Part 1: Strategic Change, Vision and key aspects of the regulatory model
Question 1. From the options listed, how important do you think each of the following principles and objectives are for any future regulatory model for legal services in Scotland?
| Protecting and promoting the public interest including the interests of users of legal services Very important Radio button: Checked Very important | Protecting and promoting the public interest including the interests of users of legal services Somewhat important Radio button: Not checked Somewhat important | Protecting and promoting the public interest including the interests of users of legal services Not important Radio button: Not checked Not important | Protecting and promoting the public interest including the interests of users of legal services Should be removed Radio button: Not checked Should be removed |
| Supporting the constitutional principle of the rule of law Very important Radio button: Checked Very important | Supporting the constitutional principle of the rule of law Somewhat important Radio button: Not checked Somewhat important | Supporting the constitutional principle of the rule of law Not important Radio button: Not checked Not important | Supporting the constitutional principle of the rule of law Should be removed Radio button: Not checked Should be removed |
| Promoting independent legal professions and maintaining adherence to the professional principles Very important Radio button: Checked Very important | Promoting independent legal professions and maintaining adherence to the professional principles Somewhat important Radio button: Not checked Somewhat important | Promoting independent legal professions and maintaining adherence to the professional principles Not important Radio button: Not checked Not important | Promoting independent legal professions and maintaining adherence to the professional principles Should be removed Radio button: Not checked Should be removed |
| Improving access to justice including choice, accessibility, affordability and understanding of services by service users Very important Radio button: Checked Very important | Improving access to justice including choice, accessibility, affordability and understanding of services by service users Somewhat important Radio button: Not checked Somewhat important | Improving access to justice including choice, accessibility, affordability and understanding of services by service users Not important Radio button: Not checked Not important | Improving access to justice including choice, accessibility, affordability and understanding of services by service users Should be removed Radio button: Not checked Should be removed |
| Embedding a modern culture of prevention, quality assurance and compliance Very important Radio button: Not checked Very important | Embedding a modern culture of prevention, quality assurance and compliance Somewhat important Radio button: Not checked Somewhat important | Embedding a modern culture of prevention, quality assurance and compliance Not important Radio button: Not checked Not important | Embedding a modern culture of prevention, quality assurance and compliance Should be removed Radio button: Checked Should be removed |
| Working collaboratively with consumer, legal professional bodies, and representatives of legal service providers as appropriate. Very important Radio button: Not checked Very important | Working collaboratively with consumer, legal professional bodies, and representatives of legal service providers as appropriate. Somewhat important Radio button: Not checked Somewhat important | Working collaboratively with consumer, legal professional bodies, and representatives of legal service providers as appropriate. Not important Radio button: Not checked Not important | Working collaboratively with consumer, legal professional bodies, and representatives of legal service providers as appropriate. Should be removed Radio button: Checked Should be removed |
| Embedding the better regulation principles throughout its areas of responsibility (additionally; agility, independence, prevention, improvement, cost consideration of cost, and efficiency). Very important Radio button: Not checked Very important | Embedding the better regulation principles throughout its areas of responsibility (additionally; agility, independence, prevention, improvement, cost consideration of cost, and efficiency). Somewhat important Radio button: Not checked Somewhat important | Embedding the better regulation principles throughout its areas of responsibility (additionally; agility, independence, prevention, improvement, cost consideration of cost, and efficiency). Not important Radio button: Not checked Not important | Embedding the better regulation principles throughout its areas of responsibility (additionally; agility, independence, prevention, improvement, cost consideration of cost, and efficiency). Should be removed Radio button: Checked Should be removed |
| Promoting innovation, diversity and competition in the provision of legal services Very important Radio button: Not checked Very important | Promoting innovation, diversity and competition in the provision of legal services Somewhat important Radio button: Not checked Somewhat important | Promoting innovation, diversity and competition in the provision of legal services Not important Radio button: Not checked Not important | Promoting innovation, diversity and competition in the provision of legal services Should be removed Radio button: Checked Should be removed |
Question 2. From the options listed, how important do you think each of the following are in supporting the framework of any future regulatory model?
