Complaints and Reporting Policy (Apr23)

Introduction

It is important that those in positions of responsibility within the firm are aware of anything which may have gone wrong. For example, the SRA Standards and Regulations require us to:

deal with clients’ complaints promptly, fairly, and free of charge
be honest and open with clients if things go wrong, and if a client suffers loss or harm as a result to put matter rights (if possible) and explain fully and promptly what has happened and the likely impact
identify, monitor and manage all material risks to your business
promptly report to the SRA or another approved regulator, as appropriate, any facts or matters that you reasonably believe are capable of amounting to a serious breach of their regulatory arrangements by any person regulated by them (including you).

However, this is more than a professional responsibility. Being frank about such matters helps us to build the firm, by learning from mistakes or misunderstandings, improving our standards and retaining our reputation and the goodwill of our clients. This policy explains your obligations in these areas.

Purpose

This policy aims to inform all of us about (1) how the firm handles client complaints and (2) the obligation of firm personnel to report possible mistakes and misconduct.

Scope

This policy applies to us all, including managers, consultants, and any third party that this policy has been communicated to.

Responsibility

The firm’s COLP Timothy Halliday is the firms Complaints Manager and is responsible for this policy and for complaints handling.

All of us (and any other member of staff to whom this policy applies) are responsible for ensuring that we comply with this policy. Failure to do so may result in disciplinary action.

Complaints handling

The complaints handling procedure is intended to resolve as many problems as possible within the firm rather than clients seeking redress through the Legal Ombudsman (LeO) or the SRA. Resolving problems in-house helps to preserve the good will of the client and our reputation.

What is a complaint?

A complaint is an oral or written expression of dissatisfaction which alleges that the complainant has suffered or may suffer financial loss, distress, inconvenience or other detriment.

It is important to recognise that complaints may not necessarily be made through a formal written communication and could be made by way of a verbal comment to any member of staff about our service.

Duty to notify the client of their right to complain at the outset

By reference to paragraph 8.3 of the SRA Code of Conduct for Solicitors, RELs and RFLs, we must ensure that ‘clients are informed in writing at the time of engagement about:

their right to complain to you about your services and your charges;
how a complaint can be made and to whom; and
any right they have to make a complaint to the Legal Ombudsman and when they can make any such complaint.’

This information is set out within the firm’s Terms of Business which must be provided to all clients, together with the Client Care Letter when we are instructed to act.

Complaints handling procedure

Our complaints procedure explains to clients how we will handle their concerns if they feel something has gone wrong. Whenever a client complains about our service, or about the bill, we must use that procedure. Even if a complaint is malicious or misconceived, we must respond courteously and handle it effectively.

Accordingly, if a complaint is made by or on behalf of a client, or a transaction related third party, for example, a firm acting for a mortgage lender, notify our Complaints Manager, who is Timothy Halliday. He will then handle the matter, starting with sending the client a copy of our complaints procedure, and finishing with sending the client another copy of the information in paragraph 10 of our complaints procedure. He will also take action to ensure that we learn from the complaint, including keeping a record, analysing complaints data and correcting any unsatisfactory procedures.

If you are not sure if a comment from a client amounts to a complaint, ask if they wish the matter to be handled under our complaints procedure.

If any client asks about our complaints procedure, you should provide them with a copy. A copy is also available on the firm’s website.

Should there be any changes to the person taking the Complaints Manager role, we will update the Complaints section within our Terms of Business accordingly and update our complaints procedure on our website. The contact email address clientcare@ericwhitehead.co.uk will not change.

Prospective and former clients

You should not ignore or dismiss a complaint merely because it is from a prospective or former client.

Former clients are entitled to complain about our service and to take their complaint to the Legal Ombudsman, provided the limitation period for bringing a complaint to the Legal Ombudsman has not yet expired (see complaints procedure). However, it is not for the firm to determine whether such a complaint is out of time for the Legal Ombudsman to handle; this will be determined once a complaint has been received by the Legal Ombudsman.

Complaints from prospective clients are likely to be rare. However, they can arise, for example if someone is disappointed by our refusal to act for them. Prospective clients may complain to the Legal Ombudsman if they are not satisfied with the way we handle their complaint. In the SRA Standards and Regulations, the word “clients” includes prospective and former clients, where the context permits. Hence, we should, with appropriate allowance for the circumstances, apply our complaints procedure if we receive a complaint from a prospective client.

