Complaints Procedure

 1.     Our aim is to provide you with an excellent service at all times. However, if you are dissatisfied with any aspect of the service you receive, please let us know as soon as possible. [Firm Name] is committed to ensuring all complaints are handled fairly, respectfully, and without discrimination of any kind.

Introduction

 2.     The Solicitors Regulation Authority (SRA) expects firms to handle complaints internally before they get involved. Many issues can be resolved quickly and informally through clear communication between solicitor and client.

 Time limit

 3.     It is important that you raise your complaint promptly after the event. This allows us to investigate efficiently and fairly. You must complete our Complaint Form, which we will provide upon request. If you need assistance completing it, please inform us. If your complaint is more than 6 months old, we may not be able to investigate it unless exceptional circumstances apply, including:

a.      the seriousness of the complaint, and

b.      any exceptional reasons justifying investigation despite the delay.

 Types of complaint we can investigate

 4.     Professional misconduct involves a solicitor breaching the SRA’s Code of Conduct. This Code outlines the ethical and professional standards required of solicitors in England and Wales. It is published by the Solicitors Regulation Authority at www.sra.org.uk.

 5.     A breach of the Code of Conduct is a regulatory matter. If there are sufficient grounds, the SRA may open an investigation and take disciplinary action if appropriate.

 6.     Inadequate professional service means that the service provided by a solicitor has fallen below acceptable standards. We will always investigate complaints regarding service quality provided by our firm.

 7.     Some complaints may involve both misconduct and poor service. You do not need to categorise your complaint—we will assess and decide how best to handle it.

 Types of complaint we cannot investigate

 8.     There are types of complaints we cannot investigate directly, or where our authority is limited.

 9.     For example, matters requiring judicial determination (such as negligence claims) may need to be decided by a court. These often involve complex evidence or expert testimony, which we are not equipped to evaluate internally.

 Making your complaint

 10.  Please follow these steps when making a complaint:

 a.      Complaints should first be made to the person identified in our terms of engagement or otherwise to the firm's Managing Partner;

 b.      Your complaint must be submitted in writing using our Complaint Form.

 11.  We require the Complaints Form to formally begin our investigation. Please send the completed form, along with a covering letter, to [Firm Name], [UK Office Address], and mark your envelope “Complaint”.

 12.  We will acknowledge your complaint within two working days.

 13.  Use the form to clearly explain the nature of your complaint. Please return it within 7 days of receipt.

 14.  By submitting a written complaint, you consent to our investigation in line with this procedure.

 Investigation procedure

 15.  Once received, a designated Investigator (not the subject of the complaint) will be appointed and will contact you within 5 working days.

 16.  The Investigator will complete the process within 30 working days. If a delay occurs, you will be informed and given a new timeframe—no longer than 40 working days in total.

 17.  The Investigator’s report will outline:

 a.      The scope of the investigation;

 b.      Findings and conclusions for each part of the complaint; and

 c.       If the complaint is upheld, proposals for resolution.

 18.  During the investigation, your complaint may be disclosed to:

 a.      The individual(s) named in your complaint;

 b.      Relevant witnesses or internal staff for fact-finding;

 c.       Our insurers; and

 d.      The SRA, if required.

 Disclosure to external parties will only occur if necessary for a fair investigation or if legally required.

 19.  The Investigator will not take oral evidence. All communication will be written and documented.

 20.  The final report will be shared with you, the Managing Partner, and the individual complained about.

 21.  All parties involved in the complaint process will be expected to keep details strictly confidential.

 Complaints to the Legal Ombudsman

 22.  If you remain dissatisfied with our response, you may refer your complaint to the Legal Ombudsman, which handles complaints about solicitors in England and Wales. Note that you must allow us to respond to your complaint before the Ombudsman will investigate.

 23.  If your complaint is serious, the Ombudsman may refer it to the Solicitors Regulation Authority (SRA) or another appropriate regulatory body.

 24.  You can contact the Legal Ombudsman at:

Legal Ombudsman

PO Box 6167

Slough

SL1 0EH

Tel: 0300 555 0333

Website: https://www.legalombudsman.org.uk