Closed Consultation

Draft policy for handling complaints about the SRA

8 August 2019

This consultation is now closed.

Consultation – Handling complaints about the SRA

Introduction

• 1. The Solicitors Regulation Authority (SRA) is responsible for regulating solicitors in England and Wales. Our purpose is to protect the public by ensuring that solicitors meet high standards and by acting when risks are identified.

• 2. We are committed to providing a high standard of service, dealing with everyone in a way that is fair, transparent, proportionate and free from discrimination. We recognise that we may not always provide the level of service that we would like and welcome the opportunity to consider and respond to any concerns that may arise.

• 3. We take all complaints seriously and will learn from our mistakes to improve our performance.

• 4. Until we introduced this policy, the only external review available for complainants was provided by the Office for the Legal Services Ombudsman (LSO), which was not available to everyone and is due to close in 2010, when the Office for Legal Complaints is up and running.

• 5. We have now introduced an independent element to our complaints handling policy, provided by an independent reviewer—an external appointment to be commissioned by the SRA. This will be available alongside the LSO and any other arrangements that may be set up by the Legal Services Board.

• 6. The independent reviewer is intended to have two distinct roles:

  • to provide independent oversight of the way that we are carrying out our complaints handling function (see Accountability and reporting below), and
  • to provide a final independent response for those complaints that we cannot resolve internally (see Stage 3: Independent review below).

Aims and objectives of the complaints-handling policy

• 7. The policy has three main aims and objectives:

  • to provide a user-friendly way for people to complain about the service we have provided,
  • to provide us with a procedure that helps us to respond quickly and efficiently to complaints that we receive to achieve a satisfactory outcome,
  • to help us monitor our complaints so that we can understand where we may be going wrong and improve the way we work.

Promoting our complaints-handling policy

• 8. The complaints-handling policy will be available on the SRA website, and it will be possible to make a complaint online.

• 9. A complaints-handling leaflet which summarises this policy and explains how to make a complaint will be made available to all complainants.

• 10. We will advise people how to make a complaint if things go wrong at the outset of our dealings with them and tell them where to get a copy of this policy and/or a complaints-handling leaflet.

• 11. We will work with stakeholder groups representing the profession, including specific equality groups, and with consumers to promote awareness of our complaints-handling policy.

• 12. We will work with our partners in the Law Society Group, the Legal Services Board and the new Office for Legal Complaints to promote awareness of our complaints-handling policy.

Principles of good complaint handling

• 13. We have adopted the six principles of good complaint handling identified by the Parliamentary and Health Service Ombudsman which oversees a large number of public bodies in England and Wales.

• 14. The Principles of Good Complaint Handling document is available on the Parliamentary and Health Service Ombudsman's website, or you can contact us to ask for a copy. The six principles are as follows:

  • Getting it right – having a system that is robust, outcome focused, and handled by staff with appropriate skills and experience
  • Being customer focused – having simple and accessible procedures and dealing with people promptly and sensitively
  • Being open and accountable – by publishing information about how to access the complaints procedure and providing honest, evidence-based explanations and reasons for decisions
  • Acting fairly and proportionately – ensuring that complaints are dealt with impartially and without unlawful discrimination or prejudice
  • Putting things right – providing appropriate remedies, acknowledging mistakes and apologising where appropriate
  • Seeking continuous improvement – recording and monitoring our complaints and learning from the outcomes.

What is a complaint?

• 15. A complaint is an expression of dissatisfaction about the way in which we have carried out, or failed to carry out, our work which requires a response.

• 16. There are separate procedures for appealing against regulatory decisions and the outcome of regulatory action—the complaints that we will be considering under this procedure are "service complaints" (i.e. related to the way we have carried out our work).

• 17. We hope that, before they make a complaint, people will first raise any concerns or questions that they have with the person dealing with their case. If there are concerns or questions about the way that we are dealing with a case, staff should make every effort to respond immediately, before these matters develop into a complaint.

• 18. However, where it is clear that a person is dissatisfied and is seeking acknowledgement of this and a response to their complaint, we will respond under this complaints-handling policy.

