Complaints information: Useful to tell consumers during case
Law firms must tell their clients how to complain at the end, as well as the beginning, of their cases, under new rules proposed by the Solicitors Regulation Authority (SRA).
A further rule change would require solicitors to make sure complaints information was “clear, accessible and in a prominent place” on their websites.
The SRA said law firms reported last year that 82% of first-tier complaints (ie, those made to the firm) were resolved to the satisfaction of the client – the highest figure since 2012 when the regulator started collecting the data.
However, the Legal Ombudsman (LeO) – the second tier – found that 46% of cases it dealt with in 2023/24 involved poor complaints handling, “highlighting issues such as inconsistent or complex complaints processes or defensive attitudes when handling complaints”.
The SRA said it carried out a thematic review of first-tier complaints earlier this year, including a survey of 750 firms and visits to 25.
“We found variation in how firms identified, defined and handled complaints. There were a number of good practice areas, including how some firms supported vulnerable clients.
“We also found areas where improvements were needed and where firms asked for more guidance and support.”
The SRA consultation paper said almost all the law firms surveyed provided clients with information on how to complain at the time of engagement. Some also did so at other points in the client journey, such as when a client expressed dissatisfaction (50%), when they wanted to make a complaint (69%) or in writing at the end of the legal matter (12%).
The SRA said it agreed with the Legal Services Board – whose 2024 statutory guidance on improving complaints handling the consultation is implementing – that “it would be more useful to consumers if the information on how to complain is repeated at later intervals in the course of the engagement”.
Under the new rule, law firms must provide complaints information not only at the start but “on conclusion of the legal matter”, on request and if a complaint is made during a case.
Only 68% of law firms surveyed published their complaints procedure on their websites, despite it being a regulatory requirement, and even where they were, they could be hard to find.
This meant it was necessary to “go further” than the current requirement and require complaints information to be “clear and accessible and in a prominent place on websites”.
The SRA will develop guidance on this, such as “not requiring multiple clicks to access or that it should be linked from a home page”.
Seven out of 10 firms in the survey said they used the regulator’s complaints guidance, which the SRA planned to expand.
The survey also showed that almost all law firms provided a final response to complaints within eight weeks, with 65% doing so within four weeks.
The SRA sought views on how data on response times could be published and exploring “proportionate potential routes” for collecting it.
“One way would be to collect timeliness data when we collect information about first-tier complaints from solicitors each year when they renew their practicing certificates.”
The SRA added that it had been working with LeO on the development of a model complaints resolution procedure (MCRP).
“LeO will run a pilot across the summer and autumn 2025, testing the MCRP with a small number of legal service providers. We will discuss this with consumers as part of our wider engagement with them over the summer while the consultation is live.
“Subject to the results of LeO’s pilot, it is anticipated that the MCRP and accompanying guidance will be published next year.”
Paul Philip, chief executive of the SRA, commented: “When things do go wrong, the way solicitor firms deal with complaints is a key indicator of service quality for consumers and of whether they can have trust and confidence in their provider.
“Solicitors shouldn’t be afraid of encouraging complaints – they are an opportunity to identify areas for improvement and ways to deliver more effectively for clients. Our research suggests that there’s no negative connotations around firms being so open about their complaints process.”
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