Ethics - Confidentiality and Complaints

Question 1

What does the RICS Bye laws state about client confidentiality?

Answer 1

Client confidentiality must be maintained for all client affairs. This includes historic information and information provided by a client prior to instruction.

• If a third party wants access to your files you must get your client’s approval first unless you are subject to a statutory duty overriding the client’s confidentiality rights, such as a police or HMRC investigation.

Question 2

How long should old files be held before disposal?

Answer 2

Old files should be held for a minimum of 6 years before disposal and destroyed securely.

• If a surveyor overhears or finds out a confidential piece of information regarding a party who is not their client, the matter should be recorded in a note to the firm’s compliance officer.

Question 3

What is the requirement for RICS Regulated Firms regarding complaints handling procedures?

Answer 3

It is a requirement for RICS Regulated Firms to have a published complaints handling procedure (CHP) that meets the requirements of the RICS Rules of Conduct, 2021.

• Details of the CHP should be issued to a client at the same time as Terms of Business.

Question 4

What must be included in a firm’s Complaints Handling Procedure?

Answer 4

Firms must include an RICS approved Alternative Dispute Resolution (ADR) mechanism in their Complaints Handling Procedure.

• Standard minimum procedures for handling a complaint include Stage One (In House) and Stage Two (ADR - Third Party Resolution).

Question 5

What is the process for Stage One (In House) in handling a complaint?

Answer 5

Details of the CHP should be issued whenever the firm receives a complaint from a valid complainant to whom the firm owes a duty of care. The procedure must be quick, clear, transparent, and impartially implemented.

• A complaint should be acknowledged within 7 days and investigated within 28 days.

Question 6

What is the process for Stage Two (ADR - Third Party Resolution) in handling a complaint?

Answer 6

If the complainant is not happy with the review, the second stage of the CHP involves using an independent redress scheme that the firm has chosen to use. The name of the relevant appropriate redress mechanism must be provided to the complainant.

• The RICS will only become involved if a member fails to respond to the complainant or prevents the party gaining access to an independent redress mechanism.