The Solicitors (Disciplinary Proceedings) Rules 2019

Made: 6th August 2019

Coming into force: 25th November 2019

The Legal Services Board has approved the Rules in accordance with section 178 of the Legal Services Act 2007[^f00002].

PART 1 — Introductory

Citation and commencement

1

These Rules may be cited as the Solicitors (Disciplinary Proceedings) Rules 2019 and come into force on 25th November 2019.

Scope

2

These Rules apply to—

• (a) any application made to the Tribunal under any enactment, including the following provisions of the 1974 Act—

• (i) section 43(1) (applications relating to the control of solicitors’ employees and consultants);

• (ii) section 43(3) (applications for review of orders made in respect of applications under section 43(1));

• (iii) section 43(4) (applications for costs in relation to applications under section 43);

• (iv) section 47(1)(a) to (f) (applications in relation to solicitors and former solicitors);

• (b) any complaint made to the Tribunal under any enactment, including the following—

• (i) section 43 of the Administration of Justice Act 1985 (legal aid complaints relating to solicitors);

• (ii) section 31(2) of the 1974 Act (complaints in respect of failure to comply with rules as to professional practice, conduct and discipline);

• (iii) section 32(3) of the 1974 Act (complaint in respect of failure to comply with accounts rules and trust accounts rules);

• (iv) section 34(6) of the 1974 Act (complaint in respect of failure by solicitor to comply with rules relating to accountants’ reports);

• (v) section 34A(2) of the 1974 Act (complaint in respect of failure by employee of solicitor to comply with rules relating to professional practice, conduct and discipline);

• (vi) section 34A(3) of the 1974 Act (complaint in respect of failure by employee of solicitor to comply with rules relating to accountants’ reports);

• (vii) section 37(4) of the 1974 Act (complaint in respect of failure by solicitor to comply with indemnity rules);

• (viii) section 44(2) of the 1974 Act (complaint in respect of contravention of order under section 43(2) in respect of solicitors’ employees and consultants).

Interpretation

3

• (1) In these Rules—

• “the 1974 Act” means the Solicitors Act 1974;

• “the 2007 Act” means the Legal Services Act 2007[^f00003];

• “applicant” means a person making an application;

• “application” means an application or complaint to which these Rules apply and which is made in accordance with these Rules;

• “prescribed form” means the appropriate form published by the Tribunal on its website;

• “authorised body” means—a body which holds a licence in force under Part 5 of the 2007 Act granted by the Solicitors Regulation Authority;a recognised body under section 9 of the Administration of Justice Act 1985[^f00004];a sole solicitor’s practice recognised under section 9 of the Administration of Justice Act 1985;

• “business day” means any day except a Saturday or Sunday, Christmas Day, Good Friday or a bank holiday in England and Wales under section 1 of the Banking and Financial Dealings Act 1971[^f00005];

• “case to answer” means an arguable case;

• “clerk” means any clerk appointed under rules 8(1) and (2);

• “the Clerk to the Tribunal” means the Clerk to the Tribunal who is in office at the date these Rules come into force, or the Clerk to the Tribunal subsequently appointed under rule 8(1);

• “a lay application” means an application other than one—made by the Society; orto which Chapter 2 of Part 3 of these Rules applies;

• “panel” means a panel appointed under rule 9(1) for the hearing of an application or any matter connected with an application;

• “party” means an applicant or respondent;

• “practice direction” means a direction made under rule 6(3);

• “practice notice” means a notice made under rule 6(3);

• “the President” means the President of the Tribunal, elected under rule 7(2);

• “respondent” means any party to an application other than the applicant;

• “the Society” means the Law Society and includes any duly constituted committee of the Law Society or any body or person exercising delegated powers of the Law Society, including the Solicitors Regulation Authority;

• “solicitor members” and “lay members” have the same meaning as in section 46 of the 1974 Act [^f00006];

• “Statement” means a written statement (including a witness statement) signed by the individual making the statement and containing a declaration of truth in the following form—I believe that the facts and matters stated in this statement are true;

• “the Tribunal” means the Solicitors Disciplinary Tribunal and where a panel has been appointed for the hearing of an application or any matter connected with it, includes a panel;

• “Vice President” means a Vice President of the Tribunal, elected under rule 7(3).

• (2) References in these Rules to solicitors include, where appropriate, former solicitors.

