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APC RG > 4 - Client Care > Flashcards

4 - Client Care Flashcards

1
Q

Client Care - Extract from Candidate Guide - Aug 2018 (updated Feb 2022)

A
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2
Q

Why is client care important?

A
  • Promotes trust in the industry and company
  • Maintains client relationships to help build business
  • Maintain a reputation in the industry
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3
Q

Can you tell me some of the principles of Client Care?

A
  • Identify new and existing clients
  • Understand the different types of clients and their needs
  • Act in accordance with the RICS code of conduct
  • Implement a complaints handling procedure
  • Collect feedback
  • Manage client accounts
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4
Q

What are the different types of clients?

A
  • One off clients
  • House refurbs/Residential
  • Private sector
  • Public sector
  • Commercial clients
  • Developers
  • Depending on manner of instruction - Contractor
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5
Q

What is are some of the RICS Complaints procedure considerations ?

A
  • Have an understanding of your firms CHP
  • Carefully record all complaints
  • Acknowledge the complaint within 7 days and listen to what the client is complaining about
  • Apologise for the complaint but do not admit fault straight away.
  • Acknowledge any preliminary notice within 21 days
  • Respond meaningfully within 28 days
  • If after your first notice, your client is not satisfied and you get a letter of claim, you must inform your insurer
  • Go through the process of litigation etc if the claimant decides to take the complaint further
  • Ref – RICS Guidance note ‘Complaints Handling’
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6
Q

If you were a sole practitioner, how would you handle complaints?

A
  • Maintain and implement a clear and quick complaints procedure
  • Acknowledge the claim within 5 days and let the client know when to expect a full response pending investigation.
  • Request additional information if this is needed.
  • Detail complaints procedure on all terms and conditions of engagement.
  • Approve your procedure by the RICS and your insurer.
  • Inform the client of the alternative dispute resolution methods if you cannot resolve the matter with your response. RICS Dispute resolution service.
  • Keep and maintain a complaints log.
  • As a sole practitioner, you must engage another surveyor in another firm to investigate the complaint.
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7
Q

What is a duty of care?

A

Moral and legal obligation to act in your client’s best interest with reasonable skill and care.

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8
Q

How would you determine your client’s needs?

A
  • Know their business/position
  • Listen to what they are asking for
  • Ask them questions to expand your understanding
  • Use your understanding and knowledge and experience to identify the right options
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9
Q

What is a client brief?

A

A recorded document that helps in guiding and animating any project. The brief explains the ins and outs of a project to the agent who is responsible for achieving the goals and targets.

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10
Q

What is client empathy?

A

Understanding the underlying needs and feelings of customers. It puts things into context by viewing things from their perspective.

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11
Q

What needs to be considered when preparing a fee quotation?

A
  • Scope of service
  • Terms of payment
  • Complaints handling procedure
  • Property details
  • Client details
  • Limitations
  • Exclusions
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12
Q

With regards to client expectations and standards of service, what documents can you use to meet the level of service?

A
  • RICS Rules of Conduct 2021
  • RICS professional standards and guidance
  • Client Money Handling PS
  • Countering bribery and corruption, money laundering and terrorist financing
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13
Q

What is good customer care ?

A

It is a continuous process or concept of understanding client requirements, suggestions, complaints etc. and analysing it to find a solution suitable to client requirements and to enhance our own business.

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14
Q

What is Client Care?

A

It’s part of your ongoing marketing strategy to keep your clients happy, resolve any areas of dissatisfaction, and hopefully even turn your customers into happy ambassadors for your products and services

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15
Q

How does the type of client change how you manage a project and the relationship with them?

A

Each type of client will have a certain level of experience and expertise this will directly affect the relationship you have with them and the level of work you will be expected to carry out on their behalf eg :
• Very experienced and dedicated client resource to oversee projects
• Defined brief – ability to make key decisions due to technical understanding
• Formal reporting relationship
• Only want to be notified with key items going on
• In house project processes and procedures (gateway approvals (shanghai) and minimum of three prices)
• Focus on cost and time.
• Increased level of advisory role egg procurement routes, contract types, consultant selection
• Required assistance in developing the brief
• Required guidance through key stages of the project
• Required guidance on project processes and procedures egg risk management, change control etc
• Significant involvement in design development
• More reliant on PM and consultant team for guidance

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16
Q

Why is it important to establish good client relationship ?

