RICS APC Ethics, Rules of Conduct and Professionalism Test (RICS, UK)

A client asks an RICS member to recommend a contractor for a major refurbishment project. The surveyor's brother is the majority shareholder of one of the bidding firms. What is the correct course of action?

• ARecommend the brother's firm without disclosure if they are genuinely the most competitiv…
• BDisclose the relationship in writing to the client immediately and obtain their informed…
• CDisclose the relationship verbally during a meeting and proceed without written confirmat…
• DDecline the entire instruction from the client to avoid any possible conflict of interest

An RICS member is asked to represent both the buyer and the seller in a commercial property transaction. According to RICS guidance on dual agency, what is the required approach?

• AProceed with representing both parties by setting up internal information barriers withou…
• BDecline the instruction, as dual agency where a surveyor represents both buyer and seller…
• CRepresent both parties but charge a single commission fee split between them
• DRepresent both parties after obtaining verbal consent from their respective legal represe…

During a competitive tender process for a construction contract, one of the bidding contractors invites the supervising RICS surveyor to an all-expenses-paid corporate golf weekend. How should the surveyor respond?

• AAccept the invitation as it is standard networking practice in the construction industry
• BPolitely decline the invitation to ensure impartiality and avoid any perception of briber…
• CAccept the invitation but promise the client they will remain completely objective
• DDecline the invitation but ask if they can attend after the contract has been awarded ins…

A property developer client asks an RICS valuer to increase the valuation of a development site by 15% to help them secure bank funding. The client threatens to take their future business elsewhere if the valuer refuses. What should the valuer do?

• AIncrease the valuation as requested, noting the developer's commercial optimism in the re…
• BRefuse to alter the valuation, stand by the independent professional analysis, and report…
• CAgree to a compromise increase of 7.5% to retain the client while limiting the valuation…
• DWithdraw from the instruction immediately without explaining the reasoning to the client

A prospective client offers to pay an RICS surveyor a fee of £12,000 in cash for a quick building survey, requesting that no formal invoice or receipt be issued. What is the surveyor's obligation?

• AAccept the cash but record it manually in the firm's private log to avoid paperwork
• BRefuse the cash payment, insist on standard invoicing procedures, and perform client due…
• CAccept the payment and offer a discount since the firm will save on administration and tax
• DReport the client to the police immediately without communicating with them

An RICS surveyor is asked to advise a client on purchasing a commercial site. The surveyor realizes they previously acted for the seller of the site on a lease negotiation two years ago. What should the surveyor check first?

• AWhether the seller will pay them a finder's fee for making the introduction
• BWhether they hold any confidential information from the previous instruction that is mate…
• CWhether the previous client paid their invoice on time
• DNothing, as the previous instruction ended two years ago and poses no conflict

A long-standing client sends a bottle of moderately priced wine to an RICS surveyor's office as a 'thank you' after the successful completion of a boundary dispute case. How should the surveyor handle this?

• AReturn the bottle immediately as accepting any gift violates RICS regulations
• BAccept the bottle, disclose it in the firm's gift register if required by their internal…
• CKeep the bottle but do not disclose it to avoid administrative paperwork
• DRefuse the bottle and inform RICS that the client attempted to influence their profession…

A home seller client asks a surveyor carrying out a building survey to omit any mention of significant damp in the basement, arguing that they intend to paint over it anyway. How should the surveyor proceed?

• AOmit the damp from the report if the client signs an agreement taking full legal responsi…
• BAccurately report the damp in the survey report, explaining that surveyors must be honest…
• CMention the damp but describe it as minor cosmetic discoloration to please the client
• DTerminate the contract immediately without completing the report

An RICS surveyor working on an international project is told by a local public official that a small 'facilitation payment' is required to release planning documents that have already been approved. How does the UK Bribery Act 2010 apply?

• AThe payment is acceptable if it is standard practice in that country and recorded as a bu…
• BThe payment is illegal under the UK Bribery Act 2010, which applies to UK citizens and bu…
• CThe payment is acceptable if it is under £100 and authorized by the firm's director
• DThe payment is acceptable if paid through a local sub-consultant instead of directly by t…

An RICS valuer is asked by Client A to value a commercial property. The valuer notes that they valued the same property for Client B (a competitor) six months ago. What is the valuer's primary concern?

• AEnsuring they charge Client A a higher fee than Client B
• BChecking if they are using Client B's confidential information to benefit Client A, and o…
• CInforming Client A of Client B's business strategies to show their expertise
• DRefusing the instruction immediately as they cannot value the same property twice within…

An RICS member is convicted of a drink-driving offence in the UK, resulting in a temporary driving ban but no custodial sentence. What is their professional obligation under the Rules of Conduct?

