head of regulation of the RICS is first process step
RICS request info/ visit and inspect to investigate compliance
Memb must coop fully with all enquiries

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27
Q

How can disciplinary proceedings be triggered?

A

Complaint to RICS
Information received or established by RICS
Allegation by client or 3rd P

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28
Q

What three actions can be imposed at end of investigation stage?

A

Fixed penalty
Consent order
Disciplinary panel

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29
Q

What is a fixed penalty

A

A fine by the RICS

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30
Q

What are consent orders?

A

Written agreement between RICS and member, concerning a disciplinary issue on a breach of ROC
May require memb to take corrective action or restrain them from certain action for a period of time, may also req them to pay a fine or costs

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31
Q

When is a disciplinary panel applicable?

A

more serious breach of conduct
panel usually held in public
burden of proof on the RICS
balance of probabilities approach will be adopted

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32
Q

What sort of breaches would expulsion be suitable for?

A

Gross, persistent or willful failure to comply with ROC
Fraud, dishonesty, conviction of a serious criminal offence, gross incompetence, deliberate discrim, misappropriation of a client’s money

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33
Q

What procedures must you follow if you are starting up a new practice?

A

contact RICS for guidance and obtain a company startup pack
inform RICS and register for reguln
Appoint a contact officer for all RICS communication
Prepare a CHP
Obtain PII (complying RICS rules)
Abide by ROC for firms
Use the designation “Regulated by RICS” on all practice material

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34
Q

Would you advertise your new company in the press?

A

Yes providing it was in a trustful and responsible manner in line with the ROC for firms

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35
Q

What insurances would you need to start up on your own?

A

PII
Employer’s liability
Public liability
Buildings insurance of an office premises

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36
Q

What info do reg firms have to send to RICS annually?

A

Annual return carried out on line
Failure leads to fixed penalty
Info:
- type of business and staffing
- nature of clients
- training provision
- CHP details and records (log and ADR)
- PII details
- whether firm holds client’s money

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37
Q

Define Bribery (RICS PS version)

A

Bribery: The offer, promise, giving, demanding or acceptance of an advantage as an inducement for an action that is illegal, unethical or a breach of trust.

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38
Q

Define RICS version of corruption?

A

Corruption: The misuse of public office or power for private gain, or misuse of private power in relation to business practice and performance.

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39
Q

Define customer due diligence

A

Customer due diligence (CDD)/know your customer (KYC): Taking the appropriate
steps to ascertain who the customer or client is and, if relevant, their ultimate beneficial
owner is and counterparty.

40
Q

what is a facilitation payment

A

‘Facilitation payment’: A payment made to a government official with the purpose of speeding up a routine administrative action. Such payments are customary and legal in
some countries, but in many jurisdictions they are criminalised.

41
Q

Define money laundering (RICS)

A

Legitimising the proceeds of crime

42
Q

Who is a person of significant control

A

Person of Significant Control (PSC): Individuals or legal entities who have significant
control or influence over a company. They can veto running decisions

43
Q

Who is a Politically Exposed Person? (PEP)

A

Politically exposed person (PEP): Individuals and the family members of such
individuals, entrusted with prominent public functions by any country or international
organisation. This includes heads of state or government, senior politicians, military officials. 12 months after retire/ divorce, no longer PEPs

44
Q

What is a price fixing monopoly cartel?

A

Group of previously individual producers/ service companies who increase their collective profits by pushing the price of a
product as high as possible

45
Q

What is a professional money launderer?

A

Someone who takes a fee or commission to legitimise the proceeds of crime e.g. tax advisers, lawyers and accountants professionally facilitate criminals

46
Q

What is a Red Flag (relating to bribery etc)

A

common characteristic that indicate potential misuse of the real estate sector for money laundering or terrorist financing purposes

47
Q

What is reliance? (rel to money laundering checks)

A

Extent they have been carried out by a 3rd P meaning checks do not need to be duplicated

48
Q

What is reporting (rel to ML)

A

Taking approp action to draw attention to known or suspected money laundering, bribery, corruption issues and or terrorist financing. Must comply with applicable laws.

49
Q

Define terrorism

A

Terrorism: The use or threat of violence to pursue ideological objectives committed by governments, non-state actors, or undercover personnel serving on behalf of
governments.

50
Q

Define terrorist financing

A

Terrorist financing: The solicitation, collection or provision of funds with the intention that they may be used to support terrorist acts or organisations

51
Q

What is a triggering event

A

An event that necessitates a firm re-evaluating the risk level of a customer, client, partner, third P or employee, possibly conducting enhanced DD

52
Q

What do bribery, corruption, money laundering and terrorist financing have in common?

