EMCAS Complaints Procedure

Introduction

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

EMCAS is committed to treating everyone with respect and professionalism. Our teams are expected to maintain high standards of professional and personal behaviour. EMCAS will endeavour to deal with any complaint about a failure to meet those standards promptly, fair and effectively.

Definitions

EMCAS means EMC Advisory Services Limited and any subsidiary company of EMC Advisory Services Limited. It also means any company acting as an introducer for EMC Advisory Services Limited.

Complaint means any expression of dissatisfaction towards a member of EMCAS staff because of their actions, failure to act, unsatisfactory behaviour, inappropriate manner or failure to provide an expected level of service.

The complaints procedure is the process by which EMCAS investigates, responds to and seeks to resolve a complaint it receives.

Complainant is anyone seeking to make a complaint.

Time Restrictions

Under the current rules in place we may decline to consider a grievance where the complainant was aware of the cause for complaint over 6 months prior to voicing their concerns.

Overview of the Complaints Process

EMCAS aims to respond to the concerns of the complainant promptly, fairly and effectively. It is anticipated that most complaints can be dealt with informally. 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 EMCAS or a team member, s/he should take the following actions:

• Contact the member of staff involved outlining the substance of the complaint. The staff member should seek to resolve the issue immediately.
• If the staff member 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 member of staff will help a complainant identify the right person to contact.
• If the matter remains unresolved, the complainant may wish to use the formal procedure.

Formal Stage

Aim: To resolve the complaint.

Process

• The complainant should communicate the complaint formally to the Customer Services Manager stating their concerns and the outcome sought. This can be done by letter, e-mail or telephone.
• Once a complaint has been received, it will be acknowledged in writing within 5 working days. The Manager will either investigate the matter themselves or 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. All endeavours will be made to ensure that the complaint is investigated by somebody who has had no prior involvement in the matter.
• Details of the complaint will be recorded on a confidential complaints monitoring file.
• The next step is to begin the investigation into the complaint. Further information may be sought at this stage from the complainant or another party in order to assist in the investigation.
• If it has not been possible to respond to the complaint within 28 working days of receiving it, a letter will be sent to the complainant explaining that the investigation has not been finalised yet and providing an approximate time for when they can expect to receive the response.
• If after a further 28 working days after sending the previous letter, the investigation is still incomplete; another letter will be sent to the complainant apologising for the continued delay and explaining what is causing it. If the complainant is dissatisfied with how the complaint has been handled at this stage, they are entitled to refer their complaint to the Regulator. Full details of how to contact them will be provided in this letter.
• Once the customer services team has concluded their investigation, they will issue a written final response. The response will contain all of the relevant information to assure the complainant 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.

If I remain dissatisfied after receiving your final response, what else can I do?

We hope that it will not be necessary for you take further action, but if you do remain dissatisfied with our handling of your complaint, you may refer it to our regulator, the Ministry of Justice. You can contact them by the following means:

                                In writing:             Claims Management Regulation

                                                              Monitoring & Compliance Unit

                                                              57-60 High Street

                                                              Burton on Trent

                                                              DE14 1JS

                                By telephone:      01283 233309 or 0845 450 6858

                                By fax:                 01283 233335 or 0845 450 6855

                                By e-mail:              info@claimsregulation.gov.uk

                                Website:               www.claimsregulation.gov.uk

Please note that the Ministry of Justice can only review the handling of the complaint and may not comment on the merits of your particular case.