Chambers' complaints handling procedures

Download as a word document: Guidance on chambers complaints handling

1. This guidance is provided to Chambers and sole practitioners to assist them to develop a complaints procedure which is compliant with the mandatory requirements set out at Annexe S of the Code of Conduct. Chambers/sole practitioners are not obliged to follow the guidance absolutely. If they decide not to adopt the model procedures provided at Annex 1 and Annex 2 below, they should have regard to this guidance when devising their own complaints handling arrangements.

2. All barristers must be familiar with the provisions of paragraph 403 (2)(d)(i) – (iii) and with the requirements of Annexe S of the Code of Conduct.

3. Those barristers who are responsible for dealing with complaints should ensure that they and any staff who deal with complaints are adequately trained. The Bar Standards Board will audit and monitor Chambers complaints handling, including the sufficiency of training.

4. Annexe S of the Code sets out the contents of an effective procedure. Model complaints procedures are at Annex 1 (multi member sets of Chambers) and Annex 2 (sole practitioners). Chambers will need to insert names/positions etc into the sections in square brackets. Chambers and sole practitioners must ensure that their website and brochure carries information about their Complaints Procedure. The Chambers Complaints Procedure must be provided upon request.

5. Chambers/sole practitioners are not obliged to adopt the model complaints procedures provided below. The model procedures set out good practice arrangements for handling complaints but the BSB is aware that there are alternative methods that may be just as effective. Chambers/sole practitioners have discretion to either devise their own procedure or to amend the model procedure to best fit their own administrative arrangements or the particular circumstances of a complaint. The only requirement is that the complaints procedure includes the mandatory requirements laid down in the complaints protocol set out at Annexe S of the Code of Conduct.

6. Possible alternatives to the arrangements in the model procedure have been provided where appropriate. These alternatives are not exhaustive but are used to highlight that other procedures may be more suitable for Chambers depending on their size, practice type or administrative set up.

7. When a barrister receives instructions from a new lay and/or professional client they must be informed in writing as soon as reasonably practicable:

a) that there is available upon request a Chambers Complaints Procedure
b) that the lay client may complain directly to chambers without going through solicitors.

Where the lay client is a new client but the professional client (or intermediary) is an existing client of the barrister, the barrister must ensure that the lay client is informed in writing of the information set out at 1a) and 1b) above.

The notification of the information at 1a) and 1b) does not require a separate specific letter. It is sufficient for it to be contained in the ordinary terms of reference letter (or equivalent letter) that is sent by Chambers/sole practitioner upon acceptance of instructions.

In respect of these obligations to the lay client, it will be sufficient for the barrister (or his clerk) when acknowledging instructions in a new matter to ask the solicitor (or intermediary) in writing to pass the information about Chambers’ Complaints Procedures on to the client. In cases of public or licensed access using an intermediary, the intermediary must similarly be informed.

Timeframe

8. The Bar Standards Board’s complaints procedure has a six month time limit in which a complaint must be raised from the date of the act or omission complained of. Chambers/sole practitioners should adopt a similar timeframe for complaints raised directly with them.

First stage

9. Where a client is dissatisfied with some aspect of the service provided by a barrister or by chambers he should be invited to telephone an individual nominated under the Chambers Complaints Procedure to deal with complaints. For example, the Chambers Director, Practice Manager or Head of Chambers. In order to ensure a consistency of approach, this individual should be the first point of contact for all complaints. The client should also be told that if he prefers he may make the complaint in writing and the Chambers Complaint Procedure should be sent to him unless it has already been provided. The client should also be told of the option of raising the complaint directly with the Bar Standards Board and the time limits which apply.

10. Where a complaint is made by telephone, a note of the complaint should be made. It should record:

The name and address of the complainant;
The date of the complaint;
Against whom the complaint is made;
The detail of the complaint; and
What the complainant believes should be done about the complaint.

11. In many cases the complaint will be resolved over the telephone during the first call. When that occurs the individual nominated to deal with complaints should record the outcome on the note of complaint. The client should be asked whether he is content with the outcome. If he is, that fact will be recorded. The complaints procedure should suggest that the client may wish to make his own note. If the client is not content he should be invited to put the complaint in writing within 14 days so that it may be investigated formally. At that stage he should be sent a copy of the Chambers’ Complaints Procedure unless it has already been provided: The client should also be informed of the Bar Standards Board’s complaints procedure.

