Disciplinary Procedures Flashcards
What are the triggers for Disciplinary Proceedings?
1) Complaint - someone complaining to the RICS
2) Information - received or established by the RICS
3) Allegation - an allegation by a client or third party
Source: RICS Regulatory Tribunal Rules 2022
What are the 3 levels of disciplinary actions?
1) Action by Head of Regulation – following investigation, the head can serve a fixed penalty notice, make a Regulatory Compliance Order, refer the matter to a single member of regulatory tribunal or refer matter to a Disciplinary Panel
2) Disciplinary Panel
3) Appeals Panel
Source: APC Success
What makes up a Disciplinary panel?
A disciplinary panel is made up of 3 members of the Regulatory Tribunal (1 chair and at least two non-RICS members).
What breaches may lead to expulsion?
1) Gross, persistent or willful failure to comply with the RICS Rules of Conduct
2) Fraud or dishonesty
3) Conviction of a serious criminal offence
4) Gross incompetence
5) Deliberate discrimination
6) Misappropriation of a client’s money
Why does RICS regulate the surveying profession?
1) Protect the public
2) Uphold public confidence in the profession
3) Uphold professional standards
Source: APC Success
Who regulates the surveying profession?
The RICS Standards and Regulation Board
Source: APC Success
Who is the chair of the RICS Standards and Regulation Board?
Nigel Clarke - Independent Chair
https://www.rics.org/regulation/regulatory-governance/standards-regulation-board/standards-and-regulation-board-meet-the-board
Explain the disciplinary actions.
1) Fixed Penalty Notice - fine and/or caution for breaches relating to supply of information to RICS.
2) Regulatory Compliance Order - a written document stating the actions a member or firm must take in a specified time period and agreement to pay a fine. Possible actions include caution / reprimand / undertakings / future conditions / fine. For low level breaches e.g. failure to undertake CPD.
3) Disciplinary Panel - for more serious breaches. Held in public and burden of proof is on RICS on a balance of probability basis. Action could include Regulatory Compliance Order, Reprimand, Fine, Future Conditions, Expulsion of membership of firm, publication of results of hearing in RICS magazine / website / newspaper
4) Appeal Panel - lay members of the panel can consider a member or firm’s appeal and vary the penalty previously imposed.
Source: APC Success
What is wistleblowing?
The reporting of wrongdoing.
● Employees can report certain types of wrongdoing
● Large firms should have a policy in place
Why would you do if you found out someone you know (a chartered surveyor) is working outside of the RICS Rules of Conduct?
1) Verify the facts
2) Confront the individual and remind them of their duties as an RICS member.
3) Inform the RICS specifying my relationship to the individual and any corrective action which I believe the individual is committed to put in place.
What is the procedure for a breach to the RICS Rules of Conduct?
Not every shortcoming gives rise to proceedings.
1) Formal investigations by Head of Regulation of the RICS
2) RICS may request further information and / or visit and inspect to investigate compliance
3) Member must fully vooperate
What factors may RICS consider when investigating a potential social media breach of the Rules of Conduct 2021?
Factors that may be relevant to whether social media use is in breach of the Rules of Conduct:
1) Whether the content is dishonest or misleading (untrue information may damage public trust in the profession)
2) Whether the content is discriminatory (may damage public trust in the profession)
3) How closely connected the content is to professional life (content in which you are identified as a professional is more likely to be relevant for regulatory purposes)
4) The way in which the content is expressed (Rules of Conduct 4 - treat others with respect and encourage diversity and inclusion)
5) Whether the content is confidential or private (Sharing confidential data may damage public confidence in the profession and may demonstrate a lack of integrity)
