Complaints - New Project 3

HR & Diversity
Management Ltd
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COMPLAINTS POLICY (attached to Client Agreement).
HR & Diversity Management Limited (HR&DM) is required to have in place, and operate, an effective internal complaints handling process for handling any expression of dissatisfaction, whether oral or written, and whether justified or not, from or on behalf of a complainant about our business’s services.
Members of the public have the right to complain about services or conduct that does not comply with all aspects of our business operations, policies and procedures.  This, our policy, addresses the receiving of complaints, the responding to complaints, the process to follow when investigating complaints and notifying complainants of their rights during the investigation process.
This Complaints Policy is detailed on our website (
  • Informal Complaint: In the first instance a Complainant may raise concerns by any reasonable means (letter, telephone, email or in person).  To avoid misunderstanding, written complaints are preferable.  At that point the Consultant dealing with the case will respond and will deal with any concern raised within 5 working days (unless there are extenuating circumstances ie: holidays, sickness etc), in order to mutually remedy any misunderstanding.  It is hoped that matters will be resolved amicably at this stage.
  • Formal Complaint: If the informal approach proved unsuccessful a formal written complaint, duly signed by the Complainant should be submitted marked ‘Confidential’ and addressed to: HR & Diversity Management Limited, Mr D Pratt, Director. PO Box 1276, Swindon. SN25 4UX. Email;    The complainant is required to provide full name, address and details for response along with any documents that are relevant which s/he would like to be taken into consideration.
  • The formal written complaint will be investigated by an in-house, competent and sufficiently independent person, of suitable authority within HR&DM (or having access to necessary authority). That person may be a Director of the Company or an Associate HR Consultant who has not been involved in the case. Importantly, the person appointed to deal with the formal complaint will not be implicated in that complaint in any way and Conflict of Interest will be observed at all times.  
  • Responses to a complaint will address adequately the subject matter of the complaint and where a complaint is upheld, will offer redress (see below).  See timelines below.  Every effort will be made to adhere to The Complaints Handling Rules 2015.
  • A decision will be put in writing to the Complainant.
  • The Directors decision will be final in so far as it would conclude the internal complaint handling process.
Importantly, we are Regulated under The Claims Management Services Regulations Rules.
If a Complainant remains dissatisfied with the handling of a complaint and/or if HR&DM and the Complainant cannot mutually agree on how to resolve a complaint and/or if a Complainant feels HR&DM have not complied with the rules set out in this this Policy Statement, a complainant may ask the Ombudsman; The Claims Management Regulator to review the authorised person (ie: us) in terms of the way their complaint was handled.    In this case contact;
The Claims Management Regulation Unit
57-60 High Street
Burton Upon Trent
DE14 1JS
Telephone: 0333 200 1321
With regard to complaints made, the Directors of HR&DM may decline to consider a complaint that is made more than six months after the complainant became aware of the cause of the complaint.
Formal complaints will be referred to an in-house competent and impartial Director of HR&DM or an HR Associate who will send a written or electronic acknowledgement of the complaint within five working days of receipt of such, giving the name or job title of the individual appointed to investigate the complaint.
The Directors of HR&DM will address matters within four weeks and will send the complainant either; a) a final response, or b) a holding response explaining why it is not in a position to resolve the complaint and indicate when the business will make further contact (which must be within eight weeks of receipt of the complaint).  In this instance, HR&DM will, within eight weeks, send the complainant a final response or respond to the Complainant advising him/her why the business is not in a position to make a final response.  At this point the investigator will give the reasons for the delay and when it expects to provide that response or advise the complainant that s/he may refer the handling of the complaint to the Claims Management Regulator if s/he is dissatisfied with the delay.  The contact details for the Claims Management Regulator will be provided once more and are found above.
Redress will be considered carefully in respect of any acts or omissions for which HR&DM is found responsible and that redress may involve financial redress or an apology or an offer to re-do work or refund fees (considering interest).
Conflict of Interest:
Where senior management are implicated in any complaint, the matter will be investigated thoroughly and independently. Any member of the staff/team implicated in any complaint will stand down and will not lead or influence the investigation process.
The Complainant is entitled to a meeting with the Directors (at Offices in Wiltshire) and will have the right to be accompanied and supported by a person of their choice at every stage of the complaint procedure.   
Any member of the HR team who the complaint concerns will have a right to see the complaint and will have a right to respond as part of the investigation process.  
Any member of the HR team who is implicated in the complaint will also be entitled to be accompanied by a representative of their union or a colleague during the investigation process.
Operating Principles:
  • The Directors of HR&DM will ensure that this, the organisation’s complaints procedure, is readily available at all times and is copied to the Website.
  • The Directors of HR&DM will ensure all complaints are handled in accordance with this policy and in strict confidence.  
  • The Directors of HR&DM will make themselves available to a) respond to a formal complaint within 5 working days to explain the complaints procedure in detail, and b) will ensure matters are investigated thoroughly and appropriately, observing conflict of interest and dignity and respect to all involved.
  • The Directors of HR&DM will ensure that all complaints are made without obstruction or victimisation.The Directors of HR&DM will maintain a written log of all complaints and will also record what action was taken.  The details will be held securely and in confidence for a period of 5 years for regulatory reporting purposes. (HR & Diversity Management is registered with the ICO for data protection purposes).
Management Ltd
HR & Diversity
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