Engaging positively with a complaint
While the majority of CAs reading this article may never need to give it another thought, our experience shows that even the most diligent CAs can find themselves on the receiving end of a complaint. How you manage a complaint to ICAS can have a significant impact on the outcome.
Why is it important to deal with complaints in a positive way?
Simply put, ignoring a complaint could hurt your business or career in the long term. When you address a complaint in a constructive manner, there is a greater chance that the complainer will be left with a more positive image of you or your business, even if your actions or service did not initially meet their expectations.
As a member you also have an obligation to investigate complaints received from or on behalf of a client concerning any services provided by you in the normal course of business, and to take reasonable steps to resolve the complaint.
On the rare occasion that you are unable to resolve the matter through your internal complaints process, you also have a duty to co-operate fully and promptly with the investigation of a complaint made against you to ICAS. While the work of the Investigations Department often comes with negative connotations, there is a way to maintain a positive outlook on a complaint. Our experience is that this often starts and ends with how you communicate with our team.
What does positive engagement look like?
We are here to make the process as simple and painless as possible. Co-operation is key: This includes responding to requests for information on time and as fully as you can. It is important to provide full, clear responses, together with copies of all documents that support your position at the earliest stage possible.
While we appreciate that being on the receiving end of complaint can be a daunting experience, it is important to bear in mind that our initial role is that of ‘fact finder’. We appreciate that there are two sides to every story and your full and transparent responses will assist us in establishing the facts.
If there are factors that will impact on your ability to respond to us, then let us know. While the general constraints of work are unlikely to be considered a reason not to respond, other issues such as ill-health or difficult personal circumstances, will be taken into account.
What are the benefits of positive engagement?
A constructive approach to a complaint may allow you to maintain a good working relationship with a client, as in many cases, complaints arise from simple misunderstandings. It may be possible for us to seek a conciliated outcome to a complaint that is satisfactory to both parties (see further details on our conciliation process here).
Ascertaining the facts of a case as soon as possible will likely lead to a quicker conclusion of our enquiries. The majority of complaints we receive are dismissed after conducting preliminary enquiries, without the need to refer the matter to the Investigation Committee. While it can be difficult to deal with anything that diverts attention away from your day-to-day work, it is important that you give any complaint proper attention. Burying your head in the sand invariably leads to more problems, as the matter is not going to go away without your input.
Taking time to understand a complaint can prove useful in identifying areas for improvement within your business, even if this is as simple as tightening procedures to minimise future misunderstandings. The Investigation Committee will always look favourably on CAs who demonstrate insight into a concern and proactively take steps to implement improvements for the future.
Even if the complaint is ultimately upheld, the committee will take into account the level of co-operation when deciding on an appropriate level of sanction. Where a CA has admitted wrongdoing at an early stage, this admission may be considered a mitigating factor that could reduce any sanction or financial penalty applied.
Final thoughts
It is important to recognise that we all have the same aim: To conclude the investigation of a complaint as efficiently as possible. Co-operation and transparency benefit everybody. While the ability to look at a complaint as a positive thing may be a difficult skill, if you deal with it in the right way, there are benefits to be had.
If you wish to discuss any concerns regarding a potential complaint, please contact the Investigations Department on 0131 347 0271.
Guidance on what makes a good internal complaints process can also be found in the ICAS General Practice Manual ‘Starting in Practice’ guide.