Second stage

12 It is recommended that Chambers set up a complaints panel made up of experienced practitioners from different practice areas and a senior member of staff. A head of panel should be appointed. There should be a nominated deputy. All complaints (other than those resolved at stage one) should be put before the head of the panel or, in his absence, the deputy. The role of the panel is to appoint from its members an independent person to investigate a complaint and to ensure that all complaints are handled consistently and in accordance with the Chambers complaints procedure.

13 It may not be appropriate or possible for a small set of Chambers to convene a complaints panel. Chambers are encouraged to set up a complaints panel where possible or otherwise nominate an individual or individuals to investigate the complaint.

14. Sole practitioners may not feel able to investigate independently a complaint raised against them and should therefore offer mediation or arbitration if a complaint remains unresolved. A suggested approach to mediation/arbitration is set out in the model procedure for sole practitioners at Annex 2 below.

15. A complaint received in writing should, where possible, be acknowledged within two days of receipt and, in any event, promptly. Within 14 days of that acknowledgment the head of the panel (where one has been set up)(or his deputy) should appoint a member of the panel to investigate the complaint. Where the complaint is against a member of staff the person appointed normally will be the senior staff member. Where the complaint is against the senior staff member the head of the panel should appoint another member of the panel to investigate. Where the complaint is against the head of the panel, the Head of Chambers should investigate or, in his discretion, appoint a member of the panel to investigate. Where the Head of Chambers is the head of the panel, the deputy head of the panel should be the appointed person. No barrister should investigate a complaint of which he is the subject. Where no panel has been established, Chambers should ensure that the individual or individuals nominated to investigate the complaint is impartial.

16. The appointed person/nominated individual should write to the client as soon as he is appointed. He should inform him that he is to investigate the complaint and that he will report back to the client within 14 days. If it becomes plain that a response cannot be sent within 14 days a realistic time frame should be set and the client informed accordingly.

17. The appointed person/nominated individual should investigate the complaint. He should speak to the barrister/member of staff complained against, and any other people he identifies as having something to contribute. He should review all relevant documents. If necessary he should revert to the client for further information and clarification.

18. The appointed person/nominated individual should prepare a report to the client (with a copy to the barrister/member of staff complained against). The report should set out all the matters referred to at paragraph 10 above, the nature and scope of the investigations carried out in respect of each complaint, his conclusions and the basis for his conclusions. The report should be drafted using clear and concise language. Where a complaint is found to be justified, the report should provide proposals for resolution (e.g. reduction in fees, apology, compensation). Details of the Bar Standards Board’s complaints procedure should also be included.

19. The report should be sent to the client within 14 days of the appointed person’s appointment (or such longer period as has been communicated to the client in advance - see paragraph 15). A copy of the report should be provided to the barrister/member of staff complained against.

Bar Mutual Indemnity Fund

20. Where a complaint raises an allegation of negligence the BMIF should be informed immediately. Further, the BMIF should be consulted before proposals for resolution are made to the client.

Confidentiality

21. All conversations and documents shall be confidential and disclosed only to the extent necessary. They may be disclosed only to the client, the person complained about, the Head of Chambers, the head of the complaints panel or relevant senior member of the panel, the nominated individual, the management committee (for carrying out the task at paragraph 26) and any other individual with whom enquiries need to be made for the purpose of the investigation. The disclosure of internal Chambers’ documents relating to the handling of the complaint, such as the minutes of a Chambers’ meeting held to discuss a particular complaint, to the Bar Standards Board for the further resolution or investigation of the complaint is not required.

Record keeping

22. Where the procedure ends after the first stage the person responsible for recording the outcome on the note of complaint should ensure that the note of complaint is placed on the Chambers complaints file.

23. Where the procedure ends after the second stage the head of the panel/nominated individual should ensure that the following documents are placed on the Chambers complaints file:

Note/letter of complaint; (see paragraphs 9 and 10);
Appointed person’s/nominated individual’s report; (see paragraph 18).

