Client Care / Communication & Negotiation / Conflict Avoidance, Management & Dispute Resolition Flashcards
What behavious help establish good client relationships?
Communcation
Honesty
Integrity
Respect
Good standard of service
Duty of care
What is set out in the RICS Complaints Handling Professional Standard 2016?
Professional indemnity (PI) and CHP must be approved by RICS
What is involved in a CHP
What is involved in a CHP?
- Appointment of an in house complaints handling officer, impartially implemented
- Alternative Dispute Resolution - Property Redress Scheme
What is CBRE’s complaints handling procedure?
- Contanct head of risk & compliance
- 5 days to acknowledge complaint
- 20 days to invesitgate and inform outcome
- if not happy, refer to external organisation
Examples of good negotiation skills?
Agreeing objects and negotiation strategy prior
Detailed research and analysis eg. SWOT
deciding non-negotiables
understanding the other parties positions
Walk away when necessary
Exampels of negotiation strategies
Win-Win vs Fall back positions
Finding common ground
Active listening
Partnership and collaborative approach (rather than adversarial)
What does this the Global Professional Standard: Conflicts of Interest (2023) cover?
Mandatory statement
Must not advise or represent a client where doing so would involve a conflict of interest
Information on how to handle and avoid conflicts
What are the three main processes available to solve disputes?
- Negotiation – problem solving between parties
- Mediation - third party investigation
- Adjudicative processes e.g. litigation or arbitration
What are the best ways to avoid disputes?
Clear communication
Managing expectations
Adopting proactive conflic avoidance risk analysis
Keeping good records
What are the appropriate methods of conflict avoidance, management and resolution?
Avoidance
Management eg. Info barries
Resolution - through various methods
What are ADRs (alternative dispute resolution procedures)?
ADR = dispute resolution processes and techniques that fall outside of the scope of court litigation eg. Mediation, independent expert, advocate
What is an expert witness? How does this play a role in dispute management?
Expert witness = when a surveyor provides evidence to a judicial or quasi-judicial body. Legal proceedings
How is a conflict-of-interest check undertaken?
Identify parties and property
think about involvement
Then run internal checks against the property or client (past, current or future instructions, relationships etc.)
First think about involvement
What if your company didn’t have COI system?
If no internal system eg. salesforce – email heads of department on both, speak to admins within the teams who have record of all information to cross check, check own emails and files.
What do COI checks actually look like in reality?
Well most of the time the checks are undertaken by admins – but we use salesforce, and you input the property and parties into the search bar
How would you handle a conflict?
Pay credence to the RICS Professional standard
1. Avoid
2. Written advice to both parties (nature of dispute, clarity, written permission to engage in resolution)
3. Conflict management eg. Info barrier
Can you give me an example of an information barrier you could use?
e.g. Secure Collaboration = The solution provides controls across collaboration portals, such as Microsoft SharePoint, to create a virtual boundary that prevents users from sharing or accessing information inappropriately.
Why would you ensure concise wording of contracts? What is the benefit of this?
Ensures that both parties understand their obligations and dues at the start of the process, and are the legally bound to comply
Why might a conflict exist between the valuation and agency team?
Agency team may be instructed to sell something once the valuation has completed – conflict as they may want a lower valuation that they can easily beat and therefore have a more willing seller.
Example of when you have managed a conflict? How did you do this?
New client was a family member of an old CBRE employee. However, since they had left, after informing the client and getting written consent this was okay, we could still carry on with the instruction
Why must an instruction be declined if a conflict is found?
RICS prof. stat. on conflicts of interest (2017) – mandatory practice which states so.
Conflict may introduce impartiality to your work – which can lead to poor quality service. Also in line with RoC (2021) – diligent and quality service
Have you ever declined an instruction?
Not personally no
How would you handle a complaint?
Acknowledge promptly
Investigate thoroughly
Communicate
Resolve Fairly
Can you name / describe some Dispute resolution procedures?