Other parties such as beneficiaries, third parties and other professionals or suppliers may also complain, and these complaints must be handled in the same way.

The role of the Legal Ombudsman (LeO)

The LeO is an independent body that will consider complaints that have not been resolved in-house. The LeO will accept complaints from individuals, small businesses, charities, clubs, associations and trusts.

The LeO will levy a £400 case fee on us to handle any complaint whether or not it is upheld. Therefore, there are also financial drivers to avoid a complaint being referred to the LeO where possible.

Please note that if the LeO does investigate a complaint, the case worker may contact the member of staff involved in the complaint directly, without first contacting our Complaints Manager. In this instance, the member of staff must inform the Complaints Manager of the investigation immediately.

Central record of complaints

The Complaints Manager keeps a central record of all complaints received in the complaints module in Access Legal Compliance which details:

the cause of the problem about which the client has complained e.g., costs, delay or failure to advise.
a summary of the complaint;
steps taken to resolve the complaint;
the outcome of the complaint;
any remedial action arising from the complaint – which is to include correcting any unsatisfactory internal procedures.

Review of the complaints record

The Complaints Manager will review the central complaints record periodically and analyse any client complaint trends. These will be discussed with the relevant heads of department to decide on any remedial action to be taken and will form part of the annual risk management review.

However, it is important that we all learn from issues highlighted as a result of complaints. Therefore, lessons learned will be shared across the firm as they arise. The Complaints Manager will communicate such lessons to staff as appropriate.

Reporting

Even if there has not been a complaint, you must promptly report possible mistakes and misconduct of which you are aware to the director supervising the relevant matter, or to Timothy Halliday (COLP) or Nicola Robinson (COFA), as appropriate. Do not yourself admit liability to clients or third parties since this might prejudice our insurance cover.

Your obligation to report extends to an allegation by a client or third party that there has been a mistake or misconduct, even if you believe that allegation is malicious or misconceived.

A failure to make a report may be treated as a serious disciplinary matter.

If a breach of the SRA Standards and Regulations is identified, it should be reported as follows:

Solicitors who identify a breach – report to the COLP/COFA as appropriate in line with paragraphs 7.7 and 7.8 of the Code of Conduct for Solicitors;
Non-solicitor employees who identify a breach – report to the COLP/COFA in line with the firm’s internal reporting arrangements;
Reporting to the SRA:
- Solicitors – if you believe that the breach is serious, you should agree with the COLP/COFA that a report should be made to the SRA in line with paragraph 7.12 of the Code of Conduct for Solicitors. You do not have a duty to double-check whether the COLP/COFA has in fact reported to the SRA once you have agreed a report should be made. If you and the COLP/COFA cannot agree that a report to the SRA is appropriate, and you still believe a report should be made, you have a duty to make a direct report to the SRA.
- Non-solicitor employees – you do not have a duty to report a serious breach direct to the SRA, however, you may want to make such a direct report if you feel it is appropriate. If you do want to make a report to the SRA, the firm should not take steps to prevent you from doing so or subject you to detrimental treatment for doing so.

Whistle-blower protection: our promise to you

If you report a mistake or misconduct for which you are responsible, the firm will strive to take a constructive and supportive approach to resolving the issue.

If you report a possible mistake or misconduct for which someone else is responsible, you will be protected by our separate Whistleblowing Policy, to which you should refer.

Practical Tips for Raising a Concern

The organisation “Public Concern at Work” offers these suggestions for those reporting suspicions of wrongdoing.

“Let the facts speak for themselves. Concentrate on the facts of a situation and focus on what you know for sure. Relying on hearsay and rumour may upset or anger your colleagues and/or employer and may damage personal reputations and work relationships. Remember there may be an innocent or good explanation for what has occurred.

Separate out personal grievances. A public concern and a personal grievance are not the same thing. If you are aggrieved about your personal position, you should use your employer’s internal grievance procedure to make this known.

Be a witness not a complainant. Communicate the concern in a professional, calm and factual manner. If you know how to resolve the problem, suggest a solution. As a witness you do not have to prove your concern and it is important you do not delay raising the concern by acting as a private detective.”

Review of this policy

This policy will be reviewed at least annually by Timothy Halliday

Apr23

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