The RICS Bye-Laws provide the power for Head of Regulation and Regulatory Tribunal to make disciplinary and regulatory decisions including issuing disciplinary penalties and costs. Those decisions are made in accordance with the Rules and guidance created by the Standards and Regulation Board.
Decisions of Head of Regulation against Regulated Members
Head of Regulation is the role appointed by the Standards and Regulation Board to manage the RICS regulatory regime. There are a number of decisions this role can take in regards to a Regulated Member including imposing a Regulatory Compliance Order on a Regulated Member (with their agreement). This can include a number of requirements but does avoid the matter having to proceed to a public hearing. For more information on this, please see Regulatory Compliance Orders.
Decisions of the Regulatory Tribunal against Regulated Members
The independent Regulatory Tribunal can sit in panels of three for Disciplinary Panel hearings or can sit as alone to make Single Member of Regulatory Tribunal decisions.
Disciplinary Panel
A Disciplinary Panel sits as a panel of three and comprises of a Panel Chair and two other Regulatory Tribunal members. At least two of the three must be independent Members (non RICS members). The Chairs are appointed following training to lead the conduct of the hearing, and direct parties. A Disciplinary Panel is assisted by an independent Legal Adviser who assists the panel on matters of law and procedure; however, all decisions of law and fact are for the Disciplinary Panel to make.
A Disciplinary Panel's role is to hear disciplinary cases involving Regulated Members, to make findings of fact in relation to allegations brought by RICS, in order to determine whether a Regulated Member is liable to disciplinary action and, if so, whether a sanction should be imposed. Sanctions are imposed in accordance with the Sanctions Policy – see Our regulatory rules and procedures for details.
If an allegation is found proved by the Disciplinary Panel, they will go on to consider whether the Regulated Member is liable to disciplinary action and, if so, what regulatory (disciplinary) sanction is needed in the public interest. Disciplinary Panels can issue sanctions including a caution, fine, conditions, or an order to expel or de-register the Regulated Member.
The decisions of the Disciplinary Panel can be appealed to the Appeal Panel, if lodged in the time and in the format as set out in the Regulatory Tribunal Rules. (Please note Rules may vary depending on version).
Any of the Regulatory Tribunal Panels may consider costs as part of the process, and make their decisions in accordance with the Sanctions Policy and Supplements and Guidance on costs orders imposed by RICS’ Regulatory Tribunal - see Our regulatory rules and procedures for details.
Decisions made by a Single Member of the Regulatory Tribunal
On 2 March 2020, the Conduct and Appeal Committee was renamed the Regulatory Tribunal, and the 'Disciplinary, Registration and Appeal Panel Rules' changed to the 'Regulatory Tribunal Rules'. Therefore, concerns raised, or information received, from that date are considered under the new rules (and older complaints under the older rules).
The Regulatory Tribunal Rules allow a Single Member of the Regulatory Tribunal to determine disciplinary action in certain circumstances including:
- Where a Regulated Member fails to meet their Continuing Professional Development (CPD) requirements three or more times within a ten-year period.
- A Regulated Member is convicted of a criminal conviction that had the possibility of a custodial sentence on first conviction.
- There is not a substantial dispute of the facts, the public interest does not require a hearing and the case is not likely to result in expulsion or removal of registration (other than for CPD breaches).
The regulatory functions of RICS are led and overseen by the Interim Standards and Regulation Board (SRB).
