Responsibility:
As required by the SRA Code of Conduct the firm informs clients of their ability to complain both in the Client Care Letter and the Final Letter when the matter has concluded. As part of the firm’s procedure for dealing with Clients’ complaints, Andrew Ayres is ultimately responsible for investigating and responding to complaints.
A complaint can be defined as ‘a Client instigating the firm’s complaints’ procedure’. Anyone who becomes aware of circumstances giving rise to any possibility, however remote, of an allegation of negligence being made against the firm must immediately give notice of this to Andrew Ayres and provide written details of all relevant facts and circumstances.
The aim is to resolve as many complaints as possible within the firm, avoid referrals to the Legal Ombudsman and preserve the Client’s goodwill, even where things have gone wrong.
No doubt some of the complaints about us will be well founded; we all make mistakes. The firm expects honesty and realism from any fee earner who has made a mistake. In turn, the fee earner should expect support from the firm.
Complaints must be dealt with sympathetically and as a matter of urgency. Our reputation depends on this: it is part of our “quality service”.
A timescale for action has been inserted into the Complaints Information for Clients sheet, below, and is replicated in the Complaints Log and Client Complaint Form. All three documents are kept in “Office Admin\Manual related Forms”.
Explaining The Procedure to Clients:
Clients are told of their right to complain in our Terms of Business letter and again on closing the matter. They are given the following information:
If they have any problem with the firm’s service, clients should initially make it known to the Fee Earner with day-to-day conduct of their matter.
If they are reluctant to make the complaint known to the person handling the work, they should contact Andrew Ayres (or Rachel Smith in the case of Andrew Ayres’ client) who will deal with it as a matter of urgency.
A client can take up a complaint by writing to the firm, on the telephone or in person.
In cases where the client attends for initial consultation only, they will receive a simplified information sheet. Stocks of this sheet are kept in interview rooms.
If they do complain, they must be told straightaway by the fee earner that the matter has been referred to Andrew Ayres for consideration.
A copy of the firm’s procedure – see below – will be made available to clients on request and will be sent out with a letter acknowledging receipt of a complaint, within 7 days of such receipt.
How the complaint will be dealt with:
The first person to receive a complaint, generally the fee earner concerned, must complete the “Details of complaint” section of a new “Client Complaint” form which will be allocated the next complaint reference in the system in numerical order.
If the complaint concerns one of Andrew Ayres’ cases, then it will be referred to Rachel Smith and the Client will be so advised.
Andrew Ayres (or Rachel Smith where the complaint concerns Andrew Ayres) will look at the case file and request full details from the Client either in writing or by interview. The fee earner will also be seen. The whole object is to ensure the Client:
Is satisfied the complaint has been seriously addressed.
Gets a prompt response.
Has an assurance the matter is being reviewed.
Is notified as soon as possible of the outcome.
Fee earners must understand that this is not intended to undermine their position. We must all accept an amount of criticism in return, we hope, for more satisfied Clients.
Central Register of Complaints:
Andrew Ayres keeps the central register of complaints received by the firm. The report must outline the complaint in sufficient detail to be of assistance in looking for trends.
The original complaints form is placed in the “Complaints Pending” section at the front of the complaints file held by Mr Ayres’ secretary, if the complaint has not been made to him.
A summary record of the result of the investigation into the complaint, action taken, and outcome are recorded on the original Client Complaints form.
All substantive correspondence and documents relating to the complaint and details of how the matter was dealt with are retained in the file.
The complainant will be informed of progress of the complaint.
During the procedure, it is likely that the complainant should be informed of the option to raise the complaint with the Legal Ombudsman and that the matter should be reported to the firm’s professional indemnity insurers if any claim for damages might be pursued.
Andrew Ayres monitors progress of all complaints pending each week.
When the complaint has been settled to the satisfaction of the person making the complaint, or Andrew Ayres decides that no further action should be taken, Andrew Ayres will sign the form off and note the outcome. The form is then filed on the complaints file.
Remedies open to the Client:
Even though the Fee Earner may not feel that the complaint is well founded, the response from the firm may be to agree with some elements of the complaint and to assure the Client that some effort will be made to remedy the problem.
Where the complaint is well founded, an apology from the firm, an assurance that the problem will not recur and a promise to do better.
A reduction in the firm’s bill.
Total abatement of the firm’s bill.
Notification of the right to complain to the Legal Ombudsman, either as to a matter of professional conduct or the firm’s inadequate professional services.
Notification of the Client’s right to consult another solicitor as to whether the firm has acted negligently.
Corrective Action:
Any internal corrective action taken by Andrew Ayres as the result of a client complaint will be at his discretion.
Andrew Ayres will monitor any corrective action that involves a third party until the matter has been concluded.
The Client Complaints file is reviewed at management meetings to ascertain any trends or patterns where client care needs attention.
If the complaint arose due to non-compliance with any system procedure, Andrew Ayres will be informed. He will ensure that the person at fault is aware of the mistake and steps will be taken to ensure future compliance.
If the complaint arose from a non-conformance in the system, Andrew Ayres will be advised, and action will be taken in terms of the procedure for non-conformance set out in this manual.
Fee earners and others about whom a substantiated complaint is made can expect that some form of corrective action be taken. This may take the form of a short informal word from the person’s supervisor or a formal note on the personnel file where the matter can be expected to be raised in the context of an appraisal. An increase in complaints about one particular fee earner will be logged on the Risk Register by Rachel Smith.
Andrew Ayres will consider whether changes in procedures may be necessary, or whether the training needs of the staff member concerned should be looked at. In extreme cases, the complaint could prompt a formal warning or even dismissal.
What happens after a complaint?
Hopefully, the Client will be satisfied, and the fee earner will continue with the file. In some circumstances, if the solicitor/Client relationship has broken down completely, it may be preferable for another of the firm’s fee earners to take over the file. If the fee earner retains conduct of the file, they must do everything possible to repair any damage to their relationship with the Client.
Complaints Information for Clients
The following information is made available to clients, either on request, or on receipt of a specific complaint:
Our Aims:
Complaints will be dealt with sympathetically and as a matter of urgency. We aim to react honestly and realistically to any mistake.
We will acknowledge complaints within 7 days, providing a copy of this policy to assist you.
We will take any necessary action to redress matters within 21 days.
We will conclude the complaint by writing to you with the agreed outcome within 28 days of your complaint.
If you need us to transfer your file to another solicitor for further work, we will forward your papers within 28 days of such request. This is on condition that we have been paid for work already done, or (for publicly funded work) that your new solicitor enters into an undertaking to settle our bill at the conclusion of the matter and the has applied for and been granted the transfer of the Certificate of Public Funding.
Procedure:
If you have any problem with the firm’s service, you should initially make it known to the Fee Earner with day-to-day conduct of the matter. Most difficulties will be able to be sorted out speedily.
At the point at which you make a formal complaint, the Fee Earner will immediately refer your problem to Andrew Ayres for consideration.
If you are reluctant to make the complaint known to the person handling the work, you should contact Andrew Ayres directly (or Rachel Smith, in the case that the difficulty is with Mr Ayres himself).
You can make a complaint in writing, by telephone or in person.
The person handling the complaint will look at the case file and may request further details from you. Information will also be sought from the Fee Earner.
You will be kept informed of the progress of the complaint, and informed of any difficulties which will delay the timescale set out in this policy.
Remedies open to you, the Client:
If appropriate, remedies may include:
an apology from the firm
redress of any delay, omission, etc, at our expense
an assurance that the problem will not recur and a promise to do better
a reduction in, or total abatement of, the firm’s bill
compensation for financial loss, distress and inconvenience
Andrew Ayres will monitor any corrective action until the matter has been concluded.
You will not be informed of disciplinary procedures taken against any Fee Earner, but you will be told of any corrective action involving your own matter.
In the unlikely event that your complaint is not resolved it is your right to refer the matter to the Legal Ombudsman in writing to Legal Ombudsman, PO B0X 6167, Slough, SL1 OEH either as to a matter of professional conduct or because of the firm’s inadequate professional services. Their Helpline can be contacted on 0300 5550333 or you can email them at [email protected]. For further details please see the Legal Ombudsman website at www.legalombudsman.org.uk.
You may, of course, consult another solicitor as to whether this firm has acted negligently.
After a complaint
Hopefully, you will be satisfied with the remedy offered, and the original Fee Earner will continue to act for you.
In some circumstances, however, you may prefer for another of the firm’s Fee Earners to take over the file, or to transfer your business to another firm. If you choose either of these options, we will make the transition as smooth as possible for you. We will transfer your file to another firm within 28 days of a request for this to happen.
Please bear in mind that collecting your papers together, and concluding any work in hand, can be a lengthy process, and we will inform you if further delay is inevitable.
Concluding a complaint
We will conclude a complaint by writing to you to confirm the agreement we have reached. Occasionally, agreement is impossible, and in these circumstances our letter will confirm our offer to you and set out again the options open to you if you wish to pursue matters further.
The concluding letter will be within 28 days of the original complaint unless you have been notified of any necessary delays during investigations.
Timescales for making a compaint
The timescales for making a complaint to the Legal Ombudsman are
- one year from the date of the act or omission being complained about; or
- one year from the date when the complainant should have realised that there was cause for complaint.
Also complaints to the Legal Ombudsman should be within six months of the date of the final complaint response from us, if your complaint is not resolved.
If you are unhappy about our behaviour the SRA can take action if you have concerns about the following:
- think we have told lies
- stolen from you
- shut down without telling you
- broken SRA rules
The telephone number for the SRA is 0370 606 2555, and their address is Solicitors Regulation Authority, The Cube, 199 Wharfside Street, Birmingham, B1 1RN. For further information visit https://www.sra.org.uk/consumers/problems/report-solicitor