• 19. A complaint may raise concerns about

  • mistakes or lack of care,
  • unreasonable delay,
  • unprofessional behaviour,
  • discrimination,
  • bias,
  • lack of integrity.

Discrimination complaints

• 20. We will take any complaint that we may receive very seriously, and it is an important part of our drive for transparency that we respond openly and fairly if things go wrong. This is particularly important when we receive complaints about discrimination, and this is one of the commitments we have made in our equality and diversity strategy for 2009–2011.

• 21. It is essential that the public, consumers of legal advice, the profession and other stakeholders have trust and confidence that we will carry out our responsibilities fairly and without discrimination. Through this complaints-handling policy, we will take the opportunity to challenge discrimination, helping us meet our equality duties and deliver our equality and diversity strategy by

  • dealing thoroughly and sensitively with complaints of discrimination,
  • making sure that discrimination complaints are dealt with by staff who have received relevant specialist training,
  • equality monitoring our complaints,
  • reviewing the incidence and outcomes of discrimination complaints and using the findings to improve the way that we work.

When will this complaints-handling policy apply?

• 22. This policy applies to complaints brought by or on behalf of someone who has been directly affected by the action or inaction complained of.

• 23. For complaints raised by complainants via their Member of Parliament (MP), although we will respond separately to the MP to address their concerns directly, we will investigate the constituent's complaint using this procedure.

• 24. This policy applies to complaints about the actions (or inaction) of our staff, and anyone we have authorised to act on our behalf. We have a separate policy for complaints about our board members which can be obtained from the chief executive's office.

• 25. We will consider complaints made to us within six months, and the time limit will start to run from the date when the person became aware of the incident complained of. We will make exceptions for complaints made outside the six-month time limit when there are reasonable grounds for the delay.

• 26. Some complaints are better handled outside this policy—for example, general concerns about something we have said in the press or a criticism of one of our policies. In these cases, we will acknowledge the complaint within five working days of receipt, explaining who will respond and when. We will then refer the matter to the relevant unit for an appropriate response.

• 27. In exceptional cases, we may decide to defer a complaint investigation where it would be more appropriate to address the issues using other internal SRA procedures (for example, the disciplinary or capability procedures). In such cases, a response to the complaint will be provided at the conclusion of the alternative internal procedure used.

• 28. If we do decide to defer the investigation, the complainant will be advised of the reasons for our decision and will be able to ask for a review of the decision by the independent reviewer.

Assurances and expectations

• 29. We provide the following assurances to complainants:

  • We will observe the good complaint-handling principles in the way that we apply our complaints-handling policy.
  • We will seek to respond to all complaints promptly and in accordance with the service standards set out within this policy.
  • All complaints will be handled in confidence.
  • We will treat complainants with courtesy and respect at all times.

• 30. We appreciate that people making a complaint will be feeling dissatisfied with the way they have been treated. We understand the frustration that this may cause, but we do nevertheless expect people to be courteous in dealing with our staff.

• 31. In circumstances where we feel that someone has not been courteous to our staff, we will consider taking action to restrict our dealings with that person in accordance with our restricted communications policy—available on our website or on request. (Our restricted communications policy is currently being reviewed and will be available in late Autumn 2009, when we anticipate being ready to implement this new complaint-handling policy.)

Roles and responsibilities of staff

• 32. All staff have a responsibility to familiarise themselves with this policy and for advising complainants about how to make a complaint.

• 33. All managers will be expected to undertake training in relation to this procedure, as they will be expected to implement the policy if a complaint is received about a member of staff in their team.

• 34. Each directorate is responsible for making sure that its staff are recording and maintaining complaints-handling data and implementing any recommendations and/or learning any lessons arising from our complaints.

• 35. The central complaints team has responsibility for overseeing, administering and supporting the operation of the policy. In particular, the team is responsible for

  • providing advice and guidance to all staff and managers on complaints handling,
  • receiving and coordinating all complaints received online,
  • conducting central complaint investigations and reviews,
  • liaising with the independent reviewer,
  • keeping this policy and the SRA's complaints-handling leaflets and procedures up to date,
  • providing quality assurance for all our complaints-handling work,
  • monitoring complaints data and coordinating the work required for our annual complaints handling report from the independent reviewer.

