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60 Cards in this Set
- Front
- Back
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What must you notify clients of in writing when instructed? |
- their right to make a complaint, including their right to complain to the Legal Ombudsman (if they have this right), how and to whom they can complain and any time limits for making a complaint - if you are doing referral work, that the lay client may complain directly to chambers without going through solicitors (rC99) |
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When and how must you inform clients of their right to make a complaint? |
In writing when you are instructed, or, if that is not practicable, at the next appropriate opportunity (rC99) |
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If you are doing public access work or licensed access work, who other than the client must be informed of the right to make a complaint? |
Any intermediary (rC100) |
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If you are doing referral work, need you provide a separate specific letter detailing the right to make a complaint? |
No. It is enough to provide it in the ordinary terms of reference sent when you accept instructions (rC101). |
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If you do not send a letter of engagement to a lay client, what must you do? |
Sent a specific letter giving information on the right to make a complaint (rC102). |
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Must chambers' websites and literature display information about the complaints procedure? |
Yes (rC103) |
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Where must information about the chambers' complaints procedure be displayed? |
On chambers' websites and literature. |
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How should you respond to a complaint? |
It should be acknowledged promptly, giving the complainant: - the name of the person who will deal with the complaint and a description of their role in chambers - a copy of the chambers' complaints procedure - the date by which the complainant will next hear from chambers (rC104) |
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What must you inform a complainant of when chambers has dealt with a complaint and how? |
The complainant's right to complain to the Legal Ombudsman (where applicable), the time limit for doing so and how to contact him. In writing. (rC105). |
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Must communications and documents relating to complaints be kept confidential? |
Yes. They must be disclosed only so far as is necessary for - the investigation and handling of the complaint - internal review in order to improve chambers' handling of complaints - complying with requests from the BSB in the exercise of its monitoring and/or auditing functions (rC106) |
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Is there a requirement to disclose to the BSB internal documents relating to the handling of a complaint (eg the minutes of a meeting held to discuss it) for the further resolution or investigation of the complaint? |
No (rC107) |
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What records must be kept of a complaint and for how long? |
A record of each complaint, all steps taken in response and the outcome as well as copies of all correspondence including email and all other docs generated in response must be kept for 6 years from resolution of the complaint (rC108). |
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What must the person responsible for the administration of the complaints procedure do? |
Report at least annually to the appropriate member/committee of chambers on the number of complaints received, their subject areas and the outcomes. The complaints should be reviewed for trends and possible training issues. (rC109). |
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To what three thing may complaints relate? |
Service Professional negligence Misconduct |
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What type of complaint does the code of conduct cover? |
Service complaints |
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What type of complaint is within the jurisdiction of the Legal Ombudsman? |
Service complaints - those that relate to an act or omission by an authorised person in relation to services provided to the complainant (directly or indirectly). |
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Name some categories of complaint which the Legal Ombudsman investigates. |
- costs information deficient - costs excessive - delay - unreasonably refused service to complainant - persistently or unreasonably offered a service that the complainant does not want - failure to advise - failure to comply with agreed remedy - failure to follow instructions - failure to investigate complaint internally - failure to keep complainant informed of progress - failure to keep papers safe - failure to progress complainant's case - failure to release files or papers - failure to reply |
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What information must be provided to all clients about the Legal Ombudsman? |
Sufficient information to identify whether they do have a right to take their complaint to the LO and to contact the LO to clarify this. At the conclusion of the complaints process, the timeframe for complaints and the full details of how to contact the LO. |
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What are the time limits for complaints to be raised with the Legal Ombudsman? |
- Six years from the date of the act or omission - three years from the date that the complainant should reasonably have known there were grounds for complaint (for acts/omissions before 6/10/10 or more than 6 years ago) - within 6 months of receipt of a final response from the complainants's lawyer, if that response includes prominently an explanation of the right to complain to and contact details of the LO and a warning that the complaint must be referred within 6 months) |
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Can the Ombudsman extent the time limit? |
Yes, in exceptional circumstances. |
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Will chambers usually deal with complaints that fall outside of the Ombudsman's time limits? |
No |
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How should a client be notified of his right to complain where the barrister is aware of his contact details? |
A letter or email sent directly to the client (which may be sent by someone else on the barrister's behalf). |
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If information about complaints procedures has not been provided beforehand in writing, when may it be provided? |
On the first occasion that the barrister meets the client at court or in conference. |
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Is it sufficient for a barrister simply to make complaints procedure information available to solicitors? |
No |
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Is it sufficient to make complaints procedure information available on chambers' website? |
No |
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When will the duty to provide complaints procedure information be discharged by giving such info to the professional client? |
Where there is an unequivocal, positive agreement to pass this info onto the client. Where chambers has a lot of instructions from a particular prof client, it will be sufficient to get positive written confirmation at regular and reasonable intervals that complaints info continues to be passed on. |
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What is a client information sheet and what is its advantage? |
A sheet giving the necessary information about complaints procedures but also helpful information about the barrister. It may give a less negative impression than simply providing complaints information. |
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Is there an obligation on chambers to investigate matters of misconduct? |
No |
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When may a client information sheet be given to a client? |
It may be sent or handed out to the client. It may also be provided by a clerk or receptionist when the client arrives for a conference. |
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Where the procedure for providing complaints information cannot easily be followed, what should be done? |
Common sense should be applied and a procedure whereby arrangements are put in place with prof clients is often possible. Sometimes the only option will be to provide info to the prof client with instructions to provide this to the client even where there is no express agreement. This should only be done where no better means of compliance is practical. |
