Rules cover paper and explanatory note

This note supports the consultation on the SLCC’s updated rules and is intended to help explain the format and content of the updated rules.

The note does not explain every rule in detail, but explains our approach to drafting the rules, and how and why they differ from previous versions.

Background

There is a statutory requirement for the SLCC to publish rules explaining how we will exercise our legal powers and carry out our duties.

Section 32(1) of the Legal Profession and Legal Aid (Scotland) Act 2007 (‘the 2007 Act’) says that the SLCC must make rules about its practice and procedure and must publish them and make them available to the public in an accessible form. Our rules are currently published on our website. Schedule 3 of the 2007 Act then sets out what we must include in our rules.

The Regulation of Legal Services (Scotland) Act 2025 (‘the 2025 Act’) amends these requirements and sets other requirements for the SLCC. These updated rules respond to those changes and set out what the SLCC’s practices and procedure will be once the relevant provisions of that Act are commenced.

The changes delivered by the 2025 Act are not limited to the specific amendments to certain sections of the existing legislation. The 2025 Act also introduces new overarching regulatory objectives and sets out how they are to be applied. Those objectives have informed how we have set out these rules and the rules should be considered in the context of those objectives. Further details are available in our recently published Regulatory Statement, which outlines our understanding of the regulatory objectives and our thinking on how we will apply these to our work. 

The rules have also been drafted to take account of the SLCC’s duties in regard to human rights and equality legislation, natural justice, and a focus on early resolution and an efficient and fair process.

These rules will come into effect and apply to our work, including to incoming complaints, from the date of commencement of the relevant sections of the 2025 Act. That date will be set by Scottish Government and approved by the Scottish Parliament. We will provide clear guidance to consumers and to the regulated sector on how and when these new rules apply.

Structure, layout, style and language

The rules have been redrafted from scratch. This approach has allowed us to create a more user-friendly structure and a format that is clearer, more accessible and mirrors the customer journey.

The significant changes to the underlying legislation, and the new approach to drafting means the rules look very different in content, structure, layout, style and language to our current rules, making direct comparisons difficult.

We hope these updated rules will prove a useful reference for everyone who engages with our services. The updated rules include a summary table at the start setting out their contents to allow users to see the whole document at a glance and to orientate themselves within it. This section will also act as a permanent explanatory note for the rules, ensuring it is easily available now and remains so once the rules are published.

We have tried to use clear, plain language throughout. Where technical terms are required, we have provided definitions in plain language.

We plan to publish our rules as both a single, hyperlinked document, and as an interactive html page on our website which will allow easier searching and indexing.

Alongside these rules we will continue to publish clear, accessible and targeted information on our website and social media channels for both consumers and lawyers.

We will also publish a more detailed policy and procedure manual that sets out the policies and procedures our staff will follow in dealing with complaints. The manual will be kept updated to reflect any changes we make as we test new ways of working to improve the service we provide.

Changes from the current SLCC rules

The style and format of the rules have changed significantly so a rule-by-rule comparison is not possible or desirable.

However, there is much in our rules which will be recognisable to those familiar with our current practices and procedures. That includes:

• how to make a complaint to the SLCC (section 5)
• how we will investigate complaints (section 20).

In many cases, the changes brought by the 2025 Act allow us some additional flexibilities, but our overall approach will not change substantially. For example:

• we will still apply tests to see if there’s any reason a complaint should not be investigated, but those tests have been updated (section 12)
• there are some changes to how complaints are categorised which has an impact on how they will be investigated and by which organisation(s) (section 9)
• there are some small but important changes to the directions we can make to a firm or practitioner if we uphold a complaint (section 22).

There are some more significant changes brought by the 2025 Act. For example:

• changes to who can make certain decisions, for example final decisions on closing a complaint (section 22). As is currently the case, these will be set out in an updated scheme of delegation to be published on our website.
• updated procedures around how our complaints levy operates (section 29).

There are some completely new rules which relate to entirely new powers or duties conferred on us by the 2025 Act. For example:

• the opportunity to close a complaint where a fair and reasonable settlement is already available to the consumer (section 17)
• the ability for the SLCC to make a public interest complaint (section 3)
• changes to how our final decisions can be challenged (section 23).

There are some areas which are not directly affected by the 2025 Act but where we have taken the opportunity to clarify or improve our approach. For example:

• how we provide guidance and practical assistance to people looking to make a complaint (section 5)
• how the SLCC deals with complaints made prematurely to the SLCC to support local and early resolution (sections 4 and 8)
• our approach to considering whether someone making a complaint has been directly affected by the service (section 2).

The introduction to the rules sets out what the rules cover and includes a table setting out the sections of the rules and what each section covers.