• AThere is no obligation to report it as it is a motoring offence and does not involve thef…
• BThe member must notify RICS promptly, as a criminal conviction is a reportable matter
• CThe member must notify RICS only if they are unable to travel to site visits
• DThe member should wait until their annual membership renewal to mention it on their form

An RICS regulated firm is facing severe cash flow issues and is considering entering voluntary liquidation. What must the directors do in relation to RICS?

• AKeep the situation confidential until the liquidation process is fully completed
• BNotify RICS immediately and ensure that client money is fully protected and separated fro…
• CTransfer client money to the firm's operating account to pay off urgent creditors
• DAsk RICS to provide an emergency financial grant to keep the firm running

A surveyor is instructed to value a commercial site. The surveyor holds a 5% shareholding in a construction company that is bidding to develop that specific site. What must the surveyor do?

• AProceed with the valuation, as a 5% shareholding is too small to influence their professi…
• BDeclare the shareholding to the client immediately in writing, and if the client objects…
• CSell the shares secretly before issuing the report to avoid having to disclose the intere…
• DComplete the valuation but inflate the construction cost assumptions to favor their compa…

A prospective client refuses to provide standard photographic identity documents or proof of address during an RICS firm's client onboarding checks. How should the firm respond?

• AWaive the identity checks if the client is well-known in the local business community
• BRefuse to accept the instruction, as proceeding without verifying client identity breache…
• CAccept the instruction but double the fee to cover the risk of non-compliance
• DAccept the instruction but report the client's name directly to RICS without their knowle…

A junior RICS surveyor discovers that a senior director in their firm has been deliberately submitting inflated mileage and travel expense claims. What is the junior surveyor's ethical duty?

• ADo nothing, as questioning a director's behavior could harm their own career progression
• BReport the behavior through the firm's internal whistleblowing procedures or directly to…
• CSpeak to the director and ask for a share of the inflated expenses in exchange for silence
• DPost the details anonymously on social media to expose the misconduct publicly

A timber treatment company offers to pay an RICS building surveyor a 10% referral commission for every client who instructs them based on the surveyor's recommendations. What is the required approach?

• AAccept the commission without telling the client, as it is a private commercial agreement
• BDisclose the referral arrangement and commission amount to the client in writing before m…
• CAccept the commission but deduct it from the client's final invoice without explaining why
• DRefuse to recommend the timber company, even if they are the best provider, to avoid any…

At what stage in the client relationship must an RICS firm carry out a formal Conflict of Interest check?

• AOnly when the client raises a concern about potential bias
• BBefore accepting any new instruction, and again if a material change in circumstances occ…
• CDirectly after the final report has been drafted and is ready for issue
• DOnly if the firm has more than 50 employees

Under the RICS Conflicts of Interest standard, what are the three distinct categories of conflict of interest?

• AFinancial conflict, family conflict, and commercial conflict
• BParty conflict, own interest conflict, and confidential information conflict
• CIndividual conflict, corporate conflict, and regulatory conflict
• DDirect conflict, indirect conflict, and perceived conflict

An RICS regulated firm publishes a marketing leaflet claiming they are 'the only firm in the region that provides honest, accurate valuations.' How does this marketing align with RICS Rules?

• AIt is acceptable marketing as long as it helps the firm secure new clients
• BIt violates RICS Rules of Conduct, as advertising must be truthful and not make unsubstan…
• CIt is acceptable if the firm has never been sued for an incorrect valuation
• DIt is acceptable if the local RICS branch gives verbal permission

A client requests that a surveyor backdate a valuation report by three months to help them resolve a tax dispute with HM Revenue & Customs (HMRC). How should the surveyor respond?

• AAgree to backdate the report, as it supports the client's tax position and saves them mon…
• BRefuse to backdate the signature date of the report, but explain they can carry out a ret…
• CBackdate the report but charge a double fee for the administrative adjustment
• DDecline the instruction entirely and report the client to HMRC for tax fraud

A partner in an RICS regulated firm is declared bankrupt due to personal debts. What is their professional obligation under RICS rules?

• AThey only need to report it if the bankruptcy affects the firm's client bank account
• BThey must notify RICS promptly, as bankruptcy is a reportable matter
• CThey should resign from the firm immediately to avoid having to report it
• DThere is no obligation to report personal bankruptcy to a professional body

Under what conditions can an RICS firm use information barriers (sometimes called 'ethical walls') to manage a conflict of interest between two competing clients?

