Regulatory Law
Surveyors

We handle cases where surveyors are being investigated by their regulatory and professional body, the Royal Institution of Chartered Surveyors (RICS).

The Regulatory Process

The Royal Institution of Chartered Surveyors (RICS) is a chartered professional body responsible for regulating its members and registered firms, maintaining professional standards and investigating allegations of misconduct or breaches of its regulatory requirements. Unlike statutory regulators, RICS exercises its disciplinary powers under its Royal Charter, Bye-Laws and Regulatory Tribunal Rules. Its regulatory functions are overseen by the Standards and Regulation Board (SRB), which is responsible for establishing the rules and policies governing investigations, disciplinary proceedings and sanctions. The current RICS Regulatory Tribunal Rules are Version 3, which came into force on 14 March 2024. Complaints or allegations that came to RICS’s attention before that date are generally dealt with under the regulatory rules in force when the matter was first brought to its attention.

Where a complaint or concern is raised about a surveyor, the RICS Head of Regulation will initially assess whether the allegations could give rise to disciplinary action. If the matter warrants investigation, the surveyor will normally be notified of the allegations, provided with relevant documentation and invited to submit a written response within the period specified by the Head of Regulation, which must not exceed 28 days from the date of the letter. The investigation may involve obtaining further evidence, witness statements and representations from the parties concerned. Following the investigation, the Head of Regulation will determine whether there is a realistic prospect of establishing that the surveyor is liable to disciplinary action and, if so, whether proceedings should be commenced in the public interest. Where there is insufficient evidence to proceed, the matter may be closed, although advice concerning future professional conduct or practice may be provided. A closed investigation may subsequently be reconsidered where new evidence emerges that was not previously available and could materially affect the original decision, subject to the applicable review procedure.

Where disciplinary action is appropriate, the Head of Regulation may impose a Fixed Penalty Notice for specified breaches, such as failures relating to continuing professional development or regulatory reporting obligations. Alternatively, appropriate matters may be resolved through a Regulatory Compliance Order (RCO), under which the surveyor agrees to accept specified sanctions, including a caution, reprimand, fine, undertakings or conditions on continued membership. An RCO may also require the surveyor to take or cease specified actions and pay costs. Such orders require the surveyor’s express written agreement. Where the surveyor fails to agree to an RCO within the specified period or subsequently breaches its terms, the matter may be referred to a Single Member of the Regulatory Tribunal. Other cases may be referred to a Single Member for determination or to a Disciplinary Panel for a formal hearing. Particularly serious cases will generally be referred to a Disciplinary Panel.

A surveyor may request a review of a Fixed Penalty Notice within 28 days of service, using the prescribed form and paying the required administration fee. The review is conducted on the papers by a Fixed Penalty Reviewer, who may confirm or revoke the penalty, or propose modifications. The reviewer may also make an order concerning the costs of the review. Where the penalty is revoked, the administration fee is refunded.

Where a Single Member determines a case, the proceedings are conducted privately on the papers. The Single Member must consider and determine the matter within 14 days of receiving the case. The Single Member will consider the evidence and determine whether the surveyor is liable to disciplinary action and whether a sanction should be imposed. Available sanctions include a caution, reprimand, fine, undertakings or conditions on membership. However, the power to order expulsion is restricted to cases involving failure to comply with continuing professional development (CPD) requirements, conviction of a criminal offence carrying a potential custodial sentence, or circumstances where a surveyor wishes to withdraw from membership but the matter is sufficiently serious to justify expulsion.

The Single Member may refer the matter to a Disciplinary Panel where the interests of justice or the public interest require it. Where a decision is made, the surveyor or RICS may challenge the findings or sanction by giving written notice to the Head of Regulatory Tribunals within 14 days of service of the decision. Where such notice is given, the matter is referred to a Disciplinary Panel, which considers the case afresh. Otherwise, the sanction takes effect following expiry of the 14-day period.

Where necessary to protect the public, otherwise in the public interest, or in the interests of the surveyor, the Regulatory Tribunal may also impose interim measures while an investigation or disciplinary proceedings continue. These may include temporary suspension or restrictions on professional practice and can initially remain in force for up to 18 months. Applications for interim measures are determined by a Disciplinary Panel following referral by the Head of Regulation, and hearings are normally conducted in private, although a public hearing may be permitted where appropriate. An appeal against an interim-measure decision must be lodged within seven days of service of the decision.

