Definition

In an APC context, a complaint is a formal or informal expression of dissatisfaction about the service provided. The RICS Rules of Conduct (effective 2 February 2022) require all regulated firms to operate a complaints handling procedure (CHP) that acknowledges complaints promptly, investigates them fairly, and provides a final written response. Where a complainant remains dissatisfied, the firm must signpost an independent redress scheme. Failure to follow the CHP is itself a breach of the Rules of Conduct.

Why this matters for Ethics, Rules of Conduct & Professionalism

  • Mandatory obligation: all RICS-regulated firms must have a CHP; failure to operate one is a breach of Rule 3 (Service) and Rule 5 (Responsibility).
  • PI insurance: a complaint that may give rise to a claim must be notified to the PI insurer promptly; delay can prejudice cover.
  • Regulatory referral: a dissatisfied complainant may refer to RICS Regulation as well as to a redress scheme; both routes can run in parallel.
  • Candidates are expected to know their firm's CHP and to have been involved in, or aware of, at least one real complaint during training.

Key principles

Stage 1: acknowledge and investigate

The firm must acknowledge the complaint in writing, typically within three to five working days. The acknowledgement should confirm receipt, identify the investigating officer (who must not be the subject of the complaint), and give a response timescale. All files and correspondence must be preserved, and a written investigation record maintained.

Stage 2: respond and resolve

The firm must provide a substantive written response setting out its findings, any explanation, and any proposed remedy: an apology, a revised report, a fee reduction, or compensation. The response must be in plain language and not defensive. Clients must be told of their right to escalate if they remain dissatisfied.

Stage 3: escalation and redress

If the complainant is not satisfied, or eight weeks pass without a final response, they may refer the matter to an independent redress scheme. RICS-regulated residential firms must belong to an approved scheme such as The Property Ombudsman or the Property Redress Scheme. The complainant may also refer a regulatory concern to RICS Regulation independently.

Notification to PI insurer

Any complaint that could give rise to a liability claim must be notified to the PI insurer. Most policies require notification of potential claims, not just actual ones. Failure to notify promptly is a common reason PI cover is prejudiced. No admission of liability should be made without consulting the insurer first.

Relevant RICS guidance and legislation

  • RICS Rules of Conduct (effective 2 February 2022) — Rule 3 (Service) and Rule 5 (Responsibility) require a documented CHP and access to a redress scheme.
  • The Property Ombudsman and Property Redress Scheme — the two main RICS-approved independent redress schemes for residential property work.
  • Consumer Rights Act 2015 — underpins consumers' right to complain and receive a fair response.
  • Limitation Act 1980 — sets time limits for professional negligence claims (generally six years from the date of the act or omission).

Ethics and Rules of Conduct angle

Rule 4 (Respect) requires members to treat all who interact with them with courtesy; a dismissive response breaches this rule even where the complaint is without merit. Rule 3 (Service) requires prompt and competent handling: failing to respond within the CHP timescales breaches both the spirit and the letter of the Rules. Genuine care for the complainant's experience, rather than mere procedural compliance, defines professional conduct.

APC-style Q&As

Q (Level 1)What must an RICS-regulated firm include in its complaints handling procedure?

The CHP must acknowledge complaints promptly, identify a responsible investigator, provide a substantive written response within a defined timescale, and inform the complainant of their right to refer the matter to an independent redress scheme if dissatisfied.

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

An independent redress scheme, such as The Property Ombudsman or the Property Redress Scheme, provides an impartial review where the client is not satisfied with the firm's response and can make binding awards of compensation. RICS-regulated firms must belong to an approved scheme and inform clients about it in their terms of appointment and final response letter.

Q (Level 2)A client sends a letter alleging that your building survey missed a significant structural defect that subsequently required £40,000 of remedial work. What are your immediate steps?

I acknowledge the complaint in writing within our CHP timescale and preserve all relevant files, the original instructions and the survey report without alteration. I notify our PI insurer of the circumstances that may give rise to a claim, without making any admission of liability to the client. I arrange an independent internal review of the survey. I do not discuss the merits with the client until I have spoken with our insurer and, if appropriate, taken legal advice.

Q (Level 2)How does your firm ensure clients know about the complaints handling procedure?

(example) Our CHP is referenced in our standard terms of appointment, which all clients receive at the outset. The terms include the name of our independent redress scheme. We also include CHP details in our final response letters when we cannot resolve a complaint, so clients are informed of their escalation rights at both the start and end of the relationship.

Q (Level 3)A client is dissatisfied with your firm's final response to a complaint and threatens to report you to both The Property Ombudsman and to RICS Regulation. How do you advise your junior colleague who handled the instruction?

I explain the two routes are not mutually exclusive: The Property Ombudsman considers service standard and awards compensation; RICS Regulation investigates Rules of Conduct breaches and can impose a disciplinary sanction. I advise my colleague to cooperate fully with both, be honest in all responses, and ensure our PI insurer is aware. Rule 1 (Honesty and Integrity) requires complete candour with regulators; concealing or minimising the facts would constitute a more serious breach than the original complaint.