Complaints Handling and the Legal Ombudsman

Legal Services > Complaints Handling and the Legal Ombudsman

Every law firm must have a complaints procedure, and every SQE1 candidate must understand how complaints are handled—both internally and by the Legal Ombudsman. This topic tests your knowledge of the two-stage complaints process and the boundaries of the Legal Ombudsman's jurisdiction. A common trap is confusing which body handles which type of complaint.

What Is the Complaints Handling Framework in SQE1?

Candidates frequently lose marks on SQE1 by confusing the role of the Legal Ombudsman with the SRA — the LeO handles service complaints, while the SRA deals with professional conduct breaches. The complaints framework operates in two stages. First, the client complains to the law firm using its internal complaints procedure. If the complaint is not resolved satisfactorily (or within eight weeks), the client can escalate it to the Legal Ombudsman (LeO)—an independent body established by the Legal Services Act 2007 to resolve disputes between legal service providers and their clients. The Legal Ombudsman deals with service complaints (poor service, unreasonable fees, delays). It does not deal with professional misconduct—that is the SRA's role.

Understanding complaints handling is critical because it intersects with Professional Discipline and Enforcement and SRA Principles. Examiners test whether you can distinguish between service complaints (LeO's jurisdiction) and conduct complaints (SRA's jurisdiction).

Key Principles for SQE1

Internal Complaints Procedure: Every firm authorised by the SRA must have a written complaints procedure and inform clients about it at the outset of the retainer. This is not optional; it is a mandatory requirement.
First-Tier Complaint: The client must first use the firm's internal complaints procedure before approaching the Legal Ombudsman. The firm must provide a final response within eight weeks (or longer if the client agrees).
Legal Ombudsman Jurisdiction: The LeO covers complaints about the service provided by authorised legal service providers. The complainant must be an individual, a micro-enterprise, a charity, a trust, or a personal representative. Large commercial clients are generally excluded.
Service vs Conduct Complaints: The Legal Ombudsman deals with service complaints (delays, poor service, unreasonable fees). The SRA deals with conduct complaints (breaches of the SRA Principles and Code of Conduct). These are separate jurisdictions, though a complaint can engage both simultaneously.
Time Limits for the Legal Ombudsman: The complaint must be made within one year of the act or omission (or within one year of when the complainant should reasonably have known about it), and within one year of receiving a final response from the firm (or within one year of the expiry of the eight-week period if no final response is received).
Remedies Available: The Legal Ombudsman can award an apology, return of documents, a reduction or refund of fees, compensation for loss or distress (capped), or directing the firm to put things right.

Exam tip

The jurisdiction trap: the Legal Ombudsman deals with service complaints (delays, fees, poor service), not conduct breaches. The SRA deals with conduct breaches. A client can complain to both simultaneously, but you must identify which route applies to which issue. If it's "poor service," it's LeO. If it's "breach of SRA Principles," it's SRA.

How This Appears in SQE1 Questions

SQE1 questions test whether you can identify the correct complaints route. The classic trap is directing a service complaint to the SRA or a conduct complaint to the Legal Ombudsman—each body has a distinct role. Questions also test the time limits and whether the client has completed the first-tier process before escalating. Watch for scenarios involving commercial clients that fall outside the Legal Ombudsman's jurisdiction (large businesses are generally excluded).

A client is dissatisfied with the slow progress of her personal injury claim. She has not received updates for three months. She contacts the Legal Ombudsman directly without first raising the issue with her solicitor's firm.

This is a classic SQE1 trap.

Common Mistakes Students Make

Confusing the Legal Ombudsman (service complaints) with the SRA (conduct complaints).
Forgetting that the client must use the firm's internal complaints procedure first before escalating to the Legal Ombudsman.
Overlooking the time limits for making a complaint to the Legal Ombudsman.
Assuming all clients can complain to the Legal Ombudsman—large commercial clients are generally excluded.

Quick Summary

All firms must have a written complaints procedure and inform clients about it at the outset.
Clients must first exhaust the firm's internal complaints procedure (first-tier) before escalating to the Legal Ombudsman.
Legal Ombudsman deals with service complaints only (poor service, delays, unreasonable fees), not conduct complaints.
Time limits for Legal Ombudsman: complaint must be made within one year of the act/omission and within one year of receiving the firm's final response.
Jurisdiction of Legal Ombudsman limited to individuals, micro-enterprises, charities, trusts and personal representatives (not large commercial clients).
The SRA handles conduct complaints (breaches of SRA Principles/Code of Conduct); Legal Ombudsman handles service complaints—separate jurisdictions.

Want to test this now? Try a few SQE1-style questions below before moving on.

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Practise Complaints Handling and the Legal Ombudsman Questions for SQE1

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Complaints Handling and the Legal Ombudsman for SQE1