Client Care

Question 1

What is a complaint?

Answer 1

a complaint is any
expression of dissatisfaction regarding quality of service. They range in severity and can be categorised in:

• Informal complaint
• Formal complaint

Question 2

Describe an informal complaint

Answer 2

a complaint from a client or third party made in general communications implying in some way the performance has fallen below expectation.
e.g. a telephone call from a tenant that requested something and still waiting

Question 3

How can an informal complaint be dealt

Question 4

Why does your firm have Professional Indemnity insurance?

Answer 4

It is one of the Rules of Conduct requirements (Appendix A).
To protect surveyors, clients and third parties against negligence claims where there is a duty of care breached and a claim for damages arises

Question 5

How much professional indemnity insurance does your firm require (3 bands)?

Answer 5

Firm’s turnover in the preceding year determines the minimum level of indemnity required for every claim:
£100,000 or less => £250,000
£101,000 - £200,000 => £500,000
£201,000 and above => £1,000,000

Question 6

What is the maximum level of uninsured excess (2 bands)?

Answer 6

Liability of up to £500,000 => greater of 2.5% of the sum insured or £10,000
Liability of over £500,000 => 2.5% of the sum insured

Question 7

When would your insurer need to know if a complaint was made against your firm?

Answer 7

Depends on your agreement with the insurer but usually when the complaints handling procedure is triggered as this could lead to a claim for negligence

Question 8

What procedures are required to be in place if a complaint has been made (RICS guidance, timescales, firm services)?

Answer 8

• RICS has issued a Guidance Note on Complaints Handling, 2016
• Complaint should be acknowledged within 7 days and investigated within 28 days
• Firms must include a RICS approved ADR method e.g. Centre for Dispute Resolution (CEDR) or the RICS Dispute Resolution Service

Question 9

What is the guidance set out in RICS Complaints Handling, 2016 (procedure, PII, CHP issue, complaints, inclusion)?

Answer 9

• Firm’s written complaint handing procedure (CHP) must be approved by RICS
• Notify your PII insurer as soon as possible if there is a complaint as this could lead to a claim for negligence
• Details of the CHP should be issued to a client at the same time as Terms of Business
• Complaints log must be maintained to show the details, progress and outcome of any complaints
• Firms must include an RICS approved Alternative Dispute Resolution (ADR) mechanism in the Complaints Handling Procedure

Question 10

When you first receive a complaint, how should it be dealt with (initially, complaint format, issue, appointment details)?

Answer 10

• Aim to deal with the complaint in house initially
• Take notes of complaint if made over the phone or ask for the complaint to be made in writing
• If the issue cannot be resolved internally within the team, details of the CHP should be sent to the complainant
• The CHP letter will include the details of the Complaints Handling Officer

Question 11

If a complainant is unhappy with how the complaint has been dealt with in house, what should be done (choice, provision)?

Answer 11

• The case should be referred to the relevant ADR organisation employed by the firm
• Name of the redress mechanism must be provided to the complainant e.g. Centre for Effective Dispute Resolution (CEDR), Property Obudsman

Question 12

Who does LSH use as ADR?

Answer 12

• The property Obudsman for residential cases
• CEDR for non residential
• IDRS for commercial disputes

Question 13

When will the RICS become involved with a complaint?

Answer 13

If a member fails to respond to the complainant or prevents the party gaining access to an independent dispute resolver mechanism

Question 14

What should a sole practitioner do differently with regards to the their complaints handling procedure?

Answer 14

Must nominate a surveyor in another firm to act as their complaints handling officer

Question 15

What are the principles of client care?

Answer 15

Ensuing communication is regular, open and transparent

Question 16

What is Client Care?

Answer 16

The process of identifying all client types and the appropriate behaviours to establishing good relationships, along with the systems of procedures for managing the client care process, all within the public interest.

Question 17

How do you act upon feedback from a Client?

Answer 17

• Feedback should be formally recorded in some way, i.e. Client Satisfaction Questionnaires.
• If feedback is negative, it should be verified and necessary action taken.
• If a formal approach is required, this should follow the CHP.

Question 18

What other insurance (other than PI) would you need to have if you had your own premises?

Answer 18

• Employers Liability Insurance.
• Third party Liability Insurance.

Question 19

Can you give me more detail on what Employers Liability Insurance covers?

Answer 19

• Covers employers for compensation claims against you by employers for accidents or illness that occur during their work.

Question 20

Can you tell me more detail on what Third Party Liability Insurance covers?

Answer 20

• Covers you against actions of a third party.

Question 21

What does good client care require (understand, approach, communication, policy, procedure, insurance)?

Answer 21

• A clear understanding of the client’s objectives and aims.
• A professional approach.
• Clear, concise communication.
• A quality assurance policy. (a statement of the company’s desired level of quality for a service or product.)
• Complaints handling procedure.
• Professional Indemnity Insurance.

Question 22

Practically, how do you establish a Client’s objectives (2 steps)?

Answer 22

• Have a pre-start meeting with them.
• If there is still ambiguity then have further meetings/correspondence to clarify.