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Pupillage Ethics > First Tier Complaints Handling Guidance > Flashcards

First Tier Complaints Handling Guidance Flashcards

1
Q

What section of the code does this guidance cover?

A

Section D1.1

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2
Q

What is the scope of the guidance?

A
  1. the scope of chambers complaints handling
  2. the obligation to notify clients of their right to complain
  3. guidance to chambers in developing chambers complaints procedures
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3
Q

What is a complaint?

A

an expression of dissatisfaction by clients

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4
Q

What are the three different types of complaints?

A
  1. service
  2. professional negligence
  3. misconduct
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5
Q

What are service complaints within the jurisdiction of?

A

the Legal Ombudsman

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6
Q

What is included in the list of the categories of complaint which the Legal Ombudsman investigate?

A
  1. costs excessive
  2. costs information deficit
  3. data protection/breach of confidentiality
  4. delay/failure to progress
  5. discrimination
  6. failure to advise
  7. failure to follow instructions
  8. failure to investigate complaint internally
  9. failure to keep complainant informed of progress
  10. failure to keep papers safe.
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7
Q

Do chambers have a positive obligation to investigate matters of misconduct?

A

No.

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8
Q

What is it not acceptable for chambers to do in relation to a complaint which relates to service?

A

to not investigate that complaint because it includes an element which relates to misconduct or could give rise to a negligence claim.

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9
Q

What must chambers do in relation to complainants?

A

inform them in writing if any aspect of their complaints are deemed to be outside of chambers complaints handling procedures. this should include I formation on how to complain to the legal ombudsman.

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10
Q

Where a complaint raises an allegation of enelgigence who may it be appropriate to inform?

A

the Bar Mutual Indemnity Fund.

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11
Q

Whose complaints will the Legal Ombudsman deal with?

A

only with complaints from consumers of lawyers’ services

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12
Q

Who should non-client complaints be deal with?

A

if the issues raises can be dealt with by chambers than with them but if not they should refer the complainant to the BSB.

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13
Q

What must barristers inform clients of?

A
  1. their right to make a complaint, how and to whom this can be done
  2. that the lay client may complain directly to chambers without going through solicitors; and
  3. of the name and web address of an approved ADR body which can deal with any complaint.
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14
Q

When must clients be informed of the right to complain?

A

at the time of engagement or if not practicable at the next appropriate opportunity

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15
Q

How should clients be informed of the right to complain?

A

in writing.

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16
Q

At the conclusion of the complaints process, how and what should complainants be informed of.

A

in writing they should be informed of their right to complain to the Legal Ombudsman, the timeframe for doing so and the full details of how to contact them.

17
Q

What must the barrister inform the client of in relation to ADR?

A

the name and web address of an ADR body competent to deal with the complaint.

18
Q

what are first tier complaints?

A

these relate to the procedure whereby a client makes a complaint to chambers in the first instance.

19
Q

What do the LSB seek to ensure consumers have confidence about?

A
  1. complaints handling procedures provide effective safeguards for them; and
  2. complaints will be dealt with comprehensively and swiftly, with appropriate redress where necessary.
20
Q

What should chambers complaint handling processes be?

A

convenient and easy to use.

21
Q

what should chambers complaints handling processes make provision for?

A

complaints to be made by any reasonable means.

22
Q

What are the time limits for an act or omission, or when the complainant should have known there was cause for complaint.

A

No later than six years from the act/omission or three years from when the complainant should reasonably have known that there was cause for complaint.

23
Q

Can the legal ombudsman extend their time limits?

A

yes, in exceptional circumstances.

24
Q

Does the barrister have a positive obligation to provide information to client’s about complaints?

A

yes.

25
Q

How can the obligation to provide the client with information be discharged?

A

an unequivocal agreement by the professional client to pass on chambers’ complain information to client.

26
Q

What should chambers do when they receive a high volume of instructions from a particular professional client?

A

they should get positive written confirmation at regular and reasonable intervals from the professional client that complaints information continues to be passed on to the lay clients.

27
Q

Do chambers have to adopt the model complaints procedure?

A

no, there are other alternative methods which may be just as effective.

28
Q

What is the first stage of the chambers complaints procedure?

A

where a client is dissatisfied with some aspect of the service provided by a barrister or by a chambers they should be invited to telephone an individual nominated under the chambers complaints procedure.

29
Q

What should the note of the telephone complaint include?

A
  1. the name and address of the complainant.
  2. the date of the complaint
  3. against whom the complain is made
  4. the detail of the complaint; and
  5. what the complainant believes should be done about the complaint.
30
Q

If the complaint is resolved over the phone what should the individual dealing with the complaint do?

A

record the outcome on the note of the complaint. The client should also be asked if they are content with the outcome and be informed of the Legal Ombudsman complaint procedure.

31
Q

Who deals with complaints not resolved at stage 1?

A

a panel made up of experience practitioners from different practice areas and a senior member of staff.

32
Q

What is the role of the panel?

A

to appoint from its members an indecent person to investigate a complaint and to ensure that all complaints are handled consistently and in accordance with chambers complaints procedures.

33
Q

When should a complaint made in writing be acknowledged?

A

within two days of receipt and, in any event, promptly.

34
Q

when should the person be appointed to deal with that complaint?

A

within 14 days of that acknowledgement.

35
Q

What should the appointed person do?

A

inform the client that they are to investigate the complaint and will report back in 14 days.

36
Q

what should the appointed person do if they can’t meet the 14 day time limit.

A

a realistic timeframe should be set and the client informed accordingly.

37
Q

Can chambers charge clients for dealing with their complaints?

A

No

38
Q

What records must be kept for second stage complaints?

A
  1. note/letter of complaint
  2. appointed person’s/ nominated individual’s report.

Pupillage Ethics (24 decks)

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