Disciplinary Procedures

Question 1

Who undertakes disciplinary procedures?

Answer 1

The SRB

Question 2

What are the levels of disciplinary action?

Answer 2

1. Action by head of regulation
2. Disciplinary Panel
3. Appeal Panel

Question 3

What happens in initial investigation stage?

Answer 3

Formal investigation by head of regulation of RICS

He can initiate one of four actions:

1. Serve fixed penalty notice
2. Make a regulatory compliance order
3. Refer the matter to a single member of the regulatory tribunal for consideration
4. Refer the matter directly to a Disciplinary Panel

Question 4

What is a fixed penalty notice?

Answer 4

Used only for the breach of rules relating to supply of information to the RICS by firms and members. these may consist of fine and/ or caution

Question 5

What are regulatory compliance orders?

Answer 5

For minor breaches which are easily corrected
- written document setting out what members must/ must not do and also may include a fine
- Can cover for example: non-compliance with rules of conduct; failure to undertake CPD

Question 6

What is disciplinary panel action?

Answer 6

• For more serious breaches of conduct
• Head of regulation can decide a hearning is needed
• Members includes lay members rather than RICS members
• Penalties include:
• Issue Regulatory Compliance Order
• Reprimand
• Fine
• Impose unlimited fine per breach but must be proportionate
• Impose conditons on future continued RICS registration
• Expulsion from membership or remove a firm
• Require results of hearning published in MODUS, on RICS website and in local paper

Question 7

What is an appeal panel?

Answer 7

• Appeal against decisions
• Review decision based on previous evidence and any new evidence
• Appeal panel can allow appeal and vary penalty previously imposed
• Membership of panel includes lay members