Draft Statement on our Oversight Approach

Our overall aim in discharging our duties as an oversight regulator is to build public confidence by providing assurance that complaints and redress systems are effective, regulators perform well, and opportunities for continuous improvement are identified and acted upon.

The SLCC’s oversight function is important to:

• build public confidence in the complaint handling of Relevant Professional Organisations and Approved Regulators 
• provide assurance that disciplinary processes are fair and transparent
• drive improvement across the legal services sector using the learning from complaints
• reduce risk and the associated regulatory and indemnity costs.

Our approach is consistent with the regulatory objectives and our own regulatory statement. In applying these principles to our oversight duties we will reflect and learn from past experiences, interpret and respond to present circumstances, and assess and prepare for the future.

• focus on key risks to the public and system
• proportionate and targeted based on our knowledge of the significant issues we see in complaint handling and redress 
• base our enforcement actions/recommendations on the key risks to public protection and public confidence. 

• assess the adequacy and effectiveness of quality assurance systems
• promote best practice in relation to regulation and compliance with legislation and rules

• support long-term improvements, that promote quality, innovation and competition in the provision of legal services

• provide assurance that complaints and redress processes function effectively, therefore protecting and promoting the interests of consumers and the wider public interest 

• be open about our aims, actions and findings, including reporting/ publishing information where possible 
• ensure our approach is clearly articulated, easy to understand, and user-friendly for both the public and legal services providers

• explain our decisions and be open to scrutiny.

We will:

• act in the public interest and to protect consumers from harm and detriment
• be clear and transparent about what we’re seeking to achieve and what we expect from others
• promote preventative approaches and support providers to resolve complaints
• share data and insight to support improvement
• highlight risks or opportunities to achieving the key outcomes
• work collaboratively and influence others to drive improvement
• assess the costs, benefits, risks and impact of any new measure or proposal
• make practical recommendations for action
• use our statutory powers consistently and fairly, when needed
• follow up our recommendations to assess progress
• publish information where possible
• identify further policy or legislative changes needed.

We will apply the above principles and approach in order to achieve the following key outcomes:

• Clear and effective complaint processes
• Consumers receive awarded redress         
• Causes of complaints are understood and risks are reduced
• Systems are used to learn and improve.