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 but 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 you wish to make a complaint, please contact the Tribunal Office to request a copy of the complaints procedure and form. Contact details for the Tribunal Office are available on the home page.

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

If you require any of the information contained on this website in another language or format (for example, hard copy, audio, large print or braille) please contact us by emailing enquiries@ssdt.org.uk or calling us on 01334 659088.

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.

Expenses in Tribunal proceedings usually follow success. In general, the Tribunal makes awards of expenses on the agent and client, client paying basis in terms of Chapter Three of the last published Law Society’s Table of Fees for general business with a unit rate of £14.00. However, parties have the opportunity to make submissions on expenses at the conclusion of the case. Accounts of Expenses can be taxed by the Auditor of the Court of Session.

Yes, it can be downloaded here.

• The Tribunal deals with appeals against decisions made by the Law Society of Scotland in relation to unsatisfactory professional conduct.

• Most appeals concern solicitors, and these are brought under Section 42ZA of the Solicitors (Scotland) Act 1980 as amended.

• Appeals can be brought by a solicitor against the Law Society’s decision to make a finding of unsatisfactory professional conduct against him or her. A solicitor can appeal against the determination (unsatisfactory professional conduct finding) and/or the direction (steps the Law Society have ordered the solicitor to take such as training or payment of a fine or compensation). The Tribunal’s powers in relation to these Section 42ZA(9) appeals are found in Section 53ZB(1) of the 1980 Act.

• Appeals can be brought by a complainer against the Law Society’s decision not to make an unsatisfactory professional conduct finding against a solicitor. The Tribunal’s powers in relation to these Section 42ZA(10) appeals are found in Section 53ZB(2) of the 1980 Act.

• Appeals can be brought by a complainer against the Law Society’s decision not to award compensation. The Tribunal’s powers in relation to these Section 42ZA(11) appeals are found in Section 53ZB(3) of the 1980 Act.

• Appeals can be brought by a complainer against the amount of compensation awarded. The Tribunal’s powers in relation to these Section 42ZA(12) appeals are found in Section 53ZB(4) of the 1980 Act.

• Appeals concerning conveyancing and executry practitioners are brought under Section 20ZB of the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990. The Tribunal’s powers in relation to these appeals are found in Section 20B of the 1990 Act.

• Handling complaints about the way the Law Society has dealt with a case are come under Section 23 of the Legal Profession and Legal Aid (Scotland) Act 2007. Handling Complaints should be made to the Scottish Legal Complaints Commission. The handling complaints process is separate to any appeal before the Tribunal.

• The appeal must be in writing in the form set out in the Tribunal Rules (Form 4).

• The appeal must be received within 21 days of the date on which the Determination is sent to you by the Law Society.

• It may be of assistance to get legal advice on drafting your appeal. Your appeal should identify how you say the Law Society went wrong when it made its decision. An appeal cannot proceed simply on the basis that you disagree with the Law Society’s decision. For more guidance on structuring your appeal, please see notes on making an appeal to the Tribunal in the Guidance section of the Tribunal’s website.

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.

• Detailed notes are available in the Guidance section of the Tribunal’s website.

• The Appeal is sent to the Chair of the Tribunal. If the Chair considers the Appeal to be manifestly unfounded (for example, because it is unfocused or irrelevant) it may be sent back to you to be re-drafted into more concise relevant points, or you might be asked to supply further information and documents in support of the appeal. If the Appeal is still considered to be manifestly unfounded, the Chair will consider dismissal under rule 23(4). You will be given an opportunity to make written representations before a decision is made to dismiss your appeal.

• If the Appeal is correctly drafted and is not manifestly unfounded, the Chairman will authorise intimation of the Appeal on the other parties.

• In a solicitor’s appeal, the other parties are the Law Society and the original complainer.

• In a complainer’s appeal, the other parties are the Law Society and the solicitor.

• Following intimation of the appeal, the parties will have 21 days in which to lodge Answers to your Appeal. Copies of the Answers will also be sent to you.

• After the period for Answers has expired, you will be notified of the date of the hearing. A procedural hearing might be set in the first instance. More information about the different types of hearings can be found on the diary page of the Tribunal’s website. Hearings may be held virtually or in person. If you have a preference, please let the Tribunal Office know as early as possible along with the reasons for your preference. The final decision is for the Tribunal to make.

• Once an appeal is lodged, it cannot be withdrawn without the consent of the Tribunal.

• If your appeal goes ahead, you will have to make your case before the Tribunal at a hearing. You can do this yourself or a representative can do it on your behalf. It can be in your interests to obtain legal representation at an appeal hearing.

• Expenses in Tribunal proceedings usually follow success. If you are unsuccessful, you might have to pay the expenses of the other parties and the Tribunal. This can run to several thousand pounds. See the Frequently Asked Question, “What does an award of expenses mean?” for more information.

• Hearings may take place remotely by video conference or in person. In either case, you must attend to make your case to the Tribunal.

• Hearings in person are usually held in Edinburgh. When you arrive you will be met by a bar officer who will answer any queries which you have and direct you to the waiting area.

• 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. Proceedings are recorded electronically.

• 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).

• You will have to make your case before the Tribunal at a hearing. You can do this yourself or a representative can do it on your behalf. It can be in your interests to obtain legal representation at an appeal hearing.

• Expenses in Tribunal proceedings usually follow success. If you are unsuccessful, you might have to pay the expenses of the other parties and the Tribunal. This can run to several thousand pounds. See the Frequently Asked Question, “What does an award of expenses mean?” for more information.

• At the conclusion of the appeal hearing, you will be asked to make submissions on publicity. Tribunal cases are published on its website in the Findings section. Parties to a case are usually named. If you do not wish to be named in the findings you must give your reasons to the Tribunal at this stage so that the Tribunal can consider the issue and make its decision on publicity. Note that the Tribunal must comply with paragraphs 14, 14A and 23 of Schedule 4 to the Solicitors (Scotland) Act 1980.

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.

Expenses in Tribunal proceedings usually follow success. In general, the Tribunal makes awards of expenses on the agent and client, client paying basis in terms of Chapter Three of the last published Law Society’s Table of Fees for general business with a unit rate of £14.00. However, parties have the opportunity to make submissions on expenses at the conclusion of the case. Accounts of Expenses can be taxed by the Auditor of the Court of Session.

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.