Our powers and functions
Simply put, the job of the SLCC is to receive complaints about the service received from a legal practitioner, and decide whether to investigate those complaints. Although the 2007 Act encourages practices and practitioners to try and solve the grievance themselves, where that is not possible the SLCC aims to provide an easily accessible and effective dispute investigation and resolution service. Whilst the Law Society of Scotland or The Faculty of Advocates will still deal with matters of professional misconduct or unsatisfactory conduct, the SLCC will oversee how such conduct complaints are investigated and prosecuted.  Therefore, the SLCC has an important role to play in influencing the conduct processes, including the powers to audit and recommend changes.

The SLCC aims to be of service to both the public and the profession.  It has an additional responsibility to share best practice, monitor trends, and highlight areas of concern.  It is also committed to exploring the use of mediation to resolve disputes between practitioners and their clients, and has launched a pilot mediation scheme to explore its potential effectiveness.  It is hoped that, in the right circumstances, mediation will prove to be a relatively quick and successful method of resolving complaints.

How we investigate a complaint
The SLCC is under no obligation to investigate a complaint, or an aspect of a complaint, that it thinks is “frivolous, vexatious or without merit”.  This means the SLCC will look at the complaint and determine whether it is suitable, which aspects of it are investigated, and how that investigation is conducted.  The process by which an investigation is conducted is inquisitorial rather than adversarial. 

Where the SLCC does consider a complaint to be appropriate, having taken account of factors such as whether the service provider addressed the complaint properly at source or whether a suitable negotiation was considered between the parties, then it can investigate the complaint.  In doing this it can listen to both the person making the complaint and the legal practitioner, examine certain documents or demand explanations in connection with the complaint, and reach an outcome it considers fair and reasonable.  This means it must take account of the relevant law (including levels of damages awarded by courts in similar circumstances) and relevant codes of practice, professional rules, standards and guidance.

Where a complaint is either upheld or not upheld, the SLCC must notify the person making the complaint, and any practitioner or practice involved in the complaint, in writing of its decision.  It can also publish a report of the investigation.  The 2007 Act also specifies that an appeal can be made to court against any decision of the SLCC, and sets out various conditions for such an appeal, including that it must be made within 28 days of the SLCC’s decision.

As mentioned, the SLCC cannot directly investigate a complaint about the conduct of a legal practice or practitioner.  If it evaluates a complaint and decides that it is an issue about conduct, rather than an issue about a service provided, then it must pass the complaint on to the relevant professional body.  However, the SLCC does have the power to investigate the way a conduct complaint was handled by the relevant professional body.  This is known as a handling complaint. If it chooses to do so, the SLCC can produce a report including certain recommendations relating to the way the complaint was dealt with. The professional body then has a period of three months in which to notify the SLCC, the practitioner concerned, and the person who made the handling complaint of any actions it has taken to comply with the recommendations.  If no action has been taken, it must specify why not, and can actually be required to take action by the SLCC.

How we remedy a complaint
The SLCC has the power to answer the service complaint by awarding the complainer up to a set limit of £20,000 for any loss, inconvenience or distress resulting from the inadequate professional service.  It can also require the relevant legal practices and practitioners to reduce fees, re-do work and rectify any mistakes, at their own expense.  If the SLCC feels that the practitioner shows a lack of competence relating to any area of the law or legal practice, it can report the matter to the relevant professional body.

What we cannot investigate
The SLCC cannot investigate complaints relating to the conduct of legal practitioners.  Any complaints it receives and determines to be about conduct will be handed to the Law Society of Scotland or The Faculty of Advocates.  As mentioned above, however, the SLCC will still have the power to oversee how these complaints are dealt with. The Scottish Solicitors Discipline Tribunal (comprised in future of an equal number of solicitor and non-lawyer members) and The Faculty of Advocates will continue to hear complaints relating to professional misconduct.  Further details are available on the websites of the  Law Society of Scotland and The Faculty of Advocates as to how they deal with conduct complaints.