Complaints handling by RICS members and RICS-regulated firms

RICS sets mandatory requirements and expected practice for RICS members and RICS-regulated firms in respect of handling complaints globally.

• The RICS Rules of Conduct include specific mandatory requirements and expected behaviours (see example behaviours 5.4 and 5.6 and Appendix A).
• Additional mandatory requirements and expected behaviours for UK members and regulated firms are set out in the current edition of RICS’ Complaints handling.
   

The UK complaints handling document was originally published in July 2016 as a guidance note and was reissued in October 2023 as a professional standard. The requirements and expected practice of members and firms remain the same. For more information on document types, see here.

Complaints-handling requirements will be updated and incorporated into a new global professional standard Responsible firm management (expected in late 2027), covering various aspects of firm management, such as risk management, data handling and cybersecurity. Further details can be found here.

Where available in their jurisdiction, regulated firms must provide alternative dispute resolution (ADR) as part of their complaints-handling procedure (CHP). Please refer to the separate page here for further information. 

Below is some additional information about handling complaints. This supports the information included in relevant rules, professional standards and practice guidance and does not replace it.  

• There are many reasons why clients and other stakeholders complain, and it is not unusual to receive at least one complaint during your professional career. Despite this, most people find it difficult to receive a complaint. This is why it is vital to have a good complaints-handling procedure (CHP) to provide reassurance and support that you are following the right process.
• If you have never received a complaint, it can be difficult to know where to begin when one arises. It’s important to consider what is proportionate when handling complaints. For instance, a minor expression of dissatisfaction may be resolved with a phone call, whereas a serious complaint about misconduct or negligence is likely to require a much more formal approach.
   

Below are some helpful pointers.

• Publish your complaints-handling procedure (CHP) and signpost your clients to this.
• Record all complaints in a complaints log such as this example.
• Make sure everyone who works for you understands which complaints should be logged and where.
• Empower employees to deal with dissatisfaction themselves where appropriate, but encourage them to direct more serious concerns or dissatisfaction to the CHP. Check that they do so.
• Understand what your professional indemnity insurance says about informing the insurer about concerns. If you are not sure, speak to your broker.
• Take all complaints seriously. Do not make any assumptions about the likely outcome of the complaint until it has been fully investigated.
• Maintain professionalism when handling a complaint. You may feel angry or upset but it won’t help to resolve the complaint if you come across as overly defensive or argumentative.
• If the complaint is about the service you have provided, consider asking someone independent, such as another member at your firm, to review it or to check that the tone and substance of your response is appropriate.
• If you are finding the complaint difficult to deal with, seek support. LionHeart offers support to members if you would prefer not to talk to friends, family or colleagues, but remember that having a complaint is nothing to be ashamed of.
• Handle the complaint in a timely manner and keep the complainant updated throughout. If you can’t meet any of the timescales specified in your CHP, tell the complainant as early as possible and tell them when you will be able to respond.
• If you can’t resolve the complaint, help your client understand where they can go next. This is especially important if you offer a wide range of services and so have multiple alternative dispute resolution (ADR) providers listed in your CHP or if your ADR provider has a limit on claims it will consider.
• If a complaint has uncovered a serious breach by the firm or a member of staff (e.g. missing client money), report this to RICS regulation in accordance with the Rules for the registration of firms and Bye-Laws.