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Consultation for Disciplinary, Registration and Appeal Panel Rules

Revised Disciplinary, Registration and Appeal Panel Rules and Constitution of Conduct and Appeal Committee Rules

The proposed rules are in open consultation

RICS' vision is to be recognised worldwide as the leading body that promotes and enforces global professional standards and offers access to the most sought after professional status.

A key operational element of this vision requires the RICS Regulatory Board to implement an effective regulatory enforcement framework that can uphold, consistently, professional standards and protect the public interest.

As a professional body with a non-statutory regulation function, we must meet the challenge of ensuring that compliance with our standards by the firms and individuals that make up the profession, carries the same weight as would a statutory framework.

In line with the recommendations made to the Board in 2018, we believe that it is the right time to strengthen the disciplinary and appeal process, through the introduction of changes to the Disciplinary, Registration and Appeal Panel Rules and the Constitution of Conduct and Appeal Panel Rules.

Rationale and scope of this consultation

The purpose of the proposed amendments is to enable:

  • enhanced proactivity in the management of disciplinary cases and improvement in the efficiency of existing procedures;
  • removing areas of potential inconsistency;
  • streamlining processes in relation to interim measures hearings;
  • enhancing the effectiveness of Member/Firm appeal procedures

Key proposed changes to the Disciplinary, Registration and Appeal Panel Rules include the following:

  • amendment of the title of the Conduct and Appeal Committee to 'Regulatory Tribunal';
  • revision of the rules to change the nomenclature of Relevant Person/Firm to Regulated Member;
  • the introduction of a 'slip rule', enabling both parties to apply for amendment to any item within the tribunal's Record of Decision;
  • revision of the rules to introduce reference to a 'Regulatory Sanction';
  • introduction of single member decision making (Part VI of the proposed Regulatory Tribunal Rules), to enable a streamlined, efficient and cost-effective method of dealing with those cases which are capable of being dealt with by a single member of the Regulatory Tribunal.

A Key proposed change to the Constitution of Conduct and Appeal Committee Rules includes the following:

  •  Amendment to the title of the 'Conduct and Appeal Committee' to the 'Regulatory Tribunal', as led by the "Presiding Chair of the Regulatory Tribunal, and Deputy Chairs of the Steering Committee";

The RICS Regulatory Board has considered, and will be, considering further these proposed changes to support its enforcement strategy during 2019. Ahead of the Board's final decision in relation to these proposed changes we are publishing a draft of the rules to enable public, external stakeholder and interested third party review of the proposed changes.

Timing of introduction of changes agreed

If adopted, we envisage that these proposals would be implemented within the proposed Regulatory Tribunal Rules and Constitution of Regulatory Tribunal Rules in mid to late 2019.

Confidentiality

Unless you state otherwise, we may decide to publish all or part of your response to this consultation, including your name, professional qualification(s) and any organisation you represent or belong to. Please indicate clearly if your response is confidential.

What happens next?

Following closure of this consultation, RICS Regulatory Board will consider the matters under consultation with reference to the consultation responses received. Following this we will publish a summary of the responses received, together with an explanation of how the responses have informed the Board's final decision on changes.

Commenting effectively

When responding to this consultation, please respond in English and please make sure you reference the rule number you are commenting upon. Please send your feedback via email to Theresa Thorp, Head of Regulatory Governance & Tribunals.

This consultation closes on 8 May 2019.

Take part in the consultation