- Negotiation – the problem solving efforts
- Mediation or conciliation – a third party intervention
- Adjudicative processes – an outcome is determined by a third party, such as litigation and arbitration
What are the advantages and disadvantages of ADR?
Speed – taking less time thancourt proceedings
Informality – outside court
Negotiation – greater opportunity for negotiation
Cost – less money spent o professional fees for litigation
Quality of Decisions – quality of decision making because ethe decision can be made by a surveyor rather than a judge
Confidentiality
What are the various methods of ADR? Can you give some specific examples?
Mediation e.g. use of neutral mediator
Arbitration e.g. PACT for lease renewals
Independent Expert
What is a conflict?
A conflict is a situation that arises that threatens the impartiality of the person acting on a instruction
Give me an example of how you have improved your communication skills following these company workshops?
Understanding your audience
How to structure a presentation
How to use visual aids
Speak clearly and confidently
When do disputes arise in your role?
What can you do if negotiations break down?
If negotiations breakdown you have the ability to choose from alternative dispute resolution processes.
What is a conflict of interest?
A situation where a surveyor’s ability to complete an instruction in an impartial manner is jeopardised
Give examples of ways that conflict can be avoided.
Conflicts can be avoided through conflict avoidance and conflict management
Why is good management important?
Good management is important because it ensures that objectives are met through a transparent process. It also ensures that a high standard of service is being provided and is part of the rules of conduct for firms and members.
What are the benefits of clear contract documentation?
· Benefits of clear contract documentation provides proof of what was agreed between you and the other party.
· It helps to prevent future misunderstandings or disputes by making the agreement clear from the beginning
What is partnering or alliancing?
Partnering and alliancing are terms to describe a collaborative approach
Why is good project or instruction management important?
Good instruction management is important because it ensures that what is being delivered is correct.
How can good client management reduce conflict?
· Good client management can reduce conflicts because you are able to build a good relationship with them based on openness, trust and respect.
How can good record keeping avoid conflict?
· By keeping copies of emails, minutes of meetings and telephone calls can reduce conflict as it is then clearly documented what is required and is being done.
How do reporting and proactivity reduce conflict?
· Keeping good records with a sufficient level of detail can often help to resolve conflicts before they escalate.
What are the three pillars of dispute resolution?
- Negotiation
- Mediation or conciliation
- Adjudicative process
Give examples of each pillar of dispute resolution
- Negotiation – two parties agree mutually on a contract
- Mediation or conciliation – this is used when issues are unable to be resolved by negotiation
Adjudicative process – last resort
How do mediation and conciliation differ globally?
Mediation is a process of resolving issues between parties with the help of a third party, while conciliation is a method of settling disputes between parties with the help of an expert.
Conciliation is based on the arbitration and conciliation act 1996
Why is this important to be aware of?
Controls the process and whether the outcome is binding or not
What is Alternative Dispute Resolution (ADR)?
· Alternative dispute resolution (ADR) differs slightly in that it is a procedure to avoid litigation.
Tell me about a conflict of interest check you have carried out.
What would you do if you identified a perceived/actual conflict of interest?
Can you tell me about any RICS guidance relating to conflicts of interest?
RICS Professional Standard: Conflicts of Interest, 2023
What is the practice of dual agency/double dipping?
Dual agency and double dipping was banned in 2018.
It is where a surveyor has a contractual relationship with both the seller and the buyer.
Can you tell me about any recent RICS guidance relating to dual agency/double dipping?
RICS Professional Standard: Conflicts of interest – UK Commercial Property Market Investment Agency, 2017
What is the role of an Arbitrator?
Evidence – only what is provided to them by both parties
Limited rights to appeal
Not liable for negligence
Arbitration act 1996
Power to award costs
What is the role of an Independent Expert?
they are able to include their own evidence
No right to appeal
No legislation
Power over their own costs
RICS Professional Standard: Independent Expert Determination, 2016
Can you tell me about any other types of ADR?