A

it is important to build and continue a good relationship as this in turn allows for easier channels of commination and can increase trust and future business.

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17
Q

Have you ever advised a friend or neighbour?

A

No I haven’t, I would not give them any advise and in turn I may not be insured for it. I would have not checked to see if there is a conflict on interest etc. If they want to proceed they should follow the normal procedure with terms of engagement and I would request that a colleague handle their business.

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18
Q

How do you assist the client with making decisions?

A
  • Provide the client with all the available options
  • Run through the advantages and disadvantages of each option
  • Make recommendation
  • Give the client time to think through all options
  • Assist with any queries
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19
Q

How do you prepare a project brief?

A
  • Identify project requirements
  • Identify business objectives
  • Identify programme requirements
  • Identify critical success factors
  • Time/cost/quality
  • Identify stakeholders
  • Identify budget
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20
Q

How have you measured your clients satisfaction following works ?

A

Captured via a feedback form. The comments and lessons learned and then reviewed during progress meetings or at pre-commencement meetings of succeeding jobs

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21
Q

What or who is stakeholder ?

A

A stakeholder is a party that has an interest in a company and can either affect or be affected by the works/business.

The primary stakeholders in a typical corporation are its investors, employees, customers, and suppliers.

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22
Q

As part of your role did you provide reports to the client and if so, what was included in those reports?

A
  • Site Inspection Reports
  • Weather
  • Date
  • Address
  • Programme considerations
    *Materials/plant/staff on site
  • Specification and progress of works
  • H&S matters
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23
Q

How do you collect client feedback?

A
  • Project review meetings to check in on performance
  • Client feedback form
  • Lessons learned at the end of a project
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24
Q

How do you address negative feedback?

A

I first ask to clarify why the client felt dissatisfied and then attempt to view it from their point of view. I apologise that the client feels that way and if I am at fault, I present the opportunity to make things right.

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25
Q

Why do you use phone calls and emails to confirm scope of services?

A

Where discussions take place over the phone, it is convenient for both parties to raise the relevant questions and address them promptly. I do not exclusively use phone calls but I will always follow up any verbal discussions with a written email so that there is a written record of what is agreed.

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26
Q

What information might you need to record from a client briefing?

A
  • Scope of services, fee and agreement from authorised individual
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27
Q

What is Client Care?

A

The process of identifying all client types and the behaviours appropriate to establishing good relationships, along with the systems of procedures for managing the client care process, all within the public interest.

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28
Q

What does good client care require?

A
  • A clear understanding of the client
  • objectives and aims
  • Competence
  • A professional approach
  • Clear, concise communication
  • A quality assurance policy
  • Complaints handling procedure
  • Professional Indemnity Insurance
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29
Q

What is a quality assurance policy?

A

A statement of the company™s desired level of quality for a service or product.

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30
Q

What is ISO 9001?

A

A Quality Management System, which helps to manage and monitor quality across the business.

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31
Q

Does the RICS Publish Fee scales?

A

No, banned in 2000 as they were deemed to be un-competitive.

32
Q

Who are stakeholders?

A

Anyone one who can affects, is affected by or is perceived to be effected by a project.

33
Q

If a client is prepared to pay you in advance for service you were providing, how would you deal with this ?

A

Consider the regulations and guidance contained within the RICS Professional Statement – ‘Client money handling’

34
Q

On what ground would you ask the client for additional fees ?

A
  • Programme duration extension
  • Scope of service changed
  • Location or travel changed
  • Additional attendance
  • Value and scope changed
35
Q

How would you approach claiming additional fees from a client ?

A

Arrange a meeting to discuss and confirm the additional services being presented. This should be formally agreed and defined prior to proceeding. Personally with many of my frameworks this is raised as a CE.

36
Q

What would you do if a client asked you to reduce your bid by x amount to win the work?

