Legal services regulation reform: consultation analysis

Appendix B Quantitative Results

Q1 From the options listed, how important do you think each of the following principles and objectives are for any future regulatory model for legal services in Scotland?

Table 2.1: Responses to question 1

	Very Important		Somewhat Important		Not Important		Should be Removed		Total
	Number	%	Number	%	Number	%	Number	%
Q1a Protecting and promoting the public interest including the interests of users of legal services	87	91%	5	5%	2	2%	2	2%	96
Q1b Supporting the constitutional principle of the rule of law	89	92%	4	4%	4	4%	0	0%	97
Q1c Promoting independent legal professions and maintaining adherence to the professional principles	81	85%	9	9%	2	2%	4	4%	96
Q1d Improving access to justice including choice, accessibility, affordability and understanding of services by service users	72	74%	17	18%	6	6%	2	2%	97
Q1e Embedding a modern culture of prevention, quality assurance and compliance	58	61%	28	29%	4	4%	6	6%	96
Q1f Working collaboratively with consumer, legal professional bodies, and representatives of legal service providers as appropriate	45	47%	37	39%	5	5%	8	9%	95
Q1g Embedding the better regulation principles throughout its areas of responsibility (additionality; agility, independence, prevention, improvement, cost consideration of cost, and efficiency)	53	56%	31	33%	2	2%	8	9%	94
Q1h Promoting innovation, diversity and competition in the provision of legal services	40	43%	34	36%	8	8%	12	13%	94

Q2 From the options listed, how important do you think each of the following are in supporting the framework of any future regulatory model?

Table 2.2: Responses to question 2

	Very Important		Somewhat Important		Not Important		Should be Removed		Total
	Number	%	Number	%	Number	%	Number	%
Q2a Enable access to justice including choice and diversity	72	75%	18	19%	2	2%	4	4%	96
Q2b Uphold the rule of law and the proper administration of justice	89	93%	6	6%	1	1%	0	0%	96
Q2c Offer accountability in protecting the public and consumer interest	81	86%	10	11%	2	2%	1	1%	94
Q2d Offer accountability to those regulated by the framework	76	80%	14	15%	0	0%	5	5%	95
Q2e Secure the confidence and trust of the public	80	84%	11	12%	3	3%	1	1%	95
Q2f Enable future growth of legal services	43	47%	33	36%	9	10%	7	7%	92

Q3 From the options listed, how important do you think each of the following criteria is in a regulatory framework?

Table 2.3: Responses to question 3

	Very Important		Somewhat Important		Not Important		Should be Removed		Total
	Number	%	Number	%	Number	%	Number	%
Q3a Support and promote sustainable legal services, which benefit consumers	69	74%	18	19%	2	2%	5	5%	94
Q3b Agile	38	43%	38	43%	7	8%	6	6%	89
Q3c Risk based	42	48%	34	38%	5	6%	7	8%	88
Q3d Efficient	65	74%	18	20%	2	2%	3	4%	88
Q3e Outcomes based	41	46%	35	39%	5	6%	8	9%	89
Q3f A proactive focus continuous improvement and prevention of failures (which lead to complaints)	52	56%	31	33%	4	4%	6	7%	93
Q3g Proportionality	61	66%	22	24%	3	3%	6	7%	92
Q3h An increased focus on independence and accountability	55	59%	28	30%	3	3%	7	8%	93

Q4 To what extent do you agree or disagree with [the primary] recommendation [in the Roberton Report]?

Table 2.4: Responses to question 4

	Number	Percent
Strongly Agree	39	35%
Mostly Agree	16	14%
Mostly Disagree	11	10%
Strongly Disagree	45	41%
Total	111	100%

Q5 Of the three regulatory models described, which one would you prefer to see implemented?

Table 2.5: Responses to question 5

	Number	Percent
Option 1: Roberton Model	46	38%
Option 2: Market Regulator Model	8	7%
Option 3: Enhanced accountability and transparency model	66	55%
Total	120	100%

Q6 Of the three regulatory models described above, please rank them in the order you would most like to see implemented?

