Implementing a complaint handling procedure

Introduction

Knowing why you need a complaint handling process may be an essential step, but actually getting down to producing a policy which deals with all of the appropriate issues is quite another. In this section we look at some of the factors to be borne in mind and some of the issues which will need to be addressed. This, combined with our draft complaint policy for clients, should help to make the task an easier one.

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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Getting the right culture

It may not always be easy, but the first thing that firms should do is to remain positive about complaints and to take steps to ensure that all staff remain positive.

Firms should avoid a culture of blame – taking an overly censorious view towards those staff members about whom a complaint is made is unlikely to persuade those staff members to react positively, and firms may even find that staff members try to hide complaints from managers rather than dealing with them in a way which is in the best interests of the firm.

Steps should also be taken ensure that all staff are aware that complaints often begin life as minor niggles and grievances. All staff members should be alert to these niggles and know how to take appropriate steps to deal with them while they are at that early stage.

Implementing an appropriate policy

The most important aspect, however, is to have a complaint procedure that is adequate for the firms purposes – neither too basic nor too complicated – and to ensure that all staff:

• understand the procedure,
• understand what is expected of them, and
• understand the support that the firm will give them in dealing with those complaints that arise.

Any system which is adopted should be:

• prompt - as soon as a complaint is made, or as soon as someone perceives that a client is unhappy, there should be an effective system for dealing with that dissatisfaction;
• fair - the client should feel that, having complained they are having their matter looked at fairly and impartially. Remember, not every complaint will end up in a finding in favour of the complainant so it is vital that every opportunity is taken to ensure that clients feel that the complaint has been taken seriously, has been thoroughly investigated and has been impartial;
• comprehensible - keep the system as simple as possible and ensure that the client understands now only how it works and what the firm will be doing and when, but also what is expected of them as clients;
• able to respect confidentiality - the investigation of a complaint should not lead to confidences being breached or conflicts arising;
• able to provide both explanations and remedies - if something has gone wrong, the client needs to know why it has gone wrong and why a particular method of compensation is being offered. If nothing has gone wrong, then the client needs to have it explained to them that that is the case and what they can do if they remain dissatisfied with the outcome.

Finally, the system of complaint handling should ensure that the firm is given an opportunity to learn and to take steps so that problems of that nature do not arise again.

Nature of the complaint handling process

The extent of your complaints handling process will be dictated by the size and complexity of your firm.

A large firm may need a more complex complaint handling process than a smaller firm, but in all cases, the process should be no more complicated than is necessary.

The process established should ensure that:

1. complaints are handled at as early a stage in their life-cycle as possible. Frontline staff (i.e. those actually dealing with clients) should receive training in how to handle initial complaints and be given authority to deal with low-level complaints where necessary. This could involve, for example, apologising for failing to send a letter or reply to a telephone call sufficiently promptly.
2. where complaints are more serious, that they are effectively referred upwards for investigation or review. This could include:
   • where the complaint is more serious and requires the firm to look into it, or
   • where the complaint demonstrates that there are repeated or systematic failings within the firm, or
   • where the complaint follows on from a complaint made to the frontline staff member and that matter has not been able to dealt with adequately

   This may involve the need for investigation or review by someone in the practice not involved in the matter and sufficiently senior so as to be able to deal with the matter appropriately.

3. where a matter is not able to be resolved within the practice information is provided about subsequent steps – the firm may wish to be able to offer the client the opportunity for an independent person, such as a mediator, to look into the matter. Alternatively, the firm may simply wish for the matter to go to the Legal Ombudsman.
4. the firm is able to learn from the experience – thus the firm should have a system for monitoring complaints and analysing why they were made and what needs to be done to ensure that they do not continue to arise.

In addition, firms should have a system which:

• informs the client at the outset about how complaints can be made, the time-frame for doing so and to whom those complaints should be addressed;
• provides the client with a copy of the firm’s complaints procedure on request; and
• in the event that a client makes a complaint, provides them with all necessary information concerning the handling of the complaint.

The client-focused complaint policy

Firms will need to implement a policy capable of explaining to the client:

• the manner in which complaints are to be made. Bear in mind that this should ideally allow them to complain by the method most suited to them and which takes account of any problems they may have in communication – for example language, disability or geography;
• to whom the complaint should be made. It must be made clear to whom within the firm the complaint is to be made and how the matter will be referred on;
• how the complaint will be dealt with after it is made. In other words what will be done to investigate it, how the complainant will be advised of the outcomes, the form that advice will take and the remedies that may be offered,
• how long each stage of the process is likely to take. That is to say how soon they will receive an acknowledgement, when it will be investigated, how long the investigation is likely to take and so forth.

A draft complaints policy for firms to amend to their own requirements can be found on our web site and is available, free of charge, to registered members. That policy covers issues including:

1. when an acknowledgement of receipt will be sent. This should be very soon after receipt of the complaint,
2. how the complaint will be investigated and who is likely to do the investigating,
3. having investigated the complaint, how and when the client will be advised of the outcome and offered the opportunity to discuss that outcome,
4. what the client should do if still dissatisfied,
5. how, if at all, the matter will be further reviewed,
6. what the client should do if still dissatisfied after a further review.

Firm policy and procedures

However, this is only the client-facing part of the policy. For a policy to be adequate, the firm also needs to deal with other issues in its policy, including:

• how complaints are to be recorded – it is vital that the firm knows what is being complained about, who is complaining and why otherwise it will not be able to ensure that complaints of that nature do not arise in the future,
• who within the firm needs to be notified of the complaint and when – minor complaints can perhaps be dealt with at fee-earner or departmental level whilst serious complaints may need to be referred to partners,
• who has authority for dealing with a particular level of complaint – departmental heads for example dealing with less serious complaints,
• what the time-scales for investigation are and the parameters for that investigation,
• when complaints need to be escalated to a higher level of management,
• the circumstances which can result in no action being taken or communication with the complainant will cease,
• guidelines on remedies,
• methods of staff training – all personnel need to be aware of the policy and what it requires of them,

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(revised December 2011)