Legal Services (Scotland) Act 2010

31 Assessment of licensed providers

(1) An approved regulator must assess the performance of each of its licensed providers at least once in every successive period of 3 years from (in each case) the date on which the approved regulator issued the licensed provider with its licence.

(2) The Scottish Ministers may require an approved regulator to carry out a special assessment of a licensed provider if the Scottish Legal Complaints Commission requests that they do so in a case where the Commission has significant concerns about how a complaint about a licensed provider has been dealt with.

(3) An assessment under this section must (in particular) concern—

(a) the licensed provider’s compliance with section 50(1), and

(b) such other matters as the approved regulator considers appropriate.

(4) When conducting the assessment, the approved regulator may—

(a) require from the licensed provider the production of any—

(i) relevant documents,

(ii) other relevant information,

(b) interview any person within the licensed provider.

(5) The approved regulator must—

(a) prepare a report on the assessment, and

(b) send a copy of the report to the licensed provider (and, if the assessment was required under subsection (2), also send one to the Scottish Ministers and the Commission).

(6) Before finalising the report, the approved regulator must—

(a) send a draft of the report to the licensed provider, and

(b) give it a reasonable opportunity to make representations about—

(i) the findings of the assessment, and

(ii) any recommendations contained in the report.

(7) If the assessment discloses (or appears to disclose) any professional misconduct by a member of a professional association, the approved regulator must notify that association accordingly.

(8) An approved regulator may delegate any of its functions under this section to any suitable person or body.

(9) The Scottish Ministers may by regulations make further provision about the assessment of licensed providers.