As required by the SRA, we have a procedure for dealing with complaints from clients, so that we can resolve as many as possible within the firm and stop complaints to the Solicitors Regulatory Authority by clients, even if things have gone wrong. If the name of the person to whom complaints can be made changes the client must be notified in writing.

No doubt some of the complaints about us will be well founded. We all make mistakes and the Partners will expect honesty and realism from any fee earner when they have done so. The fee earner should in turn receive support from the Partners.

Such complaints must be dealt with sympathetically and quickly. Our reputation depends on this, as it is all part of our ‘Quality Service’.

a. What Is A Complaint?

Probably the best definition is ‘any expression of dissatisfaction, however it is expressed’. This means that a complaint may not include the word ‘complain’ in it and may be in writing, over the telephone or in person. If a client simply moans at you because it has taken you half an hour to return his or her call, clearly that may not amount to a complaint. If a client says that you continually delay in returning their calls or you do not return calls at all, that is a complaint.

We call them ‘formal complaints’, and we treat them all in the same way even if an individual complaint may appear to be based on, for example, an unrealistic expectation of what we can do.

Clients are notified in our Terms of Business letters of their right to complain. If they do, they must be told immediately by the fee earner that the matter will be considered by a Partner, normally Justine Snabaitis. If the matter concerns Justine Snabaitis, the client will be told that Siôn Williams will investigate.

b. Central Register of Complaints

All complaints should be notified either orally or in writing to Justine Snabaitis or, if she is not available, Siôn Williams, who will enter the complaint in the complaints register which will contain the following information:

1. A complaint reference number.
2. The date of the complaint.
3. The name of the client.
4. The name of the member of staff involved.
5. A general description of the complaint.
6. The date of any internal meeting and the names of those present.
7. The date the file was examined.
8. The date of any meeting with the client.
9. An indication of whether the complaint is justified.
10. The reasons for the complaint.
11. Details of any suggestions to resolve the complaint.
12. The dates of any letters confirming details or suggestions.
13. The date of any review and the result of the review.
14. The date of the final letter.
15. The date the file was closed.
16. Any action to be taken internally as a result of the complaint.

The fee earner must put a copy of the complaint on the central complaints register. The notifications should outline the complaint and attach the original of any letter of complaint if one exists. Justine Snabaitis will either deal with the complaint herself or ask Siôn Williams who should then attend to it as set out below and then send Justine Snabaitis all substantive correspondence and documents relating to the complaint and details of how the matter was dealt with and details of any corrective action taken or proposed.

c. Complaint Management Process

1. Receiving and Recording

A client can make a complaint by telephone or in writing.  Once a complaint is made a note of the complaint should be forwarded to the Complaints Partner, Justine Snabaitis, on the Complaints Form attached in the Appendix to this Office Manual. For the avoidance of doubt the details to be forwarded to the Complaints Partner are as follows:

1. The client’s contact details;
2. A short summary of the complaint attaching any supporting documentation received;
3. Specific issues complained about;
4. Any remedy requested if applicable;
5. A date for a response;
6. Who will prepare the response if mentioned; and
7. Any immediate action taken by the fee earner

1. Acknowledgement

The Complaints Partner upon receipt of the Complaints Form will acknowledge each complaint within 7 working days preferably in writing even if the complaint was received by telephone. The response to the client will include contact details for the Legal Ombudsman including their website and postal address, advice that the LO can review the matter at the end of the consideration of the complaint by the practice and the time limits for complaint to the LO.

1. Assessment
2. Each complaint will be treated seriously and considered objectively. The Complaints Partner will respond to all complaints even where it is ultimately decided that the complaints are frivolous or vexatious.  
3. Understand what the client is complaining about.
4. The Complaints Partner should clearly itemise the issues that the client is complaining about if they have not so already. If these issues are unclear or more information is required then the Complaints Partner shall contact the client for clarification.
5. Complexity and Seriousness of the Complaint. The complexity and seriousness will influence the extent of any investigations required. 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. 
6. Identify remedy sought and consider the range of remedies that could be offered. The Complaints Partner will contact the client and ask what outcome they want as clients must still expect action even when they do not specifically mention an outcome. It should be noted that 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 a client has borne extra expense or lost money as a result of the firm’s practices action or inaction. The level or type of remedy requested or to be considered may determine who the appropriate person within the practice is who should manage the complaint or approve any final decision. Any issues with regards to compensation will only be considered by the Complaints Partner.

1. Action

The level of the investigation of the relevant circumstances of the complaint should be proportionate to the seriousness, frequency and severity of the complaint.

