The Legal Services Board (LSB) has issued Requirements, Guidance and a statement of policy to regulators to improve the way in which first tier complaints are handled. First tier complaints are the initial complaints that consumers make to their legal provider about the service they have received.
These measures aim to drive significant improvement in complaints handling by ensuring that, wherever possible, complaints are dealt with promptly and as close as possible to source. Consumers should feel empowered to know that their complaint will be taken seriously, and that their feedback will be used to improve services. Complaint procedures should be easy for users to find, and they should be able to make complaints in the way that suits them best. Clear information on how to make complaints should be provided when needed and, if a complaint is made, updates on progress should be given.
Legal service users should feel confident that a complaint will be handled fairly and promptly, without any negative consequences for them.
Produced following extensive research, consultation and stakeholder engagement, the Requirements & Guidance have addressed the following concerns:
- Research shows that nearly half of complaint cases escalated to the Legal Ombudsman were found to have been handled inadequately at first tier.
- 30% of complaints to the Legal Ombudsman are made prematurely – that is, before the first-tier process has been exhausted. This could be a combination of a lack of confidence in the process or fear that it is too complex.
- Despite dissatisfaction with legal services, 26% of respondents to the Tracker Survey refrained from taking any action, highlighting the need for enhanced protection and advocacy.
The LSB’s statement of policy states that regulators must pursue the following outcomes:
- the best possible complaints resolution system for legal services users by using information and intelligence gathered from first-tier complaints and second-tier complaints;
- a culture of continuous improvement and learning from complaints and feedback to improve legal services.
Together, the Requirements, Guidance and statement of policy aim to deliver a step-change improvement in first-tier complaint handling by ensuring that complaints are dealt with effectively, efficiently and fairly.
Alan Kershaw, Chair of the LSB, said:
‘Too many people experience challenges in having their complaints dealt with fairly and promptly. Often this is because it is not clear how to complain or they feel they come up against a wall of silence. The process should be clear, easy and as stress-free as possible. Addressing complaints promptly is not just about resolving issues; it’s good for business too. By tackling grievances early on, we prevent them from escalating into resource-intensive problems down the line. This proactive approach not only fosters better customer relationships but also enhances a competitive edge in the market and reduces the need for a regulator to become involved.
‘The statutory Requirements, Guidance and statement of policy will help make that step- change needed in the sector and set expectations and good practice for the regulators.
We hope that this helps to build public trust and confidence in legal services.’
The LSB has set up a group of interested organisations to further support this initiative. This collaborative effort will explore how the sector can facilitate a culture change in complaints handling and to ensure that legal businesses are equipped with the skills and confidence they need in order to support this.
ENDS
Notes to editors
About the LSB
1.The Legal Services Board (LSB) is the independent body responsible for overseeing the regulation of legal services in England and Wales. We are independent of both government and the profession. We are funded by a levy on the approved regulators.
2.We oversee ten approved regulators, some of which have delegated their regulatory functions to independent regulatory bodies.
3.We operate within a statutory framework set out in the Legal Services Act 2007, which describes our functions and our powers. The Act sets out eight regulatory objectives, which we share with the approved regulators and regulatory bodies.
4.We also oversee the Office for Legal Complaints, which is responsible for administering the Legal Ombudsman scheme, and we have specific functions in relation to the Solicitors Disciplinary Tribunal.
Members of the First Tier Complaints Coalition
Association of Consumer Support Organisations (ACSO)
Association of Costs Lawyers
Bar Council
Bar Standards Board
Chartered Institute of Trade Mark Attorneys (CITMA)
Chartered Institute of Patent Attorneys (CIPA)
CILEx Regulation
Citizens’ Advice Bureau
Conveyancing Association
Council for Licenced Conveyancers
Costs Lawyer Standards Board (CLSB)
Faculty Office
Institute of Barristers’ Clerks
Institute of Chartered Accountants in England and Wales (ICAEW)
Intellectual Property Regulation Board (IPReg)
The Law Society of England and Wales
The Legal Ombudsman
Legal Practice Managers’ Association
Legal Services Consumer Panel
Society for Licensed Conveyancers
Solicitors Regulation Authority
Which?