Complaints management
Chapter 4 – the complaints management process
4.1Receiving and recording
You should have processes in place to receive complaints by telephone or in writing. You may also provide an e-mail address or a web-based form for submission of complaints.
You should record the following information on receipt, to ensure complaints are responded to promptly and that relevant information is captured to assist with business improvement:
- the client's contact details
- a short summary of the complaint, attaching any supporting documentation received
- specific issues complained about
- any remedy requested
- date for a response
- who will prepare the response
- any immediate action taken
It should be possible to track the complaint through the practice, and for updates to be provided to the client on request, or at pre-determined times.
4.2Acknowledgement
You should acknowledge each complaint promptly, preferably in writing, even if it was received by telephone. Prompt acknowledgement will increase the client's perception that you are taking the matter seriously and are seeking a resolution.
The code of conduct does not set a specific timeframe for acknowledgement of a complaint. However, we believe acknowledgement within three working days is reasonable in most cases. It may be more effective to send a letter by e-mail or fax to ensure prompt receipt. This may be as well as, or instead of, mail.
The acknowledgement letter is a key opportunity to demonstrate your responsiveness to the client and to narrow the issues of dispute. It should contain:
- A statement of your understanding of the complaint.
- A request for any further information or material you require to consider the complaint and a timeframe for providing it to you.
- If no remedy has been sought, ask the client to outline what remedy they would like and a timeframe for informing you.
- The contact details of the person dealing with the complaint.
- When you will next contact the client and what information you will provide at that time.
- Attach a copy of your public policy on complaints management, which will include details of the full complaints management process and general timeframes.
The following further details should be included in your acknowledgement letter, according to the guidance to Rule 2 of the code of conduct.
- contact details for the Legal Complaints Service (LCS) including their website and postal address
- advice that the LCS can review the matter at the end of the consideration of the complaint by the practice
- the time limits for complaint to the LCS
You do not need to duplicate this in the letter, if it is already in your public policy document attached to the letter.
4.3Assessment
Your initial assessment will shape the way a complaint is resolved.
4.3.1 Treat each complaint seriously and consider it objectively
You should respond to all complaints, even where you ultimately decide they are frivolous or vexatious. Objectively considering the complaint ensures you are better able to respond in a measured and professional way.
4.3.2 Understand what the client is complaining about
You should clearly itemise the issues that your client is complaining about, if they have not already done so. If you are unsure or need more information, contact them for clarification. Clients will quickly lose faith in a practice's complaints management abilities if you fail to specifically address their concerns or address issues they have not raised.
4.3.3 Consider the complexity and seriousness of the complaint
The complexity and seriousness will influence the extent of any investigations required and who is the appropriate person in the practice to deal with the complaint. In particular cases it may be appropriate for a manager or a partner to immediately intervene in the conduct of a case to mitigate damage to the client and the practice.
4.3.4 Identify remedies sought and consider the range of remedies you could offer
Clients may still expect action, even where they do not specifically mention what outcome they would like. You may contact the client and ask what outcome they want.
Compensation may not be the most appropriate solution if the client just wants an apology and improved future service. However, compensation may be relevant, if they have borne extra expense or lost money as a result of your practice's action or inaction. In discussion with the client, they may be able to quantify this, enabling you to suggest reasonable compensation.
The level or type of remedy requested or to be considered may determine the appropriate person within the practice who should manage the complaint or approve any final decision. You should remember that the effectiveness of certain remedies may be tied to how quickly they are provided, as some remedies may not be available if certain time limits have elapsed. You should consider expediting your response where the likely remedies require it.
4.4Action
The action taken depends on the outcome of the assessment stage. The level of the investigation of the relevant circumstances of the complaint should be proportionate to the seriousness, frequency and severity of the complaint.
4.4.1 Timeframes
The complaint's complexity will drive the required time for investigating a complaint. You should always deal with a matter promptly as delays diminish the value of the final resolution.
For most service complaints, we believe 21 days to be a reasonable amount of time to either:
- conduct a preliminary investigation and provide interim feedback to a client
- reach a conclusion and offer relevant remedies.
Where complex issues are likely to take more than 21 days to investigate, you should agree a realistic, fair timeframe for responding to the client, to manage their expectations.
If complaints are consistently taking longer than this to resolve, you should consider why this is the case and seek to make your complaints management processes more timely.
4.4.2 Gathering evidence
It is a point of natural justice that both clients and staff members involved in the complaint should be given an opportunity to provide their account of the situation and respond to any allegations made by the other.
The seriousness of the complaint will drive whether you should either:
- simply ask the relevant staff members to explain their conduct of the retainer
- ask another staff member not involved with the retainer to independently review the file or the account information, before asking the relevant staff members for their explanation.
You should offer to support staff during the investigation, although this should not encroach on the objectivity or robustness of the investigation.
4.4.3 Records
You should document any steps taken to investigate the complaint. Where meetings are held with either or both parties, you should at least make a note of what was discussed at the meetings and give the parties to the meeting the opportunity to comment on and sign a copy of the note.