| Enable access to justice including choice and diversity Very important Radio button: Checked Very important | Enable access to justice including choice and diversity Somewhat important Radio button: Not checked Somewhat important | Enable access to justice including choice and diversity Not important Radio button: Not checked Not important | Enable access to justice including choice and diversity Should be removed Radio button: Not checked Should be removed |
| Uphold the rule of law and the proper administration of justice Very important Radio button: Checked Very important | Uphold the rule of law and the proper administration of justice Somewhat important Radio button: Not checked Somewhat important | Uphold the rule of law and the proper administration of justice Not important Radio button: Not checked Not important | Uphold the rule of law and the proper administration of justice Should be removed Radio button: Not checked Should be removed |
| Offer accountability in protecting the public and consumer interest Very important Radio button: Checked Very important | Offer accountability in protecting the public and consumer interest Somewhat important Radio button: Not checked Somewhat important | Offer accountability in protecting the public and consumer interest Not important Radio button: Not checked Not important | Offer accountability in protecting the public and consumer interest Should be removed Radio button: Not checked Should be removed |
| Offer accountability to those regulated by the framework Very important Radio button: Checked Very important | Offer accountability to those regulated by the framework Somewhat important Radio button: Not checked Somewhat important | Offer accountability to those regulated by the framework Not important Radio button: Not checked Not important | Offer accountability to those regulated by the framework Should be removed Radio button: Not checked Should be removed |
| Secure the confidence and trust of the public Very important Radio button: Checked Very important | Secure the confidence and trust of the public Somewhat important Radio button: Not checked Somewhat important | Secure the confidence and trust of the public Not important Radio button: Not checked Not important | Secure the confidence and trust of the public Should be removed Radio button: Not checked Should be removed |
| Enable future growth of legal services Very important Radio button: Checked Very important | Enable future growth of legal services Somewhat important Radio button: Not checked Somewhat important | Enable future growth of legal services Not important Radio button: Not checked Not important | Enable future growth of legal services Should be removed Radio button: Not checked Should be removed |
Question 3 . From the options listed, how important do you think each of the following criteria is in a regulatory framework?
| Support and promote sustainable legal services, which benefit consumers Very important Radio button: Checked Very important | Support and promote sustainable legal services, which benefit consumers Somewhat important Radio button: Not checked Somewhat important | Support and promote sustainable legal services, which benefit consumers Not important Radio button: Not checked Not important | Support and promote sustainable legal services, which benefit consumers Should be removed Radio button: Not checked Should be removed |
| Agile Very important Radio button: Not checked Very important | Agile Somewhat important Radio button: Not checked Somewhat important | Agile Not important Radio button: Not checked Not important | Agile Should be removed Radio button: Checked Should be removed |
| Risk based Very important Radio button: Not checked Very important | Risk based Somewhat important Radio button: Not checked Somewhat important | Risk based Not important Radio button: Not checked Not important | Risk based Should be removed Radio button: Checked Should be removed |
| Efficient Very important Radio button: Checked Very important | Efficient Somewhat important Radio button: Not checked Somewhat important | Efficient Not important Radio button: Not checked Not important | Efficient Should be removed Radio button: Not checked Should be removed |
| Outcomes based Very important Radio button: Not checked Very important | Outcomes based Somewhat important Radio button: Not checked Somewhat important | Outcomes based Not important Radio button: Not checked Not important | Outcomes based Should be removed Radio button: Checked Should be removed |
| A proactive focus continuous improvement and prevention of failures (which lead to complaints) Very important Radio button: Not checked Very important | A proactive focus continuous improvement and prevention of failures (which lead to complaints) Somewhat important Radio button: Not checked Somewhat important | A proactive focus continuous improvement and prevention of failures (which lead to complaints) Not important Radio button: Not checked Not important | A proactive focus continuous improvement and prevention of failures (which lead to complaints) Should be removed Radio button: Checked Should be removed |
| Proportionality Very important Radio button: Not checked Very important | Proportionality Somewhat important Radio button: Not checked Somewhat important | Proportionality Not important Radio button: Not checked Not important | Proportionality Should be removed Radio button: Checked Should be removed |
| An increased focus on independence and accountability Very important Radio button: Not checked Very important | An increased focus on independence and accountability Somewhat important Radio button: Not checked Somewhat important | An increased focus on independence and accountability Not important Radio button: Not checked Not important | An increased focus on independence and accountability Should be removed Radio button: Checked Should be removed |
Part 2: Regulatory models and landscape (page 1 of 2)
Question 4. To what extent do you agree or disagree with this recommendation?
