Keystone probably sees fewer client complaints per lawyer than most law firms. Naturally you should provide a good service and be attentive to client needs to avoid complaints. Dealing with complaints can be time consuming, costly financially and also reputationally. Nevertheless, it does happen and there is a great deal of regulation surrounding the issue. Amongst other things, Keystone is required to:
The Engagement Letter advises clients to raise any initial concerns with the Client Owner or, where appropriate, the Lead Lawyer and then to request a copy of our Complaints Policy if not resolved.
A complaint includes any formal complaint, but can include informal expressions of dissatisfaction. Where you are not sure if the client is complaining or not, you should ask the client and keep a file note. Any consumer of our services can complain. This includes those who contacted us with a view to engaging us, beneficiaries, personal representatives and, sometimes, the other side.
If the client indicates that their dissatisfaction is to be dealt with as a formal complaint, if the client says they have or will report you or the firm to the SRA or if you receive a formal complaint, then you must immediately inform the General Counsel and the Client Owner and provide appropriate background information so the best course of action can be agreed. If you are uncertain as to whether a client's concern constitutes a complaint, you should assume it does and notify the General Counsel accordingly.
The General Counsel must control all correspondence with complainants about the complaint. This may take the form of helping you with your correspondence on the subject or taking over the complaint and dealing directly, with your assistance. You should not write to the complainant about the complaint without the express written consent of the General Counsel. You will find this takes a great weight off you at what can be a difficult time.
It should also be borne in mind that a complaint to a lawyer is sometimes a precursor for a complaint to the SRA and/or a claim in negligence. Given the right background information and an early heads-up, the General Counsel can often help resolve a complaint amicably without the matter escalating. If a complaint does escalate, you will need to produce a written report on the matter, which is a time-consuming process. There is therefore a strong incentive to resolve the matter informally and quickly.
We maintain records of all complaints received and the action taken on them. These are reviewed annually in January of each year to enable the firm to address any trends or wider issues.
We retain the right to deal with complaints in the appropriate manner and to resolve these with clients where possible. To do so, albeit it as a last resort, we may need to agree a binding reduction in our fees, a reallocation of fees and/or payment holidays on our fees. If so, the Director of Operations and Compliance will discuss this with you.
In the unlikely event of the court or the Legal Ombudsman reducing our Invoice(s), then the relevant Fee Note(s) will be correspondingly reduced which may be settled by offsetting against future Fee Note(s), or by a direct payment, as required by the Director of Operations and Compliance at the time.
If the SRA writes to you about your conduct, then you must disclose a copy of that letter without delay to the Director of Operations and Compliance and keep him appraised, again without delay, of the progress of the SRA's enquiries.
You must not respond to the SRA without clearing the response with the Director of Operations and Compliance. It is usually better for the response to come from the Compliance Team directly and on your behalf. You will no doubt find this saves you time. Where the allegation of SRA misconduct is from a third party (for example, lawyers on the other side) then we appreciate that this may well be tactical and as part of your dealing with the matter. However, you should still send a draft response (and the incoming letter it responds to, unless already provided) to the Director of Operations and Compliance who will respond quickly.