Complaints Handling Flashcards
What is the RICS Professional Standard regarding complaints handling?
RICS Professional Standard: Complaints Handling 2016.
What are the requirements of the RICS Professional Standard: Complaints Handling 2016?
● RICS regulated firms must have a published CHP that meets the requirements of the RICS
● Must include Alternative Dispute Resolution (ADR) mechanism
● A complaints log must be maintained
● Firms must have a nominated complaints handling officer
● When issuing TOE a firm should make it clear to the client they operate a CHP
● Notify PII insurers as soon as a complaint is made
What are the RICS standard minimum procedures for handling a complaint?
2 stages:
1) In House – following complaint: CHP issued, complaint made in writing (to nominated Complaints Handling Officer), acknowledged in 7 days, investigated and response within 28 days.
2) ADR / Third Party Resolution – if the complainant is not happy with the response then the name of the redress mechanism must be provided e.g. Centre for Effective Dispute Resolution (CEDR), the Property Redress Scheme or RICS Dispute Resolution Service.
What is a redress scheme?
A scheme designed to handle small issues without going to court (disproportional).
● If the scheme judges in favour of the complainant it is binding.
● If the scheme judges in favour of the firm, the complainant can escalate it to court.
● RICS firms must specify the redress scheme within their CHP.
What do you know about redress schemes in relation to an RICS firm’s CHP?
● Every RICS-regulated firm must have named an ADR provider in their complaints handling procedure.
● RICS maintains a list of ADR providers that have been approved by SRB for firms to choose from.
● The Centre for Effective Dispute Resolution (CEDR) has acted as this default provider since 2018 and RICS has entered into a new contract with CEDR to provide this service until 2026.
What is your firm’s CHP?
● Complaint in writing to a director (our complaint handling officer)
● 7 days for acknowledgement
● 28 days for investigation and response
● If not resolved escalated to Managing Director
● If still not resolved then referred to the ICE dispute service
What would you do if you received a complaint?
1) Acknowledge receipt and forward to our complaints handling officer
2) Suggest that PII provider is informed immediately.
Tell me about how you would handle a client complaint.
1) Ensure the complaint is provided to our firm’s complaint’s handling officer
2) Ensure the complaint is acknowledged with 7 days and a copy of our CHP provided
3) Ensure our PII provider is informed of the complaint
4) Ensure that if the complaint hasn’t been resolved internally with 28 days, the complainer is provider details of the ADR procedure
Tell me about your understanding of your firm’s process for escalating a complaint to Alternative Dispute Resolution (ADR).
I have not personally experienced a client complaint being referred to ADR. However I am aware that my firm’s CHP includes ADR with the ICE dispute resolution service. NEC is the most common form of contract used at my firm so this aligns well as ICE produces NEC contracts.
