Solicitors (Disciplinary Proceedings) Rules 1994
| Jurisdiction | UK Non-devolved |
1994 No. 288
LEGAL PROFESSION
The Solicitors (Disciplinary Proceedings) Rules 1994
Made 21th January 1994
Coming into Operation 1st March 1994
The Solicitors' Disciplinary Tribunal constituted under the Solicitors Act 19741with the concurrence of the Master of the Rolls, in exercise of the powers conferred on the Solicitors Disciplinary Tribunal by section 46 of the said Act and of all other powers them enabling hereby make the following Rules:
THE SOLICITORS (DISCIPLINARY PROCEEDINGS) RULES 1994
1. (A) These Rules may be cited as the Solicitors (Disciplinary Proceedings) Rules 1994 and shall come into force on the 1st day of March 1994 whereupon the Solicitors (Disciplinary Proceedings) Rules 19852shall cease to have effect.
(B) In these Rules the following words have the following meanings:
(i) “solicitor’s clerk” a person who is or was employed or remunerated by a solicitor or by a firm of solicitors as a clerk and is or was not himself a solicitor at the relevant time.
(ii) “the Clerk” the Clerk to the Tribunal or any deputy or person appointed by the Tribunal (whether temporarily or otherwise) to perform the duties of that office.
(iii) “an Application” an originating written requirement (in one of the forms set out in the First Schedule hereto and where requisite supported by a statement) that proceedings be commenced before the Tribunal.In these Rules an “Application” covers also a “complaint” to which reference is made in the Act.
(iv) “the applicant” the person or body making the Application.
(v) “the respondent” any party to the Application who is not the Applicant.
(vi) “the Society” the Law Society.
(vi) “the Act” The Solicitors Act 1974 (as amended by the Administration of Justice Act 19853and the Courts and Legal Services Act 19904).
(viii) “a division of the Tribunal” three members of the Tribunal sitting to hear and determine an application.
(C) Other expressions in these Rules have the meanings assigned to them in the Act and the Regulations made thereunder.
(D) The Interpretation Act 19785applies to these Rules in the same manner as it applies to an Act of ParliaMent.
(E) The Clerk shall be a Solicitor of the Supreme Court of Judicature.
(F) The forms referred to in these Rules by number are set out in the First Schedule hereto.
(G) A summary of time limits prescribed by these Rules is set out in the Second Schedule hereto.
PART I
Constitution of the Tribunal
2. The Tribunal shall elect a solicitor member of the Tribunal to be its President.To be eligible for election a solicitor member shall be proposed by a member and seconded by two other members and shall be elected if he obtains a simple majority of the votes cast.
3. For the hearing and determination by a division of the Tribunal of any Application in accordance with the provisions of these Rules, a solicitor member of the Tribunal (so appointed by the President) shall act as its Chairman, provided that, in the absence of such appointment, a solicitor member shall act as Chairman.
PART II
Applications.
4.—(1) Applications and Forms
(a)
(a) An Application to the Tribunal:
(i) To strike the name of a solicitor off the Roll of Solicitors, or
(ii) To strike the name of a registered foreign lawyer off the Register of Foreign Lawyers maintained by the Society, or
(iii) Making allegations against a solicitor, a former solicitor, or a registered foreign lawyer, or
(iv) Making an allegation against a Recognised Body shall be in Form 1.
(b)
(b) An Application to the Tribunal to make an order under Section 43(2) of the Act with respect to a solicitor’s clerk shall be in Form 2.
(c)
(c) An Application to the Tribunal seeking restoration to the Roll or for the revocation of an order made pursuant to Section 43(2) of the Act or by a former registered foreign lawyer seeking to be restored to the Register of Foreign Lawyers shall be by affidavit in Form 3.
(d)
(d) An Application to the Tribunal by a solicitor who has been suspended from practice or a registered foreign lawyer suspended from the Register of Foreign Lawyers to have that period of suspension terminated shall be by affidavit in Form 4.
(e)
(e) An Application that a direction be made by the Tribunal that a direction made by the Society in respect of a solicitor in respect of inadequate professional services be treated for the purposes of enforcement as if it were contained in an order of the High Court shall be in Form 1.
