Complaints Procedure

A requirement of the Solicitors Regulation Authority is that we have a procedure for dealing with complaints from clients. This enables us to resolve as many complaints as possible within FSP, stop unnecessary complaints to the Legal Ombudsman and the Solicitors Regulation Authority and preserve the goodwill of the client, even if things have gone wrong.

Some of the complaints about us will be well founded. We all make mistakes, and the partners will expect honesty and realism from any fee earners when they have done so. The fee earners should in turn receive support from the partners.

Such complaints must be dealt with sympathetically and quickly and we should always be responsive to the needs of individual clients particularly those who are vulnerable. Our reputation depends on this, as it is all part of our “Quality of Service.”  We should always make it clear to the client that time spent on investigating complaints will not be charged to the client.

A review of the file should be carried out on any file when a complaint or statement of dissatisfaction is expressed or received.

The person with overall responsibility for the complaints handling procedure is the Complaints Partner.

A documented review of the procedures will be conducted at least annually, and a report made to partners.

WHAT IS A COMPLAINT

If a client simply criticizes you because it has taken you half an hour to return his or her call, clearly that may not amount to a complaint. If a client says that you continually delay in returning their calls or you do not return them at all, that is a complaint.

We call them “formal complaints,” and we treat them all in the same way even if an individual complaint may appear to be based on, for example, an unrealistic expectation of what we can do.

Clients are notified in our Terms of Business and the engagement letter of their rights to complain and the procedure for so doing together with details of who has responsibility for making sure that complaints are resolved. Details of the formal complaint procedure is contained in our leaflet “How to Complain” which should be provided to a client if requested. If clients do complain they must be advised that the matter will be considered by the Complaints Partner.

If a fee earner is in doubt as to whether a client is making a formal complaint or simply criticizing, then the client should be asked by the fee earner whether the client wishes FSP’s formal complaints procedure to be instituted.

WHO CAN COMPLAIN

Most complaints are likely to come from clients. However, others, including beneficiaries, third parties, other professionals and suppliers may also complain.

The Legal Ombudsman will accept complaints from individuals and micro businesses, charities, clubs, societies, associations, and trusts.

HOW THE COMPLAINT WILL BE DEALT WITH

The complaint will be dealt with in accordance with the Complaints Procedure set out in the leaflet “How to Complain,” a copy of which is available on the intranet under ‘FSP firm policies, plans and procedures.”  The leaflet sets out the timescales for dealing with the complaint that would normally be provided to the client. In the event of a particularly complex complaint, it may be necessary to amend the timescale in agreement with the client.

FSP has eight weeks to consider the complaint. If we are unable to resolve the complaint during this period, then the complainant can have the complaint independently looked at by the Legal Ombudsman. This must be done within six months of FSP’s final response to the complaint.

The Complaints Partner will look at the file and ask for full details from the client, having first spoken to the fee earner in order to identify the cause of any problem of which a client has complained. The whole object is to ensure that the client:

• Is satisfied that the complaint has been dealt with seriously.
• Gets a prompt response.
• Gets an assurance that the matter is being reviewed.
• Is notified as soon as possible of the outcome.

The client may not be lost to FSP. Even though a fee earner may not agree that the complaint has any validity, the response from FSP may be to agree with some elements of the complaint and to assure the client that some effort will be made to remedy the problem.

Fee earners must understand that this is not intended to undermine their position. We shall have to accept a certain amount of criticism in return, we hope, for more satisfied clients.

REMEDIES OPEN TO THE CLIENT

• An apology from FSP and an assurance that it will not happen again.
• A reduction in the bill.
• Abatement of the bill in total.
• Notification to the client of their right to complain to the Legal Ombudsman either about a matter of professional conduct, or FSPs inadequate professional services.
• Notification to the client of their right to raise any concerns about FSP’s behaviour to the Solicitors Regulation Authority.
• Notification to the client of their right to see another solicitor and obtain advice as to whether we have been negligent.

WHAT HAPPENS AFTER A COMPLAINT

Hopefully, the client will be satisfied, and the fee earner will continue with the file. In some circumstances, if the solicitor/client relationship has broken down completely, it may be better for another fee earner to take the file over. If a fee earner is to continue with the file, every effort must be made to repair any damage in the relationship with the client. The

Complaints Partner will consider whether any changes should be made to FSP’s procedures as a result of their investigation into the complaint.

CENTRAL REGISTER OF COMPLAINTS

All complaints must be notified to the Complaints Partner who keeps the Central Register of Complaints received by FSP. The notification should outline the complaint and attach the original of any letter of complaint if one exists.

The notification should include copies of all substantive correspondence and documents relating to the complaint and details of how the matter was dealt with having spoken to the fee earner in order to identify the cause of any problem of which a client has complained. Complaints will be analysed and reviewed by the Complaints Partner at least annually.

CORRECTIVE ACTION

Fee earners and others about whom a substantiated complaint is made can expect some form of corrective action be taken. This may take the form of a short informal word from that person’s Team Leader, or a formal note on the personnel file where the matter can be expected to be raised in the context of the review.

Team Leaders shall at least consider whether changes in procedure are necessary, or whether the training needs of the employee should be looked at. In extreme cases, it may result in a formal warning or even dismissal.

THE LEGAL OMBUDSMAN

The Legal Ombudsman can consider complaints about services provided by a regulated solicitor to:

• the complainant
• another authorised person who procured them on behalf of the complainant
• a personal representative or trustee, where the complainant is a beneficiary of the estate or trust
• a complainant who was offered, or refused, legal services.

The Legal Ombudsman will normally consider a complaint if it meets ALL three of the steps below:

 the problem or when the complainant found out about it, happened after 5 October 2010;  and

(b) the complaint is referred to the Legal Ombudsman within either of the following:

• One year from the date of the act or omission being complained about

or

• One year from the date when the complainant should have realised that there was cause for complaint;

       and

• The complaint is made to the Legal Ombudsman within six months of a final written response having been made by FSP. 

Their contact details are:

Website: www.legalombudsman.org.uk        

Call: 0300 555 0333 between 10am to 4 pm

Email: [email protected]

Legal Ombudsman, PO Box 6167, Slough ,SL1 0EH.

Date Reviewed:13.02.2026

Reviewed by: Rashmi Mohan