A

they are all illegal and unethical

53
Q

Why does the UK sanctions list matter?

A

In accordance with ROC, all RICS members and firms, members and firms must not facilitate any financial crime
This includes money laundering, tax evasion, bribery or corruption. Firms need to have effective processes to prevent directors, partners or employees from doing so.

54
Q

What must firms have in place to comply with the Countering bribery and corruption, money laundering and terrorist
financing professional statement?

A

the Countering bribery and corruption, money laundering and terrorist
financing professional statement requires all RICS-regulated firms to “have a written policy
addressing money laundering and terrorist financing risks that covers the identification of politically exposed persons (PEPs), persons with significant control (PSCs) and any
potential breaches of sanctions.

55
Q

According to UK sanctions what ar firms required to do?

A

all individuals and legal entities operating within the UK, must comply with UK sanctions and have a general obligation to report to the Office for Financial Sanctions
(OFSI) any information that would ‘facilitate compliance’ with the regulations.

If you know or have reasonable cause to suspect that you are in possession or control of,
or are otherwise dealing with, funds or economic resources that belong to a person
subject to an asset freeze, you must freeze them and not make them available to or for
the benefit of the person subject to the sanction, other than in very limited circumstances

If you are in the UK or under UK jurisdiction, and your firm is a ‘relevant firm’ as set out in
UK regulations made under the sanctions legislation, specific reporting obligations apply
to you. Failure to fulfil them may result in criminal prosecution or a fine issued by OFSI.

56
Q

Give examples of OFSI relevant firms?

A

Accountants
Legal
Tax
Estate Agents

57
Q

When must you report to OFSI?

A

You must make a report to OFSI at the earliest opportunity if you know or have reasonable
cause to suspect:
* that a breach of financial sanctions has occurred
* that a person is a designated person, or
* that you hold frozen assets, and that knowledge or suspicion came to you while
conducting your business.

58
Q

What are the 8 Individual Rights under GDPR?

A
  1. Right to be informed
  2. Right of access
  3. Right of rectification
  4. Right to erasure
  5. Right to restrict processing
  6. Right to data portability
  7. Right to object
  8. Right of automated decision making and profiling
59
Q

What are the different sources of information you use in your day to day surveying?

A
  • RICS Guidance Notes
  • Contract documentation
  • Previous tenders
  • cost plans
  • valuation data
  • industry journals
  • specialist subco info
60
Q

How do you manage these sources of info to ensure compliance with the legislation?

A
  • if signed NDA ensure complete confidentiality, no discussion with colleagues not party to the project
  • use lockable and secure doc storage for hard copy docs, and encrypted servers for electronic docs
  • lock my comp when away from desk and keep up to date with trianing from the cyber securoty team inc. updating passwords regularly
  • if sharing or processing info not freely available in public domain I obtain the client’s written permission to do so
61
Q

How do companies ensure compliance with the data protection legislation?

A
  • only retain data they need to perform operations
  • if retaining someone’s datat, ensure they are kept informed on why you have it
  • hold data securely
  • keep info up to date
  • delete info when no longer needed
62
Q

What are the CDM regs 2015?

A
  • COnstruction Design and Management Regulations 2015
  • intended to ensure H&S is properly considered during a proj development to reduce risk of harm to those who build, use and maintain sturctures
  • apply to all building and construction work
  • domestic clients not req to carry out their duties, typically passed to the other duty holders such as Co
  • commercial clients MUST make arrangements for managing H&S risks on their project in a proportionate way
63
Q

Summarise the CDM duties of the Principal Designer?

A
  • plan, manage, monitor and coordinate H&S in pre-con phase
  • ID, eliminate and Cx foreseeable risks
  • ensure client and des are aware of duties
  • advise client on bringing together the PCI
  • provide rel info to duty holders
    -liaise with PC in their plan, man, mon and coord of construction phase
64
Q

What are the clients duties under CDM?

A
  • appoint comeptent duty holders
  • allow sufficient time and resources
  • prepare and provide rel info to duty holders
  • ensure PD and Co carry out their duties
  • ensure welfare facilities
65
Q

What are the key implications of the CDM regs 2015?

A
  • more focus on clients to arrange for H&S
  • clients cannot assign their legal responsibilities to agents
  • must be a declaration of how long Co will get to plan and prep for construction work
  • Client is deemed to assume PC role for any period other arrangements are not made
66
Q

What items would you expect to find in the PCI?

