Later this year, the Solicitors Regulation Authority (SRA) will begin collecting additional complaints handling data from law firms as part of its ongoing focus on improving consumer outcomes and increasing transparency. The SRA has confirmed that it intends to collect information such as how long firms take to resolve complaints and how many complaints are escalated to the Legal Ombudsman.
Although many firms already maintain complaints registers, this announcement is a timely reminder that regulators are increasingly interested not only in whether firms have a complaints procedure, but also in how effectively that procedure operates in practice.
Firms should ensure that they are:
- recording all complaints consistently (using the Legal Ombudsman’s definition of a complaint);
- maintaining an accurate and up-to-date complaints register;
- recording key dates so that complaint handling times can be measured;
- identifying trends and learning points; and
- reviewing their published complaints information to ensure it remains compliant with the SRA Transparency Rules.
Good complaints handling is about much more than regulatory compliance. An effective system helps identify recurring issues, improves client satisfaction and demonstrates a firm’s commitment to high standards of client care.
With the SRA placing greater emphasis on complaints data, now is an ideal opportunity for firms to review both their complaints procedure and the way complaints are recorded and monitored.
At Legal Compliance Services, we help firms review and strengthen their complaints handling arrangements, ensuring that procedures, registers and management information are fit for purpose and aligned with current regulatory expectations. If you would like an independent review or practical assistance in updating your complaints handling framework, we’d be delighted to help.
