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RICS Ethics > 2. Complaints Handling > Flashcards

2. Complaints Handling Flashcards

1
Q

What is meant by the term Negligence?

A
  • Negligence is a failure to provide the duty of care that is owed to the client.
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2
Q

What must a complaints handling procedure include?

A
  • The RICS provides a model form.
    * The process must include a redress mechanism.
    * Details of the policy should be issued to the client with the Terms of Engagement.
    * It must be clear, quick, transparent and impartial and free of charge within the first stage.
  • Names and contact details of the nominated investigating person must be stated.
    * The complaint must be investigated within 28 days.
  • All complaints, their progress and outcomes must be recorded.
    * We must note the need to advise PI insurers of a complaint immediately.
  • The process must have two stages as a minimum:-
    o Stage 1 is where there needs to be consideration of the complaint by a senior member of the firm or the complaints handling officer.
    o Stage 2 if the issue is not resolved, the complaint is referred to an independent third party with the authority to award redress. The complainant may be expected to contribute towards costs at this stage.
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3
Q

What is an independent redress scheme?

A
  • It is a consumer scheme designed to handle small issues that would be disproportionally expensive to take to court.
  • If the scheme judges in favour of the complainant, it is binding.
  • If it judges in favour of the firm, the complainant can escalate the matter to court.
  • RICS firms must specify which redress scheme they want to use, it could be an ombudsman,
    arbitration or sometimes adjudication.
  • If the complaint relates to a large amount of money or if the complainant wishes so, he can take the matter to court.
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4
Q

What do you do if you receive a letter of complaint?

A
  • I would acknowledge receipt and I would forward it to my firms designated complaint handler, as per our complaint handling procedure, providing additional information as required.
  • I would also highlight the importance of informing our Professional Indemnity insurance providers immediately.
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5
Q

What are the key themes of the RICS Complaints Handling Procedure? 

A

Firms must publish a complaints handling procedure and maintain a complaints log

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6
Q

If a client came to you with a complaint about your work, what would you do? 

A
  1. Arrange a call with a client as soon as possible to notify them that you have received the complaint and are working to rectify the issues they are experiencing
  2. Issue the client a copy of my firms complaints handling procedure for reference
  3. Report the complaint with all relevant details to a senior person within the firm or designated complaints handler
  4. Notify my firms PII insurers inline with our policy requirements
  5. Arrange a meeting with the client to take on board their feedback and address any areas for concern by introducing appropriate procedures if required
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7
Q

Explain your companies Complaints Handling Procedure?  Where should you record a complaint?  How quickly should a complaint be answered

A

My companies Complaints handling procedure is in line with the RICS complaints handling procedure

  1. Immediately record the complaint via internal complaint handling system
  2. It is then reporting to a managing director
  3. The complaint is then reported to legal insurers
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8
Q

When and what should you tell your PI insurers about a complaint? 

A

As soon as a client issues a complaint

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9
Q

Do the RICS need to get involved with a complaint? 

A

Not always

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10
Q

How does the RICS define the term “complaint”? 

A

An expression of dissatisfaction by a client or a third party

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11
Q

A client phones you up and says she is dissatisfied with your cost report.  She is very unhappy about it and refuses to accept it.  What action would you take? 

A

I will have to log this in the complain log and begin a complaints procedure

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12
Q

What is your company’s handling procedure?

A
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13
Q

What would you do if you received a complaint from your client?

A
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14
Q

What is your company’s complaint handling procedure?

A
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15
Q

What timelines are associated with a complaint procedure?

A

Stage 1: Preliminary Notification
Provide an acknowledgment letter within 21 days

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16
Q

What would you do if you received a complaint from your client?

A
17
Q

What constitutes a complaint?

A

Any expression of dissatisfaction

18
Q

How should you deal with a complaint?

A

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

19
Q

What does the RICS recommend firms include in a CHP?

A
  1. Ensure the CHP has at least two stages
  2. Timescales for responding
  3. Ensure complaints are recorded in a complaints log
20
Q

What should be involved in the two stages of a CHP?

A
  1. Consideration of the complaint by a senior member of the firm or the firm’s designated complaints handler
  2. If the complaint cannot be resolved, referral to an independent third party with authority to award redress
21
Q

How quickly should a complaint be answered?

A

Acknowledgement of the complaint within 7 days and a full response within 28 days

22
Q

Where should you record a complaint?

A

In a complaints log

23
Q

How would your client know what your complaints handling procedure is?

A

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)

24
Q

Can client’s be charged for time spent dealing with a complaint?

A

No

25
Q

When should you tell your PI insurers about a complaint?

A

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

26
Q

Do the RICS need to get involved in complaints?

A

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

27
Q

What third party redress schemes exist?

A

The RICS has produced guidancecalled ADR Mechanisms and it provides guidance on the various third-party redress mechanisms available along with contact details, depending on the type of complaint

This includes business to business ADR mechanisms
Consumer redress mechanisms

28
Q

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?

A
  1. Communicate to understand the reason for the complaint
  2. Attempt to resolve the issue through negotiation
  3. Refer client to firm’s CHP if no resolution can be found
  4. Respond to the complaint in a timely manner
  5. Keep a log of the complaint

RICS Ethics (13 decks)

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