Draft Complaint Policy

The following draft policy can be adapted by you to suit the needs of your practice. Used in conjunction with the item on implementing a draft policy it should make easier the task of putting such a policy into force.

The draft has been written to take account of the needs of different types and sizes of practice and addresses complaint policies for solicitors, legal executives and licensed conveyancers.

The content of this section is available to registered members of our web site. Registration is free. Just go to the registration page and fill in your user name and email address. When you then log in all of the information will be available to you.

Alternatively, if you require specific assistance in dealing with a particular complaint or simply need help putting in place a new complaints procedure, then the Lawyers Defence Group can assist you.

You can contact the Lawyers Defence Group by:

• phoning us on 0333 888 4070,
• emailing us at help [Email address: help #AT# lawyersdefencegroup.org.uk - replace #AT# with @ ],
• requesting a callback using the form in the right hand menu and someone will call you back at a pre-arranged time, or
• writing to Lawyers Defence Group, Richard Nelson LLP, Priory Court, 1 Derby Road, Nottingham, NG9 2TA.

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Simply insert the name of your firm wherever you see (Firm Name) . Optional paragraphs that you may wish to omit are shown in [square brackets]. Where there is a choice of wording it is shown with {curly brackets}. Instructions are shown in red and should be deleted after you have personalised the policy.

(Firm Name)

Complaints Policy for Clients

At (Firm Name), our quality of service is very important to us. For that reason we like to ensure that at all stages of any transaction you are happy with the service which you receive from us.

Whilst we hope you will never need to complain about our service, we acknowledge that from time to time things can go wrong or that there can be a breakdown in communications. Should this occur we would like you to bring the problem to our attention as soon as possible and we will take steps to try and deal with it as quickly and effectively as possible.

What to do if you have a complaint

If you are unhappy with any aspect of the service which you have received from us, then the starting point is to contact us and provide us with details of the problem. This should be within six months of the matter giving rise to the complaint or within six months following the conclusion of the work, whichever is the later.

If the complaint is complicated then we would prefer you to supply us with details in writing. However, if you are not happy doing this, or would like to discuss the matter with us first, you can call at our offices, telephone us or email us.

Delete the following two paragraphs if they are not relevant. This might be if you are a sole practitioner or there is no one else in your firm to whom a complaint could be addressed. Select the most appropriate option from the alternative wording.

[If you would like to discuss the matter with someone other than the lawyer who dealt with your matter, then you can ask to speak with or write to {his or her supervisor}{our complaints partner/manager/director}{our client care partner/manager/director}{our senior partner/manager/director}{our managing partner/chief executive} who will be happy to try and resolve the issue for you]

[If you have any doubts as to who you should contact then please check the client care letter that we sent to you when we first started to act for you. If you no longer have this letter, or if the person named in the letter is not available, then if you telephone us we will be happy to tell you to whom you should address your complaint.]

What will happen next?

After you have contacted us we will write to you within {two}{three}{four} working days acknowledging your complaint, sending to you a further copy of this policy, telling you the name of the person who will be looking into your complaint and, where you have spoken with us rather than writing to us, setting out the nature of the complaint you have made. [Your complaint will be recorded and the {complaints partner/manager/director }{client care partner/manager/director }{senior partner}{managing partner} will be informed.]

Having received your complaint, we will then take steps to look into it. This will involve:

• reviewing your complaint,
• where appropriate looking at your file(s) and other documents,
• [speaking with the person who acted for you,]
• taking any other necessary steps.

After we have looked into the matter

Once we have looked into the matter for you, we will write to you and invite you to a meeting where we can discuss the complaint with you and provide you with an explanation. This will usually be within {10}{15} working days of the letter acknowledging the complaint. If appropriate we will discuss with you any proposals for resolving the matter.

If you would prefer not to attend a meeting, or if it is not practical for you to attend a meeting, we will be happy to write to you setting out an explanation in a letter and any proposals for resolving the matter. You may, if you wish, also telephone us about this or send us an email or ask that we telephone you. This letter will normally be sent to you within {15}{20} working days of the letter acknowledging the complaint.

In the event that you attend a meeting, or discuss the matter with us by telephone, we will write to you confirming the {meeting}{conversation} and any proposals for resolving the matter. This will usually be within {3}{5} working days of the meeting or conversation.

What if you are not happy with the outcome?

If you are unhappy with the outcome of your complaint, or if you feel that there are factors which we have not taken into account, you may contact us again, either in person, by telephone or in writing and we will arrange:

Select from below as appropriate to your firm

• [to look at the matter again]
• [for another {person}{partner/manager/director } in the firm to look at the matter again]
• [for someone who is not connected with the firm to look at the matter]
• [for someone from another firm to look at the matter]

Once the matter has been reviewed we will then write to you within {10}{15} working days setting out our position and, if appropriate, any proposals for resolving the matter.

If you are not happy with this further explanation, or if our proposals are not adequate, then you may take the matter further by contacting the Legal Ombudsman. You can contact the Legal Ombudsman by:

• Writing to PO Box 15870, Tamworth, B77 9LE
• Phoning 0300 555 0333, or
• emailing enquiries [Email address: enquiries #AT# legalombudsman.org.uk - replace #AT# with @ ]

Please note that you must make contact with the Legal Ombudsman:

• within six months of the final response from us to your complaint, or
• within twelve months of the date when either the unsatisfactory conduct took place or you became aware of the problem.

When you contact the Legal Ombudsman they will need you and your lawyer to provide information about the steps that have been taken to resolve the complaint before it reached them . Keep copies of any written correspondence as well as any notes you might have made on what happened and when. It will also help if you have:

• the name and address of the lawyer or law firm involved,
• the date you first told them about your complaint,
• the date you first became aware of the problem you are complaining to them about, and
• details of the response you received from them. The Legal Complaints Service prefer those with a complaint to try to resolve it with the firm of solicitors in the first instance.

When you contact the Legal Complaints Service you need to send them copies of all relevant documents.

Select which of the following is appropriate to you.

Solicitor

You will find more information about how to make a complaint on the Solicitors Regulation Authority web site at http://www.sra.org.uk/consumers/problems.page

Licensed Conveyancer

You will find more information about how to make a complaint on Council for Licensed Conveyancers web site at http://www.conveyancer.org.uk/consumers.php

Legal Executives

You will find more information about how to make a complaint on the ILEX Professional Standards web site at http://www.ilex.org.uk/ips/ips_home/for_consumers/how_to_complain.aspx

Barristers

You will find more information about how to make a complaint on the Bar Standards Board Web Site at http://www.barstandardsboard.org.uk/complaintsofprofessionalmisconduct/howtocomplainaboutabarrister/

Patent Attorneys and Trade Mark Attorneys

You will find more information about how to make a complaint on the Intellectual Property Regulation Board web site at http://www.ipreg.org.uk/information/complaints_procedure.php

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(revised December 2011)