Complaints Handling Flashcards
On what grounds may a complaint be made
Poor service
Mistake made
Customer treated badly
Not acting in accordance with charter or code of practice
What is the complaints handling policy of your firm
1) Contact the person you have been dealing with
2) If unresolved make a formal complaint
3) Email a referral form outlining details of complaint
4) There is a 2 tier system for dealing with a formal complaint
i. Tier 1 a complaints investigation manager is issued the case
ii. Tier 2 if unhappy with the response you will be assigned a new complaint investigation manager
5) If you are not happy with a tier 2 response an adjudicator for HMRC is appointed
6) Another option is to make a formal complaint to your MP who will refer the complaint to the Parliamentary Ombudsman who is independent of government and free of charge. The Ombudsman typically expects the complaint to have already been considered by the VOA and Adjudicator.
When should a receipt of complaint be acknowledged
2 working days
How long should it take to issue a response
28 working days unless a complex matter
What are some other codes of practice when dealing with a complaint
Provide a designated contact point and do not discriminate in anyway
What must RICS firms have in place when dealing with complaints
- A complaints handling procedure
- Maintain a complaints log
- An approved Alternate Dispute Resolution mechanism that is approved by the Regulatory Board
- A provider of Professional Indemnity Insurance who will be informed if damages are likely to be recovered
What makes an effective complaints handling procedure
- Reflect size and structure of business
- Made available to all staff
- Trained staff on matters
- Supplying clients with a copy
- Agreed with PII broker
- Provide details of independent redress if the firm cannot resolve the complaint
What must firms consider in relation to PII when making a complaints handling procedure?
Receipt, management and resolution of a complaint must be in line with the terms of a firms PII policy otherwise this may compromise the cover provided by the policy.
What is a typical complaints handling process
1) Issuing a preliminary notice to the surveying firm. Notice may include info on the likely level of damages to be claimed
a. Acknowledgement to a claim should be made within 21 days and a notice should be sent to their PII broker
2) The next stage is a letter of claim which shows clear intent from the claimant to sue
a. This letter should identify the parties involved, the reasons for the claim, the estimated financial loss due to the negligence and if a professional has been appointed.
3) Investigation of the claim through independent redress is then made with a response required within 3 months
4) If the letter of response denies the claims then the claimant can aim to resolve through ADR or go to court proceedings (it is typically advised to use ADR and may impact claims on costs)
5) Court will aim to resolve case within 6 months
What is a liability cap
Contractual agreement in the terms of engagement which limits the client on how much they could claim in damages
What is third party reliance
This is the agreement to allow parties not subject to the initial instruction to rely on the Valuers report. RICS recommend that there must not be any third party reliance and that this is outlined in the terms of engagement stating the valuer accepts no responsibility
What is proportionate liability
This limits a members liability to the loss that was sustained as a direct result of their negligence
What is personal liability
Liability incurred by an individual. Every lease term must have a clause which excludes the individual from personal liability
When must a firm have independent redress
Small business firms that do not have an internal complaints team will need to join with an external surveying company who can oversee the complaint handling
When is an ombudsman used
Typically used for public sector companies for example the parlimentary ombudsman for the VOA