• AThey can be set up at any time without client consent if the physical files are locked in…
• BOnly when both clients give written informed consent, the barrier is robust enough to pre…
• COnly if the clients operate in different geographic countries
• DInformation barriers are never permitted under RICS rules to manage conflicts

A client threatens to withhold payment for a building survey unless the surveyor removes references to a defective roof structure from the final report. What should the surveyor do?

• ARemove the defect from the report to secure payment, but send a separate warning letter t…
• BRefuse to alter the report, issue the honest findings, and pursue the debt using the firm…
• CDeduct the cost of repairing the roof from their fee to satisfy the client
• DDelete the defect but write 'roof not inspected' in the report assumptions

Under the UK Bribery Act 2010, what defense does an RICS regulated firm have if one of its employees pays a bribe to secure a project?

• AShowing that the directors were unaware of the employee's actions
• BProving that the firm had implemented 'adequate procedures' designed to prevent bribery a…
• CShowing that the bribe did not result in the contract being awarded
• DArgue that bribery is standard practice in that particular sector

An RICS member discovers they accidentally undercharged a client by £5,000 due to an administration error. The client has already paid the invoiced amount. What should the surveyor do?

• ASend an additional invoice explaining the error and requesting payment, while respecting…
• BSilently charge the client £5,000 extra on their next unrelated project to make up for th…
• CAlter the terms of engagement retrospectively to show the higher fee and demand payment
• DDo nothing and absorb the loss if they cannot reach a mutual agreement with the client ho…

What are the minimum Continuing Professional Development (CPD) requirements for an RICS member per calendar year?

• A10 hours of informal study and reading professional magazines
• B20 hours in total, of which at least 10 hours must be formal CPD
• C30 hours of formal training courses approved by RICS headquarters
• D15 hours of formal CPD, with no requirements for informal study

By which annual date must RICS members record and submit their Continuing Professional Development (CPD) hours to RICS for the previous calendar year?

• A31 December
• B31 January
• C1 April
• D31 August

An RICS residential surveyor is asked by an existing client to carry out a complex valuation of a large oil refinery. The surveyor has no experience in industrial plant valuation. What is the correct approach?

• AAccept the work to maintain the client relationship, and rely on online research to compl…
• BDecline the instruction, explaining that it lies outside their professional competence, o…
• CAccept the work but include a disclaimer in the report stating they are not an expert in…
• DDelegate the valuation entirely to an junior trainee and sign it off once completed

An RICS surveyor delegates a building survey to a trainee surveyor. The trainee misses a major dry rot issue in the roof space. Who holds professional responsibility for this error?

• AThe trainee surveyor, as they carried out the physical inspection
• BThe RICS surveyor who signed the report, as they are responsible for supervising delegate…
• CThe client, for failing to check the qualifications of the person doing the inspection
• DNo one, as dry rot is difficult to identify and errors are expected in training

What disciplinary action can RICS take against a member who repeatedly fails to submit their annual CPD hours despite multiple reminders?

• ANo action, as CPD is a voluntary recommendation for members
• BRICS can issue fixed penalties, suspend the member's license, or eventually expel them fr…
• CRICS can fine the member's employer but cannot penalize the individual
• DRICS will automatically demote the member to a student status

A London-based RICS valuer is asked to value a agricultural estate in northern Scotland. The valuer has never worked in Scotland and is unfamiliar with Scottish land tenure law. What should they do?

• AAccept the job, as valuation principles are identical across the United Kingdom
• BDecline the instruction, or obtain local Scottish expertise to assist with the valuation…
• CPerform the valuation based on English law and assume Scottish law is identical
• DAccept the instruction but double their professional indemnity insurance (PII) cover for…

An RICS firm employs a non-surveyor administrator to draft standard valuation reports using templated software. Who must sign these reports?

• AThe administrator, as they drafted the document
• BA qualified RICS member who has inspected the property (or supervised the inspection) and…
• CNo signature is needed if the report has the firm's logo
• DThe client, to show they agree with the figure

Under RICS Rules of Conduct, what is the mandatory requirement for firms regarding complaints handling?

• AFirms must resolve all complaints in favor of the client to avoid disputes
• BFirms must have a written Complaints Handling Procedure (CHP) that is shared with clients…
• COnly firms with more than 10 partners need a formal complaints procedure
• DComplaints must be reported directly to RICS within 24 hours of receipt

How many stages must an RICS compliant Complaints Handling Procedure (CHP) contain?