A
  • Respectfully decline and record details etc
  • Raise to management
  • This equates to unfair competition
  • This does and will not promote trust in the profession
  • It be considered a bribe
37
Q

What measures should be taken to avoid PI claims?

A
  • Full and accurate records
  • Recording of data
  • Defined terms of engagement
  • Work within competence
  • Act in line with RICS guidelines
38
Q

Can you name some of the considerations when dealing with clients money?

A
  • Previously rule 8 for firms
  • Client has access to fund account - named client x
  • Interest agreed in advance
  • Remain solvent
  • Account ledger
  • See RICS Professional Statement ‘Clients Money Handling’
39
Q

What is the clients money protection scheme?

A

Scheme through the RICS to protect the client to be reimburse any loss of funds
It is general split into two parts :
* General client money protection
* Residential money protection

40
Q

What components must a complaints handling procedure include?

A

Minimum 2 stages
* Stage 1
* Acknowledge the complaint within 7 days
* Handled by senior or designated person within 21 days

  • Stage 2 - promoted to redress panel independent
  • Must be recorded
  • Advise PI insurer

See RICS approved third party redress panel

See RICS Guidance Note ‘Complaints Handling

41
Q

Why is client care important?

A

Likely to retain existing and new clients from keeping client happy, reducing the chance of claims, promoting trust in the profession

42
Q

Give me an example of when you have provided good client care ?

A

On HS2 9th floor, I identified that the procurement route for the furniture had presented an issue that, whilst we overcame, I saught to rectify once we recieved a new instruction and proposed an alternative procurement route.

43
Q

What is a complaint and why is this serious for surveyors ?

A

A situation that is unsatisfactory to the client. Can lead to loss of client, reputation damage and claims for negligence which may lead to financial loss.

44
Q

When should you decline work?

A
  • Conflict of interest
  • Outside of competence
  • Unlawful
  • PI doesn’t cover the scope of works
  • Inability to complete within time parameters
45
Q

What is included in a fee bid?

A
  • Scope
  • Terms of Engagement
  • Timescales
  • Address
  • Services
  • Fees
46
Q

Are you aware of the RICS document in relation to complaints handling ?

A

Guidance Note - Complaints handling 1st edition, July 2016

47
Q

What is the reasonable time to resolve a complaint?

A

Within 28 days. If this is not resolved during this period, it may be necessary to take the complaint to a redress panel – Surveyors Arbitration Scheme, financial ombudsman, property ombudsman, CEDR.

48
Q

If a complaint is passed to a redress scheme who is liable for this costs of this and why ?

A

Member pays subscription fees and in some cases a fee for investigation per claim, should always remain free for the client as not to be a barrier to entry.

49
Q

What happens when a compliant cannot be resolved ?

A

Complaints should be passed to a compliance redress panel, such as CEDR or property ombudsman

50
Q

How would you operate a effective complaints procedure ?

A
  • Ensure the process is quick, clear and transparent and impartially implemented
  • Must be free and include and independent ADR mechanism approved by the regulatory board which should be detailed on all terms of engagement.
  • Create a complaints log, acknowledge recipient within 7 days and investigated and responded within a further 21 days
51
Q

If a complaints letter landed on your desk what would you do ?

A

I would pass this to the complaints handling officer and make a note of this including date, time , witnessed etc.

52
Q

What are the prescribed timescales to provide a response for a complaint ?

A

The complaint has to be acknowledged withing 7 days and responded to within 21 days. This can then be escalated to a third party redress panel etc.

53
Q

What are the rules firms relating to complaints handling ?

A

This can be attributed to many of the rules. One example includes :

Rule 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.

54
Q

Give me some examples of the subject areas of the RICS guidance on Complaints Handling.

A
  • What a complaints handling procedure is
  • The value of Terms of engagement in reducing complaints
  • Understand the requirement of your PII policy
  • Why do clients complain ?
  • Underpinning good complaints handling
  • Receiving a complaint – initial action and responses
  • Evaluating a complaint
  • Initial response to claimant
  • Additional investigations
  • Escalation
  • Record keeping
55
Q

Who deals with complaints at your employer?

A

A Partner

56
Q

How would a sole trader deal with escalated complaints given there is no one else in the company to refer the complaint to?