A
  • project description
  • client’s consid of the mgmt req for horading, welfare facilities, traffic restrictions and permits to work
  • enviro restrictions ans existing on site risks such as site restrictions, prev H&S files, ground cond, existing services, asbestos surveys, contam and unsafe structures
  • significant design and construction hazards such as design risk assessments, suggested method statements, arrangement for coord post contract design work and changes
  • H&S file requirements
67
Q

What would you find in a construction phase plan?

A
  • a project description
  • processes for managinf the works (inc. inductions, training, comms, welfare facilities, design coord, site rule and emergency procedures
  • arrangements for controlling specific site risks such as handling deliveries, work at height, deep excavations, reducing noise, vibrations and manual handling
68
Q

What would you find in the H&S file?

A

H&S info useful for planning of future works or maintenance such as:
- brief description of the work carried out
- any residual hazards and how they have been dealt wiith e.g. surveys for asbestos, contam land, buried services
- key structural principles e.g. bracing or sources of stored energy
- haxardous materials e.g. lead paint, pesticides, special coatings that should not be burnt off
- nature and location of significant services inc. underground cables, gas supply and equip, and fire fighting services

69
Q

what is an F10?

A
  • An F10 is a form used to notify the HSE of the project
  • It should contain:
  • Address of the construciton site
  • Name of the Local Authority where the site is located
  • Brief descrip of the project and the contruciton work involved
  • Contact detalis for the client and PC
  • indication of time allowed by client for PC to plan, prepare for construction work
  • planned start date for work, duration of construction phase, give number of people on site at any one time
70
Q

When is a project notifiable to the HSE?

A

construction project is notifiable if the construction work is expected to:

  • last longer than 30 working days and have more than 20 workers working at the same time at any point on the project or
  • exceed 500 person days
71
Q

Who must notify the HSE of the project?

A

The client has the duty to notify a construction project. In practice however, the client may ask someone else to notify on their behalf.

72
Q

Does the notificable project days (CDM) include BH and weekends?

A

Yes, any day site work is anticipated to be carried out, including short days, weekends and BH

73
Q

Who can be a designer under CDM?

A

The CDM Regulations 2015 define a ‘designer’ as “as an organisation or individual who:

prepares or modifies a design; or
arranges for or instructs any person under their control to do so.”
However, the regulations are sufficiently broad, and a designer can include a quantity surveyor who prepares bills of quantities.

74
Q

7 principles of GDPR?

A
  1. LAWFULNESS, FAIRNESS, AND TRANSPARENCY
  2. PURPOSE LIMITATION
  3. DATA MINIMIZATION
  4. ACCURACY
  5. STORAGE LIMITATION
  6. INTEGRITY AND CONFIDENTIALITY
  7. ACCOUNTABILITY
75
Q

What are the 6 lawful bases (grounds for processing) for processing personal data under GDPR?

A
  1. CONSENT – the data subject has given consent to the processing of his or her personal data for one or more specific purposes;
  2. CONTRACT – processing is necessary for the performance of a contract to which the data subject is party or in order to take steps at the request of the data subject prior to entering into a contract;
  3. LEGAL OBLIGATION – processing is necessary for compliance with a legal obligation to which the controller is subject;
  4. PROTECTION OF VITAL INTERESTS – processing is necessary in order to protect the vital interests of the data subject or of another natural person;
  5. PUBLIC TASK- processing is necessary for the performance of a task carried out in the public interest or in the exercise of official authority vested in the controller;
  6. LEGITIMATE INTEREST – processing is necessary for the purposes of the legitimate interests pursued by the controller or by a third party, except where such interests are overridden by the interests or fundamental rights and freedoms of the data subject
76
Q

When did the UK leave the EU?

A

December 31, 2020, is marked as the end of the transition period. The UK is now a “third country”, the data regulation now falls on the ICO (Information Commissioner’s Office)

77
Q

As a designer, what must a QS do under CDM?

A

1) must not act unless satisfied client is aware of their duties under CDM
2) must at all times consider risks and reduce or mitigate them where possible for construction, use and maintenance of the building
3) provide info the PD and ensure included in H&S file

78
Q

Where is the F10 displayed?

A

When the F10 is issued to HSE , a copy of it should be displayed on the site notice board so that it visible to everyone working on that construction site.

79
Q

What does RIDDOR stand for?

A

Reporting of Injuried, Diseases and Dangerous Occurrences Regulations 2013
- it requires the responsible person (employer, contractor or PC) to notify any death, reportable injury diesease or dangerous occurence to HSE (online or by phone for death or serious injury)

80
Q

What incidents are reportable under RIDDOR?

