RICS Disciplinary procedures

Question 1

What is the RICS disciplinary procedure?

Answer 1

1. RICS Head of Regulation receives a complaint about a member or firm
2. RICS Head of Regulation makes enquiries as deemed appropriate
3. Fixed penalty may be issued or member/firm informed that they are liable for disciplinary proceedings (consent order or disciplinary panel).

Question 2

What are the three levels of disciplinary action?

Answer 2

1. Fixed Penalty Notice
2. Regulatory Compliance Order
3. Disciplinary Panel

Question 3

What is a Fixed Penalty Notice and when are they served?

Answer 3

A fine and/or caution issued by RICS.

Served when a member breaches the following rules:
- Rule 2 regarding CPD.
- Professional obligation to provide information to RICS.
- Payment of annual registration fees.

Question 4

What is a Regulatory Compliance Order and what does the agreement include?

Answer 4

An agreement between RICS and member/firm that they are liable for disciplinary action.

In the agreement the Regulated Member:
- admit to having fallen short of the standards expected.
- agrees to sanctions.
- agrees to meet the standards expected and/or to prevent it happening again.

Question 5

What may a Regulatory Compliance Order consist of?

Answer 5

One or more of the following:
- Caution.
- Reprimand.
- A requirement to give one or more undertakings as to future conduct.
- A requirement to stop taking certain actions within a set period.
- Conditions on the member’s continued membership to RICS.
- Conditions on Members registration for regulation.
- Pay a fine of up to £2000 per breach.

Question 6

When is action by a disciplinary panel used, and what does it involve?

Answer 6

• Procedure used for more serious breaches of the Rules of Conduct.
• Gross persistent or wilful failure to comply with the rules of conduct.
• Public hearing conducted by a panel.
• Hearings are posted on the RICS website 14 days in advance.
• If a member/firm was not found liable they can apply to the RICS to recover their costs.

Question 7

What penalties are available to the disciplinary panel?

Answer 7

1. Issue a Compliance order
2. Impose an unlimited amount of fine per breach.
3. Impose conditions upon future continued RICS registration.
4. Expulsion from membership or remove a firm.
5. Decision is published in RICS business, on the website, and in Modus.

Question 8

What is the role of the Appeal Panel?

Answer 8

• Appeal panel shall consider a member’s or firm’s appeal against review of a decision relating to the disciplinary penalty decided in the Tribunal.
• Review the decision made regarding the evidence previously presented and any new representations.
• The Appeal Board can allow the appeal and vary the penalty previously imposed.
• 50% of the membership of this panel are lay members.