FAQ's

Yes, you can download the information sheet here.

The Tribunal usually sits with two solicitor members, one being the Chairperson and two lay members. The Clerk is available to advise on the procedure of the Tribunal and takes no part in the decision process.

Yes, the Tribunal is independent of the Law Society. While the Law Society recommends solicitor members for appointment to the Tribunal, it has no further involvement once they are appointed by the Lord President.

The Tribunal is administered by SSDT Administration Limited. The Law Society is responsible for the funding of the Tribunal but has no locus with regard to the day-to-day running of the administration of the Tribunal. The Clerk reports to the Tribunal.

The Tribunal deals with the following types of business:

1. Complaints about professional misconduct by a solicitor.
2. Applications for Restoration to the Roll of Solicitors.
3. Appeal by Solicitors against a finding made by the Law Society of unsatisfactory professional conduct. (Section 42ZA(9) Appeals)
4. Appeals by Lay Complainers against the failure by the Law Society to make a finding of unsatisfactory professional conduct. (Section 42ZA(10) Appeals)
5. Appeals by Solicitors or Lay Complainers against the extent of any award of compensation or the failure to award any compensation. (Section 42ZA(11) Appeals)

If the complaint is with regard to the administration of the Tribunal, the Tribunal Clerk or a Tribunal member then the complaint should be made to the Chairman of the Tribunal.

If the complaint relates to the Chairman of the Tribunal, the complaint should be referred to the Lord President.

Alleging professional misconduct invariably the Law Society is the Complainer in cases brought before the Tribunal. The Law Society appoints a Fiscal to prosecute the Complaint before the Tribunal.

In terms of Section 51(3) of the Solicitors (Scotland) Act 1980 certain other bodies have the power to take a Complaint about an incorporated practice to the Tribunal, although this rarely happens in practice.

Solicitors and Lay Complainers may make an Appeal to the Tribunal in terms of Section 42ZA of the 1980 Act in respect of unsatisfactory professional conduct findings made or not made by the Law Society.

The Tribunal can:
1. Censure.
2. Impose a Fine of up to £10,000.
3. Impose a Restriction on a Solicitor’s practising certificate.
4. Suspend the Solicitor for a period of time.
5. Strike the Solicitor’s name from the Roll of Solicitors in Scotland.
6. If the Tribunal considers that the Secondary Complainer has been directly affected by the misconduct, the Tribunal has power to direct the solicitor to pay compensation of such amount not exceeding £5,000 as the Tribunal may specify for any loss, inconvenience or distress resulting from the misconduct.

The Tribunal can:
1. Quash or Confirm the Determination of the Law Society.
2. Quash the Censure accompanying the Determination.
3. Quash/Confirm/Vary the Direction being appealed against.
4. Order retraining of the solicitor.
5. Impose a Fine not exceeding £2,000.
6. Order compensation to be paid to the lay complainer not exceeding £5,000.

Yes, you can download the guidance notes here.

Hearings are held in public unless the Tribunal agrees that it is appropriate to hold the hearing in private, for example, if there are criminal proceedings pending then the case before the Tribunal may require to be held in private. All the Hearings listed on the diary section of the website are to be held in public unless otherwise stated.

The burden of proof in professional misconduct cases is on the Complainer. Professional misconduct must be proved to the standard of beyond reasonable doubt which is the criminal standard of proof.
In respect of Section 42ZA Appeals relating to unsatisfactory professional conduct, the standard of proof is on the balance of probabilities.
There are no strict rules of evidence for the proceedings before the Tribunal and there is no ban on hearsay evidence although this is less reliable than direct evidence. There is no requirement for corroboration.

Yes. It can viewed here.

In terms of paragraph 14 of Schedule 4 of the Solicitors (Scotland) Act 1980 as amended, every decision of the Tribunal is published in full subject to the terms of paragraph 14A. Once the written Tribunal Findings are intimated to the parties, three weeks are allowed for an appeal. Only after this period, provided no appeal has been lodged, will publicity be given to the Tribunal Findings. Occasionally publicity will be deferred, for example if criminal proceedings are pending.

The Tribunal has the power to award expenses in terms of Schedule 4 to the Solicitors (Scotland) Act 1980. Expenses are usually awarded to the successful party and include the expenses of the Tribunal. Last-minute adjournments can result in an unnecessary increase in expense.

Yes, it can be downloaded here.

Yes, you can download the guidance notes here.

