General Complaints

Scope

This procedure applies to any complaint made about the Law Centre by its clients. It applies to paid workers and volunteers alike.

Informing the Client of Their Right to Complain

The Law Centre must inform every client of the complaints procedure in writing at the outset of the matter.
The Law Centre’s standard client care letter advises clients that, should they become dissatisfied, they are entitled to make a complaint. The letter sets out the name of the person to whom any complaint should be directed and provides information about the Legal Ombudsman service and Solicitors Regulatory Authority (“SRA”).

Initiation of Complaints and Informal Resolution

Complaints may arise in several ways, including verbally or in writing (for example, through a feedback questionnaire). When a client expresses dissatisfaction with the service provided, the caseworker handling the matter should, in the first instance, attempt to resolve the issue by offering an explanation or a practical solution.

If the client remains dissatisfied following the caseworker’s attempt at informal resolution, the appropriate next step depends on the identity of the caseworker against whom the complaint is made:

• If the complaint is against any caseworker other than the Managing Director and Senior Solicitor, the complaint must first be referred to caseworker’s supervisor, who will attempt to address the client’s concerns informally. If the client remains dissatisfied, the complaint must then be referred to the Managing Director and Senior Solicitor (or, in their absence, to another suitably senior member of staff or a trustee deputising for them). The Managing Director and Senior Solicitor will then attempt to address the client’s concerns informally.
• If the complaint is against the Managing Director and Senior Solicitor, the procedure set out below applies.

Informally resolved complaints

Where the Managing Director and Senior Solicitor resolves a complaint informally, it is not necessary to record it under the formal complaints procedure set out below. However, the caseworker must make an attendance note recording the discussions held and must place a copy in the central complaints file and, where a file exists, in the client’s matter file.

Where the Managing Director and Senior Solicitor consider that preventative action is required, they will raise the issue with other staff members as appropriate.

Accepting and Handling a Formal Complaint

If the client remains dissatisfied following the Managing Director and Senior Solicitor’s attempt to resolve the matter informally, the Managing Director and Senior Solicitor will confirm whether the client wishes their concerns to be considered as a formal complaint under this procedure.If the client wishes to proceed, the Managing Director and Senior Solicitor will ask the client to set out their complaint in writing and will arrange assistance to enable them to do so if required.

Reporting to Trustees

The Managing Director and Senior Solicitor will report the receipt of any formal complaint to the Board of Trustees at its next meeting.

Complaints Against the Managing Director and Senior Solicitor

Any complaint raised against the Managing Director and Senior Solicitor must be referred directly 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 and taking the place of the Managing Director and Senior Solicitor throughout.

Client complaints do not usually involve a risk of loss to the client or to the Law Centre. However, the Managing Director and Senior Solicitor (or the trustee assigned under this section) must consider whether the circumstances giving rise to the complaint are such that the Law Centre’s insurers should be notified.

Important: At no stage should any member of staff or trustee admit liability for any possible or actual loss suffered by a complainant without first taking legal advice.

Recording, Reviewing, and Analysing Complaints

Recording
The Managing Director and Senior Solicitor must record all complaints in the Central Register of Complaints. The register must include all correspondence with the complainant, together with full records of investigations carried out and decisions issued. Copies must also be retained in the client matter file where one exists.

Annual Review and Reporting to Trustees
Regardless of the outcome of any individual complaint, the Managing Director and Senior Solicitor and the Board of Trustees will consider whether any change to working practices or procedures is necessary to prevent a similar issue from arising in the future and to improve the overall quality of the service provided.

The Managing Director and Senior Solicitor will review all complaints on an annual basis to identify the root causes of the issues raised and to assess whether corrective and preventative measures have been effective. The Managing Director and Senior Solicitor will present a report of the annual complaints review to the Board of Trustees. That report will include recommendations for any changes to practice and procedures that may help to prevent the recurrence of the issues giving rise to complaints.

Insurer Notification
If, at any stage, the Managing Director and Senior Solicitor considers that a complaint may give rise to a professional negligence claim, the Managing Director and Senior Solicitor must notify the professional indemnity insurers and the Board of Trustees immediately.

Regulatory Self-Reporting
If, at any stage, the Managing Director and Senior Solicitor considers that a complaint has disclosed conduct issues that may amount to a breach of professional regulations, the Managing Director and Senior Solicitor must consider the appropriateness of self-reporting that breach to the relevant regulatory body.

Complaints Referred by the Legal Ombudsman
It is possible that a client may complain directly to the Legal Ombudsman without first raising the matter with the Law Centre. In such circumstances, the Legal Ombudsman will refer the complaint to the Law Centre to deal with it in the first instance. On receipt of such a referral, the Law Centre will follow the complaints procedure set out in this policy.