Please select one item
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Unticked
Strongly agree
Radio button:
Ticked
Mostly agree
Radio button:
Unticked
Mostly disagree
Radio button:
Unticked
Strongly disagree
Please give reasons for your answer
Regulation and representation should be separated. It may be in future that there is more than one regulator to deal with multi-disciplinary practices. practice units might be able to choose which regulator they sign up with but there should only be one regulator per firm to avoid confusion.
Question 5. Of the three regulatory models described, which one would you prefer to see implemented?
| Of the three regulatory models described above, which one would you prefer to see implemented? Option 1: Roberton Model Radio button: Checked Option 1: Roberton Model | Of the three regulatory models described above, which one would you prefer to see implemented? Option 2: Market Regulator Model Radio button: Not checked Option 2: Market Regulator Model | Of the three regulatory models described above, which one would you prefer to see implemented? Option 3: Enhanced accountability and transparency model Radio button: Not checked Option 3: Enhanced accountability and transparency model |
Question 6. Of the three regulatory models described above, please rank them in the order you would most like to see implemented? 1 most liked to see implemented, and 3 least liked to see implemented.
Please rank these from 1 to 3
Option 1: Roberton Model
1
Option 2: Market Regulator Model
2
Option 3: Enhanced accountability and transparency model
3
Question 7. Please rank in importance the aspects of regulation you would most like to see handled by professional regulatory bodies, through independent regulatory committees? 1 most liked to see handled and 3 least liked to see handled
Please rank these from 1 to 3
Education and entry
3
Oversight of standards and conduct
1
Complaints and redress
2
Please give reasons for your answer.
Oversight of standards and dealing with complaints really go hand in hand.
Question 13. To what extent do you agree or disagree with the Roberton report, that the legislative approach should make clear the role of the Lord President and the Court of Session in the regulatory framework?
Please select one item
Radio button:
Ticked
Strongly agree
Radio button:
Unticked
Mostly agree
Radio button:
Unticked
Mostly disagree
Radio button:
Unticked
Strongly disagree
Question 14. To what extent do you agree or disagree that the role of the Lord President and Court of Session in the regulatory framework in Scotland is important in safeguarding the independence of the legal profession?
Please select one item
Radio button:
Ticked
Strongly agree
Radio button:
Unticked
Mostly agree
Radio button:
Unticked
Mostly disagree
Radio button:
Unticked
Strongly disagree
Question 15. Should the Lord President and Court of Session have a ‘consultative’ role, or ‘consent’ role with regard to the following potential changes to the operation of any new regulatory framework?
| Changes to professional rules: practice rules, conduct and discipline? Consultative role Radio button: Not checked Consultative role | Changes to professional rules: practice rules, conduct and discipline? Consent role Radio button: Checked Consent role |
| Changes in relation to complaints practice and procedure? Consultative role Radio button: Not checked Consultative role | Changes in relation to complaints practice and procedure? Consent role Radio button: Checked Consent role |
| New entrants to the market seeking to conduct of litigation and exercise right of audience? Consultative role Radio button: Not checked Consultative role | New entrants to the market seeking to conduct of litigation and exercise right of audience? Consent role Radio button: Checked Consent role |
Please give reasons for your answer.
Important factor in maintaining the independence of the profession.
Question 16. To what extent do you agree or disagree that the Lord President should have a role in any new regulatory framework in arbitrating any disagreements between independent Regulatory Committees and the professional regulatory bodies?
Please select one item
Radio button:
Ticked
Strongly agree
Radio button:
Unticked
Mostly agree
Radio button:
Unticked
Mostly disagree
Radio button:
Unticked
Strongly disagree
Part 2: Regulatory models and landscape (page 2 of 2)
Question 18. To what extent do you agree or disagree that regulatory committees, as described in the consultation, should be incorporated into any future regulatory framework?
