Complaints handling for small practitioners

A complaints procedure is not an admission of fault. It is a professional service control, which helps resolve problems early, reduces misunderstanding, and protects both client and engineer.

This guidance is designed to sit alongside the client-facing template at the end of this document. Practices can adopt the template as written or adapt it to suit their organisation.
 

Core principles for small practices

A workable complaints process for a small practice should be:

• Visible and simple

  • One clear route for submitting a complaint

  • One named contact, even if the practice is a sole practitioner

• Prompt and predictable

  • Acknowledgement and response timescales should be stated, even if they are longer during holiday periods

• Fair and impartial (as far as practicable)

  • Where a practice has more than one senior person, use someone not directly involved in the work

  • Where a sole practitioner is involved, treat the review as a formal re-check, use contemporaneous records, and consider a limited independent peer review where proportionate

• Professional in tone and content

  • The strongest driver of complaints is often poor communication rather than technical incompetence

  • Keep communications calm, factual, and courteous

• Evidence-led

  • Keep a simple file, the complaint, key emails, meeting notes, deliverables, and the final response

• Focused on resolution

  • Define the issue, identify what can be done, explain what cannot be done, set out next steps

Relationship to professional conduct and the Institution

All members are obliged to observe the Institution’s Code of Conduct. The Code sets expectations including integrity and fairness, public interest, upholding the reputation of the profession, maintaining competence, undertaking only work within competence, exercising appropriate skill and judgement, not maliciously injuring reputation, and avoiding conflicts of interest.

Complaints received by the Institution often involve business practices and professional judgement, not purely engineering competence. Recurring themes include unclear briefs, fees that were not agreed or not communicated before additional work, delays, poor communication, and discourteous or aggressive correspondence.

Practices should therefore treat complaints handling as part of professional conduct. A proportionate, well-run process helps demonstrate professionalism, particularly where the underlying issue is misunderstanding or misaligned expectations. 

It is always a good idea to communicate your commitment to resolving complaints in any ongoing correspondence with a complainant.
 

What the Institution can and cannot do

When clients ask about escalating matters to the Institution, practices should be clear:

• The Institution’s complaints process relates to professional conduct and competence of members against the Code of Conduct

• The Institution does not act as a mediator, arbitrator, or commercial dispute resolver between members and clients

• Fee disputes, payment terms, contractual interpretation, and commercial losses are generally outside the Institution’s remit

The client-facing template includes a short signpost to this distinction.
 

Timescales, holidays, and managing expectations

The template includes default timescales in square brackets so members can amend them. These defaults are intended to be reasonable for professional consulting work and to give clients clarity.

Small practices should consider:

• Holidays and absence

  • Sole practitioners may be unable to acknowledge a letter within a short window if they are away

  • Options include extending the acknowledgement period, adding a short holiday statement in the procedure, or using an auto-reply that confirms expected response dates

• Complex complaints

  • A complaint may require time to review drawings, calculations, site information, emails, and third-party inputs

  • If the response will exceed the stated period, communicate early, explain why, and provide a revised target date

External resolution options and mediation

Where a client remains dissatisfied after the practice’s final response, it may be appropriate to consider whether independent mediation could assist. For small practices, mediation should be treated as an optional step, agreed by both parties, and proportionate to the nature and value of the issue.

It can be helpful to signpost mediation through recognised professional redress or dispute resolution mechanisms commonly used in the construction and engineering sector. This approach allows flexibility and avoids committing the practice to any specific process in advance, while remaining consistent with typical appointment and contract provisions.
 

Professional indemnity insurance perspective

This guidance does not set out instructions on how members should manage their professional indemnity insurance or notification obligations. Those matters remain the responsibility of individual practices, having regard to their policy terms and advice from their broker or insurer.

It is, however, worth recognising that complaints and insurance considerations can sometimes overlap. From a general risk management perspective, insurers typically encourage early awareness of issues that may escalate, clear and factual communication, and good record keeping.

A clear and proportionate complaints process can assist in resolving concerns before they develop further, while also helping practices demonstrate professional and orderly management of client issues.
 

Complaints procedure (template)

(For clients of [Practice Name])

We are committed to providing a professional and high-quality service to all our clients. If you feel that something has gone wrong or has not met your expectations, we encourage you to let us know so that we can address your concerns promptly and fairly.

Making a complaint

If you have a concern, please raise it with us as soon as possible so we can try to resolve the matter quickly. If it cannot be resolved informally, please set out your complaint in writing and send it to:
[Complaints contact name]
[Practice name]
[Address]
Tel: [Number]
Email: [Email address]

Your written complaint should include:

• Your name and contact details

• A clear description of the issue

• Any supporting documents or evidence

What you can expect

• Acknowledgement – We will confirm receipt of your written complaint within [5] working days

• Investigation – We will review your complaint carefully, and may contact you to clarify details or request further information

• Response – We aim to provide a written response within [20] working days of acknowledgement. If more time is needed due to complexity, we will let you know and give an expected date for our reply

• Resolution – Our response will set out our findings, any proposed remedies or actions, and any changes we will make to prevent similar issues in future

If you remain dissatisfied

If you are unhappy with our final response, we may discuss whether independent mediation would be appropriate in your case.

Where it is agreed to be appropriate, mediation may be conducted through a recognised professional redress or dispute resolution mechanism commonly used within the construction and engineering sector.

If you remain dissatisfied and your complaint relates to the professional conduct or competence of a member of the Institution of Structural Engineers, you may be able to refer your complaint to the Institution.

Please note:

• The Institution does not investigate commercial matters such as fees, payment terms, or contractual disputes

• Complaints must be submitted using the Institution’s official complaint form

Further information is regarding the Institution's complaints procedure.

Confidentiality

• All complaints will be handled in confidence

• Information will only be shared with those directly involved in resolving the matter

[Practice Name] values all feedback, and your complaint will be used to help us improve the service we provide.