Linda Nicholson, The Research Shop
Scottish Executive, Edinburgh 2005
ISBN 0 7559 4859 9
This document is also available in pdf format (552k)
Contents
Acknowledgements
Executive Summary
Chapter 1: Background to the Consultation
Chapter 2: The Consultation Process
Chapter 3: Reflections On The Consultation Process
Chapter 4: Taking Forward The Justice 1 Committee's Recommendations
Q1 Do you think that the Law Society of Scotland should keep its regulatory and representative functions undivided as at present?
Q2 What benefits, if any, would there be in splitting or ring-fencing these functions?
Q3 Would the management of the Society's Client Relations Office by a Consumer Complaints Board (with a lay chair and lay majority) be a useful measure to build confidence in the independence of complaints handling arrangements?
Summary Points
Chapter 5: Options for Changing the Structure of Complaints Handling
Q4 Do you think that such an increase in the powers of the Scottish Legal Services Ombudsman would of itself be enough to ensure public confidence in the complaints handling arrangements in Scotland?
Q5 Do you think that this Option strikes the right balance between independence and self-regulation?
Views on the Single Gateway
Q6 What do you see as the advantages and disadvantages of a gateway with oversight functions?
Q7 Do you support a substantive gateway on the Option C model? What do see as its advantages?
Q8 Do you agree with the funding arrangements proposed for Option C?
Q9 Do you support Option D? What do you see as its main advantages?
Q10 Do you have any views on the composition of the board under Option D?
Summary Points
Chapter 6: Powers of the Scottish Legal Services Ombudsman
Q11 Do you agree that the Scottish Legal Services Ombudsman should be provided with the additional powers outlined?
Q12 If you think any of these powers would be inappropriate please tell us why.
Summary Points
Chapter 7: Defining a Complaint
Q13 Do you agree with the proposed definition of a "complaint"?
Q14 Do you agree with the proposed definition of an "interest to complain"?
Q15 If you disagree with either or both of these definitions please explain why.
Q16 If the distinction between complaints about conduct and IPS were to be dropped, what changes would be needed to the relevant powers of the Council of the Law Society of Scotland and the Scottish Solicitors' discipline tribunal?
Q17 Do you see any difficulties in dropping this distinction?
Q18 Do you think the existing definitions of tests of conduct and IPS need to be improved?
Q19 If yes, what alternative definitions would you prefer?
Summary points
Chapter 8: Dealing with Negligence
Q20 Do you think that the professional bodies should be able to investigate small claims?
Q21 What implications, if any, might this have for professional indemnity insurance?
Summary Points
Chapter 9 : Redress for the Complainant
Q22 Do you agree that compensation should be available for loss, inconvenience and distress caused to clients due to professional misconduct by a practitioner?
Q23 Do you agree with the proposed increase in compensation payable to a complainant by the professional body?
Summary Points
Chapter 10: The Scottish Solicitors' Discipline Tribunal
Q24 Do you agree that the tribunal's complement of solicitor members should be set at fourteen (without a minimum level)?
Q25 Do you agree that the complement of lay members should be increased from eight to fourteen?
Q26 Do you agree that a quorum should include at least two solicitor and two lay members?
Q27 What do you think about current arrangements for the appointment and remuneration of solicitor members for the tribunal?
Summary Points
Chapter 11: The Guarantee Fund and the Master Policy
Q28 Do you agree that the oversight role envisaged for the Scottish Legal Services Ombudsman would be a good way to address concerns about the operation of the Law Society of Scotland's Guarantee Fund and Master Policy?
Summary Points
Chapter 12: Disciplinary Powers Of The Law Society Of Scotland
Q29 The Executive supports disciplinary powers for the Society in relation to unsatisfactory conduct. Do you agree that the Society should have such powers?
Q30 Do you agree that the Society should also have powers regarding professional misconduct or should professional misconduct be solely a matter for the Scottish Solicitors' Discipline Tribunal?
Q31 Do you think the related procedures and sanctions are appropriate?
Summary Points
Chapter 13: Register Of Notaries Public
Q32 Do you agree that a solicitor who is no longer practising should not be able to act as a notary public?
Summary Points
Tables
1: Respondents by category
2: Summary of views on whether the Law Society of Scotland should keep its regulatory and representative functions undivided as at present
3: Summary of views on whether increased powers of the SLSO would of itself be enough to ensure public confidence in complaints handling arrangements
4: Summary of views on whether Option B strikes the right balance between independence and self-regulation
5: Views on gateway with oversight functions
6: Views on Option C model
7: Views on the proposed funding arrangements for Option C
8: Views on Option D model
9: Alternative models of reform of the complaints handling system
10: Summary of views on whether the Scottish Legal Services Ombudsman should be provided with the additional powers outlined
11: Summary of views on whether there would be difficulties in dropping the distinction between complaints about conduct and IPS
12: Summary of views on whether existing definitions of tests of conduct and IPS need to be improved
13: Summary of views on whether professional bodies should be able to investigate small claims
14: Summary of views on whether compensation should be available for loss, inconvenience and distress caused to clients due to professional misconduct by a practitioner
15: Summary of views on whether there should be an increase in the level of compensation payable to a complainant by the professional body
16: Summary of views on whether the tribunal's complement of solicitor members should be set at fourteen (without a minimum level)
17: Summary of views on whether the tribunal's complement of lay members should be increased
18: Summary of views on whether a quorum should include at least two solicitor and two lay members
19: Summary of views on whether an oversight role for the SLSO would be appropriate
20: Summary of views on whether the Law Society of Scotland should have disciplinary powers in relation to unsatisfactory conduct
21: Summary of views on whether the Law Society of Scotland should have disciplinary powers in relation to professional misconduct
22: Summary of views on whether the procedures and sanctions proposed for the Law Society to use in cases of unsatisfactory conduct or professional misconduct are appropriate
23: Summary of views on whether a solicitor who is no longer practising should not be able to act as a notary public
Annexes
1:Consultation Paper Original Distribution List
2:List of Organisations that Responded to the Consultation
3:Summary of Consultation Questions
4:Summary of Questions Posed in the Consultation Summary Leaflet