Please select one item
Radio button:
Unticked
Strongly agree
Radio button:
Unticked
Mostly agree
Radio button:
Ticked
Mostly disagree
Radio button:
Unticked
Strongly disagree
Question 19. To what extent do you agree or disagree that Regulators should be required by statute to ensure that Regulatory Committees are suitably resourced, with a certain quota of persons being exclusively ring-fenced for dealing with regulation?
Please select one item
Radio button:
Unticked
Strongly agree
Radio button:
Ticked
Mostly agree
Radio button:
Unticked
Mostly disagree
Radio button:
Unticked
Strongly disagree
Question 23. To what extent do you agree or disagree that there should be a test to ensure that non-lawyer owners and managers of legal entities are fit and proper persons?
Please select one item
Radio button:
Ticked
Strongly agree
Radio button:
Unticked
Mostly agree
Radio button:
Unticked
Mostly disagree
Radio button:
Unticked
Strongly disagree
Part 3: Legal Services providers and structures
Question 43. To what extent do you agree or disagree that entity regulation should be introduced?
Please select one item
Radio button:
Ticked
Strongly agree
Radio button:
Unticked
Mostly agree
Radio button:
Unticked
Mostly disagree
Radio button:
Unticked
Strongly disagree
Question 44. To what extent do you agree or disagree that all entities providing legal services to the public and corporate entities should be subject to a “fitness to be an entity” test?
Please select one item
Radio button:
Ticked
Strongly agree
Radio button:
Unticked
Mostly agree
Radio button:
Unticked
Mostly disagree
Radio button:
Unticked
Strongly disagree
Part 4: Complaints and Redress
Question 47. To what extent do you agree or disagree that there should be a single gateway for all legal complaints?
Please select one item
Radio button:
Ticked
Strongly agree
Radio button:
Unticked
Mostly agree
Radio button:
Unticked
Mostly disagree
Radio button:
Unticked
Strongly disagree
Question 50. From the complaint issues below please give a preference between the options a) an independent body or; b) a professional regulatory body; who you think should investigate each of the following:
| Service A) an independent body Radio button: Checked A) an independent body | Service B) a professional body Radio button: Not checked B) a professional body |
| Unsatisfactory conduct A) an independent body Radio button: Checked A) an independent body | Unsatisfactory conduct B) a professional body Radio button: Not checked B) a professional body |
| Professional misconduct A) an independent body Radio button: Checked A) an independent body | Professional misconduct B) a professional body Radio button: Not checked B) a professional body |
Question 51. To what extent do you agree or disagree that there should be a level of redress for all legal complaints, regardless of regulated activity?
Please select one item
Radio button:
Ticked
Strongly agree
Radio button:
Unticked
Mostly agree
Radio button:
Unticked
Mostly disagree
Radio button:
Unticked
Strongly disagree
Question 52. To what extent do you agree or disagree that there should be a single Discipline Tribunal for legal professionals, incorporated into the Scottish Courts and Tribunals Service?
Please select one item
Radio button:
Ticked
Strongly agree
Radio button:
Unticked
Mostly agree
Radio button:
Unticked
Mostly disagree
Radio button:
Unticked
Strongly disagree
Question 53. To what extent do you agree or disagree that any future legal complaints model should incorporate the requirement for the complaints budget to require the approval of the Scottish Parliament?
