Managing your workload & avoiding complaints

Scottish Legal Complaints Commission

David Buchanan-CookHead of Oversight

overview

Background – the SLCCScene settingOur remitHow we deal with complaintsAwarding compensation and settlementComplaint numbers

Complaints & workload managementComplaint business areas: conduct v serviceExamples of complaintsTips for complaint avoidance or mitigationGood complaint management

scene setting

Legal Profession & Legal Aid (Scotland) Act 2007 Abolition of the Scottish Legal Services Ombudsman Opened 1st October 2008 Based in Edinburgh – Waterloo Place “Hybrid” organisation – public and private attributes Funded by levy on legal profession Over-arching objectives:

Impartial Accessible Independent

our remit

“Gateway for all legal complaints in Scotland” We investigate and determine:

• Service complaints • SLSO legacy complaints

Oversight• Handling complaints – LSS, FoA and ACA• Monitoring & trend reporting on conduct complaints• Audit of RPO records relating to conduct complaints• Monitoring & trend reporting on service complaints• Monitoring effectiveness of the Guarantee Fund & indemnity

insurance arrangements (Master Policy)• Issuing guidance/best practice notes to the profession on

complaint handling• Insight and outreach – profession and consumers

SLCC commissioners

Board of Commissioners

9 Commissioners (or Members): 5 lay 4 legal

Chair is a lay Member Decision making requires a majority of lay Members Determination Committees are always chaired by a legal

Member

complaint process

Enquiry

Eligibility

Mediation

Investigation

Determination

Is it a legal complaint?

Is the complaint eligible for investigation and, if so:• Is it conduct or service or both?• Who should investigate ?

Can it be resolved by mediation?

Can it be resolved at this stage?• Conciliated during the process• Proposed settlement report accepted

Formal decision on whether or not to uphold

awarding compensation & settlementRelevant for two stages :

• Investigation stage – proposed settlement

• Determination stage – final award

“Compensation”• Compensation up to £20,000

• Reduction/abatement/refund of fees – private or Legal Aid

• Restitution/rectification

• Training

• Any other action in complainer’s interest

• Against firm or practitioner or both

We take a balanced view, taking into account:• Quantifiable and non-quantifiable loss

• Inconvenience and/or distress to the complainer

• Any award of damages by the court

• Any other compensation awarded by tribunal or professional body (e.g. LSS or FoA)

complaint numbers – 2011-2012

Enquiries   2010-11

Enquiries in hand at the start of the year 4 25

Enquiries received 4627 2598

Enquires dealt with 4627 2619

Enquiries in hand at the end of the year 4 4

Complaints   2010-11

Complaints in hand at the start of the year 566 274

Complaints received 1264 1090

Complaints ineligible for investigation 486 503

Eligible conduct complaints referred to professional body for investigation 144 85

Eligible service complaints dealt with and closed by SLCC 289 210

Complaints in hand at the end of the year (including 290 awaiting the eligibility decision) 783 566

service complaint business areas

conduct v service

Complaints 2011/12 2010/11 2009/10 2008/09

Conduct 23% 29% 45% 84%

Inadequate professional service 77% 71% 55% 16%

Split between conduct and service complaints accepted as eligible for investigation

0102030405060708090

2008/09 2009/10 2010/11 2011/12

Conduct

IPS

complaint categories

types of complaint

communication

• I was told that I would get weekly updates from the firm regarding the sale of my property but these never took place

• I repeatedly asked for copies of documents which I had signed but received no response

• The solicitor failed to answer letters from my own solicitor (third party)

• I expected the solicitor to be acting for me but all the letters I received were from a paralegal

delay

• There were unnecessary and lengthy delays in carrying out the conveyancing which almost led to my losing the property

• The firm delayed in finalising the Minute of Agreement

types of complainttechnical issues

• The solicitor concluded missives for my house purchase when they had not secured the sale of my own house

• They failed to pursue the seller for provision of completion certificates in relation to a recent house extension

• The solicitor identified the wrong date when my court action would become time barred and I have lost my claim

other recurring issues

• They provided me with no indication of likely costs and the final bill for their fees came as a complete shock

• The firm provided a written estimate but did not tell me when the fees exceeded that

• The firm failed to give me a terms of business letter

complaint “avoidance”

workload management:Be realistic when taking on new workDiversification is fine – but within limitsEnsure working knowledge is currentBe wary of potentially problematic clientsDon’t be afraid to say noDon’t be afraid to tell a client bad news – don’t put it off

develop:Effective time managementEfficient eye for detail/ quality control

complaint “avoidance”

day-to-day case management:Provide terms of engagement letter up frontManage expectations throughoutKeep accurate file notesRecord advice given to, and instructions received from, clientsUse clear language – avoid legal jargonAvoid unnecessary delaysWhere delays are unavoidable, explainEnsure effective supervisionFamiliarise yourself with your firm’s complaint handling processDon’t ignore third-party complaints

when things do go wrong….

when you get a complaint: Don’t avoid the problem – discuss with CRM Engage with client(s) to understand issue and impact Explore resolution opportunities/options (at every stage) Keep accurate records Respond fully (or as fully as you can - 3rd parties) Use clear, comprehensible language and neutral tone Give reasons and explanations Acknowledge if something went wrong Signpost the client to the SLCC Seek the advice of LSS or SLCC at any point

unrealistic expectations?

“What would you like to happen to resolve the problem?”

All the solicitors in the firm to be struck off The firm to be barred from carrying out further business I would like a new job My complaint taken to the highest level and then, if that doesn’t

work, taken higher World peace

My solicitor to acknowledge and apologise ……

contact details

David Buchanan-Cook Head of Oversight Scottish Legal Complaints Commission The Stamp Office 10-14 Waterloo Place Edinburgh EH1 3EG

Tel: 0131 528 5111 David.Buchanan-cook@scottishlegalcomplaints.org.uk

www.scottishlegalcomplaints.org.uk