Managing your workload & avoiding complaints Scottish Legal Complaints Commission David...
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Transcript of Managing your workload & avoiding complaints Scottish Legal Complaints Commission David...
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
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
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 [email protected]
www.scottishlegalcomplaints.org.uk