(2) Statements
Applications made under this Rule shall be supported by a written statement setting but the allegations in Applications made under Paragraph (1)(a)(i)(ii)(iii)(iv), (b) or (e) and setting out a summary of the facts in support of all Applications.
(3) Copies
The applicant shall supply five copies of the originating Application and statement to the Clerk with an additional copy for any second or further respondent.
(4) Preliminary Consideration of Application
(i)
(i) An Application under Rule 4(1)(a)(i)(ii)(iii)(iv) and (b) shall be considered by a solicitor member of the Tribunal who shall certify whether a prima facie case is established in which event the procedure set out in Part III shall apply.
(ii)
(ii) Where in the opinion of the solicitor member no prima facie case is established the Application shall be considered by another solicitor member and a lay member of the Tribunal and where in their opinion no prima facie case is established, the Tribunal may dismiss the Application without requiring the respondent to answer the allegations and without hearing the applicant.If required so to do by either party, the Tribunal shall make a formal order dismissing the Application.
(iii)
(iii) If in the opinion of the solicitor member of the Tribunal the respondent should be given the opportunity of making representations as to whether or not a prima facie case is established, then the Clerk will serve a copy of the Application upon the respondent inviting him to make such representation in writing within l4 days and the solicitor member will after considering the same certify that a prima facie case is or is not established, or require oral representations to be made by the parties to him sitting in private before so certifying.
(5) The Parties
(i)
(i) In the case of an Application of the nature specified in Rule 4(1)(a)(i)(ii)(iii)(iv) and (e) the parties to the Application shall be the applicant and the respondent.
(ii)
(ii) In the case of an Application of the nature specified in Rule 4(1)(b) the parties shall be the Society (or its representative), who shall be the applicant in every such case, the respondent and, if the Tribunal so direct, any solicitor by whom the solicitor’s clerk was employed either at the time of the commission of any offence mentioned in Section 43(1) of the Act of which it is alleged 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 Act to which it is alleged that the solicitor’s clerk has been a party.
(iii)
(iii) In the case of an Application of the nature specified in Rule 4(1)(c) and (d) the parties shall be the applicant and the Society (in these cases the Society shall be the respondent to the Application).
(6) Notice
In the case of an Application of the nature specified in Rule 4(1)(c) and (d), the Tribunal may if it thinks fit require the applicant or the respondent to give notice of the Application and of the day fixed for the hearing by advertisement or otherwise as it may direct.
(7) Third Party Objectors
If any person desires to object to an Application made pursuant to Rule 4(1)(c) or (d) he shall give notice in writing to the applicant, the Society and the Clerk at least 10 days before the date fixed for the hearing specifying the grounds of his objection.The Tribunal may allow such objector to appear at the hearing and call evidence or make representations (or both) and require him to be cross examined thereon.
(8) Foreign Lawyers Assisting the Tribunal
The Tribunal may (either upon granting an application by either party or of its own motion) be assisted in connection with any Application made under Rule 4(1)(a)(ii)(iii), (c) or (d), relating to a registered foreign lawyer or a former registered foreign lawyer, by a member of the legal profession in the jurisdiction by reference to which the foreign lawyer is or was qualified in such manner as the Tribunal shall think fit.Such application by either party to be made not later than 21 days before the date of the hearing. The Tribunal’s decision in that regard (whether following an application or made of its own motion) to be notified to the parties not later than 14 days before the hearing.
PART III
General
5. Before fixing a day for any hearing the Tribunal may require the applicant to supply such further information and documents and copies thereof relating to the Application as it thinks fit.
6. Upon the receipt of an Application and after the finding by the Tribunal of a prima facie case where these Rules require the Tribunal shall fix a day for the hearing and the Clerk shall serve notice thereof on the parties at least 42 days before the date of the hearing.The Clerk shall give notice to the respondent in Form 5 and a copy shall be sent to the applicant.
7.—(1) Service of an Application and statement or affidavit pursuant to the provisions of Rules 4 and 6 shall be:
(i)
(i) personally...
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