Handling complaints about the SRA Analysis of responses Introduction ................................................................................................................2 Responses..................................................................................................................2 Answers to the consultation questions ...................................................................4 Q1 – Do you agree with our three-stage approach for handling complaints? ..........5 Q2 – Do you agree with our approach for handling discrimination complaints?.....12 Q3 – Do you agree with our proposed service standards? ....................................14 Q4 – Do you find our draft policy simple and easy to understand? ........................16 Q5 – Are there any other equality issues that we should take into account? .........16 Q6 – Do you agree with the remedies that we are proposing to offer for complaints that have been upheld?..........................................................................................18 Conclusions..............................................................................................................19 19/01/2010 Page 1 of 20 www.sra.org.uk Introduction 1. We consulted on our draft complaints handling policy over the period from 14 August to 13 November 2009. The consultation paper was published on our website and circulated to our staff. 2. To raise awareness of the consultation we issued a press release which was picked up by the Legal Gazette on 1 October 2009. We were able refer to the consultation and in some cases discuss the broad issues at various stakeholder events or meetings held during the period, such as: the External Implementation Group Meeting1, the Rules Working Group2 and the Disability Advisory Group3 and the SRA Roadshow4 in Leeds during October and at a consumer consultation event about using solicitors in November 20095. 3. We directly contacted a number of organisations who we work very closely with – including the Law Society, the Ministry of Justice, the Legal Complaints Service, the new Office for Legal Complaints and the Legal Services Board – and asked for their comments. We also circulated the consultation paper to a number of organisations whose input we thought would be of interest; these included legal and other regulators, various solicitor and consumer groups and equality groups representing both solicitors and consumers. Responses 4. We had a total of 54 responses. Chart 1 (below) outlines where these responses came from. 5. The solicitors’ group included solicitors responding on their own behalf, solicitors’ firms and various solicitor associations. The equality groups included those representing the profession and consumers. The number of staff who responded is greater than shown as some of the responses were from staff teams. 1 The group set up and chaired by Lord Ouseley to monitor the SRA’s progress on Equality and Diversity. 2 A group set up to promote engagement with black and minority solicitors in relation to our work to implement the changes prompted by legislation and the new regulatory framework. 3 A groups originally set up by the Legal Complaints Service to discuss issues of relevance to disability equality groups. 4 One of a series of engagement events held across England and Wales to explain the work of the SRA. 5 An event held with members of the public who had recently used the services of a solicitor to discuss their experience and better understand their needs and expectations. 19/01/2010 Page 2 of 20 www.sra.org.uk Chart 1 - Breakdown of responses by respondent type Staff Other, 2 Consumers, 2 Solicitors Equality groups, Stakeholder 6 Staff, 21 organisations Equality groups Stakeholder organisations, 10 Consumers Other Solicitors, 13 6. The following table shows where the external responses came from. We received a total of 33 responses from external stakeholders. The Law Society 10 stakeholder organisations The Law Society Equality and Diversity Committee The Legal Complaints Service (LCS) Office of the Legal Services Ombudsman/ Office of the Legal Services Complaints Commissioner The Bar Standards Board Financial Services Authority Office of the Complaints Commissioner The Office of the Immigration Services Commissioner General Dental Council Office for the Independent Complaints Reviewer 19/01/2010 Page 3 of 20 www.sra.org.uk Government Legal Service 4 solicitors’ groups (listed) 7 solicitors (or other legal Solicitors in Local Government professionals) Sole Practitioners Group 2 solicitors’ firms City of London Law Society Society of Bangladeshi Solicitors 6 equality groups Lawyers with Disabilities Division Age Concern, Warwickshire represented on the Disability Advisory Group MIND, represented on the Disability Advisory Group Mencap, represented on the Disability Advisory Group RNID, represented on the Disability Advisory Group - 2 consumers and 2 others Total: 33 7. Fourteen monitoring forms were returned. Seven of these were from people responding on behalf of a group or firm. Answers to the consultation questions 8. We asked six questions in the consultation. Most of our respondents provided answers to these questions, along with additional comments. 