AB Legal Solicitors

Complaints Procedure

We aim to deal with any complaints promptly, fairly, openly and effectively.

It is the policy of the firm that:

·       every complaint made by a client is reported and recorded centrally

·       every complaint received is responded to appropriately

·       the cause of the problem is identified

·       appropriate redress is offered, and

·       unsatisfactory procedures are corrected.

Definition of complaint

Our definition of a complaint is:

“any written or verbal expression of dissatisfaction referred to any person in our organisation by a client”.

A complaint can be identified through a letter, telephone call and e-mail or in the course of a face to face conversation.

A complaint may involve:

·       dissatisfaction with the handling of a case

·       disappointment with an alleged lack of communication

·       frustration with an alleged lack of case progress

·       an allegation of discrimination, or

·       dissatisfaction with the outcome of the case

·       dissatisfaction with charges

However, issues of a very minor nature, for example, not returning a non-urgent telephone call until the following day will not necessarily need to be recorded as a complaint.

Complaints may be received from other parties who are not our clients. Although we are not obliged to handle these complaints in the same way, we would ordinarily look to respond to them and investigate the complaint in a similar manner and in similar timescales. We will however make the complainant aware that some elements and timings in our complaints handling procedure are aimed at our clients and may not be appropriate and will be adapted accordingly. Depending on who it is who has complained and the nature of the complaint, the complainant will be made aware that they may not have the same recourse to raise issues with the Legal Ombudsman.

Complaints handling information

We inform clients in writing on our website and at the outset of their matter of:

·       their right to complain and that the complaint will be dealt with promptly, fairly and free of charge

·       how complaints can be made and to whom

·       how the complaint will be handled

·       in what timescale they will be given an initial and/or substantive response

·       their right to complain to the Legal Ombudsman, the time frame for doing so and full details of how to contact the Legal Ombudsman

·       the role of the Solicitors Regulation Authority (SRA) and how they may raise concerns about behaviour or ethics to the SRA, the time frame for doing so and full details of how to contact the SRA.

Where the complaint relates to the processing or handling of personal data, there may be additional steps to follow or additional information to disclose. There may also be a need to escalate our standard timescales. In these circumstances, the Complaints Handling Representative must also be mindful of our obligations as a data controller and ensure they follow our Personal Data Complaints Procedure as set out in our Data Security and Information Governance Manual.

Complaints Handling Representative

We have appointed Anthony Brindley, who is our COLP, as our Complaints Handling Representative.

They are responsible for:

·       recording centrally all complaints received from clients

·       identifying the cause of any problem of which the client has complained

·       overseeing our investigation and response to any complaint

·       offering appropriate redress, where appropriate

·       reviewing our complaints and ensuring any unsatisfactory procedures are identified and notified in accordance with our Compliance Policy, and

·       ensuring compliance with the requirements of 8.4 and 8.5 of the SRA Code of Conduct for Solicitors.

Handling a complaint

When a client makes a complaint, it is handled in accordance with our complaints handling procedure. This sets out the key stages of the process and all relevant timescales.

Where appropriate, we shall ensure that our procedure is tailored in response to the needs of our individual clients, especially those who are vulnerable.

We report and record every complaint made centrally. All complaints are referred to our Complaints Handling Representative in the first instance, who:

·       on receipt of a complaint sends the client our standard letter which sets out our complaints handling procedure, outlining the relevant stages and timescales. A copy of this letter is at Appendix One.

·       reviews the matter with any staff member involved

·       identifies the cause of any problems of which the client has complained

·       determines what degree of validity the complaint has, and

·       decides how the complaint should be resolved.

We are permitted a maximum of eight weeks to investigate, consider and respond fully to the complaint. If for any reason we are unable to resolve the problem within that timeframe or the complaints procedure has otherwise been exhausted and the complaint has not been settled or dealt with to a client’s satisfaction, we advise the client in writing of:

·       our final position on their complaint

·       their right to pass the complaint to the Legal Ombudsman, the time frame for doing so and full details of how to contact the Legal Ombudsman

·       the name and website address of an alternative dispute resolution (ADR) approved body which would be competent to deal with the complaint but that we are not compelled and do not agree to use the scheme operated by that body.

If we are able to resolve the complaint, our Complaints Handling Representative will ensure that any redress or compensation offered to the client is provided within the agreed timescale. They will send a final letter outlining the resolution but also making clear that the client may still have the ability to raise the matter with the Legal Ombudsman and reference the time frame for doing so and full details of how to contact the Legal Ombudsman.

Our Complaints Handling Representative will:

·       offer the client appropriate redress, and

·       recommend amendments to unsatisfactory procedures to our COLP, where appropriate in accordance with our Compliance Policy.

Legal Ombudsman and SRA

Where we are notified that a complaint is made to the Legal Ombudsman or that a report has been made by a client to the SRA, our Complaints Handling Representative will review the matter and oversee our response(s).

Negligence

During a matter, should a fee earner identify any act or omission which could give rise to a claim by them against us, they must refer any such cases to their supervisor for initial advice. If the supervisor agrees that the circumstances of the case could give rise to a claim then the case must be referred immediately to our Complaints Handling Representative who will:

·       decide, in conjunction with our insurers, what information should be provided to the client

·       determine and oversee any other action as is required.

If during the investigation of a complaint, the Complaints Handling Representative identifies a matter which could give rise to a potential negligence claim or where a client claims financial loss, compensation or threatens legal action, they will decide, in conjunction with our insurers, whether we should continue with this complaints procedure or adopt some other course of action.

Record and Review

Our Complaints Handling Representative has overall responsibility for handling complaints and keeps details of all complaints received in a central record. Copies of any documents/correspondence showing how each complaint is resolved are also retained on the central record.

If, whilst reviewing any particular complaint, our Complaints Handling Representative highlights that there are aspects of our practice that need to be corrected or there are any unsatisfactory procedures requiring amendment, they will in their capacity as our COLP, oversee any unsatisfactory procedures are corrected.

Our Complaints Handling Representative carries out an analysis of the Central Register of Complaints annually. Following this review they decide whether any action can be taken to improve our services or if any action is required to ensure ongoing compliance with the requirements of 8.4 and 8.5 of the SRA Code of Conduct for Solicitors. The results of the review (i.e. any trends identified and action proposed) are documented and provided to Key Personnel and will be reviewed by our COLP as part of our Annual Review of Risk.

Our Complaints Handling Representative maintains overall responsibility for the operation of this procedure. They will review it annually to verify that it is in effective operation.