Please select one item
Radio button:
Ticked
Strongly agree
Radio button:
Unticked
Mostly agree
Radio button:
Unticked
Mostly disagree
Radio button:
Unticked
Strongly disagree
Question 54. From the options listed how important do you think each of the following principles and objectives are for any future regulatory model? Model 1 (Roberton report recommendation)
| Uphold the rule of law and the proper administration of justice. Very important Radio button: Checked Very important | Uphold the rule of law and the proper administration of justice. Somewhat important Radio button: Not checked Somewhat important | Uphold the rule of law and the proper administration of justice. Not important Radio button: Not checked Not important | Uphold the rule of law and the proper administration of justice. Should be removed Radio button: Not checked Should be removed |
| Provide access to justice. Very important Radio button: Checked Very important | Provide access to justice. Somewhat important Radio button: Not checked Somewhat important | Provide access to justice. Not important Radio button: Not checked Not important | Provide access to justice. Should be removed Radio button: Not checked Should be removed |
| Operate for the public interests (offer accountability in protecting the public and consumer interest). Very important Radio button: Checked Very important | Operate for the public interests (offer accountability in protecting the public and consumer interest). Somewhat important Radio button: Not checked Somewhat important | Operate for the public interests (offer accountability in protecting the public and consumer interest). Not important Radio button: Not checked Not important | Operate for the public interests (offer accountability in protecting the public and consumer interest). Should be removed Radio button: Not checked Should be removed |
| Have a high degree of public confidence and trust, embedding a modern culture of prevention, continuous quality improvement, quality assurance and compliance. Promote improvements, use information and evidence gathered to identify sector-wide issues. Very important Radio button: Not checked Very important | Have a high degree of public confidence and trust, embedding a modern culture of prevention, continuous quality improvement, quality assurance and compliance. Promote improvements, use information and evidence gathered to identify sector-wide issues. Somewhat important Radio button: Not checked Somewhat important | Have a high degree of public confidence and trust, embedding a modern culture of prevention, continuous quality improvement, quality assurance and compliance. Promote improvements, use information and evidence gathered to identify sector-wide issues. Not important Radio button: Not checked Not important | Have a high degree of public confidence and trust, embedding a modern culture of prevention, continuous quality improvement, quality assurance and compliance. Promote improvements, use information and evidence gathered to identify sector-wide issues. Should be removed Radio button: Checked Should be removed |
| Work collaboratively with consumer and legal professional bodies as appropriate. Encourage companies to act on complaints data. Publish guidance, and provide training to help firms and the sector improve complaint handling. Provide support for 1st tier complaints management (be able to provide guidance on handling). Very important Radio button: Not checked Very important | Work collaboratively with consumer and legal professional bodies as appropriate. Encourage companies to act on complaints data. Publish guidance, and provide training to help firms and the sector improve complaint handling. Provide support for 1st tier complaints management (be able to provide guidance on handling). Somewhat important Radio button: Not checked Somewhat important | Work collaboratively with consumer and legal professional bodies as appropriate. Encourage companies to act on complaints data. Publish guidance, and provide training to help firms and the sector improve complaint handling. Provide support for 1st tier complaints management (be able to provide guidance on handling). Not important Radio button: Not checked Not important | Work collaboratively with consumer and legal professional bodies as appropriate. Encourage companies to act on complaints data. Publish guidance, and provide training to help firms and the sector improve complaint handling. Provide support for 1st tier complaints management (be able to provide guidance on handling). Should be removed Radio button: Checked Should be removed |
| Embed the better regulation and consumer principles throughout its areas of responsibility. Very important Radio button: Not checked Very important | Embed the better regulation and consumer principles throughout its areas of responsibility. Somewhat important Radio button: Not checked Somewhat important | Embed the better regulation and consumer principles throughout its areas of responsibility. Not important Radio button: Not checked Not important | Embed the better regulation and consumer principles throughout its areas of responsibility. Should be removed Radio button: Checked Should be removed |
| Accessible, remove barriers to people seeking the redress they are entitled to. There should be a single gateway and investigation for complaints. 3rd party complaints would be allowed. Very important Radio button: Not checked Very important | Accessible, remove barriers to people seeking the redress they are entitled to. There should be a single gateway and investigation for complaints. 3rd party complaints would be allowed. Somewhat important Radio button: Not checked Somewhat important | Accessible, remove barriers to people seeking the redress they are entitled to. There should be a single gateway and investigation for complaints. 3rd party complaints would be allowed. Not important Radio button: Not checked Not important | Accessible, remove barriers to people seeking the redress they are entitled to. There should be a single gateway and investigation for complaints. 3rd party complaints would be allowed. Should be removed Radio button: Not checked Should be removed |
