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Rules of Conduct – Targeting

Rules of Conduct

Over the next few weeks we are looking at the 5 PRINCIPLES OF BETTER REGULATION which appear in the foreword to the Members and Firms Rules.

It is IMPORTANT to remember that the 5 Principles of Better Regulation relate to the REGULATOR, not how we as members or firms should conduct ourselves with our clients. Therefore we should view the 5 Principles of Better Regulation as a function of how RICS (Regulation) will monitor, communicate and treat us in a professional and open and transparent manner when it comes to issues of monitoring (Regulating) our day to day professional practice.

This week: TARGETING

• Regulation should be focused on the problem and minimise side effects.
• Regulations should focus on the problem and avoid a scattergun approach.
• Where appropriate, regulators should adopt a “goals-based” approach, with enforcers and those being regulated given flexibility in deciding how to meet clear, unambiguous targets.
• Guidance and support should be adapted to the needs of different groups.
• Enforcers should focus primarily on those whose activities give rise to the most serious risks.
• Regulations should be systematically reviewed to test whether they are still necessary and effective. If not, they should be modified or eliminated.

 

Commentary from Jon Lever FRICS

Accepting that the RICS membership is diverse and varied with Sole Traders, Small, Medium and Large Firms, Public & Private Sector, pure Surveying companies, specialist departments within non-surveying firms and Multi-disciplinary firms etc.

Targeted Regulation focuses on the specifics and high priority cases, promoting flexibility yet keeping an eye on the key Regulatory functions whilst maintaining a fair and unambiguous balance.

Rules of Conduct – PROPORTIONALITY

Rules of Conduct

Over the next few weeks we are looking at the 5 PRINCIPLES OF BETTER REGULATION which appear in the foreword to the Members and Firms Rules

It is IMPORTANT to remember that the 5 Principles of Better Regulation relate to the REGULATOR, not how we as members or firms should conduct ourselves with our clients. Therefore we should view the 5 Principles of Better Regulation as a function of how RICS (Regulation) will monitor, communicate and treat us in a professional and open and transparent manner when it comes to issues of monitoring (Regulating) our day to day professional practice.

This week: PROPORTIONALITY

• Regulators should only intervene when necessary
• Remedies should be appropriate to the risk posed and costs identified and minimised
• Policy solutions must be proportionate to the perceived problem or risk and justify the compliance costs imposed – don’t use a sledgehammer to crack a nut
• All the options for achieving policy objectives must be considered – not just prescriptive regulation
• Alternatives may be more effective and cheaper to apply
• “Think small first”. Regulation can have a disproportionate impact on small businesses
• EC Directives should be transposed without gold plating
• Enforcement regimes should be proportionate to the risk posed
• Enforcers should consider an educational, rather than a punitive approach where possible

 Commentary from Jon Lever FRICS

RICS Regulation adopt an ‘Arms Length’ approach to regulation which means they rely on the Member or Firm to self regulate. RICS therefore promote a principles based regulation and helping those who break the rules get back into regulation, rather than taking an immediate heavy handed approach. However, if the rule breaker does not respond appropriately then the heavy handed approach is still available.

 

Rules of Conduct – Accountability

Rules of Conduct

Over the next few weeks we are looking at the 5 PRINCIPLES OF BETTER REGULATION which appear in the foreword to the Members and Firms Rules

It is IMPORTANT to remember that the 5 Principles of Better Regulation relate to the REGULATOR, not how we as members or firms should conduct ourselves with our clients. Therefore we should view the 5 Principles of Better Regulation as a function of how RICS (Regulation) will monitor, communicate and treat us in a professional and open and transparent manner when it comes to issues of monitoring (Regulating) our day to day professional practice.

This week: ACCOUNTABILITY

• Regulators must be able to justify decisions and be subject to public scrutiny
• Proposals should be published and all those affected consulted before decisions are taken
• Regulators should clearly explain how and why final decisions have been reached
• Regulators and enforcers should establish clear standards and criteria against which they can be judged
• There should be well-publicised, accessible, fair and effective complaints and appeals procedures
• Regulators and enforcers should have clear lines of accountability to Ministers, Parliaments and assemblies, and the public

Commentary from Jon Lever FRICS

Looking past the government terminology we can see the principles behind maintaining ‘clear standards’ and accommodating complaints with an effective ‘complaints handling’ procedure. So this clearly outlines how RICS Regulation are accountable for their actions and should manage any regulatory function in a open and transparent manner. Interestingly we see the same principles handed down to us and how we should act as Chartered Surveyors.

Rules of Conduct – Consistency

Rules of Conduct

We are looking at the 5 PRINCIPLES OF BETTER REGULATION which appear in the foreword to the Members and Firms Rules

It is IMPORTANT to remember that the 5 Principles of Better Regulation relate to the REGULATOR, not how we as members or firms should conduct ourselves with our clients. Therefore we should view the 5 Principles of Better Regulation as a function of how RICS (Regulation) will monitor, communicate and treat us in a professional and open and transparent manner when it comes to issues of monitoring (Regulating) our day to day professional practice.

This week:  CONSISTENCY

• Government rules and standards must be joined up and implemented fairly
• Regulators should be consistent with each other, and work together in a joined-up way
• New regulations should take account of other existing or proposed regulations, whether of domestic, EU or international origin
• Regulation should be predictable in order to give stability and certainty to those being regulated
• Enforcement agencies should apply regulations consistently across the country

Commentary from Jon Lever FRICS

Promoting principles of consistency and stability which are important factors for a Regulator.  Consider RICS Regulation maintaining consistency across a range of regulated areas such as RICS Members and Firms Regulation, Client’s Money Regulation, RICS Valuer Registration etc.

 

Should I use my iPad in the Final Assessment Interview

Question:

Is it acceptable to bring an IPad to aid your presentation?  I was thinking of loading photographs of my Critical Analysis project to aid my presentation, is this acceptable?

 

Answer:

No!

If you brought an iPad into my interview room (I am an APC Chairman of Assessors and train all the Assessors and Chairmen in the UK for RICS) I would ask you to turn it off as it has potential to record the interview which is not allowed.  Note, RICS do not electronically record the interview.

Consider the size of the iPad…  it is really only designed for personal use (A5 size) so therefore I assume you will not be bringing three of them (one for each assessor)!  Also the potential for it to go wrong and the battery die for example.

I think photos are a great idea but produce them in a neat little (hard copy) handout / booklet or similar and make sure they are colour, of good quality and annotated etc.  Don’t forget to being 4 copies, one for each assessor and one for you.

You may be interested to see the DeLever APC Masterclass recordings (as I delivered the Masterclass live last week) on the Final Assessment and How to write a good APC presentation.

See:  http://www.delever.co.uk/html/masterclass_recordings.html

I hope this helps

Kind regards

Jon