Complaints management

Chapter 3 – framework

3.1Types of complaints

Rule 2 specifically requires that practices respond to complaints from clients. However, complaints can come from a range of other sources, including:

• people connected with the client, such as family members, carers and guardians
• solicitors representing the other side of the dispute or transaction
• barristers involved in the retainer
• those involved in the justice system such as judges, court officials and prison officials

Rule 1 says you must not behave in a way that diminishes the trust the public places in you or the profession. Complaints from any source can undermine the reputation of the practice. A well developed complaints management process should be able to adapt to resolve complaints from all of these sources.

A complaint is any expression of dissatisfaction made to a practice in relation to the legal services, client care or complaints management processes provided by the practice, where a response or resolution is explicitly or implicitly expected.

The general principles in this practice note apply to any category of complaint. However, you must consider whether the complaint involves matters which they can resolve internally, or whether you need to notify any other agencies of the complaint.

Complaints will generally fall within one or more of the following four categories:

• 3.1.1 Inadequate professional service

  Any aspect of client care falling below that which could be reasonably expected. These complaints may be considered by the Legal Complaints Service.

• 3.1.2 Negligence

  A failure to provide legal services to the standard provided by a reasonably competent solicitor. These complaints may involve your insurers or the courts.

• 3.1.3 Misconduct

  A breach of the Solicitors' Code of Conduct. These complaints may be investigated by the Solicitors Regulation Authority. Rule 20.04 requires that you must report serious misconduct to the SRA.

• 3.1.4 Criminal conduct

  On rare occasions allegations of criminal conduct may be made. These may warrant the involvement of the police.

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3.2Models

A complaints management process is a structured process for receiving, recording, investigating and responding to complaints. A good system will be simple, transparent and timely. It should complement your practice's values and be integral to the way your practice conducts its practice.

The code of conduct allows practices to determine the form of their complaints management system. This will depend on the size and structure of the practice and the volume and nature of complaints received.

Components of a complaints management process include:

• 3.2.1 An initial client service stage

  Frontline staff members should be designated and trained for receiving complaints. They should have the authority to deal with specified low-level client complaints, such as apologising for failing to respond to a letter and preparing and sending the response. This stage should include complaint registration and attempted resolution.

• 3.2.2 An internal investigation or review stage

  This stage applies where:

  • the complaint is more serious and requires investigation
  • the complaint raises allegations of repeated and systemic poor service
  • the client seeks an internal review of a decision

  Any investigation or review should be undertaken by someone in the practice uninvolved with the retainer resulting in the complaint. This person should be at least as senior as the person complained about or the person who initially responded to the complaint.

• 3.2.3 An external investigation stage

  Where a practice cannot resolve a complaint directly with the client, an independent third party may be required. You may offer the client the opportunity to involve an independent mediator to assist with resolving the complaint. For inadequate professional service matters, the client should be advised of their right to raise their concerns with the Legal Complaints Service.

• 3.2.4 Continuous improvement features

  An effective complaints management process will feed into continuous improvement of your practice's practices. Record relevant complaints data and analyse it for both the causes of individual complaints and trends in complaints. You should use this information to help enhance business processes and employee training.

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3.3Policy

Rule 2 provides that practices must have a document on complaints management, which outlines in clear and concise terms the general processes which will be followed when a complaint is made. This is the document which must be made available to clients and other interested parties upon request, in accordance with Rule 2.05.

Read a sample complaints management policy (DOC, 35kb) which you may wish to adapt for your practice.

Internally, depending on the size of your practice, you may require more detailed procedures. These should comply with the public policy, but will outline:

• how complaints are to be recorded and filed
• who needs to be notified, internally and externally, about different types of complaints
• who has authority for dealing with complaints
• timescales for investigating the complaint and responding to the client
• circumstances in which complaints should be escalated within the practice
• circumstances in which no action will be taken on complaints or communication with a complainant will cease
• guidelines on appropriate remedies
• training requirements for staff on complaints management

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3.4Management commitment

Rule 2 of the code of conduct is specifically directed at practice principals, recognising the crucial role which management commitment plays in developing a culture of client care and effective complaints management.

Senior management must be supportive of the complaints management process, and encourage a workplace culture that embraces accountability and opportunities for continual improvement.

A complaints management process will be most effective when the practice as a whole commits to:

• encouraging both positive and negative feedback from clients
• accepting the right of clients to complain
• acknowledging the benefits of an effective complaints management process
• approaching complaint resolution in a non-defensive, open and proactive way
• providing remedies that meet the client's needs
• promoting accountability for effective complaints management within the practice
• using complaints information to continually improve business practices and levels of client care

To effectively build a positive complaints culture in your practice, senior management should:

• raise awareness among staff of the complaints management process
• appropriately resource the process
• model good complaints management behaviour.

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3.5Ensuring visibility and access

You must advise clients in writing of their right to complain, and the process for doing so, at the start of a retainer. You should include a simple prominent paragraph in the client care letter or your standard terms and conditions.

For example:

Complaints

[Practice name] is committed to high quality legal advice and client care. If you are unhappy about any aspect of the service you have received please contact [Name] on [phone number and e-mail] or by post to our [place] office.

Additional options for ensuring high visibility of the complaints management process may include:

• including contact details for complaints as a footer in all client correspondence or fee notes
• a feedback section with contact details on your website
• a sign in the office reception highlighting your commitment to client care and listing complaint contact details

Consider your client demographic when deciding how to present information. For example, you may provide information in a language other than English, if you have a large client base from a particular ethnic group for whom English is a second language.

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3.6Resources

A complaints management process needs resources to be effective. This includes both people and equipment. While it is up to each practice to decide the appropriate levels of resources to be allocated, a complaints management process should:

• ensure complaints receive an appropriate response in a timely manner
• enables lessons learnt from the complaint to be incorporated into continuous business improvement

To decide on allocation of resources, you should consider:

• the size of your practice
• the number and severity of the complaints received
• the flexibility of existing resources

• 3.6.1 Personnel

  Rule 2 provides that all staff must to be aware of:

  • your complaints management process
  • what information to provide to clients
  • the importance of recording relevant information about the complaint

  You may employ a complaints manager to oversee the complaints management process. Such a role may be combined with responsibilities for business development, risk management, regulatory compliance or other relevant areas.

  Even if the role is shared between existing staff, you should be clear on who has authority to:

  • make decisions on complaints
  • internally review such decisions

  You should ensure these staff members clearly understand their authority and the scope of their role and provide this information to other staff members.

  You should make complaints management policies, procedures and forms easily accessible for all staff. You should provide the relevant staff with regular training on the practice's complaints management process. Staff who actually manage the practice's complaints may benefit from training on communication skills, negotiation, stress management and problem solving.

  You should encourage staff to be involved in the complaints management process to help them develop a greater awareness of client service issues. They will then feel involved in developing and maintaining strong client relationships. A supportive environment focusing on appropriate accountability and learning, rather than blame, will greatly enhance staff support of the complaints management process.

• 3.6.2 Equipment

  Your practice should be able to receive complaints in any format in which you communicate with clients. This may include mail, fax, telephone and e-mail.

  Systems for recording complaints information and tracking the progress of a complaint may be electronic or paper based. Whichever option is chosen, the process should ensure that:

  • Every complaint is recorded.
  • Key information about the complaint is captured in a central repository.
  • The status of each complaint and the response provided can be identified.
  • Complaints are periodically reviewed to limit recurrence of the situations which led to the complaint and enhance business practices.

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