Our purpose
To set, promote and secure in the public interest standards of behaviour and professional performance necessary to ensure that clients receive a good service and that the rule of law is upheld
Our principles
In all our work, we will
- promote equality and diversity
- act independently of, but in consultation with, our stakeholders including consumers, the profession and its representative bodies, the judiciary and government
- operate in accordance with Good Regulation principles adopting a risk-based approach to regulation
- be open and accountable
- demonstrate value for money
Our key objectives
Setting the standards
- To set standards for entry to the profession, professional behaviours and continuing professional development so as to maintain and enhance the competence, performance and ethical conduct of solicitors and uphold the rule of law
- To set standards for organisations offering legal services
Support and monitoring
- To provide information, advice and support to solicitors and organisations to help them comply with the standards set
- To operate processes to monitor compliance with standards, so as to identify cases requiring remedial, investigative or other regulatory action
Consumer protection, enforcement and discipline
- To protect consumers by ensuring effective professional indemnity and compensation fund arrangements
- To tackle unacceptable professional or organisational performance, misconduct and dishonesty by firm, fair and timely regulatory and disciplinary action
Access to justice, transparency and consumer information
- To promote choice, innovation and accessibility in the provision of legal services through various types of business structure
- To provide information to help consumers to make decisions about legal services and to understand the standards they are entitled to expect
Strategic outcomes
We are committed to achieving the following strategic outcomes by the beginning of 2009. These flow from our key objectives and will underpin our work plans for the next three years.
Setting the standards
We will
- set and communicate effective and proportionate standards of professional behaviour and performance
- make effective rules to secure acceptable standards of safe, competent practice
We will take steps to secure that those joining the profession
- come from a wide range of backgrounds and experience
- meet appropriate standards of character, intellect, knowledge and skills
- are able to sustain client confidence
- understand and are able to sustain commitment to the rule of law
- can demonstrably uphold the principles governing those providing legal services: independence, integrity, the duty to act in the best interests of clients and client confidentiality
We will require all members of the profession to maintain up-to-date knowledge and experience of
- changes in the law in their field of practice
- professional requirements and ethical conduct
- where relevant, the requirements of successful business practice and customer care
We will put in place arrangements to enable the profession to develop enhanced skills and knowledge and to encourage organisations to improve the infrastructure which underpins quality.
We will ensure that the resources required for the regulation of the profession are secured efficiently and fairly.
Support and monitoring
We will ensure that
- accurate advice is readily available for practitioners on complex areas of professional responsibility
- effective machinery is in operation for advising and assisting solicitors and organisations in professional or financial difficulty where the situation is remediable
- information from monitoring and regulatory activities is effectively collated and coordinated, informing a risk-based approach to regulation
Consumer protection, enforcement and discipline
We will secure
- effective arrangements to provide early warning of individual or organisational dishonesty, misconduct, unacceptable professional performance or financial difficulty
- prompt and proportionate action to minimise risk to consumers of legal services, and to the public as a whole, from unacceptable professional or organisational performance, misconduct, dishonesty, poor client care or inadequate professional knowledge
- sufficient evidence in the most serious cases to enable prompt action to address immediate risks to the public, to satisfy the requirements of the Solicitors Disciplinary Tribunal, or to share with law enforcement agencies where criminal prosecution may be appropriate
- effective insurance and compensation arrangements for the profession to protect the consumer in cases of client loss, for example, through negligence, dishonesty or insolvency
Access to justice, transparency and consumer information
We will ensure that
- there are no unnecessary barriers to competition, and the requirements on practitioners or organisations, and any restrictions on the way in which legal services are provided, are only those necessary and proportionate to secure the regulatory objectives
- up-to-date and accurate information is published to enable consumers
to make an informed choice of legal service provider, including
- details of all practitioners and the organisations within which they practise
- areas of law in which legal services are offered to the public, including solicitors' specialisms, accreditation and enhanced skills
- relevant information about regulatory decisions affecting individuals or organisations
Regulatory objectives
In developing this strategy, we have taken into consideration the government's proposed objectives for the regulation of legal services:
- Supporting the constitutional principle of the rule of law
- Improving access to justice
- Protecting and promoting the interests of consumers
- Promoting competition in the provision of legal services
- Encouraging a strong, diverse and effective legal profession
- Increasing public understanding of the citizen's legal rights and duties
- Promoting and maintaining adherence to the professional principles (independence, integrity, the duty to act in the best interests of the client, and client confidentiality)
Appendix
In summary, the government's Five Principles of Good Regulation are that regulation should be
- Proportionate: Regulators should only intervene when necessary. Remedies should be appropriate to the risk posed, and costs identified and minimised.
- Accountable: Regulators must be able to justify decisions, and be subject to public scrutiny.
- Consistent: Government rules and standards must be joined up and implemented fairly.
- Transparent: Regulators should be open, and keep regulations simple and user-friendly.
- Targeted: Regulation should be focused on the problem, and minimise side effects.
