Definition

A complaints handling procedure (CHP) is a documented process through which a regulated firm receives, investigates and resolves client dissatisfaction. The RICS Rules of Conduct require all regulated firms to operate a CHP, make it available to clients, and designate a Senior Responsible Person (SRP) with overall responsibility for complaints.

Why this matters for Client Care

  • Level 2 knowledge: you must be able to describe your firm's complaints procedure in detail, including the stages, timescales, and the role of redress schemes.
  • Assessors regularly open Client Care questioning with: "If a client complained about your service, what would happen?" A vague answer indicates the candidate does not genuinely understand their firm's processes.
  • A well-run CHP protects the client and the firm; failing to operate one can result in a referral to RICS Regulation as a breach of the Rules of Conduct.
  • The procedure links to the wider client care framework: a complaint is often a sign that an earlier obligation — communication, timely delivery, or clear scope — was not met.

Key principles

Stage 1: acknowledgement and internal investigation

The firm must acknowledge the complaint promptly (typically within five working days) and investigate it thoroughly. The complaint should be allocated to someone not involved in the original instruction. The investigation should review all relevant correspondence, reports and file notes. The client must be kept informed of progress.

Stage 2: internal resolution

Following the investigation, the firm should provide a written response within a defined period (commonly eight weeks) setting out findings and any proposed remedy (apology, fee reduction, repeat inspection or compensation). The response should be proportionate, clearly reasoned and free of jargon. The client must be told they can escalate if dissatisfied.

Stage 3: independent redress

If the client remains dissatisfied, they must be referred to an approved independent redress scheme. Firms providing residential services must be registered with The Property Ombudsman (TPO); for commercial services, the RICS Dispute Resolution Service provides adjudication and mediation. The scheme can award compensation, require a formal apology, or order a fee refund.

Learning from complaints

A complaint is an opportunity to improve service. The SRP should review all complaints periodically, identify recurring themes, and update procedures accordingly — reflecting the continuous improvement expectation embedded in Rule 3 of the Rules of Conduct.

Relevant RICS guidance and legislation

  • RICS Rules of Conduct (effective 2 February 2022) — require all regulated firms to have a CHP and an SRP.
  • RICS "Complaints handling" professional standard — the mandatory standard setting out the minimum content and process requirements for a firm's CHP.
  • Consumer Rights Act 2015 — services must be performed with reasonable care and skill; the CHP addresses situations where that standard may not have been met.
  • The Property Ombudsman — the main approved redress scheme for residential agency and property management services.
  • RICS Dispute Resolution Service — provides adjudication, mediation, and expert determination for surveying and construction disputes.

Ethics and Rules of Conduct angle

Rule 3 requires members to handle complaints promptly and professionally. A complaint that is ignored, delayed or handled defensively is itself a breach of Rule 3, independent of the merits of the original grievance. Rule 1 is also engaged: a firm that acknowledges a genuine error and remedies it behaves with integrity; one that minimises a legitimate complaint does not.

APC-style Q&As

Q (Level 1)What are the two mandatory requirements the RICS Rules of Conduct impose on regulated firms regarding complaints?

Regulated firms must operate a documented complaints handling procedure and designate a Senior Responsible Person with overall accountability for complaints. Both requirements apply regardless of firm size.

Q (Level 1)What is the role of an independent redress scheme?

If a client remains dissatisfied after the firm's internal complaints procedure, they may refer the complaint to an approved independent redress scheme. The scheme independently reviews the complaint and can award compensation, require a formal apology, or order a fee refund. RICS-regulated firms must be registered with an approved scheme.

Q (Level 2)A client sends a letter saying they are unhappy with a recent valuation instruction. Walk me through the steps your firm would take.

The complaint would be acknowledged within five working days and logged. It would be allocated to the SRP or a colleague not involved in the original instruction. That person would review the file and assess the merits. A written response would be provided within eight weeks, explaining findings and any proposed remedy. If the client remained dissatisfied they would be informed of their right to refer to the relevant independent redress scheme.

Q (Level 2)What must a firm's complaints handling procedure contain as a minimum?

The procedure must identify the SRP, set out the stages and timescales for acknowledgement and response, state how the complaint will be investigated, describe available remedies, and explain how the client can refer an unresolved complaint to an independent redress scheme. It must be made available to clients on request and referenced in the terms of appointment.

Q (Level 3)A client has accepted your firm's internal resolution of their complaint but two months later threatens to go to the press. How do you manage this?

(example) I would contact the client promptly to understand whether they have a new or continuing grievance. If the original complaint was genuinely resolved and accepted in writing, I would remind them of this politely while remaining willing to discuss any residual concerns. I would involve the SRP and, if appropriate, the firm's professional indemnity insurer, particularly if the media threat suggests a new legal claim. I would not offer additional compensation without the insurer's agreement, and would document every communication carefully throughout.