Formal guidance

Please be aware that in the event of us dealing with a complaint about you or your firm we will ask you how you have applied our guidance and take that into account in our decision-making.  Not following our guidance could result in an additional complaint or a higher Complaints Levy being applied.

Formal guidance for solicitors

First tier complaint handling is our formal guidance for solicitors on dealing with complaints themselves (e.g. first tier complaints).

Prior to the publication of First tier complaint handling, our formal guidance was provided in the format of best practice notes.  These are now integrated into the consolidated guidance above but should you wish to view these best practice notes, they can be found here.

Formal guidance for advocates

This guide covers six basic principles of complaints handling and three steps to effective complaint handling.  It also includes an example of a model complaint handling process for Advocates.

Complaints log

The guidance above makes reference to a complaints log.  For a complaints process to be fully effective, it is important to record and collate centrally, information on complaints.  You can download our complaint log template below.