Complaints Procedure

Rules C99–C109 – Bar Standards Board Complaints rules

rC99A .1 You must have a first-tier complaints handling procedure which enables clients to make a complaint free of charge; is prominent and accessible; sets out the steps that will be taken in resolving a complaint; explains how a complaint will be handled; provides information on the possible outcomes of a complaint; is effectively communicated to each client in a format or formats reasonably tailored for the client’s circumstances, having due regard to their information needs; and makes provision for a client to be able to make a complaint in a way that is reasonable and accessible to the client.

.2 You must ensure your first-tier complaints handling procedure is: documented in writing, and available across your organisation, where relevant; endorsed by person responsible for implementation of the complaints procedure; and implemented consistently and periodically reviewed.

.3 Your first-tier complaints procedure must provide for a complaint to be: assessed competently, diligently and impartially; responded to fairly, consistently, and promptly; and to be resolved at the earliest opportunity.

rC99B .1 You must notify clients in writing or in formats tailored to specific client information needs of their right to make a complaint, including your first-tier complaints handling procedure, how, and to whom, they can complain, and of any time limits for making a complaint; that after eight weeks following the making of a first-tier complaint, if the complaint has not been resolved to the client’s satisfaction, that they may have a right to complain to the Legal Ombudsman; if you are doing referral work, that the lay client may complain directly to you, chambers or the BSB entity without going through solicitors.

.2 The information in rC99B.1 must be provided: when you are instructed, or if that is not practicable, at the next earliest appropriate opportunity; at the conclusion of the matter; upon request; and if a complaint is made during a matter.

rC100 If you are doing public access, or licensed access work using an intermediary, the intermediary must similarly be informed.

rC101 If you are doing referral work, you do not need to give a professional client the information set out in Rules rC99B.1 and rC99B.2, in a separate, specific letter. It is enough to provide it in the ordinary terms of reference letter (or equivalent letter) which you send when you accept instructions in accordance with Rule rC21.

rC102 If you do not send a letter of engagement to a lay client in which this information can be included, a specific letter, or communication in formats specific to the client’s needs, must be sent to them giving them the information set out at Rules rC99B.1 and rC99B.2.

rC103 Each website of self-employed barristers, chambers and BSB entities must display:

.1 on the homepage, the text “regulated by the Bar Standards Board” (for sole practitioners) or “barristers regulated by the Bar Standards Board” (for chambers) or “authorised and regulated by the Bar Standards Board” (for BSB entities); and

.2 in a sufficiently accessible and prominent place: information about their complaints procedure, any right to complain to the Legal Ombudsman, how to complain to the Legal Ombudsman and any time limits for making a complaint, and including details of alternative and accessible formats for accessing this information; a link to the decision data on the Legal Ombudsman’s website (https://www.legalombudsman.org.uk/information-centre/data-centre/ombudsman-decision-data/); and a link to the Barristers’ Register on the BSB’s website.

.3 All e-mail and letterheads from self-employed barristers and BSB entities, their managers and employees must state “regulated by the Bar Standards Board” (for self-employed barristers) or “authorised and regulated by the Bar Standards Board” (for BSB entities).

.4 Self-employed barristers, chambers and BSB entities must have regard to guidance published from time to time by the Bar Standards Board in relation to redress transparency.

rC104 .1 When a complaint is first notified you must provide the complainant: with a prompt acknowledgement of receipt of the complaint; the name and contact details of the person who will deal with the complaint and a description of that person’s role in chambers or in the BSB entity (as appropriate); clear and comprehensive information about the chambers’ complaints procedure or the BSB entity’s Complaints Procedure (as appropriate) that will apply to their complaint and how it will be handled, including the information required in rC99B.1 and rC99B.2; the date by which the complainant will next hear from chambers or the BSB entity (as appropriate), including the timeline for the resolution of the complaint.

.2 Regular updates must be given to the complainant on the progress of their complaint.

.3 You must communicate with the complainant clearly, using plain and appropriate language.

.4 A complainant must be informed about the options available if the complainant is dissatisfied with the outcome of their first-tier complaint, including of any rights the complainant may have to make a complaint to the Legal Ombudsman (right to make a second-tier complaint) including the information specified in rC99B.1.b; how to make a second-tier complaint; the time limit for making a second-tier complaint; information about how to make a second-tier complaint available from the Legal Ombudsman; and full details of how to contact the Legal Ombudsman.

.5 You must communicate promptly the outcome of the complaint to the complainant, and if the outcome includes any offer of a suitable remedy, comply promptly with the remedy if accepted by the complainant.

rC105 When chambers or a BSB entity (as appropriate) has dealt with the complaint, complainants must be told in writing, or in accessible formats which meet their information needs, of their right to complain to the Legal Ombudsman (where applicable), of the time limit for doing so, and how to contact them.

rC106 All communications and documents relating to complaints must be kept confidential. They must be disclosed only so far as is necessary for .1 the investigation and resolution of the complaint; .2 internal review in order to improve chambers’ or the BSB entity’s (as appropriate) handling of complaints; .3 complying with requests from the Bar Standards Board in the exercise of its monitoring and/or auditing functions.

rC107 The disclosure to the Bar Standards Board of internal documents relating to the handling of the complaint (such as the minutes of any meeting held to discuss a particular complaint) for the further resolution or investigation of the complaint is not required.

rC108 .1 A record must be kept of each complaint, of all steps taken in response to it, and of the outcome of the complaint. Copies of all correspondence, including electronic mail, and all other documents generated in response to the complaint must also be kept. The records and copies should be kept for 6 years from resolution of the complaint.

.2 A summary of complaints received shall be submitted to the BSB in a manner determined by the BSB from time to time.

.3 Barristers in chambers, and employees and managers of BSB entities, must ensure that details of any complaints they receive and deal with are provided to their chambers/BSB entity, if the complaint relates to work at those chambers/BSB entity.

rC109 The person responsible for the administration of the procedure must report at least annually to either: the HOLP; or the appropriate member/committee of chambers, on the number of complaints received, on the subject areas of the complaints and on the outcomes. The complaints should be reviewed for trends, risks or issues. Reviews also need to include possible systemic issues in how complaints have been assessed, and resolved, and any service issues. Measures must be implemented to address those risks and issues. Appropriate training must be considered and undertaken, including provision of appropriate resources, to address the identified risks and issues.