Complaints Handling Procedure

1. Responsibility for complaints

Stage 1 – Initial complaint handling

1. For family matters, Phoebe Chau is responsible for dealing with complaints at the first stage and can be contacted at phoebe@aronastjames.co.uk.
2. We will acknowledge your complaint in writing within 7 days of receipt.
3. We will then investigate your complaint and provide you with a written response within 6 weeks of receiving it.
4. Our written response will explain our findings and any proposed remedies.

Stage 2 – Review of the decision

1. If you remain dissatisfied with our Stage 1 decision:
2. You must tell us in writing, within 10 working days of the date of our Stage 1 written response, that you wish to challenge the decision and explain why you remain dissatisfied.
3. Your request for a review should be emailed to Noel Carroll at noel@aronastjames.co.uk.
4. Noel Carroll, who has not been involved in the matter at Stage 1, will review the file and your further concerns and provide a final written decision within 14 days (2 weeks) of receiving your request. If you do not contact us within 10 working days of our Stage 1 response, we will treat that decision as accepted and your complaint will be closed.

2. General policy

As required by the SRA, the Practice has a procedure for dealing with complaints from clients. We try to resolve these in-house initially, to avoid complaints escalating to the Legal Ombudsman, thereby preserving the goodwill of the client, even if things have gone wrong.

3. Approach to complaints

We acknowledge that some of the complaints about us will be well founded. We all make mistakes and a fee earner should be honest and candid when a mistake has been made. Complaints must be dealt with sympathetically and promptly; the Practice’s reputation depends on this.

4. What constitutes a complaint

4.1. A complaint is any expression of client dissatisfaction. Complaints may vary in degree and seriousness, and the action taken by the Practice will depend upon the nature of the complaint.

4.2. We refer to complaints as ‘formal’ complaints once they are not immediately resolved, and all such complaints are treated in the same way, even if an individual complaint may appear to be based on an unrealistic expectation of what we can do.

4.3. Clients are notified in our client care letters that they have a right to complain. If they do complain, they must be given a copy of this complaint’s procedure.

4.4. Phoebe Chau will initially look objectively at the file and ask for full details from the client either in writing or by interview.

4.5. Once a complaint has been made, the person complaining will be told in writing how the complaint will be handled and the timescale for response. The Practice will aim to provide a substantive written response within 8 weeks of the complaint being made.

The whole object is to ensure that the client:

• 4.5.1. Is satisfied that the complaint has been dealt with seriously;
• 4.5.2. Gets a prompt response;
• 4.5.3. Has assurance that the matter is being reviewed;
• 4.5.4. Is notified as soon as possible of the outcome.

5. Retaining the client relationship

If the Firm is unable to resolve the complaint to the client’s satisfaction within eight weeks of receipt, or if the Firm issues a final written response earlier, the client will be informed in writing that they have the right to refer the complaint to the Legal Ombudsman.

Any final written response will clearly state that the Legal Ombudsman is available if the client remains dissatisfied and will include the Legal Ombudsman’s full contact details together with a warning that the complaint must be referred to the Legal Ombudsman within six months of the date of the final written response.

6. Legal Ombudsman signposting

If the Practice is unable to resolve the complaint to the client’s satisfaction within 8 weeks, or if the Practice issues a final written response earlier, the client’s right to refer the matter to the Legal Ombudsman must be clearly restated in writing.

7. Remedies open to the client

7.1. As a matter of course and after prior liaison with our professional indemnity insurers where appropriate, we may make an apology on behalf of the Practice and give an assurance that the problem will not occur again and that we will try to do better.

If a complaint is justified we may:

• 7.1.1. Make a reduction in the bill;
• 7.1.2. Make an abatement of the bill in total;
• 7.1.3. Notify the client again of their right to complain to the Legal Ombudsman and provide the Legal Ombudsman’s full contact details:
  1. Telephone – 0300 555 0333
  2. Postal address – PO Box 15870, Tamworth, B77 9LE
  3. Email – enquiries@legalombudsman.org.uk
  4. Website – www.legalombudsman.org.uk
• 7.1.4. Notify the client of their right to see another solicitor and obtain advice as to whether we have been negligent.

8. What happens after a complaint?

8.1. Hopefully the client will be satisfied and the Practice will continue working on the case. In some circumstances, if the solicitor/client relationship has broken down completely, it may be better for another Practice to take the file over. It is the responsibility of Arona Sarwar to make this decision.

9. Six-month periods for dealing with complaints

9.1. The Firm will aim to resolve complaints within eight weeks of receipt. It is the responsibility of Phoebe Chau and Noel Carroll to diarise this period.

9.2. Where a final written response is issued and that response prominently includes confirmation that the Legal Ombudsman is available if the complainant remains dissatisfied, together with the Legal Ombudsman’s full contact details and a warning that the complaint must be referred within six months, the complainant must refer the complaint to the Legal Ombudsman within six months of the date of that response.

10. When complaints can be referred to the Legal Ombudsman

10.1. After complaining to the authorised person.

10.2. Ordinarily, a complainant cannot use the Legal Ombudsman unless the complainant has first used the authorised person's complaints procedure (referred to in chapter three).

10.3. But a complainant can use the Legal Ombudsman if:

10.3.1. the complaint has not been resolved to the complainant's satisfaction within eight weeks of being made to the authorised person; or

10.3.2. an ombudsman considers that there are exceptional reasons to consider the complaint sooner, or without it having been made first to the authorised person; or

10.3.3. where an ombudsman considers that in-house resolution is not possible due to irretrievable breakdown in the relationship between an authorised person and the person making the complaint.

10.4. For example, an ombudsman may decide that the Legal Ombudsman should consider the complaint where the authorised person has refused to consider it, or where delay would harm the complainant.

10.5. Ordinarily, a complainant must refer a complaint to the Legal Ombudsman within six months of the date of the authorised person's written response, if that written response prominently included:

10.5.1. an explanation that the Legal Ombudsman was available if the complainant remained dissatisfied; and

10.5.2. full contact details for the Legal Ombudsman and a warning that the complaint must be referred to the Legal Ombudsman within six months.

11. Time limit from act/omission

11.1. In addition to the six-month time limit set out above, a complainant must ordinarily refer a complaint to the Legal Ombudsman no later than:

11.1.1. one year from the date of the act or omission being complained about; or

11.1.2. one year from the date on which the complainant should reasonably have known that there was cause for complaint.

11.2. The Legal Ombudsman may exercise discretion to accept a complaint outside these time limits where it considers it fair and reasonable to do so.

14. Central register of complaints

14.1. All complaints must be notified to Arona Sarwar who keeps the central register of complaints received by the Practice.

14.2. Where complaints are substantiated, corrective action may be taken to ensure, as far as possible, that the circumstances do not occur again.

15. Reviews

15.1. Arona Sarwar conducts an annual review in March of complaints data and trends, which forms part of the review of risk.

16. Summary

16.1. If you remain dissatisfied with our response, you may refer your complaint to the Legal Ombudsman. The Legal Ombudsman is an independent body that resolves complaints about legal services.

You must refer your complaint to the Legal Ombudsman within six months of the date of this letter.

Legal Ombudsman
Telephone: 0300 555 0333
Address: PO Box 15870, Tamworth, B77 9LE
Email: enquiries@legalombudsman.org.uk
Website: www.legalombudsman.org.uk