Managing your workload & avoiding complaints Scottish Legal Complaints Commission

1. Managing your workload & avoiding complaintsScottish Legal Complaints Commission David Buchanan-Cook Head of Oversight

2. overview Background – the SLCC • Scene setting • Our remit • How we deal with complaints • Awarding compensation and settlement • Complaint numbers Complaints & workload management • Complaint business areas: conduct v service • Examples of complaints • Tips for complaint avoidance or mitigation • Good complaint management

3. 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

4. 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

5. 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

6. complaint process Enquiry Is it a legal complaint? • Is the complaint eligible for investigation and, if so: • Is it conduct or service or both? • Who should investigate ? Eligibility Mediation Can it be resolved by mediation? • Can it be resolved at this stage? • Conciliated during the process • Proposed settlement report accepted Investigation Determination Formal decision on whether or not to uphold

7. awarding compensation & settlement Relevant 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)

8. complaint numbers – 2011-2012

9. service complaint business areas

10. conduct v service Split between conduct and service complaints accepted as eligible for investigation

11. complaint categories

12. 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

13. types of complaint technical 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

14. workload management: Be realistic when taking on new work Diversification is fine – but within limits Ensure working knowledge is current Be wary of potentially problematic clients Don’t be afraid to say no Don’t be afraid to tell a client bad news – don’t put it off develop: Effective time management Efficient eye for detail/ quality control complaint “avoidance”

15. day-to-day case management: Provide terms of engagement letter up front Manage expectations throughout Keep accurate file notes Record advice given to, and instructions received from, clients Use clear language – avoid legal jargon Avoid unnecessary delays Where delays are unavoidable, explain Ensure effective supervision Familiarise yourself with your firm’s complaint handling process Don’t ignore third-party complaints complaint “avoidance”

16. 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

17. 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 ……

18. 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