03 Complaints Flashcards
What constitutes a complaint?
Any expression of dissatisfaction
How should you deal with a complaint?
Rule 7 of the RICS Rules of Conduct for Firms requires firms to operate a Complaints Handling Procedure (CHP), which includes a redress mechanism approved by the Regulatory Board, and maintain a complaints log
What does the RICS recommend firms include in a CHP?
- Ensure the CHP has at least two stages
- Timescales for responding
- Ensure complaints are recorded in a complaints log
What should be involved in the two stages of a CHP?
- Consideration of the complaint by a senior member of the firm or the firm’s designated complaints handler
- If the complaint cannot be resolved, referral to an independent third party with authority to award redress
How quickly should a complaint be answered?
Acknowledgement of the complaint within 7 days and a full response within 28 days
Where should you record a complaint?
In a complaints log
How would your client know what your complaints handling procedure is?
The CHP should be brought to the client’s attention when the terms of business are being agreed (otherwise it should made available when a complaint is received)
Can client’s be charged for time spent dealing with a complaint?
No
When should you tell your PI insurers about a complaint?
PI insurers must be informed as soon as possible of any complaint made through the CHP in order to ensure compliance with the terms of the policy
Do the RICS need to get involved in complaints?
The RICS will only become involved if the firm fails to respond to a complaint or prevents the client from gaining access to an independent redress mechanism
What third party redress schemes exist?
The RICS has produced guidance on the various third-party redress mechanisms available along with contact details, depending on the type of complaint
A client phones you up and says he is dissatisfied with your cost report. He is very unhappy about it and refuses to accept it. What action would you take?
- Communicate to understand the reason for the complaint
- Attempt to resolve the issue through negotiation and also make the RMP aware of the complaint
- Refer client to firm’s CHP if no resolution can be found
- Respond to the complaint in a timely manner
- Keep a log of the complaint
When is it acceptable to resolve a complaint at local level?
If we can manage and provide the client’s desired outcome, we should manage the complaint at local level. It is always beneficial to resolve complaints at local level as we already have a relationship with the client. Always refer the complaint to your RMP whether you can resolve the complaint within a timely manner or if it would take some time to gain all relevant facts to resolve the issue.
Liaise with your RMP as they will be responsible for the investigation of the complaint and whether the complaint can be resolve at local level or whether it needs to be escalated as a formal complaint.
If RMP has suggested that the complaint may result in a PI claim, they must take responsibility to escalate the complaint to the senior partner and the managing partner.
What should you do if you can’t mange the complaint at a local level?
When you anticipate that the complaint cannot be resolved at local level, as we cannot meet the desired outcome for the client, the complaint MUST be escalated to the Central Compliance Team. The complaint will then be investigated centrally and a Final Response Letter (FRL) sent to the client listing the Alternative Dispute Resolution (ADR) process.
When would a complaint be escalated to the CHP?
All personnel must be made aware of the Complaint Handling Procedure.
If a verbal or written complaint is received at local level, you may deal with the complaint at local level. In the event that the complaint cannot be resolved at local level and needs to be investigated in full by the senior partner and the central compliance team, you must provide the details of the complaint to Complaints@………… Or you can advise the complainant that they can contact the Senior Partner, either verbally by calling (senior partners number), or in writing in. If the complainant is writing to us, advise them they must write to head office address.
At local level you can also email the complaint to the email address below on behalf of the complainant or advise them to email their complaint directly to Complaints@…….. and the Central Compliance Team will reply with an acknowledgment of the complaint and forward the details to the senior partner.
If the complainant provides details of their complaint face to face or via the telephone, you should write a comprehensive file note of the complaint and email the details directly to Complaints@…….. (Unless resolved at local level see point vi). You must stress to the complainant that no action will be taken by yourself and will be dealt with via the CHP detailed within this document. The Central Compliance Team, on behalf of the Senior Partner, will send the Complaints Procedure to the complainant if requested. You must advise the complainant that their complaint has been acknowledged but no further response or comment about the complaint may be given.
If a written complaint is received, it must be forwarded immediately to the Central Compliance Team acting on behalf of the Senior Partner immediately (Unless it is resolved at local level refer to point vi). If the letter is addressed FAO senior partner, you must forward the letter to The Head Office. You must advise the complainant that their complaint has been forwarded to the Senior Partner and no further response or comment about the complaint may be given.
If a complaint has been dealt with at local level, it must be resolved within the timescales of the CHP which is within 30 working days. Once resolved it is important that these details are still forwarded to the Central Compliance Team so we can look to implement any changes through lessons learnt. When detailing to the Central Compliance Team the nature of the complaint, it is important to detail whether it has been resolved at local level or requires escalation to the Senior Partner for a final response letter to be sent. If the complainant does not agree to the resolution of the complaint at local level, it must be escalated to the Senior Partner via Complaints@…… Likewise, if the complaint is too complex to resolve at local level, it must be escalated to the Senior Partner via the email address above.
