Professional complaints
General
Solicitors' conduct is now regulated by the Solicitors Regulation Authority (SRA) (formerly having been regulated by the Law Society which is now a representative body for solicitors). The current rules are to be found in the Solicitors' Code of Conduct 2007 which came into force on 1 July 2007.
All solicitors and their staff ought to be aware of the changes which were made to the practice rules by the Code of Conduct. Details of the Code of Conduct can be found on the SRA web site at rules.sra.org.uk and these can be compared against the old practice rules which can now be found in either the "Guide to Professional Practice 1999 (8th edition)" (which it should be noted was substantially out of date even before the new Code of Conduct came into force) or in the Archived Rules and Guidance ("Guide Online") which reflects the practice rules immediately prior to the Code of Conduct coming into force and which can be found on the SRA's web site at www.sra.org.uk/code-of-conduct/archived-guide.page
Solicitors' Liability in Conduct
Any breach of the Code of Conduct will result in a prima facie allegation of misconduct by the solicitor. Such allegations were formerly investigated by the Solicitors Complaints Bureau, subsequently the Office for The Supervision of Solicitors, then by the Law Society under the umbrella of the Consumer Complaints Service and now by the SRA.
Rule 1 - The Core Duties
The Core duties are described in note 2 to Rule 1 of the Solicitors' Code of Conduct 2007 as forming "an overarching framework within which the more detailed and context-specific rules in the rest of the Code can be understood, thus illuminating the nature of those obligations and helping you to comply".
However, you must not take the view that they are only principles which sit behind the rules and have no practical effect of their own. They are "fundamental rules" and breach of them can result in the imposition of disciplinary sanctions.
The core duties are:
- Justice and the rule of law
- Integrity
- Independence
- Best interests of clients
- Standard of service
- Public confidence
For the text of these core duties, and for the explanatory notes to them, please go to www.sra.org.uk/rule1
The Complaints Procedure
The majority of complaints emanate from clients. Even if complaints are essentially allegations of negligence, they may well also encompass issues of professional conduct. Some complaints may be ones of Inadequate Professional Services. Some complaints may well be from other solicitors, judges or members of the SRA's staff themselves.
The process which is followed is:
- A complaint is sent to the LCS or SRA;
- A caseworker is appointed to investigate the complaint;
- A letter is sent to the solicitor asking for comments, explanation or observations in respect of the complaint.
- The solicitor responds;
- Once a response has been received from the solicitor, the caseworker will review the position and will do one of the following:
- Write to the complainant explaining why the Legal Complaints Service cannot assist further.
- Advise that a full investigation is needed.
- Advise the complainant that the solicitor has offered compensation which is reasonable.
- Advise the complainant whether a formal decision is needed and if so, how this will be done.
- If a complainant remains aggrieved after a decision by the caseworker to take no further action, the matter must be referred to an adjudicator.
- An Adjudicator has a range of powers which include referring the matter to the Solicitors Disciplinary Tribunal; reducing professional fees; suspending or imposing conditions on the solicitor’s practising certificate; resolving to intervene in the solicitor’s practice; to "fine and warn" the solicitor if the complaint is perceived to be low grade; and/ or reprimand or severely reprimand solicitors in more serious cases which fall short of SDT referral.
The adjudicator also has powers to order that the solicitor pays the cost of the investigation.
Often assistance by an experienced solicitor can assist in defusing the gravity of the investigation. The response to the initial letters from the caseworker are often the most important in the complaints handling process. These responses will be used in evidence both before the adjudicator (or panel) or ultimately the SDT. This fact is often overlooked by the solicitor.
It is the experience of SAS members that the initial responses by the accused solicitor are often prepared emotionally and defensively without reference to all the circumstances and facts. Accordingly many solicitors do not do themselves justice, and indeed, often make the position worse. It is for this reason that a call with a SAS member could provide some objectivity and provide constructive advice as to how the solicitor ought to deal with the particular allegations being made.
Details of the solicitors within the scheme who specialise in this area of professional complaints can be found in the members’ section of this web site.