Table 2.6: Responses to question 6

	Option 1: Roberton Model		Option 2: Market Regulator Model		Option 3: Enhanced accountability and transparency model
	Number	Percent	Number	Percent	Number	Percent
Ranked First	42	42%	7	7%	61	60%
Ranked Second	7	7%	77	82%	9	9%
Ranked Third	51	51%	10	11%	32	31%
Total	100	100%	94	100%	102	100%

Q7. Please rank in importance the aspects of regulation you would most like to see handled by professional regulatory bodies, through independent regulatory committees? (1 most liked to see handled and 3 least liked to see handled)

Table 2.7: Responses to question 7

	Education and entry		Oversight of standards and conduct		Complaints and redress
	Number	Percent	Number	Percent	Number	Percent
Ranked First	31	37%	26	31%	28	33%
Ranked Second	14	17%	47	57%	21	25%
Ranked Third	38	46%	10	12%	35	42%
Total	83	100%	83	100%	84	100%

Q8 Of the three models described above, please rank in importance the aspects of regulation you would most like to see handled by a body independent of, and external to the professional regulatory bodies, and of government? (1 most liked to see handled and 3 least liked to see handled)

Table 2.8: Responses to question 8

	Education and entry		Oversight of standards and conduct		Complaints and redress
	Number	Percent	Number	Percent	Number	Percent
Ranked First	16	21%	16	21%	47	60%
Ranked Second	17	22%	44	57%	15	19%
Ranked Third	44	57%	17	22%	16	21%
Total	77	100%	77	100%	78	100%

Q9 Under the Roberton Model, to what extent do you agree or disagree that the professional bodies should have a statutory footing?

Table 2.9: Responses to question 9

	Number	Percent
Strongly Agree	30	37%
Mostly Agree	25	30%
Mostly Disagree	13	16%
Strongly Disagree	14	17%
Total	82	100%

Q10 Which of the following methods do you think the final regulatory model should utilise to embed a consumer voice?

Table 2.10: Responses to question 10

	Number	Percent
A requirement for consumer expertise within regulatory committees	21	25%
Through a consumer panel	13	15%
Seeking input from Consumer Scotland	9	11%
A combination (please specify)	42	49%
Total	85	100%

Q11 To what extent do you agree or disagree that Consumer Scotland should be given the power to make a Super-Complaint in respect of the regulation of legal services in Scotland?

Table 2.11: Responses to question 11

	Number	Percent
Strongly Agree	23	27%
Mostly Agree	25	29%
Mostly Disagree	12	14%
Strongly Disagree	26	30%
Total	86	100%

Q12 To what extent do you agree or disagree that a baseline survey of legal services consumers in Scotland should be undertaken?

Table 2.12: Responses to question 12

	Number	Percent
Strongly Agree	27	31%
Mostly Agree	27	31%
Mostly Disagree	19	22%
Strongly Disagree	13	15%
Total	86	100%

Q13 To what extent do you agree or disagree with the Roberton report, that the legislative approach should make clear the role of the Lord President and the Court of Session in the regulatory framework?

Table 2.13: Responses to question 13

	Number	Percent
Strongly Agree	61	61%
Mostly Agree	23	23%
Mostly Disagree	8	8%
Strongly Disagree	8	8%
Total	100	100%

Q14 To what extent do you agree or disagree that the role of the Lord President and Court of Session in the regulatory framework in Scotland is important in safeguarding the independence of the legal profession?

Table 2.14: Responses to question 14

	Number	Percent
Strongly Agree	64	65%
Mostly Agree	19	19%
Mostly Disagree	7	7%
Strongly Disagree	8	8%
Total	98	100%

Q15 Should the Lord President and Court of Session have a 'consultative' role, or 'consent' role with regard to the following potential changes to the operation of any new regulatory framework?

Table 2.15: Responses to question 15

	Changes to professional rules: practice rules, conduct and discipline		Changes in relation to complaints practice and procedure		New entrants to the market seeking to conduct of litigation and exercise right of audience
	Number	Percent	Number	Percent	Number	Percent
Consent	39	51%	28	38%	37	50%
Consultative	37	49%	46	62%	37	50%
Total	76	100%	74	100%	74	100%

Q16a To what extent do you agree or disagree that the Lord President should have a role in any new regulatory framework in arbitrating any disagreements between independent Regulatory Committees and the professional regulatory bodies?