9. Each of the questions offered a “Yes” or “No” option and provided space for further comments. Some respondents chose to answer “Yes” or “No” and some did not. A record of the “Yes” or “No” answers for each of the six questions is set out in Chart 2 and a summary of the main comments made about each question are set out below. 19/01/2010 Page 4 of 20 www.sra.org.uk Chart 2 - Responses to the consultation questions 40 35 30 25 Agree 20 15 Don't agree 10 5 No response 0 n y h s es s ac io d cit ie ar li ro at p ssu ed p in d i m an m em ri Si ity R e ap c al ag Dis qu vice st E 3 st er S Q1 – Do you agree with our three-stage approach for handling complaints? 10. 93 per cent of the respondents who gave a definite answer to this question agreed with our three-stage process for handling complaints. (37 respondents agreed, 3 disagreed and there were 14 respondents who made general comments but did not state whether they agreed or disagreed. 11. Many of the respondents made helpful comments and suggestions. A selection of these are set out below. 12. The principles behind our approach were welcomed by many respondents: ”The three-tier approach proposed by the SRA for managing complaints appears sensible, and aligns processes with other tried and tested regulator models such as that to the Office of the Complaints Commissioner.” (Stakeholder organisation) ”We welcome the decision to draw on the practices adopted by the public sector and other regulatory authorities.” (Solicitors’ firm) ”Overall, we agree that the three-stage approach is sensible and will help ensure consistency of approach in handling all complaints received by the SRA.” (Staff) ”Making a complaint can be extremely stressful and is often a last resort for those who have not received good service. The three stages will make sure all complaints are considered properly and all those complaining will be treated the same.“ (Consumer of legal services) 13. There was recognition that in practice it is difficult to separate a complaint about the way in which a matter has been handled (which would be suitable for the 19/01/2010 Page 5 of 20 www.sra.org.uk complaints policy) and what is effectively an appeal against the outcome of the regulatory decision (which would not). ”It is important that the complaints process is not mistaken for an ’appeal process’ and the external reviewer is not seen as the final ’court of appeal‘ regarding the initial complaint decision.“ (Stakeholder organisation) ”The papers should also make clear as to how this policy sits with the rights of appeal, which are open to subject solicitors and others regulated by the SRA. Also, how this policy sits with the appeals and reconsiderations policy.” (Staff) SRA Response We recognise it is often difficult to separate dissatisfaction with the outcome of regulatory action and dissatisfaction with the way we have handled the matter. We will always advise complainants to use the appeals process if they are dissatisfied with the outcome of regulatory action – it is not the purpose of the complaints policy to provide a separate route for appeals. In cases where the complainant has no right of appeal, we will be guided by our appeals and reconsiderations policy, which enables the SRA to refer a matter for reconsideration where the outcome appears to be ”fundamentally wrong”. 14. There was some concern about how we would manage ongoing regulatory action at the same time as investigating complaints: ”Generally we are concerned to ensure that the investigations undertaken by the unit are not delayed/diverted by solicitors manipulating the procedure for this purpose.” (Staff) “There may well be occasions…where complaints of bias, substantial mishandling, or discrimination are made, when it will be appropriate for the SRA to either suspend its regulatory investigation, or to postpone any announcement, until the conclusion of the complaints handling process. We believe that the complainant should have the right to request this.” (Solicitor group) ”In complaints, such as one of bias or discrimination, there should be a presumption in favour of transferring the case.” (Stakeholder organisation) 19/01/2010 Page 6 of 20 www.sra.org.uk SRA response We feel that each case should be assessed on its merits. There may be cases where we can suspend the regulatory action whilst we investigate the complaint, but in others it may be in the public interest to continue. Although we will retain the presumption in favour of continuing with regulatory action (to avoid the complaints policy being used tactically to delay the regulatory action) we will ensure that our staff guidance material emphasises the need to carefully consider the implications of this for each complaint received. We will explain our decision with reasons to each complainant who requests that the action be suspended or the case transferred to another caseworker. We have revised the policy to set out our broad principles and the criteria for making a decision in each case.