Ethics - Disciplinary Procedures

Question 1

What is the responsibility of RICS in regulating the surveying profession?

Answer 1

To protect the public, uphold the public confidence in the profession, and uphold professional standards

Source: RICS Regulatory Decision Making, 2022

Question 2

What can trigger a disciplinary procedure by RICS?

Answer 2

Someone complaining to the RICS, an allegation by a client or third party, or information received or established by the RICS

Question 3

What will be considered by the RICS when examining the behavior of a member or a firm?

Answer 3

Failure to follow any RICS guidance

Question 4

What are the THREE levels of disciplinary action?

Answer 4

1. Action by Head of Regulation
2. Disciplinary Panel (drawn from the independent Regulatory Tribunal)
3. Appeal Panel

Question 5

What are the FOUR actions the Head of Regulation can take after completing a formal investigation?

Answer 5

1. Serve a Fixed Penalty Notice
2. Make a Regulatory Compliance Order
3. Refer the matter to a single member of the Regulatory Tribunal for consideration
4. Refer the matter directly to a Disciplinary Panel

Question 6

What is a Fixed Penalty Notice used for?

Answer 6

Breaches of the Rules relating only to the supply of information to the RICS by firms and members

Question 7

What are Regulatory Compliance Orders used for?

Answer 7

Low level breaches of the Rules that could be easily corrected

Question 8

What are the penalties available to a Regulatory Tribunal Disciplinary Panel for serious breaches of conduct?

Answer 8

1. Regulatory Compliance Order
2. Reprimand
3. Fine
4. Impose an unlimited amount of fine per breach (proportionate to the offense)
5. Impose conditions upon future continued RICS registration
6. Expulsion from membership or removing a firm
7. Require publication of the results of the hearing

Question 9

What is the role of an Appeal Panel?

Answer 9

To consider a member’s or firm’s appeal against review of a decision relating to the disciplinary procedure levels