EMC Advisory Services Limited Complaints Procedure

This policy sets out the process by which EMC Advisory Services Limited will deal with complaints about the personal and professional behaviour of EMC Advisory Services Limited’ staff or the service offered by EMC Advisory Services Limited. It is intended for use by anyone who comes in contact with the staff of EMC Advisory Services Limited or anyone who employs the services of EMC Advisory Services Limited.

Introduction

EMC Advisory Services Limited is committed to treating everyone with respect and professionalism.  Our staffs are expected to maintain high standards of professional effectiveness and personal behaviour.  EMC Advisory Services Limited will endeavour to deal with any complaint about a failure to meet those standards promptly, fairly and effectively.   

Definitions

A complaint is an expression of dissatisfaction. In this context it would be a belief that a member of the staff of EMC Advisory Services Limited, by their actions or failure to act, has behaved in an unsatisfactory or inappropriate manner or has not provided a level of service expected.

The complaints procedure is the process by which EMC Advisory Services Limited responds to, investigates and seeks to resolve the complaints it receives.

A complainant is anyone seeking to make a complaint.

Overview of complaints process

The aim is to respond to the concerns of the complainant promptly, fairly and effectively.  It is anticipated most complaints can be dealt with informally, without recourse to the formal stage of the complaints procedure.  When informal resolution fails - or it is not appropriate to resolve the complaint informally - then the formal stage should be used.

Informal stage

Aim: To sort the matter out as soon as possible by addressing the substance of the concerns.

Process

If the complainant believes there has been a breach of professional standards by EMC Advisory Services Limited or a staff member, s/he should take actions as follows:

• Contact the member of staff involved directly, outlining the substance of the complaint. This is best done face-to-face or by telephone. The staff member should seek to resolve the issue immediately.
• If the staff member directly involved is unable to deal with the matter or if s/he fails to respond, the complainant should contact the line manager, who should try to resolve the matter immediately.  Any office of EMC Advisory Services Limited will help a complainant identify the right person to contact. 
• If the matter remains unsolved, the complainant may wish to use the formal procedure.

First formal stage

Aim: To resolve the complaint at this stage.

Process

• The complainant should communicate the complaint formally to the EMC Advisory Services Limited Customer Services Manager stating their concerns and the outcome sought. This may be by letter, e-mail or telephone.
• Once a complaint has been received, it should be acknowledged within five working days. The Manager will appoint a member of their team to investigate the complaint. The complainant will be told who is dealing with the complaint, what action is being taken and when s/he can expect to receive a full reply. Further information may be requested at this point and the investigating officer may ask for confirmation that s/he has understood the nature of the complaint accurately – particularly where the complaint was made by phone.
• Details of the complaint will be recorded in a confidential complaints monitoring file.
• The next step is the investigation into the complaint.  This will be undertaken by a member of the customer services team who has had no prior involvement in the issue and has been appointed by the Manager.
• If further information is sought from the complainant, a reasonable time scale may be set.
• Once the investigation is complete, a letter detailing the investigation and subsequent findings will be sent to the complainant.  Unless the situation is unusually complex or it has not been possible to talk to the relevant people, all complaints will generally be investigated within 28 working days from receipt.  If further time is required, a letter will be sent to the complainant explaining the reasons why and including details of when a response can be expected.
• If after a further 28 working days, the person responsible for the investigation is unable to issue their findings, a further letter will be sent to the complainant explaining the reasons why there has been a further delay and including details of when a response can be expected. If the complainant is dissatisfied with the handling of their complaint at this stage, they may refer the complaint to either the Customer Services Manager or the Regulator.
• Once the customer services team has concluded their investigation, they will issue a final response. The response will contain all relevant information to assure complainants that their complaint has been properly investigated. If the complaint is upheld, a full apology will be given and, as far as possible, the investigating officer should say what action will be taken to prevent a recurrence.  The letter will also inform complainants of their right to ask for a review of the investigation if they are not satisfied with the outcome of Stage One.  Details of how to do this will be provided.
• Managers are responsible for ensuring that complaints monitoring files are periodically discussed with the board and for ensuring that changes arising from complaints have been made and are operating correctly.

Second and final stage

Aim: To review the investigation of the complaint and check that the complaint has been dealt with appropriately in line with the procedure and that the conclusion was reasonable given the evidence.

Process

• If the complainant believes that their complaint was not investigated properly or that the conclusion reached was unreasonable, s/he is entitled to ask the complaint be reviewed. This must be done within 14 working days of being informed of the outcome. The complainant should contact the Customer Services Manager of EMC Advisory Services Limited, EMC House, Palace Avenue , Paignton. Devon TQ3 3HE.
• The Manager will undertake the review.
• The request for a review will be acknowledged within 5 working days.
• Once the review is complete, a letter detailing the investigation and subsequent findings will be sent to the complainant.  A reply should be sent within 28 working days of receipt of the complainant's file.  If the matter is complex and a delay is likely, a letter will be sent explaining the reason why and when a response can be expected.
• The response will contain all relevant information to assure complainants that the review has been properly conducted. If the review finds that the investigation was inadequate and/or the conclusion unreasonable, an apology will be given and details given of how the situation will be rectified. 
• The decision of the reviewer is final.

If I remain dissatisfied, who can I write to?

If after receiving a final response you still consider your complaint to be unresolved, you have the right to refer your complaint to our regulator; the Ministry of Justice at:

Claims Management Regulator

PO Box 7824

Burton on Trent

Staffordshire

DE14 9DP

info@claimsregulation.gov.uk

Tel: 0845 450 6858