If you wish to make an appeal under Section 42ZA against a Determination made by the Law Society of Scotland making a finding/not making a finding of unsatisfactory professional conduct:
• The appeal must be in writing in the Form as set out in the Tribunal Rules.
• It must be received within 21 days of the date on which the Determination is sent to you by the Law Society.
• Your appeal should identify any error of fact or law that you think that the Law Society has made in their Determination.
• The Tribunal has no power to extend the time for making an appeal.
• Once an appeal is lodged, it cannot be withdrawn without consent of the Tribunal.
• If your appeal goes ahead, you will have to make your case before the Tribunal.
• You can either do this personally or it might be advisable for you to consider obtaining legal representation.
• You can be found liable in the expenses of the Tribunal and the other parties to the appeal if your appeal is unsuccessful. The amount of expenses will depend on the amount of time that the Law Society Fiscal and the solicitor concerned have to spend preparing for the case, the amount of documentation lodged and the amount of Tribunal time taken to deal with it. Expenses can run into several thousand pounds.
• If you wish to make a handling complaint against the Law Society of Scotland to the Scottish Legal Services Commission, this is their website: www.scottishlegalcomplaints.com

Yes, if you are the Complainer, please use Form 4 for Complainers, downloadable here. If you are a solicitor, please use Form 4 for Solicitors, downloadable here.

The Appeal is sent to the Chairman of the Tribunal. If the Chairman considers the Appeal to be manifestly unfounded( eg unfocused or irrelevant ) he may direct that it be sent back to be re-drafted into more concise relevant points. If the Appeal is still considered by the Tribunal to be manifestly unfounded, it can be dismissed under rule 23(4) but you will be given an opportunity to make written representations before this is done.
If the Appeal is correctly drafted, the Chairman will authorise intimation on the other parties, the Law Society and either the Solicitor concerned or the Lay Complainer. They will then have 21 days in which to lodge Answers to your Appeal. You should also receive a copy of these.
After Answers have been lodged you will be notified of the date of the hearing.

The hearings are usually held in Edinburgh. When you arrive you will be met by a bar officer who will answer any queries which you have.
The Tribunal sits with two solicitor members and two lay members. The Tribunal Clerk is present during the hearing to advise the members but not to take part in the decision. There is also a shorthand writer who takes notes of the Tribunal proceedings. The Tribunal hearings are held in public unless any party has asked for a hearing in private prior to the date of the hearing and this has been agreed by the Tribunal. (If you wish to know more about this please contact the Clerk to the Tribunal well before the hearing).
The Tribunal has the power to:
(a) it may quash the determination being appealed against and make a determination upholding the complaint;
(b) if it does so, may, where it considers that the complainer has been directly affected by the conduct, direct the solicitor to pay compensation of such amount, not exceeding £5,000, as it may specify to the complainer for loss, inconvenience or distress resulting from the conduct;
(c) may confirm the determination.
The Tribunal and can award expenses as it thinks fit. Expenses are usually awarded to the successful party and include the cost of legal representation and not just disbursements.

No, it is not normal practice to issue an Interlocutor. The Tribunal may, at times, issue Directions at the Tribunal Hearing. These will also be sent to you.

You should write, telephone or email the person(s) directly asking whether they are willing to attend as your witness giving them the date, time and venue.
If they refuse, please refer to Schedule 4, para 12 of the Solicitors (Scotland) Act 1980.

The Tribunal Clerk aims to intimate the Findings within six weeks of the Tribunal Hearing but it may be longer due to the complexity of the case.

As the Respondent you may have the right to lodge an appeal with the Court of Session within 21 days of the Tribunal Clerk sending the Findings to you. The Law Society may also have the right to appeal. The Secondary Complainer can only appeal in relation to compensation.

If the Tribunal has ordered you, the Respondent, to pay a fine, this becomes payable after the appeal period has expired. The Tribunal Clerk will send out a letter at the appropriate time detailing the amount and who to pay.

If you wish to pay the fine earlier than this, cheques are made payable to “The Scottish Government” and should be sent to:

Callum Marshall
The Scottish Government
Justice Department
St Andrews House, room GW.14
Regent Road
EDINBURGH
EH1 3DG

If you, the Respondent, are to pay compensation, this will become payable after the appeal period has expired. The Secondary Complainer’s details are on the Interlocutor, cheques should be made payable to them and sent direct to their address within the time specified on the Interlocutor. If in doubt, please contact the Tribunal Office.

The Tribunal Rules provide that the Law Society Fiscal will keep you informed about the progress of the case. If you have any documentation that you wish the Tribunal to consider, this should be sent to the Law Society Fiscal.

After the expiration of the appeal period, the Respondent should send you payment directly within the time specified in the certified copy Interlocutor sent to you by the Tribunal office (usually 28 days). If the Respondent fails to do this you can instruct Sheriff Officers on your behalf to start proceedings to enforce payment. If you require another certified copy Interlocutor, please contact the Tribunal office.

After the Findings have been sent to you and they include a Compensation Interlocutor, you can appeal to the Court of Session within 21 days from the date of the letter intimating the Findings to you.