• (3) References in these Rules to registered foreign lawyers are references to lawyers whose names are entered in the register of foreign lawyers maintained under section 89 of the Courts and Legal Services Act 1990[^f00007] and include, where appropriate, those who have ceased to be registered in that register or whose registration has been suspended.

• (4) Subject to paragraph (5), references in these Rules to registered European lawyers are references to—

• (a) those lawyers—

• (i) whose names were entered in the register of registered European lawyers maintained by the Society under regulation 15 of the European Communities (Lawyer’s Practice) Regulations 2000, as it had effect immediately before IP completion day, at a time before IP completion day, but

• (ii) in relation to whom regulation 6 of the Services of Lawyers and Lawyer’s Practice (Revocation etc.) (EU Exit) Regulations 2020 does not apply;

• (b) those lawyers whose names are entered in the register of registered European lawyers maintained by the Society under regulation 15 of the European Communities (Lawyer’s Practice) Regulations 2000, as that regulation has effect by virtue of regulation 6 of the Services of Lawyers and Lawyer’s Practice (Revocation etc.) (EU Exit) Regulations 2020 and includes, where appropriate, those who have ceased to be registered in that register or whose registration has been suspended.

• (5) During the period when these Rules are in force before IP completion day, references in these Rules to registered European lawyers are references to lawyers whose names are entered in the register of European lawyers maintained by the Society under regulation 15 of the European Communities (Lawyer’s Practice) Regulations 2000[^f00010] and include, where appropriate, those who have ceased to be registered in that register or whose registration has been suspended.

• (6) Reference in these Rules to registered Swiss qualified lawyers undertaking an adaptation period are references to those lawyers whose names were entered on the register of Swiss qualified lawyers undertaking an adaptation period maintained by the Society under regulation 9A of the Recognition of Professional Qualifications and Implementation of International Recognition Agreements (Amendment) Regulations 2023.

The overriding objective

4

• (1) The overriding objective of these Rules is to enable the Tribunal to deal with cases justly and at proportionate cost.

• (2) The Tribunal must seek to give effect to the overriding objective when it—

• (a) exercises any power under these Rules; or

• (b) interprets any rule or practice direction.

• (3) Dealing with a case justly and at proportionate cost includes, so far as is practicable—

• (a) ensuring that the parties are on an equal footing;

• (b) ensuring that the case is dealt with efficiently and expeditiously;

• (c) saving expense;

• (d) dealing with the case in ways which are proportionate to the nature, importance and complexity of the issues.

• (4) The parties are required to help the Tribunal to further the overriding objective set out above.

Standard of proof

5

The standard of proof that must be applied to proceedings considered under these Rules is the civil standard of proof.

Regulation of procedure and practice directions

6

• (1) Subject to the provisions of the 1974 Act, these Rules and any other enactment, the Tribunal may regulate its own procedure.

• (2) The Tribunal may dispense with any requirements of these Rules in respect of notices, Statements, witnesses, service or time in any case where it appears to the Tribunal to be just so to do.

• (3) The Tribunal (or a panel of Tribunal members consisting of no fewer than five members of whom no fewer than two must be lay members) may give such notices or make such directions concerning the practices or procedures of the Tribunal as are consistent with these Rules and as the panel considers appropriate.

• (4) Practice notices and practice directions may be promulgated under the authority of the President.

PART 2 — Constitution

President and Vice Presidents

7

• (1) The President holding office at the date these Rules come into force may not hold the office of President for a total period exceeding six years and will only be eligible for re-election as President if he or she has not previously been re-elected as President.

• (2) The Tribunal, by a simple majority, must elect a solicitor member to be its President to hold office for a term not exceeding three years and the member so elected may be re-elected for a further term not exceeding three years.

• (3) The Tribunal, by a simple majority, must elect one solicitor member and one lay member to be its Vice Presidents for a term not exceeding three years and the members so elected may be re-elected for a further term not exceeding three years. The Vice Presidents may exercise any functions as are exercisable under these Rules by the President, as the President may direct.

• (4) The Tribunal must meet at least once in each calendar year and must publish an annual report, a copy of which must be sent to the Master of the Rolls, the Society and the Legal Services Board.

The Clerk to the Tribunal and other clerks and staff

8

• (1) The Tribunal must appoint a Clerk to the Tribunal.

• (2) The Tribunal may appoint other clerks to assist the Clerk to the Tribunal.

• (3) The Clerk to the Tribunal is responsible to the Tribunal for the administration of the Tribunal in an efficient manner, including the general supervision of the other clerks and other administrative staff; maintaining records and collecting statistics required by the Tribunal.

