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ANNEX A
SUMMARY OF QUESTIONS
CHAPTER 3
Question 1 Do you think the Law Society of
Scotland should keep its regulatory and representative
functions undivided as at present?
Question 2 What benefits, if any, would there
be in splitting or ring-fencing these
functions?
Question 3 Would the management of the
Society's Client Relations Office by a Consumer
Complaints Board (with a lay chair and lay majority) be
a useful measure to build confidence in the
independence of complaints handling
arrangements?
CHAPTER 5
Question 4 Do you think that such an increase
in the powers of the Scottish Legal Services Ombudsman
would of itself be enough to ensure public confidence
in complaints handling arrangements in
Scotland?
Question 5 Do you think that this option
strikes the right balance between independence and
self-regulation?
Question 6 What do you see as the advantages
and disadvantages of a gateway with oversight
functions?
Question 7 Do you support a substantive gateway
on the option C model? What do you see as its
advantages?
Question 8 Do you agree with the funding
arrangements proposed for option C?
Question 9 Do you support option D? What do you
see as its main advantages?
Question 10 Do you have any views on the
composition of the board under Option D?
CHAPTER 6
Question 11 Do you agree that the Scottish Legal
Services Ombudsman should be provided with the additional powers outlined
above?
Question 12 If you think any of these powers
would be inappropriate, please tell us why.
CHAPTER 7
Question 13 Do you agree with the proposed
definition of a 'complaint'?
Question 14 Do you agree with the proposed
definition of an 'interest to complain'?
Question 15 If you disagree with either or both
of these definitions, please explain why.
Question 16 If the distinction between
complaints about conduct and
IPS were to be dropped, what changes
would be needed to the relevant powers of the Council
of the Law Society of Scotland and the Scottish
Solicitors' Discipline Tribunal ?
Question 17 Do you see any difficulties in
dropping this distinction?
Question 18 Do you think the existing
definitions of tests of conduct and
IPS need to be improved?
Question 19 If yes, what alternative
definitions would you prefer?
Question 20 Do you think that the professional
bodies should be able to investigate small negligence
claims?
Question 21 What implications, if any, might
this have for professional indemnity
insurance?
CHAPTER 8
Question 22 Do you agree that compensation
should be available for loss, inconvenience and
distress caused to clients due to professional
misconduct by a practitioner?
Question 23 Do you agree with this proposed
increase in compensation payable to a complainant by
the professional bodies?
CHAPTER 9
Question 24 Do you agree that the Tribunal's
complement of solicitor members should be set at
fourteen (without a minimum level)?
Question 25 Do you agree that the complement of
lay members should be increased from eight to
fourteen?
Question 26 Do you agree that a quorum should
include at least two solicitor and two lay
members?
Question 27 What do you think about current
arrangements for the appointment and remuneration of
solicitor members of the Tribunal?
CHAPTER 10
Question 28 Do you agree that the oversight
role envisaged for the Scottish Legal Services
Ombudsman would be a good way to address concerns about
the operation of the Law Society of Scotland's
Guarantee Fund and Master Policy ?
CHAPTER 11
Question 29 The Executive supports disciplinary
powers for the Society in relation to unsatisfactory
conduct. Do you agree that the Society should have such
powers?
Question 30 Do you agree that the Society
should also have powers regarding professional
misconduct or should professional misconduct be solely
a matter for the Scottish Solicitors' Discipline
Tribunal?
Question 31 Do you think the related procedures
and sanctions are appropriate?
CHAPTER 12
Question 32 Do you agree that a solicitor who
is no longer practising should not be able to act as a
Notary Public?
ANNEX B
THE SCOTTISH EXECUTIVE CONSULTATION
PROCESS
Consultation is an essential and important aspect of
Scottish Executive working methods. With such wide-ranging
areas of work in the Scottish Executive, there are many
types of consultation. However, in general, Scottish
Executive consultation exercises aim to provide
opportunities for all those who wish to express their
opinions on a proposed area of work to do so in ways which
will inform and enhance that work.
The Scottish Executive encourages consultation that is
thorough, effective and appropriate to the issue under
consideration and the nature of the target audience.
Consultation exercises cover a wide range of factors, and
no two exercises are likely to be the same.
Typically Scottish Executive consultations involve a
written paper inviting answers to specific questions or
more general views about the material presented. Written
papers are distributed to organisations and individuals
with an interest in the issue, and they are also placed on
the Scottish Executive website to permit a wider audience
to access the paper and submit responses
40. Consultation exercises may also involve seeking
views through, for example, public meetings, focus groups
or questionnaire exercises. Copies of all the written
responses received to a consultation exercise (except those
where the individual or organisation requested
confidentiality) are placed in the Scottish Executive
library at Saughton House, Edinburgh (K Spur, Saughton
House, Broomhouse Drive, Edinburgh, EH11 3XD, telephone
0131-244 4556).
All Scottish Executive consultation papers and related
publications (such as analysis of response reports) can be
accessed at:
Scottish Executive consultationshttp://www.scotland.gov.uk/consultations
)
The views and suggestions made in consultation responses
are analysed and used as part of the decision making
process, along with a range of other available information
and evidence. Depending on the nature of the consultation
exercise the responses received may:
- indicate the need for policy development or
review;
- inform the development of a particular policy;
- help decisions to be made between alternative
policy proposals
- be used to finalise legislation before it is
implemented
Final decisions on the issues under consideration will
also take account of a range of other factors, including
other available information and research evidence.
While details of particular circumstances
described in a response to a consultation exercise may
usefully inform the policy process, consultation
exercises cannot address individual concerns and
comments, which should be directed to the relevant
public body.
ANNEX C
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