• AOne stage: consideration by the surveyor who carried out the work
• BTwo stages: an internal review by a senior colleague, followed by referral to an independ…
• CThree stages: internal review, RICS arbitration, and court proceedings
• DFour stages, including a mandatory panel review by the local Chamber of Commerce

Which of the following is an example of an RICS-approved independent external redress scheme for consumer complaints?

• AThe local magistrates' court
• BThe Property Ombudsman or CEDR (Centre for Effective Dispute Resolution)
• CThe RICS Disciplinary Panel
• DThe firm's own professional indemnity insurance broker

When must an RICS surveyor provide the client with the written Terms of Engagement?

• AAfter the final survey report has been delivered to the client
• BBefore any professional work begins, and they must be agreed in writing by the client
• COnly when the client requests them or when invoicing
• DWithin 30 days of completing the inspection

Under RICS complaints handling guidance, what are the recommended maximum time limits for acknowledging a complaint and providing a full written response?

• AAcknowledge within 24 hours, respond within 7 days
• BAcknowledge within 7 days, and provide a full written response within 28 days of receipt
• CAcknowledge within 14 days, respond within 60 days
• DThere are no specific time limits as long as the firm communicates regularly

An RICS surveyor is quoting a fee for a building survey. How must they present the fee to a consumer client?

• AProvide a vague estimate and explain that the final price will depend on how long the ins…
• BProvide a clear, transparent quote stating the total cost, any disbursements, and whether…
• CQuote a low figure verbally and add additional administrative costs to the invoice later
• DQuote a fee that varies depending on the property value found during the survey

Who within an RICS regulated firm should be designated to handle client complaints in the first instance?

• AThe surveyor who carried out the work, to save time
• BA designated Complaints Handling Officer (CHO) who is a senior partner or director not di…
• CThe junior administrator, to filter out minor complaints
• DThe firm's external legal advisor

An RICS regulated firm wishes to limit its liability to a commercial client for a structural survey. What is required under RICS rules?

• AThe firm can limit liability to zero using a blanket exclusion clause
• BAny limitation of liability must be fair, reasonable, and explicitly agreed in writing in…
• CLiability cannot be limited under RICS rules; firms have unlimited liability for all negl…
• DLimitations of liability are valid only if approved in writing by RICS Regulation

How long should an RICS firm retain client files and survey records after completing a project?

• AFor 1 year, to save office storage space
• BFor at least 6 years (under contract) or 12 years (if executed as a deed) to match statut…
• CUntil the surveyor who completed the work leaves the firm
• DFiles must be kept forever under RICS regulations

Which of the following activities would qualify as FORMAL Continuing Professional Development (CPD) under RICS rules?

• AReading a monthly professional surveying magazine at home
• BAttending a structured one-day seminar on new building regulations with clear learning ob…
• CHaving an informal lunch discussion with a colleague about a project
• DBrowsing a social media forum for surveyor discussions

Which of the following activities qualifies as INFORMAL Continuing Professional Development (CPD) under RICS rules?

• APassing a university exam in real estate law
• BSelf-directed reading of RICS guidance notes and professional journals
• CAttending an RICS national conference with structured workshops
• DCompleting a certified training course on asbestos management

An RICS chartered surveyor operates as a sole practitioner. What arrangement must they have in place to ensure a high standard of service in the event of their sudden incapacity or death?

• AA clause in their terms stating their services terminate immediately upon death
• BA formal locum agreement with another qualified RICS member to manage the practice
• CA life insurance policy that pays out to active clients
• DNo specific arrangement is required for sole practitioners

Shortly after sending a structural survey report, a surveyor realizes they made a major calculation error that significantly underestimates the cost of repair. What is their professional obligation?

• AKeep quiet and hope the client does not notice the mistake
• BContact the client immediately to explain the error, issue an amended report, and notify…
• CWait until the client complains before admitting the error
• DBlame the error on the software and refuse to take responsibility

If a client is dissatisfied with how an RICS regulated firm has handled their complaint under Stage 1 of the CHP, who can they report the firm to?

• ADirectly to the RICS President for personal review
• BThe independent external redress scheme specified in the firm's CHP (Stage 2)
• CThe local police, for breach of contract
• DThe surveyor's local university or training provider

An RICS surveyor uses an AI text generator to write the final conclusions of a building condition report. What is their professional obligation regarding the output?

• AThe surveyor can copy and paste the text directly as AI tools are inherently accurate
• BThe surveyor must thoroughly check and verify the AI-generated text for accuracy, as they…
• CThe surveyor is exempt from liability if the AI-generated advice turns out to be negligent
• DThe report must be co-signed by the software provider