• 36. All managers, with the support of Human Resources and Development, will be responsible for advising and supporting their staff as appropriate and as required through the complaints-handing process.

Handling complaints made whilst there is ongoing regulatory action

• 37. Where a complaint is made about an ongoing regulatory matter, we will not normally suspend our regulatory work. We have an ongoing responsibility to protect clients and the public, and will take this into account when we consider the position on receipt of the complaint.

• 38. If we do continue with the regulatory action, we will not normally transfer the case to another caseworker unless we feel that a change is necessary to preserve the integrity of the investigation.

• 39. For complaints that are wholly or mainly about the outcome of any regulatory action, we may decide to defer investigation of the complaint (or part of the complaint) under this procedure, for example where it would be more appropriate for the complainant to raise their concerns within the regulatory process, for example by using any available right of appeal.

• 40. However, we recognise that it is not always easy to separate a complaint about the outcome of regulatory action from a complaint about the way that we have handled the casework, and we will give very careful consideration to any decision that we might make to defer investigation of the complaint in these circumstances.

• 41. If we do decide to defer the investigation, the complainant will be advised of the reasons for our decision and will be able to ask for a review of the decision by the independent reviewer.

Making a complaint

• 42. Complainants will be advised to make their complaints either to the person they have been dealing with, that person's manager or to the following central address: [ Full contact details for the central complaints team will appear here—telephone, email and postal address.]

• 43. Complaints may be made in any format: in writing, by email, online, or by telephone. We will also respond to complaints that are made in person during the course of our investigation or other work.

• 44. Complainants may be referred to the SRA website for a complaints form which is also set out in Annex 2 of this policy. The complaints form can be completed online or can be downloaded and sent in by other means. Completion of the complaints form is not compulsory; it is intended to help complainants understand what information we need to help us respond fully to the complaint and without delay.

• 45. Staff who have received a complaint should be careful not to treat completion of the form as the first step of the complaints procedure. If the complaint has already been made orally or in writing and it is clear what the complaint is about and the complainant's preferred outcome, it will not be necessary to ask the complainant to complete the complaints form. Simply asking a person to repeat their complaint in a different format is likely to add to their frustration and could be seen as discouraging the complaint.

• 46. Although it is preferable for complaints to be received in a written format (for certainty and to assist with our record keeping), complainants should not be required to do so.

• 47. In all cases where the complaint is made orally, staff should confirm the nature of the complaint with the complainant and where possible, identify their preferred outcome. As soon as possible after the conversation staff should make a clear and careful record of the complaint and this should be agreed with the complainant before the complaint is investigated.

• 48. We may be able to offer some assistance to complainants in making their complaint, in particular to disabled complainants who have asked for reasonable adjustments and to complainants who need to communicate with us in an alternative language. For details about how to respond to such requests, staff should refer to our reasonable adjustments and alternative language protocol—available on our website or on request. (Our reasonable adjustments and alternative language protocol is currently being reviewed and will be available in late Autumn 2009, when we anticipate being ready to implement this new complaint-handling policy.)

Seeking a resolution

• 49. In dealing with complaints, our priority is to achieve a satisfactory outcome for the complainant and at every stage of the procedure we will consider whether there is a practical and simple way to resolve the problem by agreement with the complainant.

• 50. In some cases, it may be appropriate to try to resolve the problem through mediation, and, where we think this may help, it will be arranged or facilitated by the central complaints team.

• 51. In all cases where a complaint is resolved before the complaints procedure has been completed, the terms of the resolution will be confirmed in writing to the complainant and the complaint will be regarded as withdrawn on the terms agreed.

Our response to complaints received

• 52. On receipt of a complaint, we will decide whether to refer the complaint for a stage 1 response from the unit where the complaint arose or a stage 2 response from the central complaints team. We aim to resolve most complaints on our first attempt, whether or not that is from the unit where the complaint arose or the central complaints team.

• 53. If at any time we feel that a complaint referred for a stage 1 response becomes more suitable for a stage 2 response (or vice versa), the complaint will be transferred accordingly, the complainant will be advised of our decision and the reasons will be explained.

