Risk management

Catching complaints

One important part of good risk management is the handling of complaints.

By complaint we do not mean an actual claim.

A complaint can involve anything and everything which a client believes has not been carried out to their complete satisfaction.

Even though you may believe a client is being petty, it is wise to remember that complaints, if not dealt with thoroughly, can often result in a negligence claim.

So what should you and your practice be doing to minimise the risk of complaints becoming claims?

- Firstly, ensure that somebody picks up your messages if you are out of the office for the day.

This does not mean only telephone messages, but also e-mails.

If your secretary or assistant knows you will be out of the office all day, then they should relay this to anyone calling.

The same with e-mails.

All e-mails should be replied to informing the sender that you will be away all day and will reply on your return.

- Secondly, if you are going to be out of the office for more than a day, make sure you have someone else dealing with your work load efficiently.

This is especially important in the case of ex-clients.

Where your assistant solicitor might be happy responding to calls from current clients in your absence, the assistant might believe anything from an ex-client is not relevant and can wait until you return.

Explain fully to your assistant that, in your absence, everything needs to be followed up and acted on and, if necessary, the assistant should enlist the help of a partner.

- Thoroughly check all complaints.

Sometimes a client will make a complaint and you will be certain that he is wrong.

Never presume you are correct; you need to ensure that this is so.

If this involves getting archive boxes out of storage then do so.

It could be the case that something you assumed had been done hasn't, in which case you need to act fast to try to remedy the situation and prevent a notification of negligence.

However, if the client is wrong and everything is in fact in hand, then you will need to send your client proof that this is so.

- Be timely.

Once a client has complained to you, do not sit back and forget about it.

Although you may have much fee paying work which needs progressing, it is still important to take time to deal with the complaint.

A swift response will keep the client happy and reassure them they have not been forgotten.

Even if the complaint is unfounded, a timely response will prevent a lot of aggravation at a later date.

Therefore, make sure you give all complaints the full attention they warrant.

What may seem - and actually be - a trivial complaint from an overzealous client making a fuss about nothing, should still always be treated seriously.

It is far better to take action and investigate all your clients complaints than run the risk of ignoring the one supposedly nonsensical complaint, which may give rise to a negligence claim.

This column was prepared by the Alexander Forbes Professions risk management team