| Effective, able to resolve consumer complaints and have adequate enforcement powers to hold providers to account when things go wrong. Very important Radio button: Not checked Very important | Effective, able to resolve consumer complaints and have adequate enforcement powers to hold providers to account when things go wrong. Somewhat important Radio button: Not checked Somewhat important | Effective, able to resolve consumer complaints and have adequate enforcement powers to hold providers to account when things go wrong. Not important Radio button: Not checked Not important | Effective, able to resolve consumer complaints and have adequate enforcement powers to hold providers to account when things go wrong. Should be removed Radio button: Checked Should be removed |
| Transparent, publish a range of information including decision criteria, complaints data and outcomes of cases. Be able to advise on trends and issues emerging from 1s tier complaints. Very important Radio button: Not checked Very important | Transparent, publish a range of information including decision criteria, complaints data and outcomes of cases. Be able to advise on trends and issues emerging from 1s tier complaints. Somewhat important Radio button: Not checked Somewhat important | Transparent, publish a range of information including decision criteria, complaints data and outcomes of cases. Be able to advise on trends and issues emerging from 1s tier complaints. Not important Radio button: Not checked Not important | Transparent, publish a range of information including decision criteria, complaints data and outcomes of cases. Be able to advise on trends and issues emerging from 1s tier complaints. Should be removed Radio button: Checked Should be removed |
| Have an increased focus on independence and accountability. Provide an impartial service to both consumers and providers. Accountable, to a competent authority or a regulator. Undertake periodic reviews on the effectiveness of ADR schemes and publish the results. Very important Radio button: Not checked Very important | Have an increased focus on independence and accountability. Provide an impartial service to both consumers and providers. Accountable, to a competent authority or a regulator. Undertake periodic reviews on the effectiveness of ADR schemes and publish the results. Somewhat important Radio button: Not checked Somewhat important | Have an increased focus on independence and accountability. Provide an impartial service to both consumers and providers. Accountable, to a competent authority or a regulator. Undertake periodic reviews on the effectiveness of ADR schemes and publish the results. Not important Radio button: Not checked Not important | Have an increased focus on independence and accountability. Provide an impartial service to both consumers and providers. Accountable, to a competent authority or a regulator. Undertake periodic reviews on the effectiveness of ADR schemes and publish the results. Should be removed Radio button: Checked Should be removed |
| Enable early consensual resolution, which would include mediation as a key process should be built upon. Very important Radio button: Not checked Very important | Enable early consensual resolution, which would include mediation as a key process should be built upon. Somewhat important Radio button: Not checked Somewhat important | Enable early consensual resolution, which would include mediation as a key process should be built upon. Not important Radio button: Not checked Not important | Enable early consensual resolution, which would include mediation as a key process should be built upon. Should be removed Radio button: Checked Should be removed |
| Provide prompt resolution, proportionate to the complexity of the complaint. Very important Radio button: Not checked Very important | Provide prompt resolution, proportionate to the complexity of the complaint. Somewhat important Radio button: Not checked Somewhat important | Provide prompt resolution, proportionate to the complexity of the complaint. Not important Radio button: Not checked Not important | Provide prompt resolution, proportionate to the complexity of the complaint. Should be removed Radio button: Checked Should be removed |
| The levy for entities should be on a financial turnover basis. Very important Radio button: Not checked Very important | The levy for entities should be on a financial turnover basis. Somewhat important Radio button: Not checked Somewhat important | The levy for entities should be on a financial turnover basis. Not important Radio button: Not checked Not important | The levy for entities should be on a financial turnover basis. Should be removed Radio button: Checked Should be removed |
| Appeals process simplified whilst adhering to ECHR. No appeal from the Complaints Ombudsman, but the ability to appeal to the Court of Session in relation to misconduct. Very important Radio button: Not checked Very important | Appeals process simplified whilst adhering to ECHR. No appeal from the Complaints Ombudsman, but the ability to appeal to the Court of Session in relation to misconduct. Somewhat important Radio button: Not checked Somewhat important | Appeals process simplified whilst adhering to ECHR. No appeal from the Complaints Ombudsman, but the ability to appeal to the Court of Session in relation to misconduct. Not important Radio button: Not checked Not important | Appeals process simplified whilst adhering to ECHR. No appeal from the Complaints Ombudsman, but the ability to appeal to the Court of Session in relation to misconduct. Should be removed Radio button: Checked Should be removed |