Table 2.16: Responses to question 16

	Number	Percent
Strongly Agree	41	43%
Mostly Agree	26	28%
Mostly Disagree	13	14%
Strongly Disagree	14	15%
Total	94	100%

Q17 To what extent do you agree or disagree that the Lord President should have a role in the process of appointment of any new 'legal members' to relevant positions, such as regulatory committees, in any new regulatory framework?

Table 2.17: Responses to question 17

	Number	Percent
Strongly Agree	16	22%
Mostly Agree	20	27%
Mostly Disagree	18	25%
Strongly Disagree	19	26%
Total	73	100%

Q18 To what extent do you agree or disagree that regulatory committees, as described in the consultation, should be incorporated into any future regulatory framework?

Table 2.18: Responses to question 18

	Number	Percent
Strongly Agree	34	40%
Mostly Agree	23	27%
Mostly Disagree	10	12%
Strongly Disagree	18	21%
Total	85	100%

Q19 To what extent do you agree or disagree that Regulators should be required by statute to ensure that Regulatory Committees are suitably resourced, with a certain quota of persons being exclusively ring-fenced for dealing with regulation?

Table 2.19: Responses to question 19

	Number	Percent
Strongly Agree	31	38%
Mostly Agree	18	22%
Mostly Disagree	21	26%
Strongly Disagree	11	14%
Total	81	100%

Q20 To what extent do you agree or disagree that regulatory functions of Regulatory Committees should be subject to Freedom of Information legislation or requests?

Table 2.20: Responses to question 20

	Number	Percent
Strongly Agree	40	46%
Mostly Agree	18	20%
Mostly Disagree	12	14%
Strongly Disagree	18	20%
Total	88	100%

Q21 To what extent do you agree or disagree that the following aspects of 'fitness to practice' requirements or regulations are appropriate and working well in Scotland?

Table 2.21: Responses to question 21

	Strongly agree		Mostly agree		Mostly disagree		Strongly disagree		Total
	Number	%	Number	%	Number	%	Number	%
Q21a Content of the criteria	40	45%	36	40%	5	6%	8	9%	89
Q21b Frequency of career points where the criteria must be satisfied	34	38%	38	43%	8	9%	9	10%	89
Q21c Transparency and fairness in decision making	35	40%	38	44%	5	6%	9	10%	87

Q23 To what extent do you agree or disagree that there should be a test to ensure that non-lawyer owners and managers of legal entities are fit and proper persons?

Table 2.23: Responses to question 23

	Number	Percent
Strongly Agree	79	77%
Mostly Agree	18	17%
Mostly Disagree	2	2%
Strongly Disagree	4	4%
Total	103	100%

Q24 To what extent do you agree or disagree that Legal Tech should be included within the definition of 'legal services'

Table 2.24: Responses to question 24

	Number	Percent
Strongly Agree	25	29%
Mostly Agree	44	50%
Mostly Disagree	12	14%
Strongly Disagree	6	7%
Total	87	100%

Q25 To what extent do you agree or disagree that those who facilitate and provide Legal Tech legal services should be included within the regulatory framework if they are not so already?

Table 2.25: Responses to question 25

	Number	Percent
Strongly Agree	34	40%
Mostly Agree	24	29%
Mostly Disagree	18	21%
Strongly Disagree	8	10%
Total	84	100%

Q26 To what extent do you agree or disagree that, not including legal tech may narrow the scope of regulation, and reduce protection of consumers?

Table 2.26: Responses to question 26

	Number	Percent
Strongly Agree	35	43%
Mostly Agree	20	24%
Mostly Disagree	16	20%
Strongly Disagree	11	13%
Total	82	100%

Q27 To what extent do you agree or disagree that the inclusion of legal tech in a regulatory framework assists in the strength, sustainability and flexibility of regulation of legal services?

Table 2.27: Responses to question 27

	Number	Percent
Strongly Agree	37	44%
Mostly Agree	32	38%
Mostly Disagree	8	9%
Strongly Disagree	8	9%
Total	85	100%

Q28 To what extent do you agree or disagree that the Scottish regulatory framework should allow for the use of Regulatory Sandboxes to promote innovation?

