Publishing the results of disciplinary and regulatory decisions will help assure the public that solicitors are properly regulated, says Peter Williamson
The Solicitors Regulation Authority (SRA) recently undertook research to examine consumer attitudes towards solicitors and their services (see [2007] Gazette, 6 December, 1).
We needed to find out if the public understood how the profession was regulated. Also, we want our work as a regulator to be informed by the concerns raised by consumers.
The research produced interesting findings. Most of the complaints raised by consumers about costs, delay and lack of information are matters already addressed by the Solicitors Code of Conduct. However, consumers did not seem to know that solicitors follow a professional code. More worrying, however, was the perception that solicitors are not regulated sufficiently.
As the SRA has been established for less than one year, it is perhaps unsurprising that most of the public do not yet know of us. But they should have an understanding of how the profession is regulated and how they are protected. The Code of Conduct is there to protect the public by upholding high standards. The code has imposed a new emphasis on client care. However, if clients are unaware of the regulatory regime that underpins the code and professional standards, then this undermines the reassurance which people should have when approaching a solicitor.
As part of the process of informing the public about the regulation of solicitors, the SRA will shortly begin publishing the results of disciplinary and regulatory decisions. This information will no longer be restricted to decisions of the Solicitors Disciplinary Tribunal, but will include other findings.
This policy will assure the public that action is taken when things go seriously wrong and will enable others to see and judge whether our decisions are proportionate and consistent. This is part of our policy to ensure that our actions are transparent and open to scrutiny.
I was encouraged that when we consulted on this policy change, there was agreement that publication was a good idea. About 75% of respondents thought that making the decisions publicly available was right and favoured publication on our website.
So what exactly will consumers be able to see from the New Year?
The list of decisions we may publish is quite wide. It includes findings of misconduct that result in us issuing a reprimand or severe rebuke – previously these matters were confidential.
We will also publicise conditions put on practising certificates when they are first imposed or materially changed. This runs alongside our current policy of disclosing practising certificate conditions when people inquire.
Our decisions to prosecute at the tribunal will also be published once a prima facie case is established. When cases reach the tribunal, they are largely in the public domain and often carried in the press as well as being published in the Gazette.
Perhaps the biggest change will be publication of the new type of agreements that we reach with solicitors. At present, most of our investigations conclude with a formal adjudication which can occasionally limit the remedy we impose.
Now, like other regulators, we have the option to end a case with the agreement of the solicitor, where it is in the public interest to do so. This still counts as a regulatory decision and will be recorded as such.
There will be two types of agreement: a settlement agreement to conclude a complete investigation and an issue agreement to resolve one aspect of an investigation. The option to settle an investigation by agreement will give us more flexibility, as we will be able to propose and agree terms which are focused on the facts of an individual case.
For example, we might suggest that, as well as accepting a reprimand, a solicitor should also take corrective action, such as repaying to clients money that we think should not have been taken as costs. We think that solicitors may be more inclined to accept this kind of agreement, as they can be certain of the outcome, rather than risk the time and expense of a case at the tribunal. For us as a regulator, we think this will deliver proportionate and cost-effective solutions.
Next year will also see other changes at the SRA as we begin to introduce a new policy of internal decision-making. We want to strengthen the consistency of decision-making and ensure that solicitors and others understand the criteria by which we make our regulatory decisions.
Staff in Regulation Response, our frontline investigators, will be the first to implement the new system. We expect to streamline our processes but also keep the standard of decision-making consistent and high. The policy will be rolled out across the rest of the SRA later in 2008.
The last year has been a busy and important time for us. As well as the launch of the SRA, it has seen the introduction of the long-awaited Code of Conduct and the passing of the Legal Services Act.
I wish you all a happy Christmas holiday and best wishes for what is sure to be an eventful 2008.
Peter Williamson is chairman of the board of the Solicitors Regulation Authority
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