As you are aware there is now a Complaints Gateway in operation for all complaints about IPs, other than where the complaint relates to a Northern Ireland case or against an IP who is a solicitor. What we find is often overlooked though, is the need for an insolvency practice to have a written complaints policy. There is one exception to that though, and that is where it is a sole trader practice a written policy is not required.
We do not have a pro forma policy that you can use, but the following are the sort of issues that a written policy should cover:
· the practice’s overall approach to complaints, e.g. treating them seriously, considering them fairly, and wanting to resolve them;
· the complaint need to be in writing;
· the complaint should be dealt with by the office holder in the first instance;
· if it is not resolved by the office holder then it will need to be considered by a designated complaints officer in the practice;
· the complaints officer should be someone in a senior position and not connected with the appointment or matter that the complaint relates to;
· if the complainant is still not satisfied then they can complain via the Complaints Gateway; and
· if it relates to matters covered by the practice’s consumer credit licence then they can also complain to the Financial Ombudsman Service.
For some more suggestions and ideas on contents try Googling “complaints policy”. So many organisations are required to “publish” their complaints policy now that you will find some useful examples that you can base your own policy on.
