Complaints handling procedures (CHP)

Question 1

Where should your company CHP be stipulated?

Answer 1

Should be included within the Terms & Conditions of the contract with the Client and made evident

Question 2

What makes an effective CHP?

Answer 2

The procedure should have specific timescales to respond within

The procedure should be quick, transparent and impartially implemented

The procedure should have specific actions against individuals

The procedure needs to be adhered to in order to show that the complaint has been handled effectively
and in accordance with company policy

Question 3

What can the complainant do if they are unhappy with the outcome of the CHP?

Answer 3

If complainant still unhappy with the outcome, they have right for separate review or mediation / raise with
RICS

If complainant still unhappy, they have right to refer to independent dispute resolution (should also
inform insurers of the complaint at each stage)

Question 4

How might you deal with customer complaints?

Answer 4

Log the complaint in a complaints handling log / schedule

Allocate the complaint to appropriate person as per company procedure

Raise complaint with immediate director/working on the project (if appropriate)

If this cannot be resolved its raised to other director. If this still cannot be resolved it is referred to a third party complaints resolution company / the property ombudsman.

Respond in the identified timescale to the client

Investigate the complaint using defined procedures

Identify the outcome and course of action to rectify or close out the complaint

Communicate the outcomes and course of action to the client

Formally record using appropriate process

Communicate the lessons learned internally

The RICS guidance on ethics and expected standards of behaviour should be referred to as well as the
option for clients to make formal complaints to RICS

Question 5

What can RICS do during a complaint?

Answer 5

They can 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

Question 6

What are the subjects RICS investigate a member / regulated firm against during a complaint?

Answer 6

o Failure to use complaints handling procedure
o Incompetence
o Conflicts of interest
o Misuse of client’s money
o Failure to answer correspondence
o Allegation or a conviction of a criminal offence

Question 7

What potential shortfalls are there during the complaints procedure?

Answer 7

Failure to utilise a Complaints Handling Procedure

Failure to disclose a Conflict of Interest

Misuse of Clients Money

Failure to answer correspondence

Question 8

What is an example of a Conflict of Interest?

Answer 8

Situation where individual has competing interests / loyalties because of their duties to more than
one person or organization (can be where you are loyal to two parties, taking bribes / accepting gifts)

Suppose you have introduced an investment property to a client and agreed a purchase fee, payable on
successful completion of the transaction (think the Shapir Brothers and Richardson Mews). The client
requires a valuation and a building survey in addition to a purchase report. If you provide all3 services to
the client this can pose a conflict of interest.