Code of Conduct

YS Complaints Procedure

All complaints should be raised at the Office of Yorkshire searches within 5 working days.
Where Local Authority reports are disputed, a further search will be completed, where ever possible within 5 working days.
Should the second report be consistent with the first, Yorkshire searches will make a charge for the additional search.
Where the second search highlights differences in the information reported no charge will be made for either of the Local Searches.
Should the issue not be resolved, then the matter can be passed to the IPSA compliance unit for further investigation.
Yorkshire Searches cannot accept any responsibility for errors in reporting arising from incorrect data held by a DATA HOLDER.

IPSA Complaints Procedure

It is important for any organisation such as IPSA to ensure that those individuals and organisations using the services of its members, have confidence that should they need to make a complaint, there is a clearly defined mechanism in place that will ensure that it is dealt with in a thorough and objective manner

IPSA sees complaints as falling into two categories;

those that can be handled internally by the member (Internal)
those where either the client or the member feels that external investigation is more appropriate (External)

IPSA has set up separate procedures for dealing with each type of complaint

In both cases complaints should be submitted in writing detailing the exact nature of the complaint and including any documentary evidence to support the complaint. The written complaint may be in electronic or hard copy format.

Where a member is contacted by telephone regarding a complaint the member should inform the client of the options available, (i.e. to be handled internally or passed to IPSA), determine which course is preferable for the client and request that they submit their complaint in writing. Where the client opts for an external investigation he should be provided with a copy of the ‘How to Make a Complaint’ information sheet

Where IPSA is contacted directly the client will be given the same options

All complaints will be acknowledged in writing and include a summary of the proposed course of action together with an estimated date by which the complaint is expected to be finalised. Both members and IPSA will aim to finalise the outcome within one month of receipt of the written complaint. Where this is not possible the complainant will be kept informed of the situation either in writing or by telephone

On completion of appropriate investigations whether internal or external the complainant will be notified in writing of the findings and the reasoning behind any decision. Where the case has been dealt with internally the complainant will also be proved with a copy of the ‘How to make a Complaint’ information sheet

Complaints handled Internally

All members must appoint a member of staff who will be responsible for dealing with complaints. It will be the responsibility of the nominated individual to ensure compliance with the requirements of the complaints procedure. Members should supply the name of the nominated individual to IPSA

Any member who receives a complaint against them, whether or not they feel able to deal with the complaint internally, will complete an *Initial Complaint Report, giving the complaint a Unique Reference Number and detailing the complainant, the nature of the complaint and the proposed course of action, including an estimated date for completion and the details of the individual looking into the complaint; this should be submitted to the Compliance Team

Wherever practical, the complaint should be investigated by a person or persons not involved with the action that led to the complaint

In the case of sole traders where the complainant is not prepared to deal with the member responsible, IPSA will nominate a third party member to act as intermediary. Such cases will still be treated as Internal

In the event of a satisfactory conclusion the member should submit a *Satisfactory Outcome Report detailing the action taken and the outcome. In all cases IPSA will follow this up by contacting the client either by telephone or in writing in order to obtain their opinion

In the event that the client is not satisfied with the outcome he should be informed that he still has the option of having the matter dealt with by IPSA and providing the client with a copy of the ‘How to make a Complaint’ information sheet.

In addition the member should complete an *Unsatisfactory Outcome Report and submit it to the Compliance Team

Please note: Documentation relating to a complaint including any correspondence and in the case of a complaint regarding search results, initial instructions, working papers and the report itself should be retained by the member but collated and kept in a separate file for ease of access

*Copies of the Complaint Reports are included at Schedules 7, 8 and 9 and members should save copies on their computer and in the event of a complaint complete them on-screen and submit them in electronic format

Complaints handled by IPSA

All complaints that cannot be dealt with by the member or that have been received direct from the client will be assumed to require external handling

Please note: Members may be required to pay for legitimate expenses incurred by IPSA during the investigation of a complaint including but not restricted to:

Travel Expenses
Accommodation
Labour
General disbursements (telephone, postage etc)

All complaints submitted to IPSA will, in the first instance, be considered by the Compliance Team in order to determine the nature of the complaint and to gather any initial ‘evidence’ or documentation pertinent to the complaint.

The Compliance Team will set up a Complaint File, acknowledge receipt as outlined above and in the case of a direct complaint, inform the member that a complaint has been made against them.

The member will be notified as to the nature of the complaint and asked to complete an Initial Complaint Report.

Having determined the exact nature of the complaint the CT will request any **documentation, statements or other evidence pertinent to the case, either from the member or the client and carry out any interviews deemed necessary

At this point The CT may if they deem it appropriate and with the complainant’s approval attempt to resolve the matter

Otherwise the complaint file will be passed to the Complaints and Disciplinary Committee

The Complaints and Disciplinary Committee (CDC)

The CDC is an entirely independent body set up by IPSA and comprising a practising conveyancing solicitor, a chartered surveyor who is also a qualified home inspector and chaired by a retired police officer who is one of the country’s leading authorities on financial fraud and money laundering and who acts in the capacity of private consultant with West Yorkshire Police

How does the CDC work

On receiving the Complaint File the CDC will carry out their own investigations including but not restricted to, one or more of the following:
.
      (i) Considering the Compliance Team’s Report
      (ii) Request additional information or documentation
      (iii) Interview complainants
      (iv) Interview members

Upon completion of their investigations and dependent on the severity of the situation the CDC will recommend one of the following:

that no further action be taken
that the member undergo a period of close supervision including ‘regular’ compliance visits*
that the member’s status be down-graded
that the member be summarily dismissed from IPSA
that the matter be referred to the appropriate authorities
that the member compensate the complainant for any ‘expenses’ or other financial loss incurred

*In the case of close supervision and regular compliance visits the member will be required to pay all expenses incurred by IPSA

**Original documents obtained during a case will be returned to their respective owners on completion

Note: Copies of all documentation relating to and obtained during the investigation of a complaint will be made and retained by IPSA in electronic format for a period of not less than five years

Complainants and members may request copies of any and all documentation in support insurance or other claims