• 54. We will acknowledge the complaint and advise the complainant how the complaint will be dealt with and by whom. The person assigned to investigate the complaint will be responsible for asking the complainant to clarify the complaint or provide more information where this is necessary.

• 55. The majority of complaints will be referred to the unit where the complaint arose for a stage 1 response, but there may be a few cases where it would be more appropriate for our central complaints team to provide a stage 2 response. These include complaints:

  • if the complaint is about the work of more than one unit in the SRA, it would be preferable for a single response to be prepared by the central complaints team,
  • where the case is complex and/or it is likely to take more than 10 working days for the unit to prepare a stage 1 response,
  • where there is likely to be a significant impact on the SRA and/or on the complainant, for example cases where the outcome could affect the SRA 's work more widely than within the unit where the complaint arose or where the SRA is involved in related legal proceedings,
  • where a stage 1 response from the unit would be inappropriate because there has been a serious breakdown of trust and confidence between the complainant and the unit.

• 56. Our investigation (whether conducted by the unit where the complaint arose or the central complaints team) will be paper based and will normally involve an officer reviewing the relevant case papers, consulting the SRA's procedures and policies, and talking to the staff involved in the incident complained of. We will keep the complainant advised of progress and contact the complainant to confirm or clarify aspects of the complaint as required.

• 57. There will be some exceptional cases where we will offer complainants an opportunity to meet with us in person—for example, where this is agreed with our disabled complainants as a reasonable adjustment. Otherwise, our contact with the complainant will be in writing or by telephone as appropriate and taking into account any reasonable adjustments that have been agreed.

• 58. A complaint may be upheld, not upheld or partially upheld, and the complainant will be given written confirmation, with reasons, of all decisions made under this policy.

• 59. The next sections explain the three-stage process that complaints may follow and a flow chart is available at Annex 1 to this policy to help explain the process.

Stage 1: Response from the unit where the complaint arose

• 60. The stage 1 response will come from the unit where the complaint arose as they will be familiar with the case and the relevant SRA procedures and will be best placed to understand the issues and respond promptly.

• 61. All complaints are taken seriously and a response from the unit where the complaint arose does not mean we regard it as less serious or less important.

• 62. Our approach in dealing with complaints at stage 1 will be flexible, depending on the nature of the complaint. Some complaints may be best dealt with by a phone call from the person who has been dealing with the case or their line manager. Others complaints will involve a detailed review of the file before a response can be provided.

• 63. In all cases, we will write to the complainant to confirm the outcome of the complaint, advising them that they have the opportunity for their complaint to be reviewed by the central complaints team (at Stage 2) if they are not satisfied with the outcome.

• 64. In exceptional cases, it may be appropriate to refer the complaint directly to the independent reviewer (at Stage 3)—for example, where there has been a full investigation by the unit where the complaint arose and the central complaints team feels that there is little further to be gained by a stage 2 review.

Stage 2: Response from the SRA's central complaints team

• 65. The SRA's central complaints team will review complaints that we have not been able to resolve at Stage 1, and will investigate the complaints which we have decided are not suitable for a stage 1 response.

• 66. In all cases, we will write to the complainant to confirm the outcome, advising them that they have the opportunity for their complaint to be considered by the independent reviewer (at Stage 3) if they are not satisfied with the outcome.

Stage 3: Independent review

• 67. We expect that only a small minority of complaints will be referred for a full review by the independent reviewer—these are the complaints that we have not been able to resolve internally and which the independent reviewer decides are appropriate for review.

• 68. We will ask complainants to tell us which part of the complaint outcome they are dissatisfied with, and why and what they are seeking to achieve from the independent review. The independent reviewer will then decide which cases are suitable for a full review.

