Spiegel & Utrera, Ltd.
Complaints Handling Procedure

I. CLIENT CARE: GUIDANCE TO STAFF COMPLAINTS HANDLING
Spiegel & Utrera, Ltd. (hereinafter "the Firm") has established a procedure for dealing with complaints from Clients. The procedure has been established so that we can resolve as many problems as possible within the Firm, avoid having complaints and problems reported to the Consumer Complaints Service, and to preserve the goodwill of our Clients, even if things have gone wrong. Our Firm accepts that some complaints will be well founded. Everyone makes mistakes and the principals will expect honesty and realism from any fee earner when they have done so. The fee earner should in return, receive support from the principals. Such complaints must be dealt with sympathetically and quickly. Our reputation depends on this, as it is all part of our high standard of service.

II. WHAT IS A COMPLAINT?
If a Client simply moans at you because it has taken you half an hour to return his or her call, clearly that may not amount to a complaint. If a Client says that you continually delay in returning his or her calls or that you do not return his calls at all, that is a complaint.
These are called "formal complaints" and we treat them the same way even if an individual complaint may appear to be based on, for example, an unrealistic expectation of what we can do.
Clients are notified in our initial Client Care Letter of their right to complain. If they do, they must be told immediately by the fee earner that the file will be pulled for review and that the head of the department will consider the matter and investigate under the Firm’s standard procedures.

III. HOW THE COMPLAINT WILL BE DEALT WITH.
The principal investigating the complaint will look at the file and ask for full details from the Client, either through a personal interview in person or over the telephone or in writing. The file will also be discussed with all staff who have worked with the file.

A. OBJECT:
The object is to ensure that the Client:

• is satisfied that the complaint has been dealt with seriously,

• gets a prompt response,

• gets an assurance that the matter is being reviewed, and

• is notified as soon as possible of the outcome.

It is vital that the Firm learns from its mistakes.

The Client may not be lost to the Firm. Even though a fee earner may not agree that the complaint has any validity, the response from the Firm may be to agree with some elements of the complaint and to assure the Client that an effort will be made to remedy the problem.

Fee earners must understand that this is not intended to undermine their position. We all have to accept a certain amount of criticism in return, we hope, for more satisfied Clients.

B. REMEDIES OPEN TO CLIENT

1) An apology from the Firm and an assurance that it will not happen again and that the Firm will try to do better in the future,
2) A reduction in the bill,
3) An abatement of the bill in total,
4) Notification to the Client of his or her right to complain to the Consumer Complaints Service (CCS) as a last resort, if the matter is clearly deadlocked between us, and
5) Notification to the Client of his or her right to see another solicitor and to obtain advise as to whether we have been negligent.

C. WHAT HAPPENS AFTER COMPLAINT?
It is hoped that the Client will be satisfied and that the fee earner will continue with the file. In some circumstances, if the Solicitor/Client relationship has broken down completely, it may be better for another fee earner to take over the file. If the fee earner does continue with the file, every effort must be made to repair any damage in the relationship with the Client.

D. CENTRAL REGISTER OF COMPLAINTS
All complaints must be notified to the principal in charge of the office who keeps a central register of complaints received by the Firm. The notification should outline the complaint and attach an original of any letter of complaint if one exists. Heads of department should send the principal in charge of the office all correspondence and documents relating to the complaint and details of how the matter was handled.

E. CORRECTIVE AND PREVENTATIVE ACTION
Fee earners and others about whom a substantiated complaint is made can expect that some form of corrective action is taken. This may take the form of an informal word from that person’s superior, or a formal note on the personnel file where the matter can be expected to be raised in the context of an appraisal.
We shall consider whether changes in procedures are necessary as a means of identifying problems, and shall implement such corrective and preventative action we deem necessary to avoid getting a poor reputation. Means by which this can be achieved include revision or amendment of any relevant procedures, induction procedures, staff appraisals, staff meetings, supervision, the checking of incoming and outgoing post and training.

For further communications relating to SU’s and SpiegelUtrera.co.uk’s Privacy Policy, please contact Russell D. Williams, at 0207424 8775.