Definition

In an APC context, dealing with a client complaint means following the firm's mandatory complaints handling procedure to investigate and resolve a client's expression of dissatisfaction. The RICS professional standard on complaints handling requires all regulated firms to operate a two-stage internal procedure and to provide access to an approved redress scheme, such as The Property Ombudsman or the RICS Dispute Resolution Service, if the complaint cannot be resolved internally.

Why this matters for Client Care

  • A complaint handled promptly and professionally can preserve the client relationship; one ignored or mishandled is likely to escalate to a redress scheme or regulatory referral.
  • Valuation complaints are particularly sensitive because clients may have made significant financial decisions on the basis of the surveyor's opinion.
  • The RICS complaints handling standard is mandatory, and failure to comply with it is itself a ground for regulatory action, independent of the original complaint's merits.
  • APC assessors regularly test how candidates have handled complaints in practice, including what they learned and what process improvements resulted.

Key principles

Acknowledge promptly and without defensiveness

The first response should acknowledge receipt, confirm the concern has been heard, and set out the timeline for a substantive reply. Acknowledgement is not an admission of liability. A defensive initial response is one of the most common ways a manageable complaint escalates into a formal dispute.

Investigate objectively and thoroughly

The surveyor or a senior colleague should review the file: what instruction was given, what methodology and comparable evidence were used, and whether the report complied with the RICS Red Book Global Standards. The investigation should distinguish between a legitimate methodological criticism and a preference for a higher figure, addressing both possibilities clearly in the response.

Respond substantively within the required timeframe

The response must address the client's specific concerns, explain the reasoning and methodology, and set out the outcome: upheld, partially upheld, or not upheld, and why. Where appropriate, a remedial action or goodwill gesture may be offered, but it must be proportionate and carefully worded so as not to imply an admission of negligence.

Signposting to external redress

If the complaint cannot be resolved after the internal procedure is exhausted, the client must be informed in writing of their right to refer the matter to an approved redress scheme, with the relevant contact details. Failure to signpost redress is itself a breach of the RICS complaints handling standard.

Relevant RICS guidance and legislation

  • RICS professional standard on complaints handling — mandatory for all regulated firms; sets out the two-stage internal procedure and the requirement to signpost approved redress schemes.
  • RICS Rules of Conduct (effective 2 February 2022) — Rule 3 (Service) underpins the obligation to respond to and resolve complaints professionally.
  • RICS Red Book Global Standards (effective 31 January 2022) — the benchmark for assessing the technical quality of a valuation complaint.
  • The Property Ombudsman and RICS Dispute Resolution Service — approved redress schemes available to clients if internal resolution fails.

Ethics and Rules of Conduct angle

Rule 3 (Service) requires treating the client's concern seriously and responding with genuine commitment to resolution. Rule 1 (Honesty and Integrity) prohibits misleading the client, concealing information that supports the complaint, or offering a settlement to prevent legitimate escalation. Rule 4 (Respect) requires the client to be treated with dignity throughout, including where the complaint is found to be without merit.

APC-style Q&As

Q (Level 1) What is the first step a RICS-regulated firm must take when a client complaint is received?

The firm must acknowledge receipt of the complaint promptly, confirm the client's concern has been understood, and set out the next steps and the timeframe for a substantive response, in accordance with the firm's mandatory complaints handling procedure.

Q (Level 1) What must a firm do if a client complaint cannot be resolved through the internal complaints procedure?

The firm must inform the client in writing of their right to refer the complaint to an approved redress scheme, such as The Property Ombudsman or the RICS Dispute Resolution Service, and provide the contact details for the relevant scheme.

Q (Level 2) A client disputes your residential valuation, claiming it is too low and that you failed to take account of a recent comparable sale nearby. How do you investigate and respond?

(example) I would acknowledge the complaint in writing within the required timeframe, then review my valuation file to assess whether the sale cited by the client was available at the valuation date and was truly comparable in size, condition, and location. If available and overlooked, I would consider whether it materially altered my conclusion and, if so, prepare a revised opinion. If not genuinely comparable, I would explain precisely why it had not been weighted in my analysis, citing the features that distinguished it from the subject property.

Q (Level 2) A client is unhappy with the way their complaint was handled and threatens to report you to RICS. How do you respond?

I would remain calm, acknowledge their frustration, and confirm they have every right to refer both the original complaint and their concern about how it was handled to the approved redress scheme. I would provide the scheme's contact details in writing and ensure the file contained a complete record of all correspondence. Any attempt to discourage or obstruct a client's right to complain would itself be a regulatory breach.

Q (Level 3) Following an investigation into a valuation complaint, you conclude that your original figure was at the lower end of a defensible range but not wrong. The client is threatening legal action. What steps do you take, and how do you balance your professional obligations with your firm's commercial interests?

(example) I would notify my PI insurer promptly; most policies require early notification. I would preserve the complete valuation file and maintain a contemporaneous record of all subsequent communications. In my response I would explain clearly why the valuation was defensible, with the comparable evidence. I would not offer a financial settlement unilaterally, as that could be construed as an admission of negligence. Transparency and responsiveness throughout is the best way to balance professional obligation with commercial interest.