Internal complaints procedure

Under the requirements of clauses 9a and 9b of the code of conduct, advisers must:

• develop and maintain internal procedures for the resolution of complaints
• explain their internal complaints procedure to the client
• provide the client with a copy of their internal complaints procedure.

At a minimum, an internal complaints procedure should include the following information:

• the details of the person whom the complaint can be made to
• how to complain
• grounds for complaint
• timeframes for acknowledgement of a complaint, and a response to the complaint
• details of the complaints and disciplinary procedures that are outlined in the Immigration Advisers Licensing Act 2007, and an explanation of how these can be accessed if the complaint is not resolved satisfactorily using the internal complaints procedure.

Role and value of the internal complaints procedure

It is a reality that all professionals make mistakes, that they will be unfairly accused of making mistakes, and that they will have to deal with clients who have been disappointed. Professionals deal with aspects of peoples lives that are both important to them, and often, emotionally sensitive.

Advisers should not take a defensive attitude to having an internal complaints procedure, and instead should see it as an opportunity to deal effectively with issues that have “gone wrong”. If a client comes to an adviser with a complaint, and the adviser addresses their concerns effectively, the adviser may well keep a healthy professional relationship with that client.

As a starting point, an adviser should usually acknowledge the genuineness of the client’s concerns, which is a different matter from accepting that he or she has done something wrong. In fact, the client may have a genuine concern, which is founded on them misunderstanding something.

In assessing the client’s complaint, an adviser should objectively consider whether they have made a mistake, and what they should do to fix it, if that is the case. Taking an emotionally reactive approach may be very costly professionally.

Some clients will be unreasonable, and an adviser will not be able to change that. The great majority of clients however, will be greatly influenced by whether their adviser listens to their concerns, explains honestly and frankly what their perspective is, takes responsibility to the extent that they have been in error; and tries to put things right.

Duty to explain internal complaints procedure

The duty to explain the adviser’s internal complaints procedure to clients in clause 9b, can be met orally or in writing.

The threshold required however, is something more than just to ‘make aware of’ or ‘give a copy of’, and the onus will be on the adviser to show that the explanation given has been sufficiently clear, and in language that the client can easily understand.
Where such an explanation is given orally, the adviser should make a file note recording the nature and extent of the explanation given, and attach this to the client file.

The duty to provide a copy of the adviser’s internal complaints procedure to the client can be physically met by handing a copy to the client, by posting a copy to the client, or by providing an electronic copy to the client, where the client has agreed to accept electronic communication.

Sample internal complaints procedure

Provided below is a sample internal complaints procedure:

Downloads

• Part A: Licensing [pdf, 71 pages, 485kB]
• Part B: Enforcement [PDF, 8 pages, 333kB]
• Part C: Professional Responsibilities [PDF, 66 pages, 433kB]
• Part D: Professional Practice [PDF, 67 pages, 507 kB]