SLCC calls for improvements in conduct complaint handling
More consistent and transparent processes in the Law Society of Scotland's handling of conduct complaints against solicitors are called for in a report by the Scottish Legal Complaints Commission, published today.
The report, analysing trends in the Society's handling of complaints relating to professional misconduct and unsatisfactory professional conduct from 2009 to 2014, is published under the SLCC's role in monitoring the Society's performance in handling conduct complaints, which remain for the Society to investigate – the SLCC has charge of investigating complaints about inadequate professional service by solicitors.
It reveals that although conduct complaint numbers and timescales are generally decreasing, on average, hybrid complaints – those which incorporate elements of both conduct and inadequate service – take two years to be dealt with. This increases to three years if a prosecution against the solicitor for professional misconduct is then raised at the Scottish Solicitors’ Discipline Tribunal.
Regarding unsatisfactory professional conduct, the report notes that out of 99 findings against 86 solicitors between 2009 and 2014, 65 resulted in a censure only, while compensation, fines and/or training orders were imposed in the remainder. It comments that although there is a tariff and written guidance relating to compensation, no guidance exists for levels of fines, and neither the compensation guidance nor the unsatisfactory professional conduct decisions in individual cases are made available to the public.
Looking at cases where a complaint was upheld by a committee as potentially being professional misconduct and referred to a fiscal to prosecute the solicitor before the Scottish Solicitors' Discipline Tribunal, the SLCC records that 84% of all prosecutions resulted in findings of misconduct, but found that In at least 13 instances, the fiscal referred the complaint back to the committee for its decision to be reconsidered. "We question whether it is right that the Law Society of Scotland committee subsequently revisits its decision – based on the advice of one individual, the fiscal", the SLCC states.
The SLCC recommends that the Society:
- considers fast-tracking certain types of complaints, to expedite those of a serious nature;
- continues to work with the SLCC to improve the effectiveness and efficiency of complaint handling, particularly in relation to hybrid complaints;
- considers whether there are alternative ways of dealing with complaints that are essentially regulatory matters raised by the Society itself, such as those relating to the accounts rules or failure to engage with the Society;
- reviews the consistency of sanction awards;
- revises and publishes written guidance and/or a tariff for unsatisfactory professional conduct sanctions;
- considers publishing information in relation to unsatisfactory professional conduct decisions, either in full or anonymised;
- reviews the practice of remitting complaints back to the relevant committee on the advice of the fiscal.
Responding to the report, Carole Ford, non-solicitor convener of the Law Society of Scotland's Regulatory Committee, said the report showed that while the overall number of complaints had dropped from 255 conduct complaints in 2012 to 174 in 2014, more complaints were being upheld.
She commented: “The report indicates that the average time taken to investigate conduct complaints has been reduced from 36 to 30 weeks, although of course the complexity of individual complaints can vary enormously. This is reflected in the time taken to investigate them. Hybrid complaints, involving both conduct and service issues, take substantially longer to complete, as both organisations have to carry out their own investigations. The data suggests that both the SLCC and the Law Society require a very similar length of time to investigate their respective parts of the complaint. We will work with the SLCC to ensure that these complaints are dealt with as efficiently as possible."
Ms Ford added that the Society would consider the SLCC's particular recommendations more fully, and work with the SLCC to ensure that complaints were handled effectively and efficiently with in both organisations.