• (4) The Clerk to the Tribunal or any other clerk appointed by the Tribunal under this Rule must be a solicitor or barrister of not less than ten years’ standing.

• (5) The office of the Clerk to the Tribunal must be vacated if—

• (a) in the Tribunal’s opinion, with which the Master of the Rolls agrees, the Clerk to the Tribunal is physically or mentally incapable of performing his or her duties; or

• (b) the Clerk to the Tribunal—

• (i) resigns; or

• (ii) retires; or

• (iii) is removed from office by a resolution of the Tribunal approved by the Master of the Rolls.

• (6) The Tribunal may prescribe the duties for which the clerks are to be responsible and those duties must include arrangements for—

• (a) the submission of applications for certification as to whether or not there is a case to answer (see rule 13);

• (b) making pre-listing arrangements;

• (c) variation of directions;

• (d) determining applications for adjournment of procedural or substantive hearings in accordance with rule 23(2);

• (e) considering parties’ non-compliance with directions and orders (see rule 20(3));

• (f) securing a record of hearings (by electronic recording or other means) (see rule 39);

• (g) advising the Tribunal on matters of law or procedure;

• (h) preparing draft judgments for the consideration of the panel which heard an application (see rule 40);

• (i) determining applications in respect of substituted service (see rule 46);

• (j) drawing orders and findings and sending them to the Society.

Composition of panels

9

• (1) The Tribunal must appoint a panel of three members of the Tribunal for the hearing of any application. Two of the panel members must be solicitor members and one must be a lay member.

• (2) The President may appoint a member to be the chair of a panel.

• (3) If the President does not appoint a chair of a panel, a solicitor member must act as the chair.

Functions exercisable by a single solicitor member

10

A single solicitor member may exercise the functions set out in—

• (a) rule 8(6) (c) (d) and (i) (duties for which clerks are responsible);

• (b) rule 27(3) (directions relating to lodging of bundles);

• (c) rule 22 (4) (f) and (g) (determining procedural applications)

PART 3 — Applications

CHAPTER 1 — Applications by the Law Society and lay applications

Application of Rules in Chapter 1

11

• (1) Rules 12, 13 and 14 apply to applications made by the Society and to lay applications.

• (2) Rule 15 applies to applications made by the Society.

• (3) Rule 16 applies to lay applications.

Method and form of application

12

• (1) An application to which this Rule applies must be sent to the Tribunal offices and must be made using the prescribed form.

• (2) The application must be supported by a Statement setting out the allegations, the facts and matters supporting the application and each allegation contained within it and exhibiting any documents relied upon by the applicant.

• (3) In the case of an application made by the Society, the application must be accompanied by—

• (a) sufficient copies of the application and supporting documents to enable the Tribunal to retain one complete set and to serve one complete set on each respondent;

• (b) a time estimate for the substantive hearing;

• (c) a schedule of the Society’s costs incurred up to and including the date on which the application is made.

• (4) In the case of a lay application, the application must be accompanied by three copies of the application and supporting documents and one further copy for any second and each further respondent.

Certification of case to answer

13

• (1) An application made in accordance with rule 12 must initially be considered by a solicitor member (“the initial solicitor member”) for consideration of the question of whether there is a case to answer in respect of the allegations made in the application.

• (2) If the initial solicitor member considers that there is a case to answer in respect of all the allegations made and is not of the opinion that the question is one of doubt or difficulty then the initial solicitor member must certify that there is a case to answer.

• (3) If the initial solicitor member is minded not to certify that there is a case to answer in respect of all or some of the allegations made or is of the opinion that the question is one of doubt or difficulty, the question must be considered by a panel of three members of the Tribunal, two of whom must be solicitor members and one of whom must be a lay member. The initial solicitor member may be a member of the panel. If the panel considers that there is a case to answer in respect of any of the allegations made then it must certify that there is a case to answer in respect of those allegations.

• (4) If the panel decides that there is no case to answer in respect of any of the allegations made, it may refuse or dismiss the application, or part of it, without requiring the respondent to answer the allegations and without hearing the applicant. The applicant must be provided with written reasons explaining the decision.

• (5) If a panel or solicitor member certifies that a case to answer is established in respect of all or any of the allegations made, a clerk must serve a copy of each of the documents referred to in rule 12(3) or (4), as the case may be, on each respondent.