Ethical Issues

Question 1

What should you consider when dealing with an ethical issue?

Answer 1

• Sufficient facts on the issue
• Legal implications
• Alignment with RICS Global Professional and Ethical Standards
• Consultation with appropriate people
• Clear reasoning for the decision
• Confidence for the decision to be made public

These considerations help ensure ethical decision-making in professional practice.

Question 2

Name examples of unbefitting behaviour.

Answer 2

• Giving false or misleading information
• Misappropriating client funds
• Criminal convictions
• Failure to cooperate with an RICS investigation
• Failure to cooperate with a client complaint
• Failure to maintain PII
• Discrimination
• Divulging confidential information
• Acting inappropriately in a conflict of interest

Such behaviours compromise professional integrity and can lead to disciplinary actions.

Question 3

When should the firm issue a CHP to a client?

Answer 3

When the firm receives an expression of dissatisfaction from a valid complainant.

The CHP should be communicated alongside the terms and conditions in the appointment letter.

Question 4

What should you inform the insurers about?

Answer 4

Any situation which may lead to a claim.

Issuing the CHP to a valid complainant is a trigger to inform the insurer.

Question 5

What is negligence?

Answer 5

Departing from the conduct expected of a reasonably prudent person acting under similar circumstances.

Negligence can lead to liability and claims against professionals.

Question 6

How do you ensure that you aren’t negligent?

Answer 6

• Understand client objectives and confirm instructions in writing
• Check competency to undertake the work
• Undertake work in line with relevant RICS guidance
• Make detailed file notes and take photographs
• Keep up to date with market knowledge and legislation and record CPD

Following these steps helps maintain professional standards and reduces the risk of negligence.

Question 7

What does your firm’s complaint handling procedure say?

Answer 7

Adrian o’Hickey

This is a placeholder for the specific details of the complaint handling procedure.

Question 8

What happens if the Technical Director is unable to resolve a complaint?

Answer 8

The complaint will be referred to RICS Dispute Resolution Service.

This ensures an external and impartial review of unresolved complaints.

Question 9

What will be done following any complaint?

Answer 9

The complaint will be reviewed to determine lessons learnt and required changes to standard operating systems.

Continuous improvement is integral to effective complaint handling.

Question 10

What are the RICS requirements for a complaints handling procedure?

Answer 10

• Quick, clear, transparent, and impartially implemented free of charge
• Detailed in all terms of engagement
• Nominated person for investigation must be stated
• Written procedures approved by RICS
• Notify PI insurers about complaints
• Maintain a complaints log
• Acknowledge complaints within 7 days and investigate within 28 days
• Include an Alternative Dispute Resolution mechanism

Adhering to these requirements ensures compliance and enhances trust in the complaint handling process.