Interim measures must be reviewed before they expire. A surveyor may generally request a review six months after the measure was imposed, varied or extended, although the Head of Regulation may refer the matter for earlier review following a material change of circumstances or new evidence. The Presiding Chair of the Regulatory Tribunal may extend the initial 18-month maximum by up to a further six months, with any subsequent continuation subject to the applicable procedures. Where an investigation concludes without referral to a Single Member or Disciplinary Panel, the Head of Regulation must revoke any interim measure imposed.

Formal disciplinary hearings are conducted by an independent Disciplinary Panel of the RICS Regulatory Tribunal, normally consisting of three members, at least two of whom are independent of RICS membership. Hearings are normally held in public, although the Panel may direct that all or part of a hearing take place in private where exceptional circumstances justify this. The surveyor is entitled to attend, be legally represented, make representations, call witnesses and submit evidence in their defence. The Panel may be assisted by an independent Legal Adviser, although responsibility for determining the facts and the outcome remains with the Panel. The burden of proof rests with RICS, and the Panel will determine, on the balance of probabilities, whether the allegations have been proved and whether the surveyor is liable to disciplinary action. Where liability is established, the Panel will determine the appropriate sanction in accordance with the RICS Sanctions Policy.

Sanctions available to the Disciplinary Panel include a caution, reprimand, undertakings concerning future conduct, financial penalties, requirements to take specified action, conditions on continued membership or registration, and expulsion from RICS. The Panel may also make an order requiring the surveyor to pay costs. Expulsion results in the loss of RICS membership and the associated professional designations and membership privileges. However, unlike removal from a statutory professional register, expulsion from RICS does not necessarily prevent an individual from continuing to undertake surveying work outside activities subject to specific regulatory requirements.

Disciplinary Panel decisions generally take effect upon expiry of the relevant appeal period, unless the Panel directs otherwise. However, details of the surveyor’s name, charges, findings and sanctions will normally be published before the appeal period has expired, in accordance with the RICS publication policy. The full Record of Decision will subsequently be published following expiry of the appeal period. A surveyor may also apply in writing to the Head of Regulation for a reduction in the minimum publication period, although any such reduction is discretionary and subject to the public interest.

A surveyor expelled from RICS following disciplinary proceedings may apply for readmission after at least 12 months from the expulsion decision, or after any longer period specified by the Disciplinary Panel or Appeal Panel. Applications are determined by a Registration Panel, which must be satisfied that the applicant meets the relevant eligibility requirements, is a fit and proper person and that readmission is in the best interests of RICS. Readmission is not automatic. Where an application is refused, a further application cannot be made for at least 12 months following the decision of the Registration Panel or Appeal Panel.

A surveyor may appeal against a finding or sanction imposed by a Disciplinary Panel to the RICS Appeal Panel. An appeal must normally be lodged in writing within 28 days of service of notification of the decision, setting out the grounds of appeal. Late appeals require permission from the Presiding Chair of the Regulatory Tribunal, which will only be granted in exceptional circumstances. The appeal is a review of whether the original decision was wrong, rather than a complete rehearing, and new evidence will only be admitted with permission. The Appeal Panel may uphold, revoke or vary the original decision, increase or reduce the sanction, or refer the matter back for further consideration or a new hearing. There is no separate right of appeal against a costs award alone, although costs may be reconsidered as part of an otherwise valid appeal. The Appeal Panel may also make an order concerning the costs of the appeal itself.

In addition, the Chair of RICS’s Governing Council may apply to the Appeal Panel for a review where a Disciplinary Panel sanction is considered unduly lenient. Such applications are subject to a 28-day deadline, and the Appeal Panel may impose a more severe sanction where appropriate. Consequently, even where a surveyor receives a relatively lenient sanction, the decision may subsequently be challenged and a more severe outcome may result. Unlike the statutory appeal arrangements of some professional regulators, RICS disciplinary decisions are not ordinarily subject to an automatic appeal to the High Court.

Internal Disciplinary Proceedings

We also assist and represent surveyors where they are the subject of internal disciplinary proceedings by their employer.

What To Do If Regulatory Proceedings Are Commenced Against You

Should internal disciplinary proceedings or RICS regulatory proceedings be commenced against you, then please either telephone us on 0333 301 0700, or complete our questionnaire.