Complaints Procedure

Tolhurst Fisher Complaints Procedure

We aim to deal with complaints promptly, fairly, openly and effectively.

It is the policy of the firm that:

• All complaints are reported and recorded centrally
• All complaints are responded to appropriately
• The cause of the problem is identified
• Redress is offered (where appropriate)
• Unsatisfactory procedures are corrected

Definition of a complaint

Our definition of a complaint is:

“any written or verbal expression of dissatisfaction, which has not been resolved by the fee earner involved or their Head of Department and has been raised with the Firm’s Complaints Partner”

A complaint can be raised with the Complaints Partner by letter or email and will be investigated without charge to the complainant.

A complaint may involve any of the following:

• Dissatisfaction with the handling of a matter
• Disappointment with an alleged lack of communication
• Frustration with an alleged lack of progress
• Dissatisfaction with the outcome of the matter

(This is not intended to be an exhaustive list)

Prospective clients

Complaints may also be received from prospective clients, for instance in relation to a decision that we were unable to accept their instructions or to act on their matter. Where we have not delivered a service there will likely be a limited amount of information or documentation and therefore we may be unable to follow our full complaints procedure, but we would ordinarily look to respond and investigate the complaint in a similar manner and within a similar timescale.

Other parties

Complaints may be received from other parties who are not our clients. Although we are not obliged to handle these complaints in the same way, we would ordinarily look to respond to them and investigate the complaint in a similar manner and in similar timescales. However our investigation may be limited by the obligation of client confidentiality to our clients and we will make the complainant aware of this limitation.

Complaints handling information

We advise clients in writing at the outset of the matter as to the existence of this Complaints Handling Policy and that the policy is available in writing on our website.

Complaints Partner

We have appointed Nigel Holdcroft as our Complaints Partner

He is responsible for:

• Recording centrally all complaints received by him from clients
• Identifying the cause of any problem of which complaint has been made
• Overseeing the investigation and responding to the complaint
• Offering appropriate redress, where appropriate
• Reviewing our complaints and ensuring that any unsatisfactory procedures are identified and notified in accordance with our Compliance Policy
• Ensuring compliance with the requirements of 8.4 and 8.5 of the SRA Code of Conduct for Solicitors.

Handling a complaint

When a complaint is received it is handled in accordance with this policy.

Where appropriate, we will ensure that our procedure is tailored in response to the needs of our individual clients, especially those who are vulnerable.

We report and record all complaints centrally.

The Complaints Partner will

• Acknowledge the complaint within 5 working days, confirming the action which will be taken to investigate the complaint and the timescales involved
• Review the file and discuss the matter with the staff member(s) involved
• Identify the cause of any problems of which the client has complained
• Determine the degree of validity the complaint has
• Decide how the complaint should be resolved

Except in unusual circumstances the investigation will be concluded and the outcome advised to the complainant in writing within 28 days of the complaint being acknowledged but in any event in no longer than 56 days.

In particular the complainant will be advised of:

• Our final position on their complaint
• Any compensation or redress offered
• The right to pass the complaint to the Legal Ombudsman to include the time frame for doing so, and contact details for the Legal Ombudsman
• The name and website address of an alternative dispute resolution (ADR) approved body which would be competent to deal with the complaint, should both parties agree to use such a scheme. However our firm is not compelled to use any additional complaints schemes in addition to or instead of the redress offered by the Legal Ombudsman and will confirm whether agreement is given in each specific case.

If we are able to resolve the complaint the Complaint Partner will ensure that any redress or compensation offered to the client is provided within the promised time scale and will send a letter/email outlining the resolution.

Our Complaints Partner will recommend amendments to unsatisfactory procedures, where appropriate, in accordance with our Compliance Policy.

Legal Ombudsman and SRA

Where we are notified that a complaint has been made to the Legal Ombudsman or that a report has been made by a client to the SRA, our Complaints Partner will review the matter and oversee our response(s).

Record and Review

Our Complaints Partner has overall responsibility for handling complaints and keeps details of all complaints in a central register. Copies of any documents/correspondence showing how each complaint is resolved will also be retained.

If, whilst reviewing any complaint, our Complaints Partner highlights that there are areas of our practice that need to be corrected or there are any unsatisfactory procedures requiring amendment, they will ensure that they are notified to our COLP in accordance with our Compliance Policy.

Our Complaints Partner carries out an analysis of complaints annually. Following this review they decide whether any action can be taken to improve our services or if any action is required to ensure ongoing compliance with the requirements of the SRA Code of Conduct for Solicitors. The results of the review (i.e any trends identified and the action proposed) are documented and will be reviewed by our COLP annually.

Our Complaints Partner maintains overall responsibility for the operation of this procedure and will review it annually to verify that it is an effective operation.

Contacts

Complaints Partner: Nigel Holdcroft

nholdcroft@tolhurstfisher.com           

Senior Partner: Graeme Provan            

gprovan@tolhurstfisher.com

COLP:  Paul Carpenter                              

pcarpenter@tolhurstfisher.com

Legal Ombudsman:    www.legalombudsman.org.uk                                                                          enquiries@legalombudsman.org.uk

                                             Tel: 0300 555 0333

Time limit for reference to the Legal Ombudsman: 1 year from the act/omission complained of or from realising there was a concern AND 6 months from our final determination of your complaint-