Complaints management
Chapter 1 – introduction
1.1Who should read this practice note?
This practice note is relevant to managing partners, practice managers and all employees involved in responding to complaints.
1.2What is the issue?
Rule 2 of the Solicitors' Code of Conduct 2007 requires that all practices have a process for responding to client complaints. However, there are several further reasons why good quality complaints management is essential for a practice wanting to remain competitive in today's legal market.
1.2.1 Enhanced accountability
An effective complaints management process enables individual solicitors and practices to demonstrate how they discharge their professional obligations and meet reasonable client expectations. Solicitors are held to account by regulators and clients for how they conduct themselves, both in terms of technical legal skills and client care.
1.2.2 Accepting that complaints will occur
Complaints are a business risk which cannot be avoided, but must instead be managed. However high your standard of client care, you cannot keep all clients, and others contacting your practice, happy all the time.
1.2.3 All feedback is useful
While praise is preferable, complaints are crucial feedback on how to improve your practice. An effective complaints management process is an integral aspect of quality client care. It allows you to continually improve business practices, retain clients, enhance your reputation and remain competitive.
1.3Professional conduct
The following sections of the Solicitors' Code of Conduct 2007 (code of conduct) are relevant to complaints management:
Rule 2.05 Complaints Handling
1.4Status of this practice note
Practice notes are issued by the Law Society as a professional body for the benefit of its members. They represent the Law Society's view of good practice in a particular area. They are not intended to be the only standard, nor do they necessarily provide a defence to complaints of misconduct or of inadequate professional service. Solicitors are not required to follow them, but doing so will make it easier to account to oversight bodies for their actions.
They do not constitute legal advice and, while care has been taken to ensure that they are accurate, up to date and useful, the Law Society will not accept any legal liability in relation to them.
For queries or comments on this practice note contact the Law Society's Practice Advice Service: www.lawsociety.org.uk/practiceadvice
1.5Terminology
Must - a specific requirement in the Solicitors' Code of Conduct or legislation. You must comply, unless there are specific exemptions or defences provided for in the code of conduct or relevant legislation.
Should - good practice for most situations in the Law Society's view. If you do not follow this, you should be able to justify to oversight bodies why the alternative approach you have taken is appropriate, either for your practice, or in the particular retainer.
May - a non-exhaustive list of options for meeting your obligations. Which option you choose is determined by the risk profile of the individual practice, client or retainer. You must be able to justify why this was an appropriate option to oversight bodies.
1.6More information and products
Many have had input into the preparation of this practice note. The members of the Money Laundering Task Force and others mentioned below deserve particular acknowledgement for both the time and energy they have committed to the development of the guidance.
1.6.1 Law Society
- Practice Advice Service
- Training - regular programmes on client care and complaints management
- Lexcel - our practice management standard, awarded only to practices meeting the highest management and customer care standards
- Law Management Section - join for support and training
- Law Society publications - order from our bookshop
1.6.1 Other
- Solicitors Regulation Authority's Professional Ethics Helpline for advice on conduct issues
- Legal Complaints Service (LCS) - investigates complaints about inadequate professional services. It runs Lawyerline, a telephone helpline for solicitors to assist with responding to client complaints. Call 0870 606 2588. Opening hours: 09:00 to 17:00, Monday to Friday.
1.7Acknowledgements
To ensure the quality of this practice note, the Law Society has reviewed guidance published by a number of complaints bodies and the International Standards Organisation. Specific reference has been made to:
- ISO 10002: 'Quality management – Customer satisfaction – Guidelines for complaints handling in organizations'
- Queensland Ombudsman: 'Effective complaints management' - fact sheets
- Financial Ombudsman Service UK: 'A guide for complaints handlers'
- The Commission for Local Administration in England: 'Running a complaints system'
- Law Society publications: 'Your Client - Your Business' (2007) and Handling Complaints Effectively (2006)