Our performance and improvement

We continued to closely monitor timescales in the complaint process. We started the year with a high number of cases in progress following last year’s record high incoming, based on a long-term upward trend plus a single event driving higher than expected case numbers. Although cases dropped slightly this year, the upward trend continues, and our caseload remains high.

We were able to keep pace with incoming demand and closed the year in a similar position to last year. However, we are aware that our timescales have a significant impact on complaint parties, so further work is underway to ensure we have the right resource and the right approach to managing our caseload and reducing our timescales (see for example, our new approach to our sifting function, outlined below).

One issue which continues to affect timely resolution of complaints is solicitors not co-operating with our investigations. This includes not providing information or a file when we make a statutory request for it because we need it to consider a complaint.

This has been a key focus for us over the year, as in previous years. We have tested an approach to proceeding to investigate the complaint in the absence of the file, where that is possible and does not detriment the complainer. However, while this has been possible in a small number of cases, it masks and does not address the root cause of the issue.

We have continued to raise legal actions in the Court of Session to obtain files. Where cases have proceeded as far as contempt of court hearings we have seen the court raising concerns about the tools available to deal with this issue, particularly where the evidence led in court raises public protection concerns about the impact on vulnerable clients, the management of legal practices and solicitors’ abilities to meet their professional duties.

We have discussed this issue with the Lord President and hope to continue to work with Lord Pentland, and the Law Society of Scotland, to consider a way forward.

Following a Court of Session appeal decision and to help prepare for the implementation of reform, we have been testing significant changes to our procedures for the preliminary steps we take to determine the eligibility of complaints.

We believe the new approach makes this initial sift swifter and less onerous, and ensures complaints move quickly to being resolved, investigated or dismissed.

We also think there will be benefits for practitioners, complainers and the regulators who investigate conduct complaints.

Last year we reported on an unusual caseload driven by the fallout from one ceased firm. This year we have seen a number of new changes to our caseload and case outcomes which we continue to monitor.

This includes a significant rise in complaints about advocates – both their conduct and the service provided. Advocates make up a small proportion of the total legal profession and we have historically seen a small number and a smaller proportion of complaints made to us about advocates, with an even smaller proportion accepted for investigation. However, this year we have seen a significant rise in the number of complaints made about advocates and the proportions of complaints made and accepted for investigation now more closely mirrors that of the solicitor profession. We must be particularly cautious when numbers are small, and so we will monitor this trend into the coming year.

In addition, this year we have seen a higher number and percentage of investigated cases going unresolved and requiring a determination decision by one of our commissioners. This includes a high number of cases which are ultimately not upheld, potentially suggesting a change in complainer behaviour.

Finally, following unusually high levels of compensation awarded for actual loss and refunds of fees last year, we have seen our awarded compensation return to levels more in line with previous years.