24. It is not possible to provide an all-encompassing definition of a ‘complaint’ which covers all types of possible grievance and allows for the varying arrangements within Chambers. It is left therefore to individual Chambers to decide which complaints should be properly recorded and considered in accordance with their Complaints Policy and which should be dealt with informally. Chambers must however have a transparent and defensible policy.

25. To assist Chambers/sole practitioners, set out here are examples of the types of complaints that the BSB would expect Chambers to treat as formal complaints:

All complaints received in writing, including those received by e-mail;
All complaints of serious poor service and/or incompetence;
All complaints from members of the judiciary;

This list is not exhaustive and Chambers/sole practitioners are encouraged to form their own view on whether a complaint should be treated formally. It may be necessary for further enquiries of the ‘complainant’ to be made before a decision is reached on whether a complaint is ‘formal’ or whether it is informal and therefore suitable for resolution outside of the Complaints Policy.

Review, monitoring and audit

26. The Chambers complaints file should be inspected regularly by the management committee. Papers should be anonymised where necessary. The person responsible for the administration of the system should report at least annually to such appropriate committee of Chambers on the number of complaints received and the subject area of the complaints. In such a report all the details should be anonymised, but should be reviewed for trends and possible training issues.

27. The Bar Standards Board will audit and monitor Chambers complaints handling, including, where appropriate, the sufficiency of training. All barristers must comply promptly with requests for information from the committees of the Bar Standards Board dealing with monitoring and auditing.

March 2008

Standards Committee, Bar Standards Board

Annex 1

The model procedures for Chambers and for Sole Practitioners are based on the suggested arrangements for handling complaints set out in the above guidance. Chambers or sole practitioners may decide to adopt the model procedure but are free to develop their own procedure or set of rules for dealing with complaints. Chambers’ must ensure that any procedure they develop is compliant with the mandatory requirements set out at Annexe S to the Code of Conduct.

Model Chambers Complaints Procedure for multi member sets

1. Our aim is to give you a good service at all times. However if you have a complaint you are invited to let us know as soon as possible. It is not necessary to involve solicitors in order to make your complaint but you are free to do so should you wish.

2. Please note that Chambers will only consider complaints that are raised within six months of the act or omission complained of.

Complaints made by telephone

3. You may wish to make a complaint in writing and, if so, please follow the procedure in paragraph 4 and 5 below. However, if you would rather speak on the telephone about your complaint then please telephone the individual nominated under the Chambers Complaints Procedure to deal with complaints - NAME or (if the complaint is about a member of staff) the [senior member of staff - NAME]. If the complaint is about the [senior member of staff] telephone [the Head of Chambers - NAME or other member of Chambers appointed by head]. The person you contact will make a note of the details of your complaint and what you would like done about it. He will discuss your concerns with you and aim to resolve them. If the matter is resolved he will record the outcome, check that you are satisfied with the outcome and record that you are satisfied. You may also wish to record the outcome of the telephone discussion in writing.

4. If your complaint is not resolved on the telephone you will be invited to write to us about it within the next 14 days so it can be investigated formally.

Complaints made in writing

5. Please give the following details:

Your name and address;
Which member(s) of Chambers you are complaining about;
The detail of the complaint; and
What you would like done about it.

Please address your letter to [name of preferred recipient and Chambers’ address]. We will, where possible, acknowledge receipt of your complaint within two days and provide you with details of how your complaint will be dealt with.

6. Our Chambers has a panel headed by [name] and made up of experienced members of Chambers and a senior member of staff, which considers any written complaint. Within 14 days of your letter being received the head of the panel or his deputy in his absence will appoint a member of the panel to investigate it. If your complaint is against the head of the panel, the next most senior member of the panel will investigate it. In any case, the person appointed will be someone other than the person you are complaining about.

7. The person appointed to investigate will write to you as soon as possible to let you know he has been appointed and that he will reply to your complaint within 14 days. If he finds later that he is not going to be able to reply within 14 days he will set a new date for his reply and inform you. His reply will set out:

The nature and scope of his investigation;
His conclusion on each complaint and the basis for his conclusion; and
If he finds that you are justified in your complaint, his proposals for resolving the complaint.
Confidentiality

8. All conversations and documents relating to the complaint will be treated as confidential and will be disclosed only to the extent that is necessary. Disclosure will be to the head of chambers, members of our management committee and to anyone involved in the complaint and its investigation. Such people will include the barrister member or staff who you have complained about, the head or relevant senior member of the panel and the person who investigates the complaint. The Bar Standards Board is entitled to inspect the documents and seek information about the complaint when discharging its auditing and monitoring functions.

