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How to Complain About Paralegals

Because paralegals are not yet formally regulated, knowing how to complain, and to whom, can be confusing.

This is our advice.

We are committed to enhancing the professionalism of the paralegal profession and the standard of service that is delivered. You can see on our Standards pages under the Standards tab above, the standards we set for paralegals, which show what is expected of paralegals at various levels of seniority. You can also find there our Code of Conduct that we require all our members to comply with. The most direct way that we can help you tehrefore is to take disciplinary action against a member who is found to have not lived up to the Standards or to have breached the Code of Conduct.

Even if the person or firm you wish to complain about is not a member of the Institute we will be pleased to offer you advice as to how to complain and seek redress. There is though some general advice that is worth bearing in mind when you think you may have a complaint:

• The best outcome for clients is usually that their complaint is dealt with speedily and in a way which allows them to continue working with their advisor. This means that your case is not delayed while everything is transferred to another advisor; it avoids disputes about payment for work done and the release of papers to a new advisor; and it usually builds a better and stronger relationship between you and your advisor. So unless there are some exceptional circumstances, the best advice at the start is to proceed politely and explain as soon as you can to your advisor what your worries or feelings are. This may avoid the need for you to make a complaint at all.
• Any complaints process will require a dialogue with the person or firm being complained about. The most direct and constructive way to raise a complaint is to begin that dialogue yourself at an early stage before the problem escalates into a formal dispute. Professional complaints bodies such as the Legal Services Ombudsman will usually expect you to have done this and to have given the person or firm the opportunity to put things right.
• It is often the case that the problem that clients are worried about isn't actually a problem at all. It may just be a misunderstanding of what is going on or poor communication by the advisor. Often when the client explains what has worried or upset them the advisor realises that they need to explain things more clearly.
• The golden rule therefore is to raise your concerns direct with the person or firm concerned as soon as possible as this has the best chance of clearing up any misunderstandings and preserving your relationship. If not, it will at least confirm that there is a problem and allow you to move on to a formal complaint at the earliest possible stage.
• Remember also that professional advisors are generally very keen to deliver good service and they will usually welcome feedback and complaints if they are done politely. It is very important in business to deliver good service and you may well be pleasantly surprised by how much your complaint matters to them and by the efforts they take to resolve it.

Complaints against Individual Paralegals

The first step should be to make a formal complaint to the firm or organisation that they work for. It is best to put this in writing and head it 'Complaint' so that there is no misunderstanding. Any good firm or organisation will have a complaints procedure. Certainly, if the paralegal in question works for a firm of solicitors this is the most effective first step.

If the paralegal is a member of the Institute then you may also complain to us and we will investigate. If the paralegal is found to have breached our Code of Conduct then disciplinary action will taken. We will also assess the paralegal against our Competency Standards in determining if he or she have carried out their duties to the appropriate standard. We will acknowldege your complaint in writing within 7 days of recieving it and inform you of the steps we are going to take. We will give you an update every 14 days.

Complaints against Paralegal Firms

Again the first step should be a formal complaint to the firm itself. It may have a complaints procedure and if, in due course, your complaint needs to be taken elsewhere, you may find that you will only be listened to if you first made a complaint to the firm itself and gave it the chance to put things right.

If that is unsuccessful then try to find out if the firm is a member of the Institute. If it is we will investigate and if the firm is found to have breached our Code of Conduct, disciplinary action will be taken.

Alternatively, if the firm does any of the following types of work it is likely to be registered or regulated as explained below and you should complain to the relevant authority:

• Immigration work

They will almost certainly be registered with the Office of the Immigrations Services Commissioner and have to fulfill her requirements (see http://www.oisc.gov.uk/)

• Claims related work

Firms that are not an exempted organisation (e.g. a solicitors' firm) but who do most legally-related work in connection with claims involving: personal injury; work-related injury, disease or disability; criminal injuries compensation; Industrial Injuries Disablement Benefit; employment; housing disrepair or financial products and services,  first need to be registered with the Ministry of Justice under the Compensation Act 2006. The Act was meant to regulate claims management companies, but was drafted so widely that it caught paralegal law firms too. Regulated providers are required to comply with conduct rules which are explained on the Ministry of Justice Conduct of Business page (https://www.claimsregulation.gov.uk/conduct.aspx).

• Financial services related work

Giving most types of financial advice (including mortgage and insurance related advice) is governed by the regulatory/registration scheme established under the Financial Services and Markets Act 2000, and run by the Financial Services Authority (FSA). The FSA has a number of complaints schemes which are explained on the complaints page of their website (http://www.fsa.gov.uk/Pages/About/complaints/schemes/index.shtml).

We are here to help

It is a matter of concern that paralegals are largely unregulated and we are actively lobbying government and the other legal sector regulators on this point. In the meantime, as the leading paralegal body, we offer free advice to tthe public about how best to raise a complaint. Please remember that we are not a regulator and do not have any powers to compel action to be taken or to award compensation. We can, however, discipline members of the Institute and advise you on how to complain and to whom. For further advice contact us at complaints@ theiop.org (note break in email address to impede spammers)

Competency Standards for paralegals and legal secretaries

Regulation and Professional Conduct

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