We handle cases where surveyors are being investigated by their regulatory body, the Royal Institution of Chartered Surveyors (RICS)
The Regulatory Process
The disciplinary process that has been adopted by the RICS is as follows:-
- Initial investigation by Head of Regulation - when the Head of Regulation receives a complaint, they will first determine whether the complaint is one that is capable of amounting to a case to answer. If it is, then they will send a copy of the complaint to the surveyor for their comments, which must be provided within 28 days. Upon receipt of those comments and any further comments from the complainant in respect of the surveyor's response, the Head of Regulation will then determine whether there is a realistic prospect as to whether the surveyor is liable to disciplinary action. If not, then the matter ends there, although the Head of Regulation may provide advice on future practice and conduct. However, should they find there is a realistic prospect, then they will decide on whether or not to commence disciplinary proceedings.
- Disciplinary Proceedings - if the Head of Regulation decides on disciplinary proceedings, then they can do one of the following: (i) a fixed penalty (ii) deal with the matter by way of consent order with the surveyor, which could include an agreement in which the surveyor agrees to certain terms, and/or a fine, and/or a payment of costs (iii) refer the matter to a disciplinary panel.
- Interim measures may be considered if felt necessary
- Hearing by the Disciplinary Panel - the surveyor has the option of being represented, and of submitting and giving evidence in their defence. At the end of the hearing, the panel will then determine on the balance of probabilities, whether the surveyor is liable as to disciplinary action. If found liable, then the panel may impose a penalty.
- Penalties - the panel can caution the surveyor, issue a reprimand, require the surveyor to provide an undertaking as to future conduct, issue a fine, issue an order requiring specified action, impose conditions on continued memebership/registration, and expulsion.
- Appeal - the surveyor can appeal against any penalty imposed within 28 days 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 the questionnaire on the top right hand side of this page.