| There should be no appeal in terms of the amount of compensation awarded, similar to other professions. Very important Radio button: Not checked Very important | There should be no appeal in terms of the amount of compensation awarded, similar to other professions. Somewhat important Radio button: Not checked Somewhat important | There should be no appeal in terms of the amount of compensation awarded, similar to other professions. Not important Radio button: Not checked Not important | There should be no appeal in terms of the amount of compensation awarded, similar to other professions. Should be removed Radio button: Checked Should be removed |
Question 54 continued . From the options listed how important do you think each of the following principles and objectives are for any future regulatory model? Model Options 2 & 3
| There should be a Memorandum of Understanding between the complaints body and the professional bodies on cross-referring cases. Very important Radio button: Not checked Very important | There should be a Memorandum of Understanding between the complaints body and the professional bodies on cross-referring cases. Somewhat important Radio button: Not checked Somewhat important | There should be a Memorandum of Understanding between the complaints body and the professional bodies on cross-referring cases. Not important Radio button: Not checked Not important | There should be a Memorandum of Understanding between the complaints body and the professional bodies on cross-referring cases. Should be removed Radio button: Checked Should be removed |
| The presence of conduct issues should not delay, complicate the process or disadvantage the outcome of service complaints for consumers. Very important Radio button: Not checked Very important | The presence of conduct issues should not delay, complicate the process or disadvantage the outcome of service complaints for consumers. Somewhat important Radio button: Not checked Somewhat important | The presence of conduct issues should not delay, complicate the process or disadvantage the outcome of service complaints for consumers. Not important Radio button: Not checked Not important | The presence of conduct issues should not delay, complicate the process or disadvantage the outcome of service complaints for consumers. Should be removed Radio button: Checked Should be removed |
Question 55. Please provide any further comments on the proposals set out in this consultation in the box below.
Please provide any further comments on the proposals set out in this consultation in the box below
We have suggested removal of most of these things, not because we necessarily disagree with them but because they are far two woolly and couched in management-speak to have any real meaning. We would rather see the guiding principles set out and then leave it to the regulator to agree the details with the professional bodies.
The complaints system desperately requires a sifting process. From the point of view of the firm or individual solicitor the process is cumbersome and time consuming. What particularly sticks in the craw is that in trying to bend over backwards to help the "consumer" the system is far too open to abuse by frivolous, vexatious or irrational individuals who can fire off complaints which have no substance with complete impunity. The "polluter pays" principle is flawed and quite simply unfair when the assumption is made that simply being complained about is in itself enough to see one deemed to be a "polluter" even when, after much anxiety and a great deal of expensive time, a complaint is found to be without any merit whatsoever. The initial complaint should be assessed by two people. an experienced legal practitioner and a non-lawyer. Only if they decide that there is a case to answer is the complaint sent to the complainee for comment with the same people considering the comments along with the file. Anyone who submits more than one unmerited complaint should be put on notice that they may be required to pay the regulator's expenses if they make any further unmerited complaints within 3 years.
The complaints body should not be funded entirely by the profession. It is operating in the public interest and the public should pay some of the costs to cover some of the unmerited complaints and perhaps reasonable but ultimately unsuccessful complaints. A firm or individual against whom a successful complaint is made should be required to pay expenses as deemed appropriate.
The complaints system desperately requires a sifting process. From the point of view of the firm or individual solicitor the process is cumbersome and time consuming. What particularly sticks in the craw is that in trying to bend over backwards to help the "consumer" the system is far too open to abuse by frivolous, vexatious or irrational individuals who can fire off complaints which have no substance with complete impunity. The "polluter pays" principle is flawed and quite simply unfair when the assumption is made that simply being complained about is in itself enough to see one deemed to be a "polluter" even when, after much anxiety and a great deal of expensive time, a complaint is found to be without any merit whatsoever. The initial complaint should be assessed by two people. an experienced legal practitioner and a non-lawyer. Only if they decide that there is a case to answer is the complaint sent to the complainee for comment with the same people considering the comments along with the file. Anyone who submits more than one unmerited complaint should be put on notice that they may be required to pay the regulator's expenses if they make any further unmerited complaints within 3 years.
The complaints body should not be funded entirely by the profession. It is operating in the public interest and the public should pay some of the costs to cover some of the unmerited complaints and perhaps reasonable but ultimately unsuccessful complaints. A firm or individual against whom a successful complaint is made should be required to pay expenses as deemed appropriate.
About you
Are you responding as an individual or an organisation?
Please select one item
(Required)
Radio button:
Unticked
Individual
Radio button:
Ticked
Organisation
What is your organisation?
Organisation
Lows Orkney Ltd