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What should barristers and any staff who are responsible for dealing with complaints receive? |
Adequate training (the BSB will monitor this as part of auditing and monitoring complaints handling) |
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Where a client is dissatisfied with some aspect of service provided by a barrister/chambers, what should happen? |
She should be invited to telephone an individual nominated under the Chambers Complaints Procedure to deal with complaints (eg practice manager or head of chambers). She should also be told that she may make the complaint in writing if preferred and, unless already provided, a copy of the procedure should be sent to her. |
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Should the person nominated to deal with complaints (as a first point of contact) be the same for all complaints? |
Yes, to ensure consistency of approach. |
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Where a complaint is made by telephone, what should be recorded in a note? |
- the complainant's name and address - the date of the complaint - against whom the complaint is made - the detail of the complaint - what the complainant believes should be done about the complaint |
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Where a complaint is resolved in the first telephone call, what should be done? |
- the outcome should be recorded in the note - the client should be asked if she is content with the outcome and informed of the LO's complaints procedure - if she is content, this fact should be recorded - the complaints procedure should suggest that the client may wish to make her own note. |
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Where a client is not content with the outcome of the first phone call, what should be done? |
She should be invited to put the complaint in writing so it may be investigated formally (if not yet provided, a copy of chambers' complaints procedure and info about the LO should be provided). |
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How should a complaints panel be formed? |
It is recommended that chambers set up a complaints panel made up of experienced practitioners from different practice areas and a senior member of staff. There should be a head of panel and a deputy. All complaints unresolved at the first stage should be put before the head, or, in his absence, the deputy. The panel should appoint from its members an independent person to investigate any complaint and ensure complaints are handled in accordance with the procedure. |
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What should small chambers and sole practitioners do where a complaints panel cannot be set up? |
Small chambers: otherwise nominate an individual or individuals to investigate a complaint. Sole practitioners: may wish to offer mediation or arbitration for unresolved complaints. |
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Is chambers always best placed to seek to resolve complaints relating to misconduct of prof negl? |
No |
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When should a complaint in writing be acknowledged? |
Where possible, within 2 days of receipt and in any case promptly. |
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When should a member of the complaints panel be appointed to investigate? |
Within 14 days of acknowledgement |
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Where the complaint is against a member of staff, who will normally investigate? |
The senior staff member |
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Where a complaint is against the senior staff member, who should investigate? |
Another member of the panel as appointed by the head of the panel. |
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Where a complaint is against the head of the panel, who should investigate? |
The Head of Chambers should investigate or, in his discretion, appoint a member of the panel to investigate. Where the HoC is the head of the panel, the deputy head should be the appointed person. |
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What must any individual appointed to investigate a complaint be? |
Impartial. |
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What should the appointed investigator do first? |
Write to the client straightaway and inform her that she is to investigate and will report back within 14 days. If it becomes plain that this will be insufficient, a realistic timeframe should be set and the client informed. |
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How should a complaint be investigated? |
- speak to the barrister/member of staff complained against - speak to any other people who have something to contribute - review all relevant docs - if necessary, revert to the client for further info/clarification - prepare a report to the client (with a copy for the person complained about) |
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What should a report contain? |
- complainant's name and address - date of complaint - against whom it is made - detail of the complaint - what the complainant believes should be done - nature and scope of the investigations carried out - conclusions and the basis for these - where a complaint is found to be justified, proposals for resolution (eg reduction in fees, apology, compensation). |
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How should a report be drafted? |
Using clear and concise language. |
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Where a complaint with a prof misconduct or prof negl element also includes or amounts to a complaint of poor service, must chambers investigate this? |
Yes, and they should inform the complainant in writing if any aspects of their complaint which are deemed to be outside chambers' complaints procedures. This should include info on how to complain to the legal ombudsman. |
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To whom should the report be sent and when? |
To the client within 14 days of the appointed person's appointment (or longer if necessary and communicated in advance. A copy should be provided to the person complained against. |
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Should chambers charge for dealing with complaints? |
No. To do so brings the bar into disrepute and could amount to professional misconduct. |
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To whom and to what extent should conversations and documents be disclosed? |
Only to the extent necessary. Only to the client, the person complained about, the head of chambers, the head of the complaints panel or relevant senior member, the nominated investigator, the management committee (for monitoring) and any other individual with whom enquiries need to be made for the purpose of the investigation. |
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What records should be placed on the chambers complaints file? |
- where resolved at the first stage, the note of the complaint - where resolved at the second stage, the note or letter of complaint and the report. |
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Who may it be appropriate to inform and consult before proposals for resolution are made for a complaint raising an allegation of negligence? |
The Bar Mutual Indemnity Fund |
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Who can deal with non-client complaints? |
NOT the Legal Ombudsman Some (eg discourtesy) may be capable of resolution by chambers BSB should deal with non-client complaints if chambers feels they cannot satisfactorily be resolved through their complaints process (so they should be referred to BSB) |
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For whom in particular should chambers' complaints handling processes be convenient and easy to use? |
Those who are vulnerable or have disabilities |
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Provision should be made for complaints to be made by what means? |
Any reasonable means |
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In what way should complaints be dealt with (characteristics of the process)?when |
A way which is transparent and clear in relation to process, well publicised and free. The process should be prompt and fair with decisions based on a sufficient investigation of the circumstances. Where appropriate, a suitable remedy should be offered. |
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When can a complaint be made to the Legal Ombudsman? |
When chambers' complaints processes have been exhausted. |
