Rules on Complaints Flashcards
What must you do re clients and complaints?
rC99
(a) You MUST notify clients in writing when you are instructed, or if that is impracticable, at the next available opportunity of the following:
(i) The client has the RIGHT to make a COMPLAINT, including:
(1) HOW and TO WHOM they can complain;
(2) any TIME LIMITS for their complaint;
(3) their right to complain to the LEGAL OMBUDSMAN (if such a right exists);
(ii) if you are doing referral work the client MAY COMPLAIN DIRECTLY to your CHAMBERS without going through your instructing solicitor.
(1) i.e. work sent to you by a solicitor
How do you inform your client of the complaints procedure?
rC102
If you do not send a general letter of engagement to a lay client which contains the information, you must send a specific letter to them.
How do you inform of complains in public access or licensed access work using an intermediary?
rC100
If you are doing PUBLIC ACCESS or LICENSED ACCESS work using an intermediary, the intermediary MUST be given the same notification as. above.
How do you of complaints with referral work?
rC101
If you are doing referral work, you do NOT need to give your instructing solicitors the information in 15.1. above in a SEPARATE letter, it is sufficient to provide it in an ordinary terms of reference letter which is sent to the solicitor upon acceptance of instructions.
Where must chambers complaints procedure be displayed?
rC103
Your chambers website and literature MUST display information about the chambers COMPLAINTS PROCEDURE.
How must you deal with complaints?
rC104
Dealing with Complaints
(a) All complaints must be acknowledged PROMPTLY.
(b) When you acknowledge a complaint you MUST give the complainant:
(i) The NAME and ROLE of the person who will deal with the complaint;
(ii) A copy of the CHAMBERS COMPLAINTS PROCEDURE;
(iii) The DATE by which the complainant will next hear from chambers about their complaint.
rC105
When chambers has dealt with the complaint, complainants MUST be told in writing:
(i) Of their right to complain to the LEGAL OMBUDSMAN (where applicable),
(ii) The TIME LIMIT for doing so; and
(iii) How to contact them
Where can you find the rules on complaints?
The rules on Complaints are supplemented by the BSB Guidance on First Tier Complaints Handling. This is a long document which has not been fully summarised here for reasons of brevity. However, students may wish to note the following points which have been extracted from the Guidance.
What does the Guidance on First Tier Complaints Handling draw a distinction between?
(b) The Guidance draws a distinction between:
(i) Service complaints;
(ii) Complaints of professional negligence;
(iii) Complaints of misconduct.
What must chambers investigate if a First Tier Complaint is made?
It MUST investigate complaints about the service received by the client.
- Chambers may not be the best forum in which to deal with complaints of professional negligence
- Chambers has NO positive duty to investigate misconduct
NOTE: Chambers must not refuse to investigate a complaint because it contains elements of professional negligence and/or misconduct ALONGSIDE service complaints.
What should happen if an allegation of professional negligence is made?
Where a complaint raises an allegation of professional negligence it may be appropriate to inform BMIF and to consult them before any proposals for resolution are made to the client.
What are the stages of any complaint recommended in the Guidance on First Tier Complaints?
There are a number of stages of any complaint which are recommended in the Guidance (some are mandatory, others are not):
(i) The client must be NOTIFIED of his right to complain to chambers.
(ii) Chambers should adopt a COMPLAINTS PROCEDURE.
(iii) Complaints Procedure First Stage – where the complainant is spoken to over the phone by a designated person within chambers to try to resolve the complaint to the satisfaction of the client.
(iv) Complaints Procedure Second Stage – where Chambers convenes a complaints panel of experienced practitioners and a senior member of staff to deal with a complaint not resolved by stage 1.
(v) Confidentiality – all conversations had and documents used in the Complaints procedure shall be kept confidential and only disclosed to the extent necessary.
(vi) Record keeping – records should be kept of the 1st stage of the procedure and where it is required the 2nd stage.
