Level 2

Question 1

Explain when you have maintained confidentiality

Answer 1

Whiteparish ward - M&E Consultant outside of the Client’s confidential circle requested a copy of a Financial Statement. I informed the Client and requested their written agreement to share this document. By informing and obtaining confirmation and agreement from the Client, I maintained confidentiality of sensitive information.

Question 2

What would you do if you were offered a Christmas gift?

Answer 2

I referred to the RICS decision tree and informed my manager. I considered that the offer was genuine and proportionate but rather than personally accepting the gift I placed it in a pool of gifts and logged it in the register.

Question 3

Your brother in law is a chartered surveyor. you find out that he is working outside the RICS Rules of Conduct what do you do?

Answer 3

I verify the facts and confront him, reminding him of his duties to the RICS. I refer to the ethics decision tree. I inform the RICS specifying my relationship (conflict of interest) and any corrective action I believe my brother may be put in place.

Question 4

How can disciplinary proceedings be triggered by the RICS. What is the procedure if there is a breach of a rule of conduct?

Answer 4

Someone complaining to RICS, allegation by client or third party or information received or established by RICS. Not every breach will give rise in a proceedings, a formal investigation by head of regulation of RICS who would request information and visit to investigate compliance, members to fully cooperate.

Question 5

What three actions can the RICS impose at the end of an investigation of a disciplinary proceeding?
And what are they?

Answer 5

Fixed Penalty - fine by RICS
Consent order - written agreement between RICS and member or firm concerning the issue on a breach of the RICS rules. Require corrective actions or restrain them from taking certain actions for a period of time - may require fine or costs.
Displinary panel - more serious breach - held in public, burden of proof is on the RICS and a balance of probabilities approach will be used. (Based on evidence)