A
  • Death and major inj such as loss of consciousness or limb
  • occupational diseases
  • dangerous occurrences such as explosions, hazardous subst, structural collapse, collision
  • gas incidents
81
Q

What does COSHH stand for?

A

Control of Substances Hazardous to Health
- reg aims to avoid exposure to haz susbtances or if not poss, control exposure by measures that are proportional to the health risks

82
Q

What H&S precautions do you take when you go on site?

A

I ensure I have the correct PPE as required by the PC
I ensure I have a site induction
I also carry out a risk assessment for each site visit as required by my employer

83
Q

Who do you inform that you are going on site?

A
  • my employer - I let them know when I leave home, arrive at site, leave and arrive home
  • I sign in on site on the attendance register and report to the site office to make them aware of my presence
  • I arrange to meet the PC or the QS to take me around site
84
Q

What does PPE stand for?

A

Personal Protective Equipment

85
Q

What PPE do you wear to site?

A

When visiting Crane I chec the PPE requirements each visit, and this includes hard hat, gloves, boots and a hi viz vest. I have been on sites where googles and ear defenders are required, face masks have been required.

86
Q

Have you passed the CSCS test? Did it benefit you?

A

Yes I have, it made me aware of the H&S issues to consider when attending construction sites

87
Q

What does CSCS stand for? And what is the purpose?

A

Construction skills certification scheme, Acts as ID and proof of competence including specialist skills

88
Q

What colour of CSCS card exist, which do you hold and how long do they last?

A

12 cards, 7 colours,

Yellow card: Visitors without any real building skills.
Environment-friendly: General building employees.
Blue card: Skilled craft employees.
Gold card: Employees in an advanced supervisory role.
Red card: Trainees, graduates, experienced employees or supervisors.
Black card: Managers.
Green card: Labourer, formally Construction Site Operative
White card: Occupations connected to the building market that is not covered by the other cards.

89
Q

How do you get a white/ yellow card?

A

How Do I Apply For A White Or Yellow CSCS Card?
In applying for this particular card, you must meet the following criteria:

Must be a member of any of the approved institutions that are affiliated with the scheme;
Must be competency-assessed by one or more of the professional bodies;
Must pass the Health, Safety & Environment test for Managerial and Professionals or MAP.

90
Q

On your case study project, what measures did you or your firm put in place to ensure good standards of H&S when undertaking your work/ delivering your project?

A

I prepared a work risk assessment to ascertain the risk and benefit of attending site.
I wore PPE and asked for an induction, adhering to the PC’s rule’s when attending site.
I ensured health and safety was discussed at meetings and reported to the foreman/ site manager when I saw a worker on the mezzanine without their hard had on properly.

91
Q

What is a risk assessment?

A

A risk assessment is a careful examination of what, in my work, could cause harm to people. It allows me to weigh up whether sufficient precautions are in place or more should be done to prevent harm.
The law does not expect risk elimination, but you protection of people as far as is “reasonably practicable”

92
Q

What are the 5 steps of risk assessment?

A

1 - ID the hazards
2 - decide who might be harmed and how
3 - evaluate risks, decide on precautions
4 - record findings and implement
5 - review assessment, update of necessary

93
Q

What is the role of the HSE?

A

to prevent work related death, injury and ill health
provide support to the public and businesses, with guidance stats and research

94
Q

What are the powers of the HSE?

A

inspectors visit site w/o notice, talk to workers, take pics and samples
- issue written or verbal info or advice
- most inspections planned to encourage good H&S practices
- some are to respond to complaint/ follow up investigation
- they can inmpose sanctions including stop and improvement orders

95
Q

What is Arup’s H&S policy?

A
  • prevent work related injuries or illness
  • prevent damage to property and equip
  • prevent adverse impacts to enviro from our ongoing projects
    At staff level:
  • take respo for safety, comply with safe syst of work
  • act responsvely, report near miss or incidents
  • regular training and refresher
  • risk assessment compulsory for all proj with site visits
  • CSCS cards mandatory for site visiting staff
96
Q

What is the RICS surveying safely publication?

A

2nd Ed. RICS guidance on personal safety at work.
It covers:
- General statement - empl/ employees have a duty of care under law of tort towards those whom may be affected by their actions
- safety of employees - actions that must be taken by employees (duty of care towards youg/ trainees)
- workplace - fire and first aid providers
- hazards and risk assessment requirements
- visiting sites - PPE, lone working, access provisions
- during site visits - key hazards assessments inc. structures, roofs and contmination
- Safety of you and others - everyone is to take resp of their own h&S
Legal duties - criminal liabilities and CDM guidance.

APC Mandatories (2 decks)

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