How we investigate conduct complaints

All complaints start at the Scottish Legal Complaints Commission (SLCC). If the complaint is about conduct, it will be referred to us. If the complaint is about service, it is dealt with by the SLCC.

Our process is designed to ensure all complaints are investigated thoroughly.

When we receive a complaint from the SLCC, it is allocated to a Reporter to the Professional Conduct Sub Committees (PCSC). It may be necessary at this early stage for the reporter to request additional information from any of the parties involved. The solicitor is informed of the issues under investigation and is given the opportunity and time to respond.

The reporter carries out the investigation by gathering all the evidence and information from the complainer, solicitor and any other relevant sources.

At the end of the investigation, a written recommendation is prepared. The recommendation is based on the evidence found during the investigation.

Both parties have an opportunity to comment at this stage.

Any comments and/or supplementary recommendation are submitted with the main recommendation to one of our Professional Conduct Sub Committees. These sub committees are comprised of both solicitors and non-solicitors.

The sub committee considers the recommendation and decides what action to take. It may reach different conclusions from the recommendations made by the reporter. 

After the sub committee has made a decision, the complainer and solicitor are informed in writing.

The sub committee can decide:

• to take no action
• that the solicitor’s conduct is unsatisfactory professional conduct
• that the solicitor’s conduct may amount to professional misconduct (this is the more serious category)

1. Unsatisfactory professional conduct

Cases of unsatisfactory professional conduct are dealt with by us. If upheld, we can impose one or more of the following sanctions:

• censure
• a fine of up to £2,000
• payment of compensation to the complainer of up to £5,000
• an order to undergo training

View a selection of past cases involving findings of unsatisfactory professional conduct

Guidance on the application of sanction for Unsatisfactory Professional Conduct

2. Professional misconduct

For more serious cases and if there is sufficient evidence, we have the power to prosecute the solicitor before the Scottish Solicitors’ Discipline Tribunal. This is an independent tribunal.

The tribunal can decide to:

• take no action

• impose a censure or fine

• order a compensation payment of up to £5,000

• restrict or suspend a solicitor’s practising certificate

• strike a solicitor from the roll of solicitors

• refer the complaint back to the Law Society if it thinks that it should be reconsidered as unsatisfactory professional conduct

In some instances, both complainer and solicitor can appeal to the Scottish Solicitors’ Discipline Tribunal. See the Tribunal’s website for more details. If an appeal is not made within 21 days, the right to appeal may be lost. Both the complainer and the solicitor may ask the SLCC to review our handling of a complaint.

See the SLCC website for more details. There is a six month time limit for submitting handling complaints.

Timescales can vary from complaint to complaint. Legal complaints can often be complex and our process is thorough. We try to conclude complaints as quickly and efficiently as possible, while being fair to the complainer and solicitor. Factors that may affect timescales include:

• the number and complexity of issues under investigation
• the speed at which information or documents can be obtained from parties to the complaint and witnesses
• whether the investigation is deferred pending other court proceedings

Indicative timescales for the main stages of our process are shown below.

Complaints considered by the Scottish Solicitors’ Discipline Tribunal follow the process set by the SSDT and have their own timescales.

The following delays may affect the timescales outlined above:

• All stages – Due to a recent court decision, the SLCC have changed their process for referring complaints to us. We are currently reviewing our own processes in response to these changes. While the exact impact on timescales is unclear at this point, we anticipate potential delays at all stages. We will update our indicative timescales once more information is available.
• Recommendation stage – We are experiencing a high volume of complaints at the recommendation stage, resulting in a delay of around 16 weeks in completing this stage.

We apologise for the impact these delays may have on the conclusion of complaints and thank you for your patience.

We aim to conduct all investigations in a clear and transparent manner. Information will be made available to the complainer, solicitor and other relevant third parties as is necessary throughout the investigation. This may involve copying letters, reports or other documents. In some cases, information will be confidential to one party and will not be disclosed unless that party has provided written consent.

If you have an ongoing complaint with us, have a general query about the complaints process, or if you wish to receive information in a different language, you can contact us by calling 0131 476 8168 or emailing reg@lawscot.org.uk. If you have a hearing or speech impairment, you can use the textphone on 0131 476 8359.

• The Scottish Legal Complaints Commission
• The Scottish Solicitors’ Discipline Tribunal