Conduct / Ethics - Complaints Handling

Question 1

Describe what a complaint is

Answer 1

An expression or statement of dissatisfaction.

Question 2

Can you name a benefit from receiving a complaint?

Answer 2

It would provide a firm the opportunity to identify any internal issues and could also improve client relations if the complaint is handled properly and the client can see their concerns are taken seriously.

Question 3

Do you have to have a CHP?

Answer 3

Registered Firms are required under Appendix A of the Rules of Conduct.

• It is also good practice for all firms to have a process for dealing with complaints.

Question 4

Why do complaints arise?

Answer 4

• When expectations haven’t been met, potentially through a lack of clarity in the terms of engagement, or a change in personnel who may not be best suited to the client brief.

Question 5

What steps can be taken for effective resolution of a complaint?

Answer 5

• A CHP relevant to the scale and scope of the company and its types of projects
• Ensure the issue of a complaint is received (no unmonitored email addresses)
• Early and collaborative engagement with the client/issuer of the complaint
• Listen, show empathy, understand the root cause
• Follow the procedure and provide quality communications
• Seek third party redress if you are unable to satisfy the complainant internally.

Question 6

Who would you notify if you received a complaint?

Answer 6

My PII provider (normally triggered when issuing a copy of the CHP forms).

Question 7

What are the requirements of an effective CHP?

Answer 7

• Be fit for purpose (reflect size/scope of company)
• Include 3rd party redress
• complaints log
• Made available and understood by all staff (keep records of training)
• Readily shared with complainants/potential complainants
• Review regularly at senior level
• Be agreed with PII provider (do not compromise cover)
• Provide details of independent redress if firm cannot resolve complaint
• Have an audit process in place.

Question 8

Name the stages of the RICS’ CHP

Answer 8

Stage 1 = Internal
o complaint comes in.
o Issue forms to complete and CPH procedure
o Received complaint in writing
o Consider complaint as quickly as possible - agree who best to deal with
o Acknowledge within 7 days
o Update or full response within 28 days

Stage 2 = external
o Unable to agree on resolution within 28 days (not accepted remedy)
o Take to independent redress provider (3rd party) / see ADR mechanisms UK/Ireland Feb 2022.
 RICS listed person as approved by RICS Regulatory Board
 Could be RICS adjudicator

Question 9

Where would consumers seek independent redress?

Answer 9

• Centre for Effective Dispute Resolution (CEDR)
• The Property Ombudsman
• The Property Redress Scheme

Question 10

Where would business to business seek independent redress?

Answer 10

• CEDR
• RICS’ Independent Adjudication Service
• Neutral Evaluation Procedure for Surveying Disputes.

Redress must be approved in writing by RICS if not listed in