Objective and purpose
At SEIVA we seek to maintain our reputation as a firm delivering high quality professional services. We are also committed to maintaining our responsiveness to the needs and concerns of our clients.
This Policy is designed to provide guidance on how we receive, and handle complaints made
• about services
• provided by SEIVA, our partners and our employees
• in Australia
It includes complaints about the way we manage the complaints we receive.
What is a complaint?
The Policy is intended to address complaints made to SEIVA. A complaint under this Policy is:
An expression of dissatisfaction made to or about SEIVA, our partners and our employees, related to our services, staff or the handling of a complaint, where a response or resolution is explicitly or implicitly expected or legally required.
What this Policy does not apply to?
At times, complaints can be by way of negative feedback, which may not require a resolution or formal follow-up. This type of feedback is valuable in helping us to continually improve our services; however, this Policy does not apply to feedback of this nature.
The policy does not apply to recruitment or employment related complaints and grievances. Any such inquiries will be forwarded to the appropriate person in SEIVA for consideration.
This Policy does not apply to complaints made about SEIVA firms in countries other than Australia.
2 Guiding principles
Guiding principles of effective complaints handling
In managing complaints, we have regard to the following guiding principles of effective complaints handling.
People focus
We actively solicit feedback from our clients on a regular basis and acknowledge a client’s right to complain.
People making complaints are treated with respect and we will communicate as appropriate with the complainants on the status of their matter.
Ensuring no detriment to complainant
We take all reasonable measures to ensure that complainants are not adversely affected because of a complaint made by them or on their behalf.
Visibility and transparency
The Policy is available upon request, please email admin@seiva.com.au to request a copy. We refer clients to the Policy and our complaint process in each Letter of Engagement.
Accessibility
Our Complaint Handling process is designed to make it easy for a person to make a complaint.
We will assist people to make a complaint or will accept complaints from authorised representatives of complainants, where required.
No charges
There will be no charge to the complainant for making a complaint.
Responsiveness
We will promptly confirm with a complainant that we have received their complaint and will handle all complaints in an efficient and effective manner.
Objectivity, fairness, and equity
Each complaint is managed in an objective, unbiased and equitable manner.
Privacy and disclosure
We will use the information a complainant provides to assess the complaint, conduct the investigation, and seek a resolution and we will not disclose a complainant’s personal information to third parties without their express consent.
Accountability
All partners and employees accept responsibility for effectively managing a complaint raised about them, or the product or service they have provided.
3 Managing your complaint
What happens when you make a complaint to SEIVA
How you can make a complaint
If you have a complaint about a particular engagement or product and you know the engagement team working on the matter, you can direct your complaint to an appropriate member of that engagement team, orally, by letter, email or via the SEIVA website Contact Us page.
If possible, please email or write to us, to tell us about your complaint so that the details of the complaint are clear and complete.
If you are not sure who you should refer your complaint to, or feel it is inappropriate to address the complaint to a member of the engagement team, please submit your complaint to the Complaints Officer via letter or email:
Email: admin@seiva.com.au
Phone: +61 (03) 9866 6222
The information you can provide
When making a complaint (to the Engagement team or to the Complaints Officer) please provide the following information.
• Your name and contact details.
• If you are contacting us on a complainant’s behalf, the name of the complainant and your role or authority to act on their behalf.
• If the complainant is a SEIVA client, the nature of the engagement with SEIVA.
• The regular contact person within SEIVA.
• Details of the complaint (including when the conduct giving rise to the complaint occurred).
• Details of the SEIVA partner or employee involved (if applicable).
• Copies of any documentation supporting the complaint.
How we will handle your information and protect your privacy
We will use the information you have provided to assess your complaint, conduct the investigation, and seek a resolution.
To effectively investigate your complaint, we may need to share the information you give us with:
• the people or team your complaint is about;
• other people within SEIVA who may assist us with investigating your complaint, such as relevant subject matter experts, our quality and risk staff or human resources staff; and
• where your complaint is made on behalf of an organisation, that organisation.
We may also collect information about you from the parties listed above where it is necessary to investigate your complaint.
If your complaint involves a person based overseas, we may need to disclose your information overseas.
We may need to collect further information from you to investigate your complaint. If you do not provide this information, we will investigate your complaint and respond to you; however, we may not be able to resolve your complaint to your satisfaction.
Do you need assistance to make your complaint?
If you require assistance in formulating or lodging a complaint, please contact a member of the engagement team working on the matter. If you do not think this is appropriate, please contact the Complaints Officer (contact details as provided above).
If you authorise someone to make your complaint on your behalf, we may need your written confirmation of their authority before we can discuss your complaint with them.
We will acknowledge and deal with your complaint promptly
We will acknowledge receiving your complaint promptly.
We will endeavour to resolve your complaint within 45 calendar days, but this will not be possible on all occasions. Where our review is likely to take longer, we will contact you to inform you why our response is delayed and indicate when we expect to complete our review and provide our response to your complaint.
Your rights during the complaint process
We will endeavour to keep you informed about our progress in investigating your complaint.
We will respond to you in writing
When we have completed our investigation of your complaint, we will respond to you in writing.
If you have referred your complaint to the Engagement team and are dissatisfied with the Engagement team’s response, you can ask our Complaints Officer to review your complaint. The Complaints Officer is independent of the Engagement team and will objectively review and respond to your escalated complaint. Please contact the Complaints Officer using the contact details provided above.
Further action
If you are dissatisfied with the response from the Engagement team or the Complaints Officer, or with the way we have handled your complaint, you can refer your concerns to the appropriate external dispute resolution body in the list below.
Chartered Accountants Australia and New Zealand
For complaints involving a registered member of this association.
www.charteredaccountantsanz.com
CPA Australia
For complaints involving a registered member of this association.
www.cpaaustralia.com.au
Australian Securities & Investments Commission
For complaints involving misconduct or illegal activity within ASIC’s jurisdiction (please contact ASIC for further information).
www.asic.gov.au
Tax Practitioners Board
For complaints about a registered Tax Agent.
www.tpb.gov.au
SEIVA refers to SEIVA Pty Ltd, SEIVA Partnership and their related entities (collectively, the “SEIVA Group”).
SEIVA and each SEIVA member firm and related entity is liable only for its own acts and omissions, and not those of each other.
SEIVA is a leading provider of tax, accounting, advisory, consulting and related services.
SEIVA is a member of SEIVA Group. Members of SEIVA Group and their related entities, each of which are separate and independent legal entities, provide services from various locations.
This communication contains general information only, and none of SEIVA’s, its global network of member firms or their related entities (collectively, the “SEIVA Group”) is, by means of this communication, rendering professional advice or services. Before making any decision or taking any action that may affect your business, you should consult a qualified professional adviser.
No representations, warranties or undertakings (express or implied) are given as to the accuracy or completeness of the information in this communication, and none of SEIVA’s, its member firms, related entities, employees or agents shall be liable or responsible for any loss or damage whatsoever arising directly or indirectly in connection with any person relying on this communication.
Liability limited by a scheme approved under Professional Standards Legislation.