You should keep a copy of any documents relied upon for resolving the complaint, or at least a detailed reference of where the original is.
4.5Remedies
After an appropriate investigation, you will decide on the practice's response to the complaint. Where the complaint is justified, you should quickly offer an apology and an appropriate remedy. The goodwill generated by such remedies will be diminished by unreasonable delays or fraught negotiations.
Even if you decide the complaint is unjustified or that the problem is not a result of your practice's actions, you should still consider taking action to enhance the client relationship and change any perception that they have been treated poorly by your practice.
You should consider your duty to notify your insurer about the complaint and the proposals for its remedy.
4.5.1 Options for remedies
Options for remedies can include:
- an apology where the complaint is justified
- an expression of sympathy for the client's situation, or their perception of it, even if your practice has found that it is not at fault.
- fixing the specific problem
- improving the aspect of service that led to the problem
- offering to meet and explain again the service being provided, if the client is confused or misunderstands the service
- offering compensations for either specific losses or general inconvenience
- offering to reduce the bill or to undertake the work to rectify the situation free of charge
You should be clear about who in your practice can authorise certain remedies.
4.5.2 Discussing remedies with the client
You should consider the remedies your client has requested, while being clear about what remedies are available to manage the client's expectations.
Remain open to reasonable requests for financial compensation. Client may have suffered legitimate financial loss through your practice's actions. Where the client seeks unfeasible or unreasonable remedies, you should clearly say why you are unable or unwilling to provide remedies.
4.5.3 Guidelines on remedies
You should consider the remedies and compensation levels for inadequate professional service recommended by the Legal Complaints Service.
Accumulated experience within the practice will help you develop your own set of guidelines on reasonable remedies in particular situations.
4.6Providing feedback
4.6.1 The response
Promptly communicate any decision or action to the client. The tone and timing of your feedback is as important as its content. You should continue to be professional, accountable and client-focused in your communications. A well drafted response should:
- re-state the details of the complaint
- outline the investigations undertaken to consider the complaint
- state the findings resulting from the investigation
- make any offers of remedy and explain how they can accept those remedies
- explain any improvements the practice has made as a result of the complaint
- re-affirm the client's value to the practice and the practice's commitment to good client service
- outline appeal avenues if they remain dissatisfied.
4.6.2 Interim feedback
If the complaint cannot be immediately resolved, you should do all of the following:
- deal with the complaint in a manner intended to lead to its effective resolution as soon as possible
- keep the client informed of progress, and likely timeframes for resolution
- provide prompt remedies for parts of the complaint where possible, rather than waiting for the final resolution of the complaint
4.6.3 Keep staff informed
Keeping staff informed fosters a culture within the practice of openness and accountability.
4.7Closing the complaint
If the client accepts the proposed decision or action, then the decision or actions should be carried out and recorded.
If the client rejects the proposed decision or action, then the complaint should remain open. The client's decision should be recorded. If the client has asked for an internal review, you should proceed to that step. If they do not request an internal review, you should advise them again of their appeal options.
The practice should continue to monitor the progress of the complaint until all reasonable internal and external appeal options are finalised or the client is satisfied.
4.8Unmeritorious or vexatious complaints
Some clients make complaints without merit or use the practice's complaints management process in a vexatious manner. You should treat these clients with respect and professionalism. You should treat all complaints seriously and properly assess them. Even clients who are known to be difficult, or have difficulty expressing themselves may still have a legitimate grievance.
4.8.1 Unmeritorious complaints
If you decide that the complaint is without merit, you should explain politely and clearly why you will not be taking any further action following the complaint and what the appropriate appeal options are. This will help assure the client that they have been given a fair hearing. You may still express sympathy for either the client's situation or their perception of their situation, without it being an admission of fault.
4.8.2 Ceasing correspondence
You may cease correspondence with a client in relation to a complaint where they continue to correspond with you about it, even though you have dealt with it fully.
This would be where their complaint has been fully considered by the practice, a decision has been made, remedies offered if appropriate and appeal options either taken up or ignored.
You should be willing to correspond with them about the outcome of your consideration on more than one occasion, before considering this option.
If you decide to cease corresponding with a client in relation to a complaint you should write to them, doing all of the following:
- outline briefly the details of their complaint
- re-state what decision has been made and why, or what remedies were offered
- explain that in the absence of new evidence in relation to that complaint, you will not continue to correspond with them on the matter and that you regard the complaint as closed
You should monitor any further correspondence for new evidence or areas of complaint not previously considered and make a note of your consideration. If further evidence or areas of complaint are raised you must assess this information and consider appropriate action.
4.8.3 Ongoing relationship with the client
If a client seeks to re-instruct you or to continue with a retainer where matters remain unresolved, you should consider whether you can continue to act under the circumstances. Can you effectively quarantine the dispute from the rest of the retainer, or has the relationship so broken down that you should not continue to act for the client. For advice on refusing or ceasing to act for a client, call the Solicitors Regulation Authority's Professional Ethics Helpline.