A

Impartial third party member / a surveyor from another firm

57
Q

What is the Property Ombudsman?

A

They are an independent redress provider who consider the complaints on a case by case basis. They are not regulators and have no power or authority to take legal action or impose fines.

58
Q

What is your company’s CHP?

A

Complaints are logged in the complaints register and we will acknowledge the complaint within 2 days. We then inform the complainant that we will aim to investigate and provide a meaningful response the complaint within a further 21 days. If we cannot resolve the issue, we will refer the matter to CEDR.

59
Q

What do RICS require all regulated firms to have in place to handle complaints?

A

A CHP, with details readily available to clients

60
Q

You mention Ombudsman, what is this?

A

An official who is appointed to investigate individuals complaints against a company or organisation.

61
Q

What will the RICS investigate?

A

They will investigate a firm/person if they believe the service they are providing falls short of the standards outlined in the Global Professional Ethical Standards and the Rules of Conduct.

62
Q

What might shortfalls in client care be considered as?

A
  • Failure to utilise a Complaints Handling Procedure
  • Failure to disclose a Conflict of Interest
  • Misuse of Clients Money
  • Failure to answer correspondence
63
Q

What is a conflict of interest ?

A

A conflict of interest arises in a situation where there may be an actual, perceived or potential risk that the professional judgement of an RICS-regulated firm or member will be compromised when undertaking an assignment.

64
Q

What are the types of conflicts on interest?

A
  • A ‘party conflict’ – a situation in which the duty to act in the interests of a client or other party in a professional assignment conflicts with a duty owed to another client or party in relation to the same or a related professional assignment.
  • An ‘own interest conflict’ – a situation in which the duty to act in the interests of a client in a professional assignment conflicts with the interests of that same RICS member/firm.
  • A ‘confidential information conflict’ – a conflict between the duty of an RICS member to provide material information to one client, and the duty of that RICS member to another client to keep that same information confidential.
65
Q

How do you check for COI in your business ?

A

When filling out a job sheet, any potential conflicts of interest / similar project names are flagged. Also discuss with colleagues prior to engagement during opportunities/wins meetings.

66
Q

What is an information barrier ?

A

Information Barrier’ means the physical and/or electronic separation of individuals (or groups of individuals) within the same firm that prevents confidential information passing between them - such as when two offices from the same business are representing opposing sides in a dilapidations matter.

67
Q

Following a client instruction, how might you ensure that their brief is met?

A

Reviewing the Project Execution plan, including any KPIs and key requirements. Weekly/bi weekly check-ins to provide opportunity for feedback and facilitate communication throughout.

68
Q

What is an example when you have exercised duty of care?

A

When instructed to do something out of my competence/skillset. I informed the client that I was unable to perform a certain task and if another member of staff cannot assist, specialist engagement may be required.

69
Q

Who is responsible for a poor brief?

A

The Lead Consultant (under Designer’s Guidance)

70
Q

What is a CMPS?

A

Client Money Protection Scheme is a scheme that protects money held by RICS firms during surveying related activities, incase they go into administration.

71
Q

What is a framework agreement?

A

Between two or more organisations, it establish the terms governing contracts to be awarded during a given period, in particular with regard to price

72
Q

What are the two type of client accounts available?

A

*Collective
*Separate

73
Q

What are the requirements for Employer’s Liability?

A

*Must get as soon as you become an employer
*Must come from an authorised insurer
*Must cover at least £5m

74
Q

What is Employer’s Liability Insurance for?

A

EL insurance will help you pay compensation if an employee is injured or becomes ill because of the work they do for you

75
Q

What are the penalties associated with EL Insurance?

A

*Up to £2,500 fine every day you are not insured
*£1,000 fine for not displaying EL Certificate or refusing acccess

76
Q

What is PI run off cover and why do firms need it?

A

Run-off PI insurance is a form of cover which protects professionals after they have stopped practicing.

It must be ‘adequate and appropriate’ which means at least 6 years and £1,000,000 on an each and every claim basis.

77
Q

What would happen if you are unable to obtain PI run off cover?

A

The RICS Assigned Risk Pool offers a fallback solution.

APC RG (26 decks)

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