Early neutral evaluation – use of an independent person, experienced in the subject matter of the dispute, to give non-binding opinion
Mediation – a neutral mediator who facilitates discussions between the two parties
Can you tell me about adjudication?
Adjudication – typically for construction payment disputes. To be decided within 28 days
What is the TCC and what is their role?
The Technology and Construction Court – primarily deals with litigation of disputes arising in the field of technology and construction.
If you work with contracts, explain how dispute resolution works in a contract you have worked with.
I haven’t worked in contracts personally.
Explain the role of the CPRs.
Consumer Protection Regulations 2008 – ensure that businesses, organisations and members act fairly; we must provide accurate information and avoid practices that are unfair and misleading
What governs dispute resolution during insolvency or bankruptcy proceedings?
The Insolvency Act 1986
What is a Dispute Review or Recommendation Board (DRB)?
An independent panel of impartial professionals providing guidance to resolve project issues and mitigate their impact during an active construction project.
How does this DRB process work?
An agreement between the owner and the party constructing the project creates the board and describes its role and responsibilities. The board cannot make decision unless it is clearly stated in the contract.
What is a Dispute Adjudication Board (DAB)?
Dispute Adjudication Board – is an independent panel of typically 3 experienced construction professionals – to provide help to avoid issues as a project develops
How do the DABs work?
DAB’s involve itself in the pre-dispute stage to a greater or lesser extent, seeking to resolve matters before they escalate to adjudication or arbitration.
What are the relevant timescales for adjudication?
Strict timescales, requiring the adjudicator to decide in 28 days
Which Act governs adjudication?
Housing Grants, Construction and Regeneration Act 1996
What is the basic principle of adjudication?
Adjudication is the means of resolving a dispute in a fair and just manner. Without prejudice to either party
What claims is adjudication appropriate for?
Construction payment disputes
What is the aim of adjudication?
Aim is to resolve disputes quickly, in a binding contractual process
Explain the various adjudication services provided by RICS.
Commerical eg. Construction, low value or Consumer eg Homeowner
Explain the impact of the Housing Grants Construction and Regeneration Act 1996 (Construction Act) on dispute resolution and construction contracts.
The Housing Grants, Construction and Regeneration Act 1996 meant that payments are made promptly throughout the construction supply chain and that disputes are resolved swiftly.
Explain what the role of the RICS Low Value Dispute Adjudication service is.
The role of the Low Value Adjudication service is to allow SMEs with less complex small claims to have access to adjudication
£50,000 or less
How does homeowner adjudication work under the Construction Act?
RICS will nominate an adjudicator who is an expert in the subject matter in dispute and will use this expertise to decide the matter within 21 days
Can you tell me about PACT in relation to lease renewals?
PACT – Professional Arbitration on Court Terms
Used in lease renewal disputes where an arbitrator or independent expert is appointed
What is the role of RICS in dispute resolution?
RICS’ role is to act impartially
What RICS guidance are you aware of relating to dispute resolution, ADR or roles in dispute resolution?
RICS Professional Standards:
Surveyors Acting as Expert Witnesses (2023)
Surveyors Acting as Advocates (2017)
Key princples: Every dispute resolver must act impartially
What is the difference between an expert witness and an advocate?
Expert witness – duty is to the court and not the client. Must act impartially
Advocate – duty to represent the client. Must be competent to act
What tribunals are you aware of?
The Lands Tribunal
When might the Lands Tribunal be involved in a dispute?
Lands Tribunal is involved in a dispute when methods of ADR have failed and not been able to resolve the issue.
Which dispute resolution procedures lead to a binding decision?
Arbitration
Independent Expert
What is a Scott Schedule and when would one be used?
A Scott table is used to analyse two parties’ differences / issues causing the dispute. It can be used for ADR or court proceedings to clearly identify the areas in dispute.
How would you vary your approach if you were dealing with a personal interest?
Discuss with my team the personal interest
Declare personal interest with the client
Make them aware of their involvement
Step away
Notify client and get informed concent
