CLIENT CARE JC

Question 1

Does the RICS have any rules associated with complaints?

Answer 1

Appendix A – Professional obligations to RICS
Firms must publish a complaints-handling procedure, which includes an alternative dispute resolution provider approved by RICS, and maintain a complaints log

Question 2

What is a complaint?

Answer 2

An expression of dissatisfaction. Complaints generally arise where expectations have not been met.

Question 3

How would you deal with a complaint from a client?

Answer 3

‘- Acknowledge receipt of the complaint
- Inform the PI insurers of the complaint at each stage of the process
- Notify the appropriate person in the business (Complaint handling manager) within 7 days.
- Appoint a person to carry out an investigation
- Identify the outcome and course of action to rectify.
- Formally respond to the client, communicate outcomes and course of action for the correction within 21 days
- If the client is unhappy with the outcome, that have the right for separate review or mediation
- If the client is still unhappy, they have the right to refer to independent dispute resolution
- Communicate the lessons learned internally
- Review at a predetermined date in the future

Question 4

What is the RICS Professional Standards on Client Money Handling?

Answer 4

Effective from 01/01/2020
A RICS professional standard
This professional standard refers to the RICS Client Money Protection Scheme Rules (the Scheme Rules), which sets out the various client money protection provisions that apply to RICS-regulated firms.
It is divided into three parts:
1. An introduction explaining the objectives and application of this professional standard and its relation to the rules of the RICS Client Money Protection Scheme.
2. Mandatory requirements for mitigating the inherent risk in holding client money. It is clearly specified where these requirements apply to RICS members or regulated firms only or to both RICS members and regulated firms.
3. Guidance setting out supporting good practice for keeping client money secure.

Question 5

What is an RICS professional standard?

Answer 5

Set requirements or expectations for RICS members and regulated firms about how they provide services or the outcomes of their actions.
RICS professional standards are principles-based and focused on outcomes and good practice. Any requirements included set a baseline expectation for competent delivery or ethical behaviour.
They include practices and behaviours intended to protect clients and other stakeholders, as well as ensuring their reasonable expectations of ethics, integrity, technical competence and diligence are met. Members must comply with an RICS professional standard. They may include:
* mandatory requirements, which use the word ‘must’ and must be complied with, and/or
* recommended best practice, which uses the word ‘should’. It is recognised that there may be acceptable alternatives to best practice that achieve the same or a better outcome.
In regulatory or disciplinary proceedings, RICS will take into account relevant professional standards when deciding whether an RICS member or regulated firm acted appropriately and with reasonable competence. It is also likely that during any legal proceedings a judge, adjudicator or equivalent will take RICS professional standards into account.

Question 6

What options would be available to mitigate this delay if the programme is important to the client?

Answer 6

Following the asbestos removal, an increase to the amount of resources (labour) could mitigate any potential delays.

Question 7

What in your opinion, are the implications of an EOT?

Answer 7

CA/EA can extend time/fix a new completion date, thus mitigating potential for “time at large”.
Postpones the employers right to receover liquidated damages, protecting the contractor from delays that were not foreseeable.

Question 8

Why was this (EOT SMT due to asbestos works) important?

Answer 8

Programme was important to the employer as licences and permissions were being granted for the main enabling works package and any delay to the soft strip works would impact the enabling works programme and therefore the main works programme.

Question 9

What are the time periods in relation to EOT?

Answer 9

• The CA has 12 weeks from notification to decide on an Extension of Time
• If there is less than 12 weeks to PC, they should endeavour to decide before PC

Question 10

What does good client care require?

Answer 10

• A clear understanding of the client’s objectives and aims
• A professional approach
• Clear, concise communication
• A quality assurance procedure
• A Complaint handling procedure
• Professional indemnity insurance
• Client feedback
• Clear lines of communication

Question 11

What is ISO 9001?

Answer 11

A Quality Management System, which helps to manage and monitor quality across the business.

Question 12

How are firms supposed to look after Clients?

Answer 12

By Maintaining:
• Professional Indemnity Insurance.
• Complaints Handling Procedure.
• A procedure for handling clients money if applicable.

Question 13

What is a Complaints Handling Procedure?

Answer 13

A system of dealing with formal complaints against a company/person, for which there is a formal redress system.

Question 14

How does a Complaints Handling Procedure work?

Answer 14

1. Complaints are directed to the Quality Assurance Officer, who will log the complaint in the Complaint Log.
2. A timescale for redress is put in place.
3. An Internal Redress is provided to the complainant.
4. If this redress is not adequate, then the complaint is referred to an external third party for redress.
5. Steps should then be put in place the ensure that the complaint does not arise again.

Question 15

What is included within the Complaints Log?

Answer 15

• Date.
• Location.
• Details of Complaint.
• Actions taken.
• Close out date.

Question 16

What are two ways of ensuring complaints do not occur?

Answer 16

• Proactive measures, whereby Questionnaires are issued to clients, to try and pre-empt where complaints may occur, putting in place measures to ensure they don’t.
• Reactive measures, whereby when a complaint is received, steps are taken to ensure the complaint doesn’t occur again.

Question 17

How do you receive feedback from Clients?

Answer 17

• Client Questionnaires.
• Key Performance Indicators.

Question 18

Can you give me more detail on what Employers Liability Insurance covers?

Answer 18

Covers employers for compensation claims against you by employers for accidents or illness that occur during their work.

Question 19

How do you act upon feedback from a Client?

Answer 19

”* Feedback should be formally recorded in some way, i.e. Client Satisfaction Questionnaires.
* If feedback is negative, it should be verified and necessary action taken.
* If a formal approach is required, this should follow the CHP.”

Question 20

How do you check if the Client is happy with the service you have provided?

Answer 20

”* Client questionnaires.
* Repeat business.
* Recommendations to others/new clients.”

Question 21

How do you establish a Clients objectives?

Answer 21

”* Have a pre-start meeting with them.

* If there is still ambiguity then have further meetings/correspondence to clarify.”

Question 22

How do you ensure Clients are covered financially for work undertaken by yourself?

Answer 22

By Maintaining Professional Indemnity Insurance.

Question 23

If a Client was prepared to pay you in advance for services you or your company were providing, how would you ensure that it was dealt with?

Answer 23

”* I would ensure that a Client account is set up, in line with the rules of Conduct for firms: Handling Client Money.
* I would issue a statement of the account once it has been set up.
* I will agree with the Client how the monies will be drawn down.
* I would issue a revised statement every time I draw down money.
* Once the works are complete, I would provide the Client with a reconciliation of the account, identifying when the monies were drawn down etc.”

Question 24

What else does RICS publish relating to PI Insurance?

Answer 24

”* List of approved brokers.
* Minimum wording policy.
* Black Book, Construction Insurance.”

Question 25

What appointment documents does the RICS publish?

Answer 25

”* RICS Standard Form Consultant Appointment.

* RICS Short Form Consultant Appointment.”

Question 26

What do you need to consider when preparing a fee bid?

Answer 26

My firm has its own procedure for preparing fee submissions, this comprises:
- Finding out what the clients requirements are and identifying whether this is a service that we provide
- A bid or no bid form is populated to identify if this is suitable for the business by considering the risks involved
- There are varying levels of sign off depending on fee value prior to submission

Question 27

How do you calculate a fee proposal?

Answer 27

• I would review the work involved with the commission based on the level of information available
• I would calculate the time & number of individuals required to undertake the work & multiply it by an hourly rate adding suitable allowance for overheads and profits