Our policy

9. As part of our commitment to client care we make a written record of any complaint and retain all documents and correspondence generated by the complaint for a period of six years. Our management committee inspects an anonymised record regularly with a view to improving services.

Complaints to the Bar Standards Board (the regulatory arm of the Bar Council, the professional body for barristers)

10. We hope that you will use our procedure. However, if you would rather not do so or are unhappy with the outcome you may take up your complaint with the Bar Standards Board at any time. Please note that the Bar Standards Board has a six-month time limit from the date of the act or omission about which you are complaining within which to make your complaint. However, should you raise your complaint with Chambers first, there is a three month time limit from the conclusion of the investigation by Chambers in which to raise your complaint with the Board. You can write to them at:

Complaints Team
Bar Standards Board
289-293 High Holborn
London WC1V 7HZ

Tel: 020 7611 1444
Fax: 020 7831 9217

See also www.barstandardsboard.org.uk

Annex 2

Model Complaints Procedure - Sole Practitioners

1. My aim is to give all my clients a good service at all times. However if you have a complaint please let me know as soon as possible, by telephone or in writing. I will treat your complaint as confidential although I may discuss it with other barristers or officials from the Bar Standards Board for their advice. I will not reveal your name to others unless I am setting up mediation or arbitration. I will deal with your complaint promptly.

2. Please note that I will only consider complaints that are raised within six months of the act or omission complained of.

Complaints made by telephone

2. If you wish to make a complaint by telephone, I will make a note of the details of your complaint and what you would like done about it. I will endeavour to resolve matters with you on the telephone. If after discussion you are satisfied with the outcome I will make a note of the outcome and the fact that you are satisfied. If you are not satisfied you may wish to make a written complaint.

Complaints made in writing

3. If you wish to make a written complaint please give me the following details:
- Your name, telephone number an address;
- The detail of your complaint; and
- What you would like done about it.
Procedure for dealing with your complaint

4. There are a number of ways in which your complaint may be dealt with:

a) Discussion over the telephone;
b) Dealt with by correspondence;
c) Discussion at a meeting between us;
d) The appointment of a mediator who will try to facilitate a resolution of your complaint;
e) The appointment of an arbitrator whose decision we both agree shall be binding.

If we decide to appoint an arbitrator we both would need to agree how the arbitrator should approach his/her task and the limit of the compensation that can be awarded. The Bar Sole Practitioners Group (BSPG) or local circuit will be approached and a barrister will be appointed to arbitrate. We will decide together whether it will be the BSPG or the local Circuit who should be approached. However neither of us may veto the person chosen. It is expected that the BSPG and the Circuit will chose someone who has considerable experience in the area that is the subject matter of the dispute.

5. Upon receipt of a written complaint I will
a) Reply in writing, normally within 48 hours, to acknowledge the complaint and inform you how I shall be dealing with it.
b) Reply within 14 days responding in full to your complaint. I will offer you the opportunity to meet with you if that is appropriate. If I find later that I am not going to be able to reply within 14 days I will set a new date for my reply and inform you. My reply will set out:

The nature and scope of my investigation;

My conclusion on each complaint and the basis for my conclusion; and

If I find that you are justified in your complaint, my proposals for resolving the complaint.
c) If you indicate that you are not happy with my written response you may ask for mediation or arbitration or you may make a formal complaint to the Bar Standards Board. You are free to make a complaint to the Bar Standards Board at any stage should you decide that you do not want to submit a complaint directly to me. Please note that the Bar Standards Board has a six-month time limit from the date of the act or omission about which you are complaining within which to make your complaint. However, should you raise your complaint with me first, there is a three month time limit from the conclusion of my investigation in which to raise your complaint with the Board.

They can be contacted at:

Complaints Team
Bar Standards Board
289-293 High Holborn
London WC1V 7HZ

Tel: 020 7611 1444
Fax: 020 7831 9217