Table 2.28: Responses to question 28

	Number	Percent
Strongly Agree	20	25%
Mostly Agree	25	31%
Mostly Disagree	14	18%
Strongly Disagree	21	26%
Total	80	100%

Q29 To what extent do you agree or disagree that the Client Protection Fund works well?

Table 2.29: Responses to question 29

	Number	Percent
Strongly Agree	40	51%
Mostly Agree	22	28%
Mostly Disagree	8	10%
Strongly Disagree	9	11%
Total	79	100%

Q31 To what extent do you agree or disagree that any future regulatory model should incorporate a greater emphasis on quality assurance, prevention and continuous improvement than the current model provides?

Table 2.31: Responses to question 31

	Number	Percent
Strongly Agree	50	56%
Mostly Agree	23	25%
Mostly Disagree	10	11%
Strongly Disagree	7	8%
Total	90	100%

Q32 To what extent do you agree or disagree that the rules within the regulatory framework should be simplified with the aim of making them more proportionate and consumer friendly?

Table 2.32: Responses to question 32

	Number	Percent
Strongly Agree	46	51%
Mostly Agree	27	30%
Mostly Disagree	11	12%
Strongly Disagree	6	7%
Total	90	100%

Q33 Which of the following methods do you think regulatory model should incorporate to provide quality assurance and continuous improvement?

Table 2.33: Responses to question 33

	Number	Percent
Peer review	10	12%
A system of self-assessment for all legal professionals	13	16%
Both of these	37	45%
Neither, or other	22	27%
Total	82	100%

Q34 To what extent do you agree or disagree that there should be a definition of legal services?

Table 2.34: Responses to question 34

	Number	Percent
Strongly Agree	54	58%
Mostly Agree	28	30%
Mostly Disagree	4	4%
Strongly Disagree	7	8%
Total	93	100%

Q35 To what extent do you agree or disagree that the definition of legal services should be set out in primary legislation?

Table 2.35: Responses to question 35

	Number	Percent
Strongly Agree	52	58%
Mostly Agree	22	24%
Mostly Disagree	11	12%
Strongly Disagree	5	6%
Total	90	100%

Q36 To what extent do you agree or disagree that there should be no substantial change at this stage to bring more activities within the scope of those activities "reserved" to solicitors or to remove activities?

Table 2.36: Responses to question 36

	Number	Percent
Strongly Agree	30	35%
Mostly Agree	35	41%
Mostly Disagree	9	10%
Strongly Disagree	12	14%
Total	86	100%

Q37 To what extent do you agree or disagree that it should be for the regulator(s) to propose to the Scottish Government which activities to reserve to legal professionals in the future and which should be regulated?

Table 2.37: Responses to question 37

	Number	Percent
Strongly Agree	34	38%
Mostly Agree	30	34%
Mostly Disagree	9	10%
Strongly Disagree	16	18%
Total	89	100%

Q38 To what extent do you agree or disagree that there should be a change such that the title 'lawyer' would be given the same protections around it as the title 'solicitor'?

Table 2.38: Responses to question 38

	Number	Percent
Strongly Agree	46	49%
Mostly Agree	22	23%
Mostly Disagree	15	16%
Strongly Disagree	11	12%
Total	94	100%

Q39 To what extent do you agree or disagree that the title 'advocate' should have the same protections around it as the title 'solicitor'?

Table 2.39: Responses to question 39

	Number	Percent
Strongly Agree	38	43%
Mostly Agree	24	27%
Mostly Disagree	18	20%
Strongly Disagree	9	10%
Total	89	100%

Q40 To what extent do you agree or disagree that the legislation should allow for the protection of other titles in relation to legal services as appropriate?

Table 2.40: Responses to question 40

	Number	Percent
Strongly Agree	26	30%
Mostly Agree	37	42%
Mostly Disagree	11	12%
Strongly Disagree	14	16%
Total	88	100%

Q41 To what extent do you agree or disagree that it should be for the regulator(s) to propose to the Scottish Government which titles to protect?

