Complaints | Clear the communication channels

In this case, you are a matter partner in the probate team who is acting for a client who has instructed you to provide a will and a letter of wishes in relation to a trust. You ask your assistant to draft the same in accordance with the instructions. You check the documents. The client then requests a meeting to discuss the matter. The meeting is attended by your assistant and the client. At this meeting the client is taken through the documents and the implication of those documents.

Two months later, you get a call from the client. The client says that he/she has recently been made aware by a solicitor friend that a letter of wishes is not legally binding on the trustees and that this was not conveyed by your firm. You should acknowledge the complaint in an equitable, objective and unbiased manner and confirm that you will investigate urgently and report back. You further point out that since the letter of wishes has not yet been triggered it is as yet unknown whether the trustees would act in accordance with it or not. It is important to see a complaint as an opportunity for improvement of your practice. Even though the complaint was received by telephone you should follow up with an acknowledgement in writing advising, among other things, a time frame for response and of their right to refer the matter to the Legal Ombudsman after your firm's consideration of the complaint.

You investigate the matter by speaking to the fee earner and checking the file. It is clear from attendance notes that the client was told that the trustees have a duty of care to take the letter of wishes into account but that it is not legally binding on them. It is however clear from the very fact that this incident has arisen that you should review processes of providing advice. First, you should you should ensure that you follow up key advice to the client in writing so that they can refer back to it and there can be no confusion as to its contents. Further, you should consider how you relay advice; good communication is essential to high quality client care, particularly in providing technical legal advice to a lay person. To communicate well you should (i) make sure that the information you need to communicate is presented clearly avoiding technical or arcane language if possible, (ii) know your client and be alive to communication challenges, and (iii) ensure that you listen to the client and seek to understand their situation/business. Whether you are advising your client or dealing with their complaint, you should communicate in the same manner.

You then report back to your client in writing confirming the outcome of the investigation and the steps taken as a result of the incident. Depending on whether this is a repeat client you might offer a discount on a further service to placate the client and reaffirm his/her value to your firm.