• 69. The independent reviewer may decide not to review a complaint in the following circumstances (the criteria will be agreed with the independent reviewer on appointment):

  • Where the grounds of review indicate that the issue for review is of limited significance considering all the circumstances of the case. For example, if the SRA does not accept there has been poor service because a letter to the complainant was sent a few days later than expected and this has not caused any particular loss or inconvenience to the complainant, it would not be a reasonable or proportionate use of resources for there to be a review.
  • Where the case has already been considered by another independent competent authority (such as the Legal Services Ombudsman) it may not be appropriate for the independent reviewer to consider the case again.
  • Where the SRA has upheld a complaint and provided what the independent reviewer considers to be an appropriate remedy and there will be nothing gained by conducting a review.

• 70. For those cases that the independent reviewer decides are appropriate for a full review, he or she will conduct a review of the papers to consider whether

  • the investigation was thorough and fair,
  • all the relevant facts were taken into account,
  • the conclusions reached were reasonable and properly explained,
  • the investigation was handled efficiently, without unnecessary delay,
  • the outcome was appropriate.

• 71. The outcome of the review will be confirmed to the complainant in writing by the independent reviewer. The independent reviewer's decision will be final, and this will represent the end of this complaints-handling process.

Remedies

• 72. A complaint that has been upheld or partially upheld at Stage 1 or Stage 2 may attract one or more of the following remedies:

  • a full acknowledgement and explanation of any poor service
  • an apology,
  • appropriate action to rectify the situation for the complainant, such as an extension of time to respond to a deadline,
  • appropriate recommendations for action to improve the SRA's practices or procedures,
  • an ex gratia payment made in line with our special payments policy. (This policy is currently being reviewed and will be available in late Autumn 2009, when we anticipate being ready to implement this new complaint-handling policy. It is likely only to be in exceptional cases that an ex gratia payment will be made for a complaint that has been upheld, and the criteria will be based on proven loss and/or distress.)

• 73. Where a complaint has been upheld or partially upheld by the independent reviewer at Stage 3, he or she will provide a full acknowledgment and explanation for any poor service and may recommend that the SRA provide one or more of the following remedies:

  • an apology,
  • appropriate action to rectify the situation for the complainant, such as an extension of time to respond to a deadline,
  • appropriate action to improve the SRA's practices or procedures,
  • an ex gratia payment made in line with our special payments policy.

• 74. In all cases, ex gratia payments will only be made where a "serious failing" has been identified as defined in our special payments policy.

Our service standards for complaints handling

• 75. We will acknowledge all complaints within five working days of receipt and, at the same time, will advise complainants whether we will be providing a response from the unit where the complaint arose or from the central complaints team.

• 76. If a complaint is referred for a stage 1 response from the unit where the complaint arose, we aim to provide a full response within 10 working days (two weeks) of receiving the complaint.

• 77. If a complaint is referred for a stage 2 response from the central complaints team, we aim to provide a full response within 20 working days (four weeks) of receiving the complaint.

• 78. If a complaint is referred for independent review at stage 3, we will expect the response to be provided within 20 working days of the independent reviewer receiving the papers. (This will need to be agreed with the independent reviewer on appointment.)

• 79. If we are not able to respond within these timescales, we will advise the complainant why and let him or her know when we will be in a position to respond fully.

Accountability and reporting

• 80. We will monitor and review our complaints handling against the good complaint-handling principles referred to above and report against these on an annual basis to the SRA Board or as required.

• 81. We will learn from our complaints and ensure that we make appropriate changes to our policy and/or practices as a result of the lessons learnt.

• 82. To support our own internal reporting on complaints handling and quality control, we will seek an annual review of our complaints-handling work from the independent reviewer. This will give us independent feedback to help us improve the way that we handle complaints.

Annex 1: Flow diagram of the three-stage complaints process

Annex 2: Complaints form – Making a complaint about the SRA

Please set out your full name.

Please provide your contact details.

• Address
• Telephone number(s)
• Email address

If you have a disability, do you require any assistance or adjustments in making this complaint?

Please confirm the name of the person and/or the department you have been dealing with at the SRA (and your case reference number if you have one).

Please set out your complaint in detail, explaining what aspect of our service you are not happy with and why.

To help us resolve matters to your satisfaction, please set out what you are hoping to achieve as a result of this complaint.

Downloadable document(s)

• Draft policy for handling complaints about the SRA (PDF 16 pages, 149K)