RICS Disciplinary Procedures Flashcards
Which RICS board is responsible for regulating the surveying profession?
The Standards and Regulation Board
What are the three levels of disciplinary action?
- Action by Head of Regulation
- Disciplinary Panel
- Appeal Panel
What does an initial investigation stage for a compliant involve?
First step is a formal investigation by the Head of Regulations of the RICS.
If they decide that disciplinary action is required they can initiate one of these four things:
- Serve a Fixed Penalty Notice
- Make a Regulatory Compliance Order
- Refer the matter to a single member of the Regulatory Tribunal for consideration
- Refer the matter directly to a Disciplinary panel
What is a Regulatory Compliance Order?
These are for LOW LEVEL breaches of the rules, such as minor breaches that can be easily completed such as CPD.
It is a written document which states the terms upon which the members or firm must take certain actions in a specified times period, and an agreement to pay a fine.
When is action by a Disciplinary Panel required?
Procedures used for more serious breaches of conduct.
The Head of Regulation can consider that a hearing is required under the discipline rules.
Discplinary panel includes lay members (not RICS members).
What are some examples of penalties given at a Regulatory Tribunal Panel?
- Regulatory Compliance Order
- Fine
- Expulsion from membership or remove a firm
- Require publication of the results of the hearing in the RICS Modus Magazine, on the RICS website and in the local newspaper where the firm or member is based
What is the Appeals panel?
Appeals panel can consider a member’s or firm’s appeal against disciplinary procedures.
They will review the decision made having regard to the evidence previously presented and any new representation.
Appeals panel includes lay members.
