• First Tier Complaints Handling Guidance (October 2019) Flashcards
Where there are complaints relating to misconduct or professional negligence,
What must Chambers do?
there is no positive obligation on chambers to investigate matters of misconduct.
BUT – it is likely many cases raising professional misconduct or professional negligence also amounts to an accusation of poor service and includes a service element. If so, chambers must investigate elements of a complaint which relate to service.
Complainants should be informed in writing if
any aspect of complaint deemed outside of chambers complaints handling procedures. This includes info on how to complain to the Legal Ombudsman.
Where complaint raises allegation of negligence, may be appropriate to inform
BMIF and to consult them.
Notifying client
Barristers must notify clients in writing at time of engagement or if not practicable at next available opportunity:
- Of their right to complain, how and to whom this can be done, including their right to complain to the Legal Ombudsman, the timeframe for doing so and full details of how to contact the Legal Ombudsman.
- That the lay client may complain directly to chambers without going through solicitors; and
- Of the name and web address of an approved ADR which can deal with any complaint in the event the barrister cannot resolve the complaint through their complaints process AND both barrister and client agrees to use the scheme.
Thus, barrister is not required to use ADR, only required to inform the client of the option.
At the conclusion of the complaints process, complainants must be informed in writing of their right to complain to the Legal Ombudsman, the timeframe for doing so and the full details of how to contact them.
COMPLAINTS TO CHAMBERS
Chambers complaint handling process must be convenient and easy to use. The way complaints are dealt with must
be transparent and clear, well publicised and free. It should be prompt and fair.
CLIENT INFORMATION SHEET
what is it?
this can give details about the barrister as well as information on how to complain.
What is the first stage of chambers complaints procedure?
FIRST STAGE
Where a client is dissatisfied with some aspect of the service provided by a barrister or by chambers they should be invited to telephone an individual nominated under the chambers complaints procedure to deal with complaints. The client should also be told that if they prefer they may make the complaint in writing, and the chambers complaints procedure should be sent to them unless it has already been provided.
FIRST STAGE
Where a complaint is made by telephone, a note of the complaint should be made. It should record:
- The name and address of the complainant;
- The date of the complaint;
- Against whom the complaint is made;
- The detail of the complaint; and
- What the complainant believes should be done about the complaint.
What happens where the first stage chambers complaint is resolved over telephone?
When that occurs, the individual nominated to deal with complaints should record the outcome on the note of complaint.
The client should be asked whether they are content with the outcome and informed of the Legal Ombudsman’s complaints procedure. If they are, that fact will be recorded.
If the client is not content they should be invited to put the complaint in writing so that it may be investigated formally. At that stage they should be sent a copy of the chambers complaints procedure unless it has already been provided. The client should also be informed of the Legal Ombudsman’s complaints procedure.
What is the second stage of chambers complaint procedure?
Complaints panel made up of experienced practitioners from different practice areas and a senior member of stage. A head of panel should be appointed. There should be a nominated deputy. All complaints (other than those resolved at stage one) should be put before the head of the panel or, in their absence, the deputy.
Second stage:
A complaint received in writing should, where possible, be acknowledged within
two days of receipt and, in any event, promptly.
Within 14 days of that acknowledgment the head of the panel (where one has been set up) or their deputy should appoint a member of the panel to investigate the complaint. Where the complaint is against a member of staff the person appointed will normally be the senior staff member. Where the complaint is against the senior staff member the head of the panel should appoint another member of the panel to investigate.
No barrister should investigate a complaint of which they are the subject.
SECOND STAGE
The appointed person/nominated individual should write to the client as soon as they are appointed. They should inform
the client that they are to investigate the complaint and that they will report back to the client within 14 days. If it becomes plain that a response cannot be sent within 14 days a realistic timeframe should be set and the client informed accordingly.
second stage:
The appointed person/nominated individual should investigate the complaint. They should
- speak to the barrister/member of staff complained against, and any other people they identify as having something to contribute.
- review all relevant documents.
- If necessary, they should revert to the client for further information and clarification
SECOND STAGE
The appointed person/nominated individual should prepare a report to the client, including:
- The nature and scope of the investigations carried out
- Conclusions; and
- Basis for the conclusions
second stage
Where a complaint is found to be justified, the report should provide proposals for resolution. The report should be sent to the client within
14 days. Note that the client will be entitled to take their complaint to the Legal Ombudsman if they do not receive a final response from you within eight weeks of their initial complaint. A copy of the report should also be provided to the barrister/member of staff complained against.