Table 2.41: Responses to question 41

	Number	Percent
Strongly Agree	38	41%
Mostly Agree	30	32%
Mostly Disagree	9	10%
Strongly Disagree	16	17%
Total	93	100%

Q42 To what extent do you agree or disagree that the 51% majority stake rule for Licenced Legal Services Providers should be removed?

Table 2.42: Responses to question 42

	Number	Percent
Strongly Agree	21	28%
Mostly Agree	18	24%
Mostly Disagree	15	20%
Strongly Disagree	21	28%
Total	75	100%

Q43 To what extent do you agree or disagree that entity regulation should be introduced?

Table 2.43: Responses to question 43

	Number	Percent
Strongly Agree	39	47%
Mostly Agree	28	33%
Mostly Disagree	11	13%
Strongly Disagree	6	7%
Total	84	100%

Q44 To what extent do you agree or disagree that all entities providing legal services to the public and corporate entities should be subject to a "fitness to be an entity" test?

Table 2.44: Responses to question 44

	Number	Percent
Strongly Agree	53	62%
Mostly Agree	23	27%
Mostly Disagree	7	8%
Strongly Disagree	2	3%
Total	85	100%

Q45 To what extent do you agree or disagree that, as all lawyers providing legal services will be regulated – entity regulation should engage only those organisations who employ lawyers where those organisations are providing legal services for a profit – with the exclusion that when that legal service is in the context of an organisation whose main purpose is not to provide a legal service (for example banking) then regulation would remain at the level of an individual lawyer only and no entity regulation would apply?

Table 2.45: Responses to question 45

	Number	Percent
Strongly Agree	14	18%
Mostly Agree	38	48%
Mostly Disagree	17	21%
Strongly Disagree	10	13%
Total	79	100%

Q46 To what extent do you agree or disagree that the Scottish Government should commission or facilitate a baseline study to identify the current quantum of the sector's contribution to the economy and to identify those niches in the global market where we might target our efforts?

Table 2.46: Responses to question 46

	Number	Percent
Strongly Agree	22	29%
Mostly Agree	23	30%
Mostly Disagree	18	23%
Strongly Disagree	14	18%
Total	77	100%

Q47 To what extent do you agree or disagree that there should be a single gateway for all legal complaints?

Table 2.47: Responses to question 47

	Number	Percent
Strongly Agree	61	57%
Mostly Agree	32	30%
Mostly Disagree	11	10%
Strongly Disagree	3	3%
Total	107	100%

Q48 Dependant on the regulatory model taken forward, to what extent do you agree or disagree that the professional regulatory bodies should maintain a role in conduct complaint handling, where a complaint is generated by an external complainer such as a client, or non-client?

Table 2.48: Responses to question 48

	Number	Percent
Strongly Agree	48	47%
Mostly Agree	23	23%
Mostly Disagree	13	13%
Strongly Disagree	17	17%
Total	101	100%

Q49 Dependant on the regulatory model take forward, to what extent do you agree or disagree that the professional regulatory bodies should maintain a role in conduct complaint handling, with regard to the investigation and prosecution of regulatory compliance issues?

Table 2.49: Responses to question 49

	Number	Percent
Strongly Agree	52	54%
Mostly Agree	21	22%
Mostly Disagree	8	8%
Strongly Disagree	16	16%
Total	97	100%

Q50 From the complaint issues below please give a preference between the options a) an independent body or; b) a professional regulatory body; who you think should investigate each of the following: Service, Unsatisfactory conduct, Professional misconduct

Table 2.50: Responses to question 50

	Service		Unsatisfactory conduct		Professional misconduct
	Number	Percent	Number	Percent	Number	Percent
An independent body	55	62%	36	40%	35	39%
A professional body	34	38%	53	60%	54	61%
Total	89	100%	89	100%	89	100%

Q51 To what extent do you agree or disagree that there should be a level of redress for all legal complaints, regardless of regulated activity?

Table 2.51: Responses to question 51

	Number	Percent
Strongly Agree	42	46%
Mostly Agree	37	40%
Mostly Disagree	7	8%
Strongly Disagree	6	6%
Total	92	100%

Q52 To what extent do you agree or disagree that there should be a single Discipline Tribunal for legal professionals, incorporated into the Scottish Courts and Tribunals Service?

Table 2.52: Responses to question 52

	Number	Percent
Strongly Agree	35	36%
Mostly Agree	21	21%
Mostly Disagree	12	12%
Strongly Disagree	30	31%
Total	98	100%

Q53 To what extent do you agree or disagree that any future legal complaints model should incorporate the requirement for the complaints budget to require the approval of the Scottish Parliament?

Table 2.53: Responses to question 53

	Number	Percent
Strongly Agree	18	18%
Mostly Agree	32	33%
Mostly Disagree	25	26%
Strongly Disagree	22	23%
Total	97	100%

Q54 From the options listed how important do you think each of the following principles and objectives are for any future regulatory model?

Table 2.54: Responses to question 54

	Very Important		Somewhat Important		Not Important		Should be Removed		Total
	Number	%	Number	%	Number	%	Number	%
Q54a Model 1 - Uphold the rule of law and the proper administration of justice	82	91%	8	9%	0	0%	0	0%	90
Q54b Model 1 - Provide access to justice.	73	80%	16	18%	1	1%	1	1%	91
Q54c Model 1 - Operate for the public interests (offer accountability in protecting the public and consumer interest).	66	74%	15	17%	6	7%	2	2%	89
Q54d Model 1 - Have a high degree of public confidence and trust, embedding a modern culture of prevention, continuous quality improvement, quality assurance and compliance. Promote improvements, use information and evidence gathered to identify sector-wide issues.	74	81%	8	9%	5	6%	4	4%	91
Q54e Model 1 - Work collaboratively with consumer and legal professional bodies as appropriate. Encourage companies to act on complaints data. Publish guidance, and provide training to help firms and the sector improve complaint handling. Provide support for 1st tier complaints management (be able to provide guidance on handling).	63	70%	16	18%	5	5%	6	7%	90
Q54f Model 1 - Embed the better regulation and consumer principles throughout its areas of responsibility.	56	62%	24	26%	5	5%	6	7%	91
Q54g Model 1 - Accessible, remove barriers to people seeking the redress they are entitled to. There should be a single gateway and investigation for complaints. 3rd party complaints would be allowed.	47	53%	27	30%	7	8%	8	9%	89
Q54h Model 1 - Effective, able to resolve consumer complaints and have adequate enforcement powers to hold providers to account when things go wrong.	66	73%	16	18%	4	4.5%	4	4.5%	90
Q54i Model 1 - Transparent, publish a range of information including decision criteria, complaints data and outcomes of cases. Be able to advise on trends and issues emerging from 1s tier complaints.	87	91%	5	5%	2	2%	2	2%	96
Q54j Model 1 - Have an increased focus on independence and accountability. Provide an impartial service to both consumers and providers. Accountable, to a competent authority or a regulator. Undertake periodic reviews on the effectiveness of ADR schemes and publish the results.	63	70%	18	20%	4	4%	5	6%	90
Q54k Model 1 - Enable early consensual resolution, which would include mediation as a key process should be built upon.	50	57%	29	33%	4	4%	5	6%	88
Q54l Model 1 - Provide prompt resolution, proportionate to the complexity of the complaint.	67	74%	19	21%	3	3%	2	2%	91
Q54m Model 1 - The levy for entities should be on a financial turnover basis.	24	28%	25	30%	16	19%	19	23%	84
Q54n Model 1 - Appeals process simplified whilst adhering to ECHR. No appeal from the Complaints Ombudsman, but the ability to appeal to the Court of Session in relation to misconduct.	46	52%	24	27%	7	8%	11	13%	88
Q54o Model 1 - There should be no appeal in terms of the amount of compensation awarded, similar to other professions.	33	38%	21	25%	13	15%	19	22%	86
Q54p Model Options 2 & 3 - There should be a Memorandum of Understanding between the complaints body and the professional bodies on cross-referring cases.	39	49%	27	34%	5	6%	9	11%	80
Q54q Model Options 2 & 3 - The presence of conduct issues should not delay, complicate the process or disadvantage the outcome of service complaints for consumers.	52	64%	19	23%	3	4%	7	9%	81