Solicitors (Disciplinary Proceedings) Rules 1985
| Jurisdiction | UK Non-devolved |
| Citation | SI 1985/226 |
| Year | 1985 |
1985 No. 226
LEGAL PROFESSION
The Solicitors (Disciplinary Proceedings) Rules 198519thFebruary 1985
1stApril 1985
ARRANGEMENT OF RULES
Part I Constitution of the Tribunal Rules 2 & 3
Part II Applications against Solicitors and
in respect of Solicitors' Clerks Rules 4 to 10
Part III Applications at the instance of a
former Solicitor himself Rules 11 to 18
Part IV Applications in respect of a former
Solicitor's Clerk Rules 19 to 23
Part V General Rules 24 to 43
Schedule Forms
The Disciplinary Tribunal constituted under the Solicitors Act 1974(a) with the concurrence of the Master of the Rolls, in exercise of the powers conferred on them by section 46 of the said Act and of all other powers them enabling hereby make the following Rules:—
1. (a) These Rules may be cited as the Solicitors (Disciplinary Proceedings) Rules 1985 and shall come into force on the 1st day of April 1985 whereupon the Solicitors (Disciplinary Proceedings) Rules 1975(b) shall cease to have effect.
(b) (i) In these Rules "solicitor's clerk" means a person who is or was employed or remunerated by a solicitor or by a firm of solicitors as a clerk and is not himself a solicitor, "the Clerk" means the Clerk to the Tribunal or any deputy or person appointed by the Tribunal temporarily to perform the duties of that office, and an "application" includes a complaint to the Tribunal made by virtue of the provisions of the Solicitors Act 1974.
(ii) Other expressions in these Rules have the meanings assigned to them in the Solicitors Act 1974.
(iii) The Interpretation Act 1978(c) applies to these Rules in the same manner as it applies to an Act of Parliament.
(a) 1974 c. 47.
(b) S.I. 1975/727.
(c) 1978 c. 30.
PART I
CONSTITUTION OF THE TRIBUNAL
2. The Tribunal shall elect a solicitor member of the Tribunal to be its President.
3. The President shall appoint a solicitor member to act as Chairman for the hearing and determination by the Tribunal of any application in accordance with the provisions of Part V of these Rules; provided that in the absence of such appointment a solicitor member of the Tribunal shall act as its Chairman.
PART II
APPLICATIONS AGAINST SOLICITORS AND IN RESPECT OF SOLICITORS' CLERKS
4. (a) An application to the Tribunal to strike the name of a solicitor off the Roll of Solicitors, or to require a solicitor to answer allegations contained in an affidavit, shall be in writing signed by the applicant in the form numbered 1 in the Schedule hereto.
(b) An application to the Tribunal to make an Order under Section 43(2) of the Solicitors Act 1974 shall be in writing signed by the applicant in the form numbered 2 in the Schedule hereto.
(c) In either case the application shall be supported by an affidavit by the applicant in the form set out in the Schedule hereto numbered 3 or as near thereto as the circumstances may permit, stating the matters of fact on which he relies in support of his application.
(d) Where the application is made by the Society the application may be signed and the affidavit sworn on behalf of the Society by the Secretary or by such other person as may from time to time be instructed to do so by or on behalf of the Council.
5. Before fixing a day for the hearing the Tribunal may require the applicant to supply such further information and documents relating to the application as they think fit and may require the applicant to supply such further copies of his affidavit and of the exhibits thereto as the Tribunal may consider requisite.
6. In the case of an application againt a solicitor where, in the opinion of the Tribunal, no prima facie case is shown in favour of the application, the Tribunal may dismiss the application without requiring the solicitor to answer the allegations, and without hearing the applicant. If required so to do either by the applicant or the solicitor, the Tribunal shall make a formal Order dismissing such application.
7. In the case of an application in respect of a solicitor's clerk the parties to the proceedings shall be:
(i) the applicant;
(ii) the solicitor's clerk, and
(iii) if the Tribunal so direct, every solicitor by whom the solicitor's clerk was employed either at the time of the commission of any such offence as is mentioned in section 43(1) of the Solicitor's Act 1974, of which it is alleged by the applicant that the solicitor's clerk has been convicted, or at the time of any such act or default as is mentioned in section 43(1)(b) of the said Act to which it is alleged that the solicitor's clerk has been party.
8. In the case of an application against a solicitor in which, in the opinion of the Tribunal, a prima facie case is shown in favour of the application, and in the case of every application in respect of a solicitor's clerk, the Tribunal shall fix a day for the hearing, and the Clerk shall serve notice thereof on each party to the proceedings and shall serve on each party, other than the applicant, a copy of the application and affidavit. There shall be at least 42 days between the service of any such notice and the day fixed therein for the hearing.
9. The notice shall be in such one of the forms set out in the Schedule hereto and numbered 4, 5, 6 and 7, as shall be appropriate and shall require the party to whom it is addressed to furnish to the Clerk and to every other party at least 14 days before the day fixed for the hearing, unless the Tribunal direct otherwise, a list of all documents on which he intends to rely.
10. Any party may inspect the documents included in the list furnished by any other party. A copy of any document mentioned in the list furnished by any party shall, on application and on payment of the proper charges therefor by the party requiring it, be furnished to that party by the other within three days after the receipt of such application.
PART III
APPLICATIONS AT THE INSTANCE OF A FORMER SOLICITOR HIMSELF
11. An application by a former solicitor whose name has been struck off the Roll to have his name restored to the Roll shall be made by way of affidavit in the form set out in the Schedule hereto and numbered 8. The affidavit shall be sent to the Clerk and a copy thereof to the Society.
12. The Tribunal may grant an application made pursuant to Rule 11 without requiring the attendance of the applicant. In any other case the Tribunal shall fix a day for the hearing and the Clerk shall serve notice thereof on the applicant and the Society at least 56 days before the day fixed for the hearing.
13. The notice shall be in such one of the forms set out in the Schedule hereto and numbered 9 and 10 as shall be appropriate.
14. The Tribunal may if they think fit require the applicant or the Society to give notice of the application and of the day fixed for the hearing by advertisement or otherwise as they may direct.
15. If any person desires to object to the application, he shall give notice in writing to the applicant, the Society and the Clerk at least seven days before the day fixed for the hearing, specifying the grounds of his objection.
16. If the objector appears on the day fixed for the hearing, and if the Tribunal are of opinion, after hearing the parties or either of them (if they think fit so to do), that the notice discloses a prima facie case for inquiry of which they do not dispose on that day, they shall adjourn the hearing and shall give directions relating to the adjourned hearing, including directions as to the party on whom the burden of proof shall lie.
17. The Rules contained in Parts II and V of these Rules shall apply mutatis mutandis to the hearing of any application under this Part of these Rules.
18. In respect of any application by a solicitor to procure his name to be restored to the Roll the Tribunal shall order either that the name of the solicitor be restored to the Roll or that the application be refused and in either case may make such Order as to the costs as they think fit.
PART IV
APPLICATIONS IN RESPECT OF A FORMER SOLICITOR'S CLERK
19. An application that an Order under section 43(2) of the Solicitors Act 1974 shall be revoked, shall be made by way of affidavit in the form set out in the Schedule hereto and numbered 11.
20. The parties to the proceedings shall be:
(i) The person with respect to whom the Order under section 43(2) of the Solicitors Act 1974 was made which it is sought to revoke; and
(ii) The Society;
and the affidavit shall be sent to the Clerk and a copy thereof to the other party to the proceedings.
21. The Tribunal may grant the application without requiring the attendance of the parties. In any other case the Tribunal shall fix a day for the hearing and the Clerk shall serve notice thereof on the parties to the proceedings at least 56 days before the day fixed for the hearing. The notice shall be in the form set out in Schedule hereto and numbered 12.
22. The Rules contained in Part II and V of these Rules shall apply mutatis mutandis to the hearing of any application under this Part of these Rules.
23. In respect of any application made under this Part of these Rules the Tribunal shall order either that the previous Order be revoked or that the application be refused, and in either case they may make such Order as to the costs as they think fit.
PART V
GENERAL
24. (a) Subject to paragraph (b) of this Rule the Tribunal shall hear all applications in private.
(b) Any party applying that a hearing shall be in public shall notify the Clerk, and the other party or parties to the proceedings, at least 21 days before the date fixed for the hearing and unless at least 10 days before that date any other party to the proceedings objects thereto the hearing shall be in public. In the event of an objection the Tribunal shall, at the hearing, determine in private whether the hearing is to be in public.
(c) Notwithstanding paragraph (b) of this Rule if it appears to the Tribunal that any person would suffer undue prejudice from a public hearing or that for any other reason the...
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