This procedure applies to any complaint made about the Law Centre by clients. It applies to both paid workers and volunteers, and includes members of the Board of Trustees.
The client must be told of the complaints procedure in writing at the outset of the case.
Our standard client care letter tells clients that, if they become dissatisfied, they are entitled to complain. It sets out the name of the person to whom their complaint should be made and gives information about the Legal Ombudsman service.
Complaints may arise in a number of ways, both verbal and written (for example, in a feedback questionnaire). From time to time, clients will express dissatisfaction with the service we provide.
On the initiation of a complaint, the fee earner with conduct in a matter should attempt to resolve the issue by offering an explanation or practical solution.
If a client still remains dissatisfied upon the caseworker attempting to resolve the issue informally, the next step depends upon the caseworker against whom the complaint is made.
If the complaint is against any fee earner other than the Managing Director/Senior Solicitor, then the complaint should be referred to the Managing Director/Senior Solicitor (or another member of staff or a trustee deputising in their absence). The Managing Director/Senior Solicitor will then attempt to address the client’s concerns informally.
If a complaint is resolved informally, it is not necessary to record it within the formal complaints procedure as set out below. However, an attendance note should be made of the discussions and put in the central complaints file and, where a file exists, in the client’s file. Also, when the Managing Director/Senior Solicitor considers that some preventative action is required, they will raise this issue with other staff, if appropriate.
If the client remains dissatisfied upon the Managing Director/Senior Solicitor having attempted to resolve the matter informally, then the Managing Director/Senior Solicitor will confirm whether the client wishes for their concerns to be responded to as a formal complaint pursuant to the remainder of this procedure.
If the client wishes for a further response, then the Managing Director/Senior Solicitor will request the client to record their complaint in writing or arrange assistance for them to do so, if required. The Managing Director/Senior Solicitor will then record the formal complaint in a complaints record (retaining it in the central complaints file) and will acknowledge it in writing within 3 working days of the client’s confirmation, sending a letter setting out the Complaints procedure.
Also within 3 working days of confirming that the client wishes for a further response, the Managing Director/Senior Solicitor will invite the complainant to a meeting (in person or by telephone) to confirm the basis of the complaint and discuss possible resolution. Within 5 working days thereafter, the Managing Director/Senior Solicitor will confirm in writing the outcome of any meeting held.
The Managing Director/Senior Solicitor will report the receipt of the complaint to the Board of Trustees at the next meeting.
Within 21 days of receiving the complaint, the Managing Director/Senior Solicitor will complete an investigation of the complaint.
Within 28 days of receiving the complaint, the Managing Director/Senior Solicitor will issue a decision in respect of the complaint, sending a copy to the complainant and a copy to the Board of Trustees and retaining copies for the central complaints file and the client matter file, where available.
Within 8 weeks of receiving the complaint, the Managing Director/Senior Solicitor will review the matter and close the complaint. They are responsible for tracking the progress of the complaint until such time as it is satisfactorily closed.
Any complaints raised against the Managing Director/Senior Solicitor should be referred to the Chair of the Board of Trustees. The Chair of the Board of Trustees will then assign a Trustee to review and respond to the complaint, following the procedure set out above, taking the place of the Managing Director/Senior Solicitor.
Client complaints usually involve no risk of loss to the client or the Law Centre, but the Managing Director/Senior Solicitor will consider whether the complaint could amount to circumstances that should be reported to our insurers.
All complaints, correspondence with the complainant about their complain and full records of investigations and decisions should be recorded in the Central Register of Complaints, with copies on the client file where such exists.
Regardless of the outcome of the complaint, the Managing Director/Senior Solicitor and Board of Trustees will consider whether work practices and procedures should be changed to avoid a similar issue arising again, to improve the service we offer.
The Managing Director/Senior Solicitor will review the complaints on an annual basis to identify the cause of problems raised and whether corrective and preventative measures have been effective. The Managing Director/Senior Solicitor will present a report of the annual complaints review to the Board of Trustees, which should include any recommendations for changes in practice and procedures to prevent the issues giving rise to complaints.
If at any stage it is thought that the complaint has disclosed conduct issues that would give rise to a breach of professional regulations, the Managing Director/Senior Solicitor must consider the appropriateness of self-reporting the breach to the relevant regulatory body.
If at any stage it is thought that the complaint could give rise to a professional negligence claim, the Managing Director/Senior Solicitor must notify the professional indemnity insurers and Board of Trustees immediately. At no stage should any staff or trustees admit liability for any possible/actual loss suffered by a complainant without having taken legal advice.
It is possible that a client may complain directly to the Legal Ombudsman without first raising the issue with us. In such circumstances, the Legal Ombudsman will immediately refer the complaint to us to deal with. The complaints procedure will then be followed.
For further information about our complaints process, please get in touch with us.