1. Timeframes - The complaints complexity will drive the required time for investigating a complaint. For most service complaints 42 days is a reasonable amount of time to either conduct a preliminary investigation and provide interim feedback to a client and/or reach a conclusion and offer relevant remedy. The Complaints Partner will therefore deal with any complaint within a period of 42 days. Where complex issues are likely to take more than 42 days to investigation then the Complaints Partner shall agree a realistic, fair timeframe for responding to the client and to management their expectations.
2. Gathering Evidence - Both clients and staff members involved in the complaint shall 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 determine whether or not the Complaints Partner should simply ask the relevant staff members to explain their conduct or indeed ask another staff member not involved with the retainer to independently review the file or the account information before asking the relevant staff member for their explanation.
3. Records - The Complaints Partner shall document any steps taken to investigate the complaint. Where meetings are held with either or both parties a note of what was discussed at the meetings will be prepared by the Complaints Partner and will be given to the parties to the meeting for them to comment upon and sign a copy of the note. A copy of the any documents relied upon for reserving the complaint will be kept on file.
4. Remedies - After an appropriate investigation the Complaints Partner will decide on the practice’s response to the complaint. Where the complaint is justified an offer of apology and an appropriate remedy will be made as soon as possible. If the complaint is deemed to be unjustified the client will be provided with notification thereof and the reasons for that outcome. 
5. The Complaints Partner shall consider whether or not a referral to the insurers about the complaint is necessary and the proposals for its remedy. 

1. Options for Remedies

Options for remedies can include the following:

1. An apology where the complaint is justified;
2. An expression of sympathy for the client’s situation or their perception of it even if the practice has found that it is not at fault;
3. Fixing the specific problem;
4. Improving the aspect of service that led to the problem.
5. Offering to meet and explain again the service being provided if the client is confused or misunderstands the service.
6. Offering compensation for either specific loses or general inconvenience.
7. Offering to reduce the bill or time to take the work to rectify the situation free of charge.

The Complaints Partner shall be the only person within the practice who can authorise such remedy.

1. Providing Feedback

The Complaints Partner shall communicate any decision or action to the client. The response shall include the follow:

1. Restate the details of the complaint;
2. Outcome the investigations undertaken to consider the complaint;
3. State the findings resulting from the investigation.
4. Make any offers of remedy and explain how they can accept those remedies.
5. Explain any improvements that the practice has made as a result of the complaint.
6. Reaffirm the client’s value to the practice and the practice’s commitment to good client service.
7. Outline appeal avenues if they remain dissatisfied.

If the complaint cannot be immediately resolved the Complaints Partner shall do all of the following:

1. Deal with the complaint in a manner intended to lead to its effective resolution as soon as possible;
2. Keep the client informed of progress and likely timeframes for resolution;
3. Provide prompt remedies for parts of the complaint where possible rather than waiting for the final resolution of the complaint.

The Complaints Partner shall keep all staff informed of the investigation and outcome of the complaint.

1. Closing the Complaint

If the client accepts the proposed decision or action then the decision or action should be carried out and recorded by the Complaints Partner. 

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 then the process will proceed that step. If they do not request an interim review then the client should be advised again of the their appeal option.

1. Unmeritorious or Vexatious Complaints

Some clients make complaints without merit or use the practice’s complaint’s management process in a vexatious manner. These complaints and these clients should still be treated with respect and professionalism. All complaints should be treated seriously and be properly assessed as even clients who are known to be difficult will have difficulty expressing themselves or have a legitimate grievance.

1.  Unmeritorious Complaints - If the Complaints Partner decides that the complaint is without merit it should be explained politely and clearly to the client why the firm will not be taking any further action following the complaint and what the appropriate appeal options are.
2. Ceasing Correspondence - The Complaints Partner may cease correspondence with a client in relation to a complaint where they continue to correspond with the Complaints Partner about it, even though it has been dealt with 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. If a decision is made to cease corresponding with the client in relation to a complaint then the client should be written to setting out the following terms:

                                         i.   Outline briefly the details of their complaint;

                                        ii.   We state what decision has been made and why or what remedies were offered;

                                       iii.   Explain the absence of new evidence in relation to that complaint the Complaints Partner will not continue to correspond with them on the matter and that the firm regards the complaint as closed.

1. Ongoing Relationship with the Client - If a client seeks to reinstruct a fee earner or the firm or to continue with the retainer where matters remain unresolved then consideration should be given as to whether or not the fee earner can continue to act under the circumstances. Consideration needs to be given as to whether or not the dispute can be quarantined from the rest of the retainer or whether the relationship has broken down to such an extent that the fee earner should not continue to act for the client. This decision should be made by the Complaints Partner in conjunction with the relevant fee earner.

1. 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 better for another fee earner to take the file over. If you do continue with the file, every effort must be made to repair any damage in your relationship with the client.

1. Corrective Action - 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 that person’s superior, or a formal note on the personnel file where the matter can be expected to be raised in the context of the appraisal.
2. Immediate supervisors shall at least consider whether changes in procedures are necessary, or whether the training needs of the staff member should be looked at. In extreme cases, it may result in a formal warning or even dismissal.
3. Details of any corrective action, or if none is considered necessary, confirmation of this fact, and reasons are to be sent to Justine Snabaitis.
4. Periodically and normally